Federal Register / Vol. 77, No. 60 / Wednesday, March 28, 2012 / Rules and Regulations 18689 

1 ‘‘State’’ is defined in 33 CFR 173.3 as ‘‘a State 

of the United States, the Commonwealth of Puerto 

Rico, the Virgin Islands, Guam, American Samoa, 

the Commonwealth of the Northern Mariana 

Islands, and the District of Columbia,’’ or 56 States 

and territories. This discussion refers to ‘‘State’’ 

throughout, but except when specifically noted 

otherwise, the term ‘‘State’’ should be read as 

including all 56 States and territories. 

DEPARTMENT OF HOMELAND 

SECURITY 

Coast Guard 

33 CFR Parts 173, 174, 181, and 187 

[Docket No. USCG–2003–14963] 

RIN 1625–AB45 

Changes to Standard Numbering 

System, Vessel Identification System, 

and Boating Accident Report Database 

AGENCY: Coast Guard, DHS. 

ACTION: Final rule. 

SUMMARY: The Coast Guard is amending 

its regulations related to numbering 

undocumented vessels and reporting 

boating accidents. These changes align 

and modernize terminology used in the 

Standard Numbering System (SNS), the 

Vessel Identification System, and 

accident reporting; require verification 

of vessel hull identification numbers; 

require SNS vessel owners to provide 

personally identifiable information; and 

provide flexibility for States and 

territories in administering these 

regulations. Together, the changes are 

intended to improve boating safety 

efforts, enhance law enforcement 

capabilities, clarify requirements for all 

stakeholders, and promote the Coast 

Guard strategic goals of maritime safety 

and security. 

DATES: This final rule is effective April 

27, 2012. The requirements of 33 CFR 

173.57(c), 174.16(b), 174.17(c), and 

174.19(c) take effect on that date but the 

Coast Guard may not enforce the 

collections of information required by 

those provisions without the approval of 

the Office of Management and Budget 

and a subsequent Coast Guard 

document in the Federal Register. 

ADDRESSES: Comments and material 

received from the public, as well as 

documents mentioned in this preamble 

as being available in the docket, are part 

of docket USCG–2003–14963 and are 

available for inspection or copying at 

the Docket Management Facility (M–30), 

U.S. Department of Transportation, 

West Building Ground Floor, Room 

W12–140, 1200 New Jersey Avenue SE., 

Washington, DC 20590, between 9 a.m. 

and 5 p.m., Monday through Friday, 

except Federal holidays. You may also 

find this docket on the Internet by going 

to http://www.regulations.gov, inserting 

USCG–2003–14963 in the ‘‘Keyword’’ 

box, and then clicking ‘‘Search.’’ 

FOR FURTHER INFORMATION CONTACT: If 

you have questions on this rule, call or 

email Mr. Jeff Ludwig, Office of 

Auxiliary and Boating Safety; telephone 

202–372–1061, or email 

Jeffrey.A.Ludwig@uscg.mil. If you have 

questions on viewing the docket, call 

Renee V. Wright, Program Manager, 

Docket Operations, telephone 202–366– 

9826. 

SUPPLEMENTARY INFORMATION: 

Table of Contents for Preamble 

I. Abbreviations 

II. Regulatory History 

III. Basis and Purpose 

IV. Background 

V. Discussion of Comments and Changes 

VI. Regulatory Analyses 

A. Regulatory Planning and Review 

B. Small Entities 

C. Assistance for Small Entities 

D. Collection of Information 

E. Federalism 

F. Unfunded Mandates Reform Act 

G. Taking of Private Property 

H. Civil Justice Reform 

I. Protection of Children 

J. Indian Tribal Governments 

K. Energy Effects 

L. Technical Standards 

M. Environment 

I. Abbreviations 

BARD Boating Accident Report Database 

DHS Department of Homeland Security 

FR Federal Register 

HIN Hull identification number 

n/a Not applicable 

NBSAC National Boating Safety Advisory 

Council 

NPRM Notice of Proposed Rulemaking 

OMB Office of Management and Budget 

PII Personally identifiable information 

SNS Standard Numbering System 

UCOTA Uniform Certificate of Title Act 

U.S.C. United States Code 

VIS Vessel Identification System 

II. Regulatory History 

On May 7, 2010, we published a 

notice of proposed rulemaking (NPRM) 

bearing the same title as this final rule 

in the Federal Register (75 FR 25137). 

We received 39 comments on the 

proposed rule. No public meeting was 

requested, and none was held. 

III. Basis and Purpose 

The Administrative Procedure Act, 5 

U.S.C. 553(c), requires each rule to 

contain a concise statement of its basis 

and purpose. The remainder of this 

preamble discusses both in detail, but in 

summary this final rule’s: 

• Basis is 46 U.S.C. 2103, authorizing 

regulations to implement United States 

Code (U.S.C.), Title 46, Subtitle II, 

dealing with vessels and seamen; 46 

U.S.C. 6101, requiring regulations on 

marine casualty reporting; 46 U.S.C. 

12302, requiring regulations 

establishing a standard numbering 

system for certain undocumented 

vessels; and 46 U.S.C. 12501, requiring 

regulations establishing an 

identification system for certain vessels; 

authority under all of which sections 

has been delegated by the Secretary to 

the Coast Guard in Department of 

Homeland Security (DHS) Delegation 

No. 0170.1; and its 

• Purpose is to improve the 

information available within and across 

the Standard Numbering System (SNS), 

Vessel Identification System, and 

Boating Accident Report databases by 

increasing data quality, aligning and 

modernizing database terminology, 

requiring verification of hull 

identification numbers, requiring 

owners of SNS-numbered vessels to 

provide unique personal identification 

information and providing additional 

administrative flexibility to States and 

territories. 

IV. Background 

Coast Guard regulations in 33 CFR 

parts 173 and 174 provide for an SNS 

that assigns unique identification 

numbers to undocumented vessels 

equipped with propulsion machinery of 

any kind. The SNS is a Federal system 

mandated by 46 U.S.C. 12302, but it 

permits a State 1 to assign numbers to 

vessels within its jurisdiction if we find 

that the State’s own vessel numbering 

system is consistent with SNS. Today, 

all States maintain Coast Guardapproved numbering systems. 

Regulations in 33 CFR parts 173 and 

174 also implement 46 U.S.C. 6102, 

which requires us to establish a uniform 

reporting system for State vessel 

casualties, and which requires States to 

compile and send us reports, 

information, and statistics on casualties 

reported to them. Our regulations 

contain provisions for reporting 

casualties that involve SNS-numbered 

undocumented vessels that are 

equipped with propulsion machinery of 

any kind, and recreational vessels of any 

kind (SNS-numbered or not), 33 CFR 

173.51, 174.101. We maintain a Boating 

Accident Report Database (BARD) for 

this data. 

Coast Guard regulations in 33 CFR 

part 187 help us implement 46 U.S.C. 

12501, which requires us to maintain a 

Vessel Identification System (VIS) 

covering both documented and 

undocumented vessels. VIS must 

contain vessel identification and 

ownership information (including 

personally identifiable information, or 


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PII) which can be used for law 

enforcement involving vessel-related 

crimes such as vessel theft and fraud. 

We developed VIS in coordination with 

relevant State agencies. Data for 

documented vessels is added to VIS 

based on Coast Guard records for those 

vessels. The part 187 regulations 

describe how a State can participate in 

VIS by supplying data for the 

undocumented vessels numbered and 

titled within that State. The more 

comprehensive VIS’s undocumented 

vessel information is, the greater are its 

benefits: However, State participation in 

VIS is entirely voluntary, 46 U.S.C. 

12503, even though the current 

universal State participation in SNS 

means States currently control the 

titling and numbering of all 

undocumented vessels. States that do 

participate in VIS have access to VIS 

data, 46 U.S.C. 12504. VIS became 

operational in 2007 and 32 States now 

participate in it. 

SNS, VIS, and BARD data facilitate 

maritime law enforcement, safety, and 

security. Because of our leadership 

position in these areas and our role as 

the coordinator of the National 

Recreational Boating Safety Program 

and our partnership with other Federal 

and State agencies with similar 

responsibilities, we continually look for 

ways to improve the efficiency and 

effectiveness of SNS, BARD, and VIS, 

and we analyze our existing regulations 

to make sure they promote continuous 

improvement. This final rule is the 

product of that analysis, and, as 

described in section VI of this preamble, 

‘‘Regulatory Analyses,’’ is intended to 

improve the information available 

within and across the databases by 

increasing the ability to cross-reference 

the information. 

The National Boating Safety Advisory 

Council (NBSAC) initially suggested 

many of the changes in this final rule. 

NBSAC operates under the Federal 

Advisory Committee Act to advise the 

Coast Guard on recreational boating 

safety issues. NBSAC’s 21 members 

include seven representatives of State 

officials responsible for State boating 

safety programs; seven representatives 

of recreational vessel manufacturers and 

associated equipment manufacturers; 

and seven representatives of national 

recreational boating organizations and 

from the general public, at least five of 

whom must be representatives of 

national recreational boating 

organizations. As required by 46 U.S.C. 

4302(c)(4) and 13110(c), we have 

consulted with NBSAC about this 

rulemaking. 

V. Discussion of Comments and 

Changes 

Our NPRM proposed changes in four 

areas. 

• Terminology: Aligning and 

updating the terminology used by SNS, 

BARD, and VIS. 

These changes conform existing 

regulations to current statutory 

language, reflect recent developments in 

boating practices and technology, and 

leverage our ability to coordinate data 

from all three databases; 

• HINs: Making several changes 

related to HIN (hull identification 

number) data. The most significant 

change requires SNS-administering 

States to ensure that each SNSnumbered vessel built since 1972, when 

HIN regulations first took effect, has or 

obtains valid HINs. HINs are 

permanently marked on a vessel, and 

because one of the two required HINs is 

always in an unexposed location, the 

presence of these unique identifiers on 

a vessel may make it less tempting as a 

target for theft. They also give law 

enforcement and maritime security 

personnel a good way to link a vessel 

with its owner. SNS has collected HIN 

data for many years but it is not always 

accurate, either because a vessel has no 

HIN, or the HIN was incorrectly 

reported, or the HIN was incorrectly 

entered into SNS. If we can rely more 

on the comprehensiveness and accuracy 

of HIN data, SNS efficiency will be 

increased (we will more quickly rely on 

the data), and SNS will more effectively 

assist law enforcement and maritime 

security activity. 

• PII: Requiring SNS-administering 

States to collect unique personally 

identifiable information from SNS 

vessel owners. PII has high value for law 

enforcement and maritime security 

purposes. It provides a more reliable 

way to validate a vessel owner’s identity 

than the owner’s name, which in many 

cases can easily be misspelled or 

confused with another person’s name. 

We believe the inclusion of PII would 

make SNS easier to use (more efficient) 

and more effective. We already collect 

PII for vessel owners included in our 

VIS database, but VIS includes PII data 

for State-numbered vessels only for the 

32 States now participating in VIS. By 

requiring its collection directly for all 

SNS-numbered vessels, we can obtain 

PII data for State-numbered vessels in 

all 56 States that participate in SNS. 

Moreover, because all 56 States now 

will need to begin collecting PII, they all 

will soon have all the data they need to 

participate voluntarily in VIS, and 

therefore they may choose to participate 

in it. Because the value of VIS becomes 

greater as the number of voluntary 

participants increases, expanding 

participation means all participants will 

be able to use VIS more effectively. 

• Flexibility: Providing States with 

additional administrative flexibility, for 

example, by removing language from 33 

CFR 181.31(c) that required State 

boating law administrators to assign 

HINs to individuals. Now, each State 

will be free to determine for itself which 

State agency is best positioned to 

perform that function. 

State government officials with 

recreational boating responsibilities 

submitted most of the public comments 

on the NPRM. Two commenters asked 

us to extend the comment period, which 

originally closed on August 5, 2010. We 

subsequently reopened the comment 

period to accept comments until 

October 15, 2010 (75 FR 49869, Aug. 16, 

2010). 

