[Title 33 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2023 Edition]
[From the U.S. Government Publishing Office]
[[Page i]]
Title 33
Navigation and Navigable Waters
________________________
Parts 125 to 199
Revised as of July 1, 2023
Containing a codification of documents of general
applicability and future effect
As of July 1, 2023
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
[[Page ii]]
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 33:
Chapter I--Coast Guard, Department of Homeland
Security (Continued) 3
Finding Aids:
Table of CFR Titles and Chapters........................ 1143
Alphabetical List of Agencies Appearing in the CFR...... 1163
List of CFR Sections Affected........................... 1173
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Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 33 CFR 125.01 refers
to title 33, part 125,
section 01.
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[[Page v]]
EXPLANATION
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[[Page vi]]
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[[Page vii]]
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Oliver A. Potts,
Director,
Office of the Federal Register
July 1, 2023
[[Page ix]]
THIS TITLE
Title 33--Navigation and Navigable Waters is composed of three
volumes. The contents of these volumes represent all current regulations
codified under this title of the CFR as of July 1, 2023. The first and
second volumes, parts 1-124 and 125-199, contain current regulations of
the Coast Guard, Department of Homeland Security. The third volume, part
200 to end, contains current regulations of the Corps of Engineers,
Department of the Army, Department of Defense and the Great Lakes St.
Lawrence Seaway Development Corporation, Department of Transportation.
For this volume, Cheryl E. Sirofchuck was Chief Editor. The Code of
Federal Regulations publication program is under the direction of John
Hyrum Martinez, assisted by Stephen J. Frattini.
[[Page 1]]
TITLE 33--NAVIGATION AND NAVIGABLE WATERS
(This book contains parts 125 to 199)
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Part
chapter i--Coast Guard, Department of Homeland Security
(Continued)............................................... 125
Abbreviations Used in This Chapter:
BMC = Chief Boatswains Mate. CGFR = Coast Guard Federal Register
document number. CG = Coast Guard. EM = Electrician's Mate. LS =
Lightship. NC = Flag hoist meaning, ``I am in distress and require
immediate assistance.'' NCG = Call letters for any Coast Guard Shore
Radio Station. OAN = Aids to Navigation Division. PTP = Training and
Procurement. U.S.C.G. = United States Coast Guard.
[[Page 3]]
CHAPTER I--COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED)
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SUBCHAPTER L--WATERFRONT FACILITIES
Part Page
125 Identification credentials for persons
requiring access to waterfront
facilities or vessels................... 7
126 Handling of dangerous cargo at waterfront
facilities.............................. 16
127 Waterfront facilities handling liquefied
natural gas and liquefied hazardous gas. 24
128
[Reserved]
SUBCHAPTER M--MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION
133 Oil spill liability trust fund; State access 52
136 Oil spill liability trust fund; claims
procedures; designation of source; and
advertisement........................... 54
137 Oil spill liability: Standards for
conducting all appropriate inquiries
under the innocent land-owner defense... 64
138 Financial responsibility for water pollution
(vessels) and OPA 90 limits of liability
(vessels, deepwater ports and onshore
facilities)............................. 73
SUBCHAPTER N--OUTER CONTINENTAL SHELF ACTIVITIES
140 General..................................... 93
141 Personnel................................... 100
142 Workplace safety and health................. 104
143 Design and equipment........................ 107
144 Lifesaving appliances....................... 111
145 Fire-fighting equipment..................... 114
146 Operations.................................. 116
147 Safety zones................................ 128
SUBCHAPTER NN--DEEPWATER PORTS
148 Deepwater ports: General.................... 143
[[Page 4]]
149 Deepwater ports: Design, construction, and
equipment............................... 173
150 Deepwater ports: Operations................. 196
SUBCHAPTER O--POLLUTION
151 Vessels carrying oil, noxious liquid
substances, garbage, municipal or
commercial waste, and ballast water..... 227
153 Control of pollution by oil and hazardous
substances, discharge removal........... 284
154 Facilities transferring oil or hazardous
material in bulk........................ 289
155 Oil or hazardous material pollution
prevention regulations for vessels...... 390
156 Oil and hazardous material transfer
operations.............................. 489
157 Rules for the protection of the marine
environment relating to tank vessels
carrying oil in bulk.................... 504
158 Reception facilities for oil, noxious liquid
substances, and garbage................. 568
159 Marine sanitation devices................... 579
SUBCHAPTER P--PORTS AND WATERWAYS SAFETY
160 Ports and waterways safety--general......... 598
161 Vessel traffic management................... 610
162 Inland waterways navigation regulations..... 631
163 Towing of barges............................ 654
164 Navigation safety regulations............... 654
165 Regulated navigation areas and limited
access areas............................ 678
166 Shipping safety fairways.................... 1014
167 Offshore traffic separation schemes......... 1026
168 Escort requirements for certain tankers..... 1048
169 Ship reporting systems...................... 1050
SUBCHAPTERS Q-R [RESERVED]
SUBCHAPTER S--BOATING SAFETY
173 Vessel numbering and casualty and accident
reporting............................... 1057
174 State numbering and casualty reporting
systems................................. 1064
175 Equipment requirements...................... 1070
177 Correction of especially hazardous
conditions.............................. 1079
179 Defect notification......................... 1081
181 Manufacturer requirements................... 1082
183 Boats and associated equipment.............. 1088
184-186
[Reserved]
[[Page 5]]
187 Vessel identification system................ 1122
188-199
[Reserved]
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SUBCHAPTER L_WATERFRONT FACILITIES
PART 125_IDENTIFICATION CREDENTIALS FOR PERSONS REQUIRING
ACCESS TO WATERFRONT FACILITIES OR VESSELS--Table of Contents
Sec.
125.01 Commandant.
125.03 District Commander.
125.05 Captain of the Port.
125.06 Western rivers.
125.07 Waterfront facility.
125.08 Great Lakes.
125.09 Identification credentials.
125.11 Form of Coast Guard Port Security Card.
125.12 Period of validity of Coast Guard Port Security Cards.
125.13 Captain of the Port Identification Cards.
125.15 Access to waterfront facilities, and port and harbor areas,
including vessels and harbor craft therein.
125.17 Persons eligible for Coast Guard Port Security Cards.
125.19 Standards.
125.21 Applications.
125.23 United States citizens.
125.25 Aliens.
125.27 Sponsorship of applicant.
125.29 Insufficient information.
125.31 Approval of applicant by Commandant.
125.33 Holders of Coast Guard Port Security Cards.
125.35 Notice by Commandant.
125.37 Hearing Boards.
125.39 Notice by Hearing Board.
125.41 Challenges.
125.43 Hearing procedure.
125.45 Action by Commandant.
125.47 Appeals.
125.49 Action by Commandant after appeal.
125.51 Replacement of lost Coast Guard Port Security Card.
125.53 Requirements for credentials; certain vessels operating on
navigable waters of the United States (including the Great
Lakes and Western Rivers).
125.55 Outstanding Port Security Card Applications.
125.57 Applications previously denied.
Authority: R.S. 4517, 4518, secs. 19, 2, 23 Stat. 58, 118, sec. 7,
49 Stat. 1936, sec. 1, 40 Stat. 220; 46 U.S.C. 570-572, 2, 689, 70051
and 70105; E.O. 10173, E.O. 10277, E.O. 10352, 3 CFR, 1949-1953 Comp.
pp. 356, 778, 873.
Source: CGFR 56-15, 21 FR 2940, May 3, 1956, unless otherwise noted.
Sec. 125.01 Commandant.
The term Commandant means Commandant of the Coast Guard.
Sec. 125.03 District Commander.
The term District Commander means the officer of the Coast Guard
designated by the Commandant to command a Coast Guard District.
Sec. 125.05 Captain of the Port.
The term Captain of the Port means the officer of the Coast Guard,
under the command of a District Commander, so designated by the
Commandant for the purpose of giving immediate direction to Coast Guard
law enforcement activities within the general proximity of the port in
which he is situated.
Sec. 125.06 Western rivers.
The term western rivers as used in the regulations in this
subchapter shall include only the Red River of the North, the
Mississippi River and its tributaries above the Huey P. Long Bridge, and
that part of the Atchafalaya River above its junction with the
Plaquemine-Morgan City alternate waterway.
[CGFR 57-52, 22 FR 10301, Dec. 20, 1957]
Sec. 125.07 Waterfront facility.
The term waterfront facility as used in this subchapter, means all
piers, wharves, docks, and similar structures to which vessels may be
secured, buildings on such structures or contiguous to them, and
equipment and materials on such structures or in such buildings.
Sec. 125.08 Great Lakes.
The term Great Lakes as used in the regulations in this subchapter
shall include the Great Lakes and their connecting and tributary waters.
[CGFR 57-52, 22 FR 10301, Dec. 20, 1957]
Sec. 125.09 Identification credentials.
The term Identification credentials as used in this subchapter,
means any of the following:
(a) Coast Guard Port Security Card (Form CG 2514).
[[Page 8]]
(b) Merchant Mariner's Document.
(c) Armed Forces Identification Card.
(d) Identification credentials issued by Federal Law enforcement and
intelligence agencies to their officers and employees (e. g., Department
of the Treasury, Department of Justice, Federal Communications
Commission).
(e) Identification credentials issued to public safety officials (e.
g., police, firemen) when acting within the scope of their employment.
(f) Transportation Worker Identification Credential.
(g) Such other identification as may be approved by the Commandant
from time to time.
[CGD 56-15, 21 FR 2940, May 3, 1956, as amended by CGD 77-228, 43 FR
53427, Nov. 16, 1978; CG-2006-24196, 72 FR 3587, Jan. 25, 2007]
Sec. 125.11 Form of Coast Guard Port Security Card.
The Coast Guard Port Security Card issued by the Coast Guard under
the provisions of this subchapter shall be a laminated card bearing
photograph, signature, fingerprint, and personal description of the
holder, and other pertinent data.
Sec. 125.12 Period of validity of Coast Guard Port Security Cards.
(a) The Coast Guard Port Security Card (Form CG-2514) shall be valid
for a period of eight years from the date of issuance thereof unless
sooner suspended or revoked by proper authority. On the first day after
eight years from the date of issuance, the Coast Guard Port Security
Card (Form CG-2514) is hereby declared invalid and shall be considered
null and void for all purposes.
(b) The holder of a Coast Guard Port Security Card, which is about
to expire or has expired, may apply for a new Coast Guard Port Security
Card in accordance with the procedures set forth in Sec. 125.21. In the
event the applicant's Coast Guard Port Security Card has expired, such
card shall accompany the application for a new Coast Guard Port Security
Card. In the event the applicant is holding a valid Coast Guard Port
Security Card at the time he submits his application for a new card,
such person shall surrender the old or expired Coast Guard Port Security
Card at the time he is issued a new Coast Guard Port Security Card. In
the event the old Coast Guard Port Security Card was lost, stolen, or
destroyed, then the applicant shall comply with the provisions in Sec.
125.51, regarding the replacement of a lost Coast Guard Port Security
Card and the new card issued as a replacement for a lost card which has
expired or is about to expire shall bear a current issuance date.
[CGFR 58-52, 23 FR 9751, Dec. 18, 1958]
Sec. 125.13 Captain of the Port Identification Cards.
Captain of the Port Identification Cards issued under the form
designation ``Form CG 2514'' prior to the revision of August 1950 were
declared invalid by a notice published in the Federal Register on
September 11, 1946 (11 FR 10103), which declaration is hereby
reaffirmed.
Sec. 125.15 Access to waterfront facilities, and port and harbor
areas, including vessels and harbor craft therein.
(a) The Commandant will, from time to time, direct Captains of the
Port of certain ports to prevent access of persons who do not possess
one or more of the identification credentials listed in Sec. 125.09 to
those waterfront facilities, and port and harbor areas, including
vessels and harbor craft therein, where the following shipping
activities are conducted:
(1) Those vital to the Military Defense Assistance Program.
(2) Those pertaining to the support of U.S. military operations.
(3) Those pertaining to loading and unloading explosives and other
dangerous cargo.
(4) Those essential to the interests of national security and
defense, to prevent loss, damage or injury, or to insure the observance
of rights and obligations of the United States.
(b) No person who does not possess one of the identification
credentials aforesaid shall enter or remain in such facilities, or port
or harbor areas, including vessels and harbor craft therein.
(c) The Captain of the Port shall give local public notice of the
restriction of access to waterfront facilities, and port
[[Page 9]]
and harbor areas, including vessels and harbor craft therein, as far in
advance as practicable, and shall cause such facilities and areas to be
suitably marked as to such restriction.
[CGFR 56-15, 21 FR 2940, May 3, 1956, as amended by CGFR 58-43, 23 FR
8542, Nov. 1, 1958]
Sec. 125.17 Persons eligible for Coast Guard Port Security Cards.
(a) Only the following persons may be issued Coast Guard Port
Security Cards:
(1) Persons regularly employed on vessels or on waterfront
facilities.
(2) Persons having regular public or private business connected with
the operation, maintenance, or administration of vessels, their cargoes,
or waterfront facilities.
(b) A holder of a Merchant Mariner's Document shall not be issued a
Port Security Card, unless his Merchant Mariner's Document is
surrendered to the Coast Guard. In this connection, see Sec. 125.09.
[CGFR 62-39, 27 FR 11259, Nov. 15, 1962, as amended by CGD 77-228, 43 FR
53427, Nov. 16, 1978]
Sec. 125.19 Standards.
Information concerning an applicant for a Coast Guard Port Security
Card, or a holder of such card, which may preclude a determination that
his character and habits of life are such as to warrant the belief that
his presence on waterfront facilities, and port and harbor areas,
including vessels and harbor craft therein, would not be inimical to the
security of the United States, shall relate to the following:
(a) Advocacy of the overthrow or alteration of the Government of the
United States by unconstitutional means.
(b) Commission of, or attempts or preparations to commit, an act of
espionage, sabotage, sedition or treason, or conspiring with, or aiding
or abetting another to commit such an act.
(c) Performing, or attempting to perform, duties or otherwise acting
so as to serve the interests of another government to the detriment of
the United States.
(d) Deliberate unauthorized disclosure of classified defense
information.
(e) [Reserved]
(f) Having been adjudged insane, having been legally committed to an
insane asylum, or treated for serious mental or neurological disorder,
without evidence of cure.
(g) Having been convicted of any of the following offenses,
indicative of a criminal tendency potentially dangerous to the security
of such waterfront facilities and port and harbor areas, including
vessels and harbor craft therein; arson, unlawful trafficking in drugs,
espionage, sabotage, or treason.
(h) Drunkenness on the job or addiction to the use of narcotic
drugs, without adequate evidence of rehabilitation.
(i) Illegal presence in the United States, its territories or
possessions; having been found finally subject to deportation order by
the United States Immigration and Naturalization Service.
[CGFR 56-15, 21 FR 2940, May 3, 1956, as amended by 37 FR 23422, Nov. 3,
1972]
Sec. 125.21 Applications.
(a)(1) Application for a Coast Guard Port Security Card shall be
made under oath in writing and shall include applicant's answers in full
to inquiries with respect to such matters as are deemed by the
Commandant to be pertinent to the standards set forth in Sec. 125.19,
and to be necessary for a determination whether the character and habits
of life of the applicant are such as to warrant the belief that his
presence on waterfront facilities, and port and harbor areas, including
vessels and harbor craft therein, would not be inimical to the security
of the United States.
(2) The application also shall include applicant's complete
identification, citizenship record, personal description, military
record, if any, and a statement of the applicant's sponsor certifying
the applicant's employment or union membership and that applicant's
statements are true and correct to the best of sponsor's knowledge.
(3) The application shall be accompanied by two unmounted, dull
finish photographs, 1 inch x 1\15/16\ inches, of passport type, taken
within one year of the date of application. The photograph shall show
the full face with the
[[Page 10]]
head uncovered and shall be a clear and satisfactory likeness of the
applicant. It shall portray the largest image of the head and upper
shoulders possible within the dimensions specified.
(4) Fingerprint records on each applicant shall be taken by the
Coast Guard at the time application is submitted.
(5) The applicant shall present satisfactory proof of his
citizenship.
(6) The applicant shall indicate the address to which his Coast
Guard Port Security Card can be delivered to him by mail. Under special
circumstances the applicant may arrange to call in person for the Coast
Guard Port Security Card.
(7) The applicant shall present his application, in person, to a
Coast Guard Port Security Unit designated to receive such applications.
Such units will be located in or near each port where Coast Guard Port
Security Cards are required. Each Captain of the Port shall forward
promptly to the Commandant each application for a Coast Guard Port
Security Card received by him.
(b) If an applicant fails or refuses to furnish the required
information or to make full and complete answer with respect to all
matters of inquiry, the Commandant shall hold in abeyance further
consideration of the application, and shall notify the applicant that
further action will not be taken unless and until the applicant
furnishes the required information and fully and completely answers all
inquiries directed to him.
[CGFR 59-63, 25 FR 1589, Feb. 24, 1960]
Sec. 125.23 United States citizens.
Acceptable evidence of United States citizenship is described in
this section in the order of its desirability; however, the Coast Guard
will reject any evidence not believed to be authentic;
(a) Birth certificate or certified copy thereof.
(b) Certificate of naturalization. This shall be presented by all
persons claiming citizenship through naturalization.
(c) Baptismal certificate or parish record recorded within one year
after birth.
(d) Statement of a practicing physician certifying that he attended
the birth and that he has a record in his possession showing the date
and place of birth.
(e) United States passport.
(f) A commission in one of the armed forces of the United States,
either regular or reserve; or satisfactory documentary evidence of
having been commissioned in one of the armed forces subsequent to
January 1, 1936, provided such commission or evidence shows the holder
to be a citizen.
(g) A continuous discharge book, or Merchant Mariner's Document
issued by the Coast Guard which shows the holder to be a citizen of the
United States.
(h) If an applicant claiming to be a citizen of the United States
submits a delayed certificate of birth issued under a State's seal, it
may be accepted as prima facie evidence of citizenship if no one of the
requirements in paragraphs (a) through (g) of this section can be met by
the applicant and in the absence of any collateral facts indicating
fraud in its procurement.
(i) If no one of the requirements in paragraphs (a) through (h) of
this section can be met by the applicant, he should make a statement to
that effect, and in an attempt to establish citizenship, he may submit
for consideration data of the following character:
(1) Report of the Census Bureau showing the earliest record of age
or birth available. Request for such information should be addressed to
the Director of the Census, Suitland, Md. 20233. In making such request,
definite information must be furnished the Census Bureau as to the place
of residence when the first census was taken after the birth of the
applicant, giving the name of the street and the number of the house, or
other identification of place where living, etc.; also names of parents
or the names of other persons with whom residing on the date specified.
(2) School records, immigration records, or insurance policies (the
latter must be at least 10 years old).
Sec. 125.25 Aliens.
Alien registration records together with other papers and documents
which indicated the country of which
[[Page 11]]
the applicant is a citizen shall be accepted as evidence of citizenship
in a foreign nation.
Sec. 125.27 Sponsorship of applicant.
Applications for a Coast Guard Port Security Card shall not be
accepted unless sponsored. The applicant shall be sponsored by an
authorized official of applicant's employer or by an authorized official
of applicant's labor union. Each company and each labor union concerned
shall file with the appropriate Captain of the Port a list of officials
of the company or union who are authorized to sponsor applicants. Other
sponsorship may be accepted where the circumstances warrant.
Sec. 125.29 Insufficient information.
(a)(1) If, in the judgment of the Commandant, an application does
not contain sufficient information to enable him to satisfy himself that
the character and habits of life of the applicant are such to warrant
the belief that his presence on waterfront facilities, and port and
harbor areas, including vessels and harbor craft herein, would not be
inimical to the security of the United States, the Commandant may
require the applicant to furnish, under oath in writing or orally, such
further information as he deems pertinent to the standards set forth in
Sec. 125.19 and necessary to enable him to make such a determination.
(2) If an applicant fails or refuses to furnish such additional
information, the Commandant shall hold in abeyance further consideration
of the application, and shall notify the applicant that further action
will not be taken unless and until the applicant furnishes such
information.
(b) Upon receipt, the application and such further information as
the Commandant may have required shall be referred, except in those
instances where action on an application is held in abeyance pursuant to
Sec. 125.21(b) or to paragraph (a)(2) of this section, to a committee
composed of a representative of the Legal Division, of the Merchant
Vessel Personnel Division and of the Intelligence Division, Coast Guard
Headquarters. The committee shall prepare an analysis of the available
information and shall make recommendations for action by the Commandant.
[CGFR 59-63, 25 FR 1589, Feb. 24, 1960]
Sec. 125.31 Approval of applicant by Commandant.
(a) If the Commandant is satisfied that the character and habits of
life of the applicant are not such as to warrant the belief that his
presence on waterfront facilities, and port and harbor areas, including
vessels and harbor craft therein, would be inimical to the security of
the United States, he will direct that a Coast Guard Port Security Card
be issued to the applicant.
(b) If the Commandant is not satisfied that the character and habits
of life of the applicant are such as to warrant the belief that his
presence on waterfront facilities, and port and harbor areas, including
vessels and harbor craft therein, would not be inimical to the security
of the United States, he will notify the applicant in writing as
provided for in Sec. 125.35.
Sec. 125.33 Holders of Coast Guard Port Security Cards.
(a) Whenever the Commandant is not satisfied that the character and
habits of life of a holder of a Coast Guard Port Security Card are such
as to warrant the belief that his presence on waterfront facilities and
port and harbor areas, including vessels and harbor craft therein, would
not be inimical to the security of the United States, he will request
the holder to furnish, under oath in writing, such information as he
deems pertinent and necessary for a determination on this issue.
(b) If the holder fails or refuses to furnish such information
within thirty (30) days after receipt of the Commandant's request, the
Commandant may issue the written notice provided for in Sec. 125.35(a).
(c) The holder's failure or refusal to furnish such information
shall preclude a determination that the holder's character and habits of
life are such as to warrant the belief that his presence on waterfront
facilities, and port and harbor areas, including vessels and harbor
craft therein, would not be inimical to the security of the United
States.
[[Page 12]]
(d) Upon receipt of such information as the Commandant may have
required, the procedure prescribed in Sec. 125.29(b) shall be followed.
(e) If the Commandant is satisfied that the character and habits of
life of the holder are such as to warrant the belief that his presence
on waterfront facilities, and port and harbor areas, including vessels
and harbor craft therein, would not be inimical to the security of the
United States, he shall notify the holder accordingly.
(f) If the Commandant is not satisfied that the character and habits
of life of the holder are such as to warrant the belief that his
presence on waterfront facilities, and port and harbor areas, including
vessels and harbor craft therein, would not be inimical to the security
of the United States, he shall notify the holder in writing as provided
for in Sec. 125.35.
[CGFR 59-63, 25 FR 1589, Feb. 24, 1960]
Sec. 125.35 Notice by Commandant.
(a) The notice provided for in Sec. Sec. 125.31 and 125.33 shall
contain a statement of the reasons why the Commandant is not satisfied
that the character and habits of life of the applicant or holder are
such as to warrant the belief that his presence on waterfront
facilities, and port and harbor areas, including vessels and harbor
craft therein, would not be inimical to the security of the United
States. Such notice shall be as specific and detailed as the interests
of national security shall permit and shall include pertinent
information such as names, dates, and places in such detail as to permit
reasonable answer.
(b) The applicant or holder shall have 20 days from the date of
receipt of the notice of reasons to file written answer thereto. Such
answer may include statements or affidavits by third parties or such
other documents or evidence as the applicant or holder deems pertinent
to the matters in question.
