[Federal Register Volume 64, Number 120 (Wednesday, June 23, 1999)]
[Rules and Regulations]
[Pages 33404-33424]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-15985]
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DEPARTMENT OF TRANSPORTATION
DEPARTMENT OF TRANSPORTATION
Coast Guard
33 CFR Part 160
[USCG-1998-4819]
RIN 2115-AF85
Year 2000 (Y2K) Reporting Requirements for Vessels and Marine
Facilities
AGENCY: Coast Guard, DOT.
ACTION: Temporary interim rule with request for comments.
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SUMMARY: The Coast Guard establishes temporary regulations to require
owners and operators of certain vessels and marine facilities to report
Year 2000 (Y2K) preparedness information. These reporting requirements
are based on vessel and marine facility-specific Y2K questionnaires
issued by the International Maritime Organization (IMO) as IMO Circular
Letter 2121. Responses to questionnaires will help Coast Guard Captains
of the Port (COTPs) assess vessel and marine facility preparedness for
potential Y2K-related malfunctions of equipment and systems. This
preparedness information will help COTPs identify potentially
[[Page 33405]]
hazardous situations during peak Y2K risk periods, enabling them to
take appropriate measures to promote port safety and environmental
protection.
DATES: This temporary interim rule is effective on July 23, 1999 and
expires on March 31, 2000. Comments must reach the Docket Management
Facility on or before August 23, 1999. Comments sent to the Office of
Management and Budget (OMB) on collection of information must reach OMB
on or before August 23, 1999.
ADDRESSES: To make sure your comments and related material are not
entered more than once in the docket, please submit them by only one of
the following means:
(1) By mail to the Docket Management Facility, [USCG-1998-4819], U.S.
Department of Transportation, room PL-401, 400 Seventh Street SW.,
Washington, DC 20590-0001.
(2) By hand to room PL-401 on the Plaza level of the Nassif Building,
400 Seventh Street SW., Washington, DC, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays. The telephone number is
202-366-9329.
(3) By fax to Docket Management Facility at 202-493-2251.
(4) Electronically through the Web Site for the Docket Management
System at http://dms.dot.gov.
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 NW., Washington, DC 20503, ATTN: Desk Officer,
U.S. Coast Guard.
The Docket Management Facility maintains the public docket for this
rulemaking. Comments and related material, and documents as indicated
in this preamble, will become part of this docket and will be available
for inspection or copying at room PL-401 on the Plaza level of the
Nassif Building at the same address between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays. You can also find this docket
on the Internet at http://dms.dot.gov.
FOR FURTHER INFORMATION CONTACT: For questions on this temporary
interim rule, call Mr. John Hannon, Project Manager, Office of
Compliance, Commandant (G-MOC-2), Coast Guard, telephone 202-267-1464.
For questions on viewing or submitting material to the docket, call
Dorothy Walker, Chief, Dockets, Department of Transportation, telephone
202-366-9329.
SUPPLEMENTARY INFORMATION:
Request for Comments
The Coast Guard encourages you to participate in this rulemaking by
submitting comments and related material. If you do so, please include
your name and address, identify the docket number for this rulemaking
[USCG-1998-4819], indicate the specific section of this document to
which each comment applies, and give the reason for each comment. You
may submit your comments and material by mail, hand, fax, or electronic
means to the Docket Management Facility at the address under ADDRESSES;
but please submit your comments and material by only one means. If you
submit them by mail or hand, submit them in an unbound format, no
larger than 8\1/2\ by 11 inches, suitable for copying and electronic
filing. If you submit them by mail and would like to know they were
received, please enclose a stamped, self-addressed postcard or
envelope. The Coast Guard encourages you to file any important comments
as quickly as possible. We will consider all comments and material
received during the comment period and may change this rule, even prior
to the effective date, if necessary, in response to the comments.
Discussion of Regulatory Action
Due to the unique nature of the Year 2000 (Y2K) problem, this rule
is being published as a temporary interim rule and is being made
effective on July 23, 1999. It will have considerable positive impact
on marine safety by establishing a reporting requirement for certain
vessels and marine facilities on Y2K preparedness. The rule is
temporary in nature--it runs for a defined period of time and is
tailored to critical Y2K-related dates. This temporary interim rule is
both time sensitive and time critical. The first peak risk period
begins at midnight on September 7, 1999 and ends at midnight September
9, 1999, and the last peak risk period begins at midnight on February
27, 2000 and ends at midnight February 29, 2000. It is imperative that,
on these dates, Captains of the Port (COTPs) have all information
reasonably available to make informed decisions regarding the safety of
vessels and marine facilities. To ensure timely data collection and
analysis, this rule requires most vessel and marine facility
representatives to submit Y2K preparedness information to the Coast
Guard by August 1, 1999. In addition, although the last Y2K peak risk
period ends at midnight on February 29, 2000, this rule is effective
through March 31, 2000. This extra ``period of vigilance'' provides the
Coast Guard with needed flexibility to quickly address potential
emerging Y2K problems. Any delay to this rule could result in a
significant increase in avoidable risk.
The Coast Guard has been assessing Y2K-related risks, both
internally and externally. On December 4, 1998, the Coast Guard
published a request for comments in the Federal Register [63 FR 67166]
seeking comments on how best to address the Y2K problem aboard vessels,
at port facilities, and at marine terminals. In the request for
comments, the Coast Guard stated that the focus was not on mandating
new industry requirements. Rather, the goal was to use existing
authority to address Y2K-related risks. The request for comments was
summarized in the Marine Safety Newsletter and posted on the Coast
Guard Internet site. Thirty-nine responses to this request were
received. In January 1999, a meeting of Coast Guard COTPs was held in
which they stressed the need for a Y2K risk assessment tool. Based on
the substance of the comments and the COTPs' need for a risk assessment
tool, the Coast Guard has decided to issue this rule requiring the
submission of information needed to use the risk assessment tool.
Further, the international nature of shipping presents additional
challenges. At the behest of the U.S. Coast Guard and the United
Kingdom Maritime and Coastguard Agency, a meeting was held at the
International Maritime Organization (IMO) Headquarters to consider
issues relating to the Y2K problem, promote international awareness and
knowledge sharing, identify and refine preparedness actions, and
promote contingency planning. On March 5, 1999, IMO issued Circular
Letter No. 2121 which established, through unanimous agreement, the
Year 2000 Code of Good Practice and Key Elements of Y2K contingency
plans for ships, ports, and terminals. IMO Circular Letter No. 2121 is
available in the docket at the addresses listed under ADDRESSES. Part
of the Code of Good Practice is an assessment of vessel and facility
Y2K preparedness. The forms contained in IMO Circular Letter No. 2121,
which are used to determine the level of Year 2000 preparedness, are
the questionnaires used in this rule.
Following the issuance of the IMO Circular, the Coast Guard began
an effort to develop a risk assessment matrix, and to evaluate the need
for supplemental information to that provided through the
questionnaires contained in the Circular. This effort was completed in
mid-May 1999. Since its issuance, the Circular has received worldwide
acceptance, underscoring its applicability as the basis for Y2K
[[Page 33406]]
preparedness for the international maritime community. The Coast Guard
is committed to promoting implementation of the IMO Circular to achieve
consistency of approach between ships, ports, and facilities, as well
as a serious focus on contingency planning, in the global marine
transportation system.
Based on all available information and comments, the Coast Guard
has determined that this temporary interim rule is necessary to require
vessel and marine facility operators to respond to questionnaires
regarding their level of preparedness for the Y2K problem. The
responses will provide COTPs with information needed to evaluate the
level of Y2K-related risk associated with vessel and marine facility
operations. Based on these evaluations, COTPs can make informed
decisions as to whether operations by particular vessels or facilities
present undue risk, and take control actions as appropriate to minimize
any risks. This course of action only requires the submission of
information and does not require the regulated entities to alter their
conduct to conform to a specific government standard. The reporting of
the information causes no harm and the time requirements to report the
information are minimal. On the other hand, if COTPs don't have the
information necessary to evaluate the level of Y2K risk in their ports,
significant harm to port safety, the environment, and commerce could
occur. Without this information, the Coast Guard would be unable to
fully and effectively ensure safety in a Y2K environment.
