Subchapter G—Documentation and Measurement of Vessels

SUBCHAPTER G—DOCUMENTATION AND MEASUREMENT OF VESSELS

PART 66 [RESERVED] 67.63 Extent of title evidence required for captured, forfeited, special legislation, and wrecked vessels. PART 67—DOCUMENTATION OF VESSELS Subpart E—Acceptable Title Evidence; Waiver Subpart A—General 67.70 Original owner. Sec. 67.73 Transfers prior to documentation. 67.1 Purpose. 67.75 Transfers by sale or donation subse- 67.3 Definitions. quent to documentation. 67.5 Vessels eligible for documentation. 67.77 Passage of title by court action. 67.7 Vessels requiring documentation. 67.79 Passage of title without court action 67.9 Vessels excluded from or exempt from following death of owner. documentation. 67.81 Passage of title in conjunction with a 67.11 Restriction on transfer of an interest in documented vessels to foreign persons; corporate merger or similar transaction. foreign registry or operation. 67.83 Passage of title by extra-judicial re- 67.12 Right of appeal. possession and sale. 67.13 Incorporation by reference. 67.85 Change in general partners of partner- 67.14 OMB control numbers assigned pursu- ship. ant to the Paperwork Reduction Act. 67.87 Change of legal name of owner. 67.89 Waiver of production of a bill of sale Subpart B—Forms of Documentation; eligible for filing and recording. Endorsements; Eligibility of Vessel 67.91 Passage of title pursuant to operation of State law. 67.15 Form of document—all endorsements. 67.17 Registry endorsement. Subpart F—Build Requirements for Vessel 67.19 Coastwise endorsement. 67.21 Fishery endorsement. Documentation 67.23 Recreational endorsement. 67.95 Requirement for determination. 67.97 United States built. Subpart C—Citizenship Requirements for 67.99 Evidence of build. Vessel Documentation 67.101 Waiver of evidence of build. 67.30 Requirement for citizen owner. 67.31 Stock or equity interest requirements. Subpart G—Tonnage and Dimension 67.33 Individual. Requirements for Vessel Documentation 67.35 Partnership. 67.36 Trust. 67.105 Requirement for determination. 67.37 Association or joint venture. 67.107 System of measurement; evidence. 67.39 Corporation. 67.41 Governmental entity. Subpart H—Assignments and Designations 67.43 Evidence of citizenship. Required for Vessel Documentation 67.47 Requirement for Maritime Adminis- tration approval. 67.111 Assignment of official number. 67.113 Managing owner designation; address; Subpart D—Title Requirements for Vessel requirement to report change of address. Documentation 67.117 Vessel name designation. 67.119 Hailing port designation. 67.50 Requirement for title evidence. 67.53 Methods of establishing title. Subpart I—Marking Requirements for 67.55 Requirement for removal from foreign registry. Vessel Documentation 67.57 Extent of title evidence required for 67.120 General requirement. initial documentation. 67.121 Official number marking require- 67.59 Extent of title evidence required for change in ownership of a documented ment. vessel. 67.123 Name and hailing port marking re- 67.61 Extent of title evidence required for quirements. vessels returning to documentation. 67.125 Disputes.

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Subpart J—Application for Special 67.213 Place of filing and recording. Qualifications for Vessel Documentation 67.215 Date and time of filing. 67.217 Termination of filing and disposition 67.130 Submission of applications. of instruments. 67.131 Forfeited vessels. 67.218 Optional filing of instruments in 67.132 Special legislation. portable document format as attach- 67.133 Wrecked vessels. ments to electronic mail. 67.134 Captured vessels. 67.219 Optional filing of instruments by facsimile. Subpart K—Application for Documentation, Exchange or Replacement of Certifi- Subpart P—Filing and Recording of Instru- cate of Documentation, or Return to ments—Bills of Sale and Related Instru- Documentation; Mortgagee Consent; ments Validation 67.220 Requirements. 67.141 Application procedure; all cases. 67.223 Filing limitation. 67.142 Penalties. 67.143 Restriction on withdrawal of applica- Subpart Q—Filing and Recording of Instru- tion. 67.145 Restrictions on exchange; requirements—Mortgages, Preferred Mort- ment and procedure for mortgagee con- gages, and Related Instruments sent. 67.149 Exchange of Certificate of Docu- 67.231 General requirements; optional appli- mentation; vessel at sea. cation for filing and recording. 67.151 Replacement of Certificate of Docu- 67.233 Restrictions on recording mortgages, mentation; special procedure for wrong- preferred mortgages, and related instru- fully withheld document. ments. 67.235 Requirements for mortgages. Subpart L—Validity of Certificates of Docu- 67.237 Requirements for assignments of mentation; Renewal of Endorsement; mortgages. Requirement for Exchange, Replace- 67.239 Requirements for assumptions of ment, Deletion, Cancellation mortgages. 67.241 Requirements for amendments of or 67.161 Validity of Certificate of Documenta- supplements to mortgages. tion. 67.243 Requirements for instruments subor- 67.163 Renewal of endorsement. dinating mortgages. 67.165 Deposit of Certificate of Documenta- 67.245 Requirements for interlender agree- tion. ments. 67.167 Requirement for exchange of Certifi- cate of Documentation. Subpart R—Filing and Recording of Instru- 67.169 Requirement for replacement of Cer- ments—Notices of Claim of Lien and tificate of Documentation. Supplemental Instruments 67.171 Deletion; requirement and procedure. 67.173 Cancellation; requirement and proce- 67.250 General requirements. dure. 67.253 Requirements for notices of claim of lien. Subpart M—Miscellaneous Applications 67.255 Restrictions on filing and recording. 67.175 Application for new vessel determina- 67.257 Requirements for assignments of no- tion. tices of claim of lien. 67.177 Application for foreign rebuilding de- 67.259 Requirements for amendments to no- termination. tice of claim of lien.

Subpart N [Reserved] Subpart S—Removal of Encumbrances Subpart O—Filing and Recording of 67.261 General requirements. Instruments—General Provisions 67.263 Requirement for removal of encumbrances by court order, affidavit, or Dec- 67.200 Instruments eligible for filing and re- laration of Forfeiture. cording. 67.265 Requirements for instruments evi- 67.203 Restrictions on filing and recording. dencing satisfaction or release. 67.205 Requirement for vessel identification. 67.207 Requirement for date and acknowl- Subpart T—Abstracts of Title, and edgment. Certificates of Ownership 67.209 No original instrument requirement. 67.211 Requirement for citizenship declara- 67.301 Issuance of Abstract of Title. tion. 67.303 Issuance of Certificate of Ownership.

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Subpart U—Special Provisions 67.533 Application for Certificate of Compli- ance. 67.311 Alteration of Certificate of Docu- 67.535 Issuance of Abstract of Title. mentation. 67.537 Issuance of Certificate of Ownership. 67.313 Requirement to have Certificate of 67.539 Copies of instruments and documents. Documentation on board. 67.550 Fee table. 67.315 Requirement to produce Certificate of AUTHORITY: 14 U.S.C. 664; 31 U.S.C. 9701; 42 Documentation. U.S.C. 9118; 46 U.S.C. 2103, 2107, 2110, 12106, 67.317 Requirement to renew endorsements 12120, 12122; 46 U.S.C. app. 841a, 876; Depart- on the Certificate of Documentation. ment of Homeland Security Delegation No. 67.319 Requirement to report change in ves- 0170.1. sel status and surrender Certificate of Documentation. SOURCE: CGD 89–007, CGD 89–007a, 58 FR 67.321 Requirement to report change of ad- 60266, Nov. 15, 1993, unless otherwise noted. dress of managing owner. 67.323 Operation without documentation. Subpart A—General 67.325 Violation of endorsement. 67.327 Operation under Certificate of Docu- § 67.1 Purpose. mentation with invalid endorsement. 67.329 Unauthorized name change. A Certificate of Documentation is re- 67.331 Improper markings. quired for the operation of a vessel in certain trades, serves as evidence of Subpart V—Exception From Fishery En- vessel nationality, and permits a vessel dorsement Requirements Due to Con- to be subject to preferred mortgages. flict With International Agreements § 67.3 Definitions. 67.350 Conflicts with international agreements. The following definitions are for 67.352 Applicability. terms used in this part. Acknowledgment means: Subparts W–X [Reserved] (a) An acknowledgment or notarization in any form which is in substan- Subpart Y—Fees tial compliance with the Uniform Ac- 67.500 Applicability. knowledgments Act, the Uniform Rec- 67.501 Application for Certificate of Docu- ognition of Acknowledgments Act, the mentation. Uniform Law on Notarial Acts, or the 67.503 Application for exchange or replace- statutes of the State within which it is ment of a Certificate of Documentation. taken, made before a notary public or 67.505 Application for return of vessel to other official authorized by a law of a documentation. State or the United States to take ac- 67.507 Application for replacement of lost or knowledgment of deeds; mutilated Certificate of Documentation. 67.509 Application for approval of exchange (b) An acknowledgment or notariza- of Certificate of Documentation requir- tion before a notary or other official ing mortgagee consent. authorized to take acknowledgments of 67.511 Application for trade endorsement(s). deeds by the law of a foreign nation 67.513 Application for evidence of deletion which is a party to the Hague Conven- from documentation. tion Abolishing the Requirement for 67.515 Application for renewal of endorse- Legalisation of Public Documents, 1961, ments. provided that the acknowledgment or 67.517 Application for late renewal. notarization is accompanied by the cer- 67.519 Application for waivers. 67.521 Application for new vessel determina- tificate described in Article 3 of that tion. Convention; or 67.523 Application for wrecked vessel deter- (c) Any attestation which is substan- mination. tially in the following form: 67.525 Application for determination of re- State: build. County: 67.527 Application for filing and recording bills of sale and instruments in the na- On [date] the person(s) named above ac- ture of a bill of sale. knowledged execution of the foregoing in- 67.529 Application for filing and recording strument in their stated capacity(ies) for the mortgages and related instruments. purpose therein contained. 67.531 Application for filing and recording Notary Public notices of claim of lien. My commission expires: [date]

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Captured vessel means a vessel which Federal Government of the United has been taken by citizens of the States for a breach of its laws; or United States during a period of war (3) Which has been seized by the Fed- and is thereafter condemned as a prize eral Government of the United States by a court of competent jurisdiction. for a breach of its laws and which has Certification of Documentation means been sold at an interlocutory sale, the form CG–1270. proceeds of which have been adjudged Citizen, unless expressly provided forfeited by a Federal District Court to otherwise, means a person meeting the the Federal Government of the United applicable citizenship requirements of States. A vessel is considered forfeited subpart C of this part as a United within the meaning of this definition States citizen. even if the proceeds, though adjudged Coastwise trade includes the transpor- forfeited to the United States, do not tation of passengers or merchandise be- actually accrue to the United States. tween points embraced within the Hull means the shell, or outer casing, coastwise laws of the United States. and internal structure below the main Commandant means the Commandant deck which provide both the flotation of the United States Coast Guard. envelope and structural integrity of Documentation officer means the the vessel in its normal operations. In Coast Guard official who is authorized the case of a submersible vessel, the to process and approve applications term includes all structural members made under this part, and record in- of the pressure envelope. struments authorized to be filed and recorded under this part. Manufacturer’s Certificate of Origin Documented vessel means a vessel means a certificate issued under the which is the subject of a valid Certifi- law or regulation of a State, evidencing cate of Documentation. transfer of a vessel from the manufac- Endorsement means an entry which turer as defined in 33 CFR part 181 to may be made on a Certificate of Docu- another person. mentation, and which, except for a rec- National Vessel Documentation Center reational endorsement, is conclusive means the organizational unit des- evidence that a vessel is entitled to en- ignated by the Commandant to process gage in a specified trade. vessel documentation transactions and maintain vessel documentation NOTE: Rulings and interpretations con- records. The address is: National Vessel cerning what activities constitute coastwise Documentation Center, 792 T.J. Jack- trade and the fisheries can be obtained from the U.S. Customs and Border Protection, 799 son Drive, Falling Waters, WV 25419. 9th Street NW., Washington DC 20001 (Cargo Telephone: (800) 799-VDOC (8362). Security, Carriers and Immigration Branch). New vessel means a vessel: Exclusive Economic Zone (EEZ) means (1) The hull and superstructure of the zone established by Presidential which are constructed entirely of new Proclamation Numbered 5030, dated materials; or March 10, 1983 (48 FR 10105, 3 CFR, 1983 (2) Which is constructed using struc- Comp., p. 22). tural parts of an existing vessel, which Fisheries includes processing, storing, parts have been torn down so that they transporting (except in foreign com- are no longer advanced to a degree merce), planting, cultivating, catching, which would commit them to use in taking, or harvesting fish, shellfish, the building of a vessel. marine animals, pearls, shells, or ma- Officer in Charge, Marine Inspection rine vegetation in the navigable waters (OCMI) means the Coast Guard official of the United States or in the Exclu- designated as such by the Com- sive Economic Zone. mandant, under the superintendence Forfeited vessel means a vessel: and direction of a Coast Guard District (1) Which has been adjudged forfeited Commander, who is in charge of an in- by a Federal District Court to the Fed- spection zone in accordance with regu- eral Government of the United States lations set forth in 46 CFR part 1. for a breach of its laws; or Person means an individual; corpora- (2) Which has been forfeited under an tion; partnership; limited liability administrative forfeiture action to the partnership; limited liability company;

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association; joint venture; trust ar- pairs equaling three times the ap- rangement; and the government of the praised salved value of the vessel. United States, a State, or a political [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. subdivision of the United States or a 15, 1993, as amended by CGD 95–014, 60 FR State; and includes a trustee, bene- 31603, June 15, 1995; CGD 94–070, 60 FR 40241, ficiary, receiver, or similar representa- Aug. 7, 1995; CGD 95–012, 60 FR 48050, Sept. 18, tive of any of them. 1995; USCG–1998–4442, 63 FR 52190, Sept. 30, Registration means a certificate of 1998; USCG–2001–8825, 69 FR 5400, Feb. 4, 2004; USCG–2004–18884, 69 FR 58346, Sept. 30, 2004; number issued pursuant to rules in 33 USCG–2005–20258, 71 FR 61417, Oct. 18, 2006; CFR part 173, a record under the mari- USCG–2012–0832, 77 FR 59778, Oct. 1, 2012] time laws of a foreign country, or a certificate issued by a political sub- § 67.5 Vessels eligible for documenta- division of a foreign country. tion. Secretary means the Secretary of Any vessel of at least five net tons Homeland Security. wholly owned by a citizen or citizens of State means a State of the United the United States is eligible for docu- States or a political subdivision there- mentation under this part. This in- of, Guam, Puerto Rico, the Virgin Is- cludes, but is not limited to, vessels lands, American Samoa, the District of used exclusively for recreational pur- Columbia, the Northern Mariana Is- poses and vessels used in foreign trade. lands, and any other territory or pos- § 67.7 Vessels requiring documenta- session of the United States. tion. Superstructure means the main deck Any vessel of at least five net tons and any other structural part above which engages in the fisheries on the the main deck. navigable waters of the United States United States, when used in a geo- or in the Exclusive Economic Zone, or graphic sense means the States of the coastwise trade, unless exempt under United States, Guam, Puerto Rico, the § 67.9(c), must have a Certificate of Doc- Virgin Islands, American Samoa, the umentation bearing a valid endorse- District of Columbia, the Northern ment appropriate for the activity in Mariana Islands, and any other terri- which engaged. tory or possession of the United States, [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. except that for purposes of § 67.19(d)(3) 15, 1993, as amended by USCG–2009–0702, 74 trust territories are not considered to FR 49230, Sept. 25, 2009] be part of the United States. Vessel includes every description of § 67.9 Vessels excluded from or exempt watercraft or other contrivance capa- from documentation. ble of being used as a means of trans- (a) A vessel of less than five net tons portation on water, but does not in- is excluded from documentation. clude aircraft. (b) A vessel which does not operate Wrecked vessel, under the provisions on the navigable waters of the United of 46 U.S.C. app. 14, means a vessel States or in the fisheries in the Exclu- which: sive Economic Zone is exempt from the (1) Has incurred substantial damage requirement to have a Certificate of to its hull or superstructure as a result Documentation. of natural or accidental causes which (c) A non-self-propelled vessel, quali- occurred in the United States or its ad- fied to engage in the coastwise trade is exempt from the requirement to be jacent waters; and documented with a coastwise endorse- (2) Has undergone, in a shipyard in ment when engaged in coastwise trade: the United States or its possessions, re- (1) Within a harbor; (2) On the rivers or lakes (except the Great Lakes) of the United States; or (3) On the internal waters or canals of any State. (d) A vessel exempt from the requirement to be documented by paragraph

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(b) or (c) of this section may be docu- time Administration requirements mented at the option of the owner, pro- found in 46 CFR part 356. vided it meets the other requirements [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. of this part. 15, 1003, as amended by USCG–1999–6095, 65 FR 76575, Dec. 7, 2000] § 67.11 Restriction on transfer of an interest in documented vessels to for- § 67.12 Right of appeal. eign persons; foreign registry or operation. Any person directly affected by a de- (a) Unless approved by the Maritime cision or action taken under this part Administration— by or on behalf of the Coast Guard may (1) A documented vessel or a vessel appeal therefrom in accordance with last documented under the laws of the subpart 1.03 of this chapter. United States may not be placed under § 67.13 Incorporation by reference. foreign registry or operated under the authority of a foreign country. (a) Certain material is incorporated (2) A documented vessel or a vessel by reference into this part with the ap- last documented under the laws of the proval of the Director of the Federal United States owned by a citizen of the Register under 5 U.S.C. 552(a) and 1 United States as defined in section 2 of CFR part 51. To enforce any edition the Shipping Act, 1916 (46 U.S.C. app. other than that specified in paragraph 802), may not be sold, mortgaged, (b) of this section, the Coast Guard leased, chartered, delivered, or other- must publish notice of change in the wise transferred to any person who is FEDERAL REGISTER and the material not a citizen of the United States as must be available to the public. All ap- defined in section 2 of the Shipping proved material may be inspected at Act, 1916 (46 U.S.C. app. 802). the U.S. Coast Guard, National Vessel (b) The restrictions in paragraph Documentation Center, 792 T.J. Jack- (a)(2) of this section do not apply to a son Drive, Falling Waters, WV 25419 vessel that has been operated only as: and is available from the source indi- (1) A fishing vessel, fish processing cated in paragraph (b) of this section or vessel, or fish tender vessel as defined at the National Archives and Records in 46 U.S.C. 2101; Administration (NARA). For informa- (2) A recreational vessel; or tion on the availability of this mate- (3) Both. rial at NARA, call 202–741–6030, or go to: http://www.archives.gov/ NOTE: For purposes of carrying out its re- federallregister/ sponsibilities under the provisions of this codeloflfederallregulations/ part only, the Coast Guard will deem a vessel which has been documented exclusively with ibrllocations.html. a fishery or recreational endorsement or (b) The material approved for incor- both from the time it was first documented, poration by reference in this part and or for a period of not less than one year prior the section affected is as follows: to foreign transfer or registry, to qualify for the exemption granted in paragraph (b) of U.S. Department of Commerce, National this section. Technical Information Service, Spring- field, VA 22181 (c) The exemption in paragraph (b) of Federal Information Processing Standards this section does not relieve all vessels Publication 55DC, Guideline: Codes For from meeting the fishery endorsement Named Populated Places, Primary County requirements of this part. If your ves- Divisions, And Other Locational Entities sel is less than 100 feet in length and is of the United States and Outlying Areas a fishing vessel, fish processing vessel, (1987)—67.119 or fish tender vessel as defined in 46 [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. U.S.C. 2101, you must meet the fishery 15, 1993, as amended by CGD 95–070, 60 FR endorsement requirements set out in 40241, Aug. 7, 1995; USCG–2004–18884, 69 FR this part. Each vessel 100 feet and 58346, Sept. 30, 2004] greater in length applying for a fishery endorsement is regulated by the Mari-

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§ 67.14 OMB control numbers assigned determines the endorsement under which it pursuant to the Paperwork Reduc- is operating. tion Act. [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. (a) Purpose. This section collects and 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended by CGD 95–014, 60 FR 31604, June 15, 1995; displays the control numbers assigned USCG–1999–6216, 64 FR 53225, Oct. 1, 1999; to information collection and record- USCG–2009–0702, 74 FR 49230, Sept. 25, 2009] keeping requirements in this subchapter by the Office of Management § 67.17 Registry endorsement. and Budget (OMB) pursuant to the Pa- (a) A registry endorsement entitles a perwork Reduction Act of 1980 (44 vessel to employment in the foreign U.S.C. 3501 et seq.). The Coast Guard in- trade; trade with Guam, American tends that this section comply with the Samoa, Wake, Midway, or Kingman requirements of 44 U.S.C. 3507(f) which Reef; and any other employment for requires that agencies display a cur- which a coastwise, or fishery endorse- rent control number assigned by the ment is not required. Director of the OMB for each approved (b) Any vessel eligible for docu- agency information collection require- mentation under § 67.5 is eligible for a ment. registry endorsement. (b) Display. (c) A vessel otherwise eligible for a registry endorsement for which the Maritime Administration has not given 46 CFR part or section where identified or de- Current OMB control approval for unrestricted transfer pur- scribed No. suant to 46 CFR part 221 loses that eli- Part 67 ...... 1625–0027 gibility during any period in which it is Part 68 ...... 1625–0027 mortgaged to a person not identified in § 67.233(b). [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. 15, 1993, as amended by USCG–2004–18884, 69 15, 1993, as amended by USCG–2009–0702, 74 FR 58346, Sept. 30, 2004] FR 49230, Sept. 25, 2009] Subpart B—Forms of Documenta- § 67.19 Coastwise endorsement. tion; Endorsements; Eligibility (a) A coastwise endorsement entitles of Vessel a vessel to employment in unrestricted coastwise trade, dredging, towing, and § 67.15 Form of document—all endorse- any other employment for which a reg- ments. istry or fishery endorsement is not required. (a) The form of document is a Certifi- (b) If eligible for documentation and cate of Documentation, form CG–1270. not restricted from coastwise trade by (b) Upon application in accordance paragraph (c) or (d) of this section, the with subpart K of this part and deter- following vessels are eligible for a mination of qualification by the Direc- coastwise endorsement: tor, National Vessel Documentation (1) Vessels built in the United States Center, a Certificate of Documentation (§ 67.97); may be issued with a registry, coast- (2) Forfeited vessels (§ 67.131); wise, fishery, or recreational endorse- (3) Vessels granted coastwise trading ment. privileges by special legislation (c) A Certificate of Documentation (§ 67.132); may bear simultaneous endorsements (4) Wrecked vessels (§ 67.133); for recreation and more than one trade, (5) Captured vessels (§ 67.134); and including operation under 46 CFR part (6) Vessels purchased, chartered, or 68. leased from the Secretary of Transpor- tation by persons who are citizens of NOTE: Where a vessel possesses a Certifi- the United States (46 U.S.C. app. 808). cate of Documentation bearing more than (c) A vessel otherwise eligible for a one endorsement, the actual use of the vessel coastwise endorsement under paragraph (b) of this section permanently loses that eligibility if:

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(1) It is thereafter sold in whole or in lowing vessels are eligible for a fishery part to an owner: endorsement: (i) Not a citizen as defined in subpart (1) Vessels built in the United States C of this part, or (§ 67.97); (ii) Not a person permitted to docu- (2) Forfeited vessels (§ 67.131); ment vessels pursuant to 46 CFR part (3) Vessels granted fisheries privi- 68; leges by special legislation(§ 67.132); (2) It is thereafter registered under (4) Wrecked vessels (§ 67.133); and the laws of a foreign country; (5) Captured vessels (§ 67.134). (3) It undergoes rebuilding as defined (c) A vessel otherwise eligible for a in § 67.177 outside of the United States; fishery endorsement under paragraph or (b) of this section permanently loses (4) It is a crude oil tanker of 20,000 that eligibility if it undergoes rebuild- deadweight tons or above, and after Oc- ing as defined in § 67.177 outside of the tober 17, 1978, has segregated ballast United States. tanks, a crude oil washing system, or (d) A vessel otherwise eligible for a an inert gas system installed outside of fishery endorsement under paragraph the United States as defined in § 67.3. (b) of this section loses that eligibility (d) A vessel otherwise eligible for a during any period in which it is: coastwise endorsement under para- (1) Owned by a partnership which graph (b) of this section loses that eli- does not meet the requisite citizenship gibility, except as provided in para- requirements of § 67.35(b); graph (e) of this section, during any pe- (2) Owned by a corporation which riod in which it is: does not meet the citizenship require- (1) Owned by a corporation which ments of § 67.39(b); or does not meet the citizenship require- (3) Chartered or leased to an indi- ments of § 67.39(c); vidual who is not a citizen of the (2) Owned by a partnership which United States or to an entity that is does not meet the citizenship require- not eligible to own a vessel with a fish- ments of § 67.35(a); or ery endorsement, except that time (3) Mortgaged to a person not identi- charters, voyage charters and other fied in § 67.233(b). charters that are not a demise of the (e) The restriction imposed by para- vessel may be entered into with Non- graph (d)(2) of this section does not Citizens for the charter of dedicated apply to any vessel for which the Mari- Fish Tender Vessels and Fish Proc- time Administration has given ap- essing Vessels that are not engaged in proval for unrestricted transfer pursu- the harvesting of fish or fishery re- ant to regulations set forth in 46 CFR sources without the vessel losing its part 221. eligibility for a fishery endorsement. (e) A vessel operating with a fishery [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended endorsement on October 1, 1998, under by CGD 94–008, 59 FR 49846, Sept. 30, 1994; the authority of the Western Pacific CGD 94–040, 61 FR 17815, Apr. 22, 1996; USCG– Fishery Management Council, or a 2002–13058, 67 FR 61278, Sept. 30, 2002; USCG– purse seine vessel engaged in tuna fish- 2009–0702, 74 FR 49230, Sept. 25, 2009] ing outside of the EEZ of the United States or pursuant to the South Pacific § 67.21 Fishery endorsement. Regional Fisheries Treaty may con- (a) A fishery endorsement entitles a tinue to operate as set out in 46 U.S.C. vessel to employment in the fisheries 12102(c)(5), provided that the owner of as defined in § 67.3, subject to Federal the vessel continues to comply with and State laws regulating the fisheries, the fishery endorsement requirements and in any other employment for which that were in effect on October 1, 1998. a registry or coastwise endorsement is (f) An individual or entity that is not required. A fishery endorsement otherwise eligible to own a vessel with entitles a vessel to land its catch, a fishery endorsement shall be ineli- wherever caught, in the United States. gible if an instrument or evidence of (b) If eligible for documentation and indebtedness, secured by a mortgage of not restricted from the fisheries by the vessel, to a trustee eligible to own paragraph (c) of this section, the fol- a vessel with a fishery endorsement is

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issued, assigned, transferred, or held in Subpart C—Citizenship Require- trust for a person not eligible to own a ments for Vessel Documenta- vessel with a fishery endorsement, un- tion less the Commandant determines that the issuance, assignment, transfer, or § 67.30 Requirement for citizen owner. trust arrangement does not result in an Certificates of Documentation may impermissible transfer of control of the be issued under this part only to ves- vessel and that the trustee: sels which are wholly owned by United (1) Is organized as a corporation that States citizens. Pursuant to extraor- meets § 67.39(b) of this part, and is dinary legislation at 46 U.S.C. app. 883– doing business under the laws of the 1 (Bowater Amendment) and 46 U.S.C. United States or of a State; 12106(d) (Oil Pollution Act of 1990), Cer- (2) Is authorized under those laws to tificates of Documentation with lim- exercise corporate trust powers which ited endorsements may be issued in ac- meet § 67.36(b) of this part; cordance with part 68 of this chapter to (3) Is subject to supervision or exam- vessels owned by certain persons who are not citizens as defined in this part. ination by an official of the United States Government or a State; § 67.31 Stock or equity interest re- (4) Has a combined capital and sur- quirements. plus (as stated in its most recent pub- (a) The stock or equity interest re- lished report of condition) of at least quirements for citizenship under this $3,000,000; and subpart encompass: title to all classes (5) Meets any other requirements pre- of stock; title to voting stock; and scribed by the Commandant. ownership of equity. An otherwise For vessels greater than or equal to qualifying corporation or partnership 100 feet in length, approval of such an may fail to meet stock or equity inter- arrangement from the Maritime Ad- est requirements because: Stock is sub- ministration will be accepted as evi- ject to trust or fiduciary obligations in dence that the above conditions are favor of non-citizens; non-citizens exer- met and will be approved by the Com- cise, directly or indirectly, voting mandant. For vessels less than 100 feet, power; or non-citizens, by any means, exercise control over the entity. The a standard loan and mortgage agree- applicable stock or equity interest re- ment that has received general ap- quirement is not met if the amount of proval under 46 CFR 356.21 will be ac- stock subject to obligations in favor of cepted as evidence that the above con- non-citizens, non-citizen voting power, ditions are met and will be approved by or non-citizen control exceeds the per- the Commandant. centage of the non-citizen interest per- [CGD 89–007, CGD 89–007A, 58 FR 60266, Nov. mitted. 15, 1993, as amended by CGD 94–040, 61 FR (b) For the purpose of stock or equity 17815, Apr. 22, 1996; USCG–1999–6095, 65 FR interest requirements for citizenship 76575, Dec. 7, 2000; USCG–2009–0702, 74 FR under this subpart, control of non-fish- 49230, Sept. 25, 2009] ing industry vessels includes an abso- lute right to: Direct corporate or part- § 67.23 Recreational endorsement. nership business; limit the actions of (a) A recreational endorsement enti- or replace the chief executive officer, a majority of the board of directors, or tles a vessel to pleasure use only. any general partner; direct the transfer (b) Any vessel eligible for docu- or operations of any vessel owned by mentation under § 67.5 is eligible for a the corporation or partnership; or oth- recreational endorsement. erwise exercise authority over the busi- NOTE: A vessel having a Certificate of Doc- ness of the corporation or partnership. umentation endorsed only for recreation Control does not include the right to may be bareboat chartered only for rec- simply participate in these activities reational use. Guidance on the elements of a or the right to receive a financial re- valid bareboat charter should be obtained turn, e.g., interest or the equivalent of through private legal counsel. interest on a loan or other financing obligations.

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(c) For the purpose of this section, sel qualifies under § 68.60 or § 68.105 of control of a fishing industry vessel this chapter. means having: [CGD 94–008, 59 FR 49846, Sept. 30, 1994, as (1) The right to direct the business of amended by USCG–1999–6095, 65 FR 76575, the entity that owns the vessel; Dec. 7, 2000; USCG–2001–8825, 69 FR 5401, Feb. (2) The right to limit the actions of 4, 2004; USCG–2005–20258, 71 FR 61417, Oct. 18, or to replace the chief executive offi- 2006; USCG–2009–0702, 74 FR 49230, Sept. 25, 2009] cer, the majority of the board of directors, any general partner, or any per- § 67.36 Trust. son serving in a management capacity (a) For the purpose of obtaining a of the entity that owns the vessel; registry or recreational endorsement, a (3) The right to direct the transfer, trust arrangement meets citizenship the operation, or the manning of a ves- requirements if: sel with a fishery endorsement. (1) Each of its trustees is a citizen; (d) For purposes of meeting the stock and or equity interest requirements for (2) Each beneficiary with an enforce- citizenship under this subpart where able interest in the trust is a citizen. title to a vessel is held by an entity (b) For the purpose of obtaining a comprised, in whole or in part, of other fishery endorsement, a trust arrange- entities which are not individuals, each ment meets citizenship requirements entity contributing to the stock or eq- if: uity interest qualifications of the enti- (1) It meets all the requirements of paragraph (a) of this section; and ty holding title must be a citizen eligi- (2) At least 75 percent of the equity ble to document vessels in its own interest in the trust, at each tier of the right with the trade endorsement trust and in the aggregate, is owned by sought. citizens. [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. (c) For the purpose of obtaining a 15, 1003, as amended by USCG–1999–6095, 65 coastwise endorsement a trust arrange- FR 76575, Dec. 7, 2000; USCG–2004–18884, 69 FR ment meets citizenship requirements 58346, Sept. 30, 2004] if: (1) It meets the requirements of para- § 67.33 Individual. graph (a) of this section and at least 75 An individual is a citizen if native- percent of the equity interest in the born, naturalized, or a derivative cit- trust is owned by citizens; or izen of the United States, or otherwise (2) It meets the requirements of qualifies as a United States citizen. § 68.60 or § 68.105 of this chapter. [CGD 94–008, 59 FR 49846, Sept. 30, 1994, as § 67.35 Partnership. amended by USCG–1999–6095, 65 FR 76576, A partnership meets citizenship re- Dec. 7, 2000; USCG–2001–8825, 69 FR 5401, Feb. 4, 2004; USCG–2005–20258, 71 FR 61417, Oct. 18, quirements if all its general partners 2006; USCG–2009–0702, 74 FR 49230, Sept. 25, are citizens, and: 2009] (a) For the purpose of obtaining a registry or recreational endorsement, § 67.37 Association or joint venture. at least 50 percent of the equity inter- (a) An association meets citizenship est in the partnership is owned by citi- requirements if each of its members is zens. a citizen. (b) For the purpose of obtaining a (b) A joint venture meets citizenship fishery endorsement, at least 75 per- requirements if each of its members is cent of the equity interest in the part- a citizen. nership, at each tier of the partnership [USCG–1999–6095, 65 FR 76576, Dec. 7, 2000] and in the aggregate, is owned by citizens. § 67.39 Corporation. (c) For the purpose of obtaining a (a) For the purpose of obtaining a coastwise endorsement at least 75 per- registry or a recreational endorsement, cent of the equity interest in the part- a corporation meets citizenship re- nership is owned by citizens or the ves- quirements if:

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(1) It is incorporated under the laws tion that the applicant is a United of the United States or of a State; States citizen. (2) Its chief executive officer, by [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. whatever title, is a citizen; 15, 1993; 58 FR 65131, Dec. 13, 1993] (3) Its chairman of the board of directors is a citizen; and § 67.47 Requirement for Maritime Ad- (4) No more of its directors are non- ministration approval. citizens than a minority of the number (a) The following transactions, necessary to constitute a quorum. among others, require approval of the (b) For the purpose of obtaining a Maritime Administration in accord- fishery endorsement, a corporation ance with 46 CFR part 221: (1) Placement of the vessel under for- meets citizenship requirements if: eign registry; (1) It meets all the requirements of (2) Operation of the vessel under the paragraph (a) of this section; and authority of a foreign country; and (2) At least 75 percent of the stock in- (3) Sale or transfer of an interest in terest in the corporation, at each tier or control of the vessel from a citizen, of the corporation and in the aggre- as defined in section 2 of the Shipping gate, is owned by citizens. Act, 1916 (46 U.S.C. app. 802), to a per- (c) For the purpose of obtaining a son not a citizen within the meaning of coastwise endorsement a corporation section 2 of that act. meets citizenship requirements if: (b) A Certificate of Documentation (1) It meets the requirements of para- may not be issued for a vessel which graph (a) of this section and at least 75 subsequent to the last issuance of a percent of the stock interest in the cor- Certificate of Documentation has un- poration is owned by citizens; or dergone any transaction listed in paragraph (a) of this section, even if the (2) It meets the requirements of owner meets the citizenship require- § 68.60 or § 68.105 of this chapter. ments of this subpart, unless evidence (d) A corporation which does not is provided that the Maritime Adminis- meet the stock interest requirement of tration approved the transaction. paragraph (c) of this section may qual- (c) The restriction imposed by para- ify for limited coastwise trading privi- graph (b) of this section does not apply leges by meeting the requirements of to a vessel identified in § 67.11(b). part 68 of this chapter. [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. Subpart D—Title Requirements for 15, 1993, as amended by CGD 94–008, 59 FR Vessel Documentation 49847, Sept. 30, 1994; USCG–1999–6095, 65 FR 76576, Dec. 7, 2000; USCG–2001–8825, 69 FR 5401, § 67.50 Requirement for title evidence. Feb. 4, 2004; USCG–2005–20258, 71 FR 61417, The owner of a vessel must present Oct. 18, 2006; USCG–2009–0702, 74 FR 49230, title evidence in accordance with one Sept. 25, 2009] of the methods specified in this subpart: § 67.41 Governmental entity. (a) When application is made for a A governmental entity is a citizen coastwise endorsement for a vessel for the purpose of obtaining a vessel which has not previously been qualified document if it is an entity of the Fed- for such endorsement; eral Government of the United States (b) For initial documentation of a or of the government of a State as de- vessel; fined in § 67.3. (c) When the ownership of a documented vessel changes in whole or in § 67.43 Evidence of citizenship. part; (d) When the general partners of a When received by the Coast Guard, a partnership owning a documented ves- properly completed original Applica- sel change by addition, deletion, or tion for Initial Issue, Exchange, or Re- substitution, without dissolution of the placement of Certificate of Documenta- partnership; or tion; or Redocumentation (form CG– (e) When a vessel which has been de- 1258) establishes a rebuttable presump- leted from documentation is returned