(c) Upon receipt of such answer the procedure prescribed in Sec.
125.29(b) shall be followed.
(d) If the Commandant is satisfied that the character and habits of
life of the applicant or holder are such as to warrant the belief that
his presence on waterfront facilities, and port and harbor areas,
including vessels and harbor craft therein, would not be inimical to the
security of the United States, he shall, in the case of an applicant,
direct that a Coast Guard Port Security Card be issued to the applicant,
or, in the case of a holder, notify him accordingly.
(e) If the Commandant is not satisfied that the applicant's or
holder's character and habits of life are such as to warrant the belief
that his presence on waterfront facilities, and port and harbor areas,
including vessels and harbor craft therein, would not be inimical to the
security of the United States, the Commandant shall refer the matter to
a Hearing Board for hearing and recommendation in accordance with the
provisions of this part.
Sec. 125.37 Hearing Boards.
The Commandant may establish a Hearing Board in each Coast Guard
District. The Commandant shall designate for each Hearing Board a
Chairman, who shall be, so far as practicable, an officer of the Coast
Guard. The Commandant shall designate, so far as practicable, a second
member from a panel of persons representing labor named by the Secretary
of Labor, and a third member from a panel of persons representing
management named by the Secretary of Labor.
Sec. 125.39 Notice by Hearing Board.
Whenever the Commandant refers a matter to a Hearing Board, the
Chairman shall:
(a) Fix the time and place of the hearing;
(b) Inform the applicant or holder of the names of the members of
the Hearing Board, their occupations, and the businesses or
organizations with which they are affiliated, of his privilege of
challenge, and of the time and place of the hearing;
(c) Inform the applicant or holder of his privilege to appear before
the Hearing Board in person or by counsel or representative of his
choice, and to present testimonial and documentary evidence in his
behalf, and to cross-examine any witnesses appearing before the Board;
and
(d) Inform the applicant or holder that if within 10 days after
receipt of
[[Page 13]]
the notice he does not request an opportunity to appear before the
Hearing Board, either in person or by counsel or representative, the
Hearing Board will proceed without further notice to him.
Sec. 125.41 Challenges.
Within five days after receipt of the notice described in Sec.
125.39 the applicant or holder may request disqualification of any
member of the Hearing Board on the grounds of personal bias or other
cause. The request shall be accompanied by an affidavit setting forth in
detail the facts alleged to constitute grounds for disqualification. The
affidavit may be supplemented by an oral presentation if desired. If
after due consideration the Chairman believes a challenged member is
qualified notwithstanding the challenge, he shall notify the person who
made the challenge and arrange to proceed with the hearing. If the
person who made the challenge takes exception to the ruling of the
Chairman, the exception and data relating to the claim of
disqualification shall be made a matter of record. If the Chairman finds
that there is reasonable ground for disqualification he shall furnish
the person who made the challenge with the name of an alternate in lieu
of the challenged member and arrange to proceed with the hearing. In the
event the Chairman is challenged, he shall forthwith notify the
Commandant, furnishing the grounds for the claim of disqualification,
and the Commandant shall act upon the challenge in accordance with the
foregoing procedure. In addition to the right to challenge for cause, a
person who has requested a hearing shall have two peremptory challenges,
one challenge for the management member and one challenge for the labor
member of the Hearing Board. Should the management member be so
challenged, the person who made the challenge may elect to have the
management member replaced by another management member or by a member
not representing either management or labor; if the member peremptorily
challenged represents labor, the person who made the challenge may elect
to have the labor member replaced by another labor member or by a member
not representing either management or labor.
Sec. 125.43 Hearing procedure.
(a) Hearings shall be conducted in an orderly manner and in a
serious, businesslike atmosphere of dignity and decorum and shall be
expedited as much as possible.
(b) The hearing shall be in open or closed session at the option of
the applicant or holder.
(c) Testimony before the Hearing Board shall be given under oath or
affirmation.
(d) The Chairman of the Hearing Board shall inform the applicant or
holder of his right to:
(1) Participate in the hearing;
(2) Be represented by counsel of his choice;
(3) Present witnesses and offer other evidence in his own behalf and
in refutation of the reasons set forth in the Notice of the Commandant;
and
(4) Cross-examine any witnesses offered in support of such reasons.
(e) Hearings shall be opened by the reading of the Notice of the
Commandant and the answer thereto. Any statement and affidavits filed by
the applicant or holder may be incorporated in the record by reference.
(f) The Hearing Board may, in its discretion, invite any person to
appear at the hearing and testify. However, the Board shall not be bound
by the testimony of such witness by reason of having called him and
shall have full right to cross-examine the witness. Every effort shall
be made to produce material witnesses to testify in support of the
reasons set forth in the Notice of the Commandant, in order that such
witnesses may be confronted and cross-examined by the applicant or
holder.
(g) The applicant or holder may introduce such evidence as may be
relevant and pertinent. Rules of evidence shall not be binding on the
Hearing Board, but reasonable restrictions may be imposed as to the
relevancy, competency and materiality of matters considered. If the
applicant or holder is, or may be, handicapped by the non-disclosure to
him of confidential sources, or by the failure of witnesses to appear,
the Hearing Board shall take the fact into consideration.
(h) The applicant or holder or his counsel or representative shall
have
[[Page 14]]
the right to control the sequence of witnesses called by him.
(i) The Hearing Board shall give due consideration to documentary
evidence developed by investigation, including membership cards,
petitions bearing the applicant's or holder's signature, books,
treatises or articles written by the applicant or holder and testimony
by the applicant or holder before duly constituted authority.
(j) Complete verbatim stenographic transcription shall be made of
the hearing by qualified reporters and the transcript shall constitute a
permanent part of the record. Upon request, the applicant or holder or
his counsel or representative shall be furnished, without cost, a copy
of the transcript of the hearing.
(k) The Board shall reach its conclusion and base its determination
on information presented at the hearing, together with such other
information as may have been developed through investigation and
inquiries or made available by the applicant or holder.
(l) If the applicant or holder fails, without good cause shown to
the satisfaction of the chairman, to appear personally or to be
represented before the Hearing Board, the Board shall proceed with
consideration of the matter.
(m) The recommendation of the Hearing Board shall be in writing and
shall be signed by all members of the Board. The Board shall forward to
the Commandant, with its recommendation, a memorandum of reasons in
support thereof. Should any member be in disagreement with the majority
a dissent should be noted setting forth the reasons therefor. The
recommendation of the Board, together with the complete record of the
case, shall be sent to the Commandant as expeditiously as possible.
Sec. 125.45 Action by Commandant.
(a) If, upon receipt of the Board's recommendation, the Commandant
is satisfied that the character and habits of life of the applicant or
holder are such as to warrant the belief that his presence on waterfront
facilities, and port and harbor areas, including vessels and harbor
craft therein, would not be inimical to the security of the United
States, he shall, in the case of an applicant, direct that a Coast Guard
Port Security Card be issued to the applicant, or, in the case of a
holder, notify him accordingly.
(b) If, upon receipt of the Board's recommendation, the Commandant
is not satisfied that the character and habits of life of the applicant
or holder are such as to warrant the belief that his presence on
waterfront facilities, and port and harbor areas, including vessels and
harbor craft therein, would not be inimical to the security of the
United States, the Commandant shall:
(1) In the case of an applicant, notify him that a Coast Guard Port
Security Card will not be issued to the applicant, or,
(2) In the case of a holder, revoke and require the surrender of his
Coast Guard Port Security Card.
(c) Such applicant or holder shall be notified of his right, and
shall have 20 days from the receipt of such notice within which, to
appeal under this part.
Sec. 125.47 Appeals.
(a) The Commandant shall establish at Coast Guard Headquarters,
Washington, DC, an Appeal Board to hear appeals provided for in this
part. The Commandant shall designate for the Appeal Board a Chairman,
who shall be so far as practicable, an officer of the Coast Guard. The
Commandant shall designate, so far as practicable, a member from a panel
of persons representing management nominated by the Secretary of Labor,
and a member from a panel of persons representing labor nominated by the
Secretary of Labor. The Commandant shall insure that persons designated
as Appeal Board members have suitable security clearance. The Chairman
of the Appeal Board shall make all arrangements incident to the business
of the Appeal Board.
(b) If an applicant or holder appeals to the Appeal Board within 20
days after receipt of notice of his right to appeal under this part, his
appeal shall be handled under the same procedure as that specified in
Sec. 125.39, and the privilege of challenge may be exercised through
the same procedure as that specified in Sec. 125.41.
[[Page 15]]
(c) Appeal Board proceedings shall be conducted in the same manner
as that specified in Sec. 125.43.
Sec. 125.49 Action by Commandant after appeal.
(a) If, upon receipt of the Appeal Board's recommendation, the
Commandant is satisfied that the character and habits of life of the
applicant or holder are such as to warrant the belief that his presence
on waterfront facilities, and port and harbor areas, including vessels
and harbor craft therein, would not be inimical to the security of the
United States, he shall, in the case of an applicant, direct that a
Coast Guard Port Security Card be issued to the applicant, or in the
case of a holder, notify him accordingly.
(b) If, upon receipt of the Appeal Board's recommendation, the
Commandant is not satisfied that the character and habits of life of the
applicant or holder are such as to warrant the belief that his presence
on waterfront facilities, and port and harbor areas, including vessels
and harbor craft therein, would not be inimical to the security of the
United States, the Commandant shall notify the applicant or holder that
his appeal is denied.
Sec. 125.51 Replacement of lost Coast Guard Port Security Card.
(a) Any person whose Coast Guard Port Security Card has been stolen,
lost, or destroyed shall report that fact to a Coast Guard Port Security
Unit or Captain of the Port as soon thereafter as possible.
(b) A person who has lost a Coast Guard Port Security Card may apply
for a replacement card by submitting ``An Application for Replacement of
Lost Port Security Card'' (Form CG 2685A) to a Coast Guard Port Security
Unit. A replacement will be issued only after a full explanation of the
loss of the Coast Guard Port Security Card is made in writing to the
Coast Guard and after a full check is made and authorization is granted
by the Commandant.
(c) Any person to whom a Coast Guard Port Security Card has been
issued as a replacement for a lost card, shall immediately surrender the
original card to the nearest Coast Guard Port Security Unit or Captain
of the Port if the original card should be recovered.
Sec. 125.53 Requirements for credentials; certain vessels
operating on navigable waters of the United States (including
the Great Lakes and Western Rivers).
(a) Every person desiring access to vessels, except public vessels,
falling within any of the categories listed below, as a master, person
in charge, or member of the crew thereof, shall be required to be in
possession of one of the identification credentials listed in Sec.
125.09.
(1) Towing vessels, barges, and lighters operating in the navigable
waters of the continental United States other than the Great Lakes and
Western Rivers.
(2) Harbor craft, such as water taxis, junk boats, garbage disposal
boats, bum boats, supply boats, repair boats, and ship cleaning boats,
which in the course of their normal operations service or contact
vessels, foreign or domestic, public or merchant, in the navigable
waters of the continental United States other than the Great Lakes and
Western Rivers.
(b) The term ``master, person in charge, or member of the crew''
shall be deemed to include any person who serves on board in any
capacity concerned with the operation, maintenance, or administration of
the vessel or its cargo.
(c) Where the Coast Guard Port Security Card (Form CG 2514) is to be
used as the identification required by paragraph (a) of this section,
application for such card may be made immediately by the persons
concerned. The issuance of the Coast Guard Port Security Card shall be
in the form and manner prescribed by Sec. 125.11.
(d) At the discretion of the District Commander any person desiring
access to vessels of the categories named in this section, who may be
required by the provisions hereof to possess identification credentials,
may be furnished a letter signed by the District Commander or the
Captain of the Port and this letter shall serve in lieu of a Coast Guard
Port Security Card and will authorize such access for a period not to
exceed 60 days, and such a letter issued
[[Page 16]]
shall be deemed to be satisfactory identification within the meaning of
Sec. 125.09. The issuance of the letter shall be subject to the
following conditions:
(1) The services of the person are necessary to avoid delay in the
operation of the vessel;
(2) The person does not possess one of the identification
credentials listed in Sec. 125.09.
(3) The person has filed his application for a Coast Guard Port
Security Card or submits his application before the letter is issued;
and,
(4) The person has been screened by the District Commander or
Captain of the Port and such officer is satisfied concerning the
eligibility of the applicant to receive a temporary letter.
[CGFR 56-15, 21 FR 2940, May 3, 1956, as amended by CGFR 58-51, 21 FR
9339, Nov. 30, 1956]
Sec. 125.55 Outstanding Port Security Card Applications.
A person who has filed an application for a Coast Guard Port
Security Card and who did not receive such a document prior to May 1,
1956, shall submit a new application in accordance with the requirements
of this part.
[CGFR 61-54, 26 FR 11862, Dec. 12, 1961]
Sec. 125.57 Applications previously denied.
A person who has been denied a Coast Guard Port Security Card before
May 1, 1956, may file a new application for such a document in
accordance with the requirements of this part.
PART 126_HANDLING OF DANGEROUS CARGO AT WATERFRONT FACILITIES--
Table of Contents
Sec.
126.1 What does this part apply to?
126.3 Definitions.
126.5 Incorporation by reference: Where can I get a copy of the
publications mentioned in this part?
126.11 Waiver authority based on local or unusual conditions.
126.12 How do I request the use of an alternative method of complying
with a requirement in this part?
126.13 Designation of waterfront facilities.
126.15 What conditions must a designated waterfront facility meet?
126.16 Conditions for designating a ``facility of particular hazard.''
126.17 Permits required for handling designated dangerous cargo.
126.19 Issuance of permits for handling designated dangerous cargo.
126.21 Permitted transactions.
126.23 Termination or suspension of permits.
126.25 Penalties for handling designated dangerous cargo without permit.
126.27 General permit for handling dangerous cargo.
126.28 Ammonium nitrate, ammonium nitrate fertilizers, fertilizer
mixtures, or nitro carbo nitrate; general provisions.
126.29 Supervision and control of dangerous cargo.
126.30 What are the conditions for conducting welding and hotwork?
126.31 Termination or suspension of general permit.
126.33 Penalties for handling dangerous cargo without permit.
126.35 Primary responsibility.
126.37 Separability.
Authority: 46 U.S.C. 70034; 49 CFR 1.46.
Sec. 126.1 What does this part apply to?
This part applies to waterfront facilities handling packaged and
bulk-solid dangerous cargo and to vessels at those facilities.
[USCG-1998-4302, 68 FR 55440, Sept. 26, 2003]
Sec. 126.3 Definitions.
As used in this part--
Break-bulk means packages that are handled individually, palletized,
or unitized for purposes of transportation, as opposed to materials in
bulk and containerized freight.
Bulk means without mark or count and directly loaded or unloaded to
or from a hold or tank on a vessel without the use of containers or
break-bulk packaging.
Captain of the port or COTP means the officer of the Coast Guard,
under the command of a District Commander, is designated by the
Commandant for the purpose of giving immediate direction to Coast Guard
law enforcement activities within an assigned area.
Cargo of particular hazard means any of the following:
(1) Division 1.1 and 1.2 explosives, as defined in 49 CFR 173.50,
for which a permit is required under 33 CFR 126.17.
(2) Ammonium nitrate products, division 5.1 (oxidizing) materials
listed in
[[Page 17]]
49 CFR 176.410, for which a permit is required under 49 CFR 176.415.
(3) Division 4.3 dangerous when wet products as defined in 49 CFR
173.124, in excess of 60 mt.
(4) Division 2.3 and 6.1 poison inhalation hazard products as
defined in 49 CFR 173.115 and 173.132, respectively.
(5) Class 7 highway route controlled quantity radioactive material
or fissile material, controlled shipment, as defined in 49 CFR 173.403.
Commandant means the Commandant of the United States Coast Guard.
Container means a reusable container that has a volume of 1.81 cubic
meters (64 cubic feet) or more, is designed and constructed to permit
being lifted with its contents intact, and is intended primarily for
containment of packages (in unit form) during transportation.
Dangerous cargo means all hazardous materials listed in 49 CFR parts
170 through 179, except those materials preceded by an ``A'' in the
Hazardous Materials Table in 49 CFR 172.101, and all cargo listed in 46
CFR part 148.
Designated dangerous cargo means Division 1.1 and 1.2 explosives as
defined in 49 CFR 173.50.
Designated waterfront facility means a waterfront facility
designated under Sec. 126.13 for the handling, storing, loading, and
discharging of any hazardous material(s) subject to the Dangerous
Cargoes Regulations (49 CFR parts 170 through 179), except for those
materials preceded by an ``A'' in the Hazardous Materials Table in 49
CFR 172.101 and for those materials carried as bulk liquids.
Facility of particular hazard means a designated waterfront facility
that is authorized to handle a cargo of particular hazard.
Facility operator means the person or company who owns, operates, or
is responsible for the operation of a waterfront facility.
Net tons means net weight in tons.
Net weight, in reference to material in a package, tank, or
container, means the weight of the contents of a package, tank, or
container and does not include the weight of any packaging material or
containing devices.
Transport unit means a transport vehicle or a container.
Waterfront facility means all piers, wharves, and similar structures
to which a vessel may be secured; areas of land, water, or land and
water under and in the immediate proximity to these structures;
buildings on or contiguous to these structures; and the equipment and
materials on or in these structures or buildings. The term does not
include facilities directly operated by the Department of Defense.
[USCG-1998-4302, 68 FR 55440, Sept. 26, 2003, as amended by USCG-2008-
0179, 73 FR 35013, June 19, 2008]
Sec. 126.5 Incorporation by reference: Where can I get a copy
of the publications mentioned in this part?
(a) Certain material is incorporated by reference into this part
with the approval of the Director of the Federal Register under 5 U.S.C.
552(a) and 1 CFR part 51. To enforce any edition other than that
specified in paragraph (b) of this section, we must publish a notice of
change in the Federal Register and the material must be available to the
public. All approved material is available for inspection at the Coast
Guard Headquarters. Contact Commandant (CG-OES), Attn: Office of
Operating and Environmental Standards, U.S. Coast Guard Stop 7509, 2703
Martin Luther King Jr. Avenue SE., Washington, DC 20593-7509. You may
also contact the National Archives and Records Administration (NARA).
For information on the availability of this material at NARA, call 202-
741-6030, or go to: http://www.archives.gov/ federal_register/
code_of_federal_regulations/ ibr_locations.html. All approved material
is available from the sources indicated in paragraph (b) of this
section.
(b) The materials approved for incorporation by reference in this
part, and the sections affected, are as follows:
ASTM International, 100 Barr Harbor Drive, P.O. Box C700, West
Conshohocken, PA 19428-2959, 877-909-2786, http://
www.astm.org.
ASTM F1121-87 (Reapproved 2010), Standard Specification for 126.15
International Shore Connections for Marine Fire
Applications, (approved March 1, 2010)......................
[[Page 18]]
National Fire Protection Association (NFPA), One Batterymarch
Park, P.O. Box 9101, Quincy, MA 02269-9101:
NFPA 10, Standard for Portable Fire Extinguishers, 1998 126.15
Edition.....................................................
NFPA 13, Standard for the Installation of Sprinkler Systems, 126.15
1996 Edition................................................
NFPA 14, Standard for the Installation of Standpipe and Hose 126.15
Systems, 1996 Edition.......................................
NFPA 30, Flammable and Combustible Liquids Code, 1996........ 126.15
NFPA 51B, Standard for Fire Prevention in Use of Cutting and 126.30
Welding Processes, 1994 Edition.............................
NFPA 70, National Electrical Code, 1996...................... 126.15
NFPA 307, Standard for the Construction and Fire Protection 126.15
of Marine Terminals, Piers, and Wharves, 1995 Edition.......
[USCG-1998-4302, 68 FR 55441, Sept. 26, 2003, as amended at 69 FR 18803,
Apr. 9, 2004; USCG-2010-0351, 75 FR 36283, June 25, 2010; USCG-2012-
0866, 78 FR 13248, Feb. 27, 2013; USCG-2014-0410, 79 FR 38434, July 7,
2014]
Sec. 126.11 Waiver authority based on local or unusual conditions.
Whenever the Commandant, the District Commander, or the Captain of
the Port finds that the application of any provisions contained in
Sec. Sec. 126.15 and 126.16 is not necessary to the safety or security
of the port and vessels and waterfront facilities therein, or that its
application is not practical because of local conditions or because the
materials or personnel required for compliance are not available, or
because the requirements of the national defense justify a departure
from such provision, the Commandant, the District Commander, or the
Captain of the Port may waive compliance with such provision, to the
extent and under such requirements as they determine.
[CGD 78-023, 44 FR 4643, Jan. 22, 1979]
Sec. 126.12 How do I request the use of an alternative method
of complying with a requirement in this part?
(a) An owner or operator of a waterfront facility may request that
the COTP allow the use of an alternative method of complying with a
requirement in this part.
(b) The request must establish, to the COTP's satisfaction--
(1) That compliance with the requirement is economically or
physically impractical; and
(2) That the alternative requested provides an equivalent or greater
level of safety.
(c) The COTP examines the request and provides an answer, in
writing, within 30 days of receipt of the request.
[USCG-1998-4302, 68 FR 55441, Sept. 26, 2003]
Sec. 126.13 Designation of waterfront facilities.
(a) Waterfront facilities which fulfill the conditions required in
Sec. 126.15, unless waived under provisions of Sec. 126.11, and only
such waterfront facilities are designated for the handling, storing,
stowing, loading, discharging, or transporting of dangerous cargo,
subject to compliance with other applicable requirements and provisions
set forth in this part.
(b) Handling, storing, stowing, loading, discharging, or
transporting dangerous cargo at any waterfront facility other than one
designated by this section is hereby prohibited, and violation of this
prohibition will subject the violator to the civil or criminal penalties
provided in 46 U.S.C. 70036.
[CGFR 57-52, 22 FR 10302, Dec. 20, 1957, as amended by CGD 78-023, 44 FR
4643, Jan. 22, 1979; USCG-2020-0304, 85 FR 58279, Sept. 18, 2020]
Sec. 126.15 What conditions must a designated waterfront facility meet?
(a) All designated waterfront facilities must meet the following:
(1) Fire extinguishing equipment. Fire extinguishing equipment, such
as automatic sprinklers, hydrants, hose connections, and firefighting
water supplies must be available and maintained in adequate quantities
and locations. Fire extinguishing equipment must meet State and local
laws. In the absence of applicable State and local laws, fire
extinguishing equipment must meet NFPA 10, 13, 14, and 307.
(Incorporated by reference, see Sec. 126.5.)
(2) Fire appliances. The location of all fire appliances, such as
hydrants, standpipes, hose stations, fire extinguishers, and fire alarm
boxes must be
[[Page 19]]
conspicuously marked and readily accessible according to NFPA 10, 13,
14, and 307.
(3) Warning signs. Warning signs must be constructed and installed
according to NFPA 307, chapter 7-8.7.
(4) Lighting. If the facility transfers dangerous cargo between
sunset and sunrise, it must have outdoor lighting that adequately
illuminates the transfer work area. The lighting must be installed and
maintained according to NFPA 70 (Incorporated by reference, see Sec.
126.5.) and must be located or shielded so that it cannot be mistaken
for an aid to navigation and does not interfere with navigation on
waterways.
(5) International shore connection. If the facility conducts cargo
operations involving foreign-flag vessels, the facility must have an
international shore connection meeting ASTM F-1121. (Incorporated by
reference, see Sec. 126.5.)