For these reasons, the Coast Guard finds good cause, under 5 U.S.C.
553(b)(B), that notice, and public procedure on the notice, before the
effective date of this rule is impracticable and contrary to the public
interest in marine safety. We still encourage public comments on this
temporary interim rule, and we may amend the rule as necessary to
respond to comments received during the comment period.
Background and Purpose
Our society's dependence on automation and computer technology is
increasing exponentially. The maritime industry incorporates automation
and computer technology into almost every aspect of its business
operations. Automation is used for many shipboard systems such as main
propulsion, boilers, auxiliary systems, power generation, position
fixing navigation systems, communications, radar, steering systems,
cargo systems, and bilge/ballast controls. Automation is also used at
marine facilities on cranes, on shore side equipment, and in loading
and unloading operations. Despite current regulations for equipment and
systems testing, the potential technological malfunctions associated
with the Year 2000 (Y2K) problem could disrupt maritime operations.
What is the Y2K problem? The Y2K problem stems from the widespread
computer industry practice of using 2 digits instead of 4 to represent
the year in databases, software applications, and hardware microchips.
Certain systems will face difficulty in the year 2000 when that year is
represented as ``00.'' Unable to differentiate ``00'' from the year
1900, computer programs and systems aboard ships and at port facilities
could malfunction or completely shut down.
How might the Y2K problem affect the maritime industry? Computer
programs for engine automation systems that send critical operating
signals are good examples of the Y2K problem. If these programs misread
``00'' as the year 1900 instead of 2000, they may misinterpret that 100
years have passed and respond with an inappropriate action or a series
of inappropriate actions, creating a domino effect, that could shut
down systems. Temporary loss of main engine operation or steering at
sea on a calm day with no other ships in sight may only prove
inconvenient. However, the unexpected loss of a ship's propulsion in a
narrow or crowded waterway could result in a serious casualty.
Marine facilities are also at risk from Y2K-related problems.
Systems that use time as a function of measurement such as fire
detection systems, cargo tracking software, process flow controls (oil,
gas, and chemical), temperature controls and alarms are most
vulnerable. For example, system sensors could cause an automatic
shutdown response that could in turn trigger some other fail-safe
response. In such a case, a release of hazardous materials could occur
when overpressure safeguards react to the sudden closure of a valve
against the flow of gas or liquid.
The risk period for Y2K-related equipment and system failures and
malfunctions is not limited to January 1, 2000. Similar problems are
associated with the dates September 9, 1999 and February 29, 2000.
Why are September 9, 1999 and February 29, 2000 dates of concern?
September 9, 1999 is a date of concern because of the common
programming practice of using 9999 or simply 99 to mark the end of a
file or a record that should be archived or purged. Both sets of digits
could also legitimately represent September 9, 1999, or the year 1999.
For instance, a maritime application might prompt someone to enter 99
as a year if they want to delete the corresponding file. Software
programs may need revisions to facilitate deletion requests
differently.
February 29, 2000 is a date of concern because of how leap years
are determined. Our calendars reflect leap years occurring every four
years; however, leap years do not adhere to a strict four-year cycle.
As a result, century years generally are not leap years (i.e. year 1800
or 1900). However, exceptions apply to century years evenly divisible
by 400, such as February 29, 2000. Problems could occur in computers
not properly programmed to accept this date. If a microprocessor reads
00 as the year 1900, it will fail to accept the 29th of February
because 1900, unlike 2000, was not a leap year. Leap years have already
presented a problem. In 1996, the presence of a leap year created a
complete loss of process control computers at a large aluminum smelter
in New Zealand because the programs failed to accept the 366th day
(``Ship 2000''; Lloyd's Register Articles; March 5, 1999).
What existing regulations and authorities address the Y2K problem?
Existing Coast Guard regulations include requirements for commercial
vessel operators to conduct periodic equipment and systems tests, as
well as inspections of safety, navigation and pollution prevention
equipment and systems. For example, Title 33 of the Code of Federal
Regulations (CFR) part 164 requires certain vessels to conduct arrival
and departure tests to ensure the proper operation of vital navigation
equipment and systems. In addition, 33 CFR part 156.170(c)(5) requires
similar testing for facilities to ensure all systems and equipment
properly perform their intended functions. Such tests help detect
malfunctions or failures of equipment and systems regardless of the
cause; however, the general consensus is that these tests are
ineffective at detecting Y2K-related problems.
Other existing regulations give the Coast Guard broad authority to
control operations in the event of hazardous situations. For example,
33 CFR part 160, subpart B allows District Commanders and COTPs to
control vessel and waterfront facility operations to ensure safety and
environmental protection. Under this authority, COTPs can restrict or
control vessels and waterfront facilities experiencing equipment or
system malfunctions or failures posing safety or environmental hazards.
[[Page 33407]]
Did the Coast Guard consider input from the public when developing
its Y2K policy and this temporary interim rule? Yes. The Coast Guard
published a request for comments in the Federal Register on December 4,
1998 entitled ``Vessel and Port Control Measures to Address Year 2000
(Y2K)-related Problems'' [63 FR 67166]. The request for comments
focused on possible actions and control measures the Coast Guard might
take to minimize the occurrence and effect of potential Y2K-related
equipment and system malfunctions aboard vessels and marine facilities.
Measures discussed included rigorous equipment and systems testing on
vessels and at facilities, Y2K assessments and certifications, and
closing or restricting access to U.S. ports.
Summary of Comments. Thirty-nine comment letters were submitted to
the docket in response to the request. Most of the respondents
indicated that they have implemented or are implementing some type of
project or plan to identify and correct Y2K-related problems in
critical systems and various equipment and machinery.
Most of the respondents stated that existing regulations do not
directly address Y2K issues. However, some stated that existing
regulations broadly cover those systems and machinery potentially
affected by Y2K, indicating that no additional regulations are
necessary. Others stated that existing regulations are ineffective for
Y2K because it is difficult to predict the effects of any potential
Y2K-related problems. We agree that the Y2K problem is unique and that
existing safety and testing requirements may not uncover a Y2K-related
problem.
Most of the respondents indicated that they would prefer that the
Coast Guard issue Y2K guidance instead of regulations. The guidance
should be a national standard that is supplemented by limited local
COTP or District Commander authority. Respondents stated that a
national standard would minimize confusion for shipping companies that
operate in multiple ports. We agree that it is important to have
consistent standards. The Coast Guard does not intend to issue new
regulations to control vessel movement or facility operations. This
temporary interim rule establishes standard Y2K preparedness reporting
requirements so COTPs can employ a consistent risk assessment
methodology. In addition, we will soon publish Navigation and Vessel
Inspection Circular (NVIC) 6-99. NVIC 6-99 sets forth a consistent,
nationwide policy that industry and COTPs can use to help assess and
reduce Y2K-related risks. The NVIC will be available on the Internet at
http://www.uscg.mil/hq/g-m/nvic/.
Most respondents indicated that manufacturers' ``Y2K
certifications'' of products and systems are not an acceptable
alternative to assessment, testing, and contingency planning. In
addition, many respondents indicated that a third party, such as a
classification society, would be a reliable Y2K ``certifying entity'';
however, no known reliable classification society will make a Y2K
certification.
Respondents suggested that the Coast Guard coordinate with a
variety of entities to address local Y2K issues and preparedness,
including: port authorities; local disaster planning agencies; vessel
and terminal operators; harbor communities; harbor safety committees;
classification societies; industry associations; and members of the
public. We agree. Captains of the Port are actively working with local
port communities to address the Y2K problem.
Most respondents indicated that some port control measures might be
appropriate with prior notice. However, most respondents stated that
those vessels, facilities, and companies that demonstrate adequate Y2K
preparedness should receive exemptions from port control measures. In
addition, most respondents stated that a blanket suspension of all port
operations is not an acceptable preventative measure for potential Y2K-
related problems because it would be extremely costly.