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to documentation and there has been eign country since it was last docu- an intervening change in ownership. mented under the laws of the United States. [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. 15, 1993, as amended by USCG–2009–0702, 74 § 67.57 Extent of title evidence re- FR 49230, Sept. 25, 2009] quired for initial documentation. § 67.53 Methods of establishing title. (a) Vessels never registered under Title to a vessel may be established any system: through one of the following methods: (1) Where a coastwise endorsement is (a) Simplified method without evidence sought, the only title evidence required of build. The owner must produce a for a vessel being documented by the copy of the last registration of the ves- owner for whom it was built is the cer- sel (State, Federal, or foreign) and evi- tification of the builder (form CG–1261) dence which establishes chain of title described in § 67.99. Any other applicant from that registration to the present must present title evidence in accord- owner. ance with § 67.53(d). (b) Simplified method with evidence of (2) Where a fishery endorsement is sought, the only title evidence required build. The owner must produce a copy for a vessel being documented by the of the last registration of the vessel owner for whom it was built is the cer- (State, Federal, or foreign) and evi- tification of the builder (form CG–1261) dence which establishes chain of title described in § 67.99. Any other applicant from that registration to the present must present title evidence in accord- owner along with evidence of the facts ance with either paragraph (c) or (d) of of build in accordance with subpart F § 67.53. of this part. (3) Where a registry or recreational (c) Complete chain of title, without evi- endorsement is sought, the only title dence of citizenship for each entity in that evidence required for a vessel being chain of title. The owner must provide documented by the first owner of the evidence which establishes: vessel is the certification of the builder (1) The facts of build in accordance (form CG–1261) described in § 67.99, or a with subpart F of this part; and Manufacturer’s Certificate of Origin. (2) A complete chain of title for the Any other applicant must also present vessel from the person for whom the title evidence in accordance with ei- vessel was built to the present owner. ther paragraph (c)(2) or (d)(2) of § 67.53. (d) Complete chain of title, with evidence of citizenship for each entity in that NOTE: Manufacturer’s Certificates of Ori- chain of title. The owner must provide gin are sometimes used as shipping docu- evidence which establishes: ments for vessels, and may recite as the first (1) The facts of build in accordance owner a person other than the person for with subpart F of this part; and which the vessel was built. Therefore, a chain of title which begins with a Certificate (2) A complete chain of title for the of Origin will be deemed incomplete. vessel from the person for whom the vessel was built to the present owner, (b) Vessels previously registered accompanied by competent and persua- under the laws of a State or a foreign sive evidence establishing the citizen- government: ship of each entity in the chain of title. (1) Where a coastwise endorsement is sought, title evidence must be pre- § 67.55 Requirement for removal from sented in accordance with § 67.53(d). foreign registry. (2) Where a fishery endorsement is The owner of a vessel must present sought, title evidence must be pre- evidence of removal of the vessel from sented in accordance with paragraph foreign registry whenever: (b), (c), or (d) of § 67.53. (a) The owner applies for initial doc- (3) Where a registry or recreational umentation of a vessel that has at any endorsement is sought, title evidence time been registered under the laws of must be presented in accordance with a foreign country; or paragraph (a), (b), (c), or (d) of § 67.53. (b) The owner applies for reentry into [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. documentation of a vessel that had 15, 1993, as amended by USCG–2009–0702, 74 been registered under the laws of a for- FR 49230, Sept. 25, 2009]

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§ 67.59 Extent of title evidence re- from the last owner under foreign reg- quired for change in ownership of a istry. No citizenship evidence need be documented vessel. provided for owners in that chain of When the ownership of a documented title. vessel changes, in whole or in part, the (c) The owner of a vessel identified in applicant for documentation must § 67.11(b) or for which the Maritime Ad- present: ministration has granted approval for (a) Title evidence in accordance with transfer or sale, either by written order subpart E of this part to reflect all or by general approval in 46 CFR part ownership changes subsequent to the 221, and which was under a State or last issuance of a Certificate of Docu- Federal registration or titling system, mentation; and must provide a copy of the last reg- (b) Where a registry, fishery, or rec- istration or title, the evidence of re- reational endorsement is sought, evi- moval from foreign registry required dence of the citizenship of all owners by § 67.55, if applicable, and evidence es- subsequent to the last owner for whom tablishing the complete chain of title the vessel was documented except for a from the last owner under such reg- vessel: istry or title. No citizenship evidence (1) Identified in § 67.11(b); or need be provided for owners in that (2) For which the Maritime Adminis- chain of title. tration has granted approval for trans- NOTE: Although vessels returned to docu- fer or sale under 46 CFR part 221. mentation without a complete chain of title (c) Where a coastwise endorsement is are not eligible for a coastwise endorsement, sought, evidence establishing the citi- this does not preclude such an endorsement zenship of all owners subsequent to the if the chain of title, with citizenship evi- last owner for whom the vessel was dence, is completed at a later date. documented with a coastwise endorse- [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. ment, if such evidence is not already 15, 1993, as amended by USCG–2009–0702, 74 on file with the Coast Guard. If the ves- FR 49230, Sept. 25, 2009] sel has never been documented with a coastwise endorsement, evidence must § 67.63 Extent of title evidence re- be presented to establish the citizen- quired for captured, forfeited, spe- ship of each owner of the vessel for cial legislation, and wrecked ves- whom such evidence is not already on sels. file with the Coast Guard. (a) In the case of a captured or forfeited vessel, the owner must provide [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. 15, 1993, as amended by USCG–2009–0702, 74 evidence establishing the chain of title FR 49230, Sept. 25, 2009] from the judicial decree of capture or decree of forfeiture, or the evidence of § 67.61 Extent of title evidence re- administrative forfeiture described in quired for vessels returning to doc- § 67.131(b). Citizenship evidence for all umentation. owners in the chain of title is required (a) When the owner of a vessel which only if a coastwise endorsement is has been deleted from documentation sought. applies to have the vessel returned to (b) In the case of a vessel which is the documentation, the owner must, except subject of special legislation or a as provided in paragraphs (b) and (c) of wrecked vessel, the owner must pro- this section, provide evidence estab- vide: lishing the complete chain of title from (1) For initial documentation of a the last owner under documentation, vessel or return to documentation of a and citizenship evidence for all owners vessel deleted from documentation, a in that chain of title. copy of the last Federal, State, or for- (b) When a vessel is returned to docu- eign registration, the evidence of re- mentation after having been under for- moval from foreign registry required eign registry, the owner must provide a by § 67.55, if applicable, and evidence es- copy of the last foreign registry, the tablishing the chain of title from the evidence of removal from foreign reg- last registration. If a coastwise en- istry required by § 67.55, and evidence dorsement is sought, the owner must establishing the complete chain of title present citizenship evidence for all

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owners in the chain of title from the (b) The bill of sale form used may be grant of special legislation or the de- form CG–1340 or form CG–1356, as ap- termination by the Director, National propriate. Vessel Documentation Center that the (c) An applicant for documentation vessel is eligible for documentation who cannot produce required title evi- under 46 U.S.C. app. 14. dence in the form of an instrument eli- (2) For a documented vessel, the title gible for filing and recording in accord- evidence reflecting all ownership ance with subpart P of this part may changes subsequent to the last docu- apply for a waiver of that requirement mented owner of record. In addition, in accordance with the provisions of unless the vessel qualifies for exemp- § 67.89. tion under § 67.11(b) or the vessel is the subject of Maritime Administration ap- § 67.77 Passage of title by court action. proval for unrestricted transfer, citi- (a) When title to a vessel has passed zenship evidence must be presented for by court action, that passage must be all owners in that chain of title. established by copies of the relevant court order(s) certified by an official of [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. the court. 15, 1993, 58 FR 65131, Dec. 13, 1993, as amended (b) When authority to transfer a ves- by CGD 95–014, 60 FR 31604, June 15, 1995; sel has been conferred by court action, USCG–1998–4442, 63 FR 52191, Sept. 30, 1998; USCG–2009–0702, 74 FR 49230, Sept. 25, 2009] that authority must be established by copies of the relevant court order(s) certified by an official of the court. Subpart E—Acceptable Title Evidence; Waiver § 67.79 Passage of title without court action following death of owner. § 67.70 Original owner. (a) When title to a vessel formerly The builder’s certification described owned in whole or in part by an indi- in § 67.99 serves as evidence of the origi- vidual now deceased passes without nal owner’s title to a vessel. court action, an applicant for documentation must present: § 67.73 Transfers prior to documenta- (1) When title passes to a surviving tion. joint tenant or tenants or to a tenant A transfer of vessel title prior to doc- by the entirety, a copy of the death umentation may be evidenced by: certificate, certified by an appropriate (a) Completion of the transfer infor- State official; or mation on the reverse of the builder’s (2) Where the laws of cognizant juris- certification on form CG–1261; diction permit passage of title without court action, evidence of compliance (b) Completion of the transfer infor- with applicable State law. mation on the reverse of the Manufac- (b) Passage of title subsequent to turer’s Certificate of Origin; or devolutions such as those described in (c) A bill of sale which meets the cri- paragraph (a) of this section, must be teria for filing and recording set forth established in accordance with the re- in subpart P of this part. mainder of this subpart.

§ 67.75 Transfers by sale or donation § 67.81 Passage of title in conjunction subsequent to documentation. with a corporate merger or similar (a) Except as otherwise provided in transaction. this subpart, transfers of vessel title When the title to a vessel has passed must be evidenced by a bill of sale as the result of a corporate merger or which meets the criteria for filing and similar transaction wherein the assets recording set forth in subpart P of this of one corporation have been trans- part. Except as otherwise provided in ferred to another, the passage of title subpart O of this part, each bill of sale must be established by: must be accompanied by a declaration (a) Materials, such as a resolution of of citizenship from the new owner, exe- the board of directors or shareholders cuted on the appropriate Maritime Ad- of the corporation which held title to ministration form described in § 67.211. the vessel before the transaction,

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which either unequivocally transfers § 67.89 Waiver of production of a bill all of the assets of the corporation or of sale eligible for filing and record- which specifically identifies the vessel ing. as being among the assets transferred; (a) When the evidence of title passage and required by this subpart is a bill of sale (b) In jurisdictions where there is an which meets the criteria for filing and official recognition of corporate merg- recording set forth in subpart P of this ers and similar transactions, a copy of such official recognition certified by part, and the applicant is unable to the cognizant official of that jurisdic- produce a bill of sale meeting those cri- tion. teria, the applicant may request that the Director, National Vessel Docu- § 67.83 Passage of title by extra-judi- mentation Center waive that require- cial repossession and sale. ment. When title to a documented vessel (b) No waiver of the requirement to has passed by reason of an extra-judi- produce a bill of sale eligible for filing cial repossession and sale, such passage and recording may be granted unless must be established by: the applicant provides: (a) A copy of the instrument under (1) A written statement detailing the which foreclosure was made; reasons why an instrument meeting (b) An affidavit from the foreclosing the filing and recording criteria of this party setting forth the reasons for fore- part cannot be obtained; and closure, the chronology of foreclosure, (2) Competent and persuasive evi- the statute(s) under which foreclosure dence of the passage of title. was made, and the steps taken to comply with the relevant instrument and [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. statute(s); 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended (c) Evidence of substantial compli- by CGD 95–014, 60 FR 31604, June 15, 1995; ance with the relevant instrument and USCG–1998–4442, 63 FR 52191, Sept. 30, 1998] statute(s); and (d) A bill of sale which meets the cri- § 67.91 Passage of title pursuant to operation of State law. teria for filing and recording set forth in subpart P of this part from the fore- When title to a documented vessel closing party as agent for the default- has passed by operation of State law ing owner(s). for reasons other than those specified in this subpart, such passage must be § 67.85 Change in general partners of established by: partnership. (a) A copy of the statute permitting When the general partners of a part- transfer of title to the vessel and set- nership owning a documented vessel ting forth procedures to be followed in change by addition, deletion, or substi- disposing of the vessel; tution without dissolution of the part- (b) An affidavit from the party acting nership, the change must be estab- against the vessel, setting forth the lished by a written statement from a basis for selling the vessel, and the surviving general partner detailing the steps taken to comply with the re- nature of the change. quirements of the statute under which § 67.87 Change of legal name of owner. title passes; (c) Evidence of substantial compli- (a) When the name of a corporation ance with the relevant statute(s); and which owns a documented vessel changes, the corporation must present (d) A bill of sale which meets the cri- certification from the appropriate gov- teria for filing and recording set forth ernmental agency evidencing registra- in subpart P of this part from the act- tion of the name change. ing party as agent for the owner(s) of (b) When the name of an individual record. who owns a documented vessel changes NOTE: State law authorizing a marina to for any reason, competent and persua- dispose of abandoned vessels is an example of sive evidence establishing the change passage of title by operation of law con- must be provided. templated by § 67.91.

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Subpart F—Build Requirements for (b) No waiver of the requirement in Vessel Documentation § 67.99 to produce evidence of build may be granted unless the applicant pro- § 67.95 Requirement for determina- vides: tion. (1) A written request for the waiver, Evidence that a vessel was built in explaining why the evidence required the United States must be on file for by § 67.99 cannot be furnished; and any vessel for which a coastwise or (2) Competent and persuasive evi- fishery endorsement is sought, unless dence of the facts of build. the vessel is otherwise qualified for [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. those endorsements under subpart J of 15, 1993, 58 FR 65131, Dec. 13, 1993, as amended this part. by CGD 95–014, 60 FR 31604, June 15, 1995; [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. USCG–1998–4442, 63 FR 52190, Sept. 30, 1998] 15, 1993, as amended by USCG–2009–0702, 74 FR 49230, Sept. 25, 2009] Subpart G—Tonnage and Dimen- § 67.97 United States built. sion Requirements for Vessel Documentation To be considered built in the United States a vessel must meet both of the § 67.105 Requirement for determina- following criteria: tion. (a) All major components of its hull The gross and net tonnage and di- and superstructure are fabricated in mensions of a vessel must be deter- the United States; and mined: (b) The vessel is assembled entirely in the United States. (a) For initial documentation; (b) Whenever there is a change in the § 67.99 Evidence of build. gross or net tonnage or dimensions of a documented vessel; or (a) Evidence of the facts of build may be either a completed original form (c) When the gross or net tonnage of CG–1261, or other original document a vessel returning to documentation containing the same information, exe- has changed since the vessel was last cuted by a person having personal documented. knowledge of the facts of build because that person: § 67.107 System of measurement; evi- (1) Constructed the vessel; dence. (2) Supervised the actual construc- (a) The gross and net tonnage and dition of the vessel; or mensions of a vessel for purposes of (3) Is an officer or employee of the this part are determined in accordance company which built the vessel and has with 46 CFR part 69. examined the records of the company (b) A certificate of measurement concerning the facts of build of the ves- issued by an authorized official is the sel. only acceptable evidence of the gross (b) A vessel owner applying for docu- and net tonnage of a vessel measured mentation must file a separate certifi- in accordance with subpart B, C, or D cate from each builder involved in the of 46 CFR part 69. A certificate of construction of the vessel. measurement is not issued for vessels (c) A Manufacturer’s Certificate of measured under subpart E of 46 CFR Origin is not evidence of the facts of part 69 since the gross and net tonnage build. are determined as part of the documentation process. § 67.101 Waiver of evidence of build. (a) A vessel owner applying for docu- [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. mentation unable to obtain the evi- 15, 1003, as amended by USCG–2001–10224, 66 FR 48620, Sept. 21, 2001] dence of build required by § 67.99 may apply for a waiver of that requirement to the Director, National Vessel Docu- mentation Center.

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Subpart H—Assignments and Des- (i) In the State under whose laws it is ignations Required for Vessel organized; or Documentation (ii) Of its principal place of business. (3) For a corporation, its address: § 67.111 Assignment of official number. (i) For service of process within the State of incorporation; or (a) The owner of a vessel must sub- (ii) Of its principal place of business. mit an Application for Initial Issue, (e) Whenever the address of the man- Exchange, or Replacement of Certifi- aging owner changes, the managing cate of Documentation; or Redocu- owner shall notify the Director, Na- mentation (form CG–1258) to the Direc- tional Vessel Documentation Center tor, National Vessel Documentation within 10 days. Center, to apply for an official number for the vessel when: [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. (1) Application is made for initial 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended documentation of the vessel; or by CGD 95–014, 60 FR 31604, June 15, 1995; (2) An existing vessel has been sev- USCG–1998–4442, 63 FR 52190, Sept. 30, 1998] ered, with two or more vessels result- § 67.117 Vessel name designation. ing. In this case, the official number of the original vessel is retired and the (a) The owner of a vessel must des- owner of each resulting vessel must ignate a name for the vessel on the Ap- apply for designation of a new official plication for Initial Issue, Exchange, or number. Replacement of Certificate of Docu- (b) Upon receipt of form CG–1258, the mentation; or Redocumentation (form Director, National Vessel Documenta- CG–1258) submitted to the Director, Na- tion Center will have an official num- tional Vessel Documentation Center: ber assigned to the vessel and furnish (1) Upon application for initial docu- it to the vessel owner. mentation of the vessel; or (2) When the owner elects to change [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. the name of the vessel. 15, 1993, 58 FR 65131, Dec. 13, 1993, as amended (b) The name designated: by CGD 95–014, 60 FR 31604, June 15, 1995; USCG–1998–4442, 63 FR 52190, Sept. 30, 1998] (1) Must be composed of letters of the Latin alphabet or Arabic or Roman nu- § 67.113 Managing owner designation; merals; address; requirement to report (2) May not be identical, actually or change of address. phonetically, to any word or words The owner of each vessel must des- used to solicit assistance at sea; and ignate a managing owner on the Appli- (3) May not contain nor be phoneti- cation for Initial Issue, Exchange, or cally identical to obscene, indecent, or Replacement of Certificate of Docu- profane language, or to racial or ethnic mentation; or Redocumentation (CG– epithets. 1258). (c) The name of a documented vessel (a) The managing owner of a vessel may not be changed without the prior owned by one person is the owner of approval of the Director, National Ves- the vessel. sel Documentation Center. (b) The managing owner of a vessel (d) Until such time as the owner of a owned by more than one person must vessel elects to change the name of a be one of the owners. The person des- vessel, the provisions of paragraph (b) ignated as managing owner must have of this section do not apply to vessels an address in the United States except validly documented before January 1, where no owner of the vessel has an ad- 1994. dress in the United States. [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. (c) The managing owner of a vessel 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended owned in a trust arrangement must be by CGD 95–014, 60 FR 31604, June 15, 1995; one of the trustees. USCG–1998–4442, 63 FR 52191, Sept. 30, 1998] (d) The address of the managing owner must be as follows: § 67.119 Hailing port designation. (1) For an individual, any residence (a) Upon application for any Certifi- of the managing owner. cate of Documentation in accordance (2) For a partnership, its address: with subpart K of this part, the owner

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of a vessel must designate a hailing and the stern of the vessel. The hailing port to be marked upon the vessel. port of the vessel must be marked on (b) The hailing port must be a place some clearly visible exterior part of in the United States included in the the stern of the vessel. U.S. Department of Commerce’s Fed- (b) Vessels with square bow. For ves- eral Information Processing Standards sels having a square bow, the name of Publication 55DC. the vessel must be marked on some (c) The hailing port must include the clearly visible exterior part of the bow State, territory, or possession in which in a manner to avoid obliteration. The it is located. name and hailing port must be marked (d) The Director, National Vessel on some clearly visible exterior part of Documentation Center has final au- the stern. thority to settle disputes as to the pro- (c) Recreational vessels. For vessels priety of the hailing port designated. documented exclusively for recreation, (e) Until such time as the vessel the name and hailing port must be owner elects to designate a new hailing marked together on some clearly visi- port, the provisions of paragraph (c) of ble exterior part of the hull. this section do not apply to vessels (d) The markings required by para- which were issued a Certificate of Doc- graphs (a), (b), and (c) of this section, umentation before July 1, 1982. which may be made by the use of any [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. means and materials which result in 15, 1993, as amended by CGD 95–014, 60 FR durable markings, must be made in 31604, June 15, 1995; USCG–1998–4442, 63 FR clearly legible letters of the Latin al- 52191, Sept. 30, 1998] phabet or Arabic or Roman numerals not less than four inches in height. Subpart I—Marking Requirements for Vessel Documentation § 67.125 Disputes. The OCMI for the zone in which the § 67.120 General requirement. vessel is principally operated has final No Certificate of Documentation authority in any disputes concerning issued under this part will be deemed the permanence, durability, legibility, valid for operation of the vessel until or placement of a vessel’s markings. the vessel is marked in accordance with this subpart. Subpart J—Application for Special § 67.121 Official number marking re- Qualifications for Vessel Doc- quirement. umentation The official number of the vessel, preceded by the abbreviation ‘‘NO.’’ § 67.130 Submission of applications. must be marked in block-type Arabic All applications made under this sub- numerals not less than three inches in part and all subsequent filings to effect height on some clearly visible interior documentation, except as provided in structural part of the hull. The number § 67.133(b), must be submitted to the must be permanently affixed to the National Vessel Documentation Cen- vessel so that alteration, removal, or ter. replacement would be obvious. If the official number is on a separate plate, [CGD 95–014, 60 FR 31604, June 15, 1995] the plate must be fastened in such a manner that its removal would nor- § 67.131 Forfeited vessels. mally cause some scarring of or dam- In addition to any other submissions age to the surrounding hull area. required by this part, the owner of a forfeited vessel applying for a Certifi- § 67.123 Name and hailing port mark- cate of Documentation for that vessel ing requirements. must submit the following: (a) For vessels other than those cov- (a) Where the vessel has been ad- ered in paragraphs (b) and (c) of this judged forfeit, or the proceeds of the section, the name of the vessel must be sale of the vessel have been adjudged marked on some clearly visible exte- forfeit to the Federal Government of rior part of the port and starboard bow the United States by a Federal District

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Court, a copy of the court order cer- leges by the Wrecked Vessel Statute (46 tified by an official of the court; U.S.C. app. 14) must include a copy of (b) Where the vessel was forfeited to the determination of the Director, Na- the Federal Government of the United tional Vessel Documentation Center States under an administrative for- that the vessel qualifies for docu- feiture action, an affidavit from an of- mentation under the statute. ficer of the agency which performed the forfeiture who has personal knowl- NOTE: The determination of the appraised edge of the particulars of the vessel’s salved value must be made by a board of three appraisers appointed by the Director, forfeiture or a Declaration of For- National Vessel Documentation Center. The feiture issued by the agency which per- board must determine that the repairs made formed the forfeiture. upon the vessel are equal to three times the appraised salvage value. The determination § 67.132 Special legislation. of the appraised salvage value will include (a) Vessels not otherwise entitled to consideration of the fact that if the vessel is be operated in the coastwise trade or in found in compliance with the Wrecked Ves- the fisheries may obtain these privi- sel Statute it will attain coastwise and fishery privileges. The cost of the board must be leges as a result of special legislation borne by the applicant. by the Congress of the United States. (b) In addition to any other submis- [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. sions required by this part, the owner 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended of a vessel which is entitled to engage by CGD 95–014, 60 FR 31604, June 15, 1995; USCG–1998–4442, 63 FR 52191, Sept. 30, 1998] in a specified trade because it is the subject of special legislation must in- § 67.134 Captured vessels. clude a copy of the legislation to establish the entitlement. In addition to other submissions required by this part, a vessel owner ap- [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. plying for a Certificate of Documenta- 15, 1993, as amended by USCG–2009–0702, 74 FR 49230, Sept. 25, 2009] tion for a vessel which qualifies as a captured vessel must include a copy of § 67.133 Wrecked vessels. the court order stating that the vessel was lawfully captured and condemned (a) A vessel owner requesting a deter- as a prize. mination that the vessel is wrecked within the meaning of 46 U.S.C. app. 14 must submit the following to the Di- Subpart K—Application for Docu- rector, National Vessel Documentation mentation, Exchange or Re- Center: placement of Certificate of (1) Competent and persuasive evi- Documentation, or Return to dence of the occasion and location of Documentation; Mortgagee the casualty. Coast Guard situation or Consent; Validation investigation reports are acceptable as casualty evidence. Other competent § 67.141 Application procedure; all and persuasive evidence may be accept- cases. ed in the discretion of the Director, Na- tional Vessel Documentation Center. The owner of a vessel applying for an (2) A writing setting forth the phys- initial Certificate of Documentation, ical location of the vessel, containing a exchange or replacement of a Certifi- guarantee that the requesting party as- cate of Documentation, or return of a sumes full responsibility for all costs, vessel to documentation after deletion liabilities, and other expenses that from documentation must: arise in conjunction with the services (a) Submit the following to the Na- performed by the board of appraisers, tional Vessel Documentation Center: and stating that at the time of docu- (1) Application for Initial Issue, Ex- mentation the vessel will be owned by change, or Replacement of Certificate a citizen of the United States. of Documentation; or Redocumenta- (b) In addition to other submissions tion (form CG–1258); required by this part, a vessel owner (2) Title evidence, if applicable; applying for a Certificate of Docu- (3) Mortgagee consent on form CG– mentation for a vessel accorded privi- 4593, if applicable; and

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(4) If the application is for replace- (6) When a vessel with a fishery en- ment of a mutilated document or ex- dorsement is commanded by a person change of documentation, the out- who is not a citizen of the United standing Certificate of Documentation. States. (b) Each vessel 100 feet and greater in (c) In addition to penalties under length applying for a fishery endorse- paragraphs (a) and (b) of this section, ment must meet the requirements of 46 the owner of a vessel with a fishery en- CFR part 356 and must submit mate- dorsement is liable to the United rials required in paragraph (a) of this States Government for a civil penalty section. of up to $100,000 for each day in which (c) Upon receipt of the Certification the vessel has engaged in fishing with- of Documentation and prior to oper- in the Exclusive Economic Zone, if the ation of the vessel, ensure that the ves- owner of the fishing vessel, or the rep- sel is marked in accordance with the resentative or agent of the owner, requirements set forth in subpart I of knowingly falsifies applicable informa- this part. tion or knowingly conceals a material [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. fact during the application process for 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended or application process to renew a fish- by CGD 95–014, 60 FR 31604, June 15, 1995; ery endorsement of the vessel. USCG–1999–6095, 65 FR 76576, Dec. 7, 2000] [USCG–1999–6095, 65 FR 76576, Dec. 7, 2000] § 67.142 Penalties. § 67.143 Restriction on withdrawal of (a) An owner or operator of a vessel application. with a fishery endorsement who vio- A vessel owner making application lates chapter 121 of title 46, U.S. Code pursuant to § 67.141 may not withdraw or any regulation issued thereunder is that application without mortgagee liable to the United States Government consent if a mortgage has been filed for a civil penalty of not more than against the vessel. Consent of the $10,000. Each day of a continuing viola- mortgagee is evidenced by filing a tion is a separate violation. properly completed original Applica- (b) A fishing vessel and its equipment tion, Consent, and Approval for With- are liable to seizure and forfeiture to drawal of Application for Documenta- the United States Government— tion or Exchange of Certificate of Doc- (1) When the owner of the fishing ves- umentation (form CG–4593). sel, or the representative or agent of the owner, knowingly falsifies applica- [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. ble information or knowingly conceals 15, 1993; 58 FR 65131, Dec. 13, 1993] a material fact during the application process for or application process to § 67.145 Restrictions on exchange; re- renew a fishery endorsement of the ves- quirement and procedure for mortgagee consent. sel; (2) When the owner of the fishing ves- (a) A Certificate of Documentation sel, or the representative or agent of issued to a vessel which is the subject the owner, knowingly and fraudulently of an outstanding mortgage recorded uses a vessel’s certificate of docu- pursuant to subpart Q of this part or mentation; predecessor regulations, may not be ex- (3) When the fishing vessel engages in changed for a cause arising under fishing [as such term is defined in sec- §§ 67.167(b) (1) through (5) or 67.167(c) (1) tion 3 of the Magnuson-Stevens Fish- through (8) without the consent of the ery Conservation and Management Act mortgagee, except as provided in para- (16 U.S.C. 1802)] within the Exclusive graph (b) of this section. Economic Zone after its fishery en- (b) The provisions of paragraph (a) of dorsement has been denied or revoked; this section do not apply to a vessel (4) When a vessel is employed in a which is subject only to a mortgage trade without an appropriate trade en- filed or recorded before January 1, 1989, dorsement; which had not attained preferred sta- (5) When a documented vessel with tus as of that date. only a recreational endorsement oper- (c) When the owner of a vessel applies ates as a fishing vessel; or for a Certificate of Documentation and

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the consent of the mortgagee is re- mentation for that vessel is being quired under paragraph (a) of this sec- wrongfully withheld by any person the tion, the applicant must submit a prop- owner must: erly completed original Application, (a) Submit to the Director, National Consent, and Approval for Withdrawal Vessel Documentation Center, a state- of Application for Documentation or ment setting forth the reasons for the Exchange of Certificate of Documenta- allegation; and tion (form CG–4593) signed by or on be- (b) Upon the Director, National Ves- half of the mortgagee to the National sel Documentation Center that the Vessel Documentation Center. Certificate is being wrongfully with- [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. held, apply for replacement of the Cer- 15, 1993, as amended by CGD 94–008, 59 FR tificate in accordance with the require- 49847, Sept. 30, 1994; CGD 95–014, 60 FR 31604, ments of § 67.141. June 15, 1995] [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended § 67.149 Exchange of Certificate of by CGD 95–014, 60 FR 31604, June 15, 1995; Documentation; vessel at sea. USCG–1998–4442, 63 FR 52191, Sept. 30, 1998] (a) When exchange of a Certificate of Documentation issued to a vessel is re- Subpart L—Validity of Certificates quired pursuant to subpart L of this of Documentation; Renewal of part and the vessel is at sea, the owner may affect the exchange while the ves- Endorsement; Requirement for sel is still at sea by: Exchange, Replacement, De- (1) Complying with the requirements letion, Cancellation of § 67.141; and (2) complying with the requirements § 67.161 Validity of Certificate of Docu- mentation. of § 67.145, if applicable. (a) Notwithstanding any other provi- NOTE: A Certificate of Documentation is sion of this subpart, except as provided issued upon compliance with the applicable requirements, however, the requirement to in paragraph (b) of this section, a Cer- mark the vessel with its new name or hailing tificate of Documentation but no trade port in accordance with subpart I of this endorsement thereon, issued to a vessel part, if applicable, is waived until the vessel which is the subject of an outstanding reaches its first port of call, wherever that mortgage filed or recorded in accord- may be. ance with subpart Q of this part or any (b) The documentation officer pre- predecessor regulations, remains valid pares a new Certificate of Documenta- for purposes of: tion and forwards it for delivery to the (1) 46 U.S.C. chapter 125; vessel’s next port of call. If the port of (2) 46 U.S.C. chapter 313 for an instru- call is in the United States, the Certifi- ment filed or recorded before the date cate is forwarded to the nearest U.S. of invalidation, and an assignment or a Coast Guard Sector Office. If the port notice of claim of lien filed after that of call is in a foreign country, the Cer- date; tificate is forwarded to the nearest (3) Sections 9 and 37(b) of the Ship- American Consulate. The new Certifi- ping Act, 1916 (46 U.S.C. app. 808, cate is delivered only upon surrender of 835(b)); and the old Certificate, which is then for- (4) Section 902 of the Merchant Ma- warded to the National Vessel Docu- rine Act, 1936 (46 U.S.C. app. 1242). mentation Center. (b) The provisions of paragraph (a) of this section do not apply to a vessel [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. which is subject only to a mortgage 15, 1993, as amended by CGD 95–014, 60 FR 31604, June 15, 1995; USCG–2006–25556, 72 FR filed or recorded before January 1, 1989, 36330, July 2, 2007] which had not attained preferred status as of that date. § 67.151 Replacement of Certificate of Documentation; special procedure § 67.163 Renewal of endorsement. for wrongfully withheld document. (a) Requirement for renewal of endorse- When the owner of a documented ves- ment. Endorsements on Certificates of sel alleges that the Certificate of Docu- Documentation are valid for one year.

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Prior to the expiration of that year, (b) Reporting requirement. The owner the owner of a vessel which is not ex- of a vessel whose Certificate is on de- empt from the requirement for docu- posit in accordance with paragraph (a) mentation under paragraph (c) of § 67.9 of this section must make a written re- must apply for renewal of the endorse- port to the National Vessel Docu- ment(s) by complying with paragraph mentation Center when: (b) of this section. The owner of a ves- (1) Exchange of the Certificate is re- sel exempt from the requirement for quired upon the occurrence of one or documentation under paragraph (c) of more of the events described in § 67.167 § 67.9 must either: (b), (c), or (d); or (1) Apply for renewal of the endorse- (2) The vessel is subject to deletion ment by complying with paragraph (b) from the roll of actively documented of this section; or vessels upon the occurrence of one or (2) Place the Certificate of Docu- more of the events described in mentation on deposit in accordance § 67.171(a)(1) through (8). with § 67.165. (c) Validity of document on deposit. A (b) Renewal application. The owner of Certificate of Documentation placed on a vessel must apply for renewal of each deposit in accordance with paragraph endorsement by executing an original (a) of this section is valid for the pur- Notice of Expiration (CG–1280) or Final poses of: Notice After Expiration (CG–1280–B) (1) 46 U.S.C. chapter 125; certifying that the information con- (2) 46 U.S.C. chapter 313; tained in the Certificate of Documenta- (3) Sections 9 and 37(b) of the Ship- tion and any endorsement(s) thereon ping Act, 1916 (46 U.S.C. app. 808, remains accurate, and that the Certifi- 835(b)); and cate has not been lost, mutilated, or (4) Section 902 of the Merchant Ma- wrongfully withheld. The completed rine Act, 1936 (46 U.S.C. app. 1242). CG–1280 or CG–1280–B must be for- [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. warded to the Director, National Ves- 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended sel Documentation Center. by CGD 95–014, 60 FR 31604, June 15, 1995] (c) Requirement to affix decal. The owner must affix the renewal decal to § 67.167 Requirement for exchange of the Certificate of Documentation. The Certificate of Documentation. presence of a current renewal decal is (a) When application for exchange of evidence that the endorsement has the Certificate of Documentation is re- been renewed. quired upon the occurrence of one or more of the events described in para- NOTE: Renewal of endorsements on a Cer- tificate of Documentation may be denied if graphs (b), (c), or (d) of this section, or the vessel owner is the subject of an out- the owner of the vessel chooses to standing civil penalty assessed by the Coast apply for exchange of the Certificate Guard. pursuant to paragraph (e) of this sec- [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. tion, the owner must send or deliver 15, 1993, as amended by CGD 95–014, 60 FR the Certificate to the National Vessel 31604, June 15, 1995; USCG–1998–4442, 63 FR Documentation Center, and apply for 52191, Sept. 30, 1998] an exchange of the Certificate in accordance with subpart K of this part. § 67.165 Deposit of Certificate of Docu- (b) A Certificate of Documentation mentation. together with any endorsement(s) (a) Option for deposit in lieu of renewal thereon becomes invalid immediately, of endorsement. In lieu of renewing the except as provided in § 67.161, when: endorsement(s) in accordance with (1) The ownership of the vessel § 67.163, the owner of a vessel which is changes in whole or in part; exempt from the requirement for docu- (2) The general partners of a partner- mentation under paragraph (c) of § 67.9 ship change by addition, deletion, or may deposit the vessel’s outstanding substitution; Certificate of Documentation with the (3) The State of incorporation of any National Vessel Documentation Cen- corporate owner of the vessel changes; ter. (4) The name of the vessel changes;

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(5) The hailing port of the vessel (f) A Certificate of Documentation changes; or which becomes invalid pursuant to (6) The vessel is placed under the paragraph (c) of this section remains command of a person who is not a cit- valid for the purposes of filing a new izen of the United States. mortgage or amendment, assignment, (c) A Certificate of Documentation assumption, or subordination agree- together with any endorsement(s) ment for 30 days after the date it would thereon becomes invalid immediately, otherwise have become invalid. except as provided in § 67.161 and in [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. paragraph (f) of this section, if the ves- 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended sel is not a sea, or upon the vessel’s by CGD 95–014, 60 FR 31604, June 15, 1995; next arrival in port anywhere in the USCG–2001–8825, 69 FR 5401, Feb. 4, 2004; world if the vessel is at sea, when: USCG–2005–20258, 71 FR 61418, Oct. 18, 2006] (1) The gross or net tonnages or dimensions of the vessel change; § 67.169 Requirement for replacement (2) Any beneficiary with an enforce- of Certificate of Documentation. able interest in a trust arrangement (a) The owner of a documented vessel owning a vessel changes by addition or must make application in accordance substitution; with subpart K of this part for replace- (3) The trustee of a trust arrangement of a Certificate of Documentation ment owning a vessel changes by addi- which is: tion, substitution, or deletion; (1) Lost; (4) A tenant by the entirety owning (2) Mutilated; or any part of the vessel dies; (3) Wrongfully withheld from the ves- (5) The restrictions imposed on the sel owner. vessel change by addition or substi- (b) When application for replacement tution; of a Certificate of Documentation is re- (6) The legal name of any owner of quired because the Certificate has been the vessel changes; mutilated, the existing Certificate (7) A self-propelled vessel becomes must be physically given up to the Na- non-self-propelled or a non-self-pro- tional Vessel Documentation Center. pelled vessel becomes self-propelled; [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. (8) The endorsements for the vessel 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended change by addition, deletion, or substi- by CGD 95–014, 60 FR 31605, June 15, 1995] tution; (9) A substantive or clerical error § 67.171 Deletion; requirement and made by the issuing documentation of- procedure. ficer is discovered; and (a) A Certificate of Documentation (10) For a vessel with a coastwise en- together with any endorsement(s) dorsement under 46 U.S.C. 12106(e), one thereon is invalid, except as provided of the events in § 68.80 or § 68.111 of this in § 67.161, and the vessel is subject to chapter occurs. deletion from the roll of actively docu- (d) Although a Certificate of Docu- mented vessels when: mentation and any endorsements (1) The vessel is placed under foreign thereon remain valid, the owner of a flag; documented vessel must apply for ex- (2) The vessel is sold or transferred in change of the Certificate upon an elec- whole or in part to a person who is not tion to designate a new managing a citizen of the United States within owner of the vessel in accordance with the meaning of subpart C of this part; § 67.113. (3) Any owner of the vessel ceases to (e) Although a Certificate of Docu- be a citizen of the United States within mentation and any endorsement(s) the meaning of subpart C of this part; thereon remain valid, the owner may (4) The owner no longer elects to doc- apply for exchange of the Certificate if: ument the vessel; (1) The restrictions imposed on the (5) The vessel no longer measures at vessel change by deletion; or least five net tons; (2) The vessel attains a special enti- (6) The vessel ceases to be capable of tlement under subpart J of this part. transportation by water;

