[Federal Register Volume 61, Number 11 (Wednesday, January 17, 1996)]
[Proposed Rules]
[Pages 1183-1187]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-450]
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DEPARTMENT OF TRANSPORTATION
33 CFR Part 160
[CGD 94-089]
RIN 2115-AF19
Advance Notice of Arrivals, Departures, and Certain Dangerous
Cargoes
AGENCY: Coast Guard, DOT.
ACTION: Notice of proposed rulemaking.
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SUMMARY: The Coast guard proposes to amend the requirements for notice
of arrival and departure by applying them to all vessels of 300 gross
tons or more and eliciting added information. In addition, the Coast
Guard proposes to amend the requirement for all foreign vessels
regardless of the gross tonnage to give notice of arrival and departure
anywhere within the Seventh Coast Guard District. These changes are
necessary for the Coast guard to implement more efficiently its
programs for safety of vessels and for protection of the marine
environment. They should aid in the identification and elimination of
substandard ships from U.S. waters, improve emergency response, and
facilitate the enforcement of rules governing Certificates of Financial
Responsibility.
DATES: Comments must be received on or before April 16, 1996.
ADDRESSES: Comments may be mailed to the Executive Secretary, Marine
Safety Council (G-LRA, 3406) [CGD 94-089], U.S. Coast Guard
Headquarters, 2100 Second Street SW., Washington, DC 20593-0001, or may
be delivered to room 3406 at the same address between 8 a.m. and 3
p.m., Monday through Friday, except Federal holidays. The telephone
number is (202) 267-1477. Comments on collection-of-information
requirements must be mailed also to the Office of Information and
Regulatory Affairs, Office of Management and Budget, 725 17th Street
NW., Washington, DC 20503, ATTN: Desk Officer, U.S. Coast Guard.
The Executive Secretary maintains the public docket for this
rulemaking. Comments will become part of this docket and will be
available for inspection or copying at room 3406, U.S. Coast Guard
Headquarters, between 8 a.m. and 3 p.m., Monday through Friday, except
Federal holidays.
FOR FURTHER INFORMATION CONTACT:
[[Page 1184]]
CDR Dennis Haise, Operating and Environmental Standards Division, (202)
267-6451.
SUPPLEMENTARY INFORMATION:
Request for Comments
The Coast Guard encourages interested persons to participate in
this rulemaking by submitting written data, views, or arguments.
Persons submitting comments should include their names and addresses,
identify this rulemaking [CGD 94-089] and the specific section of this
proposal to which each comment applies, and give the reason for each
comment. Please submit two copies of all comments and attachments in an
unbound format, no larger than 8\1/2\ by 11 inches, suitable for
copying and electronic filing. Persons wanting acknowledgement of
receipt of comments should enclose stamped, self-addressed postcards or
envelopes.
The Coast Guard will consider all comments received during the
comment period. It may change this proposal in view of the comments.
The Coast Guard plans no public hearing. Persons may request a
public hearing by writing to the Marine Safety Council at the address
under ADDRESSES. The request should include the reasons why a hearing
would be beneficial. If it determines that the opportunity for oral
presentations will aid this rulemaking, the Coast Guard will hold a
public hearing at a time and place announced by a later notice in the
Federal Register.
Background and Purpose
The Ports and Waterways Safety Act of 1972 [86 Stat. 424], as
amended by the Port and Tanker Safety Act of 1978 [92 Stat. 1471],
authorizes the Secretary of the Department in which the Coast Guard is
operating to require the receipt of notice from any vessel destined for
or departing from a port or place under the jurisdiction of the United
States. This notice may include any information necessary for the
control of the vessel and for the safety of the port or marine
environment. See 33 U.S.C. 1223; 33 CFR Part 160, Subpart C. In April,
1994, the Coast Guard established its Port-State-Control Program (PSCP)
to eliminate substandard ships from U.S. waters. It developed a
comprehensive risk-based targeting scheme to set boarding priorities
and used funds provided in the Coast Guard's 1994 appropriations act
for this purpose. See Senate Report Number 103-150. The primary factors
used in determining which vessels to board are the vessel's: Flag;
owner; operator; classification (``class'') society; age; and operating
history. The PSCP's success hinges on the ability of the Coast Guard to
identify and examine those vessels that seem to pose the greatest risks
to life, property, and the environment. By making vessels provide added
information about arrival and departure, field units of the Coast Guard
will be able to efficiently target vessels and allocate inspection
resources.