Ten commenters asked us to defer 

consideration of our rule. A typical 

comment from this group was that 

changes not directly associated with 

harmonizing terminology ‘‘should be 

postponed to accommodate the more 

comprehensive development and 

evaluation of regulatory proposals 

regarding the accident reporting 

processes and overall system and the 

information content of the report form’’ 

and BARD. Others in this group felt that 

our rulemaking could be affected by the 

current national effort to develop a 

Uniform Certificate of Title Act 

(UCOTA) for adoption by the States. We 

are studying the possible need for 

substantive changes in accident 

reporting processes and, pending 

completion of that study, we have 

withdrawn the NPRM’s proposed 

amendment of 33 CFR 173.59, which 

would have eliminated the option of 

reporting a recreational boating accident 

to the State where the boat is registered 

rather than to the State where the 

accident occurred. We are also tracking 

the development of UCOTA. We are 

prepared to open new rulemakings to 

make changes in accident reporting and 

to align with UCOTA, but the possibility 

of future changes in these two areas 

does not require any delay in 

completing the present rulemaking. 

Six commenters said we should avoid 

changing terminology in ways harmful 

to the States’ ability to analyze historical 

data or that risk data corruption during 

database updates. One of these 

commenters asked if States would need 

to reissue new certificates of title to 

vessel owners and those with security 

interests in those vessels since old title 

certificates would contain outdated 

terminology. We do not believe States’ 

ability to analyze historical data will be 


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adversely affected by this final rule, 

although date queries might have to be 

managed by pre- or post-regulation date. 

We will not require States to reissue 

new certificates of title as a result of 

these terminology changes. Those cases 

will resolve themselves as the vessels 

are re-titled through sale or relocation. 

Eight commenters made suggestions 

about the terminology used in the 

NPRM. We agreed with these 

suggestions and Table 1 shows the 

sections where we made changes in the 

final rule accordingly. Many of these 

commenters said we failed to align 

terms used in the proposed text of 33 

CFR parts 174 and 187. We believe we 

have addressed that concern by 

withdrawing the NPRM’s proposed 

changes to accident reporting, and by 

amending 33 CFR 187.101 so that the 

personal identification required by part 

187 matches what we require in part 

174. Some of these commenters also 

requested that, for better clarity, we 

substitute ‘‘casualty or accident’’ for 

‘‘incident’’ in 33 CFR 173.57, which we 

have done in this final rule. 

Ten commenters objected to our 

proposal to delay the implementation of 

some measures for three years, saying 

we should allow at least five or six years 

instead. These commenters pointed out 

that States might need that time to make 

conforming changes in their laws, to 

obtain implementation funding, and to 

train staff to update databases and 

forms. Another group of nine 

commenters (which to a large extent 

overlapped with the group calling for a 

longer deferral of implementation) cited 

the high costs of implementation during 

a difficult economic period as a reason 

not to proceed with the rulemaking. 

Most of the changes we are making in 

this final rule have been under 

discussion with State officials for many 

years and we think they are overdue. 

We are concerned that a five- or six-year 

delay would have a substantial and 

undesirable impact on our ability to 

improve our regulatory performance. 

Nevertheless, we are mindful of the 

costs and challenges involved in 

implementing this final rule and of the 

current economic climate and we have 

attempted to balance our responsibility 

as regulators with our respect for our 

State partners and their concerns. In the 

NPRM, we proposed changing the 

casualty or accident report content 

requirements of 33 CFR 173.57 effective 

on January 1 of the ‘‘fourth year 

following the year of the effective date 

of the final rule.’’ The NPRM proposed 

delaying the changes to the State 

numbering system requirements in 33 

CFR part 174, subpart B for three years. 

We now have decided to delay the latter 

changes so that these requirements will 

also be delayed until January 1, 2017— 

giving the States more than four full 

years to prepare for their 

implementation. 

Twelve commenters said our 

proposed requirement for State 

personnel to affix HINs to vessels was 

overly burdensome and costly. One of 

the 12 also said that any new HIN 

requirement is unnecessary because the 

problem is not with inaccurate HINs on 

vessels but with poor data entry controls 

in some States, resulting in the entry of 

erroneous HIN information in their 

databases. We agree that incorrect data 

entry contributes to HIN data problems, 

but from our own observations and 

anecdotal information from State 

officials we also deduce that these 

problems arise largely because some 

vessels never obtained valid HINs, and 

in some cases vessel owners have 

misreported their HIN numbers. To 

improve the quality of the data 

contained in the databases, we will 

require verification of the vessel’s actual 

valid HIN or the assignment of such a 

HIN to the vessel. States can also take 

additional measures to ensure data 

quality. We have modified the HIN 

verification requirement in response to 

the cost and burden concerns our 

commenters raised. We will not require 

State personnel to affix HINs to vessels 

themselves. Instead, each State may use 

methods of its choosing to verify that 

each vessel’s owner has affixed a valid 

primary HIN. Examples of such methods 

are (1) owner verification, whereby the 

State could ask the owner of the vessel 

to visually inspect the visible HIN that 

is on the boat and report the correct 

information back to the State and (2) 

third party verification, whereby a 

volunteer organization like the Coast 

Guard Auxiliary would perform the 

visual inspection of a boats’ visible HIN. 

The HIN requirement has been in place 

since 1972 and documentation for 

vessel registration is already required 

for that long-established process. This is 

an extra step in the current process to 

help ensure that the visible HIN on the 

vessel is properly recorded in the 

appropriate databases. 

Seven commenters objected to our 

changing ‘‘State of principal use’’ to 

read ‘‘State of principal operation’’ 

wherever it occurs. Both terms provide 

a test for identifying the State 

responsible for SNS, VIS, or BARD 

information. One of these commenters 

said the change ‘‘has the potential to 

create unnecessary confusion and 

unintended consequences.’’ We are 

shifting to ‘‘State of principal operation’’ 

because that is the language used since 

1983 in the recreational boating statutes 

codified in Title 46 of the U.S. Code. 

Another of these seven commenters 

asked us to confirm that the State in 

whose waters a vessel is moored or 

stored in readiness for use may be that 

vessel’s State of principal operation. On 

the contrary, in amending 33 CFR 173.5, 

this final rule defines ‘‘state of principal 

operation’’ essentially the same as ‘‘state 

of principal use’’ was defined prior to 

1983: the focus is on where the boat is 

operated a majority of the time and not 

on where it is moored or stored. Neither 

a vessel owner nor the vessel itself has 

to physically reside in the state where 

the vessel is numbered. 

Two commenters supported our 

proposed addition of VIS waiver 

provisions. A third commenter said we 

could also encourage State participation 

in VIS by making it clear that States may 

search the VIS database for information 

on vessel title and liens. It is true that 

VIS is statutorily structured to capture 

title and lien data, if it is voluntarily 

provided by participating States. At this 

time, States are not providing those data 

because they themselves do not collect 

them. If this situation changes, and 

States start capturing title and lien data 

with VIS, those data will be available to 

all VIS-participating States, as is the 

case with all other VIS data. Three 

commenters objected to requiring a 

vessel owner applying for a certificate of 

number to present some unique owner 

identification. They cited the difficulties 

their States could have in adopting 

implementing legislation, objected to 

the burden of collecting the additional 

information, or questioned its value. 

The Coast Guard believes that it is 

important to have some mechanism to 

differentiate between similar or 

identical names. The final rule provides 

flexibility for each State to determine 

which type of unique identifier best fits 

its system. 

Six commenters made specific 

requests for additional clarification or 

modification of terminology. In most 

cases we have granted those requests, 

but others—for example, the suggestion 

that we should require the collection of 

information for 42 vessel subtypes—are 

beyond the scope of this rulemaking. 

Seven commenters made 

miscellaneous and minor suggestions 

for altering the proposed regulatory text. 

We address most of these in the final 

rule. 

Table 1 lists the regulatory sections 

affected by this final rule, links each 

section’s changes to one of the four 

basic issues (terminology, HINs, PII, and 

flexibility) previously discussed or 

states ‘‘n/a’’ (not applicable), 

summarizes what was proposed in the 

NPRM, and discusses any changes that 


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we are making in the final rule. It omits 

discussion of several non-substantive 

style or format changes made solely to 

improve the clarity of our regulatory 

language. 

TABLE 1—CHANGES MADE BY THIS RULE

33 CFR section affected Basic issues NPRM proposal Changes from the NPRM for the final 

rule 

Purpose; preemptive effect, § 173.1 ...... n/a ......................... Not included in the NPRM ................... Add language describing the basis for 

and extent of our preemption of 

State regulatory action, in alignment 

with the discussions of Federalism 

contained in the Regulatory Analyses sections of both the NPRM and 

this final rule. 

Definitions, § 173.3 ................................. Terminology .......... Add or revise definitions to align with 

substantive changes.

Add the Title 1 U.S. Code definition of 

‘‘vessel’’ and make minor clarifying 

changes in the definitions of ‘‘auxiliary sail,’’ ‘‘cabin motorboat,’’ ‘‘certificate of number,’’ ‘‘hull identification number,’’ ‘‘inboard,’’ ‘‘open motorboat,’’ ‘‘owner,’’ ‘‘personal 

watercraft,’’ ‘‘State,’’ and 

‘‘sterndrive.’’ Remove definitions of 

‘‘permitted events,’’ ‘‘towed 

watersports,’’ and ‘‘whitewater boating’’ because we are not using those 

terms in the final rule’s version of 

amendments to part 173. 

Vessel number required, § 173.15 ......... Terminology .......... Substitute ‘‘State of principal operation’’ for ‘‘State in which the vessel 

is principally used’’ to align with statutory language.

No change. 

Other numbers prohibited, § 173.19 ....... Terminology .......... Substitute ‘‘operate’’ for ‘‘use’’ to align 

with statutory language.

No change. 

Certificate of number required, § 173.21 Terminology .......... Substitute ‘‘operate’’ and ‘‘operated’’ 

for ‘‘use’’ and ‘‘used’’ to align with 

statutory language.

No change. 

Inspection of certificate, § 173.23 ........... Terminology .......... Substitute ‘‘operating’’ for ‘‘using’’ to 

align with statutory language.

No change. 

Location of certificate of number, 

§ 173.25.

Terminology .......... Substitute ‘‘operate’’ for ‘‘use’’ to align 

with statutory language.

No change. 

Removal of number, § 173.33 ................ Terminology .......... Substitute ‘‘operated’’ for ‘‘used’’ to 

align with statutory language.

No change. 

Coast Guard validation sticker, § 173.35 Terminology .......... Substitute ‘‘operate’’ for ‘‘use’’ to align 

with statutory language.

No change. 

Applicability, § 173.51 ............................. Terminology .......... Substitute ‘‘operated’’ for ‘‘used’’ to 

align with statutory language.

No change. 

Contents of report, § 173.57 ................... Terminology .......... Revise casualty and accident report 

contents to align terminology with 

statutory language, modernize terminology, and require additional information about property owners and 

the use of fire extinguishers; implementation deferred until January 1, 

2017.

Eliminate requirements for describing 

the vessel’s operation and activity at 

the time of a casualty or accident 

and whether the vessel was or was 

not involved in a permitted event 

and the nature of the casualty or accident (paragraphs (c)(22), (23), 

(24), and (25) in the NPRM), eliminate the requirement for reporting 

the telephone numbers of property 

owners, and in response to a comment, change ‘‘incident’’ to ‘‘casualty 

or accident.’’ 

No change in the date of implementation. 

Where to report, § 173.59 ...................... n/a ......................... Require casualty and accident report 

to be filed with the State where the 

incident occurred (eliminate current 

option of filing in the State where the 

vessel is principally operated or registered).

Withdraw proposed amendment because it is not related to a basic 

issue. 

Application for and issuance of certificate of number, § 173.71.Terminology .......... Authorize issuance of original or duplicate certificates for clarity and modernize terminology.No change. 

Duplicate certificate of number, § 173.73 n/a ......................... Remove section and transfer substance to § 173.71.No change. 


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TABLE 1—CHANGES MADE BY THIS RULE—Continued 

33 CFR section affected Basic issues NPRM proposal Changes from the NPRM for the final 

rule 

Validity of certificate of number, 

§ 173.77.

Terminology .......... Substitute ‘‘operated’’ for ‘‘used’’ to 

align with statutory language.

No change. 

Issuing authorities and reporting authorities 33 CFR part 173, Appendix A.Terminology .......... Substitute ‘‘operation’’ for ‘‘use’’ to 

align with statutory language.

No change. 

Applicability; preemptive effect, § 174.1 n/a ......................... Add preemption language to align with 

discussion of Federalism.

No change. 

Definitions, § 174.3 ................................. Terminology .......... Add or revise definitions to align with 

substantive changes.