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(7) The owner fails to exchange the cancellation upon a determination by Certificate as required by § 67.167; the Director, National Vessel Docu- (8) The owner fails to maintain the mentation Center that the issuance of markings required by subpart I of this the Certificate was improper for any part; reason. When a Certificate is subject to (9) The endorsements on the Certifi- cancellation, the owner of the vessel cate are revoked because the vessel upon being notified of such require- owner is the subject of an outstanding ment must send or deliver the Certifi- civil penalty assessed by the Coast cate to a documentation officer at the Guard; or National Vessel Documentation Cen- (10) The owner fails to: ter. The vessel owner may submit an (i) Renew the endorsement(s) as re- application for exchange in accordance quired by § 67.163; or with subpart K of this part to correct (ii) Comply with the provisions of the error giving rise to cancellation. If § 67.165. the vessel for which the Certificate was (b) Where a cause for deletion arises cancelled was previously documented, for any reason under paragraphs (a) (1) it remains documented under the pre- through (6) of this section, the owner vious Certificate of Documentation, must send or deliver the original Cer- unless deleted under the provisions of tificate of Documentation to the Na- § 67.171. tional Vessel Documentation Center together with a statement setting NOTE: Certificates of Documentation which forth the reason(s) deletion is required. have been canceled are retained at the Na- (c) When a Certificate of Documenta- tional Vessel Documentation Center. tion is required to be deleted because [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. the vessel has been placed under for- 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended eign flag or has been sold or trans- by CGD 95–014, 60 FR 31605, June 15, 1995; ferred in whole or in part to a non-cit- USCG–1998–4442, 63 FR 52190, 52191, Sept. 30, izen of the United States, the owner of 1998] that vessel must comply with the requirements of paragraph (b) of this sec- Subpart M—Miscellaneous tion, and file: Applications (1) Evidence of the sale or transfer, if any; and § 67.175 Application for new vessel de- (2) Evidence that the Maritime Ad- termination. ministration has consented to the sale (a) When a vessel has been con- or transfer, except for vessels identi- structed entirely of new materials, no fied in § 67.11(b) and vessels for which the Maritime Administration has application for a new vessel determina- granted approval for unrestricted sale tion need be made under this section. or transfer pursuant to regulations set Application for initial documentation forth in 46 CFR part 221. must be made in accordance with sub- (d) A certificate evidencing deletion part K of this part. from U.S. documentation will be issued (b) When parts of an existing vessel upon request of the vessel owner to the have been used in the construction of a National Vessel Documentation Center vessel and the owner wants a deter- upon compliance with the applicable mination that the resulting vessel is requirements of this subpart. new in accordance with this part, the owner must file with the Director, Na- [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. tional Vessel Documentation Center; 15, 1993, as amended by CGD 94–008, 59 FR 49847, Sept. 30, 1994; CGD 95–014, 60 FR 31605, (1) A builder’s certification, as de- June 15, 1995] scribed in § 67.99; (2) A written statement describing § 67.173 Cancellation; requirement and the extent to which materials from the procedure. existing vessel were used in the con- A Certificate of Documentation struction and the extent to which issued to a vessel together with any en- those materials were torn down; and dorsement(s) thereon is invalid, except (3) Accurate sketches or blueprints of as provided in § 67.161, and subject to the hull and superstructure which

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must identify, where practicable, com- than 10 percent of the vessel’s ponents of the old vessel. steelweight prior to the work, calculated as if the vessel were wholly [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended constructed of steel or aluminum. by CGD 95–014, 60 FR 31605, June 15, 1995; (3) A vessel is not considered rebuilt USCG–1998–4442, 63 FR 52191, Sept. 30, 1998] when work performed on its hull or superstructure constitutes a quantum of § 67.177 Application for foreign re- work determined, to the maximum ex- building determination. tent practicable, to be comparable to A vessel is deemed rebuilt foreign 7.5 percent or less of the vessel’s when any considerable part of its hull steelweight prior to the work, cal- or superstructure is built upon or sub- culated as if the vessel were wholly stantially altered outside of the United constructed of steel or aluminum. States. In determining whether a ves- (d) For a vessel of mixed construc- sel is rebuilt foreign, the following pa- tion, such as a vessel the hull of which rameters apply: is constructed of steel or aluminum (a) Regardless of its material of con- and the superstructure of which is construction, a vessel is deemed rebuilt structed of fibrous reinforced plastic, when a major component of the hull or the steelweight of the work performed superstructure not built in the United on the portion of the vessel con- States is added to the vessel. structed of a material other than steel (b) For a vessel of which the hull and or aluminum will be determined, to the superstructure is constructed of steel maximum extent practicable, and ag- or aluminum— gregated with the work performed on (1) A vessel is deemed rebuilt when the portion of the vessel constructed of work performed on its hull or super- steel or aluminum. The numerical pa- structure constitutes more than 10 per- rameters described in paragraph (b) of cent of the vessel’s steelweight, prior this section will then be applied to the to the work, also known as discounted aggregate of the work performed on the lightship weight. vessel compared to the vessel’s (2) A vessel may be considered rebuilt steelweight prior to the work, cal- when work performed on its hull or su- culated as if the vessel were wholly perstructure constitutes more than 7.5 constructed of steel or aluminum, to percent but not more than 10 percent of determine whether the vessel has been the vessel’s steelweight prior to the rebuilt. work. (e) The owner of a vessel currently (3) A vessel is not considered rebuilt entitled to coastwise or fisheries en- when work performed on its hull or su- dorsements which is altered outside perstructure constitutes 7.5 percent or the United States and the work per- less of the vessel’s steelweight prior to formed is determined to constitute or the work. be comparable to more than 7.5 percent (c) For a vessel of which the hull and of the vessel’s steelweight prior to the superstructure is constructed of mate- work, or which has a major component rial other than steel or aluminum— of the hull or superstructure not built (1) A vessel is deemed rebuilt when in the United States added, must file work performed on its hull or super- the following information with the Na- structure constitutes a quantum of tional Vessel Documentation Center work determined, to the maximum ex- within 30 days following the earlier of tent practicable, to be comparable to completion of the work or redelivery of more than 10 percent of the vessel’s the vessel to the owner or owner’s rep- steelweight prior to the work, cal- resentative: culated as if the vessel were wholly (1) A written statement applying for constructed of steel or aluminum. a rebuilt determination, outlining in (2) A vessel may be considered rebuilt detail the work performed and naming when work performed on its hull or su- the place(s) where the work was per- perstructure constitutes a quantum of formed; work determined, to the maximum ex- (2) Calculations showing the actual tent practicable, to be comparable to or comparable steelweight of the work more than 7.5 percent but not more performed on the vessel, the actual or

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comparable steelweight of the vessel, Subpart O—Filing and Recording and comparing the actual or com- of Instruments—General Provisions parable steelweight of the work performed to the actual or comparable § 67.200 Instruments eligible for filing steelweight of the vessel; and recording. (3) Accurate sketches or blueprints Only the following listed instruments describing the work performed; and are eligible for filing and recording: (4) Any further submissions re- (a) Bills of sale and instruments in quested by the National Vessel Docu- the nature of bills of sale; mentation Center. (b) Deeds of gift; (f) Regardless of the extent of actual (c) Mortgages and assignments, as- work performed, the owner of a vessel sumptions, supplements, amendments, currently entitled to coastwise or fish- subordinations, satisfactions, and releases thereof; eries endorsements may, as an alter- (d) Preferred mortgages and assign- native to filing the items listed in ments, assumptions, supplements, paragraph (e) of this section, submit a amendments, subordinations, satisfac- written statement to the National Ves- tions, and releases thereof; sel Documentation Center declaring (e) Interlender agreements affecting the vessel rebuilt outside the United mortgages, preferred mortgages, and States. The vessel will then be deemed related instruments; and to have been rebuilt outside the United (f) Notices of claim of lien, assign- States with loss of trading privileges. ments, amendments, and satisfactions (g) A vessel owner may apply for a and releases thereof. preliminary rebuilt determination by submitting: § 67.203 Restrictions on filing and recording. (1) A written statement applying for a preliminary rebuilt determination, (a) No instrument will be accepted outlining in detail the work planned for filing unless the vessel to which it and naming the place(s) where the pertains is the subject of: work is to be performed; (1) A valid Certificate of Documenta- tion; or (2) Calculations showing the actual (2) An application for initial docu- or comparable steelweight of work to mentation, exchange of Certificate of be performed on the vessel, the actual Documentation, return to documenta- or comparable steelweight of the ves- tion, or for deletion from documenta- sel, and comparing the actual or com- tion, which is in substantial compli- parable steelweight of the planned ance with the applicable regulations, work to the actual or comparable submitted to the National Vessel Docu- steelweight of the vessel; mentation Center. (3) Accurate sketches or blueprints (b) An instrument identified as eligi- describing the planned work; and ble for filing and recording under (4) Any further submissions re- § 67.200 may not be filed and recorded if quested by the National Vessel Docu- it bears a material alteration. mentation Center. (c) An instrument identified as eligible for filing and recording under NOTE: A statement submitted in accord- § 67.200 (a) or (b) may not be filed and ance with paragraph (f) of this section does recorded if any vendee or transferee not constitute an application for a rebuilt under the instrument is not a citizen of determination and does not require payment the United States as defined in section of a fee. 2 of the Shipping Act, 1916, (46 U.S.C. [CGD 94–040, 61 FR 17815, Apr. 22, 1996, as app. 802) unless the Maritime Adminis- amended by USCG–2009–0702, 74 FR 49230, tration has consented to the grant to a Sept. 25, 2009] non-citizen made under the instrument. Subpart N [Reserved] (d) The restriction imposed by paragraph (c) of this section does not apply to a bill of sale or deed of gift conveying an interest in a vessel which

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was neither documented nor last docu- § 67.207 Requirement for date and ac- mented pursuant to these regulations knowledgment. or any predecessor regulations thereto (a) Every instrument presented for at the time the instrument was exe- filing and recording must: cuted, nor to an instrument conveying (1) Bear the date of its execution; and an interest in a vessel identified in (2) Contain an acknowledgment. § 67.11(b). (b) No officer or employee of the (e) An instrument identified as eligi- Coast Guard is authorized to take such ble for filing and recording under acknowledgments unless the instru- § 67.200(c) may not be filed or recorded ment is executed on behalf of the Fed- if the mortgagee or assignee is not a eral Government of the United States. person qualifying as a citizen of the United States as defined in the Ship- § 67.209 No original instrument re- ping Act, 1916, as amended, (46 U.S.C. quirement. app. chapter 23) or a trustee as defined A copy of the original signed and ac- in 46 U.S.C. 31328, unless the Maritime knowledged instrument must be pre- Administration has consented to the sented. The original instrument itself grant to a non-citizen made under the may be presented but is not required. instrument. This restriction does not The copy may be delivered to the Na- apply to an instrument conveying an tional Vessel Documentation Center or interest in a vessel identified in transmitted by facsimile or in portable § 67.11(b). document format (.pdf) in accordance (f) An instrument identified as eligi- with the procedures in §§ 67.218 and ble for filing and recording under 67.219 of this part. Signatures may be § 67.200(d) may not be filed or recorded affixed manually or digitally. if the mortgagee or assignee is not a person described in 46 U.S.C. [USCG–2007–28098, 72 FR 42312, Aug. 2, 2007] 31322(a)(1)(D). This restriction does not apply to an instrument conveying an § 67.211 Requirement for citizenship interest in a vessel identified in declaration. § 67.11(b). (a) Instruments in the nature of a bill of sale or deed of gift, mortgages, and [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended assignments of mortgages conveying by CGD 95–014, 60 FR 31605, June 15, 1995] an interest in a documented vessel are ineligible for filing and recording un- § 67.205 Requirement for vessel identi- less accompanied by a declaration of fication. citizenship, except as provided in para- (a) Every instrument presented for graph (c) and (d) of this section. filing and recording must contain suffi- (b) Citizenship declarations must be cient information to clearly identify executed on the form prescribed by the the vessel(s) to which the instrument Maritime Administration in 46 CFR relates. part 221. These forms are available (b) Instruments pertaining to vessels from the National Vessel Documenta- which have been documented must con- tion Center and from the Vessel Trans- tain the vessel’s name and official fer and Disposal Officer (MAR–745.1), number, or other unique identifier. Maritime Administration, United (c) Vessels which have never been States Department of Transportation, documented must be identified by one Washington, DC 20590. of the following: (c) The requirement for presentation (1) The vessel’s Hull Identification of a citizenship declaration does not Number assigned in accordance with 33 apply to a transaction conveying an in- CFR 181.25; or terest in a vessel: (2) Other descriptive information, (1) Described in 46 CFR 221.11(b)(1) (i) which clearly describes the vessel. through (iv); Such information may include length, (2) To a person making application breadth, depth, year of build, name of for documentation; or manufacturer, and any numbers which (3) To an entity of the Federal Gov- may have been assigned in accordance ernment of the United States or of a with 33 CFR part 173. State or political subdivision thereof,

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or a corporate entity which is an agen- ment will be terminated in accordance cy of any such government or political with § 67.217(c) and the substitute in- subdivision. strument will be considered a new fil- (d) The requirement for presentation ing. The substitute instrument will be of a citizenship declaration is waived deemed filed at the actual time and when the instrument(s) presented for date it is received by the National Ves- filing effects a transfer for which: sel Documentation Center. (1) The Maritime Administration has given general approval in 46 CFR part [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended 221; or by CGD 95–014, 60 FR 31605, June 15, 1995] (2) Written approval of the Maritime Administrator has been obtained in ac- § 67.217 Termination of filing and dis- cordance with 46 CFR part 221. position of instruments. (e) If the transfer of interest is one which requires written approval of the (a) The filing of an instrument is sub- Maritime Administrator in accordance ject to termination if: with rules in 46 CFR part 221, evidence (1) It is determined that the instru- of that approval must be presented for ment cannot be recorded because the filing with the instrument effecting the instrument itself is not in substantial transfer of interest. compliance with the applicable regulations in this part; NOTE: If the grantee(s) of an ownership in- (2) The filing was not made in com- terest in a vessel described in paragraphs pliance with the requirements of (c)(1) or (d) of this section do(es) not make application for documentation, a declaration § 67.213; of citizenship may be required in order to en- (3) The Application for Initial Issue, sure that the vessel so conveyed retains any Exchange, or Replacement of Certifi- coastwise privileges to which it may be enti- cate of Documentation; or Redocu- tled. mentation (form CG–1258) submitted [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. with the instrument(s) was not made in 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended substantial compliance with the appli- by CGD 95–014, 60 FR 31605, June 15, 1995; cable regulations of this part; USCG–2009–0702, 74 FR 49230, Sept. 25, 2009] (4) The owner of the vessel submits an Application, Consent, and Approval § 67.213 Place of filing and recording. for Withdrawal of Application for Doc- (a) All instruments submitted for fil- umentation or Exchange of Certificate ing and recording must be submitted to of Documentation (form CG–4593), with the National Vessel Documentation mortgagee consent, if applicable; or Center. (5) Another instrument is filed evi- (b) All instruments are recorded at dencing satisfaction or release of the the National Vessel Documentation subject instrument and the subject in- Center. strument is one described in subpart Q [CGD 95–014, 60 FR 31605, June 15, 1995] of this part. (b) Ninety days prior to terminating § 67.215 Date and time of filing. the filing pursuant to a reason listed in (a) An instrument is deemed filed at paragraphs (a) (1), (2), or (3) of this sec- the actual date and time at which the tion, the National Vessel Documenta- instrument is received by the National tion Center will send written notice de- Vessel Documentation Center, except tailing the reasons the filing is subject as provided in paragraph (b) of this sec- to termination to the following per- tion. Any materials submitted to sup- son(s) and any agent known to be act- plement an instrument after the in- ing on behalf of the same: strument is filed are deemed part of (1) The applicant for documentation, the original filing and relate back to if a bill of sale, instrument in the na- the date and time of that filing. ture of a bill of sale, or a deed of gift; (b) If filing of an instrument is sub- (2) The mortgagee or assignee, if a ject to termination in accordance with mortgage or assignment or amendment § 67.217(a) and a new instrument is filed thereof; as a substitute for the original instru- (3) The claimant, if a notice of claim ment, the filing of the original instru- of lien; or

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(4) The lender first named in an mentation must already be on file with interlender agreement affecting a the National Vessel Documentation mortgage, preferred mortgage, or re- Center or must be submitted in .pdf lated instrument. format with the instrument being sub- (c) If the reason(s) which subject the mitted in .pdf format for filing. filing to termination remain uncor- (b) All instruments submitted for fil- rected for a period of 90 days after the ing in .pdf format must be clearly leg- notice described in paragraph (b) of ible, be submitted from 81⁄2 inch by 11 this section is sent, or upon receipt of inch paper in not less than 10-point the request for withdrawal described in type size, and submitted as an attach- paragraph (a)(4) of this section, or sat- ment to e-mail. isfaction or release as described in (c) The e-mail required by paragraph paragraph (a)(5) of this section, the in- (b) should indicate: strument will be returned to either: (1) The name, address, telephone (1) The applicant for documentation, number, and e-mail address of the per- if a bill of sale, instrument in the na- son submitting the instrument for fil- ture of a bill of sale, or a deed of gift; ing in .pdf format; (2) The mortgagee or assignee, if a (2) The number of pages submitted mortgage or assignment or amendment for filing in .pdf format; and thereof; (3) The name of the vessel, official (3) The claimant, if a notice of claim number or hull identification number of lien; of the vessel(s), and the name(s) of the (4) The lender first named in an owner(s) of the vessel(s) to which the interlender agreement affecting a instrument relates. mortgage, preferred mortgage, or re- (d) The filing of any instrument sub- lated instrument; or mitted for filing in .pdf format is ter- (5) An agent for any appropriate minated and the instrument will be re- party, provided that the agent has filed turned to the submitter if the instru- with the Coast Guard a writing bearing ment is subject to termination for any the original signature of the appro- cause under § 67.217(a). priate party(ies) clearly identifying the instrument(s) being returned and stat- [USCG–2007–28098, 72 FR 42312, Aug. 2, 2007] ing that the instrument(s) may be returned to the agent. § 67.219 Optional filing of instruments by facsimile. [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended (a) Any instrument identified as eli- by CGD 95–014, 60 FR 31605, June 15, 1995] gible for filing and recording under § 67.200 may be submitted for filing to § 67.218 Optional filing of instruments the National Vessel Documentation in portable document format as at- Center by facsimile at (304) 271–2405. If tachments to electronic mail. the instrument submitted by facsimile (a) Any instrument identified as eli- for filing pertains to a vessel that is gible for filing and recording under not a currently documented vessel, a § 67.200 may be submitted in portable completed Application for Initial Issue, document format (.pdf) as an attach- Exchange, or Replacement Certificate ment to electronic mail (e-mail) for fil- of Documentation, or Return to Docu- ing at the National Vessel Documenta- mentation (form CG–1258) or a letter tion Center. The e-mail address to be application for deletion from docu- used for instrument filing may be ob- mentation must already be on file with tained from the National Vessel Docu- the National Vessel Documentation mentation Center Web site. If the in- Center or must be submitted by fac- strument submitted for filing in .pdf simile with the instrument being sub- format pertains to a vessel that is not mitted by facsimile for filing. a currently documented vessel, a com- (b) All instruments submitted by fac- pleted Application for Initial Issue, Ex- simile for filing must be clearly leg- change, or Replacement Certificate of ible, be submitted from 81⁄2 inch by 11 Documentation, or Return to Docu- inch paper in not less than 10-point mentation (form CG–1258) or a letter type size, and accompanied by a cover application for deletion from docu- sheet.

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(c) The cover sheet required by para- Subpart Q—Filing and Recording graph (b) should indicate: of Instruments—Mortgages, (1) The name, address, telephone Preferred Mortgages, and Re- number, and facsimile telephone num- lated Instruments ber of the person submitting the instrument by facsimile; § 67.231 General requirements; op- (2) The number of pages submitted by tional application for filing and re- facsimile; and cording. (3) The name of the vessel, official (a) A mortgage or related instrument number or hull identification number presented for filing and recording must of the vessel(s), and the name(s) of the meet all of the requirements of subpart owner(s) of the vessel(s) to which the O of this part in addition to the perti- instrument relates. nent section(s) of this subpart. (b) All instruments supplemental to (d) The filing of any instrument sub- mortgages must recite information mitted by facsimile is terminated and which clearly identifies the mortgage the instrument will be returned to the to which the supplemental instrument submitter if the instrument is subject is applicable. Such information will to termination for any cause under normally consist of the book and page § 67.217(a). where that mortgage is recorded and [USCG–2007–28098, 72 FR 42312, Aug. 2, 2007] the date and time of filing. If the submission of the supplemental instrument is contemporaneous with submis- Subpart P—Filing and Recording sion of the mortgage, the information of Instruments—Bills of Sale should include the names of all parties and Related Instruments to the mortgage, the date of the mortgage, and the amount of the mortgage. § 67.220 Requirements. (c) An Optional Application for Fil- An instrument in the nature of a bill ing (CG–5542) may be attached to a of sale or a deed of gift must: mortgage or related instrument. If (a) Meet all of the requirements of form CG–5542 is properly completed subpart O of this part; with all information required for in- dexing the instrument and the signa- (b) Be signed by or on behalf of all ture(s) specified thereon, the instru- the seller(s) or donor(s); and ment to which it is attached will be (c) Recite the following: filed and recorded with no further re- (1) The name(s) and address(es) of the view. seller(s) or donor(s) and the interest in the vessel held by the seller(s) or § 67.233 Restrictions on recording donor(s); and mortgages, preferred mortgages, (2) The name(s) and address(es) of the and related instruments. buyer(s) or donee(s) and the interest in (a) A mortgage or assumption of the vessel held by each buyer or donee. mortgage which otherwise meets the requirements of this subpart is none- § 67.223 Filing limitation. theless not eligible for filing and re- An instrument presented for filing cording if: (1) The mortgagor or assuming and recording under this subpart may party(ies) did not actually hold legal be filed only in conjunction with an ap- title to the interest in the vessel being plication for initial documentation or mortgaged or covered by the assump- return to documentation of the vessel tion at the time of filing of the mort- or with an application for a change to gage or assumption; or or deletion of the vessel’s outstanding (2) If the vessel(s) which the mort- Certificate of Documentation. gage cover(s) is (are) not documented or not the subject of an application for documentation. (b) A mortgage of a vessel 100 feet or greater in length applying for a fishery endorsement is eligible for filing and

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recording as a preferred mortgage only § 67.239 Requirements for assumptions if it meets the requirements of this of mortgages. part and the requirements of 46 CFR An assumption of mortgage pre- 356.19. sented for filing and recording must: (c) The requirements of paragraph (b) (a) Be signed by or on behalf of each of this section do not apply to the original mortgagor, each mortgagee, mortgagee of a vessel identified in and each assuming party; and § 67.11(b) or to any other vessel to (b) Recite the following: which the Maritime Administration (1) The name and address of each has given approval for unrestricted original mortgagor and the interest in transfer pursuant to regulations in 46 the vessel mortgaged; and CFR part 221. (2) The name and address of each as- [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. suming party and the interest in the 15, 1003, as amended by USCG–1999–6095, 65 mortgage assumed. FR 76576, Dec. 7, 2000] § 67.241 Requirements for amendments § 67.235 Requirements for mortgages. of or supplements to mortgages. (a) A mortgage presented for filing An amendment of or supplement to a and recording must: mortgage presented for filing and re- (1) Be signed by or on behalf of each cording must: mortgagor; and (a) Be signed by or on behalf of each (2) Recite the following: mortgagor and each mortgagee; and (i) The name and address of each (b) Recite the following: mortgagor and the interest in the ves- (1) The name and address of each sel held by the mortgagor(s); mortgagor and mortgagee; and (ii) The name and address of each (2) The nature of the change effected mortgagee and the interest in the ves- by the instrument. sel granted by the mortgage; and (iii) The amount of the direct or con- § 67.243 Requirements for instruments tingent obligations that is or may be- subordinating mortgages. come secured by the mortgage, exclud- An instrument subordinating a mort- ing interest, expenses, and fees. The gage presented for filing and recording amount may be recited in one or more must: units of account as agreed to by the (a) Be signed by or on behalf of each parties. mortgagee whose mortgage is being (b) A mortgage submitted for filing subordinated; and and recording as a preferred mortgage (b) Recite the following: must cover the whole of a vessel. (1) The name and address of each (c) A mortgage which secures more mortgagee whose mortgage is being than one vessel may, at the option of subordinated; and the parties, provide for separate dis- (2) The name and address of each charge of such vessels. party holding an interest in the instru- § 67.237 Requirements for assignments ment subordinating the mortgage. of mortgages. § 67.245 Requirements for interlender An assignment of mortgage presented agreements. for filing and recording must: An interlender agreement between (a) Be signed by or on behalf of each multiple mortgagees must: assignor; and (a) Be signed by or on behalf of all (b) Recite the following: mortgagees who are party to the inter- (1) The name and address of each as- lender agreement; and signor and the interest in the mortgage (b) Recite the names and addresses of held by the assignor(s); and all parties to the interlender agree- (2) The name and address of each as- ment. signee and the interest in the mortgage granted to the assignee(s).

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Subpart R—Filing and Recording (a) Be signed by or on behalf of each of Instruments—Notices of original claimant or last assignee of Claim of Lien and Supple- record; and (b) Recite the following: mental Instruments (1) The name and address of each § 67.250 General requirements. claimant; and (2) The name and address of each as- (a) A notice of claim of lien or sup- signee and the interest in the claim plemental instrument thereto sub- being assigned. mitted for filing and recording must meet all of the requirements of subpart § 67.259 Requirements for amendments O of this part. to notice of claim of lien. (b) An instrument assigning or An amendment to notice of claim of amending a notice of claim of lien lien presented for filing and recording must recite information which clearly must: identifies the notice of claim of lien (a) Be signed by or on behalf of each being assigned or amended. Such infor- original claimant or last assignee of mation will normally consist of the record; and book and page where the notice of (b) Recite the nature of the change claim is recorded and the date and time being effected by the instrument. of filing. If the submission of the assignment or amendment is contem- [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. poraneous with submission of the no- 15, 1993, as amended by USCG–2014–0688, 79 tice of claim of lien, the information FR 58281, Sept. 29, 2014; USCG–2014–0688, 79 FR 61262, Oct. 10, 2014] should include the name of each original claimant, the date of the notice of claim, and the amount of the claim and Subpart S—Removal of other information to adequately iden- Encumbrances tify the notice of claim of lien being assigned or amended. § 67.261 General requirements. The filing of an instrument against a § 67.253 Requirements for notices of vessel in accordance with subparts Q or claim of lien. R of this part may be terminated and, A notice of claim of lien must: if recorded, removed from the record of (a) Be signed by or on behalf of each that vessel by the filing of: claimant; and (a) A court order, affidavit, or Dec- (b) Recite the following: laration of Forfeiture described in (1) The name and address of each § 67.263; or claimant; (b) A satisfaction or release instru- (2) The nature of the lien claimed; ment described in § 67.265 which meets (3) The date on which the lien was es- the requirements of this part for filing tablished; and and recording. (4) The amount of the lien claimed. § 67.263 Requirement for removal of § 67.255 Restrictions on filing and re- encumbrances by court order, affi- cording. davit, or Declaration of Forfeiture. A notice of claim of lien is not enti- The encumbrances described in sub- tled to filing and recording unless the parts Q and R of this part are removed vessel against which the lien is claimed from the record upon filing of: is covered by a preferred mortgage (a) A copy of the order from a court filed or recorded in accordance with of competent jurisdiction certified by subpart Q of this part or predecessor an official of the court declaring title regulations thereto and which is out- to the vessel to be free and clear, or de- standing at the time the lien is filed claring the encumbrance to be of no ef- and recorded. fect, or ordering the removal of the encumbrance from the record; § 67.257 Requirements for assignments (b) A copy of the order from a Fed- of notices of claim of lien. eral District Court in an in rem action An assignment of a notice of claim of certified by an official of the court re- lien must: quiring the free and clear sale of the

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vessel at a Marshal’s sale and, where Subpart T—Abstracts of Title and issued under local judicial procedures, Certificates of Ownership a copy of the order confirming such sale certified by an official of the SOURCE: CGD 95–014, 60 FR 31605, June 15, court; 1995, unless otherwise noted. (c) A copy of an order from a Federal District Court certified by an official § 67.301 Issuance of Abstract of Title. of the court declaring the vessel itself Any person may request the National or the proceeds of its sale to be for- Vessel Documentation Center to issue feited to the Federal Government of a General Index or Abstract of Title the United States for a breach of its (form CG–1332) for a vessel. laws; or (d) Where the vessel was forfeited § 67.303 Issuance of Certificate of under an administrative forfeiture ac- Ownership. tion to the Federal Government of the Any person may request the National United States, either an affidavit from Vessel Documentation Center to issue an officer of the agency which per- a Certificate of Ownership (form CG– formed the forfeiture, who has personal 1330) for a vessel. knowledge of the particulars of the vessel’s forfeiture, or a Declaration of For- feiture issued by the agency which per- Subpart U—Special Provisions formed the forfeiture. § 67.311 Alteration of Certificate of § 67.265 Requirements for instruments Documentation. evidencing satisfaction or release. Except for affixing a new address An instrument satisfying or releasing label in accordance with the direction a mortgage, a notice of claim of lien, of a documentation officer or a renewal or a preferred mortgage presented for decal issued in accordance with § 67.163, filing and recording must: no person other than a documentation (a) Meet all the requirements of sub- officer shall intentionally alter a Cer- part O of this part; tificate of Documentation. (b) Be signed by or on behalf of: § 67.313 Requirement to have Certifi- (1) Each mortgagee if a mortgage; or cate of Documentation on board. (2) Each claimant if a notice of claim of lien; and (a) The person in command of a docu- (c) Recite the following: mented vessel must have on board that vessel the original Certificate of Docu- (1) The name of each mortgagor, if mentation currently in effect for that any, and the name of each mortgagee vessel. or claimant; (b) The requirement of paragraph (a) (2) The amount of the mortgage or of this section does not apply: claim of lien; and (1) To non-self-propelled vessels not (3) Information which clearly identi- engaged in foreign trade; fies the mortgage or claim of lien being satisfied or released. Such information (2) When the Certificate of Docu- will normally consist of the book and mentation has been submitted to the page where that mortgage or claim of National Vessel Documentation Center lien is recorded. If the recording infor- for exchange in accordance with § 67.167 mation cannot be provided because the (d) or (e); or satisfaction or release is being sub- (3) When the vessel is in storage or mitted prior to recording of the mort- out of the water. gage or claim of lien, the instrument [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. must recite other information suffi- 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended cient to clearly identify the encum- by CGD 95–014, 60 FR 31605, June 15, 1995] brance being satisfied or released.

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§ 67.315 Requirement to produce Cer- § 67.321 Requirement to report change tificate of Documentation. of address of managing owner. (a) The person in command of a docu- Upon the change of address of the mented vessel must produce the origi- managing owner of a documented ves- nal Certificate of Documentation cur- sel, the managing owner shall report rently in effect for that vessel upon the the change of address to the National demand of any person acting in an offi- Vessel Documentation Center within 10 cial public capacity. days of its occurrence. (b) The requirement of paragraph (a) [CGD 94–008, 59 FR 49847, Sept. 30, 1994, as of this section does not apply: amended by CGD 95–014, 60 FR 31605, June 15, (1) To non-self-propelled vessels not 1995] engaged in foreign trade; § 67.323 Operation without documenta- (2) When the Certificate of Docu- tion. mentation has been submitted to the No vessel which is required by § 67.7 National Vessel Documentation Center to be documented may engage in un- for exchange in accordance with § 67.167 limited coastwise trade or the fisheries (d) or (e); or without being documented in accord- (3) When the vessel is in storage or ance with the requirements of this out of the water. part. [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended 15, 1993, as amended by USCG–2009–0702, 74 by CGD 95–014, 60 FR 31605, June 15, 1995] FR 49230, Sept. 25, 2009]

§ 67.317 Requirement to renew en- § 67.325 Violation of endorsement. dorsements on the Certificate of A vessel may not be employed in any Documentation. trade other than a trade endorsed upon (a) Except as provided in paragraph the Certificate of Documentation (b) of this section, the owner of a docu- issued for that vessel. A vessel documented vessel must annually renew mented exclusively for recreation may each endorsement upon the current not be used for purposes other than Certificate of Documentation for that pleasure. vessel in accordance with § 67.163. § 67.327 Operation under Certificate of (b) The requirement of paragraph (a) Documentation with invalid en- of this section does not apply to Cer- dorsement. tificates of Documentation placed on Except for vessels identified in § 67.9, deposit in accordance with § 67.165. no vessel may be operated under a Cer- tificate of Documentation with en- § 67.319 Requirement to report change in vessel status and surrender Cer- dorsements which have become invalid tificate of Documentation. under subpart L of this part. The owner of a documented vessel § 67.329 Unauthorized name change. must immediately report any change The owner of a documented vessel in vessel status which causes any Cer- may not change or allow the change of tificate of Documentation to become the name of that vessel without ex- invalid under subpart L of this part changing the vessel’s Certificate of and which must be exchanged, re- Documentation in accordance with placed, deleted, or canceled, to the Na- subpart K of this part. The new name tional Vessel Documentation Center. of the vessel must be marked on the The outstanding Certificate must be vessel upon receipt of the new Certifi- surrendered in accordance with the re- cate of Documentation. quirements of subparts K and L of this part. § 67.331 Improper markings. The owner of a documented vessel [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. shall not permit the operation of that 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended by CGD 95–014, 60 FR 31605, June 15, 1995] vessel unless it is marked in accordance with subpart I of this part.

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Subpart V—Exception From Fish- ership interest was transferred to a ery Endorsement Require- non-U.S. citizen after September 30, ments Due to Conflict With 2001. International Agreements (c) You must file a separate petition for each vessel requiring an exemption unless the NVDC authorizes consoli- SOURCE: USCG–1999–6095, 65 FR 76576, Dec. dated filing. Petitions should include 7, 2000, unless otherwise noted. two copies of all required materials and § 67.350 Conflicts with international should be sent to the following address: agreements. National Vessel Documentation Cen- ter, 792 TJ Jackson Drive, Falling (a) If you are an owner or mortgagee Water, West Virginia, 25419. of a fishing vessel less than 100 feet in length and believe that there is a con- (d) Upon receipt of a complete peti- flict between 46 CFR part 67 and any tion, the NVDC will review the petition international treaty or agreement to to determine whether the effective which the United States is a party on international treaty or agreement and October 1, 2001, and to which the the requirements of this part are in United States is currently a party, you conflict. If the NVDC determines that may petition the National Vessel Docu- this part conflicts with the effective mentation Center (NVDC) for a ruling international treaty or agreement, that all or sections of part 67 do not then the NVDC will inform you of the apply to you with respect to a par- guidelines and requirements you must ticular vessel, provided that you had meet and maintain to qualify for a an ownership interest in the vessel or a fisheries endorsement. mortgage on the vessel on October 1, (e) If the vessel is determined 2001. You may file your petition with through the petition process to be ex- the NVDC before October 1, 2001, with empt from all or sections of the re- respect to international treaties or quirements of this part, then you must agreements in effect at the time of annually, from the date of exemption, your petition which are not scheduled submit the following evidence of its to expire before October 1, 2001. ownership structure to the NVDC: (b) If you are filing a petition for ex- (1) The vessel’s current ownership emption with the NVDC for reasons structure; stated in paragraph (a) of this section, (2) The identity of all non-citizen your petition must include: owners and the percentages of their (1) Evidence of the ownership struc- ownership interest in the vessel; ture of the vessel petitioning for an ex- (3) Any changes in the ownership emption as of October 1, 2001, and any structure that have occurred since you subsequent changes to the ownership last submitted evidence of the vessel’s structure of the vessel; ownership structure to the NVDC; and (i) If you are filing your petition be- (4) A statement ensuring that no in- fore October 1, 2001, you may substitute terest in the vessel was transferred to evidence of the ownership structure as a non-citizen during the previous year. it exists on the date you file your petition; § 67.352 Applicability. (2) A copy of the provisions of the The exemption in this subpart shall international agreement or treaty that not be available to: you believe is in conflict with this part; (a) Owners and mortgagees of a fish- (3) A detailed description of how the ing vessel less than 100 feet in length provisions of the international agree- who acquired an interest in the vessel ment or treaty conflict with this part; after October 1, 2001; or (4) For all petitions filed before Octo- (b) Owners of a fishing vessel less ber 1, 2001, a certification that the than 100 feet in length, if any owner- owner intends to transfer no ownership ship interest in that vessel is trans- interest in the vessel to a non-U.S. cit- ferred to or otherwise acquired by a izen for the following year. non-U.S. citizen after October 1, 2001. (5) For all petitions filed after Octo- ber 1, 2001, a certification that no own- Subparts W–X [Reserved] 364

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Subpart Y—Fees ble fee under § 67.511 will be charged in addition to the application fee for the § 67.500 Applicability. exchange or replacement. (a) This subpart specifies documenta- (b) The application fee for exchange tion services provided for vessels for or replacement does not apply to: which fees are applicable. No docu- (1) Endorsement of a change in the mentation service for which a fee is ap- owner’s address; plicable will be performed until the ap- (2) Exchange or replacement solely propriate fee has been paid. Fees are by reason of clerical error on the part contained in Table 67.550. of a documentation officer; or (b) There is no fee for replacement of (3) Deletion of a vessel from docu- a Certificate of Documentation due to mentation. a wrongful withholding. (c) The Director, National Vessel § 67.505 Application for return of vessel to documentation. Documentation Center may waive collection of fees applicable under this An application fee is charged for a re- subpart for a service provided to a Fed- turn of a vessel to documentation after eral agency when the fee would be di- deletion in accordance with subpart K rectly paid with federally-appropriated of this part. If application is made for funds by a Federal agency acting in its any trade endorsement, the applicable own behalf. fee under § 67.511 will be charged in ad- (d) Application fees under this sub- dition to the application fee for return part are not refundable. to documentation. [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. § 67.507 Application for replacement of 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended lost or mutilated Certificate of Doc- by CGD 95–014, 60 FR 31605, June 15, 1995; umentation. CGD 95–070, 60 FR 40241, Aug. 7, 1995; USCG– 1998–4442, 63 FR 52191, Sept. 30, 1998; USCG– An application fee is charged for re- 2010–0990, 79 FR 47023, Aug. 12, 2014] placement of a lost or mutilated Cer- tificate of Documentation in accord- § 67.501 Application for Certificate of ance with subpart K of this part. Documentation. An application fee is charged for an § 67.509 Application for approval of ex- initial Certificate of Documentation in change of Certificate of Documenta- tion requiring mortgagee consent. accordance with subpart K of this part. If application is made for any trade en- An application fee is charged for ap- dorsement, the applicable fee under proval of exchange of a Certificate of § 67.511 will be charged in addition to Documentation requiring mortgagee the application fee for the Certificate. consent in accordance with subpart K The application fee does not include of this part. the fee under § 67.527 for filing and recording any required bills of sale or in- § 67.511 Application for trade endorsement(s). struments in the nature of a bill of sale, or the application fee under (a) Coastwise endorsement. An applica- § 67.519 for waivers in accordance with tion fee is charged for a coastwise en- §§ 67.89 or 67.101. dorsement, in accordance with subpart B of this part. § 67.503 Application for exchange or (b) Coastwise Bowaters endorsement. replacement of a Certificate of Doc- An application fee is charged for a umentation. coastwise Bowaters endorsement in ac- (a) An application fee is charged for cordance with 46 CFR part 68. exchange or the simultaneous exchange (c) Fishery endorsement. An applica- and replacement of a Certificate of tion fee is charged for a fishery en- Documentation in accordance with dorsement in accordance with subpart subpart K of this part. Only a single B of this part. application fee will be assessed when (d) Registry or recreational endorse- two or more reasons for exchange occur ment. There is no application fee for a simultaneously. If application is made registry or recreational endorsement, for any trade endorsement, the applica- or both.