As the Coast Guard continues enforcing financial responsibility for
water pollution under the Oil Pollution Act of 1990, it is important
that only those vessels that have satisfactorily demonstrated their
ability to meet their responsibility to the U.S. resulting from their
discharge of oil or hazardous substances be permitted into U.S. waters.
A Certificate of Financial Responsibility (COFR) is required of certain
vessels over 300 gross tons, is issued by the Coast Guard, and
documents a vessel's compliance with U.S. law on financial
responsibility for water pollution. The current threshold of 1600 gross
tons for notice means that the Coast Guard gets no advance notice of
arrival for many vessels over 300 gross tons required to carry COFRs.
Reducing the tonnage threshold will enhance the ability of the Captain
of the Port (COTP) to verify compliance by vessels over 300 gross tons
with the requirements for the carriage of COFRs.
In 1989, because of the large number of foreign vessels arriving at
the port of Miami without notice, in unsafe condition and without
proper manning, the Coast Guard amended 33 CFR Part 160 so that all
foreign vessels calling in the zone of the COTP Miami had to give
notice of arrival.
The COTP Miami runs a vigorous compliance program aimed at these
low-tonnage and often substandard ships. However, vessel operators have
been able to avoid the stricter requirements and potential enforcement
of the COTP Miami by changing their ports of call to other, nearby COTP
zones (such as those of Jacksonville, Savannah, Charleston, or Tampa).
To remove the incentive to avoid scrutiny by the COTP Miami, and to
improve the effectiveness of efforts by the Seventh Coast Guard
District to eliminate substandard ships from U.S. waters; the
requirement for notice of arrival by all commercial non-public foreign
vessels needs expansion to cover all COTP zones in the Seventh
District. The boundaries of the Seventh District appear at 33 CFR 3.35-
1(b); the District comprises South Carolina, Georgia, and most of
Florida, along with the island possessions of the U.S. pertaining to
Puerto Rico and the Virgin Islands.
Discussion of Proposed Rule
Section 160.201(c). This paragraph would remove reference to
section 160.209, which is reserved.
Section 160.201(c)(1). This paragraph would reduce the threshold
for giving prearrival notice from 1600 to 300 gross tons; but it would
require the notice from foreign vessels, entering ports or places
throughout the entire Seventh Coast Guard District, regardless of
tonnage.
First, the change in tonnage would help the COTP verify the
validity of a vessel's COFR before the vessel's arrival in U.S. waters,
and prohibit any vessel not in compliance from entering. Second, the
change in geographic reach to cover all ports in the Seventh Coast
Guard District would remove the incentive to change ports of call to
avoid scrutiny by COTP Miami. This should improve the effectiveness of
efforts by the Seventh District to eliminate substandard ships from
U.S. waters.
The increased population of reporting vessels resulting from a
lowering of the threshold of tonnage would allow the Coast Guard to
establish and maintain a more comprehensive set of data relative to a
flag state's ``fleet size''--``fleet size'' being the number of
distinct vessels of a certain flag calling at U.S. ports in a year.
This would aid in a more accurate identification of flag states
associated with substandard shipping and improve the usefulness of the
PSCP targeting scheme.
Section 160.201(c)(3). This paragraph would make a vessel's
International Maritime Organization (IMO) international number, owner,
operator, class society, and 24-hour point of contact all reportable
elements.
The IMO international number is a unique identifier assigned by the
IMO to vessels subject to the International Convention for the Safety
of Life at Sea. This number is typically the same number assigned by
Lloyds Registry of Shipping, and is a primary vessel-identification
number in the Coast Guard's automated Marine Safety Information System
(MSIS). The inclusion of a vessel's IMO international number as part of
the required report would facilitate the identification and retrieval
from MSIS of vessel-specific factors used in the risk-based targeting
scheme of the PSCP.
As several of the primary factors in the risk-analysis matrix of
the PSCP are a vessel's owner, operator, and class society, COTPs need
to learn these data as far in advance as practicable. They could then
identify and examine those vessels that seem to pose the greatest
[[Page 1185]]
risks and could allocate inspection resources efficiently.
A name and telephone number of a 24-hour point of contact for
vessel-related problems or concerns would constitute part of the
prearrival notice. Experience shows that, when these data are readily
available to the COTP, response to incidents is quicker and more
efficient, and problems associated with a vessel's port call are
minimized.