We generally agree with these comments. Rather than implementing
blanket control measures, the Coast Guard will use a risk assessment-
based strategy to promote port safety. The Coast Guard has developed a
standardized ``Y2K Risk Assessment Matrix'' that COTPs will use, in
tandem with the information collected through questionnaires, as a tool
to help assess vessel and marine facility preparedness for Y2K
problems. The risk assessment matrix, however, is not meant to be a
binding mechanism from which the COTP cannot deviate. It is simply one
tool that is designed to assist the COTP in making decisions regarding
maritime safety and the marine environment. The matrix assesses several
elements, including environmental factors, potential consequences of
accidents, and questionnaire responses. A vessel or marine facility
that demonstrates some level of Y2K preparedness should receive a
better overall risk factor score than a vessel or facility that is not
prepared for Y2K. However, preparedness is only one element of the risk
assessment. It is not inconceivable that a vessel or facility that
takes no Y2K preparedness actions might still be allowed to operate
during peak Y2K risk periods because its operations pose little risk
(favorable weather, current and tide conditions; low vessel traffic
density; non-hazardous cargo; etc.). Of course, we strongly encourage
all vessel and marine facility owners and operators to prepare for the
Y2K problem.
Finally, some comments urged the Coast Guard to make industry Y2K
preparedness information available to the public. Respondents were
concerned that, without a central repository for Y2K preparedness
information, companies may have to submit multiple Y2K preparedness
reports to flag state administrations, local and State government
agencies, and other companies. We agree that a central repository for
Y2K preparedness information may be a useful tool. We understand that
some commercial Internet sites may offer a similar service in the near
future; we will provide links to these commercial sites from our Y2K
Internet site (http://www.uscg.mil/hq/g-m/y2k.htm).
Why is this temporary interim rule necessary? The Discussion of
Regulatory Action section of this document discusses in detail why the
Coast Guard is issuing these temporary regulations. Responses to
questionnaires will help COTPs assess vessel and marine facility
preparedness for potential Y2K-related malfunctions of equipment and
systems. This preparedness information will help COTPs identify
potentially hazardous situations during peak Y2K risk periods so they
can take appropriate measures to promote safety and environmental
protection.
How will the Coast Guard collect Y2K preparedness information? We
will use two separate questionnaires to collect Y2K preparedness
information.
The Vessel Questionnaire includes IMO Year 2000
questionnaire 2 and United States (U.S.) Supplement 1.
The Marine Facility Questionnaire includes IMO Year 2000
questionnaire 3 and U.S. Supplement 2.
The questionnaires are based on the questionnaires found in the
IMO's Year 2000 Code of Good Practice. They have U.S.-specific
instructions and include U.S. supplements. More information on these
questionnaires, including applicability and submission requirements,
can be found in the Discussion of Interim Rule section of this
document.
How will COTPs assess Y2K-related risks for vessels and marine
facilities? With information collected from the
[[Page 33408]]
Vessel and Marine Facility Questionnaires, COTPs will use the ``Y2K
Risk Assessment Matrix'' as a tool to help them assess potential Y2K
risks associated with vessel and marine facility operations during peak
risk periods. The risk assessment matrix, however, is not meant to be a
binding mechanism from which the COTP cannot deviate. It is simply one
tool that is designed to assist the COTP in making decisions regarding
maritime safety and the marine environment. The risk assessment matrix
is part of NVIC 6-99. NVIC 6-99 will be available in the docket at the
addresses under ADDRESSES and on the Internet at http://www.uscg.mil/
hq/g-m/nvic/.
COTPs will focus their risk assessments on three peak risk periods:
Between midnight September 7, 1999 and midnight September
9, 1999 (48 hours);
Between midnight December 30, 1999 and midnight January 1,
2000 (48 hours); and
Between midnight February 27, 2000 and midnight February
29, 2000 (48 hours).
The risk assessment matrix has two sections, one for vessel
movement and one for cargo transfer operations.
Vessel Movement. The vessel movement section identifies
vessel and cargo risk factors (inspection status, cargo, vessel
history, etc.) and balances these factors with local environmental
factors (time of day, weather, etc.) and the potential consequences of
accidents (health and safety, environmental, etc.). The matrix
considers these risk factors along with mitigating factor information
obtained from the questionnaires (equipment testing, contingency
planning, etc.) to calculate an overall risk factor.
Cargo Transfer. The cargo transfer section considers cargo
risk factors, facility history, and risk mitigating factor information
obtained from questionnaires to calculate an overall risk factor.
The Y2K Risk Assessment Matrix is a tool designed to analyze
information from a variety of sources. The questionnaires required by
this temporary interim rule are only one component of the risk
assessment process. It is conceivable, if unlikely, that a vessel or
facility representative could reply ``no'' to every question on the
applicable questionnaire (indicating that no Y2K preparedness actions
have been taken) and the COTP, after conducting a risk assessment and
classifying the vessel or facility as low risk, could allow the vessel
or facility to operate without restriction during one or more peak risk
periods. A vessel or facility not prepared for Y2K could be classified
as low risk based on a number of factors such as location, weather
conditions, tide and current, type of cargo, vessel traffic density,
etc. However, in most cases, a vessel or marine facility that
demonstrates some level of Y2K preparedness should receive a better
overall risk factor score than a vessel or marine facility that is not
prepared for Y2K.
While the Coast Guard's Y2K risk assessment efforts will focus on
the specific dates of concern, it is possible that date-sensitive or
Y2K-related casualties could occur on dates other than the peak risk
periods. Such incidents should be reported to the applicable COTP under
existing casualty reporting requirements.
We encourage vessel and marine facility owners and operators to
obtain copies NVIC 6-99 so they can use the risk assessment matrix to
conduct Y2K preparedness self-assessments.
Why does the Coast Guard need to collect information before and
after the peak risk periods? Although the first peak risk period begins
at midnight on September 7, 1999, this rule requires most vessel and
facility representatives to report Y2K preparedness information by
August 1, 1999. There are over 42,000 vessels and 7,000 marine
facilities affected by this rule; most of the affected vessels are
U.S.-flag vessels. We believe most U.S.-flag vessels and marine
facilities will operate during at least one of the Y2K peak risk
periods. Given the large number of questionnaire respondents, we will
need time to input questionnaire responses into our database, and COTPs
will need time to conduct risk assessments, follow-up with vessel and
facility representatives, as necessary, and implement appropriate
control measures to promote safety and environmental protection. Based
on feedback from COTPs, vessel and marine facility owners and operators
may use the time after August 1, 1999 to take additional Y2K
preparedness actions. Owners and operators who do take additional
preparedness actions will be able to update their original
questionnaire submissions.
The major exception to the August 1, 1999 questionnaire submission
deadline is foreign vessels. Vessel Questionnaires for foreign vessels
operating in U.S. waters from August 1, 1999, through March 31, 2000
are not due until at least 24 hours prior to a vessel's first arrival
in U.S. waters after August 1, 1999. We do, however, encourage vessel
representatives to submit the required information to the Coast Guard
as soon as possible after July 1, 1999. We are interested in Y2K
preparedness information only for those foreign flag vessels operating
in U.S. waters between August 1, 1999 and March 31, 2000.
Although the last peak risk period ends at midnight on February 29,
2000, this rule is effective through March 31, 2000. We believe it is
very important to provide an extra ``period of vigilance'' because of
the remaining uncertainty about the Y2K problem. It is possible that
some Y2K-related problems may be dormant for a period of time before
they are discovered. It is also possible that new Y2K-related dates of
concern may be identified. Having an effective rule in place gives us
the needed flexibility to quickly address emerging Y2K issues.
Discussion of Interim Rule
This rulemaking will prescribe temporary Y2K preparedness reporting
requirements by adding a temporary new subpart D to 33 CFR part 160--
Year 2000 (Y2K) Preparedness Reporting for Certain Vessels and Marine
Facilities. The new subpart D contains--
applicability for certain vessels and marine facilities;
new definitions for various terms used throughout the
subpart; and
instructions for submitting the appropriate Y2K
preparedness information.
These temporary reporting requirements will help COTPs assess
potential Y2K risks associated with vessel movement and cargo transfer
during the peak risk periods.