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(e) When multiple trade endorse- United States and repaired in accord- ments are requested on the same appli- ance with subpart J of this part. This cation, only the single highest applica- fee is in addition to the cost associated ble endorsement fee will be charged. with the vessel appraisals. [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. 15, 1993, as amended by USCG–2009–0702, 74 15, 1993, as amended by USCG–2009–0702, 74 FR 49230, Sept. 25, 2009] FR 49230, Sept. 25, 2009]

§ 67.513 Application for evidence of de- § 67.525 Application for determination letion from documentation. of rebuild. An application fee is charged for evi- An application fee is charged for a dence of deletion from documentation determination of whether a vessel has in accordance with subpart L of this been rebuilt in accordance with subpart. part M of this part. This fee will be assessed for each request for either a pre- § 67.515 Application for renewal of en- liminary or final determination sub- dorsements. mitted in writing by the vessel owner An application fee is charged for an- or the vessel owner’s representative. nual renewal of endorsements on Cer- tificates of Documentation in accord- § 67.527 Application for filing and re- ance with subpart L of this part. cording bills of sale and instruments in the nature of a bill of sale. [USCG–2010–0990, 79 FR 47023, Aug. 12, 2014] An application fee is charged for fil- § 67.517 Application for late renewal. ing and recording bills of sale and in- In addition to any other fees required struments in the nature of a bill of sale by this subpart, including a renewal in accordance with subpart P of this fee, a fee is charged for a late renewal part. in accordance with subpart L of this § 67.529 Application for filing and re- part. cording mortgages and related in- [USCG–2010–0990, 79 FR 47023, Aug. 12, 2014] struments. An application fee is charged for fil- § 67.519 Application for waivers. ing and recording mortgages and re- An application fee is charged for lated instruments in accordance with waiver of original build evidence in ac- subpart Q of this part. cordance with subpart F of this part, or for waiver of bill of sale eligible for fil- § 67.531 Application for filing and re- ing and recording in accordance with cording notices of claim of lien. subpart E of this part. In cases where An application fee is charged for fil- more than one waiver is required, each ing and recording notices of claim of waiver application is subject to this lien in accordance with subpart R of fee. this part.

[CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. § 67.533 Application for Certificate of 15, 1993, as amended by USCG–1998–4442, 63 Compliance. FR 52191, Sept. 30, 1998] An application fee is charged for a § 67.521 Application for new vessel de- Certificate of Compliance to be issued termination. in accordance with regulations set An application fee is charged for a forth in 46 CFR part 68. new vessel determination in accordance with subpart M of this part. § 67.535 Issuance of Abstract of Title. An issuance fee is charged for a Gen- § 67.523 Application for wrecked vessel eral Index or Abstract of Title in ac- determination. cordance with subpart T of this part. An application fee is charged for a determination of whether a vessel is § 67.537 Issuance of Certificate of entitled to coastwise and fisheries Ownership. privileges as a result of having been An issuance fee is charged for a Cer- wrecked in waters adjacent to the tificate of Ownership in accordance

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with subpart T of this part. A supple- § 67.539 Copies of instruments and mental issuance fee is charged for a documents. Certificate of Ownership attachment The fee charged for furnishing a copy for each additional vessel with the of any instrument or document is cal- same ownership and encumbrance in- culated in the same manner as de- formation. scribed in 49 CFR 7.95. [CGD 94–008, 59 FR 49847, Sept. 30, 1994]

§ 67.550 Fee table. The fees charged under subpart Y are as set forth in Table 67.550.

TABLE 67.550—FEES

Activity Reference Fee

Applications: Initial Certificate of Documentation ...... Subpart K ...... $133.00 Exchange of Certificate of Documentation ...... do ...... 84.00 Return of vessel to documentation ...... do ...... 84.00 Replacement of lost or mutilated Certificate of Documentation ...... do ...... 50.00 Approval of exchange of Certificate of Documentation requiring mort- ...... do ...... 24.00 gagee consent. Trade endorsement(s): Coastwise endorsement ...... Subpart B ...... 29.00 Coastwise Boaters endorsement ...... 46 CFR part 68 ...... 29.00 Fishery endorsement ...... do ...... 12.00 Registry endorsement ...... do ...... none Recreational endorsement ...... do ...... none

Note: When multiple trade endorsements are requested on the same application, the single highest applicable endorsement fee will be charged, resulting in a maximum endorsement fee of $29.00.

Evidence of deletion from documentation ...... Subpart L ...... 15.00 Renewal fee ...... do ...... 26.00 Late renewal fee ...... do ...... 1 5.00 Waivers: Original build evidence ...... Subpart F ...... 15.00 Bill of sale eligible for filing and recording ...... Subpart E ...... 15.00 Miscellaneous applications: Wrecked vessel determination ...... Subpart J ...... 555.00 New vessel determination ...... Subpart M ...... 166.00 Rebuild determination—preliminary or final ...... do ...... 450.00 Filing and recording: Bills of sale and instruments in nature of bills of sale ...... Subpart P ...... 2 8.00 Mortgages and related instruments ...... Subpart Q ...... 2 4.00 Notice of claim of lien and related instruments ...... Subpart R ...... 2 8.00 Certificate of compliance: Certificate of compliance ...... 46 CFR part 68 ...... 55.00 Miscellaneous: Abstract of Title ...... Subpart T ...... 25.00 Certificate of ownership ...... do ...... 125.00 Attachment for each additional vessel with same ownership ...... do ...... 10.00 and encumbrance data. Copy of instrument or document ...... (3) (3) 1 Late renewal fee is in addition to the $26.00 renewal fee. 2 Per page. 3 Fees will be calculated in accordance with 6 CFR Part 5, Subpart A.

[CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. 15, 1993; 58 FR 65243, Dec. 13, 1993, as amended by CGD 95–014, 60 FR 31605, June 15, 1995; CGD 95–070, 60 FR 40242, Aug. 7, 1995; USCG–2007–28098, 72 FR 42313, Aug. 2, 2007; USCG–2009–0702, 74 FR 49230, Sept. 25, 2009; USCG–2010–0990, 79 FR 47023, Aug. 12, 2014]

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PART 68—DOCUMENTATION OF 68.70 Application procedure for vessels other than barges to be operated in VESSELS: EXCEPTIONS TO coastwise trade without being docu- COASTWISE QUALIFICATION mented. 68.75 Application procedure for barges to be Subpart A—Regulations for Engaging in operated in coastwise trade without Limited Coastwise Trade being documented. 68.80 Invalidation of a coastwise endorse- Sec. ment. 68.1 Purpose of subpart. 68.3 Definitions for the purposes of this sub- Subpart D—Vessels With a Coastwise En- part. dorsement Issued Before August 9, 68.5 Requirements for citizenship under 46 2004, and Their Replacements That Are U.S.C. App. 833–1. 68.7 Qualification as an 883–1 corporation. Demise Chartered to Coastwise-Quali- 68.9 Qualification as a parent or subsidiary. fied Citizens 68.11 Cessation of qualifications. 68.13 Privileges conferred—documentation 68.100 Purpose and applicability. of vessels. 68.103 Definitions. 68.15 Privileges conferred—operation of ves- 68.105 Eligibility of a vessel for a coastwise sels. endorsement under this subpart. 68.17 Restrictions. 68.107 Application procedure for vessels 68.19 Application by an 883–1 corporation to other than barges to be operated in document a vessel. coastwise trade without being documented. APPENDIX A TO SUBPART A OF PART 68—OATH 68.109 Application procedure for barges to FOR THE QUALIFICATION OF CORPORATION be operated in coastwise trade without AS A CITIZEN OF THE UNITED STATES being documented. UNDER THE ACT OF SEPT. 2, 1958 (46 U.S.C. APP. 883–1) 68.111 Invalidation of a coastwise endorse- APPENDIX B TO SUBPART A OF PART 68—OATH ment. OF PARENT OR SUBSIDIARY CORPORATION AUTHORITY: 14 U.S.C. 664; 31 U.S.C. 9701; 42 ACT OF SEPTEMBER 2, 1958 (46 U.S.C. APP. U.S.C. 9118; 46 U.S.C. 2103, 2110; 46 U.S.C. app. 883–1) 876; Department of Homeland Security Dele- gation No. 0170.1. Subpart B—Documentation of Certain Vessels for Oil Spill Cleanup SOURCE: CGD 80–107, 47 FR 27511, June 24, 1982, unless otherwise noted. 68.25 Purpose and scope. 68.27 Definitions for purpose of this subpart. Subpart A—Regulations for En- 68.29 Citizenship requirements for limited coastwise endorsement. gaging in Limited Coastwise 68.31 Vessel eligibility requirements for Trade limited coastwise endorsement. 68.33 Privileges of a limited coastwise en- SOURCE: CGD 80–107, 47 FR 27511, June 24, dorsement. 1982. Redesignated and amended by USCG– 68.35 Application to document a vessel 2005–20258, 71 FR 61418, 61419, Oct. 18, 2006, un- under this subpart. less otherwise noted. 68.37 Cessation of qualifications. APPENDIX A TO SUBPART B OF PART 68—OATH § 68.1 Purpose of subpart. FOR QUALIFICATION OF A NOT-FOR-PROFIT OIL SPILL RESPONSE COOPERATIVE This subpart contains citizen owner- APPENDIX B TO SUBPART B OF PART 68—OATH ship requirements and procedures to FOR DOCUMENTATION OF VESSELS FOR USE allow documentation of vessels that do BY A NOT-FOR-PROFIT OIL SPILL RE- not meet the requirements of part 67 of SPONSE COOPERATIVE this chapter. The requirements are for corporations engaged in a manufac- Subpart C—Vessels With a Coastwise En- turing or mineral industry in the dorsement Issued on or After August 9, United States. 2004, That Are Demised Chartered to Coastwise Qualified Citizens [USCG–2005–20258, 71 FR 61419, Oct. 18, 2006]

68.50 Purpose and applicability. § 68.3 Definitions for the purposes of 68.55 Definitions. this subpart. 68.60 Eligibility of a vessel for a coastwise endorsement under this subpart. Act means the Act of September 2, 68.65 Annual ownership certification. 1958 (46 U.S.C. App. 883–1).

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883–1 citizen or 883–1 corporation cluded from qualifying as a citizen under any means a corporation which qualifies for definition in part 67 upon compliance with the special citizenship status created all applicable requirements. by the Act of September 2, 1958 (46 [CGD 80–107, 47 FR 27494, June 24, 1982, as U.S.C. App. 883–1). amended at 47 FR 35488, Aug. 16, 1982; CGD Parent corporation means one incor- 95–028, 62 FR 51203, Sept. 30, 1997. Redesig- porated under the laws of the United nated by USCG–2005–20258, 71 FR 61418, Oct. States, or any state, territory, or dis- 18, 2006] trict of the United States, which con- § 68.7 Qualification as an 883–1 cor- trols (directly or indirectly) at least 50 poration. percent of the voting stock of another (a) To be formally qualified as an 883– corporation. 1 corporation for all purposes under the Subsidiary corporation means one in- Act, a corporation which meets the re- corporated under the laws of the quirements of § 68.5 must file with the United States, or any state, territory, Director, National Vessel Documenta- or district of the United States, which tion Center a certificate under oath as has not less than 50 percent of its vot- described in appendix A. ing stock controlled (directly or indi- (b) Upon the filing of the certificate rectly) by another corporation. required under paragraph (a) of this [CGD 80–107, 47 FR 27511, June 24, 1982, as section, the Director, National Vessel amended by CGD 95–028, 62 FR 51203, Sept. 30, Documentation Center will furnish the 1997. Redesignated by USCG–2005–20258, 71 FR corporation a Certificate of Compli- 61418, Oct. 18, 2006] ance which is valid for a period of 3 years from the date of its issuance, un- § 68.5 Requirements for citizenship under 46 U.S.C. App. 883–1. less there is a change in corporate status requiring a report under § 68.11(a). A corporation seeking to establish its On or before the date of expiration of citizenship under the Act of September the Certificate of Compliance, a new 2, 1958 (46 U.S.C. App. 883–1) must meet certificate under oath as described in the following criteria as specified in appendix A of this subpart must be the Act: filed with the Director, National Vessel (a) It must be incorporated under the Documentation Center. laws of the United States, or any state, territory, district, or possession of the (Approved by the Office of Management and United States; Budget under control number 1625–0027) (b) A majority of the officers and di- [CGD 89–007; CGD 89–007a, 58 FR 60266, Nov. rectors of the corporation must be citi- 15, 1993, 58 FR 65131, Dec. 13, 1993, as amended zens of the United States; by CGD 95–014, 60 FR 31605, June 15, 1995; (c) Not less than 90 percent of the USCG–1999–6216, 64 FR 53225, Oct. 1, 1999; employees of the corporation must be USCG–2002–13058, 67 FR 61279, Sept. 30, 2002; USCG–2006–25697, 71 FR 55746, Sept. 25, 2006. residents of the United States; Redesignated and amended by USCG–2005– (d) Such corporation must be engaged 20258, 71 FR 61418, 61419, Oct. 18, 2006] primarily in a manufacturing or mineral industry in the United States or § 68.9 Qualification as a parent or sub- any territory, district, or possession of sidiary. the United States; (a) To be formally qualified as a par- (e) The aggregate book value of the ent corporation, as defined in § 68.3, a vessels owned by the corporation must corporation must file with the Direc- not exceed 10 percent of the aggregate tor, National Vessel Documentation book value of the assets of the corpora- Center a certificate under oath as de- tion; and scribed in appendix B of this subpart. (f) The corporation must purchase or (b) To be formally qualified as sub- produce in the United States, its terri- sidiary corporation as defined in § 68.3, tories or possessions, not less than 75 a corporation must file with the Direc- percent of the raw materials used or tor, National Vessel Documentation sold in its operations. Center a certificate under oath as de- NOTE: A corporation which qualifies as an scribed in appendix B of this subpart. 883–1 citizen by meeting the criteria in para- (c) Upon the filing of the certificate graph (a) of this section is not thereby pre- required under paragraph (a) or (b) of

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this section, the Director, National (a) An 883–1 corporation may docu- Vessel Documentation Center will fur- ment under the Act only vessels which nish the corporation a certificate of are qualified for employment in the parent or subsidiary status which is coastwise trade and which are either valid for a period of 3 years from the non-self propelled or, if self-propelled, date of its issuance unless there is a are of less than 500 gross tons. change in corporate status requiring a (b) A vessel owned by an 883–1 cor- report under § 68.11(a). On or before the poration and meeting the criteria in date of expiration of the certificate of paragraph (a) of this section may be parent or subsidiary status, a new cer- documented only for use in the coast- tificate under oath as described in ap- wise trade subject to the restrictions in pendix B of this subpart must be filed § 68.17. with the Director, National Vessel Doc- (c) Section 68.19 contains details con- umentation Center. cerning the documentation of vessels by an 883–1 corporation. [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended [CGD 80–107, 47 FR 27511, June 24, 1982. Redes- by CGD 95–014, 60 FR 31605, June 15, 1995; ignated and amended by USCG–2005–20258, 71 USCG–1999–6216, 64 FR 53225, Oct. 1, 1999; FR 61418, Oct. 18, 2006] USCG–2002–13058, 67 FR 61279, Sept. 30, 2002. Redesignated and amended by USCG–2005– § 68.15 Privileges conferred—operation 20258, 71 FR 61418, 61419, Oct. 18, 2006] of vessels. (a) The special citizenship status cre- § 68.11 Cessation of qualification. ated by the Act entitles the 883–1 cor- (a) If after filing the certificate re- poration to operate, subject to the required by § 68.7, a change occurs where- strictions in § 68.17, vessels which are by an 883–1 corporation no longer qualified to engage in the coastwise meets the criteria in § 68.5(a), that cor- trade and are exempt from documenta- poration’s qualification for the privi- tion. (See § 67.9 for classes of exempt leges enumerated in §§ 68.13 and 68.15 is vessels.) terminated effective as of the date and (b) Vessels, documented or exempt time of the change. The corporation from documentation, employed subject must report the change in writing to to the Act may carry passengers and the Director, National Vessel Docu- merchandise of the 883–1 corporation mentation Center. owning such vessels only between (b) If, after filing the certificate re- points in the United States, including quired by § 68.9, a change occurs where- territories, districts, and possessions by the corporation is no longer entitled thereof embraced in the coastwise to be deemed a parent or subsidiary laws. corporation, that corporation’s quali- (c) The special citizenship status cre- fication for the privileges in §§ 68.13 and ated by the Act entitles an 883–1 cor- 68.15 is terminated effective as of the poration owning vessels as described in date and time of the change. The cor- paragraphs (a) and (b) of this section to poration must report such change in transport merchandise or passengers writing to the Director, National Ves- for hire in the coastwise trade as a sel Documentation Center. service for a duly qualified parent or subsidiary corporation as defined in [CGD 89–007, CGD 89–007a, 58 FR 60266, Nov. § 68.3. 15, 1993; 58 FR 65131, Dec. 13, 1993, as amended by CGD 95–014, 60 FR 31605, June 15, 1995; (d) The special citizenship status cre- USCG–1999–6216, 64 FR 53225, Oct. 1, 1999. Re- ated by the Act entitles an 883–1 cor- designated and amended by USCG–2005–20258, poration owning vessels as described in 71 FR 61418, 61419, Oct. 18, 2006] paragraphs (a) and (b) of this section to demise or bareboat charter such vessels § 68.13 Privileges conferred—docu- to common or contract carriers subject mentation of vessel. to the restrictions in § 68.17(c). The special citizenship status created [CGD 80–107, 47 FR 27511, June 24, 1982, as by the Act entitles the 883–1 corpora- amended by USCG–2002–13058, 67 FR 61279, tion to document certain vessels for Sept. 30, 2002. Redesignated and amended by certain limited purposes: USCG–2005–20258, 71 FR 61418, Oct. 18, 2006]

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§ 68.17 Restrictions. APPENDIX A TO SUBPART A OF PART 68— OATH FOR QUALIFICATION OF COR- (a) Vessels employed subject to the PORATION AS A CITIZEN OF THE Act are entitled to operation only in UNITED STATES UNDER THE ACT OF the coastwise trade and only to the ex- SEPTEMBER 2, 1958 (46 U.S.C. APP. tent described in paragraphs (b) and/or 883–1) (c) of this section. (b) A vessel owned by an 883–1 cor- Department of Homeland Security, U.S. Coast poration may engage in coastwise Guard transportation for hire as a service to a Oath for Qualification of Corporation as a parent or subsidiary corporation as de- Citizen of the United States Under the Act fined in § 68.3. Such transportation for of September 2, 1958 (46 U.S.C. app. 883–1) hire must be between points of the Corporation: United States, including territories, Name lllllllllllllllllll districts, and possessions thereof em- Address 1 lllllllllllllllll State where incorporated lllllllll braced in the coastwise laws. Affiant: (c) A vessel owned by an 883–1 cor- Name lllllllllllllllllll poration may be operated under demise Address llllllllllllllllll or bareboat charter to a common or a Company lllllllllllllllll contract carrier subject to 49 U.S.C. Title or capacity lllllllllllll chapter 101 if the corporation is a U.S. I, the affiant named above, swear that I am citizen as defined in 46 U.S.C. App. 802. legally authorized to make this oath on be- (1) Such common or contract carrier half of the corporation, that a majority of the officers and directors of the above-named may not be connected either directly corporation are citizens of the United States, or indirectly by ownership or control as shown by the attached listing incor- with the 883–1 corporation. porated in and made a part of this oath (2) The demise or bareboat charter which truly and correctly names all such of- must be at prevailing rates. ficers and directors, giving the home address and citizenship of each; that not less than 90 (3) The vessels under a demise or percent of the employees of the corporation bareboat charter may not be used in are residents of the United States; that the non-contiguous trade. corporation is engaged primarily in a manufacturing or mineral industry in the United [CGD 80–107, 47 FR 27511, June 24, 1982, as States or in a territory, district or posses- amended by CGD 95–028, 62 FR 51203, Sept. 30, sion thereof; that the aggregate book value 1997. Redesignated and amended by USCG– of the vessels owned by the corporation does 2005–20258, 71 FR 61418, Oct. 18, 2006] not exceed 10 percent of the aggregate book value of the assets of the corporation; and § 68.19 Application by an 883–1 cor- that the corporation purchases or produces poration to document a vessel. in the United States, its territories or possessions not less than 75 percent of the raw (a) An application by an 883–1 cor- materials used or sold in its operation. 2 poration to document a vessel must The above named corporation fails to qual- comply with the applicable require- ify as a citizen within the meaning of ments in subparts A, D, E, F, G, H, I, K, § 67.39(c) of this chapter by reason of: 3 and L of part 67 of this chapter. lllNon-citizen President Non-citizen Chairman of Board (b) An application by an 883–1 cor- lll lllFailure to meet quorum requirements poration to document a vessel must in- lllFailure to meet stock ownership re- clude a copy of the Certificate of Com- quirements pliance issued under § 68.7. Signature llllllllllllllllll Subscribed and sworn to before me on the [CGD 95–014, 60 FR 31606, June 15, 1995. Redes- day and year shown ignated and amended by USCG–2005–20258, 71 llllllllllllllllllllllll FR 61418, Oct. 18, 2006] 1 Show principal place of business of corporation. 2 Attach the required list of the names of all officers and directors of the corporation, giving the home address and citizenship of each. 3 Check appropriate line or lines.

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llllllllllllllllllllllll (Notary Public) (Notary Public) [CGD 80–107,47 FR 27511, June 24, 1982, as Date lllllllllllllllllllll amended by USCG–2003–14505, 68 FR 9535, [CGD 80–107, 47 FR 27511, June 24, 1982, as Feb. 28, 2003. Redesignated and amended by amended by USCG–2002–13058, 67 FR 61279, USCG–2007–28098, 71 FR 61418, 61419, Oct. 18, Sept. 30, 2002; USCG–2003–14505, 68 FR 9535, 2006] Feb. 28, 2003. Redesignated and amended by USCG–2007–28098, 71 FR 61418, 61419, Oct. 18, 2006] Subpart B—Documentation of Certain Vessels for Oil Spill APPENDIX B TO SUBPART A OF PART 68— Cleanup OATH OF PARENT OR SUBSIDIARY CORPORATION ACT OF SEPTEMBER 2, SOURCE: CGD 90–055, 57 FR 7642, Mar. 3, 1958 (46 U.S.C. APP. 883–1) 1992. Redesignated by USCG–2005–20258, 71 FR Department of Homeland Security, U.S. Coast 61418, Oct. 18, 2006, unless otherwise noted. Guard § 68.25 Purpose and scope. Oath of Parent or Subsidiary Corporation, This subpart contains citizen owner- Act of September 2, 1958 (46 U.S.C. app. 883– ship requirements and procedures to 1) allow documentation of vessels which Corporation: do not meet the requirements of part 67 Name lllllllllllllllllll of this chapter. The requirements are Address llllllllllllllllll State of incorporation llllllllll for the limited purposes of training for, Status (Parent) 1llll (Sub- implementing, and supporting oil spill sidiary) 2llll cleanup operations. Name of associated corporation llllll Address llllllllllllllllll [CGD 90–055, 57 FR 7642, Mar. 3, 1992. Redesig- State where incorporated lllllllll nated by USCG–2005–20258, 71 FR 61418, Oct. Affiant: 18, 2006] Name lllllllllllllllllll Address llllllllllllllllll § 68.27 Definitions for purposes of this Company lllllllllllllllll subpart. Title or capacity lllllllllllll Certificate of Documentation means I, the affiant named above, swear that the form CG–1270. corporation first named herein is the (par- Citizen means a citizen as described ent) 1 (subsidiary) 2 of the associated corpora- in part 67 of this chapter. tion named, that I am the duly authorized Exclusive Economic Zone or EEZ officer or agent of the corporation first means the exclusive economic zone es- named, and that the associated corporation tablished by Presidential Proclamation has previously established that it is a citizen within the meaning of the Act of September Numbered 5030, dated March 10, 1983, 2, 1958 (46 U.S.C. app. 883–1). including the ocean waters of the areas Signature llllllllllllllllll referred to as ‘‘eastern special areas’’ Subscribed and sworn to before me on the in Article 3(1) of the Agreement be- day and year shown tween the United States of America llllllllllllllllllllllll and the Union of Soviet Socialist Re- publics on the Maritime Boundary, 1 A ‘‘parent corporation’’ for the purposes signed June 1, 1990. of this oath is one incorporated under the Not-for-profit oil spill response coopera- laws of the United States, or any State, ter- tive means a corporation, partnership, ritory, or district of the United States, association, trust, joint venture, or which controls (directly or indirectly) at least 50 percent of the voting stock of another entity established under the laws other corporation. Strike out the inappli- of the United States, or of a State, cable term. with a not-for-profit status and for the 2 A ‘‘subsidiary corporation’’ for the pur- limited purposes of training for, car- poses of this oath is one incorporated under rying out, and supporting oil spill the laws of the United States, or any State, cleanup operations or related research territory, or district of the United States, activities. which has not less than 50 percent of its voting stock controlled (directly or indirectly) [CGD 90–055, 57 FR 7642, Mar. 3, 1992. Redesig- by another corporation. Strike out the inap- nated by USCG–2005–20258, 71 FR 61418, Oct. plicable term. 18, 2006]

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§ 68.29 Citizenship requirements for § 68.31 Vessel eligibility requirements limited coastwise endorsement. for limited coastwise endorsement. (a) Notwithstanding the citizenship (a) A vessel must comply with all the requirements set out in part 67 of this requirements of part 67 of this chapter, chapter, a Certificate of Documenta- other than citizenship requirements, in tion with a coastwise endorsement for order to be eligible for documentation the limited purposes provided in § 68.33 under this subpart. may be issued to a vessel owned by— (b) Notwithstanding 46 U.S.C. App. (1) A not-for-profit oil spill response 883, a vessel remains eligible for docu- cooperative if the vessel meets the re- mentation under this subpart even if quirements of paragraph (b) of this sec- the vessel was formerly owned by a tion; or not-for-profit oil spill response cooper- (2) A member or members of a not- ative or by one or more members of a for-profit oil spill response cooperative not-for-profit oil spill response cooper- if the vessel meets the requirements of ative and the vessel meets the criteria paragraphs (b) and (c) of this section. of § 68.29. (b) The vessel must be at least 50 per- [CGD 90–055, 57 FR 7642, Mar. 3, 1992. Redesig- cent owned by one or more of the fol- nated and amended by USCG–2005–20258, 71 lowing entities: FR 61418, Oct. 18, 2006] (1) An individual who is a native- born, naturalized or derivative citizen § 68.33 Privileges of a limited coastwise endorsement. of the United States or otherwise qualifies as a United States citizen. (a) A vessel which is documented and (2) A corporation incorporated under issued a limited coastwise endorsement the laws of the United States or of a under this subpart may operate on the State where— navigable waters of the United States (i) The president and, if the president or in the EEZ in coastwise trade only is not the chief executive officer, the for the following purposes: chief executive officer, by whatever (1) To recover oil discharged into the title, is a citizen; water. (2) To transport oil discharged into (ii) The chairman of the board of di- the water. rectors is a citizen; and (3) To transport and deploy equip- (iii) No more of the directors are non- ment, supplies, and personnel for re- citizens than a minority of the number covering and transporting oil dis- necessary to constitute a quorum. charged into the water. (3) A partnership where all the gen- (4) To conduct training exercises to eral partners are citizens and at least prepare for performing the functions in 50 percent of the equity interest is paragraphs (a)(1) through (a)(3) of this owned by citizens. section. (4) An association or joint venture (b) This limited coastwise endorse- where all the members are citizens. ment also entitles the vessel to any (5) A trust where all the trustees and other employment for which a registry all the beneficiaries with an enforce- or fishery license is not required. able interest in the trust are citizens. (c) A vessel which is documented and (c) The vessel must be owned by a issued a limited coastwise endorsement member or members of a not-for-profit under this subpart may qualify to oper- oil spill response cooperative who dedi- ate for other purposes by meeting the cate the vessel to the use of a not-for- applicable requirements of part 67 of profit oil spill response cooperative. this chapter. (d) A vessel which meets the criteria of this section is considered to be [CGD 90–055, 57 FR 7642, Mar. 3, 1992. Redesig- nated by USCG–2005–20258, 71 FR 61418, Oct. owned exclusively by citizens of the 18, 2006; USCG–2009–0702, 74 FR 49230, Sept. 25, United States for the purposes of sub- 2009] sequent transfer and documentation under part 67 of this chapter. § 68.35 Application to document a vessel under this subpart. [CGD 90–055, 57 FR 7642, Mar. 3, 1992. Redesig- nated and amended by USCG–2005–20258, 71 (a) To qualify to document a vessel FR 61418, Oct. 18, 2006] or to accept the dedication of a vessel

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by a member or members under this the vessel or its ownership, a report subpart, a not-for-profit oil spill re- under § 68.37 must be filed. sponse cooperative shall file with the [CGD 89–007; CGD 89–007a, 58 FR 60266, Nov. Director, National Vessel Documenta- 15, 1993, 58 FR 65131, Dec. 13, 1993, as amended tion Center the certificate under oath by CGD 95–014, 60 FR 31606, June 15, 1995; as set forth in appendix A to this sub- USCG–1999–6216, 64 FR 53225, Oct. 1, 1999. Re- part. designated and amended by USCG–2005–20258, (b) Upon the filing of the certificate 71 FR 61418, Oct. 18, 2006] under paragraph (a) of this section, the Director, National Vessel Documenta- § 68.37 Cessation of qualifications. tion Center will furnish the not-for- (a) If the vessel is owned by a not-for- profit oil spill response cooperative profit oil spill response cooperative and with a letter of qualification. The let- a change occurs which affects the va- ter of qualification is valid for a period lidity of the certificate required by of three years from the date of its § 68.35(a), or the ownership of the vessel issuance, unless there is a change in changes so that it no longer meets the membership or structure of the not-for- criteria of § 68.29, the qualification for profit oil spill response cooperative or the privileges enumerated in § 68.33 is a change in the citizenship status of terminated effective as of the date and any of its members requiring a report time of the change. The not-for-profit under § 68.37. In order to renew the let- oil spill response cooperative shall re- ter of qualification, a new certificate port the change in writing to the Di- under oath must be filed with the Com- rector, National Vessel Documentation mandant at least 30 days before the Center. date of expiration of the letter of quali- (b) If the vessel is owned by a mem- fication. ber or members of a not-for-profit oil (c) A not-for-profit oil spill response spill response cooperative and a change cooperative seeking to document a ves- occurs which affects the validity of the sel for a limited coastwise endorsement certificate required by § 68.35(a), or the under this subpart, in addition to com- ownership of the vessel changes so that plying with the requirements of it no longer meets the criteria of § 68.31(a), shall supply to the National § 68.29, the qualification of the member Vessel Documentation Center, a copy or members for the privileges enumer- of the letter of qualification issued ated in § 68.33 is terminated effective as under paragraph (b) of this section. of the date and time of the change. The (d) A member or members of a not- member or members shall report the for-profit oil spill response cooperative change in writing to the Director, Na- seeking to document a vessel under tional Vessel Documentation Center. this subpart shall supply to the Na- (c) When qualifications are termi- tional Vessel Documentation Center, a nated under this section, the certifi- copy of the letter of qualification cate of documentation issued under issued under paragraph (b) of this sec- this subpart must be surrendered or ex- tion to the not-for-profit oil spill re- changed in accordance with part 67 of sponse cooperative to which the vessel this chapter. is dedicated. In addition, the not-for- [CGD 89–007; CGD 89–007a, 58 FR 60266, Nov. profit oil spill response cooperative and 15, 1993, 58 FR 65131, Dec. 13, 1993, as amended the vessel owners shall all certify by CGD 95–014, 60 FR 31606, June 15, 1995; under oath that the vessel for which USCG–1999–6216, 64 FR 53225, Oct. 1, 1999. Re- application is made is dedicated to use designated and amended by USCG–2005–20258, by the not-for-profit oil spill response 71 FR 61418, Oct. 18, 2006] cooperative. This certification must use the format and content described in appendix B to this subpart. If there is a change in the dedicated status of

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APPENDIX A TO SUBPART B OF PART 68— Jurisdiction where incorporated or orga- OATH FOR QUALIFICATION OF A NOT- nized lllllllllllllllllll FOR-PROFIT OIL SPILL RESPONSE llllllllllllllllllllllll COOPERATIVE I, the undersigned officer of lllll, a not-for-profit oil spill response cooperative, Department of Homeland Security, U.S. Coast swear that I am legally authorized to make Guard this oath on behalf of the cooperative, and Oath for Qualification of a Not-For-Profit its members and that the cooperative has ac- Oil Spill Response Cooperative [46 U.S.C. cepted the vessel lllll. 12106(d)] I/we lllll, am/are the owner(s) of the vessel. I/we further swear that the vessel has Cooperative: been dedicated to the exclusive use of the co- Name llllllllllllllllllll operative for the purpose of training for, car- Address lllllllllllllllllll rying out, or supporting oil spill cleanup op- Jurisdiction where incorporated or orga- erations or related research activities for nized lllllllllllllllllll discharges of oil into the navigable waters of llllllllllllllllllllllll the United States and the Exclusive Eco- Affiant: nomic Zone and that the cooperative has accepted the vessel. Name llllllllllllllllllll For the Cooperative: Address lllllllllllllllllll Name llllllllllllllllllll Cooperative lllllllllllllllll Address lllllllllllllllllll Title or Capacity llllllllllllll I, the affiant, swear that I am legally au- Cooperative lllllllllllllllll thorized to make this oath and hold the ca- Title or Capacity llllllllllllll pacity so bestowed upon me as llll, on For Each Vessel Owner: behalf of the cooperative and lllllll Name llllllllllllllllllll its members, that it is a not-for-profit cooperative, and that it is engaged in training Cooperative lllllllllllllllll for, carrying out, or supporting oil spill Title or Capacity llllllllllllll cleanup operations or related research ac- Subscribed and sworn to before me on the tivities. day and year shown. That all members of the cooperative who llllllllllllllllllllllll may use the letter of qualification issued to (Notary Public) this cooperative are truly and correctly named, including home address and citizen- Date lllllllllllllllllllll ship of each on the attached listing incor- [CGD 90–055, 57 FR 7642, Mar. 3, 1992, as porated in and made a part of this oath. amended by USCG–2003–14505, 68 FR 9535, Signature llllllllllllllllll Feb. 28, 2003. Redesignated by USCG–2007– Subscribed and sworn to before me on the 28098, 71 FR 61418, Oct. 18, 2006] day and year shown. llllllllllllllllllllllll Subpart C—Vessels With a Coast- (Notary Public) wise Endorsement Issued on Date lllllllllllllllllllll or After August 9, 2004, That [CGD 90–055, 57 FR 7642, Mar. 3, 1992, as Are Demised Chartered to amended by USCG–2003–14505, 68 FR 9535, Coastwise Qualified Citizens Feb. 28, 2003. Redesignated by USCG–2007– 28098, 71 FR 61418, Oct. 18, 2006] SOURCE: USCG–2005–20258, 71 FR 61419, Oct. APPENDIX B TO SUBPART B OF PART 68— 18, 2006, unless otherwise noted. OATH FOR DOCUMENTATION OF VES- SELS FOR USE BY A NOT-FOR-PROFIT § 68.50 Purpose and applicability. OIL SPILL RESPONSE COOPERATIVE (a) This subpart contains require- Department of Homeland Security, U.S. Coast ments, in addition to those in part 67 of Guard this chapter, for obtaining a coastwise endorsement for a U.S.-built vessel— Oath for Documentation of Vessels For Use (1) That is owned by a person that by a Not-For-Profit Oil Spill Response Co- qualifies as a citizen under § 67.35(a), operative [46 U.S.C. 12106(d)] § 67.36(a), § 67.37, or § 67.39(a) of this Cooperative: chapter; and Name llllllllllllllllllll (2) That is demise chartered to a Address lllllllllllllllllll coastwise qualified citizen under § 67.33,

