94-17531. Implementation of the Port-State Control Initiative  

  • [Federal Register Volume 59, Number 137 (Tuesday, July 19, 1994)]
    [Unknown Section]
    [Page 0]
    From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
    [FR Doc No: 94-17531]
    
    
    [[Page Unknown]]
    
    [Federal Register: July 19, 1994]
    
    
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    DEPARTMENT OF TRANSPORTATION
    [CGD 94-047]
    
     
    
    Implementation of the Port-State Control Initiative
    
    AGENCY: Coast Guard, DOT.
    
    ACTION: Notice.
    
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    SUMMARY: The Coast Guard has implemented a port-state control 
    initiative to identify and eliminate the operation of substandard ships 
    in U.S. waters. The Coast Guard is increasing its enforcement efforts 
    against these vessels. This notice is published to ensure wide 
    dissemination of this information to those who may be affected by it.
    
    DATES: Effective May 1, 1994.
    
    ADDRESSES: Commandant (G-M), U.S. Coast Guard Headquarters, 2100 Second 
    Street SW., Washington, DC 20593-0001, telephone (202) 267-1464.
    
    FOR FURTHER INFORMATION CONTACT:
    Commander Joseph J. Saboe, Project Manager, Merchant Vessel Inspection 
    and Documentation Division (G-MVI-1), U.S. Coast Guard Headquarters, 
    2100 Second Street, SW., Washington, DC 20593-0001, telephone (202) 
    267-1464.
    
    SUPPLEMENTARY INFORMATION:
    
    Background and Purpose
    
        The Coast Guard examines and inspects ships under the authority of 
    a number of existing statutory and international convention provisions. 
    This port-state control initiative uses a risk management approach to 
    focus the Coast Guard's attention and resources on those foreign 
    vessels which potentially pose the greatest threat to the safety of 
    U.S. ports and the marine environment.
        On September 27, 1993, the U.S. Senate Appropriations Committee 
    published a report (103-150) on the 1994 Department of Transportation 
    and Related Agencies Appropriations Bill. In part, the Committee 
    expressed a strong interest in eliminating substandard ships from U.S. 
    waters. To accomplish this the U.S. Coast Guard was directed to develop 
    and initiate stricter port-state controls to identify substandard ships 
    entering U.S. waters for boarding and examination. The Coast Guard was 
    also directed to develop a system to ensure accountability if a 
    substandard ship is found and deficiencies were not detected in prior 
    Coast Guard boardings or examinations.
        A substandard vessel presents an unacceptable risk to the persons 
    on board or to the marine environment. Under Coast Guard policy and 
    applicable international guidelines, a ship is considered substandard 
    if its hull, crew, machinery, or lifesaving, firefighting, or pollution 
    prevention equipment are substantially below the standards required by 
    U.S. laws or international conventions due to:
        a. the absence of principal equipment or arrangements required by 
    U.S. laws or international conventions;
        b. gross noncompliance with equipment standards or arrangements 
    under U.S. laws or international conventions;
        c. substantial deterioration of the ship's structure or its 
    essential equipment;
        d. noncompliance with the operational and/or manning standards 
    required by U.S. laws or international conventions;
        e. clear lack of appropriate certification; or,
        f. demonstrated lack of competence on the part of the crew.
        The Coast Guard is authorized under several international maritime 
    safety conventions to intervene if a vessel is not in compliance with 
    existing international treaties and, if necessary, detain it until 
    conditions are corrected. Conventions that provide port-state control 
    intervention and/or detention authority include: the International 
    Convention for the Safety of Life at Sea (SOLAS); the International 
    Convention for the Prevention of Pollution From Ships, 1973 and its 
    Protocol of 1978 (MARPOL 73/78); the International Conference on 
    LoadLines, 1966 (LOADLINE 66); and the International Convention on 
    Standards of Training, Certification and Watchkeeping, 1978 (STCW 78).
        This initiative will also have a positive effect for vessels which 
    are owned, managed, classed, and flagged by responsible parties who 
    ensure their vessels meet U.S. and international safety standards. 
    These vessels should be subject to a decrease in the number of 
    boardings by the Coast Guard. This would result in a savings of vessel 
    personnel time and operation costs.
        The Coast Guard developed a matrix for determining vessel boarding 
    priorities. This matrix uses information on a vessel's owner, operator 
    and managing operator; destination; flag of registry; classification 
    society; Coast Guard boarding history; and the type of ship to 
    determine the vessel's relative risk. These criteria are assigned 
    various point values in the matrix. Each of these criteria is discussed 
    below.
    
    Owner, Operator, and Managing Operator
    
        A ship will be assigned points in the matrix if its owner, operator 
    or managing operator had any of its ships subjected to an intervention 
    by the U.S. Coast Guard within the past twelve months. All vessels 
    associated with that owner, operator or managing operator will be 
    assigned points in the matrix, not just the vessel that was subjected 
    to intervention.
    
    Destination
    
        Coast Guard historical data indicates that substandard ships are 
    more likely to call at certain facilities. A vessel will be assigned 
    points in the matrix if it is enroute to a facility that has been 
    identified by the local Capital of the Port as a facility that has a 
    previous record of receiving substandard vessels.
    
