1. USCGAUX National Prevention Directorate Greg Kester Director – Prevention George Peek Division Chief – Vessel Activities

2. BACKGROUND Small Passenger Vessel Safety Act of 1993 Divided small passenger vessels into two categories: Inspected and Uninspected UNINSPECTED DOES NOT MEAN UNREGULATED 2

3. BACKGROUND INSPECTED: requires annual inspection and certification by the Coast Guard to operate as a passenger vessel. Compliance certificate and decal are issued. UNINSPECTED: voluntary examination program to assure that owner/operators are in compliance with federal regulations. A decal is issued. 3

4. KEY ELEMENTS An Uninspected Passenger Vessel <100 GT (UPV) may carry six or fewer passengers (at least one of whom must be a passenger for hire.) Passenger for hire means a passenger for whom consideration is contributed as a condition of carriage on the vessel, whether directly or indirectly flowing to the owner, charterer, operator, agent, or any other person having an interest in the vessel. A vessel carrying more than six passengers, with at least one passenger for hire, generally is an Inspected Vessel. However, UPVs >100 GT and < 300 GT may carry 12 passengers, at least one of whom is for hire. 4

5. PENALTIES In accordance with 46 USC 4106, if a UPV is operated in violation of applicable laws and regulations, the owner, charterer, managing operator, agent, master, and individual in charge are each liable for criminal or civil penalties.

6. Passengers PASSENGER: any person on a vessel other than owner, operator, crew, or person aboard a vessel on business. (All persons aboard are either crewmembers, passengers, or Fisheries Observers. There are no other guests or observers.) PASSENGER FOR HIRE: Passenger for whom a consideration is contributed as a condition of carriage. [NOTE: If passengers are not allowed aboard without some type of payment, then the vessel is a UPV.]

7. Uninspected Passenger Vessel A vessel not subject to inspection by the Coast Guard under 46 USC 3301 less than 100 gross tons: Carrying no more than 6 passengers, at least one of whom is for hire, or Chartered with the crew provided by the owner/operator, and carrying six or fewer passengers. EXCEPTION: Vessels between 100 and 300 gross tons may carry up to 12 passengers as a UPV.

8. Personnel Credentialing Every UPV must be under the direction and control of an individual credentialed by the U S Coast Guard. The original license or Merchant Mariner Credential (MMC) must be aboard and be available for immediate presentation to CG officials whenever passengers are being carried for hire. Initial issuance of the MMC requires a TWIC. Renewals of the MMC do not require a current TWIC.

9. CREW/WORK HOUR LIMITATIONS There are no requirements for mates or other UPV personnel who are not in control of the vessel to hold a CG credential or be documented. WATCHSTANDING: a credentialed individual may not be required to work more than 12 hours in a 24 hour period at sea, except in case of emergency. May voluntarily work more than 12 hours, but must maintain adequate watch. A two watch system is recommended for voyages lasting more than 12 hours.

10. VESSEL DOCUMENTATION All UPVs over five net tons must have a Certificate of Documentation (COD) bearing a valid endorsement for the activity in which it is engaged. [National Vessel Documentation Center.] Original COD must be aboard the vessel. Display of Official Number: BLOCK type Arabic numerals at least 3 in height Preceded by the abbreviation NO. Clearly marked on some interior structural part of the hull Must be permanently affixed

11. VESSEL DOCUMENTATION EXTERIOR: UPV name must be marked on some CLEARLY visible part of the port and starboard bow and on the stern. The hailing port must be on a visible exterior portion of the stern and must be a place in the United States to include state, territory, or possession in which it is located.

12. STATE REGISTERED VESSELS Must have a valid state registration certificate aboard when underway, indicating commercial service. Numerals and letters for state registered vessels must: Be plain BLOCK letters Be permanently attached to the forward half of each side of the vessel Be in contrast to the background color Have spacing between letters and numbers equal to the width of one letter (not I or 1).