For better clarity, add the Title 1 U.S. 

Code definition of ‘‘vessel’’ and a 

definition for ‘‘operate,’’ and make 

minor clarifying changes in the definitions of ‘‘auxiliary sail,’’ ‘‘cabin motorboat,’’ ‘‘certificate of number,’’ 

‘‘hull identification number,’’ ‘‘inboard,’’ ‘‘open motorboat,’’ ‘‘owner,’’ 

‘‘personal watercraft,’’ and ‘‘State.’’ 

Verification of HIN, § 174.16 .................. HINs ...................... Require States to verify a vessel’s 

compliance with HIN requirements 

or affix valid HIN; 3-year deferral of 

implementation.

Require States to verify that a vessel 

has a valid primary HIN, but State 

personnel will not be required to 

affix valid HINs themselves. 

Defer implementation for more than 4 

full years, to Jan. 1, 2017, rather 

than the three years proposed in the 

NPRM. 

Contents of application for certificate of 

number, § 174.17.

Terminology PII ..... Require unique personal identifier, 

align and modernize terminology; 3- 

year deferral of implementation.

Make minor clarifying changes in several terms per commenter suggestions. 

Restore the ZIP code, which appears 

in the current regulation but which 

did not appear in the NPRM, as a 

required element of the owner’s address information. 

Defer implementation for more than 4 

full years, to Jan. 1, 2017, rather 

than the three years proposed in the 

NPRM. 

Contents of a certificate of number, 

§ 174.19.

Terminology HINs To facilitate data verification for law 

enforcement and maritime security 

purposes, delete current option for 

owners of vessels with HINs to omit 

certain information; align and modernize terminology; 3-year deferral of 

implementation.

Make minor clarifying changes in several terms per commenter suggestions. 

Restore the ZIP code, which appears 

in the current regulation but which 

did not appear in the NPRM, as a 

required element of the owner’s address information. 

Defer implementation for more than 4 

full years, to Jan. 1, 2017, rather 

than the three years proposed in the 

NPRM. 

Temporary certificates, § 174.21 ............ Terminology HINs Clarify, add HIN as required information, substitute ‘‘operated’’ for ‘‘used’’ 

to align with statutory language; 3- 

year deferral of implementation.

Clarify that, as in existing 33 CFR 

174.17 and 174.19, vessel length 

means overall length. 

Defer implementation for more than 4 

full years, to Jan. 1, 2017, rather 

than the three years proposed in the 

NPRM 

Forwarding of casualty or accident reports, § 174.121.Terminology .......... Update address information and add 

electronic submission option to allow 

for choices in reporting method and 

align with Federal e-Government initiatives.

No change. 

Coast Guard address, § 174.125 ........... Terminology .......... Update address information ................. No change. 

Purpose and applicability; preemptive 

effect, § 181.1.

n/a ......................... Add preemption language to align with 

discussion of Federalism.

No change. 

Definitions, § 181.3 ................................. Terminology .......... Add or revise definitions to align with 

substantive changes.

Change the word order, without altering the sense of, the definition of 

‘‘manufacturer,’’ per commenter suggestion. 


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TABLE 1—CHANGES MADE BY THIS RULE—Continued 

33 CFR section affected Basic issues NPRM proposal Changes from the NPRM for the final 

rule 

Hull identification numbers required, 

§ 181.23.

Terminology HINs 

Flexibility.

Add new (b)(revise and relocate current language from § 181.31(c)), and 

substitute ‘‘agency designated by 

the issuing authority’’ for references 

to the State boating law administrator to provide States with additional administrative flexibility.

Remove requirement for State personnel to affix valid HINs and make 

minor wording change. 

Manufacturer identification code assignment, § 181.31.n/a ......................... Remove (c) (relocated to § 181.23) ..... No change. 

How is a State’s participation in VIS 

documented? § 187.11.

Flexibility ............... Revise section for additional State administrative flexibility.Make minor style changes. 

What information must be collected to 

identify a vessel owner? § 187.101.

Terminology .......... N/A ....................................................... Make minor clarifying changes in several terms per commenter suggestions. 

What information must be collected to 

identify a vessel? § 187.103.

Terminology .......... Add ‘‘of vessel’’ in (h), and revise (i)– 

(n) for clarity and modern terminology.

Make minor clarifying changes in several terms per commenter suggestions. 

VI. Regulatory Analyses 

We developed this final rule after 

considering numerous statutes and 

executive orders related to rulemaking. 

Below we summarize our analyses 

based on 14 of these statutes or 

executive orders. 

A. Regulatory Planning and Review 

Executive Orders 12866 (‘‘Regulatory 

Planning and Review’’) and 13563 

(‘‘Improving Regulation and Regulatory 

Review’’) direct agencies to assess the 

costs and benefits of available regulatory 

alternatives and, if regulation is 

necessary, to select regulatory 

approaches that maximize net benefits 

(including potential economic, 

environmental, public health and safety 

effects, distributive impacts, and 

equity). Executive Order 13563 

emphasizes the importance of 

quantifying both costs and benefits, of 

reducing costs, of harmonizing rules, 

and of promoting flexibility. This final 

rule has not been designated a 

‘‘significant regulatory action’’ under 

section 3(f) of Executive Order 12866. 

Accordingly, the final rule has not been 

reviewed by the Office of Management 

and Budget. 

We summarize the public comments 

we received on the NPRM in the 

‘‘Discussion of Comments and Changes’’ 

section of this preamble. In response to 

public comments we modified the 

NPRM proposal as shown in Table 1. 

We lengthened the deferral period for 

implementing some changes, like the 

requirement for State verification of 

HINs. We modified the proposal for 

States to affix HIN numbers to vessels; 

now, State officials will not be required 

to affix the HIN themselves. We 

provided additional clarity to 

terminology and withdrew a change to 

the location at which to file a boating 

accident report. 

These changes result in a reduction in 

the cost of this rule from the initial 

estimate in the NPRM. Modifying the 

HIN verification requirement and 

lengthening the deferral period reduces 

the present value of the remaining costs, 

for the period of analysis, from $38.0 

million to $21.4 million at a 7-percent 

discount and from $46.0 million to 

$27.4 million at a 3-percent discount. 

We have found no additional data or 

information that further changed our 

findings of the undiscounted costs for 

the individual provisions of the rule 

(the costs of HIN verifications, the cost 

of changes to boating accident reporting, 

and the costs to change to Certificates of 

Number). 

Table 2 compares the original 

regulatory impacts published in the 

NPRM and the revised impacts of this 

final rule: 

TABLE 2—COMPARISON OF REGULATORY IMPACTS, NPRM AND FINAL

RULE, 7 PERCENT DISCOUNT RATE

Category NPRM Final 

rule 

Annualized .................... $5.4 $3.1 

Ten-year ....................... 38.0 21.4 

A combined ‘‘Final Regulatory 

Analysis and Final Regulatory 

Flexibility Analysis’’ is available in the 

docket where indicated under the 

‘‘Public Participation and Request for 

Comments’’ section of this preamble. A 

summary of the analysis follows: 

Coast Guard regulations in 33 CFR 

parts 173 and 174 implement two 

statutory mandates relating to 

undocumented vessels equipped with 

propulsion machinery of any kind. First, 

the regulations provide for an SNS that 

assigns unique identification numbers 

to those vessels, as required by 46 

U.S.C. 12302. Second, the regulations 

provide for the uniform reporting by 

each State of recreational vessel and 

certain undocumented vessel casualty 

and accident data, as required by 46 

U.S.C. 6102. The Coast Guard maintains 

a BARD that contains this information. 

The Coast Guard is statutorily 

required to maintain a VIS, which 

covers not only the undocumented 

vessels to which SNS applies, but also 

documented vessels and any vessel 

titled under State law. The VIS 

information system comprises data from 

vessels that the Coast Guard documents 

and vessel data from 32 voluntarily 

participating States. The VIS is used for 

identifying recreational, commercial, 

and public vessels that are numbered or 

titled under the laws of a state or 

territory. VIS includes information to 

identify vessels, vessel owners, and 

information to assist law enforcement 

officials in the investigation of stolen 

vessels or other legal investigation, such 

as fraud. That information includes the 

personally identifiable information that 

46 U.S.C. 12501(a)(2) and (b) require. 

The Coast Guard is amending its rules 

to promote uniformity between the SNS, 

VIS, and BARD. 

The changes from this rule will 

enhance the capabilities of Federal, 

State, and local boating safety and law 

enforcement officials. These changes 

will result in additional costs and 

benefits. In general, this rule will— 

• Require States to verify that a valid 

primary vessel HIN has been affixed to 

each vessel for which a certificate of 

number is being issued, renewed, or 

upon the transfer of a vessel’s 

ownership; 


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2We obtained information on boat hull 

identification numbers from Info-Link, which is the 

company that administers the Coast Guard’s Vessel 

Identification System. 

3See the Collection of Information OMB 1625– 

0108 supporting documentation for further 

information. 

• Align terminology used by SNS, 

BARD, and VIS to describe recreational 

vessels and certain undocumented 

vessels and their operations; 

• Modernize terminology to reflect 

statutory usage and current recreational 

vessel types, operations and equipment. 

States have until January 1, 2017 to 

update their systems to use the newer 

terminology; 

• Require the collection of unique 

identification information for each 

vessel owner who applies for an SNS 

number. States have until January 1, 

2017 to implement this change; and 

• Provide additional administrative 

flexibility for States, for example, by 

adding waiver provisions for VIS 

participation. 

We estimate that this rule affects 

approximately 12.4 million vessels. The 

harmonization of terminology and the 

additional questions on the forms used 

to collect the data for the SNS affects all 

recreational vessels and certain 

undocumented vessels. The 

harmonization of terminology and the 

additional questions on the forms used 

to collect information from boating 

casualties affects those recreational 

vessels and certain undocumented 

vessels involved in boating accidents. 

There are approximately 5,094 boating 

accidents annually. Approximately 91 

percent of recreational boats and certain 

undocumented vessels that this rule 

affects appear to be in compliance with 

the HIN requirement already, leaving 9 

percent potentially needing to have 

HINs verified.2

The implementation of these 

requirements will begin on January 1, 

2017. This is a delay in implementation 

compared to the NPRM, in which it was 

proposed that implementation would 

begin on January 1 of Year 4, which 

would be 2015. Costs will be incurred 

beginning with the year prior to rule 

implementation, 2016, due to the need 

to prepare for the January 1, 2017 

implementation. 

We estimated the total average costs 

of this rulemaking over a 10-year period 

as summarized in Table 3, which 

compares the costs in this final rule to 

those in the NPRM, which used a 3-year 

delay in implementation. Cost estimates 

are presented at a 7-percent discount. 

TABLE 3—SUMMARY OF COSTS

[Millions of dollars] 

Year 

Final rule NPRM 

7 Percent 

discount rate Undiscounted 7 Percent discount rate Undiscounted 

2012 ................................................................................................................. $0.0 $0.0 $0.0 $0.0 

2013 ................................................................................................................. 0.0 0.0 0.0 0.0 

2014 ................................................................................................................. 0.0 0.0 13.5 16.5 

2015 ................................................................................................................. 0.0 0.0 7.8 10.2 

2016 ................................................................................................................. 8.4 11.7 5.6 7.9 

2017 ................................................................................................................. 4.8 7.2 2.5 3.8 

2018 ................................................................................................................. 3.5 5.7 2.4 3.8 

2019 ................................................................................................................. 1.7 2.9 2.2 3.8 

2020 ................................................................................................................. 1.6 2.9 2.1 3.8 

2021 ................................................................................................................. 1.5 2.9 1.9 3.8 

Total * ........................................................................................................ 21.4 33.3 38.0 53.6 

Annualized ....................................................................................................... 3.1 3.3 5.4 5.4 

* Figures may not sum due to rounding. 

The main cost driver for this rule is 

the issuing authority verification of the 

HIN with documentation or visual 

inspection of the vessel when no proper 

record of the HIN exists. The issuing 

authority, usually the State, has the 

option to choose the most suitable 

verification method. Examples of such 

methods are (1) owner verification, 

whereby the State could ask the owner 

of the vessel to visually inspect the 

visible HIN that is on the boat and 

report the correct information back to 

the State and (2) third party verification, 

whereby a volunteer organization like 

the Coast Guard Auxiliary would 

perform the visual inspection of a boats’ 

visible HIN. The HIN requirement has 

been in place since 1972 and 

documentation for vessel registration is 

already required for that longestablished process. This is an extra step 

in the current process to help ensure 

that the visible HIN on the vessel is 

properly recorded in the appropriate 

databases. 

