[Federal Register Volume 62, Number 238 (Thursday, December 11, 1997)]
[Rules and Regulations]
[Pages 65203-65207]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-32447]
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DEPARTMENT OF TRANSPORTATION
Coast Guard
33 CFR Part 160
[CGD] 97-067
RIN 2115-AF54
Advance Notice of Arrival: Vessels Bound for Ports and Places in
the United States
AGENCY: Coast Guard, DOT.
ACTION: Interim rule with request for comments.
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SUMMARY: The Coast Guard amends its rules to require certain vessels to
notify us of their International Safety Management (ISM) Code
certification status when they enter U.S. waters and ports. The rule
requires these vessels to include their ISM Code status in notice of
arrival messages that are routinely sent to the Coast Guard Captain of
the Port. This rule will allow the Coast Guard to monitor vessel
compliance with ISM Code certification requirements.
DATES: This interim rule is effective January 26, 1998. Comments must
reach the Coast Guard on or before January 12, 1998. Comments sent to
the Office of Management and Budget (OMB) on collection of information
must reach OMB on or before February 9, 1998.
ADDRESSES: You may mail comments to the Executive Secretary, Marine
Safety Council (G-LRA/3406) (CGD 97-067), U.S. Coast Guard
Headquarters, 2100 Second Street SW., Washington, DC 20593-0001, or
deliver them to room 3406 at the same address between 9:30 a.m. and 2
p.m., Monday through Friday, except Federal holidays. The telephone
number is 202-267-1477. You must also mail comments on collection of
information to the Office of Information and Regulatory Affairs, Office
of Management and Budget, 725 17th Street N.W., Washington, DC 20503,
ATTN: Desk Officer, U.S. Coast Guard.
The Executive Secretary maintains the public docket for this
rulemaking. Comments, and documents as indicated in this preamble, will
become part of this docket and will be available for
[[Page 65204]]
inspection or copying at room 3406, U.S. Coast Guard Headquarters,
between 9:30 a.m. and 2 p.m., Monday through Friday, except Federal
holidays.
FOR FURTHER INFORMATION CONTACT: Mr. Robert M. Gauvin, Project Manager,
Vessel and Facility Operating Standards Division (G-MSO-2), at (202)
267-1053, or fax (202) 267-4570.
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 97-067) and the specific section of this
document 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 acknowledgment 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 rule 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.
Regulatory Information
The Coast Guard has not published a Notice of Proposed Rulemaking
(NPRM) for this regulatory amendment. Under the Administrative
Procedure Act (5 U.S.C. 553), an agency can publish a rule without
notice and public procedure if it finds for good cause that notice
would be impracticable, unnecessary, or contrary to the public
interest. This rule involves international issues and safety and port
management concerns. Compliance with the ISM Code is mandated by the
Coast Guard Authorization Act of 1996 and by Chapter IX of the
International Convention for the Safety of Life at Sea (SOLAS).
The initial implementation date of the ISM Code is July 1, 1998,
for the following vessels engaged on a foreign voyage: A vessel
transporting more than 12 passengers; or a tanker, a bulk freight
vessel, and a high speed freight vessel of 500 gross tons or more. The
second implementation date for the ISM Code is July 1, 2002, for other
freight vessels and self-propelled mobile offshore drilling units
(MODU) of 500 gross tons or more.
The majority of countries that are a party to the SOLAS convention
have adopted the ISM Code and are committed to timely and strict
enforcement of the Code internationally. In order for the U.S. to
demonstrate its support for this international goal, it is crucial that
we begin monitoring and documenting ISM Code compliance status of
vessels that must comply with the ISM Code by July 1, 1998. Similarly,
it will be critical to begin monitoring ISM Code compliance for the
remaining classes of vessels covered by the ISM Code well in advance of
July 1, 2002.
Once the ISM Code is in effect, vessels entering U.S. waters and
bound for U.S. ports which do not have fully certificated or
implemented safety management systems under the ISM Code may be
detained or denied entry into U.S. ports. Gathering ISM Code
certification information about vessels that must comply with the ISM
Code by July 1, 1998, well in advance of that date, will permit the
Coast Guard to determine resource allocations for the U.S. Port State
Control Programs and carry out enforcement actions required by 46
U.S.C. 3204(c) and 3205(d). This will enhance the Coast Guard's ability
to carry out the required enforcement of the ISM Code, and promote safe
and smooth operations at U.S. ports. For these reasons, the Coast Guard
finds good cause under 5 U.S.C. 553(b)(B) that a notice before the
effective date of this rule is unnecessary.
Although this rule will not be preceded by a notice of proposed
rulemaking, we have provided for a 30-day public comment period. This
ensures that the public has an opportunity to comment prior to the
effective date of the rule, but also allows us to begin collecting the
necessary information as soon as possible prior to implementation of
the ISM Code.