Applicability and exemptions. The Y2K reporting requirements will
apply to:
Vessels owned in the U.S and foreign flag vessels
operating on waters subject to the jurisdiction of the U.S., bound for
a U.S. port or place of destination between August 1, 1999 and March
31, 2000;
Vessels owned in the United States and foreign flag
vessels engaged in lightering operations under part 156 of this title
on the navigable waters of the United States or in the marine
environment;
Vessels inspected under Chapter 33 of Title 46 United
States Code; and
Marine facilities.
Recreational vessels, public vessels, uninspected commercial
fishing vessels, uninspected barges, foreign flag vessels engaged in
innocent passage, and facilities directly operated by the Department of
Defense or under the authority of the Department of the Interior are
exempt from this rule.
Definitions. Subpart D contains several definitions that are
related to Y2K and these temporary reporting requirements. Some
definitions are self-
[[Page 33409]]
explanatory and are used in other Coast Guard regulations. The
following is a discussion of a few key definitions developed
specifically for the Y2K preparedness reporting requirements.
The term facility representative is defined to clarify who may
complete and submit a Facility Questionnaire on behalf of a marine
facility. A facility representative could be the facility owner,
operator, person in charge, or other employee of a marine facility who
is responsible for the facility's Y2K preparedness.
The term midnight is defined to clarify when the peak risk periods
begin and end. As used in this rule, midnight means the last moment or
end of a calendar day, i.e., 2400 hours local time on a 24-hour clock.
The term operating is defined to clarify what vessels and marine
facilities must comply with the Y2K preparedness reporting requirements
of this rule. Operating vessels include vessels underway, conducting
cargo loading/transfer operations, or carrying passengers. Operating
marine facilities include facilities conducting cargo loading/transfer
operations with vessels. Vessels and marine facilities not operating
between August 1, 1999 and March 31, 2000 do not need to meet the Y2K
preparedness reporting requirements of this rule.
The term vessel representative is defined to clarify who may
complete and submit a Vessel Questionnaire on behalf of a vessel or
fleet of vessels. A vessel representative could be the vessel owner,
agent, master, operator, person in charge, or other person who is
responsible for a vessel's or fleet's Y2K preparedness.
Vessel and Marine Facility Questionnaires. As previously discussed,
we have developed a Vessel Questionnaire and a Marine Facility
Questionnaire to collect information concerning Y2K preparedness.
Copies of the questionnaires will be available from Coast Guard Marine
Safety Offices or on the Internet at http://www.uscg.mil/hq/g-m/
y2k.htm. You can submit questionnaires via mail, fax or an Internet-
based form. We recommend that you submit questionnaires via the
Internet if possible. Questionnaires submitted on the Internet will be
password protected so only you and the Coast Guard can access your
vessel's or facility's information. If the status of your Y2K
preparedness changes or your operational plans change, you will be able
to enter your password and access your original submission, making
updates relatively easy.
Vessel Questionnaire. The Vessel Questionnaire consists of four
pages.
Page 1 includes instructions for completing the Vessel
Questionnaire. The instructions provide very specific and detailed
information on how to use the questionnaire, where to send it, when and
how to update information, etc.
Page 2 is the IMO Year 2000 Questionnaire 2. This
questionnaire is designed to collect specific Y2K preparedness
information for a vessel or fleet of vessels. (Under IMO Circular 2121,
marine facilities may request this information from visiting vessels.)
Page 3 is the U.S. Supplement 1. The Coast Guard developed
U.S. Supplement 1 to collect vessel specific information such as vessel
type and cargo. U.S. Supplement 1 also helps identify which Captain of
the Port zone(s) a vessel may be operating in between August 1, 1999
and March 31, 2000, as well as which zone(s) the vessel may be
operating in during the peak risk periods. It also asks one additional
risk assessment-related question concerning Y2K contingency planning.
Page 4 is a list of Marine Safety Offices/Captains of the
Port. It provides contact addresses and fax numbers.
Marine Facility Questionnaire. The Marine Facility Questionnaire
consists of four pages.
Page 1 includes instructions for completing the Marine
Facility questionnaire. The instructions provide very specific and
detailed information on how to use the questionnaire, where to send it,
when and how to update information, etc.
Page 2 is the IMO Year 2000 Questionnaire 3. It is
designed to collect specific Y2K preparedness information for marine
facilities. (Under IMO Circular 2121, visiting vessels may request this
information from marine facilities.)
Page 3 is the U.S. Supplement 2. The Coast Guard developed
U.S. Supplement 2 to collect facility-specific information such as name
and type of facility. It also asks one additional risk assessment-
related question concerning Y2K remedial actions.
Page 4 is a list of Marine Safety Offices/Captains of the
Port. It provides contact addresses and fax numbers.
Y2K reporting requirements for vessels owned in the United States.
If you are the vessel representative of a vessel owned in the U.S. that
will operate during any of the peak risk periods, you must submit a
Vessel Questionnaire so it is received by the Coast Guard no later than
August 1, 1999.
If you are the vessel representative of a vessel owned in the U.S.
that will not operate during any of the peak risk periods, but will
operate during the period August 1, 1999, through March 31, 2000, you
must submit a U.S. Supplement 1 (page 3 of the Vessel Questionnaire) so
it is received by the Coast Guard no later than August 1, 1999. You do
not need to submit an IMO Year 2000 Questionnaire 2 (page 2 of the
Vessel Questionnaire).
You may submit one copy of the IMO Year 2000 Questionnaire 2 on
behalf of an entire fleet of vessels if the same Y2K preparedness
information applies to all vessels within the fleet. However, you must
submit a U.S. Supplement 1 (page 3 of the Vessel Questionnaire) for
each vessel in the fleet. If any vessel(s) in your fleet has a
different level of Y2K preparedness, you must submit a separate Vessel
Questionnaire for that vessel(s).
If the Y2K preparedness status of your vessel(s) changes, or your
operational plans change, you must submit a new or updated Vessel
Questionnaire or updated U.S. Supplement 1 as soon as possible. If you
submit updated information during any of the peak risk periods, you
must instead submit it to the applicable COTP. This process will ensure
that the COTP has the most up-to-date information available for your
vessel(s).
The Coast Guard is currently putting the final touches on its Y2K
questionnaire data processing system and should have the system up and
running by July 1, 1999. Please do not submit Vessel Questionnaires or
U.S. Supplement 1's to the Coast Guard prior to July 1, 1999.
Y2K reporting requirements for foreign flag vessels. If you are a
representative of a foreign flag vessel that will operate on waters
subject to the jurisdiction of the U.S. during any of the peak risk
periods, you must submit a Vessel Questionnaire so it is received by
the Coast Guard no later than 24 hours prior to the vessel's first
arrival in a U.S. port or place of destination on or after August 1,
1999.
If you are a representative of a foreign flag vessel that will not
operate on waters subject to the jurisdiction of the U.S. during any of
the peak risk periods, but will operate on these waters during the
period August 1, 1999, through March 31, 2000, you must submit a U.S.
Supplement 1 (page 3 of the Vessel Questionnaire) so it is received by
the Coast Guard no later than 24 hours prior to the vessel's first
arrival in a U.S. port or place of destination on or after August 1,
1999. You do not need to
[[Page 33410]]
submit an IMO Year 2000 Questionnaire 2 (page 2 of the Vessel
Questionnaire).
You may submit one copy of the IMO Year 2000 Questionnaire 2 on
behalf of an entire fleet of vessels if the same Y2K preparedness
information applies to all vessels within the fleet. However, you must
submit a U.S. Supplement 1 (page 3 of the Vessel Questionnaire) for
each vessel in the fleet. If any vessel(s) in your fleet has a
different level of Y2K preparedness, you must submit a separate Vessel
Questionnaire for that vessel(s).
If the Y2K preparedness status of your vessel(s) changes, or your
operational plans change, you must submit a new or updated Vessel
Questionnaire or updated U.S. Supplement 1 as soon as possible. If you
submit updated information during any of the peak risk periods, you
must instead submit it to the applicable COTP. This process will ensure
that the COTP has the most up-to-date information available for your
vessel(s).
Though these regulations require submission of information at least
24 hours prior to your vessel's arrival in the U.S., you are encouraged
to submit information as soon as practicable in case corrective actions
become necessary. You do not need to provide Y2K preparedness
information for a vessel that will not operate in U.S. waters between
August 1, 1999 and March 31, 2000.