(6) Access to the facility. Whenever dangerous cargo is transferred
or stored on the facility, access to the facility must be limited to--
(i) Personnel working on the facility or vessel;
(ii) Delivery and service personnel authorized to conduct their
business;
(iii) Coast Guard and other Federal, State, and local officials;
(iv) Local emergency personnel, such as police officers and firemen;
and
(v) Other persons authorized by the owner or operator of the
facility.
(7) Security measures. Guards must be stationed, or equivalent
controls acceptable to the COTP must be used, to deter and detect
unlawful entrance; to detect and report fire hazards, fires, and
releases of dangerous cargoes and hazardous materials; to check the
readiness of protective equipment; and to report other emergency
situations at the facility.
(8) Coast Guard personnel. At any time, Coast Guard personnel must
be allowed to enter the facility to conduct inspections or board vessels
moored at the facility.
(9) Material handling equipment, trucks, and other motor vehicles.
When dangerous cargo is being transferred or stored on the facility,
material handling equipment, trucks, and other motor vehicles operated
by internal combustion engines must meet the requirements of NFPA 307,
chapter 9.
(10) Smoking. Smoking is allowed on the facility where permitted
under State or local law. Signs must be posted marking authorized
smoking areas. ``No Smoking'' signs must be conspicuously posted
elsewhere on the facility.
(11) Rubbish and waste material. All rubbish, debris, and waste
materials must be placed in adequate receptacles.
(12) Adequacy of equipment, materials, and standards. The COTP may
determine that any equipment, material, or standard is not reasonably
adequate under the circumstances. If so, the COTP informs the owner or
operator in writing and provides an opportunity for the owner or
operator to have the deficiency corrected.
(b) All designated waterfront facilities that handle dangerous
cargo, not in transport units, must also meet the following:
(1) Arrangement of cargo, freight, merchandise, or material. Cargo,
freight, merchandise, and other items or material on the facility must
be arranged to provide access for firefighting and clearance for fire
prevention according to NFPA 307, chapter 8-5.
(2) Portable fire extinguishers. Each facility must have and
maintain, in adequate quantities and locations, portable fire
extinguishers that meet the requirements of NFPA 10. These extinguishers
must be inspected and maintained in accordance with NFPA 10.
(3) Electrical systems. All new electrical equipment and wiring
installed on the facility must be of the same type and installed as
specified under NFPA 70. All defective or dangerous electrical equipment
and wiring must be promptly repaired, replaced, or permanently
disconnected.
(4) Heating equipment and other sources of ignition. Open fires and
open-flame lamps are prohibited on the facility. Heating equipment must
meet NFPA 307, chapter 9-4.
(5) Maintenance stores and supplies. Hazardous material(s) used in
the operation or maintenance of the facility may be stored only in
amounts necessary for normal operating conditions.
[[Page 20]]
These materials must be stored in compartments that are remote from
combustible material; constructed to provide safe storage; and kept
clean and free of scrap materials, empty containers, soiled wiping rags,
waste, and other debris. Flammable liquids must be stored according to
NFPA 30, chapter 4. (Incorporated by reference, see Sec. 126.5.)
(c) All designated waterfront facilities that handle dangerous cargo
in transport units must also meet the following:
(1) Terminal yards. Terminal yards must conform to the standards in
NFPA 307, chapter 5.
(2) Containers. Containers packed with dangerous cargo that are
vertically stacked must be stacked no more than four high.
[USCG-1998-4302, 68 FR 55441, Sept. 26, 2003]
Sec. 126.16 Conditions for designating a ``facility of
particular hazard.''
(a) Basic requirements. The facility shall comply with all the
conditions in Sec. 126.15 except where specifically waived by Sec.
126.11.
(b) Warning alarms. Warning alarms shall be installed at the
waterside of such a facility to warn approaching or transiting water
traffic of immediate danger in the event of fire or cargo release.
Warning alarms shall be of the siren type, or the emergency rotating
flashing light type, and be of sufficient intensity to be heard, or
seen, a distance of 1 mile during normal facility working conditions.
The alarm signal shall not conflict with local municipal prescription.
[CGFR 67-93, 32 FR 20774, Dec. 23, 1967]
Sec. 126.17 Permits required for handling designated dangerous cargo.
Designated dangerous cargo may be handled, loaded, discharged, or
transported at any designated waterfront facility only if a permit
therefor has been issued by the Captain of the Port. This permit
requirement may be waived, at the discretion of the Captain of the Port,
when such cargoes are contained within railroad cars or highway vehicles
which are moved on or across a waterfront facility used primarily for
the transfer of railroad cars or highway vehicles to or from a railroad
or highway vehicle ferry or carfloat; provided such designated cargoes
are not removed from, or placed in, the railroad car or highway vehicle
while it is in or on such waterfront facility.
[CGFR 58-43, 23 FR 8542, Nov. 1, 1958]
Sec. 126.19 Issuance of permits for handling
designated dangerous cargo.
Upon the application of the owners or operators of a designated
waterfront facility or of their authorized representatives, the Captain
of the Port is authorized to issue a permit for each transaction of
handling, loading, discharging, or transporting designated dangerous
cargo at such waterfront facility provided the following requirements
are met:
(a) The facility shall comply in all respect with the regulations in
this subchapter.
(b) The quantity of designated dangerous cargo, except Class 1
(explosive) materials shipped by or for the Armed Forces of the United
States, on the waterfront facility and vessels moored thereto shall not
exceed the limits as to maximum quantity, isolation and remoteness
established by local, municipal, territorial, or State authorities. Each
permit issued under these conditions shall specify that the limits so
established shall not be exceeded.
(c) The quantity of designated dangerous cargo consisting of Class 1
(explosive) materials shipped by or for the Armed Forces of the United
States on the waterfront facility and vessels moored thereto shall not
exceed the limits as to maximum quantity, isolation and remoteness as
established by the Captain of the Port. Each permit issued under these
conditions shall specify that the limits so established shall not be
exceeded.
[CGFR 53-27, 18 FR 5348, Sept. 3, 1953, as amended by CGD 92-050, 59 FR
39965, Aug. 5, 1994]
Sec. 126.21 Permitted transactions.
All permits issued pursuant to Sec. 126.19 are hereby conditioned
upon the observance and fulfillment of the following:
(a) The conditions set forth in Sec. 126.15 shall at all times be
strictly observed.
[[Page 21]]
(b) No amount of designated dangerous cargo, except Class 1
(explosive) materials shipped by or for the Armed Forces of the United
States, in excess of the maximum quantity established by local,
municipal, territorial, or State authorities shall be present on the
waterfront facility and vessels moored thereto.
(c) Designated dangerous cargo shall not be brought onto the
waterfront facility from shore except when laden within a railroad car
or highway vehicle and shall remain in such railroad car or highway
vehicle except when removed as an incident of its prompt transshipment.
Designated dangerous cargo shall not be brought onto the waterfront
facility from a vessel except as an incident of its prompt transshipment
by railroad car or highway vehicle.
(d) No other dangerous cargo shall be on the waterfront facility
during the period of transactions involving designated dangerous cargo,
unless its presence is authorized by the Captain of the Port. This shall
not apply to maintenance stores and supplies on the waterfront facility
in conformity with Sec. 126.15(b)(5).
[CGFR 53-27, 18 FR 5348, Sept. 3, 1953, as amended by CGD 92-050, 59 FR
39965, Aug. 5, 1994; USCG-2014-0410, 79 FR 38434, July 7, 2014]
Sec. 126.23 Termination or suspension of permits.
Any permit issued pursuant to Sec. 126.19 shall terminate
automatically at the conclusion of the transaction for which the permit
has been issued and may be terminated, or suspended, prior thereto by
the Captain of the Port whenever he deems that the security or safety of
the port or vessels or waterfront facilities therein so requires.
Confirmation of such termination or suspension by the Captain of the
Port shall be given to the permittee in writing.
[CGFR 51-37, 16 FR 8679, Aug. 28, 1951]
Sec. 126.25 Penalties for handling designated
dangerous cargo without permit.
Handling, loading, discharging, or transporting any designated
dangerous cargo without a permit, as provided under Sec. 126.17, being
in force, will subject persons responsible therefore to the civil or
criminal penalties provided in 46 U.S.C. 70036.
[CGD 78-023, 44 FR 4643, Jan. 22, 1979, as amended by USCG-2020-0304, 85
FR 58279, Sept. 18, 2020]
Sec. 126.27 General permit for handling dangerous cargo.
A general permit is hereby issued for the handling, storing,
stowing, loading, discharging or transporting of dangerous cargo (other
than designated dangerous cargo) in bulk, portable tanks, containers, or
packagings, at designated waterfront facilities, conditioned upon the
observance and fulfillment of the following:
(a) The conditions set forth in Sec. 126.15 shall at all times be
strictly observed.
(b) You must notify the COTP before you handle, store, stow, load,
discharge, or transport, in the net weight amounts specified, the
following dangerous cargo, except when contained within transport units
or railroad or highway vehicles being transported across or on the
waterfront facility solely for transfer to or from a railroad-car ferry,
highway-vehicle ferry, or carfloat:
(1) Class 1, Division 1.3 and Division 1.5 (Explosive) materials,
with a net explosive quantity in excess of 36,400 kg (40 net tons) at
any one time.
(2) Class 2, Division 2.1 (Flammable Gas) materials in bulk
packaging; or Division 2.3 (Poison Gas) materials in excess of 72,800 kg
(80 net tons) at any one time.
(3) A Class 7 (Radioactive) material in a highway route controlled
quantity, as defined in 49 CFR 173.403.
(4) Flammable solids or oxidizers, in excess of 100 net tons at any
one time.
(5) Flammable gases, in excess of 10 net tons at any one time.
(6) Poisons (Class A).
(7) A bulk shipment of a cargo of particular hazard.
(c) No Class 1 (explosive) materials (as defined in 49 CFR 173.50)
or other dangerous cargoes prohibited from, or not permitted for,
transportation by 46 CFR part 148 or 49 CFR parts 171 through 179 may be
present on the waterfront facility.
(d) Break-bulk dangerous cargo must be segregated according to 49
CFR
[[Page 22]]
176.83(a) through (c). No separation is required for break-bulk
dangerous cargo in limited-quantity packaging.
(e) Transport units and portable tanks containing dangerous cargo
must be segregated according to 49 CFR 176.83(a), (b), and (f). The
requirements for vertical segregation and for on-deck, horizontal
segregation in 49 CFR 176.83(f) apply. No separation is required for
transport units containing dangerous cargo only in limited quantity
packaging.
(f) Break-bulk dangerous cargo must be segregated from transport
units containing dangerous cargo according to 49 CFR 176.83(e).
(g) Solid dangerous bulk cargo must be separated to prevent the
interaction of incompatible materials in the event of an accident. Cargo
not required to be segregated, when in break-bulk form, is not required
to be segregated, when in bulk form. Dangerous cargo in break-bulk form
must be segregated from solid dangerous cargo in bulk according to 49
CFR 176.83.
(h) Materials that are dangerous when wet (Division 4.3), water-
soluble oxidizers (Division 5.1), and corrosive solids (Class 8) must be
stored in a manner that prevents them from coming into contact with
water.
(i) Corrosive liquids (Class 8) and liquid oxidizers (Division 5.1)
must be handled and stored so that, in the event of a leak from their
packaging, they would not come in contact with organic materials.
(j) Dangerous cargo stored on the facility must be arranged in a
manner that retards the spread of fire, such as by interspersing
dangerous cargo with inert or fire retardant material.
(k) Dangerous cargo stored on the facility, but not intended for use
on the facility, must be packaged, marked, and labeled according to 49
CFR parts 171 through 180, as if the cargo was in transportation.
(l) Class 7 (Radioactive) material must be stored as specified in 49
CFR 173.447.
[CGD 78-023, 44 FR 4643, Jan. 22, 1979, as amended by CGD 75-238, 44 FR
63676, Nov. 5, 1979; CGD 75-238, 45 FR 57394, Aug. 28, 1980; CGD 92-050,
59 FR 39965, Aug. 5, 1994; USCG-1998-4302, 68 FR 55442, Sept. 26, 2003]
Sec. 126.28 Ammonium nitrate, ammonium nitrate fertilizers,
fertilizer mixtures, or nitro carbo nitrate; general provisions.
(a) When any item of ammonium nitrate, ammonium nitrate fertilizers,
fertilizer mixtures, or nitro carbo nitrate, described and defined as an
oxidizer by the regulations of 49 CFR part 173 is handled, stored,
stowed, loaded, discharged or transported on a waterfront facility, the
following provisions shall apply:
(1) All outside containers shall be marked with the proper shipping
name of the nitrate packed within the container.
(2) The building on a waterfront facility used for storage of any of
these materials shall be of such construction as to afford good
ventilation.
(3) Storage of any of these materials shall be at a safe distance
from electric wiring, steam pipes, radiators or any heating mechanism.
(4) These materials shall be separated by a fire resistant wall or
by a distance of at least 30 feet from organic materials or other
chemicals and substances which could cause contamination such as
flammable liquids, combustible liquids, corrosive liquids, chlorates,
permanganates, finely divided metals, caustic soda, charcoal, sulfur,
cotton, coal, fats, fish oils or vegetable oils.
(5) Storage of any of these materials shall be in a clean area upon
clean wood dunnage, or on pallets over a clean floor. In the case of a
concrete floor, storage may be made directly on the floor if it is first
covered with a moisture barrier such as a polyethylene sheet or
asphaltic laminated paper.
(6) Any spilled material shall be promptly and thoroughly cleaned up
and removed from the waterfront facility. If any spilled material has
remained in contact with a wooden floor for any length of time the floor
shall be scrubbed with water and all spilled material shall be
thoroughly dissolved and flushed away.
(7) An abundance of water for firefighting shall be readily
available.
(8) Open drains, traps, pits or pockets which could be filled with
molten ammonium nitrate if a fire occurred (and thus become potential
detonators for
[[Page 23]]
the storage piles) must be eliminated or plugged.
Note: See 49 CFR 176.415 for permit requirements for nitro carbo
nitrate and certain ammonium nitrates.
[CGD 78-023, 44 FR 4644, Jan. 22, 1979]
Sec. 126.29 Supervision and control of dangerous cargo.
(a) Authority. The Captain of the Port is authorized to require that
any transaction of handling, storing, stowing, loading, discharging, or
transporting the dangerous cargo covered by this subchapter shall be
undertaken and continued only under the immediate supervision and
control of the Captain of the Port or his duly authorized
representative. In case the Captain of the Port exercises such
authority, all directions, instructions, and orders of the Captain of
the Port or his representative, not inconsistent with this part, with
respect to such handling, storing, stowing, loading, discharging, and
transporting; with respect to the operation of the waterfront facility;
with respect to vessels handling, stowing, loading, or discharging of
dangerous cargo at anchorages when the operations are under the
immediate control and supervision of the Captain of the Port or his duly
authorized representative; with respect to the ingress and egress of
persons, articles, and things and to their presence on the waterfront
facilty or vessel; and with respect to vessels approaching, moored at,
and departing from the waterfront facility, shall be promptly obeyed.
(b) Reporting discharge of dangerous liquid commodities into the
waters of the United States. To enhance the safety of the port and to
protect vessels, their cargo, and waterfront facilities therein, the
discharge into the navigable waters of the United States of petroleum
products, petroleum byproducts or other dangerous liquid commodities
which may create a hazard or toxic condition in the port area will be
immediately reported to the Captain of the Port or District Commander by
the owner or master of the vessel from which the discharge occurred, or
the owner or operator of a waterfront facility from which the discharge
occurred.
[CGFR 69-89, 34 FR 17478, Oct. 29, 1969]
Sec. 126.30 What are the conditions for conducting welding
and hotwork?
(a) The facility operator must ensure that all welding or hotwork
conducted at the facility meets the requirements of this section. Each
operator of a vessel moored to the facility must ensure that all welding
or hotwork conducted on the vessel meets the requirements of this
section.
(b) The COTP may require an operator of a facility or of a vessel
moored at the facility to notify the COTP before conducting welding or
hotwork. Regardless of whether or not the COTP required notice, the
facility operator must notify the COTP before conducting welding or
hotwork on a vessel when containerized dangerous cargo is located within
the distances listed in paragraph (f) of this section.
(c) Before conducting welding or hotwork, flammable vapors, liquids,
or solids must be completely removed from any container, pipe, or
transfer line being worked on.
(d) Before conducting welding or hotwork on tanks, tanks used for
storage of flammable or combustible substances must be tested and
certified gas free.
(e) All welding and hotwork must be conducted according to NFPA 51B.
(Incorporated by reference, see Sec. 126.5.)
(f) Welding or hotwork is prohibited during gas freeing operations
within 30.5 meters (100 feet) of bulk cargo operations involving
flammable or combustible materials, within 30.5 meters (100 feet) of
fueling operations, within 30.5 meters (100 feet) of explosives, or
within 15.25 meters (50 feet) of other hazardous materials.
(g) If the welding or hotwork is on the boundary of a compartment
(i.e., bulkhead, wall, or deck), a fire watch, in addition to that
called for in NFPA 51B, must be stationed in the adjoining compartment.
(h) Personnel on fire watch must have no other duties except to
watch for the presence of fire and to prevent the development of
hazardous conditions.
(i) All safety precautions in relation to purging, inerting, or
venting for all hotwork on containers must be followed.
[[Page 24]]
(j) All local laws and ordinances must be followed.
(k) If a fire or other hazard occurs, all cutting, welding, or other
hotwork equipment must be shut down.
[USCG-1998-4302, 68 FR 55442, Sept. 26, 2003]
Sec. 126.31 Termination or suspension of general permit.
The Captain of the Port is hereby authorized to terminate or to
suspend the general permit granted by Sec. 126.27 in respect to any
particular designated waterfront facility whenever he deems that the
security or safety of the port or vessels or waterfront facilities
therein so requires. Confirmation of such termination or suspension
shall be given to the permittee in writing. After such termination, the
general permit may be revived by the District Commander with respect to
such particular waterfront facility upon a finding by him that the cause
of termination no longer exists and is unlikely to recur. After such
suspension, the general permit shall be revived by the Captain of the
Port with respect to such particular waterfront facility when the cause
of suspension no longer exists, and he shall so advise the permittee in
writing.
[CGFR 51-37, 16 FR 8680, Aug. 28, 1951, as amended by CGFR 69-89, 34 FR
17479, Oct. 29, 1969]
Sec. 126.33 Penalties for handling dangerous cargo without permit.
Handling, storing, stowing, loading, discharging, or transporting
any dangerous cargo covered by Sec. 126.27 under circumstances not
covered by the general permit granted in Sec. 126.27 or when such
general permit is not in force will subject persons responsible therefor
to the civil or criminal penalties provided in 46 U.S.C. 70036.
[CGD 78-023, 44 FR 4644, Jan. 22, 1979, as amended by USCG-2020-0304, 85
FR 58279, Sept. 18, 2020]
Sec. 126.35 Primary responsibility.
Nothing contained in the rules, regulations, conditions, and
designations in this part shall be construed as relieving the masters,
owners, operators, and agents of vessels, docks, piers, wharves, or
other waterfront facilities from their primary responsibility for the
security of such vessels, docks, piers, wharves, or waterfront
facilities.
[CGFR 51-37, 16 FR 8680, Aug. 28, 1951]
Sec. 126.37 Separability.
If any provision of the rules, regulations, conditions, or
designations contained in this part or the application of such provision
to any person, waterfront facility, or circumstances shall be held
invalid, the validity of the remainder of the rules, regulations,
conditions, or designations contained in this part and applicability of
such provision to other persons, waterfront facilities, or
circumstances, shall not be affected thereby.
[CGFR 51-37, 16 FR 8680, Aug. 28, 1951]
PART 127_WATERFRONT FACILITIES HANDLING LIQUEFIED NATURAL GAS
AND LIQUEFIED HAZARDOUS GAS--Table of Contents
Subpart A_General
Sec.
127.001 Applicability.
127.003 Incorporation by reference.
127.005 Definitions.
127.007 Letter of intent and waterway suitability assessment for
waterfront facilities handling LNG or LHG.
127.008 Letter of intent and operational risk assessment for LNG fuel
facilities.
127.009 Letter of recommendation.
127.010 Reconsideration of the Letter of Recommendation.
127.011 Inspections of waterfront facilities.
127.013 Suspension of transfer operations.
127.015 Appeals.
127.017 Alternatives.
127.019 Operations Manual and Emergency Manual: Procedures for
examination.
Subpart B_Waterfront Facilities Handling Liquefied Natural Gas
127.101 Design and construction: General.
127.103 Piers and wharves.
127.105 Layout and spacing of marine transfer area for LNG.
127.107 Electrical power systems.
127.109 Lighting systems.
127.111 Communications systems.
127.113 Warning signs.
Equipment
127.201 Sensing and alarm systems.
127.203 Portable gas detectors.
127.205 Emergency shutdown.
[[Page 25]]
127.207 Warning alarms.
Operations
127.301 Persons in charge of shoreside transfer operations:
Qualifications and certification.
127.303 Compliance with suspension order.
127.305 Operations Manual.
127.307 Emergency Manual.
127.309 Operations Manual and Emergency Manual: Use.
127.311 Motor vehicles.
127.313 Bulk storage.
127.315 Preliminary transfer inspection.
127.317 Declaration of inspection.
127.319 LNG transfer.
127.321 Release of LNG.
Maintenance
127.401 Maintenance: General.
127.403 Inspections.
127.405 Repairs.
127.407 Testing.
127.409 Records.
Personnel Training
127.501 Applicability.
127.503 Training: General.
Firefighting
127.601 Fire equipment: General.
127.603 Portable fire extinguishers.
127.605 Emergency outfits.
127.607 Fire main systems.
127.609 Dry chemical systems.
127.611 International shore connection.
127.613 Smoking.
127.615 Fires.
127.617 Hotwork.
Subpart C_Waterfront Facilities Handling Liquefied Hazardous Gas
Design and Construction
127.1101 Piping systems.
127.1102 Transfer hoses and loading arms.
127.1103 Piers and wharves.
127.1105 Layout and spacing of marine transfer area for LHG.
127.1107 Electrical systems.
127.1109 Lighting systems.
127.1111 Communication systems.
127.1113 Warning signs.
Equipment
127.1203 Gas detection.
127.1205 Emergency shutdown.
127.1207 Warning alarms.
127.1209 Respiratory protection.
Operations
127.1301 Persons in charge of transfers for the facility: Qualifications
and certification.
127.1302 Training.
127.1303 Compliance with suspension order.
127.1305 Operations Manual.
127.1307 Emergency Manual.
127.1309 Operations Manual and Emergency Manual: Use.
127.1311 Motor vehicles.
127.1313 Storage of hazardous materials.
127.1315 Preliminary transfer inspection.
127.1317 Declaration of Inspection.
127.1319 Transfer of LHG.
127.1321 Release of LHG.
127.1325 Access to marine transfer area for LHG.
Maintenance
127.1401 General.
127.1403 Inspections.
127.1405 Repairs.
127.1407 Tests.
127.1409 Records.
Firefighting Equipment
127.1501 General.
127.1503 Portable fire extinguishers.
127.1505 Emergency response and rescue.
127.1507 Water systems for fire protection.
127.1509 Equipment for controlling and extinguishing fires.
127.1511 International shore connection.
Fire Protection
127.1601 Smoking.
127.1603 Hotwork.
127.1605 Other sources of ignition.
Authority: 33 U.S.C. 1504(j)(2); 46 U.S.C. 70011 and 70034; 46
U.S.C. Chapter 701; DHS Delegation No. 00170.1, Revision No. 01.2,
paragraph (II)(92)(a).