Some of the owners of these vessels 

will be able to correct any discrepancies 

easily, but the States may require others 

to transport the vessel to the issuing 

authority in order to have the HIN 

verified. The HIN verification makes up 

approximately 89 percent (10.5 million, 

non-discounted) of the first-year cost of 

implementation and approximately 66 

percent (1.9 million, non-discounted) of 

the annual recurring cost. 

The final rule aims to improve the 

information within various databases by 

increasing the quality of the information 

and by harmonizing terminology. This 

enhanced information and subsequent 

cross-reference between the databases 

are benefits that will accrue to all users 

of these databases. The Coast Guard and 

others use the SNS, VIS and BARD 

information in decision-making 

situations. These situations include the 

methodical design of new boating safety 

initiatives as well as split-second 

decisions made by law enforcement 

officers in the field.3 Some of the 

benefits of the HIN verification may 

accrue to the boat owner or other entity 

associated with the vessel. For example, 

a verified HIN properly linked to the 

boat owner can aid in the return of a 

stolen vessel. 

The ‘‘Final Regulatory Analysis and 

Final Regulatory Flexibility Analysis’’ 

available in the docket provides 

additional detail on the costs and 

benefits of this rulemaking. 


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4These are individuals that do not use vessels for 

commercial purposes. 

B. Small Entities 

Under the Regulatory Flexibility Act 

(5 U.S.C. 601–612), we have considered 

whether this rule will have a significant 

economic impact on a substantial 

number of small entities. The term 

‘‘small entities’’ comprises small 

businesses, not-for-profit organizations 

that are independently owned and 

operated and are not dominant in their 

fields, and governmental jurisdictions 

with populations of fewer than 50,000 

people. 

A combined ‘‘Final Regulatory 

Analysis and Final Regulatory 

Flexibility Analysis’’ discussing the 

impact of this rule on small entities is 

available in the docket where indicated 

under the ADDRESSES section of this 

preamble. A summary of the analysis 

follows: 

The rule regulates recreational vessels 

and certain undocumented, Statenumbered vessels. Individuals, such as 

the recreational vessel owners regulated 

by this rule, are not small entities under 

the definition of a small entity in the 

Regulatory Flexibility Act (RFA).4

We estimate that there are potentially 

136,209 owners of certain 

undocumented vessels used for 

commercial purposes that may be 

affected by parts of this rulemaking. Of 

these, there are potentially 12,259 vessel 

owners who may have to have their 

vessel HIN verified. 

Based on available data, we 

determined that over 90 percent of the 

owners of vessels used for commercial 

purposes could be small entities 

according to small entity size standards 

defined by the Small Business 

Administration and the Regulatory 

Flexibility Act. We found that many 

small entities affected by this rule were 

owners and operators in the industry 

categories of engine equipment 

manufacturing, boat dealers, hotels, 

business support services and 

amusement and recreation. 

Based on our assessment of the 

impacts, we determined that all owners 

or operators affected by this rule will 

incur a direct cost of compliance of less 

than 1 percent of revenue. 

Therefore, the Coast Guard certifies 

under 5 U.S.C. 605(b) that this final rule 

will not have a significant economic 

impact on a substantial number of small 

entities. 

C. Assistance for Small Entities 

Under section 213(a) of the Small 

Business Regulatory Enforcement 

Fairness Act of 1996 (Pub. L. 104–121), 

we offered in our NPRM to assist small 

entities in understanding the rule so 

that they could better evaluate its effects 

on them and participate in the 

rulemaking. Small businesses may send 

comments on the actions of Federal 

employees who enforce, or otherwise 

determine compliance with, Federal 

regulations to the Small Business and 

Agriculture Regulatory Enforcement 

Ombudsman and the Regional Small 

Business Regulatory Fairness Boards. 

The Ombudsman evaluates these 

actions annually and rates each agency’s 

responsiveness to small business. If you 

wish to comment on actions by 

employees of the Coast Guard, call 

1–888–REG–FAIR (1–888–734–3247). 

The Coast Guard will not retaliate 

against small entities that question or 

complain about this rule or any policy 

or action of the Coast Guard. 

D. Collection of Information 

This rule affects three collections of 

information under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501– 

3520). It will modify existing Office of 

Management and Budget (OMB) 

Collection of Information; OMB Control 

Number 1625–0003, ‘‘Coast Guard 

Boating Accident Report Form’’; OMB 

Control Number 1625–0070, ‘‘Vessel 

Identification System’’; and OMB 

Control Number 1625–0108, ‘‘Standard 

Numbering System for Undocumented 

Vessels’’. 

As defined in 5 CFR 1320.3(c), 

‘‘collection of information’’ comprises 

reporting, recordkeeping, monitoring, 

posting, labeling, and other similar 

actions. The title and description of the 

information collections, a description of 

those who must collect the information, 

and an estimate of the total annual 

burden follow. The estimate covers the 

time for reviewing instructions, 

searching existing sources of data, 

gathering and maintaining the data 

needed, and completing and reviewing 

the collection. 

The rule will add to the 

recordkeeping and reporting 

requirements of vessel owners and 

agencies involved in issuing vessel 

registration and reporting boating 

accidents. 

The issuing authority will have to 

modify the boating casualty report form, 

modify the certificate of number 

application and, in cases where 

necessary, verify that valid HINs are 

properly affixed to the vessel and 

recorded. The owners of recreational 

vessels and certain undocumented 

vessels will have to answer more 

questions when they or their vessels are 

involved in a boating accident and 

when applying for a Certificate of 

Number. Owners of recreational vessels 

and certain undocumented vessels will 

have to have the issuing authority verify 

a valid HIN upon the issuance, reissue, 

sale or transfer of a vessel. 

For additional detail and information 

on the burden of this rule, see the final 

regulatory analysis available in the 

docket. A summary of each collection 

amendment and associated burden 

follows: 

Title: Coast Guard Boating Accident 

Report Form 

OMB Control Number: 1625–0003. 

Summary of the Collection of 

Information: Federal regulations (33 

CFR 173.55) require the operator of any 

vessel that is numbered or used for 

recreational purposes to submit an 

accident report to the issuing authority 

where the accident occurred. 

Need for Information: 46 U.S.C. 

6102(a) requires a uniform marine 

casualty reporting system, with 

regulations prescribing casualties to be 

reported and the manner of reporting. 

Proposed Use of Information: The 

Coast Guard uses accident data and 

statistical information received from the 

current collection to establish National 

Recreational Boating Safety (RBS) 

Program goals, objectives, strategies and 

performance measures; report RBS 

Program performance to Congress in the 

performance and budget reports; 

identify possible manufacturer defects 

in boats or equipment; develop boat 

manufacturing standards; develop safe 

boating education and accident 

prevention programs; and publish 

accident statistics in accordance with 

Title 46 U.S.C. 6102. 

Description of Respondents: 

Operators of recreational boats and 

certain undocumented vessels and 

governments of States. 

Number of Respondents/Reports: The 

estimated number of respondents is 56, 

both current and revised. The revised 

estimated number of reports is 5,094, 

compared to the current estimate of 

5,000. The higher number of reports is 

based on an increase in the average 

number of reports, not a programmatic 

change. 

Frequency of Response: On occasion. 

Specifically, within 30 days of a State’s 

receipt of a report as prescribed by 33 

CFR 174.121 (Forwarding of casualty or 

accident reports). 

Burden of Response: The estimated 

revised burden is 2,970 hours per year. 

The current burden is 2,500. 

There is an estimated 35-minute 

burden to a respondent for each report 

filed for an annual estimated burden of 

2,970 hours for the estimated 5,094 

reports. 


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Title: Vessel Identification System 

OMB Control Number: 1625–0070. 

Summary of the Collection of 

Information: The Coast Guard 

established a nationwide vessel 

identification system (VIS) and 

centralized certain vessel 

documentation functions. VIS provides 

participating States with access to data 

on vessels numbered by States. 

Participation in VIS is voluntary. 

Need for Information: 46 U.S.C. 12501 

mandates the establishment of a VIS. 33 

CFR part 187 prescribes the 

requirements of VIS. 

Proposed Use of Information: This 

information collection supports the 

strategic goals of the Department of 

Homeland Security, the Coast Guard 

and the Marine Safety, Security and 

Stewardship Directorate (CG–5). 

Description of Respondents: 

Operators of recreational boats and 

certain undocumented vessels and 

governments of States. 

Number of Respondents and 

Responses: The estimated number of 

respondents is 56, both revised and 

current. 

Frequency of Response: Daily. 

Burden of Response: The estimated 

burden remains 5,456 hours a year. 

Title: Standard Numbering System for 

Undocumented Vessels 

OMB Control Number: 1625–0108. 

Summary of the Collection of 

Information: The SNS collects 

information on undocumented vessels 

and vessel owners. States submit reports 

annually to the Coast Guard on the 

number, size, construction, etc., of the 

vessels they have numbered. The Coast 

Guard uses that information in the 

publication of its annual ‘‘Boating 

Statistics’’ report that 46 U.S.C. 6102(b) 

requires and in the allocation of Federal 

funds to assist in carrying out the 

Recreational Boating Safety (RBS) 

Program which 46 U.S.C. chapter 131 

established. 

Need for Information: On a daily basis 

or as warranted, Federal, State, and 

local law enforcement personnel use 

SNS information from the States’ 

numbering systems for enforcement of 

boating laws or theft and fraud 

investigations. In addition, information 

from the SNS increases officer safety by 

assisting boarding officers in 

determining how best to approach a 

vessel suspected of illegal activity. 

Proposed Use of Information: Federal, 

State, and local law enforcement 

personnel use SNS information from the 

States’ numbering systems for 

enforcement of boating laws or theft and 

fraud investigations. The Coast Guard 

uses the information in the publication 

of an annual ‘‘Boating Statistics’’ report 

that 46 U.S.C. 6102(b) requires and in 

the allocation of Federal funds to assist 

States in carrying out the Recreational 

Boating Safety (RBS) Program, which 46 

U.S.C. chapter 131 established. 

Description of Respondents: 

Operators of recreational boats and 

certain undocumented vessels and 

governments of States. 

Number of Respondents and 

Responses: The estimated number of 

respondents is 56, both revised and 

current. The revised estimate of the 

number of responses is 4,644,142 

compared to the current 4,333,333. 

Frequency of Response: Daily as 

necessary. 

Burden of Response: The revised 

estimate of the number of burden hours 

per year is 385,464, compared to the 

current burden hours of 286,458. 

There are no collection costs to the 

Federal Government for the SNS 

because States implement the program. 

As required by 44 U.S.C. 3507(d), we 

submitted a copy of the proposed rule 

to the Office of Management and Budget 

(OMB) for its review of the collections 

of information. OMB has not yet 

completed its review of these 

collections. Therefore, the Coast Guard 

cannot enforce the collections contained 

in 33 CFR 173.57(c), 174.16(b), 

174.17(c), or 174.19(c) until its 

information collection requests are 

approved by OMB. We will publish a 

document in the Federal Register 

informing the public of OMB’s decision 

to approve, modify, or disapprove the 

collection. 

You are not required to respond to a 

collection of information unless it 

displays a currently valid OMB control 

number. 

E. Federalism 

A rule has implications for federalism 

under Executive Order 13132, 

Federalism, if it has a substantial direct 

effect on State or local governments and 

would either preempt State law or 

impose a substantial direct cost of 

compliance on them. It is well settled 

that States may not regulate in 

categories reserved for regulation by the 

Coast Guard. 

The regulations in 33 CFR part 173 

subparts A, B, and D, and part 174 

subparts A, B, and D are issued 

pursuant to 46 U.S.C. 12301 and 12302 

and expressly preempt conflicting State 

or local regulation. Congress intended 

these regulations to be preemptive as 

State numbering systems, once 

approved by the Secretary, must be 

consistent with the Federal standard 

numbering system and must adopt the 

definitions of relevant terms prescribed 

by the Secretary. Should a State amend 

its numbering system without the 

approval of the Secretary, or administer 

its system in an inconsistent manner to 

the Federal numbering system, the 

Secretary may withdraw his or her 

approval. Therefore, since State 

numbering systems cannot deviate from 

the Federal numbering system 

prescribed by the Secretary, the Federal 

regulations are preemptive. The 

regulations in 33 CFR part 173 subpart 

C and part 174 subpart C are issued 

pursuant to 46 U.S.C. 6101. 46 U.S.C. 