Section 160.203. This section would define gross tons and operator
to resolve doubts that might arise regarding applicability of this
rule. It would also redefine public vessel to conform it to a recent
decision by the General Counsel, U.S. Department of Transportation.
Section 160.207(c). This paragraph would bring uniformity to the
contents of the notice; uniformity would facilitate compliance by the
affected parties. This paragraph would also delete current, although
recent, paragraph (c)(5) because the IMO international number would
become required information of all covered vessels, not just foreign-
flag tank vessels of over 5000 gross tons.
Section 160.211. This section would bring uniformity to the
contents of the notice from vessels carrying certain dangerous cargoes;
again, uniformity would facilitate compliance by the affected parties.
Section 160.211 already requires notices from all vessels carrying
certain dangerous cargoes, regardless of tonnage. The items made
matters of notice would be IMO international number (if applicable),
owner, operator, class society, and 24-hour point of contact.
Section 160.213. Like section 160.211, this section would bring
uniformity to the contents of the notice from vessels carrying certain
dangerous cargoes; again, uniformity would facilitate compliance by the
affected parties. The items made matters of notice would be IMO
international number (if applicable), owner, operator, class society,
and 24-hour point of contact.
Regulatory Evaluation
This proposed rule is not a significant regulatory action under
section 3(f) of Executive Order 12866 and does not require an
assessment of potential costs and benefits under section 6(a)(3) of
that Order. It has not been reviewed by the Office of Management and
Budget under that Order.
Nor is this rule significant under the regulatory policies and
procedures of the Department of Transportation (DOT) [44 FR 11040
(February 26, 1979)]. The Coast Guard expects the economic impact of
this rule to be so minimal that a full Regulatory Evaluation under
paragraph 10e of the regulatory policies and procedures of DOT is
unnecessary.
This rule for the most part would incorporate into an established
reporting regime what are becoming customary procedures. The items made
matters of notice are readily available to those from whom we seek
them. Modern electronic communication simplifies their reporting. Some
units of the Coast Guard already receive much of this information from
the shipping industry on a voluntary basis.
Small Entities
Under the Regulatory Flexibility Act (5 U.S.C. 601 et seq.), the
Coast Guard must consider whether this proposed rule, if adopted, would
have a significant economic impact on a substantial number of small
entities. ``Small entities'' may include: (1) Small businesses and not-
for-profit organizations that are independently owned and operated and
are not dominant in their fields and (2) governmental jurisdictions
with populations of less than 50,000.
Small businesses generally operate fewer vessels and would
therefore have fewer reports to make. As the notice can be spoken and
need follow no particular format, costs could be limited to those of a
brief telephone call. In the Seventh Coast Guard District, all foreign
vessels, regardless of size, have had to give notice since 1989, with
no reported economic impact.
In an effort to minimize the impacts of the reporting requirements,
current Sec. 160.201 already contains several exemptions from the
reporting requirements. Notwithstanding the changes this rule would
make to Sec. 160.201(c)(1), these exemptions would remain.
Because it expects the impact of this rule to be minimal, the Coast
Guard certifies under 5 U.S.C. 605(b) that this rule if adopted, would
not have a significant economic impact on a substantial number of small
entities.
Collection of Information
Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the
Office of Management and Budget (OMB) reviews each proposed rule that
contains a collection-of-information requirement to determine whether
the practical value of the information would be worth the burden
imposed by its collection. Collection-of-information requirements
include reporting, recordkeeping, notification, and other, similar
requirements.
This rule would contain collection-of-information requirements in
the following sections: 160.207, 160.211, and 160.213. The following
particulars apply:
DOT No: 2115.
OMB Control No.: 2115-0557.
Administration: U.S. Coast Guard.
Title: Advance Notice of Arrivals, Departures, and Certain
Dangerous Cargoes.
Need for Information: Senate Report 103-150 on the 1994
appropriation bill for the Department of Transportation and related
agencies directed, and the bill as enacted funded, vigorous efforts by
the Coast Guard to implement procedures designed to eliminate
substandard ships from U.S. waters. In April, 1994, the Coast Guard
established its PSCP for this purpose. It developed a comprehensive
risk-based targeting scheme to set boarding priorities. The primary
factors in this analysis are the vessel's flag, owner, operator, class
society, age, and operating history. The PSCP's success hinges on the
ability of the Coast Guard to target and examine those vessels that
seem to pose the greatest risks to life, property, and the environment.