13. DRUG TESTING Applies to all CG credentialed crewmembers, operators, and/or masters acting under the authority of a credentialed MMC. Applies also to all crewmembers who do not hold a MMC, but whose duties directly affect the safe operation of the vessel. Crewmember includes all individuals who perform any safety sensitive duty aboard. Pre-employment drug testing must be negative before a person may be hired.

14. DRUG/ALCOHOL TESTING Pre-Employment testing Periodic Testing (required physical exam) Random Testing Reasonable Cause Testing Serious Marine Incident (32 hours for drugs; 2 hours for alcohol) Marine casualty involving death Injury requiring professional medical treatment Damage to property in excess of $100,000 Actual or constructive loss of inspected vessel Actual or constructive loss of any vessel >100GT Discharge of oil of 10000 gallons or more Discharge of a reportable quantity of hazardous substance

15. DRUG TESTING Failure of a drug test Denial of employment/removal from employment Revocation or suspension of MMC RECORDS Positive or non-negative results must be kept for five years Negative results must be kept for one year 2-year history required for new hires Three year record retention for new hires (regardless of length of employment) Some UPV operators may be required to file MIS reports

16. ALCOHOL A person is prohibited from operating a UPV while intoxicated. A person is considered intoxicated if the blood alcohol content (BAC) is 0.04 or more by weight. A person may be considered intoxicated when the substance has an apparent and observable effect on his/her manner, disposition, speech, and/or muscular movement. A UPV must carry sufficient alcohol testing kits to test operator and crew if the vessel cannot accomplish shore based alcohol testing within two hours. 46 CFR 16.200 ff; 33 CFR 95.035; 49 CFR 40.25; 33 CFR 95.015,.020, and.045

17. MARINE CASUALTY REPORTING DOCUMENTED VESSELS must notify the nearest Coast Guard Sector IMMEDIATELY whenever a vessel is involved in a marine casualty. Unintentional grounding or bridge strike Intended grounding that creates a hazard to navigation Loss of main propulsion, primary steering, or any system that reduces maneuverability of the vessel An occurrence that adversely affects the seaworthiness of the vessel, including fire, flood, failure/damage of fire fighting, lifesaving, auxiliary power, or bilge pumping systems

18. MARINE CASUALTY REPORTING Loss of life Injury requiring professional medical treatment Any injury or loss of life to any person while diving from a vessel and using UBA Occurrence causing property damage above $25,000 including labor and materials STATE REGISTERED VESSELS report to state authorities where vessel is registered or where the incident occurred (or both).

19. MARINE CASUALTY REPORTING In addition to an immediate verbal report, the owner, master, operator, or person in charge must file a written report within five days to the nearest OCMI or Sector Prevention Office on Coast Guard form CG- 2692: Report of Marine Casualty, supplemented by form CG-2692B: Report of Required Chemical Drug and Alcohol Testing following a Serious Marine Incident.

20. COMMUNICATIONS Applies to UPVs over 20 meters (65.5 feet). One or more VHF radios capable of channel 22A. (A second radio is required in Vessel Traffic Service (VTS) areas.) All Digital Selective Calling (DSC) radios should have a Maritime Mobile Service Identity (MMSI) number input and programmed from a GPS.

21. COMMUNICATIONS Radio Station Licenses Radio transmitting devices on UPVs 20 meters or greater and vessels with Single Sideband (HF) radios must be licensed by the Federal Communication Commission (FCC). The license is issued to the vessel and cannot be transferred to another vessel. UPVs 20 meters or greater and vessels with HF radios must have a radio operator who holds a restricted radiotelephone operator permit or higher.

22. CHARTS AND NAUTICAL PUBLICATIONS All vessels must carry adequate and up-to-date: Paper charts of appropriate scale to make safe navigation possible US Coast Pilot (or similar publication) Coast Guard Light List Tide Tables Current Tables; river publications Extracts or copies of publications may be used as appropriate.