6101 states that the ‘‘Secretary shall 

prescribe regulations on the marine 

casualties to be reported and the manner 

of reporting.’’ The statute requires, 

among other things, the reporting of the 

death of an individual, serious injury to 

an individual, material loss of property, 

material damage affecting the 

seaworthiness or efficiency of the 

vessel, and significant harm to the 

environment. 

The Supreme Court has held that 

‘‘Congress intended that the Coast 

Guard regulations be the sole source of 

a vessel’s reporting obligations * * *’’ 

and that Coast Guard regulations 

promulgated pursuant to the authority 

of 46 U.S.C. 6101 were not intended by 

Congress ‘‘to be cumulative to those 

enacted by each political subdivision 

whose jurisdiction a vessel enters.’’ See 

the decision of the Supreme Court in the 

consolidated cases of United States v. 

Locke and Intertanko v. Locke, 529 U.S. 

89, 115–116. Therefore, the Coast 

Guard’s view is that regulations issued 

under the authority of 46 U.S.C. 6101 

for marine casualty reporting 

requirements have preemptive effect 

over State regulation in these fields, 

except to the extent that Congress 

requires the Coast Guard to allow State 

casualty reporting systems pursuant to 

46 U.S.C. chapter 131. 

The regulations in 33 CFR part 181 

are issued pursuant to 46 U.S.C., 

chapter 43; specifically section 4302. 

Under another section of that chapter, 

section 4306, Federal regulations 

establishing minimum safety standards 

for recreational vessels and associated 

equipment, and establishing procedures 

and tests required to measure 

conformance with those standards, 

preempt State law, unless the State law 

is identical to a Federal regulation or a 

State is specifically provided an 

exemption to those regulations, or 

permitted to regulate marine safety 

articles carried or used to address a 

hazardous condition or circumstance 

unique to that State. 

The regulations in 33 CFR part 187 

are currently issued pursuant to 46 


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U.S.C. 2103. We are adding 46 U.S.C. 

12501 as an additional authority. 

Because State participation in the VIS is 

entirely voluntary, the regulations in 

this part do not have preemptive impact 

over State regulation in this field. 

However, once electing to participate, a 

State must comply with the 

requirements of this part to ensure 

integrity and uniformity of information 

in both the SNS and VIS. 

The Coast Guard recognizes the key 

role State and local governments may 

have in making regulatory 

determinations. Additionally, sections 4 

and 6 of Executive Order 13132 require 

that for any rules with preemptive 

effect, the Coast Guard must provide 

elected officials of affected State and 

local governments and their 

representative national organizations 

the notice and opportunity for 

appropriate participation in any 

rulemaking proceedings and to consult 

with such officials early in the 

rulemaking process. Therefore, in the 

NPRM, we invited affected State and 

local governments and their 

representative national organizations to 

indicate their desire for participation 

and consultation in this rulemaking 

process by submitting comments to the 

docket. We received no comments from 

an elected official or organization that 

represents such officials, though we did 

receive many comments from appointed 

State officials who have responsibility 

for administering boating safety laws, 

and from the national organization that 

represents those officials. We meet 

regularly with many of these officials 

and in most cases they have long been 

aware of our interest in the changes 

made by this final rule. Their concerns, 

our position on those concerns, and the 

actions we have taken to address them, 

are discussed in detail in part V of this 

preamble, ‘‘Discussion of Comments 

and Changes.’’ 

Additionally, President Obama’s 

Memorandum of May 20, 2009 titled 

‘‘Preemption,’’ states that ‘‘preemption 

of State law by executive departments 

and agencies should be undertaken only 

with full consideration of the legitimate 

prerogatives of the States and with a 

sufficient legal basis for preemption.’’ 

To that end, when a department or 

agency intends to preempt State law, it 

should do so only if justified under legal 

principles governing preemption, 

including those outlined in Executive 

Order 13132, and it should also include 

preemption provisions in the codified 

regulation. In accordance with this 

memorandum, the Coast Guard has 

included in the final rule regulatory text 

the statutory provisions granting it 

preemption authority as well as 

language indicating its intent to preempt 

conflicting state or local regulation, 

when required. 

F. Unfunded Mandates Reform Act 

The Unfunded Mandates Reform Act 

of 1995 (2 U.S.C. 1531–1538) requires 

Federal agencies to assess the effects of 

their discretionary regulatory actions. In 

particular, the Act addresses actions 

that may result in the expenditure by a 

State, local, or tribal government, in the 

aggregate, or by the private sector of 

$100,000,000 (adjusted for inflation) or 

more in any one year. Though this rule 

will not result in such an expenditure, 

we do discuss the effects of this rule 

elsewhere in this preamble. No public 

comments were received on this subject 

in response to our NPRM, and we made 

no changes affecting the subject for the 

final rule. 

G. Taking of Private Property 

This rule will not cause a taking of 

private property or otherwise have 

taking implications under Executive 

Order 12630, Governmental Actions and 

Interference with Constitutionally 

Protected Property Rights. No public 

comments were received on this subject 

in response to our NPRM, and we made 

no changes affecting the subject for the 

final rule. 

H. Civil Justice Reform 

This rule meets applicable standards 

in sections 3(a) and 3(b)(2) of Executive 

Order 12988, Civil Justice Reform, to 

minimize litigation, eliminate 

ambiguity, and reduce burden. No 

public comments were received on this 

subject in response to our NPRM, and 

we made no changes affecting the 

subject for the final rule. 

I. Protection of Children 

We have analyzed this rule under 

Executive Order 13045, Protection of 

Children from Environmental Health 

Risks and Safety Risks. This rule is not 

an economically significant rule and 

does not create an environmental risk to 

health or risk to safety that may 

disproportionately affect children. No 

public comments were received on this 

subject in response to our NPRM, and 

we made no changes affecting the 

subject for the final rule. 

J. Indian Tribal Governments 

This rule does not have tribal 

implications under Executive Order 

13175, Consultation and Coordination 

with Indian Tribal Governments, 

because it does not have a substantial 

direct effect on one or more Indian 

tribes, on the relationship between the 

Federal government and Indian tribes, 

or on the distribution of power and 

responsibilities between the Federal 

Government and Indian tribes. No 

public comments were received on this 

subject in response to our NPRM, and 

we made no changes affecting the 

subject for the final rule. 

K. Energy Effects 

We have analyzed this rule under 

Executive Order 13211, Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use. We have 

determined that it is not a ‘‘significant 

energy action’’ under that order because 

it is not a ‘‘significant regulatory action’’ 

under Executive Order 12866 and is not 

likely to have a significant adverse effect 

on the supply, distribution, or use of 

energy. No public comments were 

received on this subject in response to 

our NPRM, and we made no changes 

affecting the subject for the final rule. 

L. Technical Standards 

The National Technology Transfer 

and Advancement Act (NTTAA) 

(15 U.S.C. 272 note) directs agencies to 

use voluntary consensus standards in 

their regulatory activities unless the 

agency provides Congress, through the 

Office of Management and Budget, with 

an explanation of why using these 

standards would be inconsistent with 

applicable law or otherwise be 

impractical. Voluntary consensus 

standards are technical standards (e.g., 

specifications of materials, performance, 

design, or operation; test methods; 

sampling procedures; and related 

management systems practices) that are 

developed or adopted by voluntary 

consensus standards bodies. 

This rule does not use technical 

standards. Therefore, we did not 

consider the use of voluntary consensus 

standards. 

M. Environment 

We have analyzed this rule under 

Department of Homeland Security 

Management Directive 023–01 and 

Commandant Instruction M16475.lD, 

which guide the Coast Guard in 

complying with the National 

Environmental Policy Act of 1969 

(NEPA; 42 U.S.C. 4321–4370f), and have 

concluded that this action is one of a 

category of actions which do not 

individually or cumulatively have a 

significant effect on the human 

environment. This rule is categorically 

excluded under section 2.B.2, figure 

2–1, paragraph (34)(a) and (d) of the 

Instruction. This rule involves 

regulations which are editorial or 

procedural, such as those updating 

addresses or establishing application 


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procedures; and regulations concerning 

manning, documentation, 

admeasurement, inspection, and 

equipping of vessels. An environmental 

analysis checklist and a categorical 

exclusion determination are available in 

the docket where indicated under 

ADDRESSES. 

List of Subjects 

33 CFR Part 173 

Marine safety, Reporting and 

recordkeeping requirements. 

33 CFR Part 174 

Intergovernmental relations, Marine 

safety, Reporting and recordkeeping 

requirements. 

33 CFR Part 181 

Labeling, Incorporation by reference, 

Marine safety, Reporting and 

recordkeeping requirements. 

33 CFR Part 187 

Administrative practice and 

procedure, Marine safety, Reporting and 

recordkeeping requirements. 

For the reasons discussed in the 

preamble, the Coast Guard amends 

33 CFR parts 173, 174, 181, and 187 as 

follows: 

PART 173—VESSEL NUMBERING AND 

CASUALTY AND ACCIDENT 

REPORTING 

■ 1. The authority citation for part 173 

is revised to read as follows: 

Authority: 31 U.S.C. 9701; 46 U.S.C. 2110, 

6101, 12301, 12302; OMB Circular A–25; 

Department of Homeland Security Delegation 

No. 0170.1. 

■ 2. Revise § 173.1 to read as follows: 

§ 173.1 Purpose; preemptive effect. 

This part prescribes requirements for 

numbering vessels and for reporting 

casualties and accidents to implement 

sections 6101, 6102, 12301, and 12302 

of Title 46, United States Code. The 

regulations in subparts A, B, and D of 

this part have preemptive effect over 

conflicting State or local regulation. The 

regulations in subpart C of this part 

have preemptive effect over State or 

local regulation within the same field, 

except to the extent that Congress 

requires the Coast Guard to allow State 

casualty reporting systems pursuant to 

46 U.S.C. chapter 131. 

■ 3. Revise § 173.3 to read as follows: 

§ 173.3 Definitions. 

As used in this part— 

Airboat means a vessel that is 

typically flat-bottomed and propelled by 

an aircraft-type propeller powered by an 

engine. 

Auxiliary sail means a vessel with sail 

as its primary method of propulsion and 

mechanical propulsion as its secondary 

method. 

Cabin motorboat means a vessel 

propelled by propulsion machinery and 

providing enclosed spaces inside its 

structure. 

Certificate of number means the 

certificate required by § 173.21 of this 

part. 

Houseboat means a motorized vessel 

that is usually non-planing and 

designed primarily for multi-purpose 

accommodation spaces with low 

freeboard and little or no foredeck or 

cockpit. 

Hull identification number or HIN 

means a number required by 33 CFR 

181.23. 

Inboard, in the context of an engine, 

means an engine mounted inside the 

confines of a vessel which powers a 

drive shaft that turns a water jet 

impeller or that runs through the bottom 

of the hull and is attached to a propeller 

at the other end. 

Inflatable boat means a vessel that 

uses air-filled flexible fabric for 

buoyancy. 

Issuing authority means a State listed 

in Appendix A of this part as having a 

numbering system approved by the 

Coast Guard or the Coast Guard itself 

when a State numbering system has not 

been approved. 

Open motorboat means a vessel 

equipped with propulsion machinery 

and having an open load carrying area 

that does not have a continuous deck to 

protect it from the entry of water. 

Operate means use, navigate, or 

employ. 

Operator means the person who is in 

control or in charge of a vessel while it 

is in operation. 

Outboard, in the context of an engine, 

means an engine with propeller or water 

jet integrally attached, which is usually 

mounted at the stern of a vessel. 

Owner means a person, other than a 

secured party, having property rights in 

or title to a vessel, including persons 

entitled to use or possess a vessel 

subject to a security interest in another 

person, but excluding lessees under a 

lease not intended as security. 

Paddlecraft means a vessel powered 

only by its occupants, using a single or 

double- bladed paddle as a lever 

without the aid of a fulcrum provided 

by oarlocks, thole pins, crutches, or 

similar arrangements. 

Person means an individual, firm, 

partnership, corporation, company, 

association, joint-stock association, or 

governmental entity and includes a 

trustee, receiver, assignee, or similar 

representative of any of them. 