By making vessels provide added information on arrival and departure,
Coast Guard field units would be able to efficiently target vessels and
allocate inspection resources.
Proposed Use of Information: Requiring a vessel to give notice that
includes its IMO international number, along with the names of its
owner, operator, and class society, would enable the COTP to identify a
high-risk vessel more effectively before its arrival in U.S. waters,
and to take the appropriate safety measures. The inclusion of the IMO
international number would facilitate the identification and retrieval
from the Coast Guard's MSIS of the vessel-specific factors used in the
risk-based targeting scheme of the PSCP.
Frequency of Response: A covered vessel would have to give notice
whenever it arrived at a U.S. port. A covered vessel carrying any of
certain dangerous cargoes would have to give notice whenever it arrived
at or departed from a U.S. port.
Burden Estimate: The estimated burden to respondents would be
around 15,700 hours/year.
Respondents: According to MSIS records, around 9800 vessels would
be covered.
Form(s): There would be no forms required for collection of this
information.
Average Burden Hours per Respondent: Average reporting burden would
be 0.185 hours a response. There would be no recordkeeping burden.
[[Page 1186]]
The Coast Guard has submitted the requirements to OMB for review
under section 3504(h) of the Paperwork Reduction Act. Persons
submitting comments on the requirements should submit their comments
both to OMB and to the Coast Guard where indicated under ADDRESSES.
Federalism
The Coast Guard has analyzed this proposed rule under the
principles and criteria contained in Executive Order 12612 and has
determined that this rule does not have sufficient implications for
federalism to warrant the preparation of a Federalism Assessment.
Environment
The Coast Guard has considered the environmental impact of this
proposed rule and concluded that, under paragraph 2.B.2e(22) of
Commandant Instruction M16475.1B, this rule is categorically excluded
from further environmental documentation. A Determination of
Categorical Exclusion is available in the docket for inspection or
copying where indicated under ADDRESSES.
List of Subjects in 33 CFR Part 160
Administrative practice and procedure, Harbors, Hazardous materials
transportation, Marine safety, Navigation (water), Reporting and
recordkeeping requirements, Vessels, Waterways.
For the reasons set out in the preamble, the Coast Guard proposes
to amend 33 CFR Part 160 as follows:
PART 160--[AMENDED]
1. The citation of authority for Part 160 is revised to read as
follows:
Authority: 33 U.S.C. 1223, 1231; 49 CFR 1.46.
2. In Sec. 160.201, paragraph (c) is amended by revising its
introductory text; (c)(1); and (c)(3) (i), (ii), and (iii) and by
adding paragraphs (c)(3) (iv) through (x), to read as follows:
Sec. 160.201 Applicability and exceptions to applicability.
* * * * *
(c) Section 160.207 does not apply to the following:
(1) Each vessel of 300 gross tons or less, except a foreign vessel
of 300 gross tons or less entering any port or place in the Seventh
Coast Guard District as described by Sec. 3.35-1(b) of this chapter.
* * * * *
(3) * * *
(i) Name of the vessel;
(ii) Country of registry of the vessel;
(iii) Call sign of the vessel;
(iv) International Maritime Organization (IMO) international
number--or, if the vessel does not have an assigned IMO international
number, official number--of the vessel;
(v) Name of the registered owner of the vessel;
(vi) Name of the operator of the vessel;
(vii) Name of the classification society of the vessel;
(viii) Each port or place of destination;
(ix) Estimated dates and times of arrivals at and departures from
these ports or places; and
(x) Name and telephone number of a 24-hour point of contact.
* * * * *
3. In Sec. 160.203, new definitions, for ``gross tons'' and
``operator'', are added in alphabetical order, and the definition for
``public vessel'' is revised, to read as follows:
Sec. 160.203 Definitions.
* * * * *
Gross tons means the tonnage determined by the tonnage authorities
of a vessel's flag state in accordance with the national tonnage rules
in force before the entry into force of the International Convention on
Tonnage Measurement of Ships, 1969 (``Convention''). For a vessel
measured only under Annex I of the Convention, gross tons means that
tonnage. For a vessel measured under both systems, the higher gross
tonnage is the tonnage used for the purposes of the 300-gross-ton
threshold.