Source: CGD 78-038, 53 FR 3376, Feb. 7, 1988, unless otherwise
noted.
Subpart A_General
Sec. 127.001 Applicability.
(a) Subparts A and B of this part apply to the marine transfer area
for LNG of each new waterfront facility handling LNG and to new
construction in the marine transfer area for LNG of each waterfront
facility handling LNG.
(b) Subpart A of this part and Sec. Sec. 127.301 through 127.617
apply to the marine transfer area for LNG of each active existing
waterfront facility handling LNG.
(c) Sections 127.007(b), (c), and (d), and 127.019(b) of subpart A
of this part apply to the marine transfer area for LNG of each inactive
facility.
(d) Subparts A and C of this part apply to the marine transfer area
for
[[Page 26]]
LHG of each active waterfront facility handling LHG.
(e) Sections 127.007 (b), (c), and (d); 127.019(b); and 127.1325(c)
of subparts A and C of this part apply to the marine transfer area for
LHG of each inactive facility.
(f) Waterfront facilities handling LNG and LHG constructed,
expanded, or modified under a contract awarded after March 4, 2022, are
required to comply with the applicable standards referenced in Sec.
127.003. All other facilities, unless expanded or modified in accordance
with this part, are required to meet previously applicable standards but
may request to apply a later edition of the standards in accordance with
Sec. 127.017.
[CGD 88-049, 60 FR 39794, Aug. 3, 1995, as amended by USCG-2007-27022,
75 FR 29426, May 26, 2010; 87 FR 5689, Feb. 2, 2022]
Sec. 127.003 Incorporation by reference.
Certain material is incorporated by reference into this part with
the approval of the Director of the Federal Register under 5 U.S.C.
552(a) and 1 CFR part 51. To enforce any edition other than that
specified in this section, the Coast Guard must publish a document in
the Federal Register and the material must be available to the public.
All approved material is available for inspection at the U.S. Coast
Guard, Office of Operating and Environmental Standards (CG-OES), 2703
Martin Luther King Jr. Avenue SE, STOP 7509, Washington, DC 20593-7509,
202-372-1410, and is available from the sources listed in the following
paragraphs. It is also available for inspection at the National Archives
and Records Administration (NARA). For information on the availability
of this material at NARA, email [email protected] or go to https://
www.archives.gov/ federal-register/cfr/ ibr-locations.html. (See Sec.
127.017 for alternative compliance methods.)
(a) American Petroleum Institute (API), 200 Massachusetts Avenue NW,
Suite 1100, Washington, DC 20001-5571, 202-682-8000, http://www.api.org.
(1) API Recommended Practice 2003 (``API RP 2003''), Protection
Against Ignitions Arising Out of Static, Lightning and Stray Currents,
Eighth Edition, September 2015, for Sec. 127.1101(h).
(2) [Reserved]
(b) The American Society of Mechanical Engineers (ASME), Two Park
Avenue, New York, NY 10016-5990, 800-843-2763, https://www.asme.org.
(1) ASME B16.5-2020, Pipe Flanges and Flanged Fittings, NPS \1/2\
Through NPS 24 Metric/Inch Standard, Issued January 29, 2021, for Sec.
127.1102(a).
(2) ASME B31.3-2020, Process Piping, ASME Code for Pressure Piping,
B31, Issued June 18, 2021, for Sec. 127.1101(a).
(c) ASTM International, 100 Barr Harbor Drive, P.O. Box C700, West
Conshohocken, PA, 19428-2959, 610-832-9500, https://www.astm.org.
(1) ASTM E119-20, Standard Test Methods for Fire Tests of Building
Construction and Materials, approved May 1, 2020, for Sec. 127.005.
(2) ASTM F1121-87 (Reapproved 2019), Standard Specification for
International Shore Connections for Marine Fire Applications, approved
December 1, 2019, for Sec. Sec. 127.611 and 127.1511.
(d) Det Norske Veritas (DNV), Veritasveien 1, 1363 H[oslash]vik
Norway, +47 6757 9900, https://www.dnv.com.
(1) DNVGL-RP-G105, Recommended Practice, Development and operation
of liquefied natural gas bunkering facilities, October 2015 Edition, for
Sec. 127.008(d).
(2) [Reserved]
(e) International Electrotechnical Commission (IEC), IEC Central
Office, 3 rue de Varemb[eacute], P.O. Box 131, CH 1211, Geneva 20,
Switzerland, +41 22 919 02 11, https://www.iec.ch.
(1) IEC 60079-29-1, Explosive atmospheres--Part 29-1: Gas
detectors--Performance requirements of detectors for flammable gases,
Edition 2.0, July 2016, for Sec. 127.1203(a).
(2) [Reserved]
(f) International Organization for Standardization (ISO), Chemin de
Blandonnet 8, CP 401, 1214 Vernier, Geneva, Switzerland, +41 22 749 01
11, https://www.iso.org.
(1) ISO/TS 18683:2015(E), (``ISO/TS 18683''), Guidelines for systems
and installations for supply of LNG as fuel to ships, First Edition,
January 15, 2015, for Sec. 127.008(d)(1).
(2) ISO 28460:2010(E), (``ISO 28460''), Petroleum and natural gas
industries--
[[Page 27]]
Installation and equipment for liquefied natural gas--Ship-to-shore
interface and port operations, First edition, December 15, 2010, for
Sec. 127.008(d)(2).
(g) National Fire Protection Association (NFPA), 1 Batterymarch
Park, Quincy, MA 02169-7471, 800-344-3555, https://www.nfpa.org.
(1) NFPA 10, Standard for Portable Fire Extinguishers, 2018 Edition,
effective August 21, 2017, for Sec. Sec. 127.603(a) and 127.1503.
(2) NFPA 30, Flammable and Combustible Liquids Code, 2018 Edition,
effective September 6, 2017, for Sec. Sec. 127.313(b) and 127.1313(b).
(3) NFPA 51B, Standard for Fire Prevention During Welding, Cutting,
and Other Hot Work, 2019 Edition, effective July 15, 2018, for
Sec. Sec. 127.405(b) and 127.1405(b).
(4) NFPA 59A, Standard for the Production, Storage, and Handling of
Liquefied Natural Gas (LNG), 2019 Edition, effective November 25, 2018,
for Sec. Sec. 127.008(d), 127. 101, 127.201(b) and (c), 127.405(a) and
(b), and 127.603(a).
(5) NFPA 70, National Electrical Code, 2020 Edition, effective
August 25, 2019, for Sec. Sec. 127.107(a) and (c), 127.201(c), and
127.1107.
[87 FR 5689, Feb. 2, 2022]
Sec. 127.005 Definitions.
As used in this part:
Active means accomplishing the transfer of LHG or LNG, or scheduling
one to occur, within 12 months of the current date.
Captain of the Port (COTP) means the Coast Guard officer designated
by the Commandant to command a Captain of the Port Zone as described in
part 3 of this chapter, or an authorized representative.
Commandant means the Commandant of the U.S. Coast Guard or an
authorized representative.
Control room means a space within the LNG waterfront facility from
which facility operations are controlled.
District Commander means the Coast Guard officer designated by the
Commandant to command a Coast Guard District as described in part 3 of
this chapter, or an authorized representative.
Environmentally sensitive areas include public parks and recreation
areas, wildlife and waterfowl refuges, fishing grounds, wetlands, other
areas deemed to be of high value to fish and wildlife resources,
historic sites, and other protected areas.
Existing as applied to a waterfront facility means a facility
handling LNG constructed or being constructed under a contract awarded
before June 2, 1988, or a facility handling LHG constructed or being
constructed under a contract awarded before January 30, 1996.
Facility means either a waterfront facility handling LHG or a
waterfront facility handling LNG, and includes LNG fuel facilities.
Fire endurance rating means the duration for which an assembly or
structural unit will contain a fire or retain structural integrity when
exposed to the temperatures specified in the standard time-temperature
curve in ASTM E119-20 (incorporated by reference, see Sec. 127.003).
Flammable product means a product indicated by the letter ``F'' or
by the letters ``F + T'' in Table 127.005.
Inactive means not active.
Impounding space means a space formed by dikes and floors that
confines a spill of LHG or LNG.
LHG means liquefied hazardous gas.
LHG vessel means a vessel constructed or converted to carry LHG, in
bulk.
Liquefied hazardous gas (LHG) means a liquid containing one or more
of the products listed in Table 127.005.
Liquefied natural gas (LNG) means a liquid or semisolid consisting
mostly of methane and small quantities of ethane, propane, nitrogen, or
other natural gases.
Liquefied petroleum gas (LPG) means a liquid consisting mostly of
propane or butane or both.
LNG means liquefied natural gas.
LNG fuel facility means a waterfront facility that handles LNG for
the sole purpose of providing LNG from shore-based structures to vessels
for use as a marine fuel, and that does not transfer LNG to or receive
LNG from vessels capable of carrying LNG in bulk as cargo.
LNG vessel means a vessel constructed or converted to carry LNG, in
bulk.
[[Page 28]]
Loading flange means the connection or group of connections in the
cargo transfer pipeline on the facility that connects the facility
pipeline to the vessel pipeline.
Marine transfer area for LHG means that part of a waterfront
facility handling LHG between the vessel, or where the vessel moors, and
the first shutoff valve on the pipeline immediately inland of the
terminal manifold or loading arm, including the entire part of a pier or
wharf used to serve LHG vessels.
Marine transfer area for LNG means that part of a waterfront
facility handling LNG between the vessel, or where the vessel moors, and
the last manifold or valve immediately before the receiving tanks.
Mating flange means that flange in the product-transfer pipeline on
a waterfront facility handling LHG or a waterfront facility handling LNG
that connects this pipeline to the pipeline or transfer hose of the
vessel.
MAWP means maximum allowable working pressure.
Maximum allowable working pressure (MAWP) means the maximum gauge
pressure permissible at the top of equipment, containers, or pressure
vessels while operating at design temperature.
New as applied to a waterfront facility means a facility handling
LNG constructed or being constructed under a contract awarded on or
after June 2, 1988, or a facility handling LHG constructed or being
constructed under a contract awarded on or after January 30, 1996.
Person in charge of transfer operations on the vessel is the person
designated the person in charge of cargo transfer under 46 CFR 154.1831.
Release means any spilling, leaking, pumping, pouring, emitting,
emptying, discharging, injecting, escaping, leaching, dumping, or
disposing into the environment, except a minor release of LHG or its
vapor, that may occur during the routine handling of LHG. No release is
minor if it creates an atmosphere that exceeds the Lower Flammable Limit
(LFL) for a flammable product or any Permissible Exposure Limit (PEL)
listed in 29 CFR 1910.1000, Table Z-1 or Z-2, for a toxic product.
Substructure means the deck of a pier or wharf and the structural
components below that deck.
Toxic product means a product indicated by the letter ``T'' or by
the letters ``F + T'' in Table 127.005.
Waterfront facility handling LHG means any structure on, in, or
under the navigable waters of the United States, or any structure on
land or any area on shore immediately adjacent to such waters, used or
capable of being used to transfer liquefied hazardous gas, in bulk, to
or from a vessel.
Waterfront facility handling LNG means any structure on, in, or
under the navigable waters of the United States, or any structure on
land or any area on shore immediately adjacent to such waters, used or
capable of being used to transfer liquefied natural gas, in bulk, to or
from a vessel.
Table 127.005--List of Products and Hazards
------------------------------------------------------------------------
Product Hazard
------------------------------------------------------------------------
Acetaldehyde............................... F + T
Ammonia, anhydrous......................... T
Butadiene.................................. F
Butanes.................................... F
Butane and propane (mixtures).............. F
Butylenes.................................. F
Chlorine................................... T
Dimethylamine.............................. F + T
Ethane..................................... F
Ethyl chloride............................. F + T
Ethylene................................... F
Ethylene oxide............................. F + T
Methyl-acetylene and propadiene (mixtures). F
Methyl bromide............................. F + T
Methyl chloride............................ F + T
Propane.................................... F
Propylene.................................. F
Sulphur dioxide............................ T
Vinyl chloride............................. F + T
------------------------------------------------------------------------
Note: ``F'' indicates a flammable product. ``T'' indicates a toxic
product. ``F + T'' indicates a product both flammable and toxic.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39795, Aug. 3, 1995; CGD 97-023, 62 FR 33363, June 19, 1997; 87 FR 5689,
Feb. 2, 2022]
Sec. 127.007 Letter of intent and waterway suitability
assessment for waterfront facilities handling LNG or LHG.
(a) An owner or operator intending to build a new facility handling
LNG or LHG, or an owner or operator planning
[[Page 29]]
new construction to expand marine terminal operations in any facility
handling LNG or LHG, where the construction or expansion will result in
an increase in the size or frequency of LNG or LHG marine traffic on the
waterway associated with a facility, must submit a Letter of Intent
(LOI) to the Captain of the Port (COTP) of the zone in which the
facility is or will be located. The LOI must meet the requirements in
paragraph (c) of this section.
(1) The owner or operator of an LNG facility must submit the LOI to
the COTP no later than the date that the owner or operator files a pre-
filing request with the Federal Energy Regulatory Commission (FERC)
under 18 CFR parts 153 and 157, but, in all cases, at least 1 year prior
to the start of construction. The LOI must include the nation of
registry for, and the nationality or citizenship of the officers and
crew serving on board, vessels transporting LNG that are reasonably
anticipated to be servicing the LNG facility.
(2) The owner or operator of an LHG facility must submit the LOI to
the COTP no later than the date that the owner or operator files with
the Federal or State agency having jurisdiction, but, in all cases, at
least 1 year prior to the start of construction.
(b) An owner or operator intending to reactivate an inactive
facility must submit an LOI that meets paragraph (c) of this section to
the COTP of the zone in which the facility is located.
(1) The owner or operator of an LNG facility must submit the LOI to
the COTP no later than the date the owner or operator files a pre-filing
request with FERC under 18 CFR parts 153 and 157, but, in all cases, at
least 1 year prior to the start of LNG transfer operations.
(2) The owner or operator of an LHG facility must submit the LOI to
the COTP no later than the date the owner or operator files with the
Federal or State agency having jurisdiction, but, in all cases, at least
1 year prior to the start of LHG transfer operations.
(c) Each LOI must contain--
(1) The name, address, and telephone number of the owner and
operator;
(2) The name, address, and telephone number of the Federal, State,
or local agency having jurisdiction for siting, construction, and
operation;
(3) The name, address, and telephone number of the facility;
(4) The physical location of the facility;
(5) A description of the facility;
(6) The LNG or LHG vessels' characteristics and the frequency of LNG
or LHG shipments to or from the facility; and
(7) Charts showing waterway channels and identifying commercial,
industrial, environmentally sensitive, and residential areas in and
adjacent to the waterway used by the LNG or LHG vessels en route to the
facility, within at least 25 kilometers (15.5 miles) of the facility.
(d) The owner or operator who submits an LOI under paragraphs (a) or
(b) of this section must notify the COTP in writing within 15 days of
any of the following:
(1) There is any change in the information submitted under
paragraphs (c)(1) through (c)(7) of this section; or
(2) No LNG or LHG transfer operations are scheduled within the next
12 months.
(e) An owner or operator intending to build a new LNG or LHG
facility, or an owner or operator planning new construction to expand
marine terminal operations in any facility handling LNG or LHG, where
the construction or expansion will result in an increase in the size or
frequency of LNG or LHG marine traffic on the waterway associated with a
facility, must file or update as appropriate a waterway suitability
assessment (WSA) with the COTP of the zone in which the facility is or
will be located. The WSA must consist of a Preliminary WSA and a Follow-
on WSA. A COTP may request additional information during review of the
Preliminary WSA or Follow-on WSA.
(f) The Preliminary WSA must--
(1) Be submitted to the COTP with the LOI; and
(2) Provide an initial explanation of the following--
(i) Port characterization;
(ii) Characterization of the LNG or LHG facility and LNG or LHG
tanker route;
(iii) Risk assessment for maritime safety and security;
[[Page 30]]
(iv) Risk management strategies; and
(v) Resource needs for maritime safety, security, and response.
(g) The Follow-on WSA must--
(1) Be submitted to the COTP as follows:
(i) The owner or operator of an LNG facility must submit the Follow-
on WSA to the COTP no later than the date the owner or operator files
its application with FERC pursuant to 18 CFR parts 153 or 157, or if no
application to FERC is required, at least 180 days before the owner or
operator begins transferring LNG.
(ii) The owner or operator of an LHG facility must submit the
Follow-on WSA to the COTP in all cases at least 180 days before the
owner or operator begins transferring LHG.
(2) Contain a detailed analysis of the elements listed in Sec. Sec.
127.007(f)(2), 127.009(d), and 127.009(e) of this part.
(h) Until the facility begins operation, owners or operators must:
(1) Annually review their WSAs and submit a report to the COTP as to
whether changes are required. The deadline for the required annual
report should coincide with the date of the COTP's Letter of
Recommendation, which indicates review and validation of the Follow-on
WSA has been completed.
(2) In the event that revisions to the WSA are needed, report to the
COTP the details of the necessary revisions, along with a timeline for
completion.
(3) Update the WSA if there are any changes in conditions, such as
changes to the port environment, the LNG or LHG facility, or the tanker
route, that would affect the suitability of the waterway for LNG or LHG
traffic.
(4) Submit a final report to the COTP at least 30 days, but not more
than 60 days, prior to the start of operations.
(i) An owner or operator intending to construct a new LNG fuel
facility or modify any LNG fuel facility, or reactivate an inactive LNG
fuel facility, may comply with Sec. 127.008 in lieu of meeting the
requirements in this section.
[USCG-2007-27022, 75 FR 29426, May 26, 2010, as amended by USCG-2019-
0444, 87 FR 5689, Feb. 2, 2022]
Sec. 127.008 Letter of intent and operational risk assessment for
LNG fuel facilities.
(a) An owner or operator intending to build a new LNG fuel facility,
modify construction of any LNG fuel facility, or reactivate an inactive
LNG fuel facility electing to complete an operational risk assessment
(ORA) in lieu of a WSA as outlined in Sec. 127.007, must submit an LOI
and ORA to the COTP of the zone in which the LNG fuel facility is or
will be located at least 1 year prior to the start of LNG transfer
operations.
(b) Each LOI must contain the information in Sec. 127.007(c)(1)
through (c)(5).
(c) The owner or operator who submits an LOI under paragraph (a) of
this section must notify the COTP in writing within 15 days of any of
the following:
(1) There is any change in the information submitted under paragraph
(b) of this section; or
(2) No LNG fuel transfer operations are scheduled within the next 12
months.
(d) The ORA required by paragraph (a) must:
(1) Be carried out in accordance with Chapter 7 of ISO/TS 18683 and
Appendix D of DNVGL-RP-G105; or Chapter 19 of NFPA 59A (all incorporated
by reference, see Sec. 127.003); or other industry developed risk
assessment method acceptable to the Office of Operating and
Environmental Standards, Commandant (CG-OES); and
(2) Consider possible factors affecting the ship/shore interface and
port operations described in Section 6 of ISO 28460 (incorporated by
reference, see Sec. 127.003).
[87 FR 5690, Feb. 2, 2022]
Sec. 127.009 Letter of recommendation.
(a) After the COTP receives the information and analyses required by
Sec. 127.007 or Sec. 127.008, the COTP issues a Letter of
Recommendation (LOR) as to the suitability of the waterway for LNG or
LHG marine traffic or the operational safety and security of the LNG
fuel facility to the Federal, State, or local government agencies having
jurisdiction for siting, construction, and operation, and, at the same
time, sends
[[Page 31]]
a copy to the owner or operator, based on the--
(1) Information submitted under Sec. 127.007 or Sec. 127.008;
(2) Density and character of marine traffic in the waterway;
(3) Locks, bridges, or other man-made obstructions in the waterway;
(4) Following factors adjacent to the facility such as--
(i) Depths of the water;
(ii) Tidal range;
(iii) Protection from high seas;
(iv) Natural hazards, including reefs, rocks, and sandbars;
(v) Underwater pipelines and cables;
(vi) Distance of berthed vessel from the channel and the width of
the channel; and
(5) Any other issues affecting the safety and security of the
waterway and considered relevant by the Captain of the Port.
(b) An LOR issued under this section is a recommendation from the
COTP to the agency having jurisdiction as described in paragraph (a),
and does not constitute agency action for the purposes of Sec. 127.015
or the Administrative Procedure Act (5 U.S.C. 551 et seq.).
(c) The owner or operator, or a State, local, or Indian tribal
government in the vicinity of the facility, may request reconsideration
as set forth in Sec. 127.010.
(d) Persons other than the owner or operator, or State, local, or
Indian tribal government in the vicinity of the facility, may comment on
the LOR by submitting comments and relevant information to the agency
having jurisdiction, as described in paragraph (a), for that agency's
consideration in its permitting process.
(e) Paragraphs (c) and (d) of this section apply to LORs issued
after December 28, 2012. For LORs issued prior to that date, persons
requesting reconsideration must follow the process set forth in Sec.
127.015.
[USCG-2011-0227, 77 FR 70890, Nov. 28, 2012, as amended by USCG-2019-
0444, 87 FR 5690, Feb. 2, 2022]
Sec. 127.010 Reconsideration of the Letter of Recommendation.
(a) A person requesting reconsideration pursuant to Sec. 127.009(c)
must submit a written request to the Captain of the Port (COTP) who
issued the Letter of Recommendation (LOR), and send a copy of the
request to the agency to which the LOR was issued. The request must
explain why the COTP should reconsider his or her recommendation.
(b) In response to a request described in paragraph (a) of this
section, the COTP will do one of the following--
(1) Send a written confirmation of the LOR to the agency to which
the LOR was issued, with copies to the person making the request and the
owner or operator; or
(2) Revise the LOR, and send the revised LOR to the agency to which
the original LOR was issued, with copies to the person making the
request and the owner or operator.
(c) A person whose request for reconsideration results in a
confirmation as described in paragraph (b)(1) of this section, and who
is not satisfied with that outcome, may request, in writing, the opinion
of the District Commander of the district in which the LOR was issued.
(1) The request must explain why the person believes the District
Commander should instruct the COTP to reconsider his or her
recommendation.
(2) A person making a request under paragraph (c) of this section
must send a copy of the request to the agency to which the LOR was
issued.
(3) In response to the request described in this paragraph (c), the
District Commander will do one of the following--
(i) Send a written confirmation of the LOR to the agency to which
the LOR was issued, with copies to the person making the request, the
owner or operator, and the COTP; or
(ii) Instruct the COTP to reconsider the LOR, and send written
notification of that instruction to the agency to which the original LOR
was issued, with copies to the person making the request and the owner
or operator.
(d) The District Commander's written confirmation described in
paragraph (c)(3)(i) of this section ends the reconsideration process
with respect to that specific request for reconsideration. If the COTP
issues an LOR pursuant to paragraph (b)(2) or (c)(3)(ii) of this
section, persons described in Sec. 127.009(c) may request
reconsideration
[[Page 32]]
of that revised LOR using the process beginning in paragraph (a) of this
section.
[USCG-2011-0227, 77 FR 70890, Nov. 28, 2012]
Sec. 127.011 Inspections of waterfront facilities.
The operator must ensure that the COTP or his representative is
allowed to make reasonable examinations and inspections to determine
whether the facility meets this part.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39795, Aug. 3, 1995; USCG-2019-0444, 87 FR 5690, Feb. 2, 2022]
Sec. 127.013 Suspension of transfer operations.