Personal watercraft means a vessel 

propelled by a water-jet pump or other 

machinery as its primary source of 

motive power and designed to be 

operated by a person sitting, standing, 

or kneeling on the vessel, rather than 

sitting or standing within the vessel’s 

hull. 

Pod drive means an engine mounted 

in front of the transom of a vessel and 

attached through the bottom of the hull 

to a steerable propulsion unit. 

Pontoon boat means a vessel with a 

broad, flat deck that is affixed on top of 

closed cylinders which are used for 

buoyancy, the basic design of which is 

usually implemented with two rows of 

floats as a catamaran or with three rows 

of floats as a trimaran. 

Reporting authority means a State 

listed in Appendix A of this part as 

having a numbering system approved by 

the Coast Guard or the Coast Guard 

itself when a numbering system has not 

been approved. 

Rowboat means an open vessel 

manually propelled by oars. 

Sail only means a vessel propelled 

only by sails. 

State means a State of the United 

States, the District of Columbia, 

American Samoa, Guam, the 

Commonwealth of the Northern Mariana 

Islands, Puerto Rico, the U.S. Virgin 

Islands, and any other territory or 

possession of the United States. 

State of principal operation means the 

State in whose waters a vessel is or will 

be operated most during a calendar year. 

Sterndrive means an engine, powering 

a propeller through a series of shafts and 

gears, mounted in front of the transom 

of a vessel and attached through the 

transom to a drive unit that is similar to 

the lower unit of an outboard; and may 

also be known as an inboard-outdrive or 

an inboard-outboard. 

Vessel means every description of 

watercraft or other artificial contrivance 

used or capable of being used as a 

means of transportation on water. 

§ 173.15 [Amended] 

■ 4. In § 173.15(a)(1) and (b), remove the 

words ‘‘State in which the vessel is 

principally used’’ wherever they occur, 

and add, in their place, the words ‘‘State 

of principal operation’’. 

§ 173.19 [Amended] 

■ 5. In § 173.19, remove the word ‘‘use’’ 

and add, in its place, the word 

‘‘operate’’. 

§ 173.21 [Amended] 

■ 6. Amend § 173.21 as follows: 

■ a. In paragraph (a) introductory text, 

remove the word ‘‘use’’ and add, in its 

place, the word ‘‘operate’’; and 


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■ b. In paragraph (a)(1), remove the 

word ‘‘used’’ and add, in its place, the 

word ‘‘operated’’. 

§ 173.23 [Amended] 

■ 7. In § 173.23, remove the word 

‘‘using’’ and add, in its place, the word 

‘‘operating’’. 

§ 173.25 [Amended] 

■ 8. In § 173.25, remove the word ‘‘use’’ 

and add, in its place, the word 

‘‘operate’’. 

§ 173.33 [Amended] 

■ 9. In § 173.33(c), remove the word 

‘‘used’’ and add, in its place, the word 

‘‘operated’’. 

§ 173.35 [Amended] 

■ 10. In § 173.35, remove the word 

‘‘use’’ and add, in its place, the word 

‘‘operate’’. 

§ 173.51 [Amended] 

■ 11. In § 173.51(a) introductory text 

and (a)(1), remove the word ‘‘used’’ and 

add, in its place, the word ‘‘operated’’. 

■ 12. Revise § 173.57 to read as follows: 

§ 173.57 Contents of report. 

(a) Each report required by § 173.55 of 

this subpart must be in writing, dated 

upon completion, and signed by the 

person who prepared it. 

(b) Until January 1, 2017, each report 

must contain, if available, at least the 

following information about the 

casualty or accident: 

(1) Number and name of each vessel 

involved; 

(2) Name and address of each owner 

of each vessel involved; 

(3) Name of the nearest city or town, 

the county, the State, and the body of 

water; 

(4) Time and date the casualty or 

accident occurred; 

(5) Location on the water; 

(6) Visibility, weather, and water 

conditions; 

(7) Estimated air and water 

temperatures; 

(8) Name, address, age, or date of 

birth, telephone number, vessel 

operating experience, and boating safety 

training of the operator making the 

report; 

(9) Name and address of each operator 

of each vessel involved; 

(10) Number of persons onboard or 

towed on skis by each vessel; 

(11) Name, address, and date of birth 

of each person injured or killed; 

(12) Cause of each death; 

(13) Weather forecasts available to 

and weather reports used by the 

operator before and during the use of 

the vessel; 

(14) Name and address of each owner 

of property involved; 

(15) Availability and use of personal 

flotation devices; 

(16) Type and amount of each fire 

extinguisher used; 

(17) Nature and extent of each injury; 

(18) Description of all property 

damage and vessel damage with an 

estimate of the cost of all repairs; 

(19) Description of each equipment 

failure that caused or contributed to the 

cause of the casualty; 

(20) Description of the vessel casualty 

or accident; 

(21) Type of vessel operation 

(cruising, drifting, fishing, hunting, 

skiing, racing, or other), and the type of 

accident (capsizing, sinking, fire, 

explosion, or other); 

(22) Opinion of the person making the 

report as to the cause of the casualty, 

including whether or not alcohol or 

drugs, or both, was a cause or 

contributed to causing the casualty; 

(23) Make, model, type (open, cabin, 

house, or other), beam width at widest 

point, length, depth from transom to 

keel, horsepower, propulsion (outboard, 

inboard, inboard outdrive, sail, or 

other), fuel (gas, diesel, or other), 

construction (wood, steel, aluminum, 

plastic, fiberglass, or other), and year 

built (model year) of the reporting 

operator’s vessel; 

(24) Name, address, and telephone 

number of each witness; 

(25) Manufacturer’s hull identification 

number, if any, of the reporting 

operator’s vessel; and 

(26) Name, address, and telephone 

number of the person submitting the 

report. 

(c) As of January 1, 2017, each report 

must contain, if available, at least the 

following information about the 

casualty or accident: 

(1) Number and name of each vessel 

involved; 

(2) Name and address of each owner 

of each vessel involved; 

(3) Name of the nearest city or town, 

the county, the State, and the body of 

water; 

(4) Time and date the casualty or 

accident occurred; 

(5) Location on the water; 

(6) Visibility, weather, and water 

conditions; 

(7) Estimated air and water 

temperatures; 

(8) Name, address, age, or date of 

birth, telephone number, vessel 

operating experience, and boating safety 

training of the operator making the 

report; 

(9) Name and address of each operator 

of each vessel involved; 

(10) Number of persons onboard or 

towed on skis by each vessel; 

(11) Name, address, and date of birth 

of each person injured or killed; 

(12) Cause of each death; 

(13) Weather forecasts available to 

and weather reports used by the 

operator before and during the use of 

the vessel; 

(14) Name and address of each owner 

of property involved; 

(15) Availability and use of personal 

flotation devices; 

(16) Type and number of each fire 

extinguisher used; 

(17) Nature and extent of each injury; 

(18) Description of all property 

damage and vessel damage with an 

estimate of the cost of all repairs; 

(19) Description of each equipment 

failure that caused or contributed to the 

cause of the casualty; 

(20) Description of the vessel casualty 

or accident; 

(21) Type of vessel operation 

(cruising, drifting, fishing, hunting, 

skiing, racing, or other), and the type of 

accident (capsizing, sinking, fire, 

explosion, or other); 

(22) Opinion of the person making the 

report as to the cause of the casualty, 

including whether or not alcohol or 

drugs, or both, was a cause of or 

contributed to causing the casualty. 

(23) Characteristics of the reporting 

operator’s vessel, including— 

(i) Make; 

(ii) Model; 

(iii) Type: authorized terms are ‘‘air 

boat’’, ‘‘auxiliary sail’’, ‘‘cabin 

motorboat’’, ‘‘houseboat’’, ‘‘inflatable 

boat’’, ‘‘open motorboat’’, ‘‘paddlecraft’’, 

‘‘personal watercraft’’, ‘‘pontoon boat’’, 

‘‘rowboat’’, ‘‘sail only’’, or ‘‘other’’; 

(iv) Beam width at widest point; 

(v) Overall length of vessel; 

(vi) Depth from transom to keel; 

(vii) Horsepower; 

(viii) Propulsion: authorized terms are 

‘‘air thrust’’, ‘‘manual’’, ‘‘propeller’’, 

‘‘sail’’, ‘‘water jet’’, or ‘‘other’’; 

(ix) Fuel: authorized terms are 

‘‘electric’’, ‘‘diesel’’, ‘‘gas’’, or ‘‘other’’; 

(x) Engine drive type: authorized 

terms are ‘‘inboard’’, ‘‘outboard’’, ‘‘pod 

drive’’, ‘‘sterndrive’’, or ‘‘other’’; 

(xi) Hull material: authorized terms 

are ‘‘aluminum’’, ‘‘fiberglass’’, ‘‘plastic’’, 

‘‘rubber/vinyl/canvas’’, ‘‘steel’’, ‘‘wood’’, 

or ‘‘other’’; and 

(xii) Model year; 

(24) Name, address, and telephone 

number of each witness; 

(25) Manufacturer’s hull identification 

number, if any, of the reporting 

operator’s vessel; and 

(26) Name, address, and telephone 

number of the person submitting the 

report. 

■ 13. Revise § 173.71 to read as follows: 


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§ 173.71 Application for and issuance of 

certificate of number. 

(a) The owner of a vessel to which 

§ 173.11 of this part applies and for 

which a certificate of number is 

required may apply for that certificate to 

the issuing authority for the vessel’s 

State of principal operation listed in 

Appendix A of this part. The 

application must be made in the manner 

specified by the issuing authority and 

must be accompanied by payment of 

any fee required by the issuing 

authority. 

(b) Upon determination that the 

owner’s application for a certificate of 

number complies with the requirements 

of paragraph (a) of this section, the 

issuing authority may issue a certificate 

of number. 

(c) A duplicate certificate of number 

may be applied for and issued as 

provided by paragraphs (a) and (b) of 

this section upon the owner’s statement 

that the original certificate is lost or 

destroyed. 

§ 173.73 [Removed and Reserved] 

■ 14. Remove and reserve § 173.73. 

§ 173.77 [Amended] 

■ 15. In § 173.77(d), remove the word 

‘‘used’’ and add, in its place, the word 

‘‘operated’’. 

Appendix A [Amended] 

■ 16. In Appendix A to part 173, in 

paragraph (c), remove the word ‘‘use’’ 

and add, in its place, the word 

‘‘operation’’. 

PART 174—STATE NUMBERING AND 

CASUALTY REPORTING SYSTEMS 

■ 17. The authority citation for part 174 

continues to read as follows: 

Authority: 46 U.S.C. 6101 and 12302; 

Department of Homeland Security Delegation 

No. 0170.1 (92). 

■ 18. Revise § 174.1 to read as follows: 

§ 174.1 Applicability; preemptive effect. 

This part establishes a standard 

numbering system for vessels and a 

uniform vessel casualty reporting 

system for vessels by prescribing 

requirements applicable to the States for 

the approval of State numbering 

systems. The regulations in subparts A, 

B, and D of this part have preemptive 

effect over conflicting State or local 

regulation. The regulations in subpart C 

of this part have preemptive effect over 

State or local regulation within the same 

field, except to the extent that Congress 

requires the Coast Guard to allow State 

casualty reporting systems pursuant to 

46 U.S.C. chapter 131. 

■ 19. Revise § 174.3 to read as follows: 

§ 174.3 Definitions. 

As used in this part— 

Airboat means a vessel that is 

typically flat-bottomed and propelled by 

an aircraft-type propeller powered by an 

engine. 

Auxiliary sail means a vessel with sail 

as its primary method of propulsion and 

mechanical propulsion as its secondary 

method. 

Cabin motorboat means a vessel 

propelled by propulsion machinery and 

providing enclosed spaces inside its 

structure. 

Certificate of number means the 

certificate required by 33 CFR 173.21. 

Charter fishing means a vessel 

carrying a passenger(s) for hire who is 

(are) engaged in recreational fishing. 

Commercial fishing means a vessel 

that commercially engages in the 

catching, taking, or harvesting of fish 

which, either in whole or in part, is 

intended to enter commerce through 

sale, barter, or trade. 

Houseboat means a motorized vessel 

that is usually non-planing and 

designed primarily for multi-purpose 

accommodation spaces with low 

freeboard and little or no foredeck or 

cockpit. 

Hull identification number or HIN 

means a number required by 33 CFR 

181.23. 