23. NAVIGATION Vessels 12 meters (39.4 feet) operating on Inland Waters must carry a copy of the Inland Navigation Rules. Lights (underway, sunset to sunrise, and restricted visibility) Red and green sidelights White masthead light Additional masthead light if 50 meters (164 feet) or greater White stern light Vessels less than 12 meters (39.4 feet) may substitute one all around white light for the masthead and stern lights

24. NAVIGATION Light fixtures must comply with the horizontal and vertical sectors and meet range requirements in Navigation Rules Household bulbs and compact fluorescent bulbs are not permitted. Use only manufacturer approved marine bulbs. UPVs 20 meters (65.6 feet) or greater must be fitted with matte black sidelight screens

25. NAVIGATION SOUND SIGNALS Vessels less than 12 meters: Means of efficient sound signal Vessels 12 to 20 meters: whistle and bell of at least 200mm (7.9 inches) diameter. Bell required if the UPV operates in any area where Inland Rules apply. Vessels 20 meters or more must have a whistle and bell of at least 300mm (11.8 inches) in diameter Bell does not have to be mounted

26. NAVIGATION AUDIBILITY of Sound Producing Device Vessel < 20 meters -.5NM Vessel >20 meters but < 75 meters – 1.0NM Vessel >75 meters, but < 200 meters – 1.5NM Vessel > 200 meters – 2.0NM

27. GARBAGE POLLUTION PREVENTION General Requirement: No person may discharge garbage into US navigable waters and tributaries. Garbage placards required for all vessels over 26 feet in length. Must be displayed in a prominent location so crew and passengers may read them Discharge of garbage into Great Lakes or their tributaries is prohibited

28. GARBAGE POLLUTION PREVENTION Vessels 40 feet or greater must have a waste management plan, indicating who is responsible for the garbage, how it is collected, how it is to be stowed, and how it is disposed of. Waste Management Plan must be clearly displayed or readily available to crew and passengers.

29. LIFE SAVING EQUIPMENT Personal Flotation Devices (Life Jackets) A Type I life jacket of a suitable size for each person embarked is required. Must have approved Type I retroflective material with at least 200 sq. cm. visible Commercial hybrid may be substituted if: Always worn when underway Used in accordance with marked conditions on jacket and owners manual Labeled for use aboard commercial vessels Additional Type II or III life jackets may be carried

30. LIFE SAVING EQUIPMENT Personal Flotation Devices (life jackets) On ocean, coastwise, or Great Lakes voyages each life preserver and buoyant device or vest must have a CG approved PFD (life jacket) light attached to the front shoulder area. Device or batteries must be replaced before expiration date. Ring Life Buoy UPVs 26 feet or longer must have at least one CG approved orange or white throwable ring life buoy of at least 20 inches diameter. (International must be orange.)

31. LIFE SAVING EQUIPMENT EPIRB UPVs are not required to carry EPIRBs. Use is highly encouraged. Float-free, automatically activated, Category I, 406 MHz is best. Visual Distress Signals (VDS) All UPVs must carry three day and three night visual distress signals while operating on coastal waters, Great Lakes, or Oceans.

32. LIFE SAVING EQUIPMENT Visual Distress Signals VDS must be readily accessible. Each VDS must be in serviceable condition. Each VDS must be within expiration date. Each VDS must be legibly marked with the required approval number and certification statement. VDS devices may be for day use only, night use only, or for both day and night use

33. LIFE SAVING EQUIPMENT VISUAL DISTRESS SIGNALS UPV operators are encouraged to know how to ignite flares and are encouraged to train on a shore side location. Ensure the local CG Station knows who, when, where the flare evolution will take place. Flares should be disposed of at a locally appropriate hazardous waste facility Flares must not be displayed on the water except in a situation where assistance is needed.