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§ 67.35(c), § 67.36(c), § 67.37, § 67.39(c), or (1) Oil, petroleum products, petro- § 67.41 of this chapter. chemicals, or liquefied natural gas (b) This subpart applies to a vessel cargo that is beneficially owned by the with a coastwise endorsement issued person who submits to the Director, on or after August 9, 2004. It does not National Vessel Documentation Cen- apply to a vessel under subpart D of ter, an application or annual certifi- this part. cation under § 68.65(a)(2), or by an affiliate of that person, immediately be- § 68.55 Definitions. fore, during, or immediately after the In addition to the terms defined in cargo is carried in coastwise trade on a § 67.3 of this chapter, as used in this vessel owned by that person; subpart— (2) Oil, petroleum products, petro- Affiliate means, with respect to any chemicals, or liquefied natural gas person, any other person that is— cargo not beneficially owned by the (1) Directly or indirectly controlled person who submits to the Director, by, under common control with, or National Vessel Documentation Cen- controlling that person; or ter, an application or an annual certifi- (2) Named as being part of the same cation under § 68.65(a)(2), or by an affil- consolidated group in any report or iate of that person, but that is carried other document submitted to the in coastwise trade by a vessel owned by United States Securities and Exchange that person and which is part of an ar- Commission or the Internal Revenue rangement in which vessels owned by Service. that person and at least one other per- Cargo does not include cargo to which son are operated collectively as one title is held for non-commercial rea- fleet, to the extent that an equal sons and primarily for the purpose of amount of oil, petroleum products, pe- evading the requirements of trochemicals, or liquefied natural gas § 68.65(a)(2). cargo beneficially owned by that per- Oil has the meaning given that term son, or an affiliate of that person, is in 46 U.S.C. 2101(20). carried in coastwise trade on one or Operation or management, for vessels, more other vessels, not owned by that means all activities related to the use person, or an affiliate of that person, if of vessels to provide services. These ac- the other vessel or vessels are also part tivities include, but are not limited to, of the same arrangement; ship agency; ship brokerage; activities (3) In the case of a towing vessel as- performed by a vessel operator or de- sociated with a non-self-propelled tank mise charterer in exercising direction vessel where the two vessels function and control of a vessel, such as crew- as a single self-propelled vessel, oil, pe- ing, victualing, storing, and maintain- troleum products, petrochemicals, or ing the vessel and ensuring its safe liquefied natural gas cargo that is ben- navigation; and activities associated eficially owned by the person who owns with controlling the use and employ- both the towing vessel and the non- ment of the vessel under a time charter self-propelled tank vessel, or any or other use agreement. It does not in- United States affiliate of that person, clude activities directly associated immediately before, during, or imme- with making financial investments in diately after the cargo is carried in vessels or the receipt of earnings de- coastwise trade on either of the two rived from these investments. vessels; or Passive investment means an invest- (4) Any oil, petroleum products, pe- ment in which neither the investor nor trochemicals, or liquefied natural gas any affiliate of the investor is involved cargo carried on any vessel that is ei- in, or has the power to be involved in, ther a self-propelled tank vessel having the formulation, determination, or di- a length of at least 210 meters (about rection of any activity or function con- 689 feet) or a tank vessel that is a liq- cerning the use, operation, or manage- uefied natural gas carrier that— ment of the asset that is the subject of (i) Was delivered by the builder of the the investment. vessel to the owner of the vessel after Qualified proprietary cargo means— December 31, 1999; and

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(ii) Was purchased by a person for the (i) When the vessel’s remaining life purpose, and with the reasonable ex- would not support a charter of 3 years; pectation, of transporting on the vessel or liquefied natural gas or unrefined pe- (ii) To preserve the use or possession troleum beneficially owned by the of the vessel. owner of the vessel, or an affiliate of (b) To apply for a coastwise endorse- the owner, from Alaska to the conti- ment for a vessel under a demise char- nental United States. ter, see § 68.70 and, for a barge, see Sub-charter means all types of char- § 68.75. ters or other contracts for the use of a NOTE TO § 68.60: Section 608(b) of Public vessel that are subordinate to a char- Law 108–293 provides special requirements for ter. The term includes, but is not lim- certain vessels in the Alaska trade. ited to, a demise charter, a time charter, a voyage charter, a space charter, § 68.65 Annual ownership certification. and a contract of affreightment. (a) At the time of initial application United States affiliate means, with re- for documentation and at the time for spect to any person, an affiliate the annual renewal of the endorsement as principal place of business of which is required by § 67.163 of this chapter, the located in the United States. person that owns a vessel with a coastwise endorsement under § 68.60 must § 68.60 Eligibility of a vessel for a certify in writing to the Director, Na- coastwise endorsement under this tional Vessel Documentation Center— subpart. (1) That the person who owns a vessel (a) To be eligible for a coastwise en- with a coastwise endorsement under dorsement under 46 U.S.C. 12106(e) and § 68.60— to operate in coastwise trade under 46 (i) Is a leasing company, bank, or fi- U.S.C. 12106(e) and 12110(b), a vessel nancial institution; must meet the following: (ii) Owns, or holds the beneficial in- (1) The vessel is eligible for docu- terest in, the vessel solely as a passive mentation under 46 U.S.C. 12102. investment; (2) The vessel is eligible for a coast- (iii) Does not operate any vessel for wise endorsement under § 67.19(c) of hire and is not an affiliate of any per- this chapter and has not lost coastwise son who operates any vessel for hire; eligibility under § 67.19(d) of this chap- and ter. (iv) Is independent from, and not an (3) The person that owns the vessel affiliate of, any charterer of the vessel (or, if the vessel is owned by a trust or or any other person who has the right, similar arrangement, the beneficiary of directly or indirectly, to control or di- the trust or similar arrangement) rect the movement or use of the vessel. makes the certification in § 68.65. (2) For vessels under paragraph (b) of (4) The person that owns the vessel this section, that— has transferred to a qualified U.S. cit- (i) The aggregate book value of the izen under 46 U.S.C. app. 802 full posses- vessels owned by that person and sion, control, and command of the ves- United States affiliates of that person sel through a demise charter in which does not exceed 10 percent of the aggre- the demise charterer is considered the gate book value of all assets owned by owner pro hac vice during the term of that person and its United States affili- the charter. ates; (5) The charterer must certify to the (ii) Not more than 10 percent of the Director, National Vessel Documenta- aggregate revenues of that person and tion Center, that the charterer is a cit- its United States affiliates is derived izen of the United States for engaging from the ownership, operation, or man- in the coastwise trade under 46 U.S.C. agement of vessels; app. 802. (iii) At least 70 percent of the aggre- (6) The demise charter is for a period gate tonnage of all cargo carried by all of at least 3 years, unless a shorter pe- vessels owned by that person and its riod is authorized by the Director, Na- United States affiliates and docu- tional Vessel Documentation Center, mented under 46 U.S.C. 12106 is quali- under circumstances such as— fied proprietary cargo;

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(iv) Any cargo other than qualified (3) Mortgagee consent on form CG– proprietary cargo carried by all vessels 4593, if applicable; owned by that person and its United (4) If the application is for replace- States affiliates and documented under ment of a mutilated document or for 46 U.S.C. 12106 consists of oil, petro- exchange of documentation, the out- leum products, petrochemicals, or standing Certificate of Documentation; liquified natural gas; (5) The certification required by (v) No vessel owned by that person or § 68.65(a)(1) or, if a vessel under any of its United States affiliates and § 68.65(b), the certification required by documented under 46 U.S.C. 12106 car- § 68.65(a)(2); ries molten sulphur; and (6) A certification in the form of an (vi) That person owned one or more affidavit and, if requested by the Direc- vessels documented as of August 9, tor, National Vessel Documentation 2004, under § 67.20, as that section was Center, supporting documentation es- in effect on that date. tablishing the following facts with re- (b) Paragraph (a)(2) of this section spect to the transaction from an indi- applies only to— vidual who is authorized to provide cer- (1) A tank vessel having a tonnage of tification on behalf of the person that not less than 6,000 gross tons, as meas- owns the vessel and who is an officer in ured under 46 U.S.C. 14502 (or an alter- a corporation, a partner in a partner- native tonnage measured under 46 ship, a member of the board of man- U.S.C. 14302 as prescribed under 46 agers in a limited liability company, or U.S.C. 14104); or their equivalent. The certificate must (2) A towing vessel associated with a certify that the person that owns the non-self-propelled tank vessel that vessel has transferred to a qualified meets the requirements of paragraph United States citizen under 46 U.S.C. (b)(1) of this section, where the two app. 802 full possession, control, and vessels function as a single self-pro- command of the U.S.-built vessel pelled vessel. through a demise charter in which the NOTE TO § 68.65: The Secretary of Transpor- demise charterer is considered the tation may waive or reduce the qualified pro- owner pro hac vice during the term of prietary cargo requirement of § 68.65(a)(2)(iii) the charter. for a vessel if the person that owns the vessel (7) A copy of the charter, which must (or, if the vessel is owned by a trust or simi- provide that the charterer is deemed to lar arrangement, the beneficiary of the trust or similar arrangement) notifies the Sec- be the owner pro hac vice for the term retary that circumstances beyond the direct of the charter. control of the person that owns the vessel or (b) The charterer must submit the its affiliates prevent, or reasonably threaten following to the National Vessel Docu- to prevent, the person that owns the vessel mentation Center: from satisfying this requirement, and the (1) A certificate certifying that the Secretary does not, with good cause, deter- charterer is a citizen of the United mine otherwise. The waiver or reduction ap- States for the purpose of engaging in plies during the period of time that the circumstances exist. the coastwise trade under 46 U.S.C. app. 802. § 68.70 Application procedure for ves- (2) Detailed citizenship information sels other than barges to be oper- in the format of form CG–1258, Applica- ated in coastwise trade without tion for Documentation, section G, being documented. citizenship. The citizenship informa- (a) The person that owns the vessel tion may be attached to the form CG– (other than a barge under § 68.75) and 1258 that is submitted under paragraph that seeks a coastwise endorsement (a)(1) of this section and must be signed under § 68.60 must submit the following by, or on behalf of, the charterer. to the National Vessel Documentation (c) Whenever a charter submitted Center: under paragraph (a)(7) of this section is (1) Application for Initial Issue, Ex- amended, the vessel owner must file a change, or Replacement of Certificate copy of the amendment with the Direc- of Documentation; or Redocumenta- tor, National Vessel Documentation tion (form CG–1258); Center, within 10 days after the effec- (2) Title evidence, if applicable; tive date of the amendment.

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(d) Whenever the charterer of a vessel command of the U.S.-built barge under paragraph (a) of this section en- through a demise charter in which the ters into a sub-charter that is a demise demise charterer is considered the charter with another person for the use owner pro hac vice during the term of of the vessel, the charterer must file a the charter. copy of the sub-charter and amend- (iii) That the barge is qualified to en- ments to the sub-charter with the Di- gage in the coastwise trade and that it rector, National Vessel Documentation is owned by a person eligible to own Center, within 10 days after the effec- vessels documented under 46 U.S.C. tive date of the sub-charter and the 12102(e). sub-charterer must provide detailed (3) A copy of the charter, which must citizenship information in the format provide that the charterer is deemed to of form CG–1258, Application for Docu- be the owner pro hac vice for the term mentation, section G, citizenship. of the charter. (e) Whenever the charterer of a vessel (b) The charterer must submit the under paragraph (a) of this section en- following to the National Vessel Docu- ters into a sub-charter other than a de- mentation Center: mise charter with another person for (1) A certificate certifying that the the use of the vessel, the charterer charterer is a citizen of the United must file a copy of the sub-charter and States for engaging in the coastwise amendments to the sub-charter with trade under 46 U.S.C. app. 802. the Director, National Vessel Docu- mentation Center, within 10 days after (2) Detailed citizenship information a request by the Director to do so. in the format of form CG–1258, Applica- (f) A person that submits a false cer- tion for Documentation, section G, tification under this section is subject citizenship. The citizenship informa- to penalty under 46 U.S.C. 12122 and 18 tion must be signed by, or on behalf of, U.S.C. 1001. the charterer. (c) Whenever a charter under para- § 68.75 Application procedure for graph (a) of this section is amended, barges to be operated in coastwise the barge owner must file a copy of the trade without being documented. amendment with the Director, Na- (a) The person that owns a barge tional Vessel Documentation Center, qualified to engage in coastwise trade within 10 days after the effective date must submit the following to the Na- of the amendment. tional Vessel Documentation Center: (d) Whenever the charterer of a barge (1) The certification required by under paragraph (a) of this section en- § 68.65(a)(1) or (a)(2). ters into a sub-charter that is a demise (2) A certification in the form of an charter with another person for the use affidavit and, if requested by the Direc- of the barge, the charterer must file a tor, National Vessel Documentation copy of the sub-charter and amend- Center, supporting documentation es- ments to the sub-charter with the Di- tablishing the following facts with re- rector, National Vessel Documentation spect to the transaction from an indi- Center, within 10 days after the effec- vidual who is authorized to provide cer- tive date of the sub-charter and the tification on behalf of the person that sub-charterer must provide detailed owns the barge and who is an officer in citizenship information in the format a corporation, a partner in a partner- of form CG–1258, Application for Docu- ship, a member of the board of man- mentation, section G, citizenship. agers in a limited liability company, or (e) Whenever the charterer of a barge their equivalent. The certificate must under paragraph (a) of this section en- certify the following: ters into a sub-charter other than a de- (i) That the person that owns the mise charter with another person for barge is organized under the laws of the use of the barge, the charterer the United States or a State. must file a copy of the sub-charter and (ii) That the person that owns the amendments to the sub-charter with barge has transferred to a qualified the Director, National Vessel Docu- United States citizen under 46 U.S.C. mentation Center, within 10 days after app. 802 full possession, control, and a request by the Director to do so.

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(f) A person that submits a false cer- applies to a certificate of documenta- tification under this section is subject tion, or renewal of one, endorsed with a to penalty under 46 U.S.C. 12122 and 18 coastwise endorsement for a vessel U.S.C. 1001. under 46 U.S.C. 12106(e) or a replacement vessel of a similar size and func- § 68.80 Invalidation of a coastwise en- tion that was issued before August 9, dorsement. 2004, as long as the vessel is owned by In addition to the events in the person named in the certificate, or § 67.167(c)(1) through (c)(9) of this chap- by a subsidiary or affiliate of that per- ter, a Certificate of Documentation to- son, and the controlling interest in the gether with a coastwise endorsement owner has not been transferred to a under this subpart becomes invalid person that was not an affiliate of the when— owner as of August 9, 2004. (a) The owner fails to make the certification required by § 68.65 or ceases (d) With respect to offshore supply to meet the requirements of the certifi- vessels with a certificate of docu- cation on file; mentation endorsed with a coastwise (b) The demise charter expires or is endorsement as of August 9, 2004, this transferred to another charterer; or subpart applies until August 9, 2007. On (c) The citizenship of the charterer or and after August 9, 2007, subpart C of sub-charterer changes to the extent this part applies to these vessels. that they are no longer qualified for a coastwise endorsement. § 68.103 Definitions. In addition to the terms defined in Subpart D—Vessels With a Coast- § 67.3 of this chapter, as used in this wise Endorsement Issued Be- subpart— fore August 9, 2004, and Their Affiliate means a person that is less Replacements That Are De- than 50 percent owned or controlled by mised Chartered to Coast- another person. wise-Qualified Citizens Group means the person that owns a vessel, the parent of that person, and all subsidiaries and affiliates of the SOURCE: USCG–2005–20258, 71 FR 61421, Oct. 18, 2006, unless otherwise noted. parent of that person. Offshore supply vessel means a motor § 68.100 Purpose and applicability. vessel of more than 15 gross tons but (a) This subpart contains require- less than 500 gross tons as measured ments for the documentation of U.S.- under 46 U.S.C. 14502, or an alternate built vessels in the coastwise trade tonnage measured under 46 U.S.C. 14302 that were granted special rights under as prescribed under 46 U.S.C. 14104, that the Coast Guard and Maritime Trans- regularly carries goods, supplies, indi- portation Action of 2004 (Pub. L. 108– viduals in addition to the crew, or 293). equipment in support of exploration, (b) This subpart applies to— exploitation, or production of offshore (1) A vessel under a demise charter mineral or energy resources. that was eligible for, and received, a Operation or management of vessels document with a coastwise endorse- means all activities related to the use ment under § 67.19 of this chapter and 46 of vessels to provide services. These ac- U.S.C. 12106(e) before August 9, 2004; tivities include ship agency; ship bro- (2) A barge deemed eligible under 46 kerage; activities performed by a ves- U.S.C. 12106(e) and 12110(b) to operate sel operator or demise charterer in ex- in coastwise trade without being docu- ercising direction and control of a ves- mented before August 9, 2004; and (3) A replacement vessel of a similar sel, such as crewing, victualing, stor- size and function for any vessel under ing, and maintaining the vessel and en- paragraphs (b)(1) through (b)(3) of this suring its safe navigation; and activi- section. ties associated with controlling the use (c) Except for vessels under para- and employment of the vessel under a graph (d) of this section, this subpart time charter or other use agreement. It

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does not include activities directly as- § 68.105 Eligibility of a vessel for a sociated with making financial invest- coastwise endorsement under this ments in vessels or the receipt of earn- subpart. ings derived from these investments. (a) Except as under paragraphs (b) Parent means any person that di- through (e) of this section, to be eligi- rectly or indirectly owns or controls at ble for a coastwise endorsement under least 50 percent of another person. If an 46 U.S.C. 12106(e) and to operate in owner’s parent is directly or indirectly coastwise trade under 46 U.S.C. 12106(e) controlled at least 50 percent by an- and 12110(b), a vessel under a demise other person, that person is also a par- charter must meet the following: ent of the owner. Therefore, an owner (1) The vessel is eligible for docu- may have multiple parents. mentation under 46 U.S.C. 12102. Person means an individual; corpora- (2) The vessel is eligible for a coast- tion; partnership; limited liability wise endorsement under § 67.19(c) of partnership; limited liability company; this chapter, has not lost coastwise eli- association; joint venture; trust ar- gibility under § 67.19(d) of this chapter, rangement; and the government of the and was financed with lease financing. United States, a State, or a political (3) The person that owns the vessel, the parent of that person, or a sub- subdivision of the United States or a sidiary of the parent of that person is State; and includes a trustee, bene- primarily engaged in leasing or other ficiary, receiver, or similar representa- financing transactions. tive of any of them. (4) The person that owns the vessel is Primarily engaged in leasing or other fi- organized under the laws of the United nancing transactions means lease fi- States or of a State. nancing, in which more than 50 percent (5) None of the following is primarily of the aggregate revenue of a person is engaged in the direct operation or derived from banking, investing, lease management of vessels: financing, or other similar trans- (i) The person that owns the vessel. actions. (ii) The parent of the person that Replacement vessel means— owns the vessel. (1) A temporary replacement vessel (iii) The group of which the person for a period not to exceed 180 days if that owns the vessel is a member. the vessel described in § 68.50 is un- (6) The ownership of the vessel is pri- available due to an act of God or a ma- marily a financial investment without rine casualty; or the ability and intent to directly or in- (2) A permanent replacement vessel directly control the vessel’s operations if— by a person not primarily engaged in (i) The vessel described in § 68.50 is the direct operation or management of unavailable for more than 180 days due vessels. to an act of God or a marine casualty; (7) The majority of the aggregate rev- or enues of each of the following is not derived from the operation or manage- (ii) A contract to purchase or con- ment of vessels: struct a replacement vessel is executed (i) The person that owns the vessel. not later than December 31, 2004. (ii) The parent of the person that Sub-charter means all types of char- owns the vessel. ters or other contracts for the use of a (iii) The group of which the person vessel that are subordinate to a char- that owns the vessel is a member. ter. The term includes, but is not lim- (8) None of the following is primarily ited to, a demise charter, a time char- engaged in the operation or manage- ter, a voyage charter, a space charter, ment of commercial, foreign-flag ves- and a contract of affreightment. sels used for the carriage of cargo for Subsidiary means a person at least 50 parties unrelated to the vessel’s owner percent of which is directly or indi- or charterer: rectly owned or controlled by another (i) The person that owns the vessel. person. (ii) The parent of the person that owns the vessel.

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(iii) The group of which the person (3) Cancellation under § 67.173 of this that owns the vessel is a member. chapter. (9) The person that owns the vessel (d) A barge deemed eligible under 46 has transferred to a qualified U.S. cit- U.S.C. 12106(e) and 12110(b) to operate izen under 46 U.S.C. app. 802 full posses- in coastwise trade before August 9, sion, control, and command of the 2004, may continue to operate in that U.S.-built vessel through a demise trade after that date unless— charter in which the demise charterer (1) The ownership of the barge is considered the owner pro hac vice changes in whole or in part; during the term of the charter. (2) The general partners of a partner- (10) The charterer must certify to the ship owning the barge change by addi- Director, National Vessel Documenta- tion, deletion, or substitution; tion Center, that the charterer is a cit- (3) The State of incorporation of any izen of the United States for engaging corporate owner of the barge changes; in the coastwise trade under 46 U.S.C. (4) The barge is placed under foreign app. 802. flag; (11) The demise charter is for a period (5) Any owner of the barge ceases to of at least 3 years, unless a shorter pe- be a citizen within the meaning of part riod is authorized by the Director, Na- 67, subpart C, of this chapter; or tional Vessel Documentation Center, (6) The barge ceases to be capable of under circumstances such as— transportation by water. (i) When the vessel’s remaining life (e) A barge under a demise charter would not support a charter of 3 years; that was constructed under a building or contract that was entered into before (ii) To preserve the use or possession February 4, 2004, in reliance on a letter of the vessel. ruling from the Coast Guard issued be- (b) A vessel under a demise charter fore February 4, 2004, is eligible to op- that was eligible for, and received, a erate in coastwise trade under 46 U.S.C. document with a coastwise endorse- 12106(e) and 12110(b). The barge may ment under § 67.19 of this chapter and 46 continue to operate in coastwise trade U.S.C. 12106(e) before August 9, 2004, unless— (1) The ownership of the barge may continue to operate under that en- changes in whole or in part; dorsement on and after that date and (2) The general partners of a partner- may renew the document and endorse- ship owning the barge change by addi- ment if the certificate of documentation, deletion, or substitution; tion is not subject to— (3) The State of incorporation of any (1) Exchange under § 67.167(b)(1) corporate owner of the barge changes; through (b)(3) of this chapter; (4) The barge is placed under foreign (2) Deletion under § 67.171(a)(1) flag; through (a)(6) of this chapter; or (5) Any owner of the barge ceases to (3) Cancellation under § 67.173 of this be a citizen within the meaning of subchapter. part C of this part; or (c) A vessel under a demise charter (6) The barge ceases to be capable of that was constructed under a building transportation by water. contract that was entered into before February 4, 2004, in reliance on a letter § 68.107 Application procedure for ves- ruling from the Coast Guard issued be- sels other than barges to be oper- fore February 4, 2004, is eligible for doc- ated in coastwise trade without umentation with a coastwise endorse- being documented. ment under § 67.19 of this chapter and 46 (a) In addition to the items under U.S.C. 12106(e). The vessel may con- § 67.141 of this chapter, the person that tinue to operate under that endorse- owns the vessel (other than a barge ment and may renew the document and under § 68.109) and that seeks a coast- endorsement if the certificate of docu- wise endorsement under this subpart mentation is not subject to— must submit the following to the Na- (1) Exchange under § 67.167(b)(1) tional Vessel Documentation Center: through (b)(3) of this chapter; (1) A certification in the form of an (2) Deletion under § 67.171(a)(1) affidavit and, if requested by the Direc- through (a)(6) of this chapter; or tor, National Vessel Documentation

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Center, supporting documentation es- through a demise charter in which the tablishing the following facts with re- demise charterer is considered the spect to the transaction from an indi- owner pro hac vice during the term of vidual who is authorized to provide cer- the charter. tification on behalf of the person that (viii) That the vessel is financed with owns the vessel and who is an officer in lease financing. a corporation, a partner in a partner- (2) A copy of the charter, which must ship, a member of the board of man- provide that the charterer is deemed to agers in a limited liability company, or be the owner pro hac vice for the term their equivalent. The certificate must of the charter. certify the following: (b) The charterer must submit the (i) That the person that owns the ves- following to the National Vessel Docu- sel, the parent of that person, or a sub- mentation Center: sidiary of a parent of that person is pri- (1) A certificate certifying that the marily engaged in leasing or other fi- charterer is a citizen of the United nancing transactions. States for the purpose of engaging in (ii) That the person that owns the the coastwise trade under 46 U.S.C. vessel is organized under the laws of app. 802. the United States or a State. (2) Detailed citizenship information (iii) That none of the following is pri- in the format of form CG–1258, Applica- marily engaged in the direct operation tion for Documentation, section G, or management of vessels: citizenship. The citizenship informa- (A) The person that owns the vessel. tion may be attached to the form CG– (B) The parent of the person that 1258 that is submitted under § 67.141 of owns the vessel. this chapter and must be signed by, or (C) The group of which the person on behalf of, the charterer. that owns the vessel is a member. (c) Whenever a charter under para- (iv) That ownership of the vessel is graph (a) of this section is amended, primarily a financial investment with- the vessel owner must file a copy of the out the ability and intent to directly amendment with the Director, Na- or indirectly control the vessel’s oper- tional Vessel Documentation Center, ations by a person not primarily en- within 10 days after the effective date gaged in the direct operation or man- of the amendment. agement of vessels. (d) Whenever the charterer of a vessel (v) That the majority of the aggre- under paragraph (a) of this section en- gate revenues of each of the following ters into a sub-charter that is a demise is not derived from the operation or charter with another person for the use management of vessels: of the vessel, the charterer must file a (A) The person that owns the vessel. copy of the sub-charter and amend- (B) The parent of the person that ments to the sub-charter with the Di- owns the vessel. rector, National Vessel Documentation (C) The group of which the person Center, within 10 days after the effec- that owns the vessel is a member. tive date of the sub-charter and the (vi) That none of the following is pri- sub-charterer must provide detailed marily engaged in the operation or citizenship information in the format management of commercial, foreign- of form CG–1258, Application for Docu- flag vessels used for the carriage of mentation, section G, citizenship. cargo for parties unrelated to the ves- (e) Whenever the charterer of a vessel sel’s owner or charterer: under paragraph (a) of this section en- (A) The person that owns the vessel. ters into a sub-charter other than a de- (B) The parent of the person that mise charter with another person for owns the vessel. the use of the vessel, the charterer (C) The group of which the person must file a copy of the sub-charter and that owns the vessel is a member. amendments to the sub-charter with (vii) That the person that owns the the Director, National Vessel Docu- vessel has transferred to a qualified mentation Center, within 10 days after United States citizen under 46 U.S.C. a request by the Director to do so. app. 802 full possession, control, and (f) A person that submits a false cer- command of the U.S.-built vessel tification under this section is subject

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to penalty under 46 U.S.C. 12122 and 18 (vi) That none of the following is pri- U.S.C. 1001. marily engaged in the operation or management of commercial, foreign- § 68.109 Application procedure for flag vessels used for the carriage of barges to be operated in coastwise cargo for parties unrelated to the ves- trade without being documented. sel’s owner or charterer: (a) The person that owns a barge (A) The person that owns the barge. qualified to engage in coastwise trade (B) The parent of the person that under the lease-financing provisions of owns the barge. 46 U.S.C. 12106(e) must submit the fol- (C) The group of which the person lowing to the National Vessel Docu- that owns the barge is a member. mentation Center: (vii) That the person that owns the (1) A certification in the form of an barge has transferred to a qualified affidavit and, if requested by the Direc- United States citizen under 46 U.S.C. tor, National Vessel Documentation app. 802 full possession, control, and Center, supporting documentation es- command of the U.S.-built barge tablishing the following facts with re- through a demise charter in which the spect to the transaction from an indi- demise charterer is considered the vidual who is authorized to provide cer- owner pro hac vice for the term of the tification on behalf of the person that charter. owns the barge and who is an officer in (viii) That the barge is qualified to a corporation, a partner in a partner- engage in the coastwise trade and that ship, a member of the board of man- it is owned by a person eligible to own agers in a limited liability company, or vessels documented under 46 U.S.C. their equivalent. The certificate must 12102(e). certify the following: (ix) That the barge is financed with (i) That the person that owns the lease financing. barge, the parent of that person, or a (2) A copy of the charter, which must subsidiary of the parent of that person provide that the charterer is deemed to is primarily engaged in leasing or other be the owner pro hac vice for the term financing transactions. of the charter. (ii) That the person that owns the (b) The charterer must submit the barge is organized under the laws of following to the National Vessel Docu- the United States or a State. mentation Center: (iii) That none of the following is pri- (1) A certificate certifying that the marily engaged in the direct operation charterer is a citizen of the United or management of vessels: States for engaging in the coastwise trade under 46 U.S.C. app. 802. (A) The person that owns the barge. (2) Detailed citizenship information (B) The parent of the person that in the format of form CG–1258, Applica- owns the barge. tion for Documentation, section G, (C) The group of which the person citizenship. The citizenship informa- that owns the barge is a member. tion must be signed by, or on behalf of, (iv) That ownership of the barge is the charterer. primarily a financial investment with- (c) Whenever a charter under para- out the ability and intent to directly graph (a) of this section is amended, or indirectly control the barge’s oper- the barge owner must file a copy of the ations by a person not primarily en- amendment with the Director, Na- gaged in the direct operation or man- tional Vessel Documentation Center, agement of the barge. within 10 days after the effective date (v) That the majority of the aggre- of the amendment. gate revenues of each of the following (d) Whenever the charterer of a barge is not derived from the operation or under paragraph (a) of this section en- management of vessels: ters into a sub-charter that is a demise (A) The person that owns the barge. charter with another person for the use (B) The parent of the person that of the barge, the charterer must file a owns the barge. copy of the sub-charter and amend- (C) The group of which the person ments to the sub-charter with the Di- that owns the barge is a member. rector, National Vessel Documentation

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Center, within 10 days after the effec- (4) The majority of the aggregate rev- tive date of the sub-charter and the enues of at least one of the following is sub-charterer must provide detailed derived from the operation or manage- citizenship information in the format ment of vessels: of form CG–1258, Application for Docu- (i) The person that owns the vessel. mentation, section G, citizenship. (ii) The parent of the person that (e) Whenever the charterer of a barge owns the vessel. under paragraph (a) of this section en- (iii) The group of which the person ters into a sub-charter other than a de- that owns the vessel is a member; or mise charter with another person for (5) At least one of the following is the use of the barge, the charterer primarily engaged in the operation or must file a copy of the sub-charter and management of commercial, foreign- amendments to the sub-charter with flag vessels used for the carriage of the Director, National Vessel Docu- cargo for parties unrelated to the ves- mentation Center, within 10 days after sel’s owner or charterer: a request by the Director to do so. (i) The person that owns the vessel. (f) A person that submits a false cer- (ii) The parent of the person that tification under this section is subject owns the vessel. to penalty under 46 U.S.C. 12122 and 18 (iii) The group of which the person U.S.C. 1001. that owns the vessel is a member. (c) When the coastwise endorsement § 68.111 Invalidation of a coastwise en- for a vessel to which this subpart ap- dorsement. plies becomes invalid under paragraph (a)(1) or (b)(1) of this section, the vessel (a) In addition to the events in remains eligible for documentation § 67.167(c)(1) through (c)(9) of this chap- under this subpart provided it is a ves- ter, a Certificate of Documentation to- sel to which § 68.100(b) or (c) applies. gether with a coastwise endorsement in effect before February 4, 2004, becomes invalid when— PART 69—MEASUREMENT OF (1) The demise charter expires or is VESSELS transferred to another charterer; (2) The citizenship of the charterer or Subpart A—General sub-charterer changes to the extent Sec. that they are no longer qualified for a 69.1 Purpose. coastwise endorsement; or 69.3 Applicability. (3) Neither the person that owns the 69.5 [Reserved] 69.7 Vessels transiting the Panama and vessel, nor the parent of that person, Suez Canals. nor a subsidiary of the parent of that 69.9 Definitions. person is primarily engaged in leasing 69.11 Determining the measurement system or other financing transactions. or systems for a particular vessel. (b) In addition to the events in 69.13 Applying provisions of a measurement § 67.167(c)(1) through (c)(9) of this chap- system. 69.15 Authorized measurement organiza- ter, a Certificate of Documentation to- tions. gether with a coastwise endorsement in 69.17 Application for measurement services. effect on or after February 4, 2004, and 69.19 Remeasurement. before August 9, 2004, becomes invalid 69.20 Applying tonnage thresholds. when— 69.21 Right of appeal. (1) The demise charter expires or is 69.23 Fees. transferred to another charterer; 69.25 Penalties. 69.27 Delegation of authority to measure (2) The citizenship of the charterer or vessels. sub-charterer changes to the extent 69.28 Acceptance of measurement by a for- that they are no longer qualified for a eign country. coastwise endorsement; 69.29 OMB control numbers assigned under (3) Neither the person that owns the the Paperwork Reduction Act. vessel, nor the parent of that person, Subpart B—Convention Measurement nor any subsidiary of the parent of that System person is primarily engaged in leasing or other financing transactions; 69.51 Purpose.

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69.53 Definitions. 69.211 Treatment of novel type vessels. 69.55 Application for measurement services. AUTHORITY: 46 U.S.C. 2301, 14103, 14104; De- 69.57 Gross tonnage ITC. partment of Homeland Security Delegation 69.59 Enclosed spaces. No. 0170.1. 69.61 Excluded spaces. 69.63 Net tonnage ITC. SOURCE: CGD 87–015b, 54 FR 37657, Sept. 12, 69.65 Calculation of volumes. 1989, unless otherwise noted. 69.67 Marking of cargo spaces. 69.69 Tonnage certificates. 69.71 Change of net tonnage. Subpart A—General 69.73 Treatment of novel type vessels. 69.75 Figures. § 69.1 Purpose. This part implements legislation Subpart C—Standard Regulatory concerning the measurement of vessels Measurement System to determine their tonnage (part J of 46 69.101 Purpose. U.S.C. subtitle II). Tonnage is used for 69.103 Definitions. a variety of purposes, including the ap- 69.105 Application for measurement serv- plication of vessel safety, security, and ices. environmental protection regulations 69.107 Gross and net register tonnage. and the assessment of taxes and fees. 69.108 Uppermost complete deck. This part indicates the particular 69.109 Under-deck tonnage. 69.111 Between-deck tonnage. measurement system or systems under 69.113 Superstructure tonnage. which the vessel is required or eligible 69.115 Excess hatchway tonnage. to be measured, describes the measure- 69.117 Spaces exempt from inclusion in ton- ment rules and procedures for each sys- nage. tem, identifies the organizations au- 69.119 Spaces deducted from tonnage. thorized to measure vessels under this 69.121 Engine room deduction. part, and provides for the appeal of 69.123 Figures. measurement organizations’ decisions. Subpart D —Dual Regulatory [USCG–2011–0522, 81 FR 18717, Mar. 31, 2016] Measurements System § 69.3 Applicability. 69.151 Purpose. 69.153 Application of other laws. This part applies to any vessel for 69.155 Measurement requirements. which the application of an inter- 69.157 Definitions. national agreement or other law of the 69.159 Application for measurement serv- United States to the vessel depends on ices. the vessel’s tonnage. 69.161 Gross and net register tonnages. 69.163 Under-deck tonnage. [USCG–2011–0522, 81 FR 18718, Mar. 31, 2016] 69.165 Between-deck tonnage. 69.167 Superstructure tonnage. § 69.5 [Reserved] 69.169 Spaces exempt from inclusion in tonnage. § 69.7 Vessels transiting the Panama 69.171 When the tonnage mark is considered and Suez Canals. submerged. For vessels that will transit the Pan- 69.173 Register Tonnage assignments for ama Canal and/or Suez Canal, the re- vessels with only one deck. 69.175 Tonnage assignments for vessels with spective canal authorities may require a second deck. special tonnage certificates in addition 69.177 Markings. to those issued under this part. These 69.179 Certification of markings. special certificates may be issued by 69.181 Locating the line of the second deck. measurement organizations who have 69.183 Figures. received appropriate authorization from the respective canal authorities. Subpart E—Simplified Regulatory Measurement System [USCG–2011–0522, 81 FR 18718, Mar. 31, 2016] 69.201 Purpose. § 69.9 Definitions. 69.203 Definitions. 69.205 Application for measurement serv- As used in this part: ices. Authorized measurement organization 69.207 Measurements. means an entity that is authorized to 69.209 Gross and net register tonnages. measure vessels under this part.