Inboard, in the context of an engine, 

means an engine mounted inside the 

confines of a vessel which powers a 

drive shaft that turns a water jet 

impeller or that runs through the bottom 

of the hull and is attached to a propeller 

at the other end. 

Inflatable boat means a vessel that 

uses air-filled flexible fabric for 

buoyancy. 

Open motorboat means a vessel 

equipped with propulsion machinery 

and having an open load carrying area 

that does not have a continuous deck to 

protect it from the entry of water. 

Operate means use, navigate, or 

employ. 

Operator means the person who is in 

control or in charge of a vessel while it 

is in operation. 

Outboard, in the context of an engine, 

means an engine with propeller or water 

jet integrally attached, which is usually 

mounted at the stern of a vessel. 

Owner means a person, other than a 

secured party, having property rights in 

or title to a vessel, including persons 

entitled to use or possess a vessel 

subject to a security interest in another 

person, but excluding lessees under a 

lease not intended as security. 

Paddlecraft means a vessel powered 

only by its occupants, using a single or 

double bladed paddle as a lever without 

the aid of a fulcrum provided by 

oarlocks, thole pins, crutches, or similar 

arrangements. 

Person means an individual, firm, 

partnership, corporation, company, 

association, joint-stock association, or 

governmental entity and includes a 

trustee, receiver, assignee, or similar 

representative of any of them. 

Personal watercraft means a vessel 

propelled by a water-jet pump or other 

machinery as its primary source of 

motive power and designed to be 

operated by a person sitting, standing, 

or kneeling on the vessel, rather than 

sitting or standing within the vessel’s 

hull. 

Pod drive means an engine mounted 

in front of the transom of a vessel and 

attached through the bottom of the hull 

to a steerable propulsion unit. 

Pontoon boat means a vessel with a 

broad, flat deck that is affixed on top of 

closed cylinders which are used for 

buoyancy, the basic design of which is 

usually implemented with two rows of 

floats as a catamaran or with three rows 

of floats as a trimaran. 

Reporting authority means a State 

listed in 33 CFR part 173, Appendix A, 

as having a numbering system approved 

by the Coast Guard or the Coast Guard 

itself when a numbering system has not 

been approved. 

Rowboat means an open vessel 

manually propelled by oars. 

Sail only means a vessel propelled 

only by sails. 

State means a State of the United 

States, the District of Columbia, 

American Samoa, Guam, the 

Commonwealth of the Northern Mariana 

Islands, Puerto Rico, the U.S. Virgin 

Islands, and any other territory or 

possession of the United States. 

State of principal operation means the 

State in whose waters a vessel is or will 

be operated most during a calendar year. 

Sterndrive means an engine, powering 

a propeller using shifts and gears, 

mounted in front of the transom of a 

vessel and attached through the transom 

to a drive unit that is similar to the 

lower unit of an outboard, which may 

also be known as an inboard-outdrive or 

an inboard-outboard. 

Vessel means every description of 

watercraft or other artificial contrivance 

used, or capable of being used, as a 

means of transportation on water. 

■ 20. Add new § 174.16 to read as 

follows: 

§ 174.16 Verification of hull identification 

numbers (HINs). 

(a) As used in this section, ‘‘action’’ 

means an action by an issuing authority 

listed in 33 CFR part 173, Appendix A, 

to issue, renew, or update the 

ownership information for a certificate 


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18702 Federal Register / Vol. 77, No. 60 / Wednesday, March 28, 2012 / Rules and Regulations 

of number under this part but does not 

include the issuance of a temporary 

certificate under 33 CFR 174.21. 

(b) As of January 1, 2017, before 

taking any action relating to a vessel 

imported or manufactured on or after 

November 1, 1972, the issuing authority 

must determine whether the vessel has 

a primary HIN meeting the requirements 

of 33 CFR part 181, subpart C. 

(c) If, pursuant to paragraph (b) of this 

section, the issuing authority 

determines that the vessel does not have 

a primary HIN meeting the requirements 

of 33 CFR part 181, subpart C, then 

before taking any action the issuing 

authority must— 

(1) Assign such a primary HIN to the 

vessel; and 

(2) Verify that the owner of the vessel 

has permanently affixed the assigned 

primary HIN to the vessel in compliance 

with 33 CFR part 181, subpart C. 

■ 21. Revise § 174.17 to read as follows: 

§ 174.17 Contents of application for 

certificate of number. 

(a) An application for a certificate of 

number must contain the following 

information: 

(1) Name of owner. 

(2) Address of owner, including ZIP 

code. 

(3) Owner identifier, which must be 

the owner’s tax identification number, 

date of birth together with driver’s 

license number, or date of birth together 

with other unique number. 

(4) State of principal operation. 

(5) Number previously issued by an 

issuing authority. 

(6) Application type: Authorized 

terms are ‘‘new number’’, ‘‘renewal of 

number’’, or ‘‘transfer of ownership’’. 

(7) Primary operation: Authorized 

terms are, ‘‘charter fishing’’, 

‘‘commercial fishing’’, ‘‘commercial 

passenger carrying’’, ‘‘dealer or 

manufacturer demonstration’’, ‘‘other 

commercial operation’’, ‘‘pleasure’’, or 

‘‘rent or lease’’. 

(8) Make and model of vessel. 

(9) Model year. 

(10) Hull identification number, if 

any. 

(11) Overall length of vessel. 

(12) Vessel type: Authorized terms are 

‘‘air boat’’, ‘‘auxiliary sail’’, ‘‘cabin 

motorboat’’, ‘‘houseboat’’, ‘‘inflatable 

boat’’, ‘‘open motorboat’’, ‘‘paddlecraft’’, 

‘‘personal watercraft’’, ‘‘pontoon boat’’, 

‘‘rowboat’’, ‘‘sail only’’, or ‘‘other’’. 

(13) Hull material: Authorized terms 

are ‘‘aluminum’’, ‘‘fiberglass’’, ‘‘plastic’’, 

‘‘rubber/vinyl/canvas’’, ‘‘steel’’, ‘‘wood’’, 

or ‘‘other’’. 

(14) Propulsion type: Authorized 

terms are ‘‘air thrust’’, ‘‘manual’’, 

‘‘propeller’’, ‘‘sail’’, ‘‘water jet’’, or 

‘‘other’’. 

(15) Engine drive type: Authorized 

terms are ‘‘inboard’’, ‘‘outboard’’, ‘‘pod 

drive’’, ‘‘sterndrive’’, or ‘‘other’’. 

(16) Fuel: Authorized terms are 

‘‘electric’’, ‘‘diesel’’, ‘‘gas’’, or ‘‘other’’. 

(17) Signature of the owner. 

(b)(1) An application made by a 

manufacturer or dealer for a number 

that is to be temporarily affixed to a 

vessel for demonstration or test 

purposes may omit the information 

under paragraphs (a)(9) through (a)(17) 

of this section. 

(2) An application made by an owner 

of a vessel without propulsion 

machinery may omit the information 

under paragraphs (a)(16) and (a)(17) of 

this section. 

(c) For an issuing authority listed in 

33 CFR part 173, Appendix A on April 

27, 2012, the requirements of 

paragraphs (a) and (b) of this section 

apply on January 1, 2017. Between April 

27, 2012 and January 1, 2017, the 

issuing authority may continue to 

accept applications containing the 

contents required by that reporting 

authority prior to April 27, 2012. 

■ 22. Revise § 174.19 to read as follows: 

§ 174.19 Contents of a certificate of 

number. 

(a) Except as allowed in paragraph (b) 

of this section, each certificate of 

number must contain the following 

information: 

(1) Number issued to the vessel. 

(2) Expiration date of the certificate. 

(3) State of principal operation. 

(4) Name of owner. 

(5) Address of owner, including ZIP 

code. 

(6) Primary operation: Authorized 

terms are, ‘‘charter fishing’’, 

‘‘commercial fishing’’, ‘‘commercial 

passenger carrying’’, ‘‘dealer or 

manufacturer demonstration’’, ‘‘other 

commercial operation’’, ‘‘pleasure’’, or 

‘‘rent or lease’’. 

(7) Hull identification number, if any. 

(8) Make and model of vessel. 

(9) Model year. 

(10) Overall length of vessel. 

(11) Vessel type: Authorized terms are 

‘‘air boat’’, ‘‘auxiliary sail’’, ‘‘cabin 

motorboat’’, ‘‘houseboat’’, ‘‘inflatable 

boat’’, ‘‘open motorboat’’, ‘‘paddlecraft’’, 

‘‘personal watercraft’’, ‘‘pontoon boat’’, 

‘‘rowboat’’, ‘‘sail only’’, or ‘‘other’’. 

(12) Hull material: Authorized terms 

are ‘‘aluminum’’, ‘‘fiberglass’’, ‘‘plastic’’, 

‘‘rubber/vinyl/canvas’’, ‘‘steel’’, ‘‘wood’’, 

or ‘‘other’’. 

(13) Propulsion type: Authorized 

terms are ‘‘air thrust’’, ‘‘manual’’, 

‘‘propeller’’, ‘‘sail’’, ‘‘water jet’’, or 

‘‘other’’. 

(14) Engine drive type: Authorized 

terms are ‘‘inboard’’, ‘‘outboard’’, ‘‘pod 

drive’’, ‘‘sterndrive’’, or ‘‘other’’. 

(15) Fuel: Authorized terms are 

‘‘electric’’, ‘‘diesel’’, ‘‘gas’’, or ‘‘other’’. 

(b)(1) A certificate of number issued 

to a manufacturer or dealer for use on 

a vessel for test or demonstration 

purposes may omit the information 

under paragraphs (a)(7) through (a)(15) 

of this section if the word 

‘‘manufacturer’’ or ‘‘dealer’’ is plainly 

marked on the certificate. 

(2) A certificate of number issued for 

a vessel without propulsion machinery 

may omit paragraphs (a)(14) and (a)(15) 

of this section if the words ‘‘manual 

vessel’’ are plainly marked on the 

certificate. 

(3) An issuing authority may print on 

the certificate of number a quotation of 

State boating regulations or other 

boating-related information, such as 

safety reminders, registration, or law 

enforcement contact information. 

(c) For an issuing authority listed in 

Appendix A of this part on April 27, 

2012, the requirements of paragraphs (a) 

and (b) of this section apply on January 

1, 2017. Between April 27, 2012 and 

January 1, 2017, the issuing authority 

may continue to issue certificates of 

number containing the contents in effect 

on April 27, 2012. 

■ 23. Revise § 174.21 to read as follows: 

§ 174.21 Temporary certificates. 

(a) An issuing authority may issue a 

temporary certificate of number, valid 

for no more than 60 days from its date 

of issuance. 

(b) Each temporary certificate must 

contain the following information: 

(1) Vessel’s hull identification 

number, if any. 

(2) Make of vessel. 

(3) Overall length of vessel. 

(4) Type of propulsion. 

(5) State in which vessel is principally 

operated. 

(6) Name of owner. 

(7) Address of owner, including ZIP 

code. 

(8) Signature of owner. 

(9) Date of issuance. 

(10) Notice to the owner that the 

temporary certificate is valid for the 

time it specifies, not to exceed 60 days 

from the date of issuance. 

(c) For an issuing authority listed in 

33 CFR part 173, Appendix A on April 

27, 2012, the requirements of paragraph 

(b) of this section apply on January 1, 

2017. Between April 27, 2012 and 

January 1, 2017, the issuing authority 

may continue to issue temporary 

certificates containing the contents in 

effect on April 27, 2012. 

■ 24. Revise § 174.121 to read as 

follows: 


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§ 174.121 Forwarding of casualty or 

accident reports. 

Within 30 days of the receipt of a 

casualty or accident report, the 

reporting authority receiving the report 

must forward a paper or electronic copy 

of that report to the Commandant (CG– 

5422), U.S. Coast Guard, 2100 Second 

St. SW., Stop 7581, Washington, DC 

20593–7581. 

■ 25. Revise § 174.125 to read as 

follows: 

§ 174.125 Coast Guard address. 

The report required by § 174.123 of 

this subpart must be sent to the 

Commandant (CG–5422), U.S. Coast 

Guard, 2100 Second St. SW., Stop 7581, 

Washington, DC 20593–7581. 

PART 181—MANUFACTURER 

REQUIREMENTS 

■ 26. The authority citation for part 181 

is revised to read as follows: 

Authority: 46 U.S.C. 4302; Department of 

Homeland Security Delegation No. 0170.1 

(92). 

