Certificate of Number (CON) and Certificate of Documentation COD) 

Requirements and Proper Cites for Violation

Written By Unknown Author

Most vessels owned by United States citizens and operating on the navigable 

waters of the United States must have either a Certificate of Documentation 

(COD) or a Certificate of Number (CON) on board when operating. A vessel, 

equipped with propulsion machinery and operating on U.S. waters, must have 

on board a valid (current/not expired) Certificate of Number (CON), or 

temporary certificate, unless the vessel qualifies under an exception listed in 33 

CFR § 173.11. Most vessel owners obtain the CON from the state in which 

they spend the most time operating (the state “in which the vessel is principally 

used,” per 33 CFR § 173.21(a)(1)). Vessels under 26’ and leased for 

recreational purposes for less than 7 days must have the lease agreement on 

board when operating, according to 33 CFR § 173.21(a)(2). 

Alternatively, qualifying vessels may operate under a U.S. Coast Guard-issued 

COD. The minimum requirements for a COD are that the vessel must be: 1) at 

least five net tons and 2) wholly owned by a U.S. citizen (or an entity which 

qualifies as a U.S. documentation citizen). See 46 CFR § 67.5. 

A party operating a vessel must keep the original document on board. A party 

whose vessel has a COD or CON, but does not have the respective document 

on board, would be appropriately charged with a violation of either 46 CFR § 

67.313(a) for lack of COD, or 33 CFR § 173.21(a)(1) for lack of a state CON. 

When Coast Guard Boarding Officers conduct law enforcement boardings on 

U.S. documented or state numbered vessels, they will almost certainly ask to 

see the COD or CON. Boarding Officers usually confront one of three 

situations: 1) the valid COD or CON is on board, and is presented to the 

Boarding Officer; 2) the COD or CON is not on board; or 3) the party claims to 

have a COD or CON, but cannot locate it at the time the Boarding Officer asks 

to see it. 

The Hearing Office sees many cases alleging a violation of 33 CFR § 173.23 

when the party claims to have the CON, but cannot locate it (the comparable 

regulation for a COD is 46 CFR § 67.315). This regulation states that persons 
operating vessels shall present the CON to “any federal, state or local law 

enforcement officer for inspection upon his or her request.” It is good practice, 

therefore, for Boarding Officers to document the Boarding Officer’s request for 

the CON in the narrative of the Activity Summary Report. Additionally, 

because Coast Guard enlisted members below the grade of E-4 are not law 

enforcement officers, the evidence should show that the request was made by a 

member in the grade of E-4 or above. Most narratives, however, skip over these 

necessary elements and state, “Party could not produce CON,” or words to that 

effect. 

Section 173.25 of title 33 is charged almost as often. That section essentially 

states that no person may operate a recreational vessel (or, to be more precise, a 

vessel described in 33 CFR § 173.11) unless the Certificate of Number is 

carried in a manner that it can be shown to a person authorized by 33 CFR § 

173.23. That section is most pertinent when the CON is being carried on board 

the boat; then the focus of the regulation is on how the document is carried on 

the boat.

The Boarding Officer is presented with two basic scenarios when it comes to 

state-issued numbers. Either there is no CON on board the vessel, or the CON 

is not readily presentable to a law enforcement official. In a case where the 

Coast Guard can 

prove that the CON was not onboard the vessel, or that the vessel’s CON is 

expired or otherwise invalid, the appropriate cite for the alleged violation is 

section 173.21(a)(1). In a case where the party credibly states that the CON is 

on board but cannot be located/is not accessible, then the charging unit can 

choose between sections 173.23 and 173.25.

Boarding Officers should document the facts of the boarding that correspond to 

the elements of the charge, for example, a statement by the party that the 

vessel: a) had a Certificate of Number from state X; b) had a temporary CON 

from state X; c) did not have a valid CON; d) was under 26’ and leased for 

recreational purposes for less than 7 days; or e) had a COD. The following 

should also be documented: There was no COD or CON onboard or, 1) the 

Boarding Officer asked to see the respective document; and 2) the document 

was: a) not on board; or b) on board but inaccessible (for example, the vessel 

owner or operator credibly states that the CON is onboard but that it is in an 

inaccessible compartment or box, or under a pile of gear that is too heavy to 

move).
To recap: When operating a vessel in U.S. waters, the party must have the 

original document on board, must show it to the Boarding Officer when the 

Boarding Officer requests it, and must carry it on board in such a way that it 

can be shown to the Boarding Officer. In cases where the document is not 

presented, but there is some doubt about whether the document is on board the 

vessel, it is appropriate to allege the failure to present the document or carry it 

in a manner so it can be shown. If the document is clearly not on board, it is 

more straightforward to allege operation of the boat without a document on 

board. 

For more on this subject, see “CON vs. COD,” CG Hearing Office Newsletter 

Vol. 8.