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Commandant means Commandant of Great Lakes means the Great Lakes of the Coast Guard at the following ad- North America and the St. Lawrence dress: Commanding Officer, Marine River west of a rhumb line drawn from Safety Center (MSC–4), U.S. Coast Cap des Rosiers to West Point, Anti- Guard Stop 7430, 2703 Martin Luther costi Island, and, on the north side of King Jr. Ave. SE., Washington, DC Anticosti Island, the meridian of lon- 20593–7430. gitude 63 degrees west. Convention means the International Gross register tonnage (GRT) means Convention on Tonnage Measurement the gross tonnage measurement of the of Ships, 1969. vessel under the Regulatory Measure- Convention Measurement System means ment System. Refer to § 69.20 for infor- the measurement system under subpart mation on applying tonnage thresholds B of this part, which is based on the expressed in terms of gross register rules of the Convention. This Formal tons (also referred to as GRT). Measurement System uses the vessel’s Gross tonnage ITC (GT ITC) means the total enclosed volume as the principal gross tonnage measurement of the ves- input for tonnage calculations along sel under the Convention Measurement with other characteristics related to System. In international conventions, the vessel’s carrying capacity, includ- this parameter may be referred to as ing the volume of cargo spaces and ‘‘gross tonnage (GT).’’ Refer to § 69.20 number of passengers. Tonnages as- for information on applying tonnage signed under this system are expressed thresholds expressed in terms of gross in terms of gross tonnage ITC (GT ITC) tonnage ITC. or net tonnage ITC (NT ITC). National Vessel Documentation Center means the organizational unit des- Deck cargo means freight carried on ignated by the Commandant to process the weather decks of a vessel for the vessel documentation transactions and purpose of its transport between two maintain vessel documentation separate and distinct locations, and records. which is off-loaded from the vessel in Net register tonnage (NRT) means the its original container (if applicable) net tonnage measurement of the vessel without undergoing any processing or under the Regulatory Measurement other use while onboard the vessel. System. Refer to § 69.20 for information Dual Regulatory Measurement System on applying tonnage thresholds ex- means the measurement system under pressed in terms of net register tons. subpart D of this part, which is one of Non-self-propelled vessel means a ves- three sub-systems of the Regulatory sel that is not a self-propelled vessel. Measurement System. This Formal Overall length means the horizontal Measurement System is based on the distance of the vessel’s hull between rules of the Standard Regulatory Meas- the foremost part of a vessel’s stem to urement System, with adjustments the aftermost part of its stern, exclud- that allow for the assignment of two ing fittings and attachments. sets of Regulatory Measurement Sys- Portable enclosed space means an en- tem tonnages whose use depends on the closed space that is not deck cargo, and loading condition of the vessel. Ton- whose method of attachment to the nages assigned under this system are vessel is not permanent in nature. Ex- expressed in terms of gross register amples of portable enclosed spaces in- tons (GRT) or net register tons (NRT). clude modular living quarters, housed Foreign flag vessel means a vessel that portable machinery spaces, and deck is not a U.S. flag vessel. tanks used in support of shipboard in- Formal Measurement System means a dustrial processes. measurement system that employs a Register ton means a unit of volume detailed computational method using equal to 100 cubic feet. measurements of the entire vessel, and Regulatory Measurement System means which also takes into account the use the measurement system that com- of vessel spaces. The measurement sys- prises subparts C, D, and E of this part tems prescribed under subparts B, C, (Standard, Dual, and Simplified Regu- and D of this part are Formal Measure- latory Measurement Systems, respec- ment Systems. tively), and is sometimes referred to as

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the national measurement system of an international convention or a Fed- the United States. Tonnages assigned eral statute or regulation. under this system are expressed in U.S. flag vessel means a vessel of terms of gross register tons (GRT) or United States registry or nationality, net register tons (NRT). or one operated under the authority of Remeasurement means the process by the United States. which tonnages or registered dimen- Vessel of war means ’’vessel of war’’ sions of a vessel that was previously as defined in 46 U.S.C. 2101. measured are assigned or reassigned to Vessel that engages on a foreign voyage that vessel, or are verified to be cor- means a vessel: rect, as appropriate. This includes as- (1) That arrives at a place under the signment of tonnages or registered di- jurisdiction of the United States from mensions under a different measure- a place in a foreign country; ment system. (2) That makes a voyage between Self-propelled vessel means a vessel places outside of the United States; with a means of self-propulsion, includ- (3) That departs from a place under ing sails. the jurisdiction of the United States Simplified Regulatory Measurement for a place in a foreign country; or System means the measurement system (4) That makes a voyage between a under subpart E of this part, which is place within a territory or possession one of three sub-systems of the Regu- of the United States and another place latory Measurement System. It is under the jurisdiction of the United based on the rules of the Standard Reg- States not within that territory or pos- ulatory Measurement System but em- session. ploys a simplified computational method using hull dimensions as the prin- [USCG–2011–0522, 81 FR 18718, Mar. 31, 2016] cipal inputs. Tonnages assigned under this system are expressed in terms of § 69.11 Determining the measurement gross register tons (GRT) or net reg- system or systems for a particular vessel. ister tons (NRT). Standard Regulatory Measurement Sys- (a) Convention Measurement System tem means the measurement system (subpart B of this part). (1) Except as under subpart C of this part, which is otherwise provided in this section, this one of three sub-systems of the Regu- Formal Measurement System applies latory Measurement System. This For- to any vessel for which the application mal Measurement System is based on of an international agreement or other the rules of the British Merchant Ship- law of the United States to the vessel ping Act of 1854 and uses volumes of in- depends on the vessel’s tonnage. ternal spaces as the principal inputs (2) This system does not apply to the for tonnage calculations, allowing for following vessels: exemptions or deductions of qualifying (i) A vessel of war, unless the govern- spaces according to their location and ment of the country to which the ves- use. Tonnages assigned under this sys- sel belongs elects to measure the vessel tem are expressed in terms of gross under this part. register tons (GRT) or net register tons (ii) A vessel of less than 79 feet in (NRT). overall length. Tonnage means the volume of a ves- (iii) A U.S. flag vessel, or one of Ca- sel’s spaces, including portable en- nadian registry or nationality, or oper- closed spaces, as calculated under a ated under the authority of Canada, measurement system in this part, and and that is operating only on the Great is categorized as either gross or net. Lakes, unless the vessel owner re- Gross tonnage refers to the volumetric quests. measure of the overall size of a vessel. (iv) A U.S. flag vessel (except a vessel Net tonnage refers to the volumetric that engages on a foreign voyage), the measure of the useful capacity of the keel of which was laid or was at a simi- vessel. Deck cargo is not included in lar stage of construction before Janu- tonnage. ary 1, 1986, unless the vessel owner re- Tonnage threshold means a quests or unless the vessel subse- delimitating tonnage value specified in quently undergoes a change that the

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Commandant finds substantially af- date the rules and procedures pre- fects the gross tonnage. scribed in this part may be applied, at (v) A non-self-propelled U.S. flag ves- the option of the vessel owner, to the sel (except a non-self-propelled vessel following vessels: that engages on a foreign voyage), un- (1) A vessel which has not been meas- less the vessel owner requests the ap- ured and which was contracted for on plication. or before May 2, 2016. (b) Standard Regulatory Measurement (2) A vessel which has been measured, System (subpart C of this part). This For- but which has undergone modifications mal Measurement System applies to a contracted for on or before May 2, 2016. vessel not measured under the Conven- tion Measurement System for which [USCG–2011–0522, 81 FR 18719, Mar. 31, 2016] the application of an international agreement or other law of the United § 69.15 Authorized measurement orga- States to the vessel depends on the ves- nizations. sel’s tonnage. Upon request of the ves- (a) Except as noted under paragraphs sel owner, this system also applies to a (c) and (d) of this section, measurement U.S. flag vessel that is also measured or remeasurement of all vessels under under the Convention Measurement the Convention Measurement System System. and Standard and Dual Regulatory (c) Dual Regulatory Measurement Sys- Measurement Systems must be per- tem (subpart D of this part). This Formal formed by an authorized measurement Measurement System may be applied, organization meeting the requirements at the vessel owner’s option, instead of of § 69.27. A current listing of author- the Standard Regulatory Measurement ized measurement organizations may System. be obtained from the Commanding Offi- (d) Simplified Regulatory Measurement System (subpart E of this part). This sys- cer, Marine Safety Center (MSC–4). tem may be applied, at the vessel own- (b) Measurement or remeasurement er’s option, instead of the Standard of all vessels under subpart E of this Regulatory Measurement System to part must be performed by the Coast the following vessels: Guard. (1) A vessel that is under 79 feet in (c) Measurement or remeasurement overall length. of all U.S. Coast Guard vessels and all (2) A vessel of any length that is non- U.S. Navy vessels of war must be per- self-propelled. formed by the Coast Guard. (3) A vessel of any length that is op- (d) At the option of the Commandant, erated only for pleasure. the Coast Guard may measure any ves- [USCG–2011–0522, 81 FR 18719, Mar. 31, 2016] sel under this part. (e) The appropriate tonnage certifi- § 69.13 Applying provisions of a meas- cate, as provided for under this part, is urement system. issued by the authorized measurement (a) Except as noted under paragraph organization as evidence of the vessel’s (c) of this section, all provisions of a measurement under this part. measurement system as prescribed in [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as this part that are applicable to the ves- amended by CGD 92–058, 57 FR 59938, Dec. 17, sel must be observed. Coast Guard in- 1992; CGD 92–053, 59 FR 50508, Oct. 4, 1994; terpretations of these provisions are CGD 95–014, 60 FR 31606, June 15, 1995; CGD published by, and may be obtained 97–057, 62 FR 51045, Sept. 30, 1997; USCG–2007– from, Commanding Officer, Marine 29018, 72 FR 53965, Sept. 21, 2007; USCG–2009– Safety Center (MSC–4). 0702, 74 FR 49230, Sept. 25, 2009; USCG–2013– (b) The provisions of more than one 0671, 78 FR 60149, Sept. 30, 2013; USCG–2011– measurement system must not be ap- 0522, 81 FR 18719, Mar. 31, 2016] plied interchangeably or combined, except where specifically authorized § 69.17 Application for measurement under this part. services. (c) Unless otherwise provided for by (a) The vessel owner is responsible law, the tonnage measurement rules for having the vessel measured or re- and procedures that immediately pre- measured under this part. Applications

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for Formal Measurement may be ob- measurement organization, or Com- tained from any measurement organi- manding Officer, Marine Safety Center zation and, once completed, are sub- (MSC–4), as appropriate. Remeasure- mitted to the authorized measurement ment is performed to the extent nec- organization that will perform the essary to verify and correct the error. measurement services. Applications for (2) At the vessel owner’s option, to Simplified Measurement may be ob- reflect the latest tonnage measurement tained from the Commanding Officer, rules and associated interpretations Marine Safety Center (MSC–4) and, under this part. once completed, are submitted or re- (c) For vessels measured under a For- tained as described in § 69.205. The con- mal Measurement System, if a re- tents of the application are described measurement or adjustment of tonnage in this part under the requirements for is required, the authorized measure- each system. ment organization will issue a new ton- (b) Applications for measurement nage certificate. For all other vessels, under more than one system may be Commanding Officer, Marine Safety combined. Center (MSC–4) will take action, as ap- (c) For vessels under construction, propriate. the application should be submitted be- (d) A vessel of less than 79 feet in fore the vessel is advanced in construc- overall length measured under a For- tion. Usually, this means as soon as the mal Measurement System may be re- decks are laid, holds cleared of encum- measured at the owner’s request under brances, engines installed, and accom- the Simplified Regulatory Measure- modations partitioned. ment System. [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as [USCG–2011–0522, 81 FR 18719, Mar. 31, 2016] amended by CGD 97–057, 62 FR 51045, Sept. 30, 1997; USCG–2011–0522, 81 FR 18719, Mar. 31, § 69.20 Applying tonnage thresholds. 2016] (a) General. Tonnage thresholds are applied using the vessel’s tonnage as- § 69.19 Remeasurement. signed under this part, and as provided (a) If a vessel that is already meas- for by paragraphs (b) through (d) of ured is to undergo a structural alter- this section. In general, and except as ation, a change to its service, or if the under paragraphs (b) and (c) of this sec- use of its space is to be changed, a re- tion, tonnage thresholds expressed in measurement may be required. For ves- terms of ‘‘gross tonnage,’’ ‘‘gross ton- sels measured under a Formal Measure- nage ITC,’’ or ‘‘GT ITC’’ are applied ment System, owners must report im- using Convention Measurement System mediately to an authorized measure- tonnage (if assigned) and thresholds ex- ment organization any intent to struc- pressed in terms of ‘‘gross tons,’’ ‘‘reg- turally alter the vessel or to change its istered gross tons,’’ or ‘‘GRT’’ are ap- service or the use of its space. The plied using the Regulatory Measure- measurement organization advises the ment System tonnage (if assigned). owner if remeasurement is necessary. Similarly, in general, and except as For all other vessels, owners must re- under paragraphs (b) and (c) of this sec- port the intent to structurally alter tion, tonnage thresholds expressed in the vessel to Commanding Officer, Ma- terms of ‘‘net tonnage,’’ ‘‘net tonnage rine Safety Center (MSC–4), for a re- ITC,’’ or ‘‘NT ITC’’ are applied using measurement determination. Re- Convention Measurement System ton- measurement is initiated by com- nage (if assigned) and thresholds ex- pleting and submitting, where applica- pressed in terms of ‘‘net tons,’’ ‘‘reg- ble, the appropriate application for istered net tons,’’ or ‘‘NRT’’ are ap- measurement services. Spaces not af- plied using the Regulatory Measure- fected by the alteration or change need ment System tonnage (if assigned). not be remeasured. (b) Thresholds found in international (b) Remeasurement must also be per- conventions. Unless otherwise provided formed as follows: for by law, apply tonnage thresholds in (1) When there is a perceived error in international conventions as follows: the application of this part, the vessel (1) For vessels measured under the owner should contact the responsible Convention Measurement System,

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apply all tonnage thresholds using Con- that country to constitute a substan- vention Measurement System tonnage, tial variation in its tonnage subject to except as provided for under the fol- the provisions of these resolutions. lowing international tonnage (iii) Any other international grandfathering provisions, which may grandfathering provisions as author- be applied at the option of the vessel ized under appropriate International owner: Maritime Organization instruments to (i) Under Article 3(2)(d) of the Conven- which the United States is a party, or tion: which are otherwise recognized or ac- (A) For a U.S. flag vessel, this Article cepted by the United States. allows associated tonnage thresholds in (2) For all other vessels, apply all effect on or before July 18, 1994 to be applied, at the vessel owner’s option, tonnage thresholds using Regulatory using Regulatory Measurement System Measurement System tonnage. tonnage to a vessel whose keel was laid (c) Thresholds found in Federal statutes on or before July 18, 1982, and which did and regulations. Unless otherwise pro- not subsequently undergo alterations vided for by law, apply tonnage thresh- resulting in a change in its tonnage of olds in Federal statutes and regula- a magnitude deemed by the Com- tions as follows: mandant to constitute a substantial (1) For vessels measured under the variation in its tonnage. Convention Measurement System only, (B) For a foreign flag vessel, this Ar- apply all thresholds using Convention ticle allows associated tonnage thresh- Measurement System tonnage. olds in effect on or before July 18, 1994, (2) For vessels measured under the to be applied, at the vessel owner’s op- Regulatory Measurement System only, tion, using the foreign country’s na- apply all thresholds using Regulatory tional measurement system tonnage to Measurement System tonnage. a vessel whose keel was laid on or be- (3) For all other vessels, apply fore July 18, 1982, and which did not thresholds in effect before July 19, 1994 subsequently undergo alterations re- using the vessel’s Regulatory Measure- sulting in a change in its tonnage of a ment System tonnage, and all other magnitude deemed by that country to thresholds using the vessel’s Conven- constitute a substantial variation in tion Measurement System tonnage. its tonnage. (ii) Under International Maritime Or- (d) Alternate tonnage thresholds. 46 ganization (IMO) Resolutions A.494 (XII) U.S.C. 14104 authorizes the Coast Guard of November 19, 1981 and A.541 (XIII) of to establish tonnage thresholds based November 17, 1983: on the Convention Measurement Sys- (A) For a U.S. flag vessel, these reso- tem as an alternative to tonnage lutions allow tonnage thresholds in ef- thresholds based on the Regulatory fect on July 18, 1994 to be applied using Measurement System. Although 46 the gross register tonnage (Regulatory U.S.C. 14104 addresses only thresholds Measurement System), to a vessel in Federal statutes, it does not pre- whose keel was laid on or after July 18, clude establishing alternate tonnage 1982 but before July 19, 1994, and which thresholds for Federal regulations that did not subsequently undergo alter- currently specify thresholds that were ations resulting in a change substan- based on the Regulatory Measurement tially affecting its tonnage as deemed System, where appropriate. by the Commandant. (1) If an alternate tonnage threshold (B) For a foreign flag vessel, these is prescribed or authorized by Federal resolutions allow tonnage thresholds in statute or regulation, apply the alter- effect on July 18, 1994 to be applied, at nate tonnage threshold using the Con- the vessel owner’s option, using the vention Measurement System tonnage. foreign country’s national measure- (2) A vessel regulated under para- ment system tonnage, to a vessel graph (d) of this section must not be whose keel was laid on or after July 18, measured under the Regulatory Meas- 1982, but on or before July 18, 1994, and urement System. which did not undergo alterations after July 18, 1994 of a magnitude deemed by [USCG–2011–0522, 81 FR 18720, Mar. 31, 2016]

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§ 69.21 Right of appeal. (2) Is incorporated under the laws of the United States, a State of the Any person directly affected by a de- United States, or the District of Co- cision or action taken under this part, lumbia; by or on behalf of the Coast Guard, may appeal therefrom in accordance (3) In lieu of the requirements in with subpart 1.03 of this chapter. paragraphs (b)(1) and (2) of this section, is a recognized classification society [CGD 88–033, 54 FR 50380, Dec. 6, 1989] under the requirements of 46 CFR part 8. § 69.23 Fees. (4) Is capable of providing all meas- Measurement organizations are au- urement services under the Convention thorized to charge a fee for measure- Measurement System and Standard ment services. Information on fees is and Dual Regulatory Measurement available directly from the organiza- Systems for vessels domestically and tions. internationally; (5) Maintains a tonnage measurement [CGD 97–057, 62 FR 51045, Sept. 30, 1997] staff that has practical experience in § 69.25 Penalties. measuring U.S. flag vessels under the Convention Measurement System and (a) General violation. The vessel Standard and Dual Regulatory Meas- owner, charterer, managing operator, urement Systems; and agent, master, and individual in charge (6) Enters into a written agreement, of a vessel in violation of a regulation as described in paragraph (d) of this in this part are each liable to the section. United States Government for a civil penalty of not more than $30,000. Each (c) Applications for delegation of au- day of a continuing violation is a sepa- thority under this section must be for- rate violation. The vessel also is liable warded to the Commandant and in- in rem for the penalty. clude the following information on the (b) False Statements. A person know- organization: ingly making a false statement or rep- (1) Its name and address. resentation in a matter in which a (2) Its organizational rules and struc- statement or representation is required ture. by this part is liable to the United (3) The location of its offices that are States Government for a civil penalty available to provide measurement serv- of not more than $30,000 for each false ices under the Convention Measure- statement or representation. The ves- ment System and Standard and Dual sel also is liable in rem for the penalty. Regulatory Measurement Systems. (4) The name, qualifications, experi- [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as amended by USCG–2011–0522, 81 FR 18720, ence, and job title of each full-time or Mar. 31, 2016] part-time employee or independent contractor specifically designated by § 69.27 Delegation of authority to the organization to provide measure- measure vessels. ment services under theConvention (a) Under 46 U.S.C. 14103, the Coast Measurement System and Standard Guard is authorized to delegate to a and Dual Regulatory Measurement ‘‘qualified person’’ the authority to Systems. measure and certify U.S. flag vessels (5) Its tonnage measurement training under this part. procedures. (b) Authority to measure and certify (d) If, after reviewing the applica- U.S. flag vessels under the Convention tion, the Coast Guard determines that Measurement System and Standard the organization is qualified to meas- and Dual Regulatory Measurement ure and certify U.S. vessels on behalf of Systems may be delegated to an orga- the Coast Guard, the organization nization that— must enter into a written agreement (1) Is a full member of the Inter- with the Coast Guard which— national Association of Classification (1) Defines the procedures for admin- Societies (IACS); istering and implementing the tonnage

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measurement and certification proc- (2) The Commandant finds that the esses, including the roles and respon- laws and regulations of that country sibilities of each party; related to measurement are similar to (2) Outlines the Coast Guard’s over- those of subpart B of this part. sight role; (b) The Commandant may accept the (3) Prohibits the organization from measurement of a foreign flag vessel by using an employee or contractor of the a foreign country as complying with organization to measure and certify subpart C, D, or E of this part if the the tonnage of a vessel if that em- Commandant finds that the laws and ployee or contractor is acting or has regulations of that country related to acted as a tonnage consultant for that measurement are substantially similar same vessel; and to those of subpart C, D, or E, respec- (4) Requires the organization to— tively, of this part. (i) Accept all requests to perform del- [USCG–2011–0522, 81 FR 18721, Mar. 31, 2016] egated services without discrimination and without regard to the vessel’s loca- § 69.29 OMB control numbers assigned tion, unless prohibited from doing so under the Paperwork Reduction under the laws of the United States or Act. under the laws of the jurisdiction in (a) Purpose. This section collects and which the vessel is located; displays the control numbers assigned (ii) Physically inspect each vessel be- to information collection and record fore issuing a tonnage certificate; keeping requirements in this part by (iii) Provide the Coast Guard with the Office of Management and Budget current schedules of measurement fees (OMB) pursuant to the Paperwork Re- and related charges; duction Act of 1980 (44 U.S.C. 3501 et (iv) Maintain a tonnage measurement seq.). The Coast Guard intends that this file for each U.S. vessel that the orga- part comply with 44 U.S.C. 3507(f), nization measures and permit access to which requires that agencies display the file by any person authorized by the current control number assigned by the Commandant; the Director of OMB for each approved (v) Permit observer status represen- agency information collection require- tation by the Coast Guard at all formal ment. discussions that may take place be- (b) Display— tween the organization and other vessel tonnage measurement organiza- Currently tions pertaining to tonnage measure- assigned Section of 46 CFR part 69 OMB control ment of U.S. vessels or to the systems No. under which U.S. vessels are measured; (vi) Comply with and apply all laws 69.17 ...... 1625–0022 69.19 ...... 1625–0022 and regulations relating to tonnage 69.21 ...... 1625–0022 measurement of U.S. vessels within the 69.27 ...... 1625–0022 scope of authority delegated; and 69.55 ...... 1625–0022 69.105 ...... 1625–0022 (vii) Comply with all other provi- 69.121(d) ...... 1625–0022 sions, if any, of the written agreement. 69.159 ...... 1625–0022 69.179 ...... 1625–0022 [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as 69.205 ...... 1625–0022 amended by CGD 97–057, 62 FR 51045, Sept. 30, 1997; CGD 95–010, 62 FR 67536, Dec. 24, 1997; USCG–2011–0522, 81 FR 18721, Mar. 31, 2016] [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as amended by USCG–2004–18884, 69 FR 58346, § 69.28 Acceptance of measurement by Sept. 30, 2004] a foreign country. (a) The Commandant must accept the Subpart B—Convention measurement of a foreign flag vessel by Measurement System a foreign country as complying with subpart B of this part if: § 69.51 Purpose. (1) The vessel was measured under This subpart prescribes the require- the terms of the Convention and the ments for measuring a vessel in order foreign country is party to the Conven- to comply with the International Con- tion; or vention on Tonnage Measurement of

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Ships, 1969 (Convention), and 46 U.S.C. but which otherwise have been as- chapter 143. signed a load line, the draft corresponding to the Summer Load Line § 69.53 Definitions. so assigned; As used in this subpart— (d) For vessels to which no load line Amidships means the midpoint of the has been assigned but the draft of registered length, as ‘‘registered which is restricted under any Coast length’’ is defined in this section. Guard requirement, the maximum Boundary bulkhead means the bulk- draft permitted under the restriction; head or partition that separates an en- and closed interior space from the sur- (e) For other vessels, 75 per cent of rounding weather. In general, the exte- the molded depth. rior bulkhead of a deck structure is the Passenger means a person on board a boundary bulkhead. vessel other than— Cargo space means an enclosed space (a) The master, a member of the appropriated for the transport of cargo crew, or other person employed or en- which is to be discharged from the ves- gaged in any capacity in the business sel. The term does not include a space of the vessel; and which qualifies as an excluded space (b) A child under one year of age. under § 69.61. Registered breadth means the max- Enclosed space is defined in § 69.59. imum breadth of a vessel measured Excluded space is defined in § 69.61. amidships to the molded line of the Line of the upper deck means a longi- frame in a vessel with a metal shell tudinal line at the underside of the and to the outer surface of the hull in upper deck or, if that deck is stepped, all other vessels. the longitudinal line of the underside Registered length means either 96 per- of the lowest portion of that deck par- cent of the length on a waterline at 85 allel with the upper portions of that percent of the least molded depth deck. measured from the top of the flat keel Molded depth means the vertical dis- or the length from the fore side of the tance amidships between the following stem to the axis of the rudder stock on points: that waterline, whichever is greater. In (a) From the line of the upper deck at vessels designed with a rake of keel, the vessel’s side or, if the vessel has this length is measured on a waterline rounded gunwales, from the intersec- parallel to the design waterline. tion of the line of the upper deck ex- Upper deck means the uppermost tended to the molded line of the shell complete deck exposed to weather and plating as though the gunwales were of sea, which has permanent means of angular design. weathertight closing of all openings in (b) To the top of the flat keel, to the the weather part of the deck, and below lower edge of the keel rabbet if the ves- which all openings in the sides of the sel is of wood or composite structure, vessel are fitted with permanent means or to the point where the line of the of watertight closing. flat of the bottom extended inward Weathertight means secure against cuts the side of the keel if the vessel’s penetration of water into the vessel in lower part is hollow or has thick any sea condition. garboards. Molded draft means— [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as (a) For vessels assigned a load line amended by USCG–2011–0522, 81 FR 18721, under parts 42, 44, 45, or 47 of this chap- Mar. 31, 2016] ter, the draft corresponding to the Summer Load Line (other than a tim- § 69.55 Application for measurement services. ber load line); (b) For passenger vessels assigned a Applications for measurement under load line under part 46 of this chapter, this subpart must include the following the draft corresponding to the deepest information and plans: subdivision load line assigned; (a) Type of vessel. (c) For vessels to which parts 42, 44, (b) Vessel’s name and official number 45, 46, or 47 of this chapter do not apply (if assigned).

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(c) Builder’s name and the vessel hull to the sea, as well as those spaces list- number assigned by builder. ed in paragraphs (b) through (f) of this (d) Place built and delivery date (or section, are excluded spaces, except as scheduled delivery date). under paragraph (g) of this section. (e) Date keel was laid. (b) A space that is within a structure (f) Overall length, breadth, and depth and that is opposite an end opening ex- of vessel. tending from deck to deck (except for a (g) Lines plan. curtain plate of a height not exceeding (h) Booklet of offsets at stations. by more than one inch the depth of the (i) Capacity plans for tanks and cargo adjoining deck beams) and having a compartments. breadth equal to or greater than 90 per- (j) Hydrostatic curves. cent of the breadth of the deck at the (k) Construction plans showing meas- line of the opening is an excluded urements and scantlings of deck struc- space, subject to the following: tures, hatches, appendages, recesses, (1) Only the space between the actual and other enclosed spaces. end opening and a line drawn parallel (l) Arrangement plans. to the line or face of the opening at a distance from the opening equal to one- [CGD 89–007; CGD 89–007a, 58 FR 60266, Nov. half of the breadth of the deck at the 15, 1993, 58 FR 65131, Dec. 13, 1993, as amended by CGD 95–014, 60 FR 31606, June 15, 1995; line of the opening is excluded. (See USCG–2011–0522, 81 FR 18721, Mar. 31, 2016] § 69.75, figure 1.) (2) If, because of any arrangement § 69.57 Gross tonnage ITC. (except convergence of the outside Gross tonnage ITC (GT ITC) is deter- plating as shown in § 69.75, figure 3), the mined by the following formula GT ITC breadth of the space is less than 90 per- = K V, in which V = total volume of all cent of the breadth of the deck, only 1 the space between the line of the open- enclosed spaces in cubic meters and K1 = 0.2 + 0.02 log V. ing and a parallel line drawn through 10 the point where the athwartship [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as breadth of the space is equal to 90 per- amended by USCG–2011–0522, 81 FR 18721, cent or less of the breadth of the deck Mar. 31, 2016] is excluded. (See § 69.75, figures 2 and 4.) § 69.59 Enclosed spaces. (3) When any two spaces, either of which is excluded under paragraphs Enclosed space means a space which is (b)(1) or (b)(2) of this section, are sepa- bounded by the vessel’s hull, by fixed rated by an area that is completely or portable partitions or bulkheads, or open except for bulwarks or open rails, by decks or coverings other than per- these two spaces must not be excluded manent or movable awnings. No break if the separation between the two in a deck, nor any opening in the ves- spaces is less than the least half sel’s hull, in a deck or in a covering of breadth of the deck in way of the sepa- a space, or in the partitions or bulk- ration. (See § 69.75, figures 5 and 6.) heads of a space, nor the absence of a (4) When the deck at the line of an partition or bulkhead precludes the opening has rounded gunwales, the space from being included in the en- breadth of the deck is the distance be- closed space. Portable enclosed spaces, tween the tangent points indicated in regardless of method of attachment to § 69.75, figure 11. the vessel, are treated as enclosed (c) A space that is open to the weath- spaces as defined in this paragraph. er and that is under an overhead deck [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as covering with no connection on the amended by USCG–2011–0522, 81 FR 18721, space’s exposed sides between the cov- Mar. 31, 2016] ering and the deck other than the stanchions necessary for the covering’s sup- § 69.61 Excluded spaces. port is an excluded space. An open rail (a) Excluded space means an enclosed or bulwark fitted at the vessel’s side space which is excluded from the total does not disqualify the space from volume of all enclosed spaces (V) in being an excluded space if the height calculating gross tonnage ITC. Spaces between the top of the rail or bulwark that are below the upper deck and open and the overhead structure or curtain

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plate (if fitted) is not less than 2.5 feet means of closing is an excluded space, or one-third of the height of the space, if the interior width of the space is not whichever is greater. (See § 69.75, figure greater than the width of the opening 7.) and extension of the space into the (d) A space in a side-to-side structure structure is not greater than twice the directly in way of opposite side open- width of the opening. (See § 69.75, figure ings not less than 2.5 feet in height or 10.) one-third of the height of the struc- (g) Any space described in paragraphs ture, whichever is greater, is an ex- (a) through (f) of this section which ful- cluded space. If the opening is only on fills at least one of the following condi- one side of the structure, the space to tions is not an excluded space: be excluded is limited inboard from the (1) The space is fitted with shelves or opening to a maximum of one-half of other means designed for securing the breadth of the deck in way of the cargo or stores. opening. (See § 69.75, figure 8.) (2) The opening that would otherwise (e) A space in a structure imme- permit the space to be excluded space diately below an uncovered opening in is fitted with a means of closure. the deck overhead is an excluded space, (3) Other features of the space make if the opening is exposed to the weath- it possible for the space to be closed. er and the space to be excluded is lim- [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as ited to the area of the opening. (See amended by USCG–2011–0522, 81 FR 18721, § 69.75, figure 9.) Mar. 31, 2016] (f) A recess in the boundary bulkhead of a structure which is exposed to the § 69.63 Net tonnage ITC. weather and which has an opening that Net tonnage ITC (NT ITC) is deter- extends from deck to deck without a mined by the formula:

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[USCG–2011–0522, 81 FR 18721, Mar. 31, 2016] § 69.67 Marking of cargo spaces. § 69.65 Calculation of volumes. Cargo spaces used in determining volume (Vc) for calculating net tonnage (a) Volumes V and Vc used in calcu- must be permanently marked with the lating gross tonnage ITC and net ton- letters ‘‘CC’’ (cargo compartment) nage ITC, respectively, must be meas- which are at least four inches in height ured and calculated according to ac- and positioned so as to be visible at all cepted naval architectural practices times. for the spaces concerned. (b) Measurements must be taken, re- § 69.69 Tonnage certificates. gardless of the fitting of insulation or (a) On request of the vessel owner, the like, to the inner side of the shell the authorized measurement organiza- or structural boundary plating in ves- tion must issue an International Ton- sels constructed of metal, and to the nage Certificate (1969) as evidence of outer surface of the shell or to the the vessel’s measurement under this inner side of structural boundary sur- subpart for a vessel that is 24 meters faces in all other vessels. (79.0 feet) or more in registered length, [USCG–2011–0522, 81 FR 18722, Mar. 31, 2016] will engage on a foreign voyage, and is

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not a vessel of war. The Certificate is nage applicable to the load line as- delivered to the vessel owner or master signed under the International Conven- and must be maintained on board the tion on Load Lines, SOLAS or other vessel when it is engaged on a foreign international agreement for the trade voyage. For a vessel for which a re- in which the vessel in engaged. measurement under § 69.71 resulted in a (c) When a vessel is altered so that net tonnage ITC decrease due to the net tonnage is decreased or the ves- changes other than alterations or sel’s trade is changed so that the load modifications to the vessel deemed by line assigned for that trade under para- the Commandant to be of a major char- graph (b) of this section is no longer acter, an International Tonnage Cer- appropriate and results in a decrease in tificate (1969) reflecting the decreased its net tonnage, a new International net tonnage ITC will not be reissued Tonnage Certificate (1969) incor- until 12 months have elapsed from the porating that net tonnage may not be date of measurement indicated on the issued until twelve months after the current certificate. date on which the current Certificate (b) If an International Tonnage Cer- was issued. However, if one of the fol- tificate (1969) is not issued for a vessel lowing apply, a new Certificate may be measured under this part, the measure- issued immediately: ment organization must issue a U.S. (1) The vessel is transferred to the Tonnage Certificate as evidence of the flag of another nation. vessel’s measurement under this sub- (2) The vessel undergoes alterations part, which must also indicate the ves- or modifications which the Com- sel’s measurement under any other mandant deems to be of a major char- subpart of this part. There is no re- acter, such as the removal of a super- quirement to maintain the U.S. Ton- structure which requires an alteration nage Certificate on board the vessel. of the assigned load line. (c) For a vessel that transfers flag to a foreign country that is party to the [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as Convention, the International Tonnage amended by USCG–1999–6216, 64 FR 53225, Oct. Certificate (1969) remains valid for a 1, 1999; USCG–2011–0522, 81 FR 18722, Mar. 31, 2016] period not to exceed 3 months after the flag transfer, or until an International § 69.73 Treatment of novel type ves- Tonnage Certificate (1969) is issued sels. under authority of the foreign country (a) When application of this subpart to replace it, whichever is earlier. to a novel type vessel produces unrea- [USCG–2011–0522, 81 FR 18722, Mar. 31, 2016] sonable or impractical results, the Commandant may determine a more § 69.71 Change of net tonnage. suitable method of measurement. (a) When a vessel is altered so that (b) Requests for a determination the net tonnage is increased, the new must be submitted to the Com- net tonnage must be applied imme- mandant, explaining the reasons for diately. seeking a determination, and including (b) A vessel concurrently assigned a description of the spaces in question, load lines under both the International if applicable. Convention on Load Lines and either the International Convention for the [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as amended by CGD 97–057, 62 FR 51045, Sept. 30, Safety of Life at Sea (SOLAS) or other 1997; USCG–1999–6216, 64 FR 53225, Oct. 1, 1999; international agreement must be as- USCG–2011–0522, 81 FR 18722, Mar. 31, 2016] signed only one net tonnage. The net tonnage assigned must be the net ton- § 69.75 Figures.

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[USCG–2011–0522, 81 FR 18722, Mar. 31, 2016] Subpart C—Standard Regulatory Measurement System § 69.101 Purpose. This subpart prescribes the procedures for measuring a vessel under the

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Standard Regulatory Measurement ally extend from the outer to the inner System described in 46 U.S.C. 14512. bottom. Gross register tonnage is defined in [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as amended by USCG–2011–0522, 81 FR 18724, § 69.107(a). Mar. 31, 2016] Hatch means an opening in a deck through which cargo is laden or dis- § 69.103 Definitions. charged. As used in this subpart— Line of the normal frames means the Between-deck means the space above imaginary horizontal line that con- the line of the tonnage deck and below nects the inboard faces of the smallest the line of the deck next above. normal frames. Break means the space between the Line of the ordinary frames means the line of a deck and the upper portion of line of intersection of the imaginary that deck, in cases where that deck is surface or surfaces tangent to the in- stepped and continued at a higher ele- board faces of the ordinary frames (or vation. the inside of the vessel’s skin, if there Camber means the perpendicular rise are no ordinary frames), and the imagi- or crown of a deck at the centerline of nary plane running transversely the vessel measured above the skin of through the vessel at the tonnage sta- the vessel at the vessel’s sides. tion of interest. Ceiling means the permanent plank- Line of tonnage deck means the line ing or plating fitted directly on the in- determined under § 69.109(e). board side of frames, floors, or double Line of uppermost complete deck means bottom and includes cargo battens and the line determined under § 69.111(b). refrigeration insulation but does not Net register tonnage is defined in include false ceiling which stands off § 69.107(b). from the framing. Normal frame means a frame, regard- Coaming means both the vertical less of size, used to stiffen a structure. plating around a hatch or skylight and Ordinary frame means a primary side the sill below an opening in a bulk- or bottom frame or floor used for head. strengthening the hull. Deckhouse means a structure that is Registered breadth is defined in § 69.53. on or above the uppermost complete Registered depth means ‘‘molded deck and that does not extend from depth’’ as defined in § 69.53. side to side of the vessel. The term in- Registered length is defined in § 69.53. cludes cabin trunks and closed-in Shelter deck means the uppermost spaces over the holds of vessels. deck that would have qualified as the Depth of frame means the perpen- uppermost complete deck had it not dicular depth of a bottom frame and been fitted with a middle line opening. the athwart distance between the in- Step means a cutoff in a deck or in board and outboard faces of a side the bottom, top, or sides of a space re- frame. sulting in varying heights of a deck or Double bottom means a space at the varying heights or widths of a space. bottom of a vessel between the inner Superstructure means all permanently and outer bottom plating and used closed-in structures, including all port- solely for water ballast. able enclosed spaces, on or above the Double bottom for water ballast means line of the uppermost complete deck a space at the bottom of a vessel be- or, if the vessel has a shelter deck, on tween the inner and outer bottom plat- or above the line of the shelter deck. ing, used solely for water ballast. Examples of superstructure spaces in- Floor means a vertical plate or tim- clude forecastles, bridges, poops, deck- ber extending from bilge to bilge in the houses, breaks, portable tanks, and bottom of a vessel. In a wooden vessel, modular quarters units. ‘‘floor’’ means the lowermost timber Tonnage deck is defined in § 69.109(c). connecting the main frames at the keel Tonnage interval means the longitu- when that timber extends the full dinal distance between transverse sec- depth of the frames to which it is fas- tions of a vessel’s under-deck, between- tened. In a double bottom, floors usu- deck, or superstructure when divided

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into an even number of equal parts for (l) Arrangement plans. purposes of volume integration. [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as Tonnage length is defined in § 69.109(f). amended by CGD 95–014, 60 FR 31606, June 15, Tonnage station means the longitu- 1995; USCG–2011–0522, 81 FR 18725, Mar. 31, dinal location of each transverse sec- 2016] tion where breadth and depth measurements are taken when calculating § 69.107 Gross and net register ton- under-deck volumes under this subpart. nage. Tonnage stations are numbered con- (a) The vessel’s gross register ton- secutively from fore to aft, beginning nage is the sum of the following ton- with the number one. nages, less the tonnages of certain Uppermost complete deck is defined in spaces exempt under § 69.117: § 69.108. (1) Under-deck tonnage (§ 69.109). Zone of influence method means a (2) Between-deck tonnage (§ 69.111). Simpson’s first rule integration meth- (3) Superstructure tonnage (§ 69.113). od for determining volumes of under- (4) Excess hatchway tonnage deck spaces that limits the sectional (§ 69.115(c)). areas associated with these spaces to (5) Tonnage of framed-in propelling the sectional areas at adjacent under- machinery spaces included in calcu- deck tonnage stations, depending on lating gross tonnage (§ 69.121(d)(1)). their proximity to those stations. For (b) The vessel’s net register tonnage stations for which the under-deck sec- is the gross register tonnage less de- tional areas are multiplied by four, the ductions under §§ 69.119 and 69.121. zone of influence extends two-thirds of (c) The authorized measurement or- a tonnage interval on either side of the ganization must issue a U.S. Tonnage under-deck station, and for the remain- Certificate as evidence of a vessel’s ing stations, the zone of influence ex- measurement under this subpart, tends one-third of a tonnage interval which must also indicate the vessel’s on either side of the station. measurement under the Convention Measurement System in subpart B of [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as this part, if applicable. There is no re- amended by USCG–2011–0522, 81 FR 18724, Mar. 31, 2016] quirement to maintain the U.S. Ton- nage Certificate on board the vessel. § 69.105 Application for measurement [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as services. amended by USCG–2011–0522, 81 FR 18725, Applications for measurement serv- Mar. 31, 2016] ices under this subpart must include § 69.108 Uppermost complete deck. the following information and plans: (a) Type of vessel. (a) Defined. ‘‘Uppermost complete (b) Vessel’s name and official number deck’’ means the uppermost deck (if assigned). which extends from stem to stern and (c) Builder’s name and the vessel hull from side to side at all points of its number assigned by the builder. length and is bound by the vessel’s hull. (d) Place built and delivery date (or (b) Restrictions. The uppermost com- scheduled delivery date). plete deck must not: (e) Date keel was laid. (1) Extend above any space exempted (f) Overall length, breadth, and depth as open space under paragraph (d) of of vessel. § 69.117; (g) Lines plan. (2) Extend below the design water- (h) Booklet of offsets. line, except in the case of vessels such (i) Capacity plans for tanks as submersibles, where the entire up- (j) Construction plans showing meas- permost complete deck is submerged urements and scantlings of hull and su- during normal operations; or perstructure. (3) Rest directly on consecutive or al- (k) Tonnage drawing showing ton- ternating ordinary bottom frames or nage length in profile and tonnage sec- floors for a distance of over one-half of tions. the tonnage length.