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. 1271],
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 U.S.
This does not include a vessel declaring force majeure or a vessel on
innocent passage through U.S. waters. 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 October 1996, the Coast Guard Authorization Act of 1996 [110
Stat. 3901] amended title 46 of the U.S. Code by adding Chapter 32,
``Management of Vessels.'' Under this new law, the Secretary of
Transportation was directed to prescribe regulations and enforce
compliance with the ISM Code for safety management systems on vessels
engaged on a foreign voyage. This authority was delegated to the
Commandant of the Coast Guard on April 24, 1997 (62 FR 19935), in 49
CFR, Part 1.46 (fff) and (ggg).
On May 1, 1997, the Coast Guard published a Notice of Proposed
Rulemaking on implementation and certification of owners' and vessels'
safety management systems consistent with the ISM Code (62 FR 23705).
The NPRM's comment period closed on July 30, 1997.
Briefly, compliance with the ISM Code means that these vessels and
the companies which own or operate these vessels must have in effect
safety management systems that meet the requirements of the ISM Code,
and they must hold valid Document of Compliance certificates and Safety
Management Certificates.
This rule will require these vessels to provide their ISM
certification status prior to entering U.S. ports. It should be noted
that passenger vessels carrying 12 passengers or more involved in
foreign voyages that are below 500 gross tons are not covered by this
rule even though these passenger vessels under 500 gross tons will be
required to be certificated to the ISM Code requirements.
There are very few foreign passenger vessels operating within the
U.S. that meet these parameters. Those that do operate on liner runs to
the same port daily with their schedules well known to the Coast
Guard's Captain of the Port. An example of this would be small
passenger ferries operating between the British Virgin Islands and U.S.
Virgin Islands, which enter U.S. waters three or more times daily. Once
the Captain of the Port's personnel verify that these vessels meet the
ISM Code requirements during routine foreign vessel boardings, the need
to report ISM Code status is unnecessary due to their limited, one U.S.
port operation. For these reasons, we are excluding these vessels from
the requirements of this rule.
The purpose of this rule is to permit the Coast Guard to enforce
the requirements of 46 U.S.C. 3204(c),
[[Page 65205]]
which prohibits a vessel from operating in U.S. waters without having
on board a valid Document of Compliance certificate and Safety
Management Certificate. Collecting a vessel's certification status
before arrival in port is vital to determining appropriate enforcement
actions by Coast Guard officials at U.S. ports. An effected vessel that
does not have the ISM Code certificates on board will be denied entry
into a U.S. port after the effective date of the ISM Code. A vessel
that has the proper ISM Code certificates will be boarded annually
under the existing standards of the U.S. Port State Control program.
During these boardings, if the vessel is found to have valid
certificates but has not properly implemented or maintained its safety
management system, the vessel will be detained in port. The vessel's
flag state or organization acting on behalf of its flag, will be
requested by the Coast Guard to attend to the vessel to ensure
corrections, or take actions to manage the corrections of non-
conformities to the vessel's safety management system prior to the
vessel departing the port.
Discussion of the Proposed Rule
Notification of a vessel's ISM Code certification status will be
added to 33 CFR 160.207 as new paragraphs (d) and (e). Paragraph (d)
requires an owner, agent, master, operator, or person in charge of a
vessel of 500 gross tons or more and engaged on a foreign voyage to the
United States to provide the ISM Code notice described in paragraph
(e).
Vessels that are required to comply with the ISM Code by July 1,
1998 must comply with this rule on its effective date. These are listed
in paragraph (d)(1) and include a passenger vessel carrying 12 or more
passengers, a tank vessel, a bulk freight vessel, or a high-speed
freight vessel.
Vessels that must comply with the ISM Code by July 1, 2002, must
comply with this rule beginning January 1, 2000. These vessels are
listed in paragraph (d)(2) and include a freight vessel not listed in
paragraph (d)(1) or a self-propelled MODU. We are not collecting ISM
Code compliance information from these other freight vessels and self-
propelled MODU's until January 1, 2000, because they are not required
to comply with the ISM Code until July 1, 2002. This delayed compliance
date reduces the collection of information burden for these vessels,
but will allow the Coast Guard to collect this information well in
advance of the second ISM Code effective date.
Paragraph (e) describes the content and manner of the notice. These
vessels will be required to include in their advance notice of arrival
message the issuance dates of their Document of Compliance certificate
and Safety Management Certificate, and the name of the Flag
Administration or recognized organization(s) representing the vessel's
flag which issued the certificates. The notice must be given to the
appropriate Captain of the Port at least 24 hours prior to entry, and
can be combined with the existing notification given under 33 CFR
160.207(a).