The Coast Guard is currently putting the final touches on its Y2K
questionnaire data processing system and should have the system up and
running by July 1, 1999. Please do not submit Vessel Questionnaires or
U.S. Supplement 1's to the Coast Guard prior to July 1, 1999.
Y2K reporting requirements for marine facilities. If you are a
representative of a marine facility that will operate during any of the
peak risk periods, you must submit a Marine Facility Questionnaire so
that it is received by the Coast Guard no later than August 1, 1999.
If you are a representative of a marine facility that will not
operate during any of the peak risk periods, but will operate during
the period August 1, 1999, through March 31, 2000, you must submit a
U.S. Supplement 2 (page 3 of the Marine Facility Questionnaire) so that
it is received by the Coast Guard no later than August 1, 1999. You do
not need to submit an IMO Year 2000 Questionnaire 3 (page 2 of the
Marine Facility Questionnaire).
If your facility's Y2K preparedness or operational plans change,
you must submit a new or updated Marine Facility Questionnaire or
updated U.S. Supplement 2 as soon possible. If your facility's Y2K
status or operational plans change during any of the peak risk periods,
you must instead submit the updated information to the applicable COTP.
This process will ensure that the COTP has the most up-to-date
information available for your facility.
The Coast Guard is currently putting the final touches on its Y2K
questionnaire data processing system and should have the system up and
running by July 1, 1999. Please do not submit Marine Facility
Questionnaires or U.S. Supplement 2's to the Coast Guard prior to July
1, 1999.
Regulatory Evaluation
This temporary 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, l979).
We expect the economic impact of this temporary interim rule to be
so minimal that a full Regulatory Evaluation under paragraph 10e of the
regulatory policies and procedures of DOT is unnecessary.
Costs
The costs of the rule are the labor costs and Internet, fax, and
mail costs required by industry to complete and submit the
questionnaires, plus costs to the government. The total cost of the
rule to industry and government is $385,262 ($282,262 industry costs
plus $103,000 government costs).
Benefits
This rule will provide Coast Guard COTPs with critical Y2K
preparedness information on vessels and marine facilities. COTPs will
use this information to identify potentially high risk operations
during peak risk periods so appropriate measures can be taken to
promote safety and environmental protection.
Small Entities
Since we did not publish a notice of proposed rulemaking, this
action is not covered by the Regulatory Flexibility Act (5 U.S.C. 601-
612). However, we have considered whether this temporary interim rule
would 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 less than 50,000.
Small entities that own or operate marine facilities, certain U.S.
vessels, or foreign flag vessels that operate on U.S. waters from
August 1, 1999, through March 31, 2000 are affected by this rule. Small
entities that own or operate uninspected commercial fishing vessels,
uninspected passenger vessels, uninspected barges, recreational
vessels, and public vessels are exempted from this rule.
The Marine Facility Questionnaire will take each marine facility
representative, on average, 8 minutes to complete and submit. At an
average unit labor cost of $45 per hour, we estimate the average labor
cost to complete and submit the Marine Facility Questionnaire is $5.85
per facility. Each facility representative can submit the completed
questionnaire either by Internet, fax, or mail. Delivery costs range
from $0 (Internet) to $1.30 (fax). Thus, the total cost to a marine
facility, on average, is expected to range from $5.85 to $7.15.
It is expected to take a vessel representative, on average, 13
minutes to complete a Vessel Questionnaire (includes 8 minutes to
complete IMO Year 2000 Questionnaire 2 and 5 minutes to complete U.S.
Supplement 1). The total cost for a single vessel, on average, is
expected to range from $9.45 to $10.75 (depending on delivery costs).
For each additional vessel in a fleet, total labor cost increases by
$3.60 per vessel, and total delivery cost increases by $0 to $0.65,
depending upon method of delivery.
The smaller a company's fleet, the smaller the hour burden and
labor cost to complete and submit the Vessel Questionnaire. Because
fleet size is a reasonable measure of entity size, we expect small
entities to have relatively small fleets. According to the Coast
Guard's database, a U.S. vessel company, on average, has 4 vessels.
Thus, the total hour burden and total cost of this rule to an entity
with an average fleet is 0.47 hours and from $21.15 to $24.58,
respectively. We expect the hour burden and cost of this rule to small
entities to be less than this average.
Therefore, the Coast Guard certifies under 5 U.S.C. 605(b) that
this temporary interim rule would not have a significant economic
impact on a substantial number of small entities.
Assistance for Small Entities
Under section 213(a) of the Small Business Regulatory Enforcement
[[Page 33411]]
Fairness Act of 1996 (Pub. L. 104-121), we want to assist small
entities in understanding this temporary interim rule so that they can
better evaluate its effects on them and participate in the rulemaking.
If the rule will affect your small business, organization, or
governmental jurisdiction and you have questions concerning its
provisions or options for compliance, please call Mr. John Hannon at
(202) 267-1464.
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).
Collection of Information
This temporary interim rule calls for a collection of information
under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). 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.
Title: Year 2000 (Y2K) Reporting Requirements for Vessels and
Marine Facilities
Summary of the Collection of Information: Approximately 7,821
marine facilities, 42,819 vessels (and 22,151 vessel owners/operators)
are affected by this temporary interim rule. We expect 50,640 U.S.
Supplements and 19,327 IMO Year 2000 Questionnaires will be submitted
by vessel and marine facility representatives. The total hour burden of
this rule to respondents is 5,939 hours. The total labor cost of this
rule to respondents is estimated to be $267,255. The total delivery/
submission cost is estimated to be $15,007. Thus, the total cost to
respondents is estimated to be $282,262.
Need for Information: At present, there are no regulations that
require either vessels or marine facilities to disclose their Y2K
preparedness. The Y2K preparedness information required by this rule
will help COTPs assess vessel and marine facility preparedness for
potential Y2K-related malfunctions of equipment and systems. This
preparedness information will help COTPs identify potentially hazardous
situations during peak Y2K risk periods, enabling them to take
appropriate measures to promote port safety and environmental
protection.
Proposed Use of Information: To help COTPs conduct Y2K risk
assessments for their ports. Risk assessments will identify potentially
hazardous situations during peak risk periods so appropriate measures
can be taken to help ensure port safety and environmental protection.
Description of the Respondents: Marine facilities and vessels that
arrive in, operate in, and reside in U.S. ports from August 1, 1999,
through March 31, 2000.
Number of Respondents: 7,821 marine facilities and 42,819 vessels
(22,151 owners/operators)
Frequency of Response: One questionnaire per marine facility and
one questionnaire per vessel (or owner/operator), or as needed.
Burden of Response: According to the Coast Guard's MSMS database,
there are 7,821 marine facilities and 42,819 certain U.S. and foreign
vessels that arrive in, operate in, and reside at U.S. ports during an
eight-month time frame.
A Marine Facility Questionnaire (includes an IMO Year 2000
Questionnaire 3 and U.S. Supplement 2) must be submitted for each
marine facility by August 1, 1999. The Coast Guard estimates it will
take a facility representative, on average, 8 minutes (0.13 hours) to
complete and submit the Marine Facility Questionnaire. The total hour
burden to marine facilities is 1,017 hours. At an average unit labor
cost of $45 per hour, the total labor cost of this rule to marine
facilities is $45,765.
A marine facility representative can submit the required
information by Internet, fax, or mail. The Coast Guard estimates the
average delivery cost to be $0 if sent by Internet, $1.30 if sent by
fax, and $0.33 by U.S. mail. Most marine facilities are connected to
the Internet, so the Coast Guard expects 75% of facility
representatives to submit the required information by Internet, 20% by
fax, and the remaining 5% by mail. The total delivery cost to marine
facilities is estimated to be $2,162. Thus, the total cost of this
information collection to marine facilities is expected to be $47,927.
According to the Coast Guard's MSMS database, 37,171 U.S. vessels
and 8,682 U.S. vessel owning or operating companies are affected by
this rule. A U.S. vessel owning or operating company owns, on average,
4 vessels.