(a) The COTP may issue an order to the operator to suspend LHG or
LNG transfer operations if the COTP finds any condition requiring
immediate action to--
(1) Prevent damage to, or the destruction of, any bridge or other
structure on or in the navigable waters of the United States, or any
land structure or shore area immediately adjacent to such waters; and
(2) Protect the navigable waters and the resources therein from harm
resulting from vessel or structure damage, destruction, or loss.
(b) Each order to suspend transfer operations issued under paragraph
(a) of this section--
(1) Is effective immediately;
(2) Contains a statement of each condition requiring immediate
action; and
(3) Is withdrawn by the COTP whenever each condition is corrected or
no longer exists.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39795, Aug. 3, 1995]
Sec. 127.015 Appeals.
(a) Any person directly affected by an action taken under this part
may request reconsideration by the Coast Guard officer responsible for
that action.
(b) Except as provided under paragraph (e) of this section, any
person not satisfied with a ruling made under the procedure contained in
paragraph (a) of this section may--
(1) Appeal that ruling in writing to the District Commander of the
district in which the action was taken; and
(2) Supply supporting documentation and evidence that the appellant
wishes to have considered.
(c) The District Commander issues a ruling after reviewing the
appeal submitted under paragraph (b) of this section. Except as provided
under paragraph (e) of this section, any person not satisfied with this
ruling may--
(1) Appeal that ruling in writing to the Assistant Commandant for
Prevention Policy, U.S. Coast Guard, (CG-5P), 2703 Martin Luther King
Jr. Ave. SE, Stop 7509, Washington, DC 20593-7509; and
(2) Supply supporting documentation and evidence that the appellant
wishes to have considered.
(d) The Assistant Commandant for Prevention Policy issues a ruling
after reviewing the appeal submitted under paragraph (c) of this
section, which is final agency action.
(e) If the delay in presenting a written appeal has an adverse
impact on the operations of the appellant, the appeal under paragraph
(b) or (c) of this section--
(1) May be presented orally; and
(2) Must be submitted in writing within five days after the oral
presentation--
(i) With the basis for the appeal and a summary of the material
presented orally; and
(ii) To the same Coast Guard official who heard the oral
presentation.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 96-026, 61 FR
33665, June 28, 1996; CGD 97-023, 62 FR 33363, June 19, 1997; USCG-2002-
12471, 67 FR 41332, June 18, 2002; USCG-2010-0351, 75 FR 36283, June 25,
2010; USCG-2014-0410, 79 FR 38434, July 7, 2014; USCG-2020-0304, 85 FR
58279, Sept. 18, 2020; USCG-2019-0444, 87 FR 5690, Feb. 2, 2022]
Sec. 127.017 Alternatives.
(a) The COTP may allow alternative procedures, methods, or equipment
standards, including alternatives to standards listed in Sec. 127.003,
to be used by an operator instead of any requirements in this part if--
(1) The operator submits a written request for the alternative at
least 30 days before facility operations under
[[Page 33]]
the alternative would begin, unless the COTP authorizes a shorter time;
and
(2) The alternative provides at least the same degree of safety
provided by the regulations in this part.
(b) The COTP approves or disapproves any alternative requested under
paragraph (a) of this section--
(1) In writing; or
(2) Orally, with subsequent written confirmation.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by USCG-2019-0444, 87
FR 5690, Feb. 2, 2022]
Sec. 127.019 Operations Manual and Emergency Manual: Procedures
for examination.
(a) The owner or operator of an active facility must submit an
Operations Manual and Emergency Manual in printed or electronic format
to the COTP of the zone in which the facility is located.
(b) At least 30 days before transferring LHG or LNG, the owner or
operator of a new or an inactive facility must submit an Operations
Manual and Emergency Manual in printed or electronic format to the
Captain of the Port of the zone in which the facility is located, unless
the manuals have been examined and there have been no changes since that
examination.
(c) Operations Manuals and Emergency Manuals submitted after
September 10, 2021 must include a date, revision date or other revision-
specific identifying information.
(d) If the COTP finds that the Operations Manual meets Sec. 127.305
or Sec. 127.1305 and that the Emergency Manual meets Sec. 127.307 or
Sec. 127.1307, the COTP will provide notice to the facility stating
each manual has been examined by the Coast Guard. This notice will
include the revision date of the manual or other revision-specific
identifying information.
(e) If the COTP finds that the Operations Manual or the Emergency
Manual does not meet this part, the COTP will notify the facility with
an explanation of why it does not meet this part.
[USCG-2020-0315, 86 FR 43940, Aug. 11, 2021]
Subpart B_Waterfront Facilities Handling Liquefied Natural Gas
Sec. 127.101 Design and construction: General.
The marine transfer area for LNG must meet the following criteria in
NFPA 59A (incorporated by reference, see Sec. 127.003):
(a) Chapter 5, Section 5.3.1.7;
(b) Chapter 6, Section 6.7;
(c) Chapter 10;
(d) Chapter 11, except Sections 11.9, and 11.10;
(e) Chapter 12;
(f) Chapter 15, except Sections 15.4 and 15.6; and
(g) Annex B.
[USCG-2019-0444, 87 FR 5690, Feb. 2, 2022]
Sec. 127.103 Piers and wharves.
(a) If the waterfront facility handling LNG is in a region subject
to earthquakes, the piers and wharves must be designed to resist
earthquake forces.
(b) Substructures, except moorings and breasting dolphins, that
support or are within 5 meters (16.4 feet) of any pipe or equipment
containing LNG, or are within 15 meters (49.2 feet) of a loading flange,
must--
(1) Be made of concrete or steel; and
(2) Have a fire endurance rating of not less than two hours.
(c) LNG or LPG storage tanks must have the minimum volume necessary
for--
(1) Surge protection;
(2) Pump suction supply; or
(3) Other process needs.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.105 Layout and spacing of marine transfer area for LNG.
(a) LNG impounding spaces must be located so that the heat flux from
a fire over the impounding spaces does not cause structural damage to an
LNG vessel moored or berthed at the waterfront facility handling LNG.
(b) Each LNG loading flange must be located at least 300 meters
(984.3 feet) from the following which are primarily intended for the use
of the general public or railways:
[[Page 34]]
(1) Each bridge crossing a navigable waterway.
(2) Each entrance to any tunnel under a navigable waterway.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.107 Electrical power systems.
(a) The electrical power system must have a power source and a
separate emergency power source, so that failure of one source does not
affect the capability of the other source. The system must meet NFPA 70
(incorporated by reference, see Sec. 127.003).
(b) The emergency power source must provide enough power for the
operation of the--
(1) Emergency shutdown system;
(2) Communications equipment;
(3) Firefighting equipment; and
(4) Emergency lighting.
(c) If an auxiliary generator is used as an emergency power source,
it must meet Section 700.12 of NFPA 70 (incorporated by reference, see
Sec. 127.003).
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by USCG-2019-0444, 87
FR 5690, Feb. 2, 2022]
Sec. 127.109 Lighting systems.
(a) The marine transfer area for LNG must have a lighting system and
separate emergency lighting.
(b) All outdoor lighting must be located or shielded so that it is
not confused with any aids to navigation and does not interfere with
navigation on the adjacent waterways.
(c) The lighting system must provide an average illumination on a
horizontal plane one meter (3.3 feet) above the deck that is--
(1) 54 lux (five foot-candles) at any loading flange; and
(2) 11 lux (one foot-candle) at each work area.
(d) The emergency lighting must provide lighting for the operation
of the--
(1) Emergency shutdown system;
(2) Communications equipment; and
(3) Firefighting equipment.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39795, Aug. 3, 1995]
Sec. 127.111 Communications systems.
(a) The marine transfer area for LNG must have a ship-to-shore
communication system and a separate emergency ship-to-shore
communication system.
(b) Each ship-to-shore communication system must be a dedicated
system that allows voice communication between the person in charge of
transfer operations on the vessel, the person in charge of shoreside
transfer operations, and personnel in the control room.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39795, Aug. 3, 1995]
Sec. 127.113 Warning signs.
(a) The marine transfer area for LNG must have warning signs that--
(1) Meet paragraph (b) of this section;
(2) Can be seen from the shore and the water; and
(3) Have the following text:
Warning
Dangerous Cargo
No Visitors
No Smoking
No Open Lights
(b) Each letter in the words on the sign must be--
(1) Block style;
(2) Black on a white background; and
(3) 7.6 centimeters (3 inches) high.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Equipment
Sec. 127.201 Sensing and alarm systems.
(a) Fixed sensors must have audio and visual alarms in the control
room and audio alarms nearby.
(b) Fixed sensors that continuously monitor for LNG vapors must--
(1) Be in each enclosed area where vapor or gas may accumulate; and
(2) Meet Section 16.4 of NFPA 59A (incorporated by reference, see
Sec. 127.003).
(c) Fixed sensors that continuously monitor for flame, heat, or
products of combustion must--
(1) Be in each enclosed or covered Class I, Division 1, hazardous
location defined in Section 500.5(B)(1) of NFPA 70 (incorporated by
reference, see
[[Page 35]]
Sec. 127.003) and each area in which flammable or combustible material
is stored; and
(2) Meet Section 16.4 of NFPA 59A (incorporated by reference, see
Sec. 127.003).
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by USCG-2019-0444, 87
FR 5690, Feb. 2, 2022]
Sec. 127.203 Portable gas detectors.
The marine transfer area for LNG must have at least two portable gas
detectors capable of measuring 0-100% of the lower flammable limit of
methane.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.205 Emergency shutdown.
Each transfer system must have an emergency shutdown system that--
(a) Can be activated manually; and
(b) Is activated automatically when the fixed sensors under Sec.
127.201(b) measure LNG concentrations exceeding 40% of the lower
flammable limit.
Sec. 127.207 Warning alarms.
(a) The marine transfer area for LNG must have a rotating or
flashing amber light with a minimum effective flash intensity, in the
horizontal plane, of 5000 candelas. At least 50% of the required
effective flash intensity must be maintained in all directions from 1.0
degree above to 1.0 degree below the horizontal plane.
(b) The marine transfer area for LNG must have a siren with a
minimum \1/3\-octave band sound pressure level at l meter of 125
decibels referenced to 0.0002 microbars. The siren must be located so
that the sound signal produced is audible over 360 degrees in a
horizontal plane.
(c) Each light and siren must be located so that the warning alarm
is not obstructed for a distance of 1.6 km (1 mile) in all directions.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Operations
Sec. 127.301 Persons in charge of shoreside transfer operations:
Qualifications and certification.
(a) No person may serve, and the operator of the waterfront facility
handling LNG may not use the services of any person, as a person in
charge of shoreside transfer operations, unless that person--
(1) Has at least 48 hours of LNG transfer experience;
(2) Knows the hazards of LNG;
(3) Knows the rules of this subpart; and
(4) Knows the procedures in the examined Operations Manual and the
examined Emergency Manual.
(b) Before a person in charge of shoreside transfer operations
supervises a transfer, the operator must certify in writing that the
criteria in paragraph (a) of this section are met. The operator must
maintain a copy of each current certification available for inspection
at the waterfront facility handling LNG.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995; 87 FR 5691, Feb. 2, 2022]
Sec. 127.303 Compliance with suspension order.
If an order to suspend is given to the operator or owner of the
waterfront facility handling LNG, no LNG transfer operations may be
conducted at the facility until the order is withdrawn by the COTP.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.305 Operations Manual.
Each Operations Manual must contain--
(a) A description of the transfer system including mooring areas,
transfer connections, control rooms, and diagrams of the piping and
electrical systems;
(b) The duties of each person assigned for transfer operations;
(c) The maximum relief valve setting or maximum allowable working
pressure of the transfer system;
(d) The facility telephone numbers of facility supervisors, persons
in charge
[[Page 36]]
of shoreside transfer operations, personnel on watch in the marine
transfer area for LNG, and security personnel;
(e) A description of the security systems for the marine transfer
area for LNG;
(f) The procedures for--
(1) Transfer operations including gauging, cool down, pumping,
venting, and shutdown;
(2) Transfer operations start-up and shutdown;
(3) Security violations; and
(4) The communications systems; and
(g) A description of the training programs established under Sec.
127.503.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.307 Emergency Manual.
Each Emergency Manual must contain--
(a) LNG release response procedures, including contacting local
response organizations;
(b) Emergency shutdown procedures;
(c) A description of the fire equipment and systems and their
operating procedures;
(d) A description of the emergency lighting and emergency power
systems;
(e) The telephone numbers of local Coast Guard units, hospitals,
fire departments, police departments, and other emergency response
organizations;
(f) If the waterfront facility handling LNG has personnel shelters,
the location of and provisions in each shelter;
(g) First aid procedures and if there are first aid stations, the
locations of each station; and
(h) Emergency procedures for mooring and unmooring a vessel.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.309 Operations Manual and Emergency Manual: Use.
The operator must ensure that--
(a) LNG transfer operations are not conducted unless the person in
charge of transfer for the waterfront facility handling LNG has in the
marine transfer area a readily available printed or electronic copy of
the most recently examined Operations Manual and Emergency Manual.
Electronic devices used to display the manuals must comply with
applicable electrical safety standards in this part;
(b) Each transfer operation is conducted in accordance with the
examined Operations Manual; and
(c) Each emergency response is in accordance with the examined
Emergency Manual.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995; USCG-2020-0315, 86 FR 43940, Aug. 11, 2021]
Sec. 127.311 Motor vehicles.
(a) The operator must designate and mark parking spaces that--
(1) Do not block fire lanes;
(2) Do not impede any exits;
(3) Are not located in any impounding space; and
(4) Are not within 15 meters (49.2 feet) of any storage tank or
loading flange.
(b) During transfer operations, no person may--
(1) Stop or park a motor vehicle in a space that is not designated a
parking space; or
(2) Refuel any motor vehicle.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by USCG-2019-0444, 87
FR 5690, Feb. 2, 2022]
Sec. 127.313 Bulk storage.
(a) The operator must ensure that only the following flammable
materials are stored in the marine transfer area for LNG:
(1) LNG.
(2) LPG.
(3) Vessel fuel.
(4) Oily waste from vessels.
(5) Solvents, lubricants, paints, and other fuels in the amount used
for one day's operations and maintenance.
(b) Flammable liquids must be stored in accordance with NFPA 30
(incorporated by reference, see Sec. 127.003).
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995; USCG-2019-0444, 87 FR 5691, Feb. 2, 2022]
Sec. 127.315 Preliminary transfer inspection.
Before transferring LNG, the person in charge of shoreside transfer
operations must--
[[Page 37]]
(a) Inspect the transfer piping and equipment to be used during the
transfer and replace any worn or inoperable parts;
(b) For each of the vessel's cargo tanks from which cargo will be
transferred, note the pressure, temperature, and volume to ensure they
are safe for transfer;
(c) Review and agree with the person in charge of cargo transfer on
the vessel to--
(1) The sequence of transfer operations;
(2) The transfer rate;
(3) The duties, location, and watches of each person assigned for
transfer operations; and
(4) Emergency procedures from the examined Emergency Manual;
(d) Ensure that transfer connections allow the vessel to move to the
limits of its moorings without placing strain on the loading arm or
transfer piping system;
(e) Ensure that each part of the transfer system is aligned to allow
the flow of LNG to the desired location;
(f) Ensure that warning signs that warn that LNG is being
transferred, are displayed;
(g) Eliminate all ignition sources in the marine transfer area for
LNG;
(h) Ensure that personnel are on duty in accordance with the
examined Operations Manual; and
(i) Test the following to determine that they are operable:
(1) The sensing and alarm systems.
(2) The emergency shutdown system.
(3) The communication systems.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995; USCG-2019-0444, 87 FR 5691, Feb. 2, 2022]
Sec. 127.317 Declaration of inspection.
(a) After the preliminary transfer inspection under Sec. 127.315
has been satisfactorily completed, the person in charge of shoreside
transfer operations must ensure that no person transfers LNG until a
Declaration of Inspection that meets paragraph (c) of this section is
executed and signed in duplicate.
(b) The person in charge of shoreside transfer operations must give
one signed copy of the Declaration of Inspection to the person in charge
of transfer operations on the vessel, and must retain one signed copy at
the waterfront facility handling LNG for 30 days after completion of the
transfer.
(c) Each Declaration of Inspection must contain--
(1) The name of the vessel and the waterfront facility handling LNG;
(2) The date and time that transfer operations begin;
(3) A list of the requirements in Sec. 127.315 with the initials of
the person in charge of shoreside transfer operations after each
requirement, indicating that the requirement is met;
(4) The signature of the person in charge of shoreside transfer
operations and the date and time of signing, indicating that he or she
is ready to begin transfer operations; and
(5) The signature of each relief person in charge and the date and
time of each relief.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995; USCG-2019-0444, 87 FR 5691, Feb. 2, 2022]
Sec. 127.319 LNG transfer.
During LNG transfer operations, the following must be met:
(a) The operator of the waterfront facility handling LNG must ensure
that--
(1) The marine transfer area for LNG is under the supervision of a
person in charge, who has no other assigned duties during the transfer
operation;
(2) Personnel transferring fuel or oily waste are not involved in
LNG transfer; and
(3) No vessels are moored outboard of any LNG vessel without the
permission of the COTP.
(b) The person in charge of shoreside transfer operations must--
(1) Be in continuous communication with the person in charge of
transfer operations on the vessel;
(2) Ensure that an inspection of the transfer piping and equipment
for leaks, frost, defects, and other symptoms of safety and operational
problems is conducted at least once every transfer;
(3) Ensure that transfer operations are discontinued--
(i) Before electrical storms or uncontrolled fires are adjacent to
the marine transfer area for LNG; and
(ii) As soon as a fire is detected; and
[[Page 38]]
(4) Ensure that the lighting systems are turned on between sunset
and sunrise.
Note: Vessel transfer requirements are published in 46 CFR Part 154.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995; USCG-2019-0444, 87 FR 5691, Feb. 2, 2022]
Sec. 127.321 Release of LNG.
(a) The operator of the waterfront facility handling LNG must ensure
that--
(1) No person releases LNG into the navigable waters of the United
States; and
(2) If there is a release of LNG, vessels near the facility are
notified of the release by the activation of the warning alarm.
(b) If there is a release of LNG, the person in charge of shoreside
transfer operations must--
(1) Immediately notify the person in charge of cargo transfer on the
vessel of the intent to shutdown;
(2) Shutdown transfer operations;
(3) Notify the COTP of the release; and
(4) Not resume transfer operations until authorized by the COTP.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995; USCG-2019-0444, 87 FR 5691, Feb. 2, 2022]
Maintenance
Sec. 127.401 Maintenance: General.
The operator of the waterfront facility handling LNG must ensure
that the equipment required under this part is maintained in a safe
condition so that it does not cause a release or ignition of LNG.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995; USCG-2019-0444, 87 FR 5691, Feb. 2, 2022]
Sec. 127.403 Inspections.
The operator must conduct a visual inspection for defects of each
pressure-relief device not capable of being tested, at least once each
calendar year, with intervals between inspections not exceeding 15
months, and make all repairs in accordance with Sec. 127.405.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by USCG-2019-0444, 87
FR 5691, Feb. 2, 2022]
Sec. 127.405 Repairs.
The operator must ensure that--
(a) Equipment repairs are made so that--
(1) The equipment continues to meet the applicable requirements in
this subpart and in NFPA 59A (incorporated by reference, see Sec.
127.003); and
(2) Safety is not compromised; and
(b) Welding is done in accordance with NFPA 51B and Section 10.4.3
of NFPA 59A (both incorporated by reference, see Sec. 127.003).
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995; USCG-2019-0444, 87 FR 5691, Feb. 2, 2022]
Sec. 127.407 Testing.
(a) The operator must pressure test under paragraph (b) of this
section the transfer system, including piping, hoses, and loading arms,
and verify the set pressure of the safety and relief valves--
(1) After the system or the valves are altered;
(2) After the system or the valves are repaired;
(3) After any increase in the MAWP; or
(4) For those components that are not continuously kept at cryogenic
temperature, at least once each calendar year, with intervals between
testing not exceeding 15 months.
(b) The pressure for the transfer system test under paragraph (a) of
this section must be at 1.1 times the MAWP and be held for a minimum of
30 minutes.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by USCG-2019-0444, 87
FR 5691, Feb. 2, 2022]
Sec. 127.409 Records.
(a) The operator must keep on file the following information:
(1) A description of the components tested under Sec. 127.407.
(2) The date and results of the test under Sec. 127.407.
(3) A description of any corrective action taken after the test.
(b) The information required by this section must be retained for 24
months.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by USCG-2019-0444, 87
FR 5691, Feb. 2, 2022]
[[Page 39]]
Personnel Training
Sec. 127.501 Applicability.
The training required by this subpart must be completed before LNG
is transferred.
Sec. 127.503 Training: General.
The operator shall ensure that each of the following is met:
(a) All full-time employees have training in the following subjects:
(1) Basic LNG firefighting procedures.
(2) LNG properties and hazards.
(b) In addition to the training under paragraph (a) of this section,
each person assigned for transfer operations has training in the
following subjects:
(1) The examined Operations Manual and examined Emergency Manual.
(2) Advanced LNG firefighting procedures.
(3) Security violations.
(4) LNG vessel design and cargo transfer operations.
(5) LNG release response procedures.
(6) First aid procedures for--
(i) Frostbite;
(ii) Burns;
(iii) Cardio-pulminary resuscitation; and
(iv) Transporting injured personnel.
(c) The personnel who received training under paragraphs (a) and (b)
of this section receive refresher training in the same subjects at least
once every five years.
Firefighting
Sec. 127.601 Fire equipment: General.
(a) Fire equipment and systems provided in addition to the
requirements in this subpart must meet the requirements of this subpart.
(b) The following must be red or some other conspicuous color and be
in locations that are readily accessible:
(1) Hydrants and standpipes.
(2) Hose stations.
(3) Portable fire extinguishers.
(4) Fire monitors.
(c) Fire equipment, if applicable, must bear the approval of
Underwriters Laboratories, Inc., the Factory Mutual Research Corp., or
the Coast Guard.
Sec. 127.603 Portable fire extinguishers.
Each marine transfer area for LNG must have--
(a) Portable fire extinguishers that meet Section 16.6.1 of NFPA 59A
and Chapter 6 of NFPA 10 (both incorporated by reference, see Sec.
127.003); and
(b) At least one portable fire extinguisher in each designated
parking area.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995; USCG-2019-0444, 87 FR 5691, Feb. 2, 2022]
Sec. 127.605 Emergency outfits.
(a) There must be an emergency outfit for each person whose duties
include fighting fires, but there must be at least two emergency
outfits. Each emergency outfit must include--
(1) One explosion-proof flashlight;
(2) Boots and gloves of rubber or other electrically nonconducting
material;
(3) A rigid helmet that protects the head against impact;
(4) Water resistant clothing that also protects the body against
fire; and
(5) U.S. Bureau of Mines approved self-contained breathing
apparatus.
(b) Emergency outfits under paragraph (a) of this section must be in
locations that are readily accessible and marked for easy recognition.
Sec. 127.607 Fire main systems.
(a) Each marine transfer area for LNG must have a fire main system
that provides at least two water streams to each part of the LNG
transfer piping and connections, one of which must be from a single
length of hose or from a fire monitor.
(b) The fire main must have at least one isolation valve at each
branch connection and at least one isolation valve downstream of each
branch connection to isolate damaged sections.
(c) The fire main system must have the capacity to supply--
(1) Simultaneously all fire hydrants, standpipes, and fire monitors
in the system; and
(2) At a Pitot tube pressure of 618 kilonewtons per square meter (75
p.s.i.), the two outlets having the greatest pressure drop between the
[[Page 40]]
source of water and the hose or monitor nozzle, when only those two
outlets are open.