We recognize that this rule will take effect prior to the initial
ISM Code implementation date of July 1, 1998, and will take effect for
other freight vessels and self-propelled MODUs on July 1, 2002. Vessels
that are not in compliance with the ISM Code will not be detained or
denied entry into U.S. ports prior to the implementation date for that
particular vessel. However, compiling ISM certification status prior to
the ISM implementation dates will enable us to enforce the ISM Code
compliance in a timely and efficient manner.
Regulatory Evaluation
This interim 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. It is not 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 interim 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 will amend established reporting regimes which are now
customary procedures. The information to be reported is readily
available aboard the vessel by international convention. Modern
electronic communication systems make it easier to report this
information, and will only add seconds to the delivery of currently
required reports.
Small Entities
Under the Regulatory Flexibility Act (5 U.S.C. 601 et seq.), the
Coast Guard considers the economic impact on small entities of each
rule for which a general notice of proposed rulemaking is required.
``Small entities'' include 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 less than 50,000. This rule does not require a general
notice of proposed rulemaking and, therefore, is exempt from the
requirements of the Regulatory Flexibility Act. Although this rule is
exempt, the Coast Guard has reviewed it for potential economic impact
on small entities.
This rulemaking will affect U.S. oceangoing shipping companies and
their vessels of specific categories of more than 500 gross tons, or
passenger vessels of 500 gross tons or more carrying more than 12
passengers engaged on a foreign voyage. These companies and their
vessels are not considered small businesses or small entities. Small
passenger vessels are the only small entities required to comply with
the ISM Code. A small passenger vessel is generally one carrying more
than six passengers and is less than 100 gross tons (See 46 U.S.C. 2101
(35)). Since the new reporting requirements are for passenger vessels
of 500 gross tons or over, there is no impact or reporting requirement
for a small passenger vessel engaged on a foreign voyage.
Therefore, the Coast Guard's position is that this rule will not
have a significant economic impact on a substantial number of small
entities. If, however, you think that your business or organization
qualifies as a small entity and that this rule will have a significant
economic impact on your business or organization, please submit a
comment (see ADDRESSES) explaining why you think it qualifies and in
what way and to what degree this rule will economically affect it.
Assistance for Small Entities
In accordance with section 213(a) of the Small Business Regulatory
Enforcement Act of 1996 (Pub.L. 104-121), the Coast Guard wants to help
small entities understand this proposed rule so they can better
evaluate its effects on them and participate in the rulemaking process.
If your small business is affected by this rule and you have questions
concerning its provisions or options for compliance, please contact Mr.
Robert Gauvin, Project Manager, Vessel and Facility Operating Standards
Division (G-MSO-2), at (202) 267-1053, or fax (202) 267-4570.
Collection of Information
This rule provides for a collection of information requirement
under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.). As
defined in 5 CFR 1320.3(c), ``collection of information'' includes
reporting,
[[Page 65206]]
recordkeeping, monitoring, posting, labeling, and other, similar
actions.
The Coast Guard submitted the requirements for the collection
request to the Office of Management and Budget, requesting emergency
processing of the collection. The title and description of the
collections, a description of the respondents, and an estimate of the
total annual burden follow. Included in the estimate is the time for
reviewing instructions, searching existing sources of data, gathering
and maintaining the data needed, and completing and reviewing the
collection.
Title: Advance Notice of Arrivals: Vessels bound for ports and
places in the U.S.
Summary of the Collection of Information: This interim rule
contains collection of information requirements in Sec. 160.207, and
the corresponding approval number is OMB Control Number 2115-0557.
Need for Information: 46 U.S.C. 3204(c) prohibits vessels from
operating in U.S. waters without having on board a copy of their
company's Document of Compliance certificate and the vessel's Safety
Management Certificate. This advance notice of arrival report will
ensure that the vessel and its company have been issued these
certificates and are in compliance. This report will ensure
uninterrupted trading of the vessel in the U.S. when meeting the
requirements of the ISM Code. Once the ISM Code implementation dates
come into effect, this will allow the Coast Guard Captain of the Port
to deny vessels from entry into U.S. waters and ports if the vessel
does not verify the issuance of the required certificates in the
advance notice of arrival. This will enhance safety in U.S. ports and
waterways, and prevent costs for the U.S. port to detain a non-
complying vessel, if found in port.
Proposed Use of Information: This information will be used by the
cognizant Captain of the Port to ensure compliance with the ISM Code
and U.S. law to enhance waterway safety management.
Description of the Respondents: Respondents include the vessel's
owner, master, operator, agent or person in charge of a passenger
vessel carrying more than 12 passengers, tank vessels, bulk freight
vessels, freight vessels, high-speed freight vessels or self-propelled
mobile offshore drilling units of at least 500 gross tons or more,
engaged on a foreign voyage to the U.S.