Each U.S. company will be required to complete U.S. Supplement 1
(part of the Vessel Questionnaire) for every vessel in its fleet that
arrives in, operates in, or resides in U.S. ports from August 1, 1999,
through March 31, 2000. We expect that 37,171 U.S. Supplement 1's will
be submitted for U.S. vessels. Each company that has a vessel arriving
in, operating in, or residing at U.S. waters during any of the three
peak risk periods must submit IMO Year 2000 Questionnaire 2. We expect
all U.S. vessels will operate in U.S. waters during at least one of the
peak risk periods; therefore, we expect that 8,682 Questionnaire 2's
will be submitted for U.S. vessels. The Coast Guard estimates it will
take, on average, 5 minutes (0.08 hours) to complete and submit U.S.
Supplement 1 for every vessel and, on average, 8 minutes (0.13 hours)
to complete and submit IMO Year 2000 Questionnaire 2. Thus, the total
hour burden to U.S. vessel companies is 4,103 hours (2,974 + 1,129).
With an average unit labor cost of $45 per hour, we expect the total
labor cost to owners/operators of U.S. vessels is $184,635.
The Coast Guard estimates the average delivery cost for the
required vessel information is $0 for Internet submission, $0.65 per
page by fax, or $0.53 for 5 pages by U.S. mail. Furthermore, the Coast
Guard estimates that a third of the vessel representatives will deliver
the required information by Internet, a third by fax, and the remaining
third by mail. U.S. vessel representatives will submit a total of
45,853 submissions (37,171 U.S. Supplement 1's and 8,682 IMO Year 2000
Questionnaire 2's). Thus, the total delivery cost for Internet
submission is $0; to fax is $9,934, and to mail is $1,534. The total
delivery cost to owners/agents of U.S. vessels is $11,468.
The total cost of this rule to U.S. vessels is $196,103.
According to the Coast Guard's MSMS database, 8,475 foreign vessels
arrived in U.S. ports in 1998. Given that number, we assume an average
of 706 foreign flag vessels per month are affected by this rule. Thus,
we expect 5,648 foreign vessels to arrive in U.S. ports from August 1,
1999, through March 31, 2000. Thus, we expect that 5,648 U.S.
Supplement 1's will be submitted by foreign flag vessel
representatives. (5,509 Supplement 1's will be submitted to Coast Guard
Headquarters and 139 Supplement 1's will be submitted to Captains of
the Port).
[[Page 33412]]
The Coast Guard estimates that 50% of the 5,648 foreign flag
vessels will operate in U.S. waters during the peak Y2K risk periods.
Thus, we expect that a total of 2,824 IMO Year 2000 Questionnaire 2's
will be submitted by foreign flag vessel representatives. (69 will be
submitted to Captains of the Port, while 2,755 will be submitted to
Coast Guard Headquarters).
The Coast Guard estimates it will take, on average, 5 minutes (0.08
hours) to complete and submit U.S. Supplement 1, and 8 minutes (0.13
hours) to complete and submit IMO Year 2000 Questionnaire 2.
Consequently, the total hour burden to foreign flag vessels is 819
hours (452 + 367). At a unit labor cost of $45 per hour, the total
labor cost is $36,855.
We expect foreign flag vessel representatives to submit a total of
8,472 submissions (2,824 IMO Year 2000 Questionnaires and 5,648 U.S.
Supplement 1's). The Coast Guard estimates that 75% (6,354 pages will
be submitted by Internet, and the remaining 25% (2,118 pages) by fax.
At a cost of $0 per page to Internet, and $0.65 per page to fax, we
estimate the total delivery cost to foreign flag vessels is $1,377.
The total cost of this rule to foreign flag vessels is $38,232
(36,855 + 1,377).
The total cost of this rule to industry is $282,262 [$47,927
(marine facilities) plus $196,103 (U.S. vessels) plus $38,232 (foreign
vessels)].
Estimate of Total Annual Burden: The temporary interim rule
implementing this collection will be effective from July 23, 1999
through March 31, 2000.
As required by the Paperwork Reduction Act of 1995 (44 U.S.C.
3507(d)), we have submitted a copy of this temporary interim rule to
the Office of Management and Budget (OMB) for its review of the
collection of information.
We ask for public comment on the collection of information to help
us determine how useful the information is; whether it can help us
perform our functions better; whether it is readily available
elsewhere; how accurate our estimate of the burden of collection is;
how valid our methods for determining burden are; how we can improve
the quality, usefulness, and clarity of the information; and how we can
minimize the burden of collection.
If you submit comments on the collection of information, submit
them both to OMB and to the Docket Management Facility where indicated
under ADDRESSES, by the date under DATES.
You need not respond to a collection of information unless it
displays a currently valid control number from OMB. The Coast Guard has
received emergency approval from OMB on the collection of information
requirements (OMB approval number 2115-0639). This emergency OMB
approval is effective for six months. Prior to the expiration of the
emergency approval, the Coast Guard will submit the requirements to OMB
for renewal.
Federalism
We have analyzed this temporary interim rule under E.O. 12612 and
have determined that this rule does not have sufficient implications
for federalism to warrant the preparation of a Federalism Assessment.
Unfunded Mandates
The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538) and
E.O. 12875, Enhancing the Intergovernmental Partnership, (58 FR 58093;
October 28, 1993) govern the issuance of Federal regulations that
require unfunded mandates. An unfunded mandate is a regulation that
requires a State, local, or tribal government or the private sector to
incur direct costs without the Federal Government's having first
provided the funds to pay those costs. This temporary interim rule
would not impose an unfunded mandate.
Taking of Private Property
This temporary interim rule would not effect a taking of private
property or otherwise have taking implications under E.O. 12630,
Governmental Actions and Interference with Constitutionally Protected
Property Rights.
Civil Justice Reform
This temporary interim rule meets applicable standards in sections
3(a) and 3(b)(2) of E.O. 12988, Civil Justice Reform, to minimize
litigation, eliminate ambiguity, and reduce burden.
Protection of Children
We have analyzed this temporary interim rule under E.O. 13045,
Protection of Children from Environmental Health Risks and Safety
Risks. This rule is not an economically significant rule and does not
concern an environmental risk to health or risk to safety that may
disproportionately affect children.
Environment
We considered the environmental impact of this temporary interim
rule and concluded that, under figure 2-1, paragraph (34)(i), of
Commandant Instruction M16475.lC, this rule is categorically excluded
from further environmental documentation. This rule establishes
temporary reporting requirements that will assist the Coast Guard in
assessing Y2K-related risks. A ``Categorical Exclusion Determination''
is available in the docket where indicated under ADDRESSES.
List of Subjects 33 CFR Part 160
Administrative practice and procedure, Harbors, Hazardous material
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 set forth below:
PART 160--PORTS AND WATERWAYS SAFETY--GENERAL
1. The authority citation for part 160 is amended to read as
follows:
Authority: 33 U.S.C. 1223, 1231; 49 CFR 1.46. Subpart D is also
issued under the authority of 33 U.S.C. 1225 and 46 U.S.C. 3715.
2. Subpart D is added to part 160 effective July 23, 1999 through
March 31, 2000, to read as follows:
Subpart D--Year 2000 (Y2K) Preparedness Reporting for Certain Vessels
and Marine Facilities
Sec.
160.301 What is the purpose of this subpart?
160.303 When is this subpart effective?
160.305 To which vessels and facilities does this subpart apply?
160.307 Which vessels and facilities are exempt from this subpart?
160.309 What definitions apply to this subpart?
160.311 What are the Year 2000 (Y2K) peak risk periods?
160.313 What are the Year 2000 (Y2K) reporting requirements for
vessels owned in the United States?
160.315 What are the Year 2000 (Y2K) reporting requirements for
foreign flag vessels?
160.317 What are the Year 2000 (Y2K) reporting requirements for
marine facilities?
Appendix A to Subpart D of Part 160--United States Coast Guard
Vessel Questionnaire
Appendix B to Subpart D of Part 160--United States Coast Guard
Marine Facility Questionnaire
Subpart D--Year 2000 (Y2K) Preparedness Reporting for Certain
Vessels and Marine Facilities
Authority: 33 U.S.C. 1223, 1231; 49 CFR 1.46. Subpart D is also
issued under the authority of 33 U.S.C. 1225 and 46 U.S.C. 3715.