(d) If the source of water for the fire main system is capable of
supplying a pressure greater than the system's design working pressure,
the system must have at least one pressure relief device.
(e) Each fire hydrant or standpipe must have at least one length of
hose of sufficient length to meet paragraph (a) of this section.
(f) Each length of hose must--
(1) Be 1\1/2\ inches or more in diameter and 30.5 meters (100 feet)
or less in length;
(2) Be on a hose rack or reel;
(3) Be connected to the hydrant or standpipe at all times; and
(4) Have a Coast Guard approved combination solid stream and water
spray fire hose nozzle.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.609 Dry chemical systems.
(a) Each marine transfer area for LNG must have a dry chemical
system that provides at least two dry chemical discharges to the area
surrounding the loading arms, one of which must be--
(1) From a monitor; and
(2) Actuated and, except for pre-aimed monitors, controlled from a
location other than the monitor location.
(b) The dry chemical system must have the capacity to supply
simultaneously or sequentially each hose or monitor in the system for 45
seconds.
(c) Each dry chemical hose station must have at least one length of
hose that--
(1) Is on a hose rack or reel; and
(2) Has a nozzle with a valve that starts and stops the flow of dry
chemical.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.611 International shore connection.
The marine transfer area for LNG must have an international shore
connection that is in accordance with ASTM F1121-87 (Reapproved 2019)
(incorporated by reference, see Sec. 127.003), a 2\1/2\ inch fire
hydrant, and 2\1/2\ inch fire hose of sufficient length to connect the
fire hydrant to the international shore connection on the vessel.
[CGD 88-032, 56 FR 35819, July 29, 1991, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995; USCG-2000-7223, 65 FR 40057, June 29, 2000; USCG-
2019-0444, 87 FR 5691, Feb. 2, 2022]
Sec. 127.613 Smoking.
In the marine transfer area for LNG, the operator must ensure that
no person smokes when there is LNG present.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88-049, 60 FR
39796, Aug. 3, 1995; USCG-2019-0444, 87 FR 5691, Feb. 2, 2022]
Sec. 127.615 Fires.
In the marine transfer area for LNG, the operator must ensure that
there are no fires when there is LNG present.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88-049, 60 FR
39796, Aug. 3, 1995; USCG-2019-0444, 87 FR 5691, Feb. 2, 2022]
Sec. 127.617 Hotwork.
The operator must ensure that no person conducts welding, torch
cutting, or other hotwork unless that person has a permit from the COTP.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by USCG-2019-0444, 87
FR 5691, Feb. 2, 2022]
Subpart C_Waterfront Facilities Handling Liquefied Hazardous Gas
Source: CGD 88-049, 60 FR 39796, Aug. 3, 1995, unless otherwise
noted.
Design and Construction
Sec. 127.1101 Piping systems.
Each piping system within the marine transfer area for LHG used for
the transfer of LHG must meet the following criteria:
(a) Each system must be designed and constructed in accordance with
ASME B31.3-2020 (incorporated by reference, see Sec. 127.003).
(b) Each pipeline on a pier or wharf must be located so that it is
not exposed to physical damage from vehicular traffic or cargo-handling
equipment. Each pipeline under navigable
[[Page 41]]
waters must be covered or protected to meet 49 CFR 195.248.
(c) The transfer manifold of each liquid transfer line and of each
vapor return line must have an isolation valve with a bleed connection,
such that transfer hoses and loading arms can be blocked off, drained or
pumped out, and depressurized before disconnecting. Bleeds or vents must
discharge to a safe area such as a tank or flare.
(d) In addition to the isolation valve at the transfer manifold,
each liquid-transfer line and each vapor return line must have a readily
accessible isolation valve located near the edge of the marine transfer
area for LHG.
(e) Each power-operated isolation valve must be timed to close so
that it will not produce a hydraulic shock capable of causing failure of
the line or equipment. Unless the layout of the piping allows the
isolation valve at the transfer manifold to close within 30 seconds
without creating excessive stresses on the system, the layout must be
reconfigured to reduce the stresses to a safe level.
(f) Each waterfront facility handling LHG that transfers to or from
a vessel requiring vapor return during transfer must be equipped with a
vapor return line designed to attach to the vessel's vapor connection.
(g) Where two or more LHGs are loaded or unloaded at the same
facility, each manifold must be identified or marked to indicate each
LHG it handles.
(h) Each pipeline used to transfer flammable liquids or vapors must
be provided with precautions against static, lightning, and stray
current in accordance with API RP 2003 (incorporated by reference, see
Sec. 127.003).
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5691, Feb. 2, 2022]
Sec. 127.1102 Transfer hoses and loading arms.
(a) Each hose within the marine transfer area for LHG used for the
transfer of LHG or its vapors to or from a vessel must--
(1) Be made of materials resistant to each LHG transferred, in both
the liquid and vapor state (if wire braid is used for reinforcement, the
wire must be of corrosion-resistant material, such as stainless steel);
(2) Be constructed to withstand the temperature and pressure
foreseeable during transfer, with a MAWP not less than the maximum
pressure to which it may be subjected and at least 1030 kPa gauge (149.4
psig);
(3) Be designed for a minimum bursting pressure of a least five
times the MAWP;
(4) Have--
(i) Full-threaded connections;
(ii) Flanges that meet ASME B16.5-2020 (incorporated by reference,
see Sec. 127.003); or
(iii) Quick connect couplings that are acceptable to the Commandant;
(5) Be adequately supported against the weight of its constituent
parts, the LHG, and any ice formed on it;
(6) Have no kinks, bulges, soft spots, or other defects that will
let it leak or burst under normal working pressure; and
(7) Have a permanently attached nameplate that indicates, or
otherwise be permanently marked to indicate--
(i) Each LHG for which it is suitable;
(ii) Its MAWP at the corresponding service temperature; and
(iii) If used for service at other than ambient temperature, its
minimum service temperature.
(b) Each loading arm used for the transfer of LHG or its vapor
must--
(1) Be made of materials resistant to each LHG transferred, in both
the liquid and vapor state;
(2) Be constructed to withstand the temperature and pressure
foreseeable during transfer;
(3) Be adequately supported against the weight of its constituent
parts, the LHG, and any ice formed on it;
(4) Be provided with an alarm to indicate when it is approaching the
limits of its extension, unless the examined Operations Manual requires
a person to perform the same function; and
(5) Have a permanently attached nameplate that indicates, or
otherwise be permanently marked to indicate--
(i) Each LHG it may handle;
(ii) Its MAWP at the corresponding service temperature; and,
[[Page 42]]
(iii) If it is used for service at other than ambient temperature,
its minimum service temperature.
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5691, Feb. 2, 2022]
Sec. 127.1103 Piers and wharves.
(a) Each new waterfront facility handling LHG, and all new
construction in the marine transfer area for LHG of each facility, must
comply with the standards for seismic design and construction in 49 CFR
part 41.
(b) Each substructure on a new waterfront facility handling LHG, and
all new construction in the marine transfer area for LHG of each
facility, except moorings and breasting dolphins, that supports or is
within 4.5 meters (14.8 feet) of any pipe or equipment containing a
flammable LHG, or that is within 15 meters (49.2 feet) of a loading
flange used to transfer a flammable LHG, must have a fire-endurance
rating of not less than two hours.
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5691, Feb. 2, 2022]
Sec. 127.1105 Layout and spacing of marine transfer area for LHG.
Each new waterfront facility handling LHG, and all new construction
in the marine transfer area for LHG of each facility, must comply with
the following:
(a) Each building, shed, and other structure within each marine
transfer area for LHG must be located, constructed, or ventilated to
prevent the accumulation of flammable or toxic gases within the
structure.
(b) Each impounding space for flammable LHGs located within the area
must be designed and located so that the heat flux from a fire over the
impounding space does not cause, to a vessel, damage that could prevent
the vessel's movement.
(c) Each manifold, loading arm, or independent mating flange must be
located at least 60 meters (197 feet) from each of the following
structures, if that structure is intended primarily for the use of the
general public or of railways:
(1) A bridge crossing a navigable waterway.
(2) The entrance to, or the superstructure of, a tunnel under a
navigable waterway.
(d) Each manifold, loading arm, or independent mating flange must be
located at least 30 meters (98.5 feet) from each public roadway or
railway.
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5691, Feb. 2, 2022]
Sec. 127.1107 Electrical systems.
Electrical equipment and wiring must be of the kind specified by,
and must be installed in accordance with, NFPA 70 (incorporated by
reference, see Sec. 127.003).
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5691, Feb. 2, 2022]
Sec. 127.1109 Lighting systems.
(a) Each waterfront facility handling LHG, at which transfers of LHG
take place between sunset and sunrise, must have outdoor lighting that
illuminates the marine transfer area for LHG.
(b) All outdoor lighting must be located or shielded so that it
cannot be mistaken for any aids to navigation and does not interfere
with navigation on the adjacent waterways.
(c) The outdoor lighting must provide a minimum average illumination
on a horizontal plane 1 meter (3.3 feet) above the walking surface of
the marine transfer area that is--
(1) 54 lux (5 foot-candles) at any loading flange; and
(2) 11 lux (1 foot-candle) for the remainder of the marine transfer
area for LHG.
Sec. 127.1111 Communication systems.
(a) The marine transfer area for LHG must possess a communication
system that enables continuous two way voice communication between the
person in charge of transfer aboard the vessel and the person in charge
of transfer for the facility.
(b) The communication system required by paragraph (a) of this
section may consist either of fixed or portable telephones or of
portable radios. The system must be usable and effective in all phases
of the transfer and all weather at the facility.
[[Page 43]]
(c) Devices used to comply with paragraph (a) of this section during
the transfer of a flammable LHG must be listed as intrinsically safe by
Underwriters Laboratories, Inc., Factory Mutual Research Corporation, or
other independent laboratory recognized by NFPA, for use in the
hazardous location in which it is used.
Sec. 127.1113 Warning signs.
(a) The marine transfer area for LHG must have warning signs that--
(1) Meet paragraph (b) of this section;
(2) Can be seen from the shore and the water; and,
(3) Except as provided in paragraph (c) of this section, bear the
following text:
Warning
Dangerous Cargo
No visitors
No Smoking
No Open Lights
(b) Each letter on the sign must be--
(1) In block style;
(2) Black on a white background; and
(3) At least 7.6 centimeters (3 inches) high.
(c) The words ``No Smoking'' and ``No Open Lights'' may be omitted
when the product being transferred is not flammable.
Equipment
Sec. 127.1203 Gas detection.
(a) Each waterfront facility handling LHG that transfers a flammable
LHG must have at least two portable gas detectors, or a fixed gas
detector, in the marine transfer area for LHG. Each detector must be
capable of indicating whether the concentration of flammable vapors
exceeds 30% of the Lower Flammable Limit for each flammable product
being transferred and must meet IEC 60079-29-1 (incorporated by
reference, see Sec. 127.003).
(b) Each waterfront facility handling LHG that transfers a toxic
LHG, other than anhydrous ammonia, must have at least two portable gas
detectors, or a fixed gas detector, available in the area. The detectors
must be capable of showing whether the concentration of each toxic LHG
being transferred is above, at, or below any Permissible Exposure Limit
listed in 29 CFR 1910.1000, Table Z-1 or Z-2.
(c) Each gas detector required by paragraph (a) or (b) of this
section must serve to detect leaks, check structures for gas
accumulations, and indicate workers' exposure to toxic gases in the
area.
[CGD 88-049, 60 FR 39797, Aug. 3, 1995; 60 FR 49509, Sept. 26, 1995;
USCG-2019-0444, 87 FR 5691, Feb. 2, 2022]
Sec. 127.1205 Emergency shutdown.
(a) Each piping system used to transfer LHG or its vapors to or from
a vessel must have a quick-closing shutoff valve to stop the flow of
liquid and vapor from the waterfront facility handling LHG if a transfer
hose or loading arm fails. This valve may be the isolation valve with a
bleed connection required by Sec. 127.1101(c).
(b) The valve required by paragraph (a) of this section must be
located as near as practicable to the terminal manifold or loading-arm
connection and must--
(1) Close on loss of power;
(2) Close from the time of activation in 30 seconds or less;
(3) Be capable of local manual closing and remotely controlled
closing; and,
(4) If the piping system is used to transfer a flammable LHG, either
have fusible elements that melt at less than 105 [deg]C (221 [deg]F) and
activate the emergency shutdown, or have a sensor that performs the same
function.
(c) A remote actuator for each valve must be located in a place
accessible in an emergency, at least 15 meters (49.2 feet) from the
terminal manifold or loading arm, and conspicuously marked with its
designated function. When activated, the actuator must also
automatically shut down any terminal pumps or compressors used to
transfer LHG, or its vapors, to or from the vessel.
[CGD 88-049, 60 FR 39797, Aug. 3, 1995; 60 FR 49509, Sept. 26, 1995]
Sec. 127.1207 Warning alarms.
(a) Each marine transfer area for LHG must have a rotating or
flashing amber light that is visible for at least 1,600 meters (1 mile)
from the transfer connection in all directions.
[[Page 44]]
(b) Each marine transfer area for LHG must also have a siren that is
audible for at least 1,600 meters (1 mile) from the transfer connection
in all directions.
(c) Each light and siren required by this section must be located so
as to minimize obstructions. If any obstruction will prevent any of
these alarms from meeting paragraph (a) or (b) of this section, the
operator of the waterfront facility handling LHG must propose for
approval by the local COTP additional or alternative warning devices
that provide an equivalent level of safety.
[CGD 88-049, 60 FR 39798, Aug. 3, 1995; 60 FR 49509, Sept. 26, 1995;
USCG-2019-0444, 87 FR 5691, Feb. 2, 2022]
Sec. 127.1209 Respiratory protection.
Each waterfront facility handling LHG must provide equipment for
respiratory protection for each employee of the facility in the marine
transfer area for LHG during the transfer of one or more of the
following toxic LHGs; anhydrous ammonia, chlorine, dimethylamine,
ethylene oxide, methyl bromide, sulphur dioxide, or vinyl chloride. The
equipment must protect the wearer from the LHG's vapor for at least 5
minutes.
Operations
Sec. 127.1301 Persons in charge of transfers for the facility:
Qualifications and certification.
(a) No person may serve, or use the services of any person, as a
person in charge of transfers for the facility regulated under this
subpart, unless that person--
(1) Has at least 48 hours' transfer experience with each LHG being
transferred;
(2) Knows the hazards of each LHG being transferred;
(3) Knows the rules of this subpart; and
(4) Knows the procedures in the examined Operations Manual and the
examined Emergency Manual.
(b) Before a person in charge of transfers for a waterfront facility
handling LHG supervises a transfer of LHG, the operator of the facility
must certify in writing that that person has met the requirements in
paragraph (a) of this section. The operator must ensure that a copy of
each current certification is available for inspection at the facility.
[CGD 88-049, 60 FR 39798, Aug. 3, 1995; 60 FR 49509, Sept. 26, 1995;
USCG-2019-0444, 87 FR 5691, Feb. 2, 2022]
Sec. 127.1302 Training.
(a) Each operator of a waterfront facility handling LHG must ensure
that each person assigned to act as a person in charge of transfers for
the facility has training in the following subjects:
(1) Properties and hazards of each LHG being transferred to or from
the facility.
(2) Use of the gas detectors required by Sec. 127.1203.
(3) Use of the equipment for respiratory protection required by
Sec. 127.1209.
(4) Basic firefighting procedures, including the use of the portable
fire extinguishers required by Sec. 127.1503.
(5) Content and use of the examined Operations Manual and examined
Emergency Manual.
(6) The configuration and limitations of cargo systems of LHG
vessels.
(7) Procedures for transferring LHG to and from LHG vessels.
(8) Procedures for response to a release of the LHG handled by the
facility.
(9) First aid for persons--
(i) With burns;
(ii) Needing cardio-pulmonary resuscitation;
(iii) Exposed to toxic liquid or toxic vapors (if a toxic LHG is
handled by the facility); and
(iv) Needing transport to a medical facility.
(10) Restrictions on access to the marine transfer area for LHG.
(b) Each person that receives training under paragraph (a) of this
section shall receive refresher training in the same subjects at least
once every 5 years.
(c) The operator must maintain, for each person trained, a record of
all training provided under paragraphs (a) and (b) of this section. The
operator must retain these records for the duration of the person's
employment on the waterfront facility plus 12 months.
[[Page 45]]
(d) Training conducted to comply with the hazard communication
programs required by the Occupational Safety and Health Administration
(OSHA) of the Department of Labor [29 CFR 1910.120] or the Environmental
Protection Agency (EPA) [40 CFR 311.1] may be used to satisfy the
requirements in paragraph (a) of this section, so far as the training
addresses the requirements in paragraph (a) of this section.
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5691, Feb. 2, 2022]
Sec. 127.1303 Compliance with suspension order.
If the COTP issues to the owner or operator of a waterfront facility
handling LHG an order to suspend a transfer, no transfer may take place
at the facility until the COTP withdraws the order.
Sec. 127.1305 Operations Manual.
Each Operations Manual must contain--
(a) A description of each liquid-transfer system and vapor transfer
system, including each mooring area, transfer connection, and (where
installed) control room, and a diagram of the piping and electrical
systems;
(b) The duties of each person assigned to transfers;
(c) The maximum relief-valve setting or MAWP of the transfer system;
(d) The telephone numbers of supervisors, persons in charge of
transfers for the facility, persons on watch in the marine transfer area
for LHG, and security personnel of the facility;
(e) A description for each security system provided for the transfer
area;
(f) A description of the training programs established under Sec.
127.1302;
(g) The procedures to follow for security violations; and
(h) For each LHG handled, the procedures for transfer that include--
(1) Requirements for each aspect of the transfer (start-up, gauging,
cooldown, pumping, venting, and shutdown);
(2) The maximum transfer rate;
(3) The minimum transfer temperature;
(4) Requirements for firefighting equipment; and
(5) Communication procedures.
Sec. 127.1307 Emergency Manual.
(a) Each Emergency Manual must contain--
(1) For each LHG handled--
(i) A physical description of the LHG;
(ii) A description of the hazards of the LHG;
(iii) First-aid procedures for persons exposed to the LHG or its
vapors;
(iv) The procedures for response to a release of the LHG; and,
(v) If the LHG is flammable, the procedures for fighting a fire
involving the LHG or its vapors;
(2) A description of the emergency shutdown required by Sec.
127.1205;
(3) The procedures for emergency shutdown;
(4) A description of the number, kind, place, and use of the fire
equipment required by Sec. 127.1501(a) and of the portable fire
extinguishers required by Sec. 127.1503;
(5) The telephone numbers of local Coast Guard units, hospitals,
fire departments, police departments, and other emergency-response
organizations;
(6) If the facility has personnel shelters, the place of and
provisions in each shelter;
(7) If the facility has first-aid stations, the location of each
station;
(8) Emergency procedures for mooring and unmooring a vessel; and,
(9) If an off-site organization is to furnish emergency response, a
copy of the written agreement required by Sec. 127.1505(a)(2).
(b) The employee-emergency plan and fire-prevention plan required by
OSHA in 29 CFR 1910.38 may be used to comply with this section to the
extent that they address the requirements specified in paragraphs (a)
(1) through (9) of this section.
[CGD 88-049, 60 FR 39799, Aug. 3, 1995; 60 FR 49509, Sept. 26, 1995]
Sec. 127.1309 Operations Manual and Emergency Manual: Use.
The operator must ensure that--
(a) LHG transfer operations are not conducted unless the person in
charge of transfer for the waterfront facility
[[Page 46]]
handling LHG has a printed or electronic copy of the most recently
examined Operations Manual and Emergency Manual readily available in the
marine transfer area. Electronic devices used to display the manuals
must comply with applicable electrical safety standards in this part;
(b) Each transfer is conducted in accordance with the examined
Operations Manual; and
(c) Each emergency response is conducted in accordance with the
examined Emergency Manual.
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2020-315, 86
FR 43940, Aug. 11, 2021]
Sec. 127.1311 Motor vehicles.
(a) When LHG is being transferred or stored in the marine transfer
area of a waterfront facility handling LHG, the operator must ensure
that no person--
(1) Stops or parks a motor vehicle in a space other than a
designated parking space;
(2) Refuels a motor vehicle within the area; or
(3) Operates a vehicle or other mobile equipment that constitutes a
potential source of ignition within 15 meters (49.2 feet) of any storage
container, manifold, loading arm, or independent mating flange
containing a flammable liquid or vapor.
(b) If motor vehicles are permitted to stop in the marine transfer
area for LHG, the operator shall designate and mark parking spaces
that--
(1) Do not block fire lanes;
(2) Do not impede any entrances or exits; and
(3) Are not located within 15 meters (49.2 feet) of any storage
container, manifold, loading arm, or independent mating flange
containing a flammable liquid or vapor.
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5691, Feb. 2, 2022]
Sec. 127.1313 Storage of hazardous materials.
(a) Each operator of a waterfront facility handling LHG must ensure
that no materials listed in the table of hazardous materials under 49
CFR 172.101, except for the following, are stored in the marine transfer
area for LHG:
(1) The LHG being transferred.
(2) Fuel required by the vessel, or by emergency equipment in the
area.
(3) Oily wastes received from vessels.
(4) Solvents, lubricants, paints and similar materials in the amount
required for one day's operations and maintenance.
(b) The operator must ensure that flammable liquids not stored in
bulk are stored in accordance with NFPA 30 (incorporated by reference,
see Sec. 127.003).
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5691, Feb. 2, 2022]
Sec. 127.1315 Preliminary transfer inspection.
Before each transfer, the person in charge of transfer for the
facility must--
(a) Inspect piping and equipment within the marine transfer area for
LHG to be used for transfer and ensure that it meets the requirements in
this part;
(b) Determine the contents, pressure, temperature, and capacity of
each storage tank to or from which LHG will be transferred, to ensure
that it is safe for transfer;
(c) Confer with the person in charge of transfer aboard the vessel,
to review and agree on--
(1) The sequence of acts required for transfer;
(2) The rate, maximum working pressure, and minimum working
temperature of transfer;
(3) The duties, stations, and watches of each person assigned for
transfer; and
(4) The emergency procedures in the examined Emergency Manual;
(d) Ensure that the vessel is securely moored and that the transfer
connections allow it to move to the limits of its moorings without
placing a strain on the piping, hose, or loading arm used for transfer;
(e) Ensure that each part of the transfer system is aligned to allow
the flow of LHG to the desired place;
(f) Ensure the display of the warning signs required by Sec.
127.1113;
(g) Ensure that the requirements of this part concerning smoking and
fire protection are met;
[[Page 47]]
(h) Ensure that qualified personnel are on duty in accordance with
the examined Operations Manual and Sec. Sec. 127.1301 and 127.1302; and
(i) Test the following to determine that they are operable:
(1) The communication system required by Sec. 127.1111.
(2) The gas detectors required by Sec. 127.1203.
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5691, Feb. 2, 2022]
Sec. 127.1317 Declaration of Inspection.
(a) Each person in charge of transfer for the facility must ensure
that no person transfers LHG to or from a vessel until a Declaration of
Inspection that meets paragraph (c) of this section is executed and
signed by both the person in charge aboard the vessel and the person in
charge for the facility.
(b) No person in charge of transfer for the facility may sign the
Declaration unless that person has fulfilled the requirements of Sec.