34. LIFE SAVING EQUIPMENT General requirements Life jackets must be readily accessible at all times. Equipment designed to be thrown must be immediately available. Type I life jackets must be stowed separately from any other life jackets. All safety and lifesaving equipment must be in good and serviceable condition. (If the UPV has a life raft, it must be current with its servicing/inspection date.)

35. FIRE FIGHTING EQUIPMENT All fire fighting equipment must be USCG approved or UL approved for marine use and marked as such. All hand held and semi-portable extinguishers are B type (flammable liquids, grease, etc.) LENGTHMINIMUMNUMBER No fixed FFFF system 01610 2610 4021 6532

36. FIRE FIGHING EQUIPMENT One B-II may be substituted for 2 B-I extinguishers. UPVs over 65 feet (B-II required) In addition, one B-II is required for each 1000 BHP of main engines or fraction thereof (6 maximum). Gross tonnageMinimum B-II OverNot over ---501 1002

37. FIRE FIGHTING EQUIPMENT Fixed systems must be a type approved or accepted by the Coast Guard. Rechargeable fire extinguishers and fixed fire fighting systems must be inspected annually, and should have a service tag attached.

38. FIRE PREVENTION AND SUPPRESSION Ventilation Built prior to 1980 At least two ventilation ducts for removal of explosive or flammable gases from the bilge At least one duct must extend into the lower bilge Built after 1980 Must be ventilated by a blower system Intake must extend into the lower third of the engine compartment Must have a warning sign close to the ignition switch

39. FIRE PREVENTION AND SUPPRESSION Natural Ventilation (airflow required) Compartment containing a gasoline engine Compartment between one requiring ventilation Compartment with permanent fuel tank Any compartment with a non-metallic fuel tank Supply intake and exhaust ducts or openings To exterior or to another compartment Originate in lower third of compartment Duct must exceed 3 square inches

40. FIRE PREVENTION AND SUPPRESSION Heating, Lighting, Cooking Alcohol Fuel Oil Kerosene Wood Charcoal LPG (liquefied petroleum gas) CNG (compressed natural gas)

41. FIRE PREVENTION AND SUPPRESSION SYSTEM ELEMENT COMPLIANCE STANDARD LPG – Design, installation, and testing ABYC1 A-1-78, or NFPA2 302, ch. 6 LPG – OdorizationABYC A-1.5.d LPG – Cylinder markings and mounting ABYC A-1.6.b LPG – Cylinder type (vapor withdrawal) ABYC A-1.5.b CNG – Design, installation and testing ABYC A-22-78, or NFPA 302, ch. 6 CNG – Odorization ABYC A-22.5.b CNG – Cylinders, regulating equipment, and safety equipment: stowage, installation and testing NFPA 302, ch. 6-5.12 (UPV, page 40)

42. FIRE PREVENTION AND SUPPRESSION Backfire Flame Control (built after 4/25/1940) Engines shall be equipped with an acceptable means of backfire flame control SAE j-1928 or UL 1111 Must be secured with a flame tight connection Engine may be of a type that provides adequate protection from backfire flame System may disperse any flames into the atmosphere outside the vessel Alternate systems must be CG approved

43. SAFETY INSTRUCTION AND ORIENTATION Prior to getting underway, inform passengers concerning: Stowage locations of life preservers Proper method of donning and adjusting life preservers Type and location of all life saving devices Location of the emergency check-off list All UPVs shall keep a correct count of all passengers received and delivered. Beyond the boundary line requires a written manifest.