[[Page 33413]]
Sec. 160.301 What is the purpose of this subpart?
This subpart contains temporary regulations implementing the Ports
and Waterways Safety Act (33 U.S.C. 1221 et seq.) and related statutes.
The information collected as a result of these temporary regulations
will help Captains of the Port assess vessel and marine facility
preparedness for potential Year 2000-related malfunctions.
Sec. 160.303 When is this subpart effective?
This subpart is effective from July 23, 1999 through March 31,
2000.
Sec. 160.305 To which vessels and facilities does this subpart apply?
This subpart applies to:
(a) Vessels owned in the United States and foreign flag vessels
operating on waters subject to the jurisdiction of the U.S. between
August 1, 1999, and March 31, 2000;
(b) Vessels owned in the United States and foreign flag vessels
engaged in lightering operations under part 156 of this title on the
navigable waters of the United States or in the marine environment;
(c) Vessels inspected under Chapter 33 of Title 46 United States
Code; and
(d) Marine facilities as defined in Sec. 160.309.
Sec. 160.307 Which vessels and facilities are exempt from this
subpart?
The following vessels and facilities are exempt from this subpart:
(a) Recreational vessels under 46 U.S.C. 4301 et seq.;
(b) Public vessels;
(c) Uninspected commercial fishing vessels;
(d) Uninspected barges;
(e) Foreign flag vessels engaged in innocent passage;
(f) Uninspected passenger vessels; and
(g) Facilities directly operated by the Department of Defense or
under the authority of the Department of the Interior.
Sec. 160.309 What definitions apply to this subpart?
As used in this subpart:
Agent means any person, partnership, firm, company, or corporation
engaged by the owner or charterer of the vessel to act in their behalf
in matters concerning the vessel.
Facility Representative means the owner, operator, person in
charge, or employee of a marine facility who is responsible for the
facility's Y2K preparedness.
Marine facility means any facility designated by the following:
(1) 33 CFR 125.07 or 126.01 as a Waterfront Facility;
(2) 33 CFR 126.05 as a Designated Waterfront Facility;
(3) 33 CFR 127.005 as a Waterfront Facility Handling Liquefied
Hazardous Gas (LNG) or Liquefied Natural Gas (LNG);
(4) 33 CFR 148.3 as a Deepwater Port;
(5) 33 CFR 154.105 as a Facility, Mobile Facility, or Offshore
Facility; or
(6) 33 CFR 154.1020 as a Marine Transportation-related Facility.
Marine Facility Questionnaire means ``IMO Year 2000 Questionnaire 3
(IMO circular letter 2121, Appendix 3) and U.S. Supplement 2'' for
marine facilities.
Midnight means the last moment or end of a calendar day, i.e., 2400
hours local time on a 24-hour clock.
Operating means vessels underway, conducting cargo loading/transfer
operations, or carrying passengers, or facilities conducting cargo
loading/transfer operations with vessels.
Operator means any person including, but not limited to, an owner,
a demise or bareboat charterer, or a contractor who conducts, or is
responsible for, the operation of a vessel.
Port or place of departure means any port or place in which a
vessel is anchored or moored.
Port or place of destination means any port or place to which a
vessel is bound to anchor or moor.
Recreational vessel means a vessel being used only for pleasure as
defined in 46 U.S.C. 2101(25).
Vessel includes every description of watercraft or other artificial
contrivance used, or capable of being used, as a means of
transportation on water.
Vessel owned in the United States means any vessel documented or
numbered under the laws of the United States; and, any vessel owned by
a citizen of the United States that is not documented or numbered by
any nation.
Vessel Questionnaire means ``IMO Year 2000 Questionnaire 2 (IMO
circular letter 2121, Appendix 2) and U.S. Supplement 1'' for vessels.
Vessel Representative means the owner, agent, master, operator,
person in charge, or other person responsible for a vessel's or fleet's
Y2K preparedness.
Year 2000 (Y2K) preparedness means checking for the proper
operation of systems that include, but are not limited to, power
generation equipment, steering and propulsion, loading and unloading
equipment, and alarms into the next century on all potential risk
dates; preparing for the Y2K risk dates which may require updating
software and hardware and replacing systems, subsystems, or components;
and determining that other computer-based systems' data exchanges
internal or external to the company's, vessel's, or marine facility's
will also correctly function before, into, and during the Year 2000.
Sec. 160.311 What are the Year 2000 (Y2K) peak risk periods?
The Y2K peak risk periods are:
(a) Between midnight September 7, 1999, and midnight September 9,
1999;
(b) Between midnight December 30, 1999, and midnight January 1,
2000; and
(c) Between midnight February 27, 2000, and midnight February 29,
2000.
Sec. 160.313 What are the Year 2000 (Y2K) reporting requirements for
vessels owned in the United States?
(a) The vessel representative of a vessel owned in the United
States must submit the following information--
(1) If your vessel will operate during any of the peak risk periods
identified in Sec. 160.311, you must submit a Vessel Questionnaire, as
contained in Appendix A to this subpart, so that it is received by the
U.S. Coast Guard no later than August 1, 1999.
(2) If your vessel will not operate during any of the peak risk
periods identified in Sec. 160.311, but will operate during the period
August 1, 1999, through March 31, 2000, you must submit U.S. Supplement
1 (page 3 of the Vessel Questionnaire as contained in Appendix A to
this subpart) so that it is received by the U.S. Coast Guard no later
than August 1, 1999.
(b) You must submit the information required by paragraph (a) of
this section to the U.S. Coast Guard by one of the following means.
(1) By mail to: United States Coast Guard (MOC/Y2K), c/o The
Centech Group, 2000 N. 14th Street, Suite 700, Arlington, VA 22201;
(2) By fax to: 1-800-825-4357; or
(3) Electronically via the Internet at: http://www.ucsg.mil/hq/g-m/
y2k.htm.
(c) You may submit one copy of the IMO Year 2000 Questionnaire 2
(page 2 of the Vessel Questionnaire contained in Appendix A to this
subpart) on behalf of your entire fleet if the same information
provided in the IMO Year 2000 Questionnaire 2 applies to all vessels
within the fleet, unless circumstances as described in paragraphs (f)
or (g) of this section apply. You must still complete a U.S. Supplement
1 for each vessel operating between August 1, 1999, and March 31, 2000.
(d) For vessels described in paragraph (a)(1) of this section, you
must notify the U.S. Coast Guard, through the completion of a Vessel
Questionnaire
[[Page 33414]]
contained in Appendix A to this subpart. The information required to
complete the questionnaire includes:
(1) Name of person completing the questionnaire;
(2) Company contact personnel and address, phone number, facsimile
number (if available), and electronic mail address (if available);
(3) Vessel's name;
(4) Vessel's type;
(5) Cargo type;
(6) Vessel's gross tonnage;
(7) Vessel's Flag State;
(8) Vessel's IMO or Official Number;
(9) Captain of the Port zone(s) the vessel may be operating in from
August 1, 1999, through March 31, 2000.
(10) Status of Y2K preparedness.
(e) For vessels described in paragraph (a)(2) of this section, you
must notify the U.S. Coast Guard, through the completion of a U.S.
Supplement 1 (page 3 of the Vessel Questionnaire contained in Appendix
A to this subpart). The information required to complete the supplement
includes:
(1) Name of person completing the questionnaire;
(2) Company contact personnel and address, phone number, facsimile
number (if available), and electronic mail address (if available);
(3) Vessel's name;
(4) Vessel's type;
(5) Cargo type;
(6) Vessel's gross tonnage;
(7) Vessel's Flag State;
(8) Vessel's IMO or Official Number;
(9) Captain of the Port zone(s) the vessel may be operating in from
August 1, 1999, through March 31, 2000.
(f) If the Y2K preparedness or operational plans of your vessel(s)
changes after the initial submission of a Vessel Questionnaire or U.S.
Supplement 1, you must submit an updated or new Vessel Questionnaire or
updated U.S. Supplement 1 by the means described in paragraph (b) of
this section.