127.1315 and has indicated fulfillment of each requirement by writing
his or her initials in the appropriate space on the Declaration.
(c) Each Declaration must contain--
(1) The name of the vessel and that of the facility;
(2) The date and time that the transfer begins;
(3) A list of the requirements in Sec. 127.1315 with the initials
of both the person in charge aboard the vessel and the person in charge
for the facility after each requirement, indicating the fulfillment of
the requirement;
(4) The signatures of both the person in charge aboard the vessel
and the person in charge for the facility, and the date and time of
signing, indicating that they are both ready to begin transfer; and
(5) The signature of each relief person in charge and the date and
time of each relief.
(d) The person in charge of transfer for the facility must give one
signed copy of the Declaration to the person in charge of transfer
aboard the vessel and retain the other.
(e) Each operator of a facility must retain a signed copy of the
Declaration at the facility for 30 days after the transfer.
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5691, Feb. 2, 2022]
Sec. 127.1319 Transfer of LHG.
(a) The operator of a waterfront facility handling LHG must notify
the COTP of the time and place of each transfer of LHG in bulk at least
4 hours before it begins.
(b) During transfer, each operator of a waterfront facility handling
LHG must ensure that--
(1) The marine transfer area for LHG is under the supervision of a
person in charge certified for transfers of LHG, who has no other
assigned duties during the transfer;
(2) The person in charge supervises transfers only to or from one
vessel at a time unless authorized by the COTP.
(3) No person transferring fuel or oily waste is involved in the
transfer; and
(4) No vessel is moored outboard of any LHG vessel unless allowed by
the COTP or the examined Operations Manual of the facility.
(c) During transfer, each person in charge of transfer for the
facility must--
(1) Maintain communication with the person in charge of transfer
aboard the LHG vessel;
(2) Ensure that an inspection of the transfer piping and equipment
for leaks, frost, defects, and other threats to safety takes place at
least once every transfer;
(3) Ensure that--
(i) Transfer of LHG is discontinued as soon as a release or fire is
detected in the area or aboard the vessel; and
(ii) Transfer of flammable LHG is discontinued when electrical
storms or uncontrolled fires approach near the area; and
(4) Ensure that the outdoor lighting required by Sec. 127.1109 is
turned on between sunset and sunrise.
(d) Upon completion of transfer of LHG, each operator of a
waterfront facility handling LHG must ensure that hoses and loading arms
used for transfer are drained of LHG residue and depressurized before
disconnecting from the vessel.
[[Page 48]]
Note to Sec. 127.1319: Corresponding standards for vessels appear
at 46 CFR part 154.
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5691, Feb. 2, 2022]
Sec. 127.1321 Release of LHG.
(a) Each operator of a waterfront facility handling LHG must ensure
that--
(1) No person intentionally releases LHG into the environment; and
(2) If a release of LHG or its vapor threatens vessels or persons
outside the marine transfer area for LHG, they are notified by the
warning devices.
(b) If LHG or its vapor is released, the person in charge of
transfer for the facility must--
(1) Immediately notify the person in charge of transfer aboard the
vessel that transfer must be shut down;
(2) Shut down transfer in coordination with the person aboard the
vessel;
(3) Notify the COTP of the release; and
(4) Not resume transfer until authorized by the COTP.
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5691, Feb. 2, 2022]
Sec. 127.1325 Access to marine transfer area for LHG.
Each operator of a waterfront facility handling LHG must ensure
that--
(a) Access to the marine transfer area for LHG from shoreside and
waterside is limited to--
(1) Personnel who work in the area, transfer personnel, vessel
personnel, and delivery and service personnel in the course of their
business;
(2) Federal, State, and local officials; and
(3) Other persons authorized by the operator;
(b) Each person allowed into the area is positively identified as
someone authorized to enter and that each person other than an employee
of the facility displays an identifying badge;
(c) Guards are stationed, and fences or other devices are installed,
to prevent, detect, and respond to unauthorized access, fires, and
releases of LHG in the area, except that alternative measures approved
by the COTP (such as electronic monitoring or random patrols) will be
sufficient where the stationing of guards is impracticable; and
(d) Coast Guard personnel are allowed access to the facility, at any
time, to make any examination or to board any vessel moored at the
facility.
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5691, Feb. 2, 2022]
Maintenance
Sec. 127.1401 General.
Each operator of a waterfront facility handling LHG must ensure that
all cargo handling equipment is operable, and that no equipment that may
cause the release or ignition of LHG is used in the marine transfer area
for LHG.
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5691, Feb. 2, 2022]
Sec. 127.1403 Inspections.
(a) Each operator of a waterfront facility handling LHG must conduct
a visual inspection for defects of each pressure relief device not
capable of being tested.
(b) The operator must conduct the inspection required by paragraph
(a) of this section at least once each calendar year, with intervals
between inspections not exceeding 15 months.
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5691, Feb. 2, 2022]
Sec. 127.1405 Repairs.
Each operator of a waterfront facility handling LHG must ensure
that--
(a) Equipment is repaired so that--
(1) The equipment continues to meet the applicable requirements in
this subpart;
(2) Safety is not compromised; and
(b) Welding and cutting meet NFPA 51B (incorporated by reference,
see Sec. 127.003).
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5692, Feb. 2, 2022]
Sec. 127.1407 Tests.
(a) Each operator of a waterfront facility handling LHG must conduct
a
[[Page 49]]
static liquid-pressure test of the piping, hoses, and loading arms of
the LHG-transfer system located in the marine transfer area for LHG, and
must verify the set pressure of the safety and relief valves--
(1) After the system or the valves are altered;
(2) After major repairs to the system or the valves;
(3) After any increase in the MAWP of the system; and
(4) At least once each calendar year, with intervals between tests
not exceeding 15 months.
(b) The pressure for the test under paragraph (a) of this section
must be at least 1.1 times the MAWP and last for at least 30 minutes.
(c) The operator must conduct a test of each pressure gauge, to
ensure that the displayed pressure is within 10 percent of the actual
pressure, at least once each calendar year, with intervals between tests
not exceeding 15 months.
(d) The operator must conduct a test of each item of remote
operating or indicating equipment, such as a remotely operated valve, at
least once each calendar year, with intervals between tests not
exceeding 15 months.
(e) The operator must conduct a test of the emergency shutdown
required by Sec. 127.1205 at least once every two months, to ensure
that it will perform as intended. If transfers of LHG occur less often
than every two months, the operator may conduct this test before each
transfer instead of every two months.
(f) The operator must conduct a test of the warning alarm required
by Sec. 127.1207 at least once every six months, to ensure that it will
perform as intended. If transfers of LHG occur less often than every six
months, the operator may conduct this test before each transfer instead
of every six months.
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5692, Feb. 2, 2022]
Sec. 127.1409 Records.
(a) Each operator of a waterfront facility handling LHG must keep on
file:
(1) A description of the components inspected or tested under Sec.
127.1403 or 127.1407.
(2) The date and results of each inspection or test under Sec.
127.1403 or 127.1407.
(3) A description of any repair made after the inspection or test.
(4) The date and a description of each alteration or major repair to
the LHG transfer system or its valves.
(b) The operator must keep this information on file for at least 24
months after the inspection, test, alteration, or major repair.
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5692, Feb. 2, 2022]
Firefighting Equipment
Sec. 127.1501 General.
(a) The number, kind, and place of equipment for fire detection,
protection, control, and extinguishment must be determined by an
evaluation based upon sound principles of fire-protection engineering,
analysis of local conditions, hazards within the waterfront facility
handling LHG, and exposure to other property. A description of the
number, kind, place, and use of fire equipment determined by this
evaluation must appear in the Emergency Manual for each facility. The
evaluation for each new facility and for all new construction on each
facility must be submitted to the COTP for review when the emergency
manual is submitted under Sec. 127.1307.
(b) All fire equipment for each facility must be adequately
maintained, and periodically inspected and tested, so it will perform as
intended.
(c) The following must be red or some other conspicuous color and be
in places that are readily accessible:
(1) Hydrants and standpipes.
(2) Hose stations.
(3) Portable fire extinguishers.
(4) Fire monitors.
(d) Fire equipment must bear the approval, if applicable, of
Underwriters Laboratories, Inc., Factory Mutual Research Corporation, or
other independent laboratory recognized by NFPA.
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-1999-5832, 64
FR 34714, June 29, 1999; USCG-2019-0444, 87 FR 5691, Feb. 2, 2022]
[[Page 50]]
Sec. 127.1503 Portable fire extinguishers.
Each operator of a waterfront facility handling LHG must provide
portable fire extinguishers of appropriate, number, size, and kind in
the marine transfer area for LHG in accordance with NFPA 10
(incorporated by reference, see Sec. 127.003).
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5692, Feb. 2, 2022]
Sec. 127.1505 Emergency response and rescue.
(a) Each waterfront facility handling LHG must arrange for emergency
response and rescue pending the arrival of resources for firefighting or
pollution control. Response and rescue may be performed by facility
personnel or by an off-site organization.
(1) If response and rescue are performed by facility personnel,
appropriate training and equipment for personnel protection must be
furnished to those personnel. Training and equipment that meets 29 CFR
1910.120, hazardous-waste operations and emergency response, will be
appropriate.
(2) If response and rescue are performed by an off-site
organization, the organization must enter into a written agreement with
the facility indicating the services it will perform and the time within
which it will perform them to injured or trapped personnel.
(b) [Reserved]
Sec. 127.1507 Water systems for fire protection.
(a) Each waterfront facility handling LHG must have a supply of
water and a means for distributing and applying the water to protect
personnel; to cool storage tanks, equipment, piping, and vessels; and to
control unignited leaks and spills in the marine transfer area for LHG
except when the evaluation required by Sec. 127.1501(a) indicates
otherwise. The evaluation must address fire protection for structures,
cargo, and vessels. Each water system must include on the pier or wharf
at least one 2\1/2\-inch supply line, one 2\1/2\-inch fire hydrant, and
enough 2\1/2\-inch hose to connect the hydrant to the vessel.
(b) Each water system must fully and simultaneously supply, for at
least 2 hours, all fixed fire-protection systems, including monitor
nozzles, at their designed flow and pressure for the worst single
incident foreseeable, plus 63 L/s (1000 gpm) for streams from hand-held
hoses.
Sec. 127.1509 Equipment for controlling and extinguishing fires.
(a) Within each marine transfer area for LHG of each waterfront
facility handling LHG that transfers a flammable LHG, portable or
wheeled fire extinguishers suitable for gas fires, preferably dry
chemical extinguishers, must be available at strategic sites, as
determined by the evaluation required by Sec. 127.1501(a).
(b) Fixed systems for extinguishing or controlling fires may be
appropriate for protection against particular hazards. The evaluation
required by Sec. 127.1501(a) may specify the use of one or more of the
following fixed systems:
(1) Low-, medium-, or high-expansion foam.
(2) Dry chemicals.
(3) Water applied as deluge, spray, or sprinkle.
(4) Carbon dioxide.
(5) Other NFPA approved fire extinguishing media.
Sec. 127.1511 International shore connection.
Each marine transfer area for LHG that receives foreign flag vessels
must have an international shore connection meeting the requirements of
ASTM F1121-87 (Reapproved 2019) (incorporated by reference, see Sec.
127.003).
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2000-7223, 65
FR 40057, June 29, 2000; USCG-2019-0444, 87 FR 5692, Feb. 2, 2022]
Fire Protection
Sec. 127.1601 Smoking.
Each operator of a waterfront facility handling LHG must ensure that
no person smokes in the marine transfer area for LHG unless--
(a) Neither flammable LHG nor its vapors are present in the area;
and
[[Page 51]]
(b) The person is in a place designated and marked in accordance
with local law.
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5692, Feb. 2, 2022]
Sec. 127.1603 Hotwork.
Each operator of a waterfront facility handling LHG must ensure that
no person conducts welding, torch cutting, or other hotwork on the
facility, or on a vessel moored to the facility, unless--
(a) The COTP has issued a permit for that hotwork; and
(b) The conditions of the permit are met.
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2019-0444, 87
FR 5692, Feb. 2, 2022]
Sec. 127.1605 Other sources of ignition.
Each operator of a waterfront facility handling LHG must ensure that
in the marine transfer area for LHG--
(a) There are no open fires or open flame lamps;
(b) Heating equipment will not ignite combustible material;
(c) Each chimney and appliance has a spark arrestor if it uses solid
fuel or is located where sparks may ignite combustible material; and
(d) All rubbish, debris, and waste go into appropriate receptacles.
[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by CGD 97-023, 62 FR
33363, June 19, 1997; USCG-2019-0444, 87 FR 5692, Feb. 2, 2022]
PART 128 [RESERVED]
[[Page 52]]
SUBCHAPTER M_MARINE POLLUTION FINANCIAL RESPONSIBILITY
AND COMPENSATION
PART 133_OIL SPILL LIABILITY TRUST FUND; STATE ACCESS--
Table of Contents
Sec.
133.1 Purpose.
133.3 Definitions.
133.5 Requests: General.
133.7 Requests: Amount.
133.9 Requests: Where made.
133.11 Requests: Contents.
133.13 Removal actions eligible for funding.
133.15 Determination of eligibility for funding.
133.17 Conduct of removal actions.
133.19 Recordkeeping.
133.21 Records retention.
133.23 Investigation to determine the source and responsible party.
133.25 Notification of Governor's designee.
Authority: 33 U.S.C. 2712(a)(1)(B), 2712(d) and 2712(e); Sec. 1512
of the Homeland Security Act of 2002, Pub. L. 107-296, Title XV, Nov.
25, 2002, 116 Stat. 2310 (6 U.S.C. 552(d)); E.O. 12777, 56 FR 54757, 3
CFR, 1991 Comp., p. 351, as amended by E.O. 13286, 68 FR 10619, 3 CFR,
2004 Comp., p. 166; Department of Homeland Security Delegation No.
0170.1., para. 2(80).
Source: CGD 92-014, 57 FR 53969, Nov. 13, 1992, unless otherwise
noted.
Sec. 133.1 Purpose.
This part prescribes procedures for the Governor of a State to
request payments from the Oil Spill Liability trust Fund (the Fund) for
oil pollution removal costs under section 1012(d)(1) of the Oil
Pollution Act of 1990 (the Act) (33 U.S.C. 2712(d)(1)).
Sec. 133.3 Definitions.
(a) As used in this part, the following terms have the same meaning
as set forth in section 1001 of the Act (33 U.S.C. 2701): ``discharge'',
``exclusive economic zone'', ``Fund'', ``incident'', ``National
Contingency Plan'', ``navigable waters'', ``oil'', ``remove'',
``removal'', ``removal costs'', ``responsible party'', ``State'', and
``United States''.
(b) As used in this part--
Act means Title I of the Oil Pollution Act of 1990 (33 U.S.C. 2701
through 2719).
Director, NPFC, means the person in charge of the U.S. Coast Guard
National Pollution Funds Center or that person's authorized
representative.
NPFC means the Director National Pollution Funds Center, U.S. Coast
Guard Stop 7605, 2703 Martin Luther King Jr. Avenue SE., Washington, DC
20593-7605.
On-Scene Coordinator or OSC means the Federal official predesignated
by the Environmental Protection Agency or the U.S. Coast Guard to direct
and coordinate all efforts for removal of a discharge, or the mitigation
or the prevention of a substantial threat of a discharge, of oil.
Removal action means an incident-specific activity taken under this
part to contain or remove a discharge, or to mitigate or prevent a
substantial threat of a discharge, of oil.
[CGD 92-014, 57 FR 53969, Nov. 13, 1992, as amended by USCG-2009-0416,
74 FR 27440, June 10, 2009; USCG-2016-0498, 82 FR 35081, July 28, 2017]
Sec. 133.5 Requests: General.
(a) Upon a request submitted in accordance with this part by the
Governor of a State or his or her designated State official, the OSC may
obtain a Federal Project Number (FPN) and a ceiling not to exceed
$250,000 per incident for removal costs. The removal costs must be for
the immediate removal of a discharge, or the mitigation or prevention of
a substantial threat of a discharge, of oil.
(b) Before a request under this part is made, the State official
will ensure that the procedures in the National Contingency Plan (40 CFR
part 300) for notifying Federal authorities of the discharge or threat
of discharge have been met.
(c) The Federal Grant and Cooperative Agreement Act of 1977 (31
U.S.C. 6301-6308), 2 CFR part 3000, 6 CFR part 9, and 49 CFR parts 18
and 90, apply to Fund monies obligated for payment under this part.
[CGD 92-014, 57 FR 53969, Nov. 13, 1992, as amended by USCG-2013-0397,
78 FR 39175, July 1, 2013]
[[Page 53]]
Sec. 133.7 Requests: Amount.
(a) The amount of funds that may be requested under this part--
(1) Is limited to the amount anticipated for immediate removal
action for a single oil pollution incident, but, in any event, may not
exceed $250,000 per incident;
(2) Must be for removal costs consistent with the National
Contingency Plan; and
(3) Must be reasonable for the removal actions proposed, considering
such factors as quantity and composition of the oil, weather conditions
and customary costs of similar services in the locale.
(b) The funds requested are obligated only to the extent they are
determined to be for immediate removal actions which are reasonable and
otherwise eligible for payment under this part.
Sec. 133.9 Requests: Where made.
Requests for access to the Fund under Sec. 133.5 must be made by
telephone or other rapid means to the OSC.
Sec. 133.11 Request: Contents.
In making a request for access to the Fund, the person making the
request shall--
(a) Indicate that the request is a State access request under 33 CFR
part 133;
(b) Give his or her name, title, department, and State;
(c) Describe the incident in sufficient detail to allow a
determination of jurisdiction, including at a minimum the date of the
occurrence, type of product discharged, estimated quantity of the
discharge, body of water involved, and proposed removal actions for
which funds are being requested under this part; and
(d) Indicate the amount of funds being requested.
Sec. 133.13 Removal actions eligible for funding.
To be eligible for funding under this part, each removal action must
meet the following:
(a) Must be for an incident, occurring after August 18, 1990, which
resulted in a discharge, or the substantial threat of a discharge, of
oil into or upon the navigable waters or adjoining shorelines.
(b) Must comply with the National Contingency Plan.
(c) Must be an immediate removal action.
Sec. 133.15 Determination of eligibility for funding.
Upon receipt of the information under Sec. 133.11 and, if
necessary, from other sources determined to be appropriate at his or her
discretion, the OSC will determine whether the proposed removal actions
meet the requirements of Sec. 133.13. If necessary, the OSC may seek
further clarification of the proposed actions from the State official.
The OSC shall expeditiously notify the State official and the Director,
NPFC, of his or her decision.
Sec. 133.17 Conduct of removal actions.
Removal actions funded under this part must be coordinated with the
OSC and conducted in accordance with the National Contingency Plan.
Sec. 133.19 Recordkeeping.
(a) The State official shall maintain detailed records of
expenditures made from the funds provided under this part, including
records of--
(1) Daily expenditures for each individual worker, giving the
individual's name, title or position, activity performed, time on task,
salary or hourly rate, travel costs, per diem, out-of-pocket or
extraordinary expenses, and whether the individual is normally available
for oil spill removal;
(2) Equipment purchased or rented each day, with the daily or hourly
rate;
(3) Miscellaneous materials and expendables purchased each day; and
(4) Daily contractor or consultant fees, including costs for their
personnel and contractor-owned or rented equipment, as well as that of
any subcontractor.
(b) The State official shall submit a copy of these records and a
summary document stating the total of all expenditures made to the NPFC
official specified in Sec. 133.25(c) within thirty days after
completion of the removal actions. A copy of these documents shall also
be submitted to the cognizant OSC.
[[Page 54]]
(c) Upon request of the OSC or the NPFC, the State official shall
make the original records available for inspection.
(d) If, after inspecting the records, the Director, NPFC, determines
that expenditures by a State official from funds obligated under this
part were not eligible for funding under this part and the expenditures
were not made with the good faith understanding that they were eligible
under this part, the Director, NPFC, may seek reimbursement to the Fund
from the State.
Sec. 133.21 Records retention.
(a) The State official shall maintain all records for ten years
following completion of the removal actions.
(b) If any litigation, claim, negotiation, audit, cost recovery, or
other action involving the records has been started before the
expiration of the ten-year period, the records must be retained until
completion of the action and resolution of all issues which arise from
it, or until the end of the regular ten-year period, whichever is later.
Sec. 133.23 Investigation to determine the source and responsible party.
(a) The State official shall promptly make a thorough investigation
to determine the source of the incident and the responsible party.
(b) Upon completion of the investigation, the State official shall
forward the results of the investigation and copies of the supporting
evidence identifying the source and the responsible party to both the
cognizant OSC and the NPFC official specified in Sec. 133.25(c).
Sec. 133.25 Notification of Governor's designee.
(a) If the Governor of a State anticipates the need to access the
Fund under this part, he or she must advise the NPFC in writing of the
specific individual who is designated to make requests under this part.
(b) This designation must include the individual's name, address,
telephone number, and title or capacity in which employed.
(c) The information required by paragraph (b) of this section must
be forwarded to the Director National Pollution Funds Center, U.S. Coast
Guard Stop 7605, 2703 Martin Luther King Jr. Avenue SE., Washington, DC
20593-7605.
[CGD 92-014, 57 FR 53969, Nov. 13, 1992, as amended by USCG-2009-0416,
74 FR 27440, June 10, 2009; USCG-2016-0498, 82 FR 35081, July 28, 2017]
PART 136_OIL SPILL LIABILITY TRUST FUND; CLAIMS PROCEDURES;
DESIGNATION OF SOURCE; AND ADVERTISEMENT--Table of Contents
Subpart A_General
Sec.
136.1 Purpose and applicability.
136.3 Information.
136.5 Definitions.
136.7 Foreign claimants.
136.9 Falsification of claims.
Subpart B_General Procedure
136.101 Time limitations on claims.
136.103 Order of presentment.
136.105 General requirements for a claim.
136.107 Subrogated claims.
136.109 Removal costs and multiple items of damages.
136.111 Insurance.
136.113 Other compensation.
136.115 Settlement and notice to claimant.
Subpart C_Procedures for Particular Claims
Removal Costs
136.201 Authorized claimants.
136.203 Proof.
136.205 Compensation allowable.
Natural Resources
136.207 Authorized claimants.
136.209 Proof.
136.211 Compensation allowable.
Real or Personal Property
136.213 Authorized claimants.
136.215 Proof.
136.217 Compensation allowable.
Subsistence Use
136.219 Authorized claimants.
136.221 Proof.
136.223 Compensation allowable.
Government Revenues
136.225 Authorized claimants.
136.227 Proof.
136.229 Compensation allowable.
[[Page 55]]
Profits and Earning Capacity
136.231 Authorized claimants.
136.233 Proof.
136.235 Compensation allowable.
Government Public Services
136.237 Authorized claimants.
136.239 Proof.
136.241 Compensation allowable.
Subpart D_Designation of Source and Advertisement
General
136.301 Purpose.
136.303 Definitions.
Designation of Source
136.305 Notice of designation.
136.307 Denial of designation.
Advertisement
136.309 Advertisement determinations.
136.311 Types of advertisement.
136.313 Content of advertisement.
Authority: 33 U.S.C. 2713(e) and 2714; Sec. 1512 of the Homeland
Security Act of 2002, Pub. L. 107-296, Title XV, Nov. 25, 2002, 116
Stat. 2310 (6 U.S.C. 552(d)); E.O. 12777, 56 FR 54757, 3 CFR, 1991
Comp., p. 351, as amended by E.O. 13286, 68 FR 10619, 3 CFR, 2004 Comp.,
p.166; Department of Homeland Security Delegation No. 0170.1, para.