    Flag of Registry
    
        Points may also be assigned in the matrix based on a vessel's flag 
    of registry. Points will be assigned to a vessel if its flag state's 
    rate of interventions to fleet size exceeds the average intervention 
    ratio for all flag states calling in the U.S. Intervention ratios are 
    calculated based on the number of ships of each flag state that are 
    subject to intervention in U.S. waters in comparison to the total 
    number of ships from the flag state which call at U.S. ports.
        Yearly totals of interventions and port calls will be developed and 
    averages over a three-year period will be calculated. A three-year 
    rolling average of flag state intervention ratios will be used to 
    reduce the effect of any anomalies in the annual data. This three-year 
    average will be compared to the three-year average for all flag states. 
    Baseline data for these ratios were obtained using the Coast Guard's 
    records of interventions for the years 1991 through 1993.
        The initial three-year rolling average intervention rate for all 
    foreign vessels calling in the U.S. for the period 1991-1993 is 0.50 
    percent. Thus, vessels of flags of registry which experienced an 
    average intervention rate greater than 0.50 percent will be assigned 
    points in the boarding priority matrix.
    
    Classification Society
    
        A classification society is an organization that issues 
    certificates of class or issues international convention certificates 
    to a vessel under the authority of a flag state. Currently, 
    approximately 68 entities have been identified that issue 
    classification certificates or international convention certificates.
        The Coast Guard will determine which of the organizations 
    identified meet the guidelines in International Maritime Organization 
    (IMO) Resolution A.739(18), ``Guidelines for the Authorization of 
    Organizations Acting on Behalf of the Administration.'' Resolution 
    A.739(18) provides the following guidelines for organizations:
        a. extensive experience;
        b. publication of rules in English;
        c. significant technical staffs;
        d. qualified professional staffs;
        e. a written code of ethics;
        f. written policy and objectives;
        g. an internal audit system based on an internationally recognized 
    quality management system such as ISO 9000; and,
        h. subject to certification of its quality system by independent 
    auditors recognized by the appropriate flag administration.
        The Coast Guard has sent a letter to each classification society or 
    other organization it has identified, and requested information needed 
    to determine if the society or organization meets the guidelines in 
    Resolution A.739(18). The Chief, Merchant Vessel Inspection and 
    Documentation Division will review the responses, and develop a list of 
    those societies or organizations that meet the guidelines. Vessels that 
    have received certificates from those organizations that are not 
    considered to meet the criteria in IMO Resolution A.739(18) will be 
    automatically assigned points in the matrix.
        A vessel that has received a certificate from a classification 
    society or other organization that meets IMO Resolution A.739(18) may 
    also be assigned points in the matrix based on the classification 
    society's intervention rate. A classification society's intervention 
    rate will be calculated based on the number of ships classed by each 
    classification society that are subject to intervention in U.S. waters 
    in comparison to the total number of ships classed by that 
    classification society which call on U.S. ports. Each society's rate 
    will be compared to the average intervention ratio for all 
    classification societies. Vessels that have received certificates of 
    class from societies with intervention rates higher than the average 
    will be assigned points in the matrix.
    
    Boarding History
    
        A vessel will also be assigned points in the matrix based upon its 
    record in U.S. waters. A vessel will be assigned points if it has not 
    been boarded within the past six months, or has been involved in an 
    intervention, civil penalty action, marine casualty, or oil or 
    hazardous material pollution incident within the past 12 months.
    
    Vessel Type
    
        Vessel type will also be a factor in determining priorities for 
    examination or inspection. Points are assigned within the matrix for 
    vessels with inherent high risks, such as bulk chemical tankers, oil 
    tankers, gas carriers, bulk freighters ten or more years old, passenger 
    vessels, and ships carrying low-value commodities (e.g., tallow, scrap 
    metal, asphalt, paper).
    
    Boarding Priorities
    
        The cumulative point total, determined by using the matrix, is one 
    of the factors taken into account in establishing the Coast Guard 
    priority for boarding that vessel.
        Four priority levels have been established:
        a. Priority I: targeted for examination prior to port entry;
        b. Priority II: targeted for examination after port entry and prior 
    to cargo operations or passenger embarkation;
        c. Priority III: targeted for examination after port entry with no 
    restriction on cargo or passenger operations; and,
        d. Priority IV: not targeted.
        The port-state control initiative is also intended to assist the 
    Coast Guard to allocate its resources for inspection or examination of 
    ships making future port calls. Personnel and logistics concerns, 
    weather, or specific local conditions may affect a decision to board or 
    not to board a particular vessel. Although identified as Priority I-
    III, a ship is not considered substandard unless a boarding reveals 
    that its physical conditions or manning is substantially below 
    applicable U.S. or international requirements. The authority of the 
    District Commander or Captain of the Port, pursuant to the Ports and 
    Waterways Safety Act, 33 Code of Federal Regulations (CFR), Part 160, 
    or other applicable authorities, are neither expanded nor limited by 
    the port state control initiative.
        Additional information on this port-state control initiative may be 
    obtained by contacting the person listed under FOR FURTHER INFORMATION 
    CONTACT or by writing to the address under ADDRESSES.
    
        Dated: July 11, 1994.
    J.C. Card,
    Rear Admiral, U.S. Coast Guard, Chief, Office of Marine Safety, 
    Security and Environmental Protection.
    [FR Doc. 94-17531 Filed 7-18-94; 8:45 am]
    BILLING CODE 4910-14-M
    
    
    

Document Information

Effective Date:
5/1/1994
Published:
07/19/1994
Department:
Transportation Department
Entry Type:
Uncategorized Document
Action:
Notice.
Document Number:
94-17531
Dates:
Effective May 1, 1994.
Pages:
0-0 (1 pages)
Docket Numbers:
Federal Register: July 19, 1994, CGD 94-047