■ 27. Revise § 181.1 to read as follows: 

§ 181.1 Purpose and applicability; 

preemptive effect. 

This part prescribes requirements for 

the certification of boats and associated 

equipment and identification of boats to 

which 46 U.S.C. chapter 43 applies. The 

regulations in this part have the 

preemptive effect described in 46 U.S.C. 

4306. 

■ 28. Amend § 181.3 by revising the 

definition of ‘‘Manufacturer’’ and by 

adding, in alphabetical order, the 

definition of ‘‘State’’ to read as follows: 

§ 181.3 Definitions. 

* * * * * 

Manufacturer means any person 

engaged in— 

(1) The manufacture, construction, or 

assembly of boats or associated 

equipment; or 

(2) The importation of boats, 

associated equipment, or the 

components thereof, into the United 

States for sale. 

* * * * * 

State means a State of the United 

States, Guam, the Commonwealth of 

Puerto Rico, the Virgin Islands, 

American Samoa, the District of 

Columbia, the Commonwealth of the 

Northern Mariana Islands, and any other 

territory or possession of the United 

States. 

■ 29. Revise § 181.23 to read as follows: 

§ 181.23 Hull identification numbers 

required. 

(a) A manufacturer must identify each 

boat produced or imported with primary 

and secondary hull identification 

numbers permanently affixed in 

accordance with § 181.29 of this 

subpart. 

(b) A person who manufactures or 

imports a boat for his or her own use 

and not for sale must obtain the 

required hull identification number in 

accordance with the requirements of the 

issuing authority listed in 33 CFR part 

173, Appendix A for the boat’s State of 

principal operation and permanently 

affix the HIN to the boat in accordance 

with § 181.29 of this subpart. 

(c) No person may assign the same 

HIN to more than one boat. 

■ 30. Revise § 181.31 to read as follows: 

§ 181.31 Manufacturer identification code 

assignment. 

(a) Each person required by 

§ 181.23(a) of this part to affix hull 

identifications numbers must request a 

manufacturer identification code in 

writing from the Commandant (CG– 

54223), 2100 Second St. SW., Stop 7581, 

Washington, DC 20593–7581. The 

request must indicate the 

manufacturer’s name and U.S. address 

along with the general types and lengths 

of boats that will be manufactured. 

(b) For boats manufactured outside of 

the jurisdiction of the United States, a 

U.S. importer must obtain a 

manufacturer identification code as 

required by paragraph (a) of this section. 

The request must indicate the importer’s 

name and U.S. address along with a list 

of the manufacturers, their addresses, 

and the general types and sizes of boats 

that will be imported. If a nation has a 

hull identification number system 

which has been accepted by the Coast 

Guard for the purpose of importing 

boats, it may be used by the importer 

instead of the one specified within this 

subpart. To request a list of those 

nations having such a numbering 

system, write to the Commandant (CG– 

54223), 2100 Second St. SW., Stop 7581, 

Washington, DC 20593–7581. 

PART 187—VESSEL IDENTIFICATION 

SYSTEM 

■ 31. The authority citation for part 187 

is revised to read as follows: 

Authority: 46 U.S.C. 2103, 12501; 

Department of Homeland Security Delegation 

No. 0170.1(92). 

■ 32. Revise § 187.11 to read as follows: 

§ 187.11 What are the procedures to 

participate in VIS? 

(a) A State wanting to participate in 

VIS must inform the Commandant in 

writing, describing its willingness and 

ability to comply with each requirement 

of § 187.201 of this part. If the 

Commandant is satisfied that the State 

will comply fully with § 187.201 of this 

part, the State will be allowed to 

participate in VIS and will be listed in 

Appendix A to this part, for as long as 

the Commandant determines that the 

State complies fully with § 187.201 of 

this part. 

(b) A State wanting to participate in 

VIS but unable to comply with one or 

more requirements of § 187.201 of this 

part may participate in VIS under one 

or more waivers, for good cause shown. 

For purposes of this section, ‘‘good 

cause’’ includes the existence of State 

law prohibiting full compliance. A State 

wanting to participate in VIS under one 

or more waivers must— 

(1) Inform the Commandant in 

writing; 

(2) Describe the requirement or 

requirements for which waiver is sought 

and the good cause for noncompliance; 

and 

(3) Describe the steps the State 

intends to take to remove the good cause 

and the anticipated time needed to do 

so. 

(c) The Commandant may allow a 

State to participate in VIS under one or 

more waivers, pursuant to a 

memorandum of agreement between the 

Coast Guard and the State. 

(1) The memorandum of agreement 

recites the information provided by the 

State under paragraph (b) of this section 

and is valid for not more than 3 years, 

during which time the State will be 

deemed to participate in VIS and be 

listed in Appendix A to this part. 

(2) The State may withdraw from the 

memorandum of agreement and 

participation in VIS upon written notice 

to the Commandant. The Commandant 

may terminate the memorandum of 

agreement and the State’s participation 

in VIS for non-compliance with the 

terms of the memorandum. 

(3) Participation in VIS under one or 

more waivers beyond the term of the 

initial memorandum of agreement 

requires a new memorandum. 

(4) If the good cause for waivers is 

eliminated within the term of the 

memorandum of agreement, the State 

may so inform the Commandant in 

writing. The Commandant may then 

consider the State to participate in VIS 

under paragraph (a) of this section. 

■ 33. Amend § 187.101 as follows: 

■ a. Revise paragraphs (a)(4) and 

(b)(5)(i) to read as follows; 


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■ b. Remove and reserve paragraph 

(b)(5)(ii); and 

■ c. Remove paragraph (b)(5)(iii). 

§ 187.101 What information must be 

collected to identify a vessel owner? 

(a) * * * 

(4) Owner identifier, which must be 

the owner’s tax identification number, 

date of birth together with driver’s 

license number, or date of birth together 

with other unique number. 

(b) * * * 

(5) * * * 

(i) Owner identifier, which must be 

the owner’s tax identification number, 

date of birth together with driver’s 

license number, or date of birth together 

with other unique number. 

■ 34. Revise § 187.103 to read as 

follows: 

§ 187.103 What information must be 

collected to identify a vessel? 

A participating State must collect the 

following information on a vessel it has 

numbered or titled and make it available 

to VIS: 

(a) Manufacturer’s hull identification 

number, if any. 

(b) Official number, if any, assigned 

by the Coast Guard or its predecessor. 

(c) Number on certificate of number 

assigned by the issuing authority of the 

State. 

(d) Expiration date of certificate of 

number. 

(e) Number previously issued by an 

issuing authority. 

(f) Make and model of vessel. 

(g) Model year. 

(h) Overall length of vessel. 

(i) Vessel type: Authorized terms are 

‘‘air boat’’, ‘‘auxiliary sail’’, ‘‘cabin 

motorboat’’, ‘‘houseboat’’, ‘‘inflatable 

boat’’, ‘‘open motorboat’’, ‘‘paddlecraft’’, 

‘‘personal watercraft’’, ‘‘pontoon boat’’, 

‘‘rowboat’’, ‘‘sail only’’, or ‘‘other’’. 

(j) Hull material: Authorized terms are 

‘‘aluminum’’, ‘‘fiberglass’’, ‘‘plastic’’, 

‘‘rubber/vinyl/canvas’’, ‘‘steel’’, ‘‘wood’’, 

or ‘‘other’’. 

(k) Propulsion type: Authorized terms 

are ‘‘air thrust’’, ‘‘manual’’, ‘‘propeller’’, 

‘‘sail’’, ‘‘water jet’’, or ‘‘other’’. 

(l) Engine drive type: Authorized 

terms are ‘‘inboard’’, ‘‘outboard’’, ‘‘pod 

drive’’, ‘‘sterndrive’’, or ’’other’’. 

(m) Fuel: Authorized terms are 

‘‘electric’’, ‘‘diesel’’, ‘‘gas’’, or ‘‘other’’. 

(n) Primary operation: Authorized 

terms are, ‘‘charter fishing’’, 

‘‘commercial fishing’’, ‘‘commercial 

passenger carrying’’, ‘‘dealer or 

manufacturer demonstration’’, ‘‘other 

commercial operation’’, ‘‘pleasure’’, or 

‘‘rent or lease’’. 

Dated: March 15, 2012. 

Paul F. Thomas, 

Captain, U.S. Coast Guard, Acting Director 

of Prevention Policy. 

[FR Doc. 2012–7127 Filed 3–27–12; 8:45 am] 

BILLING CODE 9110–04–P 

LIBRARY OF CONGRESS 

Copyright Office 

37 CFR Part 201 

[Docket No. RM 2011–9] 

Fees 

AGENCY: Copyright Office, Library of 

Congress. 

ACTION: Final rule. 

SUMMARY: The Copyright Office of the 

Library of Congress is publishing a final 

rule establishing an additional fee for a 

particular service: Travel expenses in 

connection with educational activities. 

DATES: Effective Date: March 28, 2012. 

FOR FURTHER INFORMATION CONTACT: 

David O. Carson, General Counsel, P.O. 

Box 70400, Washington, DC 20024– 

0400, Telephone: (202) 707–8380. 

Telefax: (202) 707–8366. 

SUPPLEMENTARY INFORMATION: 

Background 

This final rule adjusts Copyright 

Office’s schedule of fees by adding a fee 

for travel expenses in connection with 

participation by Copyright Office 

personnel in various educational 

activities when participation has been 

requested by another organization or 

person and that organization or person 

has agreed to reimburse the Office for 

travel expenses. As the office 

administering the nation’s records of 

copyright ownership and as the advisor 

to Congress, the federal departments 

and agencies and the judiciary on 

national and international issues 

relating to copyright, the Copyright 

Office has long considered informing 

and educating the public on copyright 

issues to be a strategic goal. In 

furtherance of that goal, the Office has 

long engaged in various educational 

programs to inform the public on 

copyright issues. The Office performs 

these activities under its broader 

authority set forth in 17 U.S.C. 

701(b)(4), which directs the Office to 

‘‘[c]onduct studies and programs 

regarding copyright, other matters 

arising under this title, and related 

matters, the administration of the 

Copyright Office, or any function vested 

in the Copyright Office by law, 

including educational programs 

conducted cooperatively with foreign 

intellectual property offices and 

international intergovernmental 

organizations.’’ 

Frequently, the Register of Copyrights 

and other Copyright Office employees 

are requested to travel to speak to 

various groups of authors, copyright 

owners, their representatives, users of 

copyrighted works, and other members 

of the public to provide information 

about the activities of the Copyright 

Office, including copyright registration 

and recordation, the statutory licenses, 

pending and enacted copyright 

legislation, Copyright Office regulations, 

international copyright developments, 

significant copyright litigation matters, 

etc. Because the Copyright Office has 

limited travel funds and because various 

organizations consider it highly 

beneficial to host presentations by 

Copyright Office officials, it has been 

the general practice of the Office to 

request that the sponsoring organization 

or person pay the travel expenses of the 

Copyright Office personnel. More often 

than not, the Office’s limited travel 

funds would not permit the Office to 

send anyone to participate in such 

programs unless the sponsoring 

organization or person is willing to pay 

those expenses. 

This regulation codifies the authority 

for payment of those travel expenses. It 

adds a new paragraph (f) to the 

Copyright Office fee schedule in § 201.3 

of the Code of Federal Regulations, and 

provides that the Copyright Office shall 

charge a fee, consistent with the Federal 

Travel Regulations (FTR) set forth in 

Chapters 300 through 304 of Title 41 of 

the Code of Federal Regulations as well 

as other applicable laws and 

regulations, to cover the travel expenses 

of Copyright Office personnel, in 

connection with Copyright Office 

educational activities when 

participation by Copyright Office 

personnel has been requested by 

another person or organization which 

has agreed to pay such expenses. The 

fee may be no greater than the amount 

authorized under the FTR. 

The Office is also making a technical 

amendment to paragraph (b)(2) of 

§ 201.3, changing the reference to 

section 708(a)(10) of title 17 of the U.S. 

Code. Due to amendments to section 

708, that reference has been changed to 

section 708(a). 

Because this regulatory amendment 

simply codifies a longstanding practice 

and is necessary in order to permit 

uninterrupted operation of the Office’s 

ongoing educational activities, the 

Register concludes that providing notice 

and opportunity for comment would be 

impracticable, unnecessary and contrary 


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