2(80).
Source: CGD 91-035, 57 FR 36316, Aug. 12, 1992, unless otherwise
noted.
Subpart A_General
Sec. 136.1 Purpose and applicability.
(a) This part prescribes regulations for--
(1) Presentation, filing, processing, settlement, and adjudication
of claims authorized to be presented to the Oil Spill Liability Trust
Fund (the Fund) under section 1013 of the Oil Pollution Act of 1990 (the
Act) (33 U.S.C. 2713) for certain uncompensated removal costs or
uncompensated damages resulting from the discharge, or substantial
threat of discharge, of oil from a vessel or facility into or upon the
navigable waters, adjoining shorelines, or the exclusive economic zone;
(2) Designation of the source of the incident, notification to the
responsible party of the designation, and advertisement of the
designation and claims procedures; and
(3) Other related matters.
(b) This part applies to claims resulting from incidents occurring
after August 18, 1990.
(c) Nothing in this part--
(1) Preempts the authority of any State or political subdivision
thereof from imposing any additional liability or requirements with
respect to--
(i) The discharge of oil or other pollution by oil within such
State; or
(ii) Any removal activities in connection with such a discharge; or
(2) Affects or modifies in any way the obligations or liabilities of
any person under the Solid Waste Disposal Act (42 U.S.C. 6901 et seq.)
or State law, including common law; or
(3) Affects the authority of any State--
(i) To establish, or to continue in effect, a fund any purpose of
which is to pay for costs or damages arising out of, or directly
resulting from, oil pollution or the substantial threat of oil
pollution; or
(ii) To require any person to contribute to such a fund; or
(4) Affects the authority of the United States or any State or
political subdivision thereof to impose additional liability or
additional requirements relating to a discharge, or substantial threat
of a discharge, of oil.
Sec. 136.3 Information.
Anyone desiring to file a claim against the Fund may obtain general
information on the procedure for filing a claim from the Director,
National Pollution Funds Center, U.S. Coast Guard Stop 7605, 2703 Martin
Luther King Jr. Avenue SE., Washington, DC 20593-7605, (800) 280-7118.
[CGD 91-035, 57 FR 36316, Aug. 12, 1992, as amended by USCG-2009-0416,
74 FR 27441, June 10, 2009; USCG-2012-0306, 77 FR 37315, June 21, 2012;
USCG-2016-0498, 82 FR 35081, July 28, 2017]
Sec. 136.5 Definitions.
(a) As used in this part, the following terms have the same meaning
as set forth in sections 1001 and 1007(c) of the Act (33 U.S.C. 2701 and
2707(c)): Claim, claimant, damages, discharge, exclusive economic zone,
facility, foreign claimant, foreign offshore unit, Fund, guarantor,
incident, National Contingency Plan, natural resources, navigable
waters, offshore
[[Page 56]]
facility, oil, onshore facility, owner or operator, person, removal
costs, responsible party, State, United States, and vessel.
(b) As used in this part--
Act means title I of the Oil Pollution Act of 1990 (Pub. L. 101-380;
33 U.S.C. 2701 through 2719).
Director, NPFC, means the person in charge of the U.S. Coast Guard
National Pollution Funds Center or that person's authorized
representative.
FOSC means the Federal On-Scene Coordinator designated under the
National Contingency Plan or that person's authorized representative.
NPFC means the Director, National Pollution Funds Center, U.S. Coast
Guard Stop 7605, 2703 Martin Luther King Jr. Avenue SE., Washington, DC
20593-7605.
[CGD 91-035, 57 FR 36316, Aug. 12, 1992, as amended by USCG-2009-0416,
74 FR 27441, June 10, 2009; USCG-2012-0306, 77 FR 37315, June 21, 2012;
USCG-2016-0498, 82 FR 35081, July 28, 2017]
Sec. 136.7 Foreign claimants.
In addition to other applicable limitations on presenting claims to
the Fund, claims by foreign claimants to recover removal costs or
damages may be presented only when the requirements of section 1007 of
the Act (33 U.S.C. 2707) are met.
Sec. 136.9 Falsification of claims.
Persons submitting false claims or making false statements in
connection with claims under this part may be subject to prosecution
under Federal law, including but not limited to 18 U.S.C. 287 and 1001.
In addition, persons submitting written documentation in support of
claims under this part which they know, or should know, is false or
omits a material fact may be subject to a civil penalty for each claim.
If any payment is made on the claim, the claimant may also be subject to
an assessment of up to twice the amount claimed. These civil sanctions
may be imposed under the Program Fraud Civil Remedies Act, 31 U.S.C.
3801-3812, as implemented in 6 CFR part 13.
[CGD 91-035, 57 FR 36316, Aug. 12, 1992, as amended by CGD 96-052, 62 FR
16703, Apr. 8, 1997; USCG-2013-0397, 78 FR 39175, July 1, 2013]
Subpart B_General Procedure
Sec. 136.101 Time limitations on claims.
(a) Except as provided under section 1012(h)(3) of the Act (33
U.S.C. 2712(h)(3)) (minors and incompetents), the Fund will consider a
claim only if presented in writing to the Director, NPFC, within the
following time limits:
(1) For damages, within three years after--
(i) The date on which the injury and its connection with the
incident in question were reasonably discoverable with the exercise of
due care.
(ii) In the case of natural resources damages under section
1002(b)(2)(A) of the Act (33 U.S.C. 2702(b)(2)(A)), the date under
paragraph (a)(1)(i) of this section, or within three years from the date
of completion of the natural resources damage assessment under section
1006(e) of the Act (33 U.S.C. 2706(e)), whichever is later.
(2) For removal costs, within six years after the date of completion
of all removal actions for the incident. As used in this paragraph,
``date of completion of all removal actions'' is defined as the actual
date of completion of all removal actions for the incident or the date
the FOSC determines that the removal actions which form the basis for
the costs being claimed are completed, whichever is earlier.
(b) Unless the Director, NPFC, directs in writing that the claim be
submitted elsewhere, a claim is deemed presented on the date the claim
is actually received at the Director, National Pollution Funds Center,
U.S. Coast Guard Stop 7605, 2703 Martin Luther King Jr. Avenue SE.,
Washington, DC 20593-7605. If the Director, NPFC, directs that the claim
be presented elsewhere, the claim is deemed presented on the date the
claim is actually received at the address in the directive.
[CGD 91-035, 57 FR 36316, Aug. 12, 1992; 57 FR 41104, Sept. 9, 1992, as
amended by USCG-2009-0416, 74 FR 27441, June 10, 2009; USCG-2012-0306,
77 FR 37315, June 21, 2012; USCG-2016-0498, 82 FR 35081, July 28, 2017]
[[Page 57]]
Sec. 136.103 Order of presentment.
(a) Except as provided in paragraph (b) of this section, all claims
for removal costs or damages must be presented first to the responsible
party or guarantor of the source designated under Sec. 136.305.
(b) Claims for removal costs or damages may be presented first to
the Fund only--
(1) By any claimant, if the Director, NPFC, has advertised, or
otherwise notified claimants in writing, in accordance with Sec.
136.309(e);
(2) By a responsible party who may assert a claim under section 1008
of the Act (33 U.S.C. 2708);
(3) By the Governor of a State for removal costs incurred by that
State; or
(4) By a United States claimant in a case where a foreign offshore
unit has discharged oil causing damage for which the Fund is liable
under section 1012(a) of the Act (33 U.S.C. 2712(a)).
(c) If a claim is presented in accordance with paragraph (a) of this
section and--
(1) Each person to whom the claim is presented denies all liability
for the claim; or
(2) The claim is not settled by any person by payment within 90 days
after the date upon which (A) the claim was presented, or (B)
advertising was begun pursuant to Sec. 136.309(d), whichever is later,
the claimant may elect to commence an action in court against the
responsible party or guarantor or to present the claim to the Fund.
(d) No claim of a person against the Fund will be approved or
certified for payment during the pendency of an action by the person in
court to recover costs which are the subject of the claim.
[CGD 91-035, 57 FR 36316, Aug. 12, 1992; 57 FR 41104, Sept. 9, 1992]
Sec. 136.105 General requirements for a claim.
(a) The claimant bears the burden of providing all evidence,
information, and documentation deemed necessary by the Director, NPFC,
to support the claim.
(b) Each claim must be in writing for a sum certain for compensation
for each category of uncompensated damages or removal costs (as
described in Subpart C of this part) resulting from an incident. If at
any time during the pendency of a claim against the Fund the claimant
receives any compensation for the claimed amounts, the claimant shall
immediately amend the claim.
(c) Each claim must be signed in ink by the claimant certifying to
the best of the claimant's knowledge and belief that the claim
accurately reflects all material facts.
(d) In addition to the other requirements of this section, any claim
presented by a legal representative of the claimant must also be signed
by the legal representative and--
(1) Be presented in the name of the claimant;
(2) Show the title or legal capacity of the representative; and
(3) Provide proof of authority to act for the claimant.
(e) Each claim must include at least the following, as applicable:
(1) The full name, street and mailing addresses of residence and
business, and telephone numbers of the claimant.
(2) The date, time, and place of the incident giving rise to the
claim.
(3) The identity of the vessel, facility, or other entity causing or
suspected to have caused the removal costs or damages claimed and the
basis for such identity or belief.
(4) A general description of the nature and extent of the impact of
the incident, the costs associated with removal actions, and damages
claimed, by category as delineated in Subpart C of this part, including,
for any property, equipment, or similar item damaged, the full name,
street and mailing address, and telephone number of the actual owner, if
other than the claimant.
(5) An explanation of how and when the removal costs or damages were
caused by, or resulted from, an incident.
(6) Evidence to support the claim.
(7) A description of the actions taken by the claimant, or other
person on the claimant's behalf, to avoid or minimize removal costs or
damages claimed.
(8) The reasonable costs incurred by the claimant in assessing the
damages claimed. This includes the reasonable
[[Page 58]]
costs of estimating the damages claimed, but not attorney's fees or
other administrative costs associated with preparation of the claim.
(9) To the extent known or reasonably identifiable by the claimant,
the full name, street and mailing address, and telephone number of each
witness to the incident, to the discharge, or to the removal costs or
damages claimed, along with a brief description of that person's
knowledge.
(10) A copy of written communications and the substance of verbal
communications, if any, between the claimant and the responsible party
or guarantor of the source designated under Sec. 136.305 and a
statement indicating that the claim was presented to the responsible
party or guarantor, the date it was presented, that it was denied or
remains not settled and, if known, the reason why it was denied or
remains not settled.
(11) If the claimant has insurance which may cover the removal costs
or damages claimed, the information required under Sec. 136.111.
(12) A statement by the claimant that no action has been commenced
in court against the responsible party or guarantor of the source
designated under Sec. 136.305 or, if an action has been commenced, a
statement identifying the claimant's attorney and the attorney's address
and phone number, the civil action number, and the court in which the
action is pending.
(13) In the discretion of the Director, NPFC, any other information
deemed relevant and necessary to properly process the claim for payment.
Sec. 136.107 Subrogated claims.
(a) The claims of subrogor (e.g., insured) and subrogee (e.g.,
insurer) for removal costs and damages arising out of the same incident
should be presented together and must be signed by all claimants.
(b) A fully subrogated claim is payable only to the subrogee.
(c) A subrogee must support a claim in the same manner as any other
claimant.
Sec. 136.109 Removal costs and multiple items of damages.
(a) A claimant must specify all of the claimant's known removal
costs or damages arising out of a single incident when submitting a
claim.
(b) Removal costs and each separate category of damages (as
described in subpart C of this part) must be separately listed with a
sum certain attributed to each type and category listed.
(c) At the sole discretion of the Director, NPFC, removal costs and
each separate category of damages may be treated separately for
settlement purposes.
Sec. 136.111 Insurance.
(a) A claimant shall provide the following information concerning
any insurance which may cover the removal costs or damages for which
compensation is claimed:
(1) The name and address of each insurer.
(2) The kind and amount of coverage.
(3) The policy number.
(4) Whether a claim has been or will be presented to an insurer and,
if so, the amount of the claim and the name of the insurer.
(5) Whether any insurer has paid the claim in full or in part or has
indicated whether or not payment will be made.
(b) If requested by the Director, NPFC, the claimant shall provide a
copy of the following material:
(1) All insurance policies or indemnification agreements.
(2) All written communications, and a summary of all oral
communications, with any insurer or indemnifier.
(c) A claimant shall advise the Director, NPFC, of any changes in
the information provided under this section.
Sec. 136.113 Other compensation.
A claimant must include an accounting, including the source and
value, of all other compensation received, applied for, or potentially
available as a consequence of the incident out of which the claim arises
including, but not limited to, monetary payments, goods or services, or
other benefits.
[[Page 59]]
Sec. 136.115 Settlement and notice to claimant.
(a) Payment in full, or acceptance by the claimant of an offer of
settlement by the Fund, is final and conclusive for all purposes and,
upon payment, constitutes a release of the Fund for the claim. In
addition, acceptance of any compensation from the Fund precludes the
claimant from filing any subsequent action against any person to recover
costs or damages which are the subject of the compensated claim.
Acceptance of any compensation also constitutes an agreement by the
claimant to assign to the Fund any rights, claims, and causes of action
the claimant has against any person for the costs and damages which are
the subject of the compensated claims and to cooperate reasonably with
the Fund in any claim or action by the Fund against any person to
recover the amounts paid by the Fund. The cooperation shall include, but
is not limited to, immediately reimbursing the Fund for any compensation
received from any other source for the same costs and damages and
providing any documentation, evidence, testimony, and other support, as
may be necessary for the Fund to recover from any person.
(b) Claimant's failure to accept an offer of settlement within 60
days after the date the offer was mailed to the claimant automatically
voids the offer. The Director, NPFC, reserves the right to revoke an
offer at any time.
(c) A claimant will be notified in writing sent by certified or
registered mail whenever a claim against the Fund is denied. The failure
of the Director, NPFC, to make final disposition of a claim within six
months after it is filed shall, at the option of the claimant any time
thereafter, be deemed a final denial of the claim.
(d) The Director, NPFC, upon written request of the claimant or of a
person duly authorized to act on the claimant's behalf, reconsiders any
claim denied. The request for reconsideration must be in writing and
include the factual or legal grounds for the relief requested, providing
any additional support for the claim. The request must be received by
the Director, NPFC, within 60 days after the date the denial was mailed
to the claimant or within 30 days after receipt of the denial by the
claimant, whichever date is earlier. Reconsideration may only be
requested once for each claim denied. The Director, NPFC will provide
the claimant seeking reconsideration with written notification of the
decision within 90 days after receipt of the request for
reconsideration. This written decision is final. The failure of the
Director, NPFC, to make final disposition of a reconsideration within 90
days after it is received shall, at the option of the claimant any time
thereafter, be deemed a final denial of the reconsideration.
Subpart C_Procedures for Particular Claims
Removal Costs
Sec. 136.201 Authorized claimants.
A claim for removal costs may be presented by any claimant.
Sec. 136.203 Proof.
In addition to the requirements of Subparts A and B of this part, a
claimant must establish--
(a) That the actions taken were necessary to prevent, minimize, or
mitigate the effects of the incident;
(b) That the removal costs were incurred as a result of these
actions;
(c) That the actions taken were determined by the FOSC to be
consistent with the National Contingency Plan or were directed by the
FOSC.
Sec. 136.205 Compensation allowable.
The amount of compensation allowable is the total of uncompensated
reasonable removal costs of actions taken that were determined by the
FOSC to be consistent with the National Contingency Plan or were
directed by the FOSC. Except in exceptional circumstances, removal
activities for which costs are being claimed must have been coordinated
with the FOSC.
Natural Resources
Sec. 136.207 Authorized claimants.
(a) Claims for uncompensated natural resource damages may be
presented by
[[Page 60]]
an appropriate natural resources trustee. However, in order to
facilitate the processing of these claims with respect to a single
incident where multiple trustees are involved and to prevent double
recovery, the affected trustees should select a lead administrative
trustee who will present consolidated claims on behalf of the trustees.
(b) A trustee may present a claim for the reasonable cost of
assessing natural resources damages separately from a claim for the cost
of developing and implementing plans for the restoration,
rehabilitation, replacement, or acquisition of the equivalent of the
natural resources damaged.
Sec. 136.209 Proof.
In addition to the requirements of subparts A and B of this part, a
trustee must do the following:
(a) Submit the assessment and restoration plans which form the basis
of the claim.
(b) Provide documented costs and cost estimates for the claim. Final
cost estimates for conducting damage assessments or implementing a
restoration plan may form the basis for a claim against the Fund for an
uncompensated natural resources damage claim.
(c) Identify all trustees who may be potential claimants for the
same natural resources damaged.
(d) Certify the accuracy and integrity of any claim submitted to the
Fund, and certify that any actions taken or proposed were or will be
conducted in accordance with the Act and consistent with all applicable
laws and regulations.
(e) Certify whether the assessment was conducted in accordance with
applicable provisions of the natural resources damage assessment
regulations promulgated under section 1006(e)(1) of the Act (33 U.S.C.
2706(e)(1)). Identify any other or additional damage assessment
regulations or methodology utilized.
(f) Certify that, to the best of the trustee's knowledge and belief,
no other trustee has the right to present a claim for the same natural
resources damages and that payment of any subpart of the claim presented
would not constitute a double recovery for the same natural resources
damages.
Sec. 136.211 Compensation allowable.
(a) The amount of compensation allowable is the reasonable cost of
assessing damages, and the cost of restoring, rehabilitating, replacing,
or acquiring the equivalent of the damaged natural resources.
(b) In addition to any other provision of law respecting the use of
sums recovered for natural resources damages, trustees shall reimburse
the Fund for any amounts received from the Fund in excess of that amount
required to accomplish the activities for which the claim was paid.
Real or Personal Property
Sec. 136.213 Authorized claimants.
(a) A claim for injury to, or economic losses resulting from the
destruction of, real or personal property may be presented only by a
claimant either owning or leasing the property.
(b) Any claim for loss of profits or impairment of earning capacity
due to injury to, destruction of, or loss of real or personal property
must be included as subpart of the claim under this section and must
include the proof required under Sec. 136.233.
Sec. 136.215 Proof.
(a) In addition to the requirements of subparts A and B of this
part, a claimant must establish--
(1) An ownership or leasehold interest in the property;
(2) That the property was injured or destroyed;
(3) The cost of repair or replacement; and
(4) The value of the property both before and after injury occurred.
(b) In addition, for each claim for economic loss resulting from
destruction of real or personal property, the claimant must establish--
(1) That the property was not available for use and, if it had been,
the value of that use;
(2) Whether or not substitute property was available and, if used,
the costs thereof; and
[[Page 61]]
(3) That the economic loss claimed was incurred as the result of the
injury to or destruction of the property.
Sec. 136.217 Compensation allowable.
(a) The amount of compensation allowable for damaged property is the
lesser of--
(1) Actual or estimated net cost of repairs necessary to restore the
property to substantially the same condition which existed immediately
before the damage;
(2) The difference between value of the property before and after
the damage; or
(3) The replacement value.
(b) Compensation for economic loss resulting from the destruction of
real or personal property may be allowed in an amount equal to the
reasonable costs actually incurred for use of substitute commercial
property or, if substitute commercial property was not reasonably
available, in an amount equal to the net economic loss which resulted
from not having use of the property. When substitute commercial property
was reasonably available, but not used, allowable compensation for loss
of use is limited to the cost of the substitute commercial property, or
the property lost, whichever is less. Compensation for loss of use of
noncommercial property is not allowable.
(c) Compensation for a claim for loss of profits or impairment of
earning capacity under Sec. 136.213(b) is limited to that allowable
under Sec. 136.235.
Subsistence Use
Sec. 136.219 Authorized claimants.
(a) A claim for loss of subsistence use of natural resources may be
presented only by a claimant who actually uses, for subsistence, the
natural resources which have been injured, destroyed, or lost, without
regard to the ownership or management of the resources.
(b) A claim for loss of profits or impairment of earning capacity
due to loss of subsistence use of natural resources must be included as
part of the claim under this section and must include the proof required
under Sec. 136.233.
Sec. 136.221 Proof.
In addition to the requirements of subparts A and B of this part, a
claimant must provide--
(a) The identification of each specific natural resource for which
compensation for loss of subsistence use is claimed;
(b) A description of the actual subsistence use made of each
specific natural resource by the claimant;
(c) A description of how and to what extent the claimant's
subsistence use was affected by the injury to or loss of each specific
natural resource;
(d) A description of each effort made by the claimant to mitigate
the claimant's loss of subsistence use; and
(e) A description of each alternative source or means of subsistence
available to the claimant during the period of time for which loss of
subsistence is claimed, and any compensation available to the claimant
for loss of subsistence.
Sec. 136.223 Compensation allowable.
(a) The amount of compensation allowable is the reasonable
replacement cost of the subsistence loss suffered by the claimant if,
during the period of time for which the loss of subsistence is claimed,
there was no alternative source or means of subsistence available.
(b) The amount of compensation allowable under paragraph (a) of this
section must be reduced by--
(1) All compensation made available to the claimant to compensate
for subsistence loss;
(2) All income which was derived by utilizing the time which
otherwise would have been used to obtain natural resources for
subsistence use; and
(3) Overheads or other normal expenses of subsistence use not
incurred as a result of the incident.
(c) Compensation for a claim for loss of profits or impairment of
earning capacity under Sec. 136.219(b) is limited to that allowable
under Sec. 136.235.
Government Revenues
Sec. 136.225 Authorized claimants.
A claim for net loss of revenue due to the injury, destruction, or
loss of real property, personal property, or natural
[[Page 62]]
resources may be presented only by an appropriate claimant sustaining
the loss. As used in this section and Sec. 136.277, ``revenue'' means
taxes, royalties, rents, fees, and net profit shares.
Sec. 136.227 Proof.
In addition to the requirements of Subparts A and B, a claimant must
establish--
(a) The identification and description of the economic loss for
which compensation is claimed, including the applicable authority,
property affected, method of assessment, rate, and method and dates of
collection;
(b) That the loss of revenue was due to the injury to, destruction
of, or loss of real or personal property or natural resources;
(c) The total assessment or revenue collected for comparable revenue
periods; and
(d) The net loss of revenue.
Sec. 136.229 Compensation allowable.
The amount of compensation allowable is the total net revenue
actually lost.
Profits and Earning Capacity
Sec. 136.231 Authorized claimants.
(a) A claim for loss of profits or impairment of earning capacity
due to the injury to, destruction of, or loss of real or personal
property or natural resources may be presented by a claimant sustaining
the loss or impairment. The claimant need not be the owner of the
damaged property or resources to recover for lost profits or income.
(b) A claim for loss of profits or impairment of earning capacity
that also involves a claim for injury to, or economic losses resulting
from destruction of, real or personal property must be claimed under
Sec. 136.213.
(c) A claim for loss of profits or impairment of earning capacity
that also involves a claim for loss of subsistence use of natural
resources must be claimed under Sec. 136.219.
Sec. 136.233 Proof.
In addition to the requirements of subparts A and B of this part, a
claimant must establish the following:
(a) That real or personal property or natural resources have been
injured, destroyed, or lost.
(b) That the claimant's income was reduced as a consequence of
injury to, destruction of, or loss of the property or natural resources,
and the amount of that reduction.
(c) The amount of the claimant's profits or earnings in comparable
periods and during the period when the claimed loss or impairment was
suffered, as established by income tax returns, financial statements,
and similar documents. In addition, comparative figures for profits or
earnings for the same