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(c) Deck discontinuities. Decking (d) Enumerating the decks to identify athwartships of the following deck dis- the second deck from the keel. The upper- continuities is not considered to be most complete deck is an enumerated part of the uppermost complete deck: deck. Decks below the uppermost com- (1) Through-deck openings that are plete deck that extend from stem to not protected from the sea and the stern and side to side at all points weather, such as would be provided by along their lengths are also enumer- hatch covers or a surrounding super- ated, provided they are not disqualified structure that encloses the opening by either of the following deck dis- and whose area is more than 10 percent continuities: of the total deck area from stem to (1) A through-deck opening that is stern as viewed from above. not fitted with a cover (or equivalent) (2) Middle line openings conforming and whose area is more than 10 percent to the requirements of § 69.117(e)(2). of the total deck area, as viewed from (3) Deck recesses that are not above. through-hull for which the depth of the (2) A deck recess that is not through- deck recess at its deepest point is more hull for which the depth at its deepest than five feet below adjacent portions point is more than five feet below adja- of the deck, and whose area (as viewed cent portions of the deck and whose from above) is more than 10 percent of area as viewed from above is more than the total deck area from stem to stern, 10 percent of the total deck area from as viewed from above. stem to stern, as viewed from above. (4) Notches bounded by a deck below (e) Identifying the line of the tonnage that wrap around from the ends to the deck. (1) If the tonnage deck runs in a sides of the vessel for which the depth continuous line from stem to stern, the at the deepest point is more than five line of the tonnage deck is the longitu- feet below adjacent portions of the dinal line at the underside of the ton- deck, the area is more than one percent nage deck. of the total deck area from stem to (2) If the tonnage deck is stepped, the stern as viewed from above, the length line of the tonnage deck is the longitu- of the notch in the direction of the ves- dinal line of the underside of the lowest sel’s longitudinal axis exceeds 10 feet portion of that deck parallel with the at any point across its width, and the upper portions of that deck. Steps that width of the notch in the direction of do not extend from side to side or are the vessel’s longitudinal axis exceeds less than three feet in length are ig- two feet at any point along its length. nored when establishing the line of the tonnage deck. (See § 69.123, figures 1 [USCG–2011–0522, 81 FR 18725, Mar. 31, 2016] and 2.) Spaces between the line of the tonnage deck and the higher portions § 69.109 Under-deck tonnage. of that deck are not included in under- (a) Defined. ‘‘Under-deck tonnage’’ deck tonnage. means the tonnage of the space below (f) Tonnage length. (1) ‘‘Tonnage the line of the tonnage deck, as that length’’ means the length of a hori- volume is calculated under this sec- zontal straight line measured at the tion. centerline of the vessel from the point (b) Method of calculating tonnage. forward where the line of the tonnage Under-deck tonnage is calculated by deck intersects the line of the inboard applying Simpson’s first rule using the faces of the ordinary side frames to the tonnage length and the areas of the point aft where the line of the tonnage transverse sections prescribed by this deck intersects the inboard face of the section. ordinary transom frames or cant (c) Identifying the tonnage deck. In frames. (See § 69.123, figure 3.) vessels with two or less enumerated (2) For a vessel having a headblock or decks, the tonnage deck is the upper- square end with framing which extends most complete deck. In vessels with from the tonnage deck to the bottom of more than two enumerated decks, the the vessel, the tonnage length termi- tonnage deck is the second enumerated nates on the inboard face of the deck from the keel as determined in headblock or ordinary end frames. (See paragraph (d) of this section. § 69.123, figure 4.)

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(3) For a vessel having a square bow for water ballast has a straight fall or stern and tonnage deck with cam- from centerline to the wings, the depth ber, the effect of the camber on the terminates at one-half of the height of tonnage length must be considered. fall. (See § 69.123 figure 8.) The tonnage length must be measured (3) When a depth falls at a point below the tonnage deck at a distance where the tank top of a double bottom equal to one-third of round camber and for water ballast rises from the center- one-half of straight pitch camber. line to the wings, the depth terminates (4) The forward and after termini of at one-half the dead rise. (See § 69.123, the tonnage length must be a distance figure 9.) of no more than eight and one-half feet (4) The depth at the midpoint of the from the associated inboard surface of tonnage length or, when a vessel is the skin of the hull at the bow and measured in parts, the depth at the stern as measured at the centerline of midpoint of each part determines the the vessel, and the after terminus must number of equal parts into which each not be forward of the centerline of the depth is divided, as follows: rudderstock. (i) If the midpoint depth is 16 feet or (g) Division of vessel into transverse less, each depth is divided into four sections. (1) Except as under paragraph equal parts. If the midpoint depth ex- (m)(1)(iii) of this section, the tonnage ceeds 16 feet, each depth is divided into length is divided into an even number six equal parts. (See § 69.123, figure 7.) of equal parts as indicated in the fol- (ii) The interval between the points lowing table: of division of a depth and one-third intervals are carried to the nearest hun- Divi- Class Tonnage length sions dredth of a foot. (i) Breadths of transverse sections. (1) 1 ...... 50 ft. or less ...... 6 Transverse section breadths are meas- 2 ...... Over 50 ft. but not exceeding 100 ft 8 ured horizontally at each point of divi- 3 ...... Over 100 ft. but not exceeding 150 10 ft. sion of each depth and also at the 4 ...... Over 150 ft. but not exceeding 200 12 upper and lower points of each depth. ft. Breadths are measured to the inboard 5 ...... Over 200 ft. but not exceeding 250 14 ft. face of the ordinary frames or to the 6 ...... Over 250 ft...... 16 line of the ordinary frames. Breadths are measured parallel to each other (2) Transverse sections are cut at and at right angle to the vessel’s cen- each end of the tonnage length and at terline. (See § 69.123, figure 7.) each point of division of the tonnage (2) Upper breadths are not reduced by length, whose location is referred to as measuring to deck-beam brackets. In a tonnage station, and assigned sequen- cases of camber when an upper breadth tial tonnage station numbers, begin- passes through the deck (see § 69.123, ning at the stem. Intervals and one- figure 7), the breadth is measured to third intervals between the points of the line of the side frames at the under division are measured to the nearest side of the deck projected vertically up thousandth of a foot. (See § 69.123 fig- to the height of the upper breadth. ures 5 and 6.) (3) Bottom breadths are measured (h) Depths of transverse sections. (1) only as far as the flat of the floor ex- Transverse section depths are meas- tends. (See § 69.123, figures 7 and 10.) ured at each point of division of the When bottom frames rise immediately tonnage length at the centerline of the from the flat keel, bottom breadths are vessel from a point below the line of equal to the breadth of the flat keel. the tonnage deck equal to one-third of Where there is no double bottom for the camber or to one-half of the pitch water ballast and where there is dead of the beam down to the upper side of rise of the bottom out to the sides of the ordinary frames, floors, the vessel, bottom breadths are equal longitudinals, or tank top of a double to the part of the bottom plating not bottom for water ballast, as the case affected by dead rise. may be. (4) Bottom breadths falling in way of (2) When a depth falls at a point a double bottom, the top of which rises where the tank top of a double bottom or falls from centerline to the wings,

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are measured between the inboard dinal parts at the step. Each part is faces of the frame brackets which con- subdivided as follows to determine the nect the double bottom with the number of transverse sections: frames. (See § 69.123, figures 8 and 9.) (i) Parts 20 feet or under in length (j) Measuring spaces having ceiling. are divided into two equal parts. The maximum allowance for termi- (ii) Parts over 20 feet and under 40 nating measurements on ceiling is feet in length are divided into four three inches on the bottom frames or equal parts. tank top and three inches on each side (iii) Parts 40 feet or over are divided frame. When ceiling is less than three as provided in paragraph (g)(1) of this inches thick, only the actual thickness section. is allowed. When ceiling is fitted on a (2) The tonnage of each part is cal- platform directly above the bottom culated separately. The sum of the ton- frames, depths are measured down nages of the parts is the under-deck through the platform to the upper side tonnage. of the frames and the allowable ceiling (n) Spaces open to the sea. In calcu- on the platform is then deducted. lating the tonnage of spaces below the (k) Area of transverse sections. (1) A uppermost complete deck, subtract transverse section at an end of the ton- from each breadth measurement the nage length may not yield area, except portion of that measurement that in vessels (such as barges) with an up- spans a space, or a portion thereof, right bow or stern. that is open to the sea. (2) The breadths of each transverse (o) Open vessels. (1) An open vessel is section are numbered from above, the a vessel without an uppermost com- upper being ‘‘1’’, the second down being plete deck. ‘‘2’’, and so on to the lowest. (2) The line of the tonnage deck for (3) Multiply the even numbered an open vessel is the upper edge of the breadths by four and the odd numbered upper strake. Depths of transverse sec- breadths by two, except for the first tions are taken from this line. and last breadths, which are multiplied (3) Any vessel, other than one having by one. a mechanically refrigerated hold, that (4) Add together the products from is not an open vessel and that has a paragraph (k)(3) of this section. tonnage length of less than 50 feet is (5) Multiply the sum from paragraph measured as an open vessel, if the dis- (k)(4) of this section by one-third of the tance between the line of its tonnage interval between the breadths. The deck and the upper edge of the upper product is the area of the transverse strake is more than one-sixth of the section. midship depth. ‘‘Midship depth’’ means (l) Tonnage. (1) Number the trans- the depth measured from the line of verse sections successively ‘‘1’’, ‘‘2’’, the upper edge of the upper strake to and so forth, beginning at the bow. the point in the bottom used for meas- (2) Multiply the area of the even uring tonnage depths. numbered sections by four and the area (p) General requirements on ordinary of the odd numbered sections by two, frames—(1) Construction. An ordinary except the first and last sections, frame must not be penetrated by an which are multiplied by one. intersecting frame used to strengthen (3) Add together the products from the vessel’s hull, except in a vessel of paragraph (l)(2) of this section and wooden construction. Ordinary frames multiply the sum by one-third of the must be of the same material, or have interval between the sections. The the same material properties, as the product is the volume under-deck. adjacent hull, and attach to the adja- (4) The volume under-deck is divided cent hull to at least the same extent as by 100 and is, subject to exemptions, adjacent ordinary and normal frames. the under-deck tonnage. If comprised of different elements, the (m) Steps in double bottom for water elements must be joined to each other ballast. (1) The tonnage length of a ves- to the same extent that the frame is sel having a step exceeding six inches joined to the hull. The frame, or por- in height in its double bottom for tions thereof, not meeting these re- water ballast is divided into longitu- quirements must be treated as if not

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there when establishing the line of the those half-breadths by a factor of two ordinary frames. to yield the full breadths. (2) Frame spacing and extension. Ordi- nary frames used to establish the line [CGD 87–015b, 54 FR 37657, Sept. 12, 1989; 54 FR 40240, Sept. 29, 1989; USCG–2014–0688, 79 of the ordinary frames must be spaced FR 58281, Sept. 29, 2014; USCG–2011–0522, 81 on centers that are a maximum of four FR 18725, Mar. 31, 2016] feet apart. These frames must extend for a length of at least one tonnage in- § 69.111 Between-deck tonnage. terval that begins at, ends at, or (a) Defined. ‘‘Between-deck tonnage’’ crosses the associated tonnage station. means the tonnage of the space above For a longitudinally-framed vessel, the the line of the tonnage deck and below frames must begin and end at a trans- the line of the uppermost complete verse ordinary frame or at the vessel’s deck. hull. (3) Different sized framing. When an (b) Identifying the line of the uppermost ordinary frame has a different depth of complete deck. (1) If the uppermost com- frame than an adjacent ordinary frame, plete deck runs in a continuous line the line of the ordinary frames is es- from stem to stern, the line of the up- tablished using the set of alternating permost complete deck is the longitu- frames that yields the smallest sec- dinal line of the underside of the upper- tional area at the associated tonnage most complete deck. station, with the sectional area based (2) If the uppermost complete deck is on the frame with the smallest depth of stepped, the line of the uppermost com- frame in the chosen alternating set. plete deck is the longitudinal line of (4) Frame openings. If an opening in the underside of the lowest portion of an ordinary frame is oversized, or is that deck parallel with the upper por- penetrated by a frame other than an tions of that deck. Steps that do not ordinary frame, the line of the ordi- extend from side to side or are less nary frames is established as if the than three feet in length are ignored frame material above and inboard of when establishing the line of the upper- the opening is not there. Similarly, most complete deck. Spaces between frame material separating adjacent the line of the uppermost complete openings that are within the longest deck and the higher portions of the linear dimension of either opening deck are included in superstructure must be treated as if not there when tonnage. establishing the line of the ordinary (c) Method for calculating tonnage. The frames. An opening is oversized if the tonnage of each level of the between- opening is: deck space is calculated separately, as (i) Circular in shape with a diameter follows: exceeding 18 inches; (1) The length of each level is meas- (ii) Oval in shape of a size greater ured at the mid-height between the than 15 × 23 inches (i.e., either the line of the deck above and the line of minor axis exceeds 15 inches or the the deck below. Measure from the point major axis exceeds 23 inches, and the forward where the continuation of the oval’s area exceeds 255 square inches line of the normal frames intersects (345 square inches in a fuel tank)); or the center line of the vessel aft to the (iii) Any shape other than circular or forward face of the normal transom oval, whose area exceeds 255 square framing. inches (345 square inches in a fuel (2) Divide the length under paragraph tank). (c)(1) of this section into the same (5) Asymmetrical framing. Where ordi- number of equal parts into which the nary frames are configured such that tonnage length is divided under the line of the ordinary frames would § 69.109(g)(1). be asymmetrical about the centerline (3) Measure at mid-height the inside of the vessel, breadth measurements breadth of the space to the line of the are determined by taking half-breadths normal frames at each end and at each on the side of the vessel that yields the point of division of the length. Number greatest sectional area at the associ- the breadths successively ‘‘1’’, ‘‘2’’, and ated tonnage station, and multiplying so forth beginning at the bow.

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(4) Multiply the even numbered by two, except the first and last breadths by four and the odd numbered breadth, which are multiplied by one. breadths by two, except the first and (5) Add together the products under last, which are multiplied by one. paragraph (b)(4) of this section and (5) Add together the products under multiply the sum by one-third of the paragraph (c)(4) of this section and interval between the points at which multiply the sum by one-third of the the breadths are taken. The product is interval between the points at which the square foot area of the structure at the breadths are taken. The product is mid-height. the square foot area of the space at (6) Multiply this area by the average mid-height. of the heights taken at each point of (6) Multiply the area of the space at division of the structure between its mid-height by the average of the decks or the line of its decks. The prod- heights taken each point of division of uct divided by 100 is the tonnage of the space. The product divided by 100 is that structure. the tonnage of that space. (c) A structure having steps in its (7) The between-deck tonnage is the deck or side must be measured in parts. sum of the tonnage of each level within (d) The superstructure tonnage is the the between-deck space. sum of tonnages of each level above the line of the uppermost complete deck [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as amended by CGD 97–057, 62 FR 51045, Sept. 30, (or shelter deck, if applicable). 1997; USCG–2011–0522, 81 FR 18726, Mar. 31, (e) When a structure is located over a 2016] cut-away portion of the tonnage deck, the structure’s height is measured § 69.113 Superstructure tonnage. from the under side of its overhead (a) Defined. ‘‘Superstructure ton- deck to the line of the tonnage deck. If nage’’ means the tonnage of all super- the tonnage deck has no camber, allow structure spaces. for camber in the overhead deck. (b) Method of calculating tonnage. The (f) For structures of a standard geo- tonnage of all structures on each level metric shape, a simple geometric for- on or above the uppermost complete mula that yields an accurate volume deck (or shelter deck, if applicable) is may be used. All measurements are calculated separately as follows: terminated at the line of the normal (1) Measure the length of each struc- frames. ture along its centerline at mid-height [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as to the line of the normal frames. (See amended by USCG–2014–0688, 79 FR 58281, § 69.123, figure 11.) Sept. 29, 2014; USCG–2011–0522, 81 FR 18726, (2) Divide the length under paragraph Mar. 31, 2016] (b)(1) of this section into an even number of equal parts most nearly equal to § 69.115 Excess hatchway tonnage. those into which the tonnage length is (a) Hatchways that are above the divided under § 69.109. tonnage deck and are either open to (3) Measure at mid-height the inside the weather or within open structures breadth to the line of the normal are measured to determine excess frames at each end and at each point of hatchway tonnage. Hatchways that are division of the length. Number the in between-deck spaces, on decks with- breadths successively ‘‘1’’, ‘‘2’’, and so in closed-in structures, or on open forth, beginning at the extreme for- structures are not measured. ward end of the structure. If an end of (b) The tonnage of a hatchway is its the structure is in the form of a contin- length times breadth times mean depth uous arc or curve, the breadth at that divided by 100. Mean depth is measured end is one-half the nearest breadth. If from the under side of the hatch cover an end is in the form of an arc or curve to the top of the deck beam. having a decided flat, the breadth at (c) From the sum of the tonnage of the end is two-thirds of the nearest the hatchways under this section, sub- breadth. tract one-half of one percent of the ves- (4) Multiply the even numbered sel’s gross register tonnage exclusive of breadths by four and the odd numbered the hatchway tonnage. The remainder

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is added as excess hatchway tonnage in above the line of the uppermost com- calculating the gross register tonnage. plete deck is exempt as light or air space. [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as amended by USCG–2011–0522, 81 FR 18727, (iv) Space that would otherwise be Mar. 31, 2016] exempt as a light or air space is not exempt when propelling machinery is § 69.117 Spaces exempt from inclusion boxed-in and does not extend above the in tonnage. line of the uppermost complete deck. (a) Purpose. This section lists spaces Any portion of the boxed-in space which are exempt from inclusion in above the line of the uppermost com- tonnage. plete deck is exempt. (b) Spaces on or above the line of the (5) Skylights affording light or air to uppermost complete deck. The following a space below, other than to propelling spaces or portions of spaces on or above machinery spaces. Space immediately the line of the uppermost complete below the line of the deck on which a deck are exempt if the spaces or por- skylight is located is exempt only tions are reasonable in extent and when there is an opening in the next adapted and used exclusively for the lower deck directly below the skylight purpose indicated: to permit light or air to an even lower (1) Spaces for anchor gear, including deck. capstan, windlass, and chain locker, (6) Machinery spaces, other than for are exempt. propelling machinery under § 169.121. (2) Companions and booby-hatches (7) Spaces for steering gear. protecting stairways or ladderways (8) Water closet spaces that are fitted leading to spaces below are exempt, with at least a toilet and are intended whether or not the spaces below are ex- for use by more than one person. empt. (9) The space in a wheelhouse nec- (3) Galley or other spaces fitted with essary for controlling the vessel. a range or oven for cooking food to be (c) Passenger spaces. (1) As used in consumed on board the vessel are ex- this section, the term ‘‘passenger’’ in- empt. cludes officers and enlisted men on (4) Spaces designed to provide light military vessels who are not assigned or air to propelling machinery are ex- ship’s duties and not entered on the empt, as follows: ship’s articles. (i) When propelling machinery is lo- (2) As used in this section, ‘‘pas- cated entirely on or above the line of senger space’’ means a space reserved the uppermost complete deck, the en- exclusively for the use of passengers tire propelling machinery space and all and includes, but is not limited to, fuel bunker spaces that are also lo- berthing areas, staterooms, bathrooms, cated above that line are exempt as toilets, libraries, writing rooms, light or air spaces. (See exception in lounges, dining rooms, saloons, smok- § 69.121(d)(1) for framed-in spaces.) ing rooms, and recreational rooms. The (ii) When part of the propelling ma- space need not be part of or adjacent to chinery projects above the line of the a berthing area to be considered a pas- uppermost complete deck into a space senger space. Spaces used by both pas- used exclusively to provide light or air sengers and crew members (e.g., first to the propelling machinery, the entire aid stations), or used for passenger sup- space is exempt as light or air space. port but not accessible to passengers at When any portion of this space is used all times (e.g., vaults on a gaming ves- for purposes other than providing light sel) cannot be exempted as passenger or air, only the portion of the space space. used for light or air, the space occupied (3) A passenger space located on, or by the propelling machinery itself, and above the first deck above the upper- a propelling machinery working space most complete deck is exempt from allowance under § 69.121 limited to two tonnage. To qualify as the first deck feet, if available, on each side of the above the uppermost complete deck, propelling machinery are exempt. the deck must be at least six inches (iii) Any part of an escape shaft, or a above the uppermost complete deck at companion sheltering an escape shaft, all points along its length.

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(d) Open structures. (1) Structures weather only when an interior bulk- that are located on or above the line of head of that compartment has an open- the uppermost complete deck that are ing or openings that meet the require- under cover (sheltered), but open to the ments for end bulkheads under para- weather are exempt from tonnage as graphs (d)(2)(i) and (iii) of this section. open space. The following additional Other compartments within the struc- requirements apply: ture are not considered open to the (i) If a structure is divided into com- weather. The following additional re- partments, only those compartments quirements apply: which are open to the weather are ex- (i) For the interior compartment to empt from tonnage under the provi- be considered open to the weather, any sions of this section. compartment or series of compart- (ii) Open space cannot progress ments from which the open space pro- vertically through openings in a deck gresses must have an opening or open- within the structure. ings meeting the requirements for end (iii) A space that is outside a struc- bulkhead openings, except that the ture’s boundary bulkhead as defined in opening(s) need not be located in the § 69.53 is considered open to the weather forward or after end of the compart- provided the space is eligible to be treated as an excluded space under the ment. provisions of § 69.61, regardless of (ii) Open space may not progress whether or not the space is fitted with from a space that is open under the means designed for securing cargo or provisions of paragraph (d)(1)(iii) of stores. this section unless the space may also (2) A structure is considered open to be considered open under another pro- the weather when an exterior end bulk- vision of this section. head of the structure is open and, ex- (4) An interior or exterior opening cept as provided in paragraphs (d)(4), that is temporarily closed by shifting (5), and (6) of this section, is not fitted boards dropped into channel sections at with any means of closing. To be con- the sides of the opening is considered sidered open to the weather, the end open to the weather if battening, bulkhead must not have a coaming caulking, or gaskets of any material height of more than two feet in way of are not used. any required opening nor any perma- (5) An interior or exterior opening nent obstruction within two and one- that is temporarily closed by cover half feet of the opening, it must be plates or boards held in place only by fitted with a deck or platform that is a hook bolts (see § 69.123, Figure 12) is minimum of two and one-half feet wide considered open to the weather— on the exterior side of the opening, and (i) If hook bolts used to secure cover it must have one of the following: plates or boards are spaced at least one (i) Two openings, each at least three foot apart and hook over a stiffener in- feet wide and at least four feet high in stalled around the perimeter of the the clear, one on each side of the cen- opening; terline of the structure. If the openings (ii) If the cover plates or boards fit lead to two separate interior compart- tightly against the weather side of the ments, there must be circulation of bulkhead; and open space between the two compart- (iii) If battening, caulking, or gas- ments via a single such opening, or series of such openings, in the inter- kets of any material are not used. mediate bulkhead(s). (6) An interior or exterior opening (ii) One opening at least four feet that is temporarily closed by cover wide and at least five feet high in the plates or boards held in place only by clear. bolts and crosspieces is considered open (iii) One opening at least 20 square to the weather— feet in the clear with a breadth in ex- (i) If the bolts are not installed cess of four feet and a height of not less through the bulkhead; than three feet. (ii) If the bolts and crosspieces are (3) A compartment within an open not held in place by cleats or other at- structure is considered open to the tachments to or through the bulkhead;

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(iii) If the cover plates or boards fit corners not exceeding a nine inch ra- tightly against the weather side of the dius. When a greater radius is required bulkhead; and by the Coast Guard or a Coast Guard (iv) If battening, caulking, or gaskets recognized classification society under of any material are not used. § 42.05–60 of this chapter, notification of (7) Notwithstanding the opening size that requirement must be submitted to requirements of paragraph (d)(2) of this the Commandant. section, a structure with its aft end en- (ii) The middle line opening must be tirely open from the under side of its located so that the distance between overhead stiffeners down to the deck, the aft edge of the middle line opening to the line of the deck, or to a coaming and the vessel’s stern is not less than not exceeding three inches in height one-twentieth of the tonnage length of and open athwartship between the in- the vessel and the distance between the board faces of the side stiffeners is con- fore edge of the opening and the ves- sidered open to the weather. The open- sel’s stem is not less than one-fifth of ing may be covered by a wire mesh the tonnage length of the vessel. screen or temporarily closed by canvas (iii) The middle line opening must secured at the top and lashed or but- not be within a structure of any type. toned in place. (iv) If the middle line opening is (8) A structure is considered open to guarded by rails or stanchions, the the weather if: rails and stanchions must not be used (i) Both sides of the structure are to secure or assist in securing a cover open and not fitted with any means of over the opening. closing other than temporary covers (v) The coaming of the middle line meeting the requirements of para- opening must not exceed one foot mean graphs (d)(4), (5), and (6) of this section; height above the shelter deck. Bolts (ii) The openings are directly across must not pass through the stiffeners or from each other, are not separated by a flanges on the coaming, nor may there bulkhead or bulkheads, and do not be any other attachments on the coa- have any permanent obstruction with- ming for fastening a cover. Portable in two and one-half feet of either open- wood covers may be fitted over the ing; and middle line opening if held in place (iii) The openings have a continuous only by lashings fitted to the under height of at least three feet, or the full side of the covers. Metal covers may be height of the structure, whichever is fitted if held in place only by hook less, and either extend the full length bolts spaced not less than 18 inches of the structure or each have an area of apart that pass through the cover and 60 square feet. hook over angle stiffeners or flanges (e) Open space between the shelter deck fitted to the outside of the coaming. and the uppermost complete deck. (1) Battening, caulking, seals, or gaskets Space that is between the shelter deck of any material may not be used in as- and the uppermost complete deck and sociation with any middle line opening that is under cover (sheltered) but open cover. to the weather is exempt from tonnage (vi) The space below the middle line when all openings in the uppermost opening must have a minimum length complete deck are provided with a wa- of four feet throughout its entire tertight means of closing. breadth and height and be in the clear (2) A space is considered ‘‘open to the at all times. weather’’ under paragraph (e)(1) of this (vii) A scupper having a five inch section when the shelter deck above minimum inside diameter and fitted the space has a middle line opening with a screw down non-return valve which conforms to the following: geared to and operated from the shelter (i) The middle line opening must be deck must be fitted on each side of the at least four feet long in the clear and upper deck in way of the middle line at least as wide as the after cargo opening. hatch on the shelter deck, but not less (3) When the shelter deck space for- than one-half the width of the vessel at ward or aft of the middle line opening the midpoint of the length of the open- is divided by interior bulkheads, only ing. The opening may have rounded those compartments with at least two

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openings that progress to the middle exceeds 30 percent of the vessel’s gross line opening are considered ‘‘open to register tonnage (as calculated under the weather’’ under paragraph (e)(1) of this subpart without any allowance for this section. Each required opening water ballast), a justification of the op- must be at least three feet wide and at erating conditions that require the least four feet high in the clear, must water ballast must be submitted to the not have a coaming height of more measuring organization for approval. than two feet, and must not be fitted Although a single condition may jus- (except as provided in paragraphs tify all water ballast spaces, several (d)(4), (d)(5), and (d)(6) of this section) conditions may be necessary in other with any means of closing. Other com- cases. However, a particular tank is partments within the shelter deck not justified by a condition if another space are not considered ‘‘open to the tank already justified by another con- weather’’ under paragraph (e)(1) of this dition could be used as effectively. The section. justification must— (f) Water ballast spaces. A space, re- (i) Designate the vessel’s service; gardless of location, adapted only for (ii) Explain for what purpose under water ballast and not available for paragraph (f)(2) of this section the stores, supplies, fuel, or cargo (other water ballast is being used; than water to be used for underwater (iii) Include the capacity, tank ar- drilling, mining, and related purposes, rangement, and piping plans for the including production), upon request, vessel; may be exempt from tonnage if the fol- (iv) Include a statement certifying lowing are met: that the space will be used exclusively (1) The space must be available at all for water ballast as prescribed by this times only for water ballast that is section; piped through a system independent of (v) If water ballast is used for sta- other systems (except fire fighting and bility, describe each loading condition bilge suction systems). Pumps, pipes, and the resultant metacentric height and other equipment for loading and (GM) and include calculations; unloading water ballast must be of a (vi) If water ballast is used for im- size suitable for the efficient handling mersion or trim, describe those condi- of the water ballast within a reason- tions and include loading and trim cal- able time frame. All manholes pro- culations; viding access to a water ballast space (vii) If water ballast is used for pre- must be oval or circular and not great- loading, describe how it is used and in- er than 34 inches in diameter. Except clude strength and weight calculations; for those on a deck exposed to the and weather, the manholes may have a coa- (viii) If water ballast is used for ming not exceeding six inches in seakeeping, describe each loading con- height. Existing hatches over spaces dition, GM, period of roll, and, if speed being converted to water ballast spaces is involved, speed versus trim and draft must have a watertight cover plate and include calculations. welded to the hatch and a manhole, as (5) If the water ballast space or its described in this paragraph, fitted in use, purpose, or piping are changed, the the plating. vessel owner or operator must report (2) The primary purpose of the water the change promptly to a measurement ballast must be to afford a means of organization listed in § 69.15 for a deter- maintaining the vessel’s stability, im- mination as to whether a tonnage re- mersion, trim, pre-loading conditions, measurement is required. Changes in or seakeeping capabilities. vessel service must also be reported if (3) If the space is in a vessel that is a water ballast justification was re- subject to inspection under 46 U.S.C. quired to be submitted for the vessel. 3301, the space must be considered (g) Methods for measuring exempt when determining the adequacy of the spaces. (1) If the exempt space is lo- vessel’s stability under 46 CFR chapter cated within the superstructure, the I. exempt space is measured using the (4) If the total of all water ballast same procedures used to measure su- spaces to be exempted from tonnage perstructure tonnage under § 69.113.

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(2) If the exempt space is located be- chain locker is measured by the meth- tween-deck, the space is measured od prescribed under § 69.117(g)(3). using the same procedures used for be- (d) Boatswain’s stores. A space con- tween-deck tonnage under § 69.111(c), taining oils, blocks, hawsers, rigging, except that the length of the exempt deck gear, or other boatswain’s stores space is divided into the even number for daily use is deductible. The max- of spaces most equal to the number of imum deduction allowed for vessels spaces into which the between-deck less than 100 gross register tons is one was divided. ton and, for vessels 100 gross register (3) If the exempt space is located tons or over, is one percent of the gross under-deck, the space is measured register tonnage, not to exceed 100 using the same procedures used for tons. under-deck tonnage under § 69.109, ex- (e) Chart room. A space for keeping cept that the length of the exempt charts and nautical instruments and space is divided into the even number for plotting the vessel’s course is de- of spaces most equal to the number of ductible. For a combined wheelhouse spaces into which the under-deck was and chart room, that part not exempt- divided, and the zone of influence ed as wheelhouse under § 69.117(b)(9) is method must be applied if the ordinary deductible. For small vessels in which frames upon which the under-deck the only space for a chart room is in a breadth measurements are based do not cabin or saloon, one half the space not have the same depth of frame. to exceed 1.5 tons is deductible as chart room. [CGD 87–015b, 54 FR 37657, Sept. 12, 1989; 54 FR 40240, Sept. 29, 1989; CGD 97–057, 62 FR (f) Donkey engine and boiler. Donkey 51045, Sept. 30, 1997; CGD 95–028, 62 FR 51203, engine and boiler space is deductible Sept. 30, 1997; USCG–1999–5118, 64 FR 47404, when connected with the main (non- Aug. 31, 1999; USCG–2011–0522, 81 FR 18727, cargo) pumps of the vessel, except as Mar. 31, 2016] follows: (1) If the space is within the engine § 69.119 Spaces deducted from ton- room or within the casing above the nage. engine room and if the donkey engine (a) Purpose. This section lists the re- is an auxiliary to the main propelling quirements for spaces (other than pro- machinery, the space is an engine room pelling machinery spaces under § 69.121) deduction under § 69.121(b). which, though included in calculating (2) If the space is above the line of gross register tonnage (i.e., are not ex- the uppermost complete deck and if empt under § 69.117), are deducted from the donkey engine is not an auxiliary tonnage in deriving net register ton- to the main propelling machinery, the nage. space is exempt under § 69.117(b). (b) General. (1) A deductible space (g) Spaces for the exclusive use of offi- must be used exclusively for, and be cers or crew. (1) The following spaces, reasonable in size for, its intended pur- regardless of their location (unless oth- pose. erwise noted), are deductible if not (2) When a space is larger than nec- used by passengers: essary for the safe and efficient oper- (i) Sleeping rooms. ation of deductible equipment, only the (ii) Bathrooms with a bath tub or space occupied by the equipment plus a shower but without a water closet. two foot maximum working space on (iii) Water closets below the line of each side of the equipment, if avail- the uppermost complete deck serving able, is deductible. more than one person, with or without (3) Space specified in this section a bath tub or shower. Water closets, re- may be located anywhere within the gardless of location, that serve only vessel, unless otherwise specified. one person or that are accessible only (c) Anchor gear. A space below the through a stateroom or bedroom serv- line of the uppermost complete deck ing one person are considered as part of occupied by the anchor gear, capstan, the space they serve and are deductible windlass, and chain locker is deduct- only if that space is deductible. ible. A fore peak used exclusively as (iv) Clothes drying rooms.