Number of Respondents: The ISM Code compliance reporting
requirement will effect the above-described vessels of 500 gross tons
or more on a foreign voyage to the U.S. There are approximately 9,507
vessels operating on a foreign voyage to the U.S. annually. During 1998
and 1999, 60 percent of the total population will need to meet this
requirement (5,704 vessels). In the year 2000, 100 percent compliance
will be expected.
Frequency of Response: It is expected that each vessel will be
required to make this report eight times per year at every port call.
This will require a total of 45,632 responses per year during 1998 and
1999, and a total of 76,056 responses during the year 2000. Each vessel
responds to local Coast Guard Captain of the Port units.
Burden of Response: It is expected that the additional requirement
will add one minute of time per report for recording the additional
information needed to verify the vessel's ISM Code certification
compliance.
Estimated Total Annual Burden: The estimated total additional
burden in each year, for 1998 and 1999 will equal: 1 minute x 45,632
responses = 45,632 minutes or 761 hours per year. At $20.00 an hour for
clerical time, the cost to the public is $15,220 per year ($20.00 x
761 hours = $15,220).
The estimated total annual burden for the year 2000 will equal: 1
minute x 76,056 responses = 76,056 minutes or 1,268 hours per year.
At $20.00 an hour for clerical time, the cost to the public is $25,360
per year ($20.00 x 1,268 hours = $25,360).
As required by section 3507(d) of the Paperwork Reduction Act of
1995, the Coast Guard has submitted a copy of this rule to OMB for its
review of the collection of information.
Even though the Coast Guard has received emergency authorization to
collect this information, it solicits public comment on the collection
of information to (1) evaluate whether the information is necessary for
the proper performance of the functions of the Coast Guard, including
whether the information will have practical utility; (2) evaluate the
accuracy of the Coast Guard's estimate of the burden of the collection,
including the validity of the methodology and assumptions used; (3)
enhance the quality, utility, and clarity of the information to be
collected; and (4) minimize the burden of the collection on those who
are to respond, by allowing the submittal of responses by electronic
means or the use of other forms of information technology.
Persons submitting comments on the collection of information should
submit their comments both to OMB and to the Coast Guard where
indicated under ADDRESSES by the date under DATES.
Persons are not required to respond to a collection of information
unless it displays a currently valid OMB control number.
Federalism
The Coast Guard has analyzed this interim 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 considered the environmental impact of this interim
rule and concluded that, under paragraph 2.B.2e(34(d)) of Commandant
Instruction M16475.1B, this rule is categorically excluded from further
environmental documentation. A ``Categorical Exclusion Determination''
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 discussed in the preamble, the Coast Guard amends
33 CFR Part 160 as follows:
1. Revise the authority citation for part 160 to read as follows:
PART 160--[AMENDED]
Authority: 33 U.S.C. 1223, 1231; 49 CFR 1.46.
2. Revise Sec. 160.207 by adding paragraphs (d) and (e) to read as
follows:
Sec. 160.207 Notice of arrival: Vessels bound for ports or places in
the United States.
* * * * *
(d) International Safety Management (ISM) Code (Chapter IX of
SOLAS) Notice. If you are the owner, agent, master, operator, or person
in charge of a vessel that is 500 gross tons or more and engaged on a
foreign voyage to the United States, you must provide the ISM Code
notice described in paragraph (e) as follows:
(1) Immediate ISM Code notice if your vessel is--a passenger vessel
carrying 12 or more passengers, a tank vessel, a bulk freight vessel,
or a high-speed freight vessel.
(2) ISM Code notice beginning January 1, 2000, if your vessel is--a
freight vessel not listed in paragraph (d)(1) or a self-propelled
mobile offshore drilling unit (MODU).
[[Page 65207]]
(e) Content and Manner of ISM Code Notice. (1) ISM Code notice
includes the following:
(i) the date of issuance for the company's Document of Compliance
certificate that covers the vessel,
(ii) the date of issuance for the vessel's Safety Management
Certificate, and,
(iii) the name of the Flag Administration, or the recognized
organization(s) representing the vessel flag administration, that
issued those certificates.
(2) If you meet the criteria in paragraph (d) of this section, you
must give the ISM Code notice to the Coast Guard Captain of the Port of
the port or place of your destination in the U.S. at least 24 hours
before you enter the port or place of destination. The ISM Code notice
may be combined and provided with the report required by paragraph (a)
of this section.
Dated: December 5, 1997.
R.C. North,
Rear Admiral, U.S. Coast Guard, Assistant Commandant for Marine Safety
and Environmental Protection.
[FR Doc. 97-32447 Filed 12-10-97; 8:45 am]
BILLING CODE 4910-14-P