(g) If you submit a new or updated Vessel Questionnaire, as
contained in Appendix A to this subpart, during any of the peak risk
periods identified in Sec. 160.311, you must submit the information to
the Captain of the Port for each port or place of destination the
vessel will operate in instead of by one of the means described in
paragraph (b) of this section.
Sec. 160.315 What are the Year 2000 (Y2K) reporting requirements for
foreign flag vessels?
(a) The vessel representative of a foreign flag vessel must submit
the following information--
(1) If your vessel will operate on waters subject to the
jurisdiction of the U.S. during any of the peak risk periods identified
Sec. 160.311, you must submit a Vessel Questionnaire, as contained in
Appendix A to this subpart, so that it is received by the U.S. Coast
Guard no later than 24 hours prior to arrival in a U.S. port or U.S.
place of destination.
(2) If your vessel will not operate on waters subject to the
jurisdiction of the U.S. during any of the peak risk periods identified
in Sec. 160.311, but will operate on waters subject to the jurisdiction
of the U.S. during the period August 1, 1999, through March 31, 2000,
you must submit U.S. Supplement 1 (page 3 of the Vessel Questionnaire
as contained in Appendix A to this subpart) so that it is received by
the U.S. Coast Guard no later than 24 hours prior to arrival in a U.S.
port or U.S. place of destination.
(b) You must submit the information required by paragraph (a) of
this section to the U.S. Coast Guard by one of the following means:
(1) By mail to: United States Coast Guard (MOC/Y2K), c/o The
Centech Group 2000 N. 14th Street, Suite 700, Arlington, VA 22201;
(2) By fax to: 1-800-825-4357; or
(3) Electronically via the Internet at: http://www.ucsg.mil/hq/g-m/
y2k.htm.
(c) You may submit one copy of the IMO Year 2000 Questionnaire 2
(page 2 of the Vessel Questionnaire contained in Appendix A to this
subpart) on behalf of your entire fleet if the same information
provided in the IMO Year 2000 Questionnaire 2 applies to all vessels
within the fleet, unless circumstances as described in paragraphs (f)
or (g) of this section apply. You must still complete a U.S. Supplement
1 for each vessel operating on waters subject to the jurisdiction of
the U.S. between August 1, 1999, and March 31, 2000.
(d) For vessels described in paragraph (a)(1) of this section, you
must notify the U.S. Coast Guard, through the completion of a Vessel
Questionnaire contained in Appendix A to this subpart. The information
required to complete the questionnaire includes:
(1) Name of person completing the questionnaire;
(2) Company contact personnel and address, phone number, facsimile
number (if available), and electronic mail address (if available);
(3) Vessel's name;
(4) Vessel's type;
(5) Cargo type;
(6) Vessel's gross tonnage;
(7) Vessel's Flag State;
(8) Vessel's IMO or Official Number;
(9) Captain of the Port zone(s) the vessel may be operating in from
August 1, 1999, through March 31, 2000.
(10) Status of Y2K preparedness.
(e) For vessels described in paragraph (a)(2) of this section, you
must notify the U.S. Coast Guard, through the completion of a U.S.
Supplement 1 (page 3 of the Vessel Questionnaire contained in Appendix
A to this subpart). The information required to complete the supplement
includes:
(1) Name of person completing the questionnaire;
(2) Company contact personnel and address, phone number, facsimile
number (if available), and electronic mail address (if available);
(3) Vessel's name;
(4) Vessel's type;
(5) Cargo type;
(6) Vessel's gross tonnage;
(7) Vessel's Flag State;
(8) Vessel's IMO or Official Number;
(9) Captain of the Port zone(s) the vessel may be operating in from
August 1, 1999, through March 31, 2000.
(f) If the Y2K preparedness or operational plans of your vessel(s)
changes after the initial submission of a Vessel Questionnaire or U.S.
Supplement 1, you must submit an updated or new Vessel Questionnaire or
updated U.S. Supplement 1 by the means described in paragraph (b) of
this section.
(g) If you submit a new or updated Vessel Questionnaire, as
contained in Appendix A to this subpart, during any of the peak risk
periods identified in Sec. 160.311, you must submit the information to
the Captain of the Port for each port or place of destination the
vessel will operate in instead of by one of the means described in
paragraph (b) of this section.
Sec. 160.317 What are the Year 2000 (Y2K) reporting requirements for
marine facilities?
(a) The facility representative of a marine facility must submit
the following information--
(1) If your marine facility will operate during any of the peak
risk periods identified Sec. 160.311, you must submit a Marine Facility
Questionnaire, as contained in Appendix B to this subpart, so that it
is received by the U.S. Coast Guard no later than August 1, 1999.
(2) If your marine facility will not operate during any of the peak
risk periods identified in Sec. 160.311, but will operate during the
period August 1, 1999, through March 31, 2000, you must submit U.S.
Supplement 2 (page 3 of the Marine Facility Questionnaire as contained
in Appendix B to this subpart) so that it is received by the U.S. Coast
Guard no later than August 1, 1999.
(b) You must submit the information required by paragraph (a) of
this section
[[Page 33415]]
to the U.S. Coast Guard by one of the following means:
(1) By mail to: United States Coast Guard (MOC/Y2K), c/o The
Centech Group, 2000 N. 14th Street, Suite 700, Arlington, VA 22201;
(2) By fax to: 1-800-825-4357; or
(3) Electronically via the Internet at: http://www.ucsg.mil/hq/g-m/
y2k.htm.
(c) For marine facilities described in paragraph (a)(1) of this
section, you must notify the U.S. Coast Guard, through the completion
of a Marine Facility Questionnaire contained in Appendix B to this
subpart. The information required to complete the questionnaire
includes:
(1) Captain of the Port zone the facility is located in;
(2) Name of facility;
(3) Type(s) of facility;
(4) Name of company;
(5) Name and title of person providing Y2K preparedness
information;
(6) Company contact personnel and address, phone number, facsimile
number (if available), and electronic mail address (if available); and
(7) Status of Y2K preparedness.
(d) For marine facilities described in paragraph (a)(2) of this
section, you must notify the U.S. Coast Guard, through the completion
of a U.S. Supplement 2 (page 3 of the Marine Facility Questionnaire
contained in Appendix B to this subpart). The information required to
complete the supplement includes:
(1) Captain of the Port zone the facility is located in;
(2) Name of facility;
(3) Type(s) of facility;
(4) Name of company;
(5) Name and title of person providing Y2K preparedness
information; and
(6) Company contact personnel and address, phone number, facsimile
number (if available), and electronic mail address (if available).
(f) If the Y2K preparedness or operational plans of your marine
facility changes after the initial submission of a Marine Facility
Questionnaire or U.S. Supplement 2, you must submit an updated or new
Marine Facility Questionnaire or updated U.S. Supplement 2 by the means
described in paragraph (b) of this section.
(g) If you submit a new or updated Marine Facility Questionnaire,
as contained in Appendix B to this subpart, during any of the peak risk
periods identified in Sec. 160.311, you must submit the information to
the Captain of the Port for the place the facility operates in instead
of by one of the means described in paragraph (b) of this section.
BILLING CODE 4910-15-P
[[Page 33416]]
Appendix A to Subpart D of Part 160--United States Coast Guard
Vessel Questionnaire
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[[Page 33417]]
[GRAPHIC] [TIFF OMITTED] TR23JN99.071
[[Page 33418]]
[GRAPHIC] [TIFF OMITTED] TR23JN99.072
[[Page 33419]]
[GRAPHIC] [TIFF OMITTED] TR23JN99.073
[[Page 33420]]
Appendix B to Subpart D of Part 160--United States Coast Guard
Marine Facility Questionnaire
[GRAPHIC] [TIFF OMITTED] TR23JN99.074
[[Page 33421]]
[GRAPHIC] [TIFF OMITTED] TR23JN99.075
[[Page 33422]]
[GRAPHIC] [TIFF OMITTED] TR23JN99.076
[[Page 33423]]
[GRAPHIC] [TIFF OMITTED] TR23JN99.077
[[Page 33424]]
Dated: June 15, 1999.
R.C. North,
Assistant Commandant for Marine Safety and Environmental Protection.
[FR Doc. 99-15985 Filed 6-18-99; 3:21 pm]
BILLING CODE 4910-15-C