* * * * *
Operator means any person including, but not limited to, an owner,
a demise- (bareboat-) charterer, or another contractor who conducts, or
is responsible for, the operation of a vessel.
* * * * *
Public vessel means a vessel that is owned or demise- (bareboat-)
chartered by the government of the United States, by a State or local
government, or by the government of a foreign country and that is not
engaged in commercial service.
* * * * *
4. In Sec. 160.207, paragraphs (c)(1) through (c)(5) are revised,
and paragraphs (c) (6) through (11) are added, to read follows:
Sec. 160.207 Notice of arrival: Vessels bound for ports or places in
the United States.
* * * * *
(c) * * *
(1) Name of the vessel;
(2) Country of registry of the vessel;
(3) Call sign of the vessel;
(4) International Maritime Organization (IMO) international
number--or, if the vessel does not have an assigned IMO international
number, official number--of the vessel;
(5) Name of the registered owner of the vessel;
(6) Name of the operator of the vessel;
(7) Name of the classification society of the vessel;
(8) Name of the port or place of departure;
(9) Name of the port or place of destination;
(10) Estimated date and time of arrival at this port or place; and
(11) Name and telephone number of a 24-hour point of contact.
5. In Sec. 160.211, paragraph (a) is revised to read as follows:
Sec. 160.211 Notice of arrival: Vessels carrying certain dangerous
cargo.
(a) The owner, agent, master, operator, or person in charge of a
vessel, except a barge, bound for a port or place in the United States
and carrying certain dangerous cargo, shall notify the Captain of the
Port of the port or place of destination at least 24 hours before
entering that port or place of the--
(1) Name of the vessel;
(2) Country of registry of the vessel;
(3) Call sign of the vessel;
(4) International Maritime Organization (IMO) international
number--or, if the vessel does not have an assigned IMO international
number, official number--of the vessel;
(5) Name of the registered owner of the vessel;
(6) Name of the operator of the vessel;
(7) Name of the classification society of the vessel;
(8) Name of the port or place of departure;
(9) Name of the port or place of destination;
(10) Estimated date and time of arrival at this port or place;
(11) Name and telephone number of a 24-hour point of contact;
(12) Location of the vessel at the time of the report;
(13) Name of each of the certain dangerous cargoes carried;
(14) Amount of each of the certain dangerous cargoes carried;
(15) Stowage location of each of the certain dangerous cargoes
carried; and
(16) Operational condition of the equipment under Sec. 164.35 of
this chapter.
* * * * *
6. In Sec. 164.211, paragraph (b) is amended by removing the
reference ``(a)(8)'' and adding, in its place, the reference ``(4) and
(a)(8) through (16)''.
[[Page 1187]]
7. In Sec. 160.213, paragraph (a) is revised to read as follows:
Sec. 160.213 Notice of departure: Vessels carrying certain dangerous
cargo.
(a) The owner, agent, master, operator, or person in charge of a
vessel, except a barge, departing from a port or place in the United
States for any other port or place and carrying certain dangerous
cargo, shall notify the Captain of the Port or place of departure at
least 24 hours before departing, unless this notification was made
within 2 hours after the vessel's arrival, of--
(1) Name of the vessel;
(2) Country of registry of the vessel;
(3) Call sign of the vessel;
(4) International Maritime Organization (IMO) international
number--or, if the vessel does not have an assigned IMO international
number, official number--of the vessel;
(5) Name of the registered owner of the vessel;
(6) Name of the operator of the vessel;
(7) Name of the classification society of the vessel;
(8) Name of the port or place of departure;
(9) Name of the port or place of destination;
(10) Estimated date and time of arrival at this port or place;
(11) Name and telephone number of a 24-hour point of contact;
(12) Name of each of the certain dangerous cargoes carried;
(13) Amount of each of the certain dangerous cargoes carried;
(14) Stowage location of each of the certain dangerous cargoes
carried; and
(15) Operational condition of the equipment under Sec. 164.35 of
this chapter.
* * * * *
Sec. 160.213 [Amended]
8. In Sec. 160.213, paragraph (b) is amended by removing the
reference ``(a)(7)'' and adding in its place the reference ``(4) and
(a)(8) through (15)''.
Joseph J. Angelo,
Acting Chief, Office of Marine Safety, Security and Environmental
Protection.
[FR Doc. 96-450 Filed 1-16-96; 8:45 am]
BILLING CODE 4910-14-M