44. SAFETY INSTRUCTION AND ORIENTATION Emergency Instructions Rough weather/crossing hazardous bars All water/weather tight hatches, doors, and ports closed Bilges kept dry to prevent stability loss Passengers seated and evenly distributed International distress call and call to the Coast Guard over radiotelephone (if so equipped)

45. SAFETY INSTRUCTION AND ORIENTATION Emergency Instructions Man Overboard/Person in the Water (PIW) Ring buoys thrown as close as possible to PIW Lookout posted to keep PIW in sight Crewmember wearing life preserver and tending line standing by to assist with recovery Coast Guard and nearby vessels notified Search continued until after radiotelephone conversation with Coast Guard (if possible)

46. SAFETY INSTRUCTION AND ORIENTATION Emergency Instructions Fire at sea Cut off air supply to fire (close ports, doors, etc.) Discharge portable fire extinguishers at base of flames If fire in machinery spaces, shut off fuel and ventilation, and discharge fixed system Maneuver vessel to minimize effect of wind on fire Notify Coast Guard and vessels in vicinity Move passengers away from the fire, wearing life preservers

47. MARINE SANITATION DEVICES General requirements Type I – discharge of fecal coliform bacteria less than 1,000 per 100 ml and no visible solids Type II – discharge of fecal coliform bacteria less than 200 per 100 ml, and suspended solids not greater than 150 milligrams per liter Type III – designed to prevent overboard discharge. Holding tanks can be discharged outside the three mile line. Type III Y valve must be secured in US navigable waters to prohibit accidental discharge inside three miles

48. MARINE SANITATION DEVICES UPVs with installed toilet facilities must have Type II or Type III MSD. UPV over 65 may use an approved Type I device Portable toilets or port-a-potties are not considered installed toilets. Discharge of their untreated sewage into coastal waters, estuaries, and internal waters is prohibited. Some states have established No Discharge Zones in addition to the general federal requirements.

49. MARINE SANITATION DEVICES MSD Placard Each Type I or Type II must have an attached placard that provides: Name of manufacturer Name and model number of the device Month and year of completion of manufacture Serial number Whether the device is certified for use on an inspected or uninspected vessel Whether the device is a Type I, II, or III Operating instructions, safety precautions, and warnings must be posted. Locking the head door applies only to Type I and Type II devices.

50. OIL POLLUTION PREVENTION No person may intentionally drain oil or hazardous materials from any source into the bilge. No person may operate a US non-oceangoing UPV in US navigable waters unless it has the capacity to retain on board all oily mixtures, and is equipped to discharge such mixtures to a reception facility.

51. OIL POLLUTION PREVENTION All vessels over 26 must post a Discharge of Oil Prohibited placard in each machinery space and bilge system control station

52. OIL POLLUTION PREVENTION Oceangoing UPVs Must have capacity to retain all oily mixtures on board to be discharged to a reception facility or Have an approved oily-water separator. An oily-residue tank is not required. Non-oceangoing UPVs Must have the capacity to retain all oily mixtures on board to be discharged to a reception facility; May retain oily mixtures in bilges; an oily residue tank is not required.

53. SPECIAL PERMITS On a case by case basis, the Officer in Charge of Marine Inspections (OCMI) may issue special permits, e.g., charitable events For a Marine Event of National Significance a vessel may be issued a permit to carry passengers for hire (CG-949 Permit to Carry Excursion Party)

54. ADDITIONAL RECOMMENDED SAFETY ITEMS Safety Training Program Fire Flooding Man overboard Abandon ship Emergency/distress communication CPR and First Aid

55. ADDITIONAL RECOMMENDED SAFETY ITEMS Bilge pump and alarm Backup emergency communication Separate battery Handheld VHF Portable satellite phone EPIRB Survival Craft sufficient for all persons aboard CG approved inflatable raft, inflatable buoyant apparatus, life floats, with lifelines, painter, and floating electric light

56. CONTACT INFORMATION For additional information or to report violations of Uninspected Passenger Vessel requirements, please contact your local Coast Guard Sector. These may be found at http://homeport.uscg.milhttp://homeport.uscg.mil

57. QUESTIONS

58. USCGAUX National Prevention Directorate Greg Kester Director – Prevention George Peek Division Chief – Vessel Activities auxpeek@gmail.com