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(v) Drinking water filtration or dis- process waste material generated tilling plant below the line of the up- aboard the vessel is deductible. permost complete deck. (o) Passageways. A passageway or (vi) Hospitals. companionway is deductible— (vii) Mess rooms. (1) If it serves deductible spaces only; (viii) Office of the chief engineer. or (ix) Oil skin lockers. (2) If it serves deductible spaces and (x) Pantries. is also the sole means of access to one (xi) Recreation rooms. of the following non-deductible spaces: (xii) Smoking rooms. (i) Lockers of less than two tons (xiii) Galleys below the line of the each, containing medicine, linen, mops, uppermost complete deck. or other items for the free use of the (2) Shops for engineers, carpenters, crew. plumbers, or butchers and offices for (ii) A ship’s office. clerks, pursers, or postmasters are not (iii) Spare rooms (not exceeding two) deductible, wherever located. used by a pilot, customs officer, reserve (h) Master’s cabin. The master’s sleep- engineer, or employee or agent of the ing room, dressing room, bathroom, ob- vessel’s owner or operator. servation room, reception room, sitting (p) Markings for deductible spaces. (1) room, water closet, and office are de- Each space deducted under this section ductible. must be marked with the words ‘‘Cer- (i) Radio room. Spaces in which radio tified lll’’ (inserting the space des- apparatus is installed and messages are ignation, such as ‘‘Seaman’’, ‘‘Gener- sent and received and which may pro- ator’’, Office of Chief Engineer’’, ‘‘Hos- vide off-duty operator accommodations pital’’, or ‘‘Anchor Gear’’). If a deduct- are deductible. ible space berths more than one crew (j) Steering gear. Spaces for steering member, the marking must indicate gear below the line of the uppermost the number of crew members berthed, complete deck are deductible. such as ‘‘Certified lll Seamen’’ (in- (k) Generators. Spaces for generators serting the number of crew). below the line of the uppermost com- (2) The abbreviations ‘‘Cert.’’ for plete deck are deductible regardless of ‘‘certified’’ and ‘‘W.C.’’ for ‘‘water clos- what space the generators serve. These et’’ may be used. spaces may include other equipment (3) The markings must be in Roman necessary for the generator’s oper- letters and Arabic numerals at least 1⁄2 ation. inch in height, must be painted in a (l) Pump room. Spaces below the line light color on a dark background, must of the uppermost complete deck con- be embossed, center-punched, carved, taining pumps that are not capable of or permanently cut in a bulkhead or handling cargo and that are not fuel oil metal plate, and must be placed in a transfer pumps considered part of the legible location over a doorway on the propelling machinery under inside of the space. A metal plate, if § 69.121(b)(2)(v) are deductible. used, must be permanently fastened in (m) Sail stowage. A space for stowing place by welding, riveting, lock screws, sails on a vessel propelled only by sails or a Coast Guard-approved bonding is deductible up to two and one-half agent. percent of the vessel’s gross register (q) Method for measuring deductible tonnage. spaces. (1) A rectangular space must be (n) Waste material space. (1) A tank or measured by taking the product of its collection space, regardless of location, length, breadth, and height. used for the carriage or collection of (2) A space with curved sides on or sewage, garbage, galley waste, trash, above the tonnage deck is measured ac- slop-oil mixture, tank cleaning residue, cording to § 69.109. bilge residue, or other waste material (3) Space less than 15 feet in length generated aboard the vessel is deduct- may be measured by any practical ible. method. (2) Space below the line of the upper- (4) Spaces below the tonnage deck ex- most complete deck used exclusively to ceeding 15 feet in length and bounded separate, clarify, purify, or otherwise by a curved surface conforming to the

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side of the vessel must be measured by (iv) Space below the uppermost com- the formula used for measuring the su- plete deck used for escape shafts or perstructure under § 69.113. trunked ladderways leading from the (5) The height of a space located on a aft end of the shaft tunnel to the deck platform in the hull must be measured above. from the top of the bottom hull frames, (v) Space containing a fuel oil trans- if the platform is used only to form a fer pump located in a separate space flat surface at the bottom of the space, and not used for bunkering the vessel. if the platform is not more than one When the pump serves both ballast and foot above the top of the bottom fuel oil, only one-half of the pump’s frames, and if the space below the plat- space is considered a propelling ma- form is not usable. chinery space. (6) The height of a space is measured (vi) Spaces containing fuel oil set- through any ceiling, paneling, false tling tanks used solely for the main overhead, or other covering, to the boilers. The space must not exceed one space’s structural boundary, unless the percent of the vessel’s gross tonnage. space enclosed by the covering is avail- (vii) Spaces for engineers’ stores and able for a non-deductible use. workshops located below the uppermost complete deck and either open to [CGD 87–015b, 54 FR 37657, Sept. 12, 1989; 54 a propelling machinery space or sepa- FR 40240, Sept. 29, 1989; CGD 92–058, 57 FR rated from a propelling machinery 59938, Dec. 17, 1992; USCG–2011–0522, 81 FR 18727, Mar. 31, 2016] space only by a screen bulkhead. The space must not exceed three-quarters § 69.121 Engine room deduction. of one percent of the vessel’s gross register tonnage. (a) General. The engine room deduc- (viii) Framed-in space located above tion is either a percentage of the ves- the line of the uppermost complete sel’s total propelling machinery spaces deck and used for propelling machinery or a percentage of the vessel’s gross or for the admission of light or air to a register tonnage. propelling machinery space, when re- (b) Propelling machinery spaces. (1) quested under paragraph (d) of this sec- Propelling machinery spaces are the tion. spaces occupied by the main propelling (ix) If the propelling machinery is machinery and auxiliary machinery boxed-in below the tonnage deck, the and spaces reasonably necessary for boxed-in space plus the spaces outside the operation and maintenance of the of the boxing for the shaft, auxiliary machinery. Propelling machinery engines, and related propelling machin- spaces do not include spaces for fuel ery. If a portion of the boxed-in space tanks, spaces exempt from tonnage extends above a platform or partial under § 69.117, and spaces not used or deck that is below the uppermost com- not available for use in connection plete deck, that portion is also consid- with the propelling machinery. ered part of the propelling machinery (2) Propelling machinery spaces are— space. (i) Space below the crown. The crown (c) Methods for measuring propelling is the top of the main space of the en- machinery spaces. (1) If the propelling gine room to which the heights of the machinery space is bulkheaded off or is main space are taken. The crown is ei- not larger than necessary for the safe ther the underside of a deck or, if the operation and maintenance of the pro- side bulkheads are sloping, the upper- pelling machinery, the entire space, or, most point at which the slope termi- if bulkheaded off, the portion bulk- nates. (See § 69.123, figures 13 and 14.) headed off, is measured for the engine (ii) Framed-in space located between room deduction. the crown and the uppermost complete (2) If the propelling machinery space deck and used for propelling machinery is not bulkheaded off or is larger than or for the admission of light or air to necessary for the safe operation and propelling machinery spaces. (See maintenance of the propelling machin- § 69.123, figures 13 and 14.) ery, only the space occupied by the (iii) Shaft tunnel space and thrust propelling machinery itself plus a block recess space. working space of two feet, if available,

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on each side of the propelling machin- machinery space, is the product of its ery is measured for the engine room de- length, breadth, and height, divided by duction. If the working space overlaps 100. another working space not related to (10) The tonnage of a shaft tunnel, or the propelling machinery, only one- a thrust block recess, having a flat top half of the overlapping working space is the product of its length, breadth, is included in the propelling machinery and height, divided by 100. If the shaft space. The height of the working space tunnel or thrust block recess top is not is measured as provided in paragraph flat, the space above must be cal- (c) of this section. culated by using the appropriate geo- (3) If the propelling machinery is lo- metrical formula. If the space aft of cated in more than one space, each the shaft tunnel extends from side to space must be measured separately. side of the vessel, the tonnage of the (4) If the propelling machinery is lo- space is found by the formula for meas- cated in a space with a step in the bot- uring peak tanks in § 69.109(l). tom or side lines, each stepped portion (11) The length and breadth of the of the space must be measured sepa- space for a shaft tunnel, or a thrust rately. block recess, when not cased is that (5) The length of a space under para- which is necessary for maintenance of graph (c)(1) of this section is measured the shaft. The height allowed for from the bulkhead just forward of the thrust block recess space must not ex- propelling machinery to the bulkhead ceed seven feet. The mean height al- just aft of the propelling machinery. lowed for the shaft tunnel space must The length of a space under paragraph not exceed six feet. In a multi-screw (c)(2) of this section is measured from vessel where the shaft tunnel or thrust the forward edge of the working space block recess space is open from side to to the aft edge of the working space. side, measure only the space used for (6) If the boundaries of the propelling purposes of propelling the vessel. machinery space form a rectangle, the (12) When the propelling machinery is product of the length, breadth, and height, divided by 100, is the tonnage of on a bed at the vessel’s bottom, the the space. height of the propelling machinery (7) If the boundaries of the propelling space is measured from the top of the machinery space are continuous fair bottom frames or floors. lines, heights are measured at the fore (d) Request to treat certain framed-in and aft ends and at the center of the engine room spaces as part of a propelling space from the bottom frames, floors, machinery space. (1) Under § 69.117(b)(4), or tank top of a double bottom up to framed-in spaces located above the line the line of the crown. A breadth is of the uppermost complete deck and measured at half-height of each height. used for propelling machinery or for The product of the length, mean admitting light or air to a propelling breadth, and mean height, divided by machinery space are exempt from in- 100, is the tonnage of the space. clusion in tonnage. However, upon (8) If the propelling machinery space written request to a measurement or- is in the aft end of the hull, extends ganization listed in § 69.15, the vessel from side to side of the hull, and has a owner may elect to have these spaces continuous bottom line, the length of included in calculating the gross reg- the space is divided into the even num- ister tonnage, then deducted from the ber of equal parts most nearly equal to gross register tonnage as propelling the number of parts that the tonnage machinery spaces under paragraph length under § 69.109(g) was divided. (b)(2)(viii) of this section when calcu- The tonnage is then calculated by the lating the net register tonnage. same method used for calculating the (2) The framed-in space must be safe, under-deck tonnage in § 69.109(l). seaworthy, and used only for propelling (9) The tonnage of a framed-in space machinery or for the admission of light located between the crown and the up- or air to the propelling machinery permost complete deck and used for space. The length of the space must not propelling machinery or for the admis- exceed the length of the propelling ma- sion of light or air to the propelling chinery space and the breadth must

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not exceed one-half of the extreme in- (iii) If the total propelling machinery side midship breadth of the vessel. Por- space is 20 percent or more of the ves- tions of the framed-in space that are sel’s gross register tonnage, deduct ei- plated over are not included in the pro- ther 32 percent of the vessel’s gross pelling machinery space. register tonnage or 1.75 times the total (3) To exercise the option in para- propelling machinery space, whichever graph (d)(1) of this section, all of the the vessel owner elects. framed-in space need not be treated as (3) For vessels propelled in whole or propelling machinery space, but only in part by paddle-wheel— that portion required to entitle the (i) If the total propelling machinery vessel to have 32 percent of its gross space is 20 percent or less of the ves- register tonnage deducted as an engine sel’s gross register tonnage, deduct 37⁄20 room deduction under paragraph (e) of times the total propelling machinery this section. space; (e) Calculating the engine room deduc- (ii) If the total propelling machinery tion. (1) The engine room deduction is space is more than 20 but less than 30 based on a percentage of the vessel’s gross register tonnage or a percentage percent of the vessel’s gross register of the total propelling machinery tonnage, deduct 37 percent of the ves- space. sel’s gross register tonnage; or (2) For vessels propelled in whole or (iii) If the total propelling machinery in part by screw— space is 30 percent or more of the ves- (i) If the total propelling machinery sel’s gross register tonnage, deduct ei- space is 13 percent or less of the ves- ther 37 percent of the vessel’s gross sel’s gross register tonnage, deduct 32⁄13 register tonnage or 1.5 times the total times the total propelling machinery propelling machinery space, whichever space; the vessel owner elects. (ii) If the total propelling machinery [CGD 87–015b, 54 FR 37657, Sept. 12, 1989; 54 space is more than 13 but less than 20 FR 40240, Sept. 29, 1989; USCG–2011–0522, 81 percent of the vessel’s gross register FR 18728, Mar. 31, 2016] tonnage, deduct 32 percent of the vessel’s gross register tonnage; or § 69.123 Figures.

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[CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as Line of the uppermost complete deck amended by USCG–2011–0522, 81 FR 18728, means a longitudinal line at the under- Mar. 31, 2016] side of the uppermost complete deck or, if that deck is stepped, the longitu- Subpart D —Dual Regulatory dinal line of the underside of the lowest Measurements System portion of that deck parallel with the upper portions of that deck. § 69.151 Purpose. Net register tonnage is defined in This subpart prescribes measurement § 69.161(b). requirements for the assignment of ei- Second deck means the next deck ther one gross and one net register ton- below the uppermost complete deck nage or two gross and two net register that meets the following: tonnages to vessels under this subpart. (a) Is continuous athwartships and in a fore-and-aft direction at least be- [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as tween peak bulkheads, even though the amended by USCG–2011–0522, 81 FR 18731, deck may have interruptions or open- Mar. 31, 2016] ings due to propelling machinery § 69.153 Application of other laws. spaces, to hatch and ventilation trunks not extending longitudinally com- (a) If a vessel is assigned two gross pletely between main transverse bulk- register tonnages under § 69.175(b), the heads, to ladder and stairway openings, higher gross register tonnage is the to chain lockers, or to cofferdams. tonnage used when applying inspec- (b) Is fitted as an integral and perma- tion, manning, and load line laws and nent part of the vessel. regulations to the vessel. (c) Has proper covers to all main (b) Tonnage marks are not to be con- hatchways. strued as additional load line marks. (d) Does not have steps the total of Whether or not a tonnage mark is sub- which exceed 48 inches in height. merged under § 69.171 has no effect on Tonnage deck means, for a vessel with the applicability of load line laws and only one deck, the uppermost complete regulations. deck and, for a vessel with a second [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as deck, the second deck. amended by USCG–2011–0522, 81 FR 18731, Tonnage mark means the line de- Mar. 31, 2016] scribed in § 69.177(a)(2). § 69.155 Measurement requirements. [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as amended by USCG–2011–0522, 81 FR 18731, Except as otherwise required by this Mar. 31, 2016] subpart, the measurement requirements under the Standard Regulatory § 69.159 Application for measurement Measurement System in subpart C of services. this part apply to the measurement of Applications for measurement serv- vessels under this subpart. ices under this subpart must include [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as the application information and plans amended by USCG–2011–0522, 81 FR 18731, required under § 69.105. The application Mar. 31, 2016] must indicate whether a line for fresh and tropical waters is requested under § 69.157 Definitions. § 69.177(b) and, for vessels with more Terms used in this subpart that are than one deck, indicate whether one or defined in § 69.103 have the same mean- two sets of tonnages are desired under ing as in § 69.103, except the terms list- § 69.175. ed below. As used in this subpart,— [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as Gross register tonnage is defined in amended by USCG–2011–0522, 81 FR 18731, § 69.161(a). Mar. 31, 2016] Line for fresh and tropical waters means the line described in § 69.161 Gross and net register ton- § 69.177(b)(2). nages. Line of the second deck means the line (a) Gross register tonnage means the described in § 69.181. tonnage of a vessel, less certain spaces

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exempt under § 69.169, and is the sum of deck are not included in the super- the following: structure tonnage. (1) Under-deck tonnage (§ 69.163). [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as (2) Between-deck tonnage (§ 69.165) amended by USCG–2011–0522, 81 FR 18731, (3) Superstructure tonnage (§ 69.167) Mar. 31, 2016] (4) Excess hatchway tonnage (§ 69.115) (5) Tonnage of framed-in propelling § 69.169 Spaces exempt from inclusion machinery spaces included in calcu- in tonnage. lating gross register tonnage The tonnage of the following spaces (§ 69.121(d)(1)). is exempt from inclusion in tonnage: (b) Net register tonnage means gross (a) Spaces listed in § 69.117(b) when lo- register tonnage less deductions under cated within the superstructure. § 69.119 and § 69.121. (b) Spaces listed in § 69.117(c)(1) (c) The authorized measurement or- through (c)(3) when located above, but ganization must issue a U.S. Tonnage not on, the uppermost complete deck. Certificate as evidence of a vessel’s (c) Spaces listed in § 69.117(f), regard- measurement under this subpart, less of location. which must also indicate the vessel’s (d) Spaces available for carrying dry measurement under the Convention cargo and stores when located on or Measurement System in subpart B of above the uppermost complete deck. this part, if applicable. There is no re- (e) When a vessel is assigned a ton- quirement to maintain the U.S. Ton- nage mark and the tonnage mark is nage Certificate on board the vessel. not submerged,— [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as (1) Spaces listed in § 69.117(b) when lo- amended by USCG–2011–0522, 81 FR 18731, cated between the uppermost complete Mar. 31, 2016] deck and the second deck; (2) Spaces listed in § 69.117(c)(1) § 69.163 Under-deck tonnage. through (c)(3) when located on the up- The under-deck tonnage provisions in permost complete deck; and § 69.109 apply; except that, under this (3) Spaces available for carrying dry subpart, spaces between the line of the cargo and stores when located between tonnage deck and the tonnage deck the uppermost complete deck and the itself due to a stepped tonnage deck are second deck. included in under-deck tonnage. [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as amended by CGD 92–058, 57 FR 59938, Dec. 17, amended by USCG–2011–0522, 81 FR 18731, 1992; USCG–2011–0522, 81 FR 18731, Mar. 31, Mar. 31, 2016] 2016] ]

§ 69.165 Between-deck tonnage. § 69.171 When the tonnage mark is The between-deck tonnage provisions considered submerged. in § 69.111 apply, except that, under this For the purpose of this subpart, a subpart, between-deck space extends tonnage mark is considered submerged from the tonnage deck to the upper- when— most complete deck, rather than from (a) In salt or brackish water, the the line of the tonnage deck to the line upper edge of the tonnage mark is sub- of the uppermost complete deck. merged; and [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as (b) In fresh or tropical water, the amended by USCG–2011–0522, 81 FR 18731, upper edge of the line for fresh and Mar. 31, 2016] tropical waters is submerged.

§ 69.167 Superstructure tonnage. § 69.173 Register Tonnage assignments The superstructure tonnage provi- for vessels with only one deck. sions in § 69.113 apply; except that, A vessel without a second deck is as- under this subpart, spaces between the signed only one gross and one net reg- line of the uppermost complete deck ister tonnage. In calculating the gross and the uppermost complete deck itself register tonnage, only the exemptions due to a stepped uppermost complete in § 69.169 (a) through (d) are allowed.

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Markings under § 69.177 are not per- § 69.177 Markings. mitted on these vessels. (a) Tonnage mark. (1) All vessels with [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as a second deck that are measured under amended by USCG–2011–0522, 81 FR 18731, this subpart must have, on each side of Mar. 31, 2016] the vessel, a tonnage mark, and an in- § 69.175 Tonnage assignments for ves- verted triangle identifying the tonnage sels with a second deck. mark, as described and located under this section. (See the figure in (a) At the option of the vessel owner, § 69.183(a).) Vessels with only one deck a vessel having a second deck is as- are not assigned markings under this signed either two gross and two net section. register tonnages or one gross and one net register tonnage corresponding to (2) The tonnage mark is a horizontal the lower gross and net register ton- line 15 inches long and one inch wide. nages. The tonnage mark must be designated (b) If two gross and two net register by a welded bead or other permanent tonnages are assigned, the higher ton- mark 15 inches long placed along the nages (i.e. those based only on exemp- top edge of the tonnage mark. tions under § 69.169 (a) through (d)) are (3) Above the tonnage mark is placed applicable when the upper edge of the an inverted equilateral triangle, each tonnage mark is submerged and the side of which is 12 inches long and one lower tonnages (i.e. those based only inch wide, with its apex touching the on all exemptions under § 69.169) are ap- upper edge of the center of the tonnage plicable when the upper edge of the mark. tonnage mark is not submerged. (4) If the vessel has a load line mark, (c) If only the low gross and low net the longitudinal location of the center register tonnages, as calculated under of the tonnage mark must be between paragraph (b) of this section, are as- 21 inches and six feet six inches aft of signed, these tonnages are applicable the vertical centerline of the load line at all times. On these vessels, a load ring. (See the figures in § 69.183 (b) and line must be assigned at a level below (c).) If the vessel does not have a load the line of the second deck, and the line mark, the center of the tonnage tonnage mark must be located in ac- mark must be located amidships. cordance with § 69.177(a)(6) at the level (5) Except as under paragraph (a)(6) of the uppermost part of the load line of this section, the upper edge of the grid. tonnage mark must be located below [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as the line of the second deck at the dis- amended by USCG–2011–0522, 81 FR 18731, tance indicated in Table 69.177(a)(5). Mar. 31, 2016] (See the figure in § 69.183(b).)

TABLE 69.177(a)(5)—MINIMUM DISTANCE IN INCHES BETWEEN THE TONNAGE MARK AND THE LINE OF THE SECOND DECK

L divided by D L (in feet) 12 13 14 15 16 17 18 19 20

220 and under ...... 2 .0 2 .0 2 .0 2 .0 2 .0 2 .0 2 .0 2 .0 2 .0 230 ...... 3 .2 2 .0 2 .0 2 .0 2 .0 2 .0 2 .0 2 .0 2 .0 240 ...... 4 .7 2 .0 2 .0 2 .0 2 .0 2 .0 2 .0 2 .0 2 .0 250 ...... 6 .3 3 .3 2 .0 2 .0 2 .0 2 .0 2 .0 2 .0 2 .0 260 ...... 8 .0 4 .8 2 .1 2 .0 2 .0 2 .0 2 .0 2 .0 2 .0 270 ...... 9 .9 6 .4 3 .5 2 .0 2 .0 2 .0 2 .0 2 .0 2 .0 280 ...... 11 .8 8 .1 4 .9 2 .1 2 .0 2 .0 2 .0 2 .0 2 .0 290 ...... 13 .9 9 .9 6 .5 3 .5 2 .0 2 .0 2 .0 2 .0 2 .0 300 ...... 16 .0 11.7 8.1 4.9 2.1 2.0 2.0 2.0 2.0 310 ...... 18 .3 13.7 9.8 6.4 3.5 2.0 2.0 2.0 2.0 320 ...... 20 .7 15.8 11.7 8 .1 4 .9 2 .1 2 .0 2 .0 2 .0 330 ...... 23 .2 18.0 13.6 9 .8 6 .4 3 .5 2 .0 2 .0 2 .0 340 ...... 25 .9 20.4 15.7 11 .6 8 .1 4 .9 2 .1 2 .0 2 .0 350 ...... 28 .7 22.9 17.9 13 .6 9 .8 6 .5 3 .6 2 .0 2 .0 360 ...... 31 .7 25.5 20.2 15 .7 11 .7 8 .2 5 .0 2 .2 2 .0 370 ...... 34 .7 28.3 22.7 17 .9 13 .6 9 .9 6 .6 3 .7 2 .0 380 ...... 38 .0 31.1 25.3 20 .2 15 .7 11 .8 8 .3 5 .2 2 .4

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TABLE 69.177(a)(5)—MINIMUM DISTANCE IN INCHES BETWEEN THE TONNAGE MARK AND THE LINE OF THE SECOND DECK—Continued

L divided by D L (in feet) 12 13 14 15 16 17 18 19 20

390 ...... 41 .3 34.1 27.9 22 .6 17 .9 13 .8 10.1 6.8 3.8 400 ...... 44 .8 37.2 30.7 25 .0 20 .1 15 .8 11.9 8.4 5.3 410 ...... 48 .2 40.3 33.5 27 .7 22 .6 18 .1 14.0 10.4 7 .2 420 ...... 51 .5 43.4 36.4 30 .4 25 .2 20 .6 16.4 12.7 9 .7 430 ...... 54 .8 46.5 39.4 33 .3 27 .9 23 .2 19.0 15.2 11 .8 440 ...... 58 .4 49.9 42.6 36 .4 30 .9 26 .0 21.7 17.8 14 .4 450 ...... 62 .1 53.4 46.0 39 .6 33 .9 29 .0 24.6 20.6 17 .1 460 ...... 65 .9 57.0 49.5 42 .9 37 .1 32 .1 27.6 23.5 19 .9 470 ...... 69 .8 60.7 53.0 46 .3 40 .4 35 .2 30.6 26.5 22 .8 480 ...... 73 .7 64.4 56.5 49 .7 43 .7 38 .4 33.7 29.5 25 .7 490 ...... 77 .5 68.1 60.0 53 .0 46 .9 41 .5 36.7 32.4 28 .5 500 ...... 81 .2 71.6 63.4 56 .2 50 .0 44 .5 39.6 35.2 31 .2 510 ...... 84 .9 75.1 66.7 59 .4 53 .0 47 .4 42.4 37.9 33 .9 520 ...... 88 .4 78.4 69.9 62 .4 55 .9 50 .2 45.1 40.5 36 .4 530 ...... 91 .8 81.6 72.9 65 .3 58 .7 52 .9 47.7 43.0 38 .8 540 ...... 95 .2 84.8 75.9 68 .1 61 .4 55 .5 50.2 45.4 41 .2 550 ...... 98 .4 87.8 78.8 70 .9 64 .0 58 .0 52.6 47.8 43 .4 560 ...... 101.6 90.8 81 .6 73 .6 66 .6 60.5 55.0 50 .1 45 .6 570 ...... 104.8 93.8 84 .4 76 .3 69 .2 62.9 57.3 52 .3 47 .8 580 ...... 107.9 96.8 87 .2 78 .9 71 .7 65.3 59.6 54 .5 49 .9 590 ...... 111.0 99.7 90 .0 81 .5 74 .2 67.7 61.9 56 .7 52 .0 600 ...... 114.0 102.5 92 .6 84 .0 76.5 69.9 64 .0 58 .8 54 .0 610 ...... 117.0 105.3 95 .2 86 .5 78.9 72.1 66 .2 60 .8 56 .0 620 ...... 120.0 108.0 97 .8 88 .9 81.2 74.4 68 .3 62 .8 58 .0 630 ...... 122.9 110.7 100 .4 91.3 83.5 76 .6 70 .4 64 .8 59.9 640 ...... 125.7 113.4 102 .9 93.7 85.8 78 .7 72 .4 66 .8 61.7 650 ...... 128.6 116.1 105 .4 96.1 88.0 80 .8 74 .4 68 .7 63.6 660 ...... 131.4 118.7 107 .8 98.3 90.1 82 .8 76 .3 70 .6 65.3 670 ...... 134.2 121.2 110 .2 100.6 92 .2 84 .8 78 .3 72.4 67.1 680 ...... 136.9 123.8 112 .8 102.9 94 .3 86 .8 80 .2 74.2 68.9 690 ...... 139.6 126.3 115 .0 105.1 96 .4 88 .8 82 .1 76.0 70.6 700 ...... 142.3 128.8 117 .3 107.3 98 .5 90 .8 83 .9 77.8 72.3 710 ...... 144.9 131.3 119 .6 109.4 100 .5 92 .7 85.7 79.5 73 .9 720 ...... 147.5 133.7 121 .8 111.5 102 .5 94 .6 87.5 81.2 75 .5 730 ...... 150.1 136.1 124 .0 113.6 104 .5 96 .5 89.3 82.9 77 .1 740 ...... 152.7 138.5 126 .2 115.7 106 .5 98 .3 91.5 84.5 78 .7 750 ...... 155.3 140.8 128 .5 117.8 108 .4 100.1 92,8 86 .1 80 .3 760 ...... 157.8 143.1 130 .6 119.7 110 .3 101.9 94.4 87 .8 81 .7 770 ...... 160.2 145.4 132 .7 121.7 112 .1 103.6 96.0 89 .3 83 .2 780 ...... 162.6 147.6 134 .8 123.7 113 .9 105.3 97.6 90 .8 84 .7 790 ...... 165.1 149.9 136 .9 125.6 115 .7 107.0 99.2 92 .3 86 .1 800 ...... 167.5 152.1 138 .9 127.4 117 .4 108.6 100.8 93 .8 87 .4 L = the length in feet of the line of the second deck at the centerline of the vessel from the inner surface of the frames at the vessel’s stem to the inner surface of the frames at the vessel’s stern. D = The vertical distance in feet from the top of the flat keel of the vessel to the line of the second deck. EXAMPLE (1) For a vessel in which L = 450 feet and L/D = 15 feet, read down from the L/D column ‘‘15’’ and to the right on the column ‘‘450’’ to where the two columns intersect at 39.6. The tonnage mark must be located 39.6 inches below the line of the second deck. EXAMPLE (2) If L or L/D is an intermediate number, the distance ‘‘a’’ between the tonnage mark and the line of the second deck must be obtained by linear interpolation. For a vessel in which L = 424.80 feet and L/D = 15.17: (i) Vessels assigned only one gross L Table L/D Actual L/ Table L/D = 15 D = 15.17 = 16 and one net register tonnage under Table 420 ...... 30.4 ...... 25.2 § 69.175(c). Actual 424.80 ...... r a s (ii) Vessels for which a load line as- Table 430 ...... 33.3 ...... 27.9 signing authority certifies that the Interpolation: vessel’s load line mark was located as r = 30.4 + 0.48 (33.3¥30.4) = 31.79 s = 25.2 + 0.48 (27.9¥25.2) = 26.50 though the second deck were the a = r¥0.17 (r¥s) = 31.79¥0.17 (31.79¥26.50) = 30.89 freeboard deck. inches (b) Line for fresh and tropical waters. (6) For the following vessels with a (1) Except as under paragraph (b)(4) of load line mark, the upper edge of the this section, a horizontal line for fresh tonnage mark must be located at the and tropical waters may be assigned at level of the uppermost part of the load the vessel owner’s request. line grid:

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(2) The line must be nine inches long ground or a dark color on a light back- and one inch wide and located above ground. and to the left of the tonnage mark at [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as a distance equal to one forty-eighth of amended by USCG–2011–0522, 81 FR 18731, the distance from the top of the flat Mar. 31, 2016] keel to the tonnage mark. The tonnage mark and the line for fresh and trop- § 69.179 Certification of markings. ical waters must be connected by a (a) Before a certificate of measure- vertical line one inch wide. (See the ment is issued for a vessel requiring a figure in § 69.183(a).) tonnage mark, a certification by a (3) The line for fresh and tropical measurement organization under § 69.15 waters must be designated by a welded that all markings meet the require- bead or other permanent mark nine ments of this subpart is required. inches long placed along the upper edge (b) The Coast Guard, at any time, of the line. may verify markings under this sub- (4) For vessels with a load line mark, part. if the load line assigning authority cer- § 69.181 Locating the line of the second tifies that the load line mark was lo- deck. cated as though the second deck were (a) If the second deck is not stepped, the freeboard deck, a line for fresh and the line of the second deck is the longi- tropical waters must not be placed on tudinal line of the underside of the sec- the vessel. ond deck at the side of the hull. (c) Freeboard deck mark. A vessel as- (b) If the second deck is stepped (as signed two gross and two net register in the examples following this para- tonnages which has more than one graph), the line of the second deck is a deck and no load line mark assigned longitudinal line extended parallel to must have a mark on each side of the each portion of the second deck and lo- vessel with the same dimensions and cated at the height of the underside of location as the freeboard deck line the amidships portion of the second mark under § 42.13–20 of this chapter, deck at the side of the hull— except that the mark must be located (1) Plus, for each stepped portion of directly above the tonnage mark. the second deck higher than the second (d) The line of the second deck. The deck at amidships, a distance equal to line of the second deck must not be the length of the stepped portion di- marked on the side of the vessel, ex- vided by the total length of the second cept in the case of a freeboard deck deck times the height that the step is line mark placed at the location of the above the height of the amidship portion of the second deck; and second deck if the second deck is the (2) Minus, for each stepped portion of actual freeboard deck for purposes of a the second deck lower than the second vessel’s load line assignment. deck at amidships, a distance equal to (e) Color of markings. All markings the length of the stepped portion di- under this section must be maintained vided by the total length of the second in either a light color on a dark back- deck times the height that the amidship portion of the second deck is above the height of the step.

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[CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as § 69.183 Figures. amended by USCG–2011–0522, 81 FR 18731, Mar. 31, 2016] (a) Tonnage mark with an equilateral triangle and a line for fresh and tropical waters.

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W=1⁄48 of the distance from the top of the flat (b) Tonnage mark location if the load keel to the tonnage mark. (See line mark is not placed as though the sec- § 69.177(b)(2).) ond deck were the freeboard deck.

k = a distance between 21 inches and six feet (c)—Tonnage mark location if the load six inches. line mark is placed as though the second a = distance derived from Table 69.177(a)(5). deck were the freeboard deck.

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k = a distance between 21 inches and six feet Overall depth means the vertical dis- six inches. tance taken at or near midships from a a = the distance between the line of the sec- line drawn horizontally through the ond deck and the uppermost part of the uppermost edges of the skin (outside load line grid. planking or plating) at the sides of the [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as hull (excluding the cap rail, trunks, amended by USCG–2011–0522, 81 FR 18732, cabins, and deckhouses) to the out- Mar. 31, 2016] board face of the bottom skin of the hull, excluding the keel. For a vessel Subpart E—Simplified Regulatory that is designed for sailing and has a Measurement System keel faired to the hull, the keel is included in ‘‘overall depth’’ if the dis- § 69.201 Purpose. tance to the bottom skin of the hull This subpart prescribes the proce- cannot be determined reasonably. dures for measuring a vessel under the Overall length means the horizontal Simplified Regulatory Measurement distance between the outboard side of System described in 46 U.S.C. chapter the foremost part of the stem and the 145, subchapter III. outboard side of the aftermost part of [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as the stern, excluding rudders, outboard amended by USCG–2011–0522, 81 FR 18732, motor brackets, and other similar fit- Mar. 31, 2016] tings and attachments. Registered breadth means— § 69.203 Definitions. (a) For a single-hull vessel, the ves- As used in this subpart and in Coast sel’s overall breadth; and Guard Form CG–5397 under § 69.205— (b) For a multi-hull vessel, the hori- Overall breadth means the horizontal zontal distance taken at the widest distance taken at the widest part of part of the complete vessel between the the hull, excluding rub rails, from the outboard side of the skin (outside outboard side of the skin (outside planking or plating) on the planking or plating) on one side of the outboardmost side of one of the hull to the outboard side of the skin on outboardmost hulls to the outboard the other side of the hull. side of the skin on the outboardmost

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side of the other outboardmost hull, (6) Location of any propelling ma- excluding rubrails. chinery (e.g., inside or outside of the Registered depth means— hull). (a) For a single-hull vessel, the ves- (7) Dimensions of the principal deck sel’s overall depth; and structure, if its volume exceeds the (b) For a multi-hull vessel, the over- volume of the hull. all depth of the deepest hull. (c) At the vessel owner’s option, a Registered length means— Builder’s Certification and First Trans- (a) For a single-hull vessel, the ves- fer of Title (form CG–1261), which in- sel’s overall length; and cludes the same information specified (b) For a multi-hull vessel, the hori- in paragraph (b) of this section may be zontal distance between the outboard submitted to the National Vessel Docu- side of the foremost part of the stem of mentation Center instead of the Appli- the foremost hull and the outboard side cation for Simplified Measurement for of the aftermost part of the stern of a vessel that is documented, or in- the aftermost hull, excluding fittings tended to be documented, as a vessel of or attachments. the United States under part 67 of this Vessel designed for sailing means a ves- chapter. sel which has the fine lines of a sailing craft and is capable of being propelled [USCG–2011–0522, 81 FR 18733, Mar. 31, 2016] by sail, whether or not the vessel is equipped with an auxiliary motor, a § 69.207 Measurements. decorative sail, or a sail designed only (a) All lengths and depths must be to steady the vessel. measured in a vertical plane at center- [CGD 87–015b, 54 FR 37657, Sept. 12, 1989; 54 line and breadths must be measured in FR 40240, Sept. 29, 1989; USCG–1999–6216, 64 a line at right angles to that plane. All FR 53225, Oct. 1, 1999] dimensions must be expressed in feet and inches to the nearest inch or in § 69.205 Application for measurement feet and tenths of a foot to the nearest services. tenth of a foot. (a) Except as noted under paragraph (b) For a multi-hull vessel, each hull (c) of this section, to apply for meas- must be measured separately for over- urement under this subpart, the vessel all length, breadth, and depth and the owner must complete an Application vessel as a whole must be measured for for Simplified Measurement (form CG– registered length, breadth, and depth. 5397). If the vessel is documented, or in- (c) The Coast Guard may verify di- tended to be documented, as a vessel of mensions of vessels measured under the United States under part 67 of this this subpart. chapter, the vessel owner must submit the application form to the National [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as Vessel Documentation Center. Other- amended by USCG–2011–0522, 81 FR 18734, wise, the form is not further processed, Mar. 31, 2016] but may be retained, at the vessel owner’s option, as evidence of the tonnage § 69.209 Gross and net register tonnages. measurement under this part. (b) The Application for Simplified (a) Gross register tonnage. (1) Except Measurement (form CG–5397) must in- as in paragraphs (a)(2) through (a)(5) of clude the following information: this section, the gross register tonnage (1) Vessel’s name and number (e.g., of a vessel designed for sailing is one- official number, International Mari- half of the product of its overall time Organization (IMO) number, or length, overall breadth, and overall Coast Guard number). depth (LBD) divided by one hundred (2) Vessel hull identification number (i.e., 0.50 LBD/100), and the gross reg- or other number assigned by builder. ister tonnage of a vessel not designed (3) Hull material. for sailing is 0.67 LBD/100. (4) Hull shape. (2) The gross tonnage of a vessel with (5) Overall length, breadth, and depth a hull that approximates in shape a of vessel and each of the vessel’s indi- rectangular geometric solid (barge- vidual hulls. shape) is 0.84 LBD/100.

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(3) The gross tonnage of a multi-hull (2) For a vessel having no propelling vessel is the sum of all the hulls as cal- machinery in its hull, the net register culated under this section. tonnage is the same as its gross reg- (4) If the volume of the principal ister tonnage. deck structure of a vessel is as large as, (c) Certification of measurement. For a or larger than, the volume of the ves- vessel that is documented as a vessel of sel’s hull, the volume of the principal the United States under part 67 of this deck structure in tons of 100 cubic feet chapter, the vessel’s Certificate of Doc- is added to the tonnage of the hull to umentation serves as evidence of meas- establish the vessel’s gross tonnage. urement under this subpart. For all The volume of the principal deck struc- other vessels, a completed Application ture of a vessel is determined by the for Simplified Measurement (form CG– product of its average dimensions. 5397) serves as evidence of the tonnage (5) If the overall depth of a vessel de- measurement under this part. signed for sailing includes the keel, [CGD 87–015b, 54 FR 37657, Sept. 12, 1989, as only 75 percent of that depth is used for amended by CGD 97–057, 62 FR 51045, Sept. 30, gross tonnage calculations. 1997; USCG–2011–0522, 81 FR 18734, Mar. 31, (b) Net register tonnage. (1) For a ves- 2016] sel having propelling machinery in its hull— § 69.211 Treatment of novel type vessels. (i) The net register tonnage is 90 percent of its gross register tonnage, if it Refer questions regarding the appli- is a vessel designed for sailing; or cation of the tonnage measurement rules under this subpart to novel type (ii) The net register tonnage is 80 per- vessels to the Commandant. cent of its gross register tonnage, if it is not a vessel designed for sailing. [USCG–2011–0522, 81 FR 18734, Mar. 31, 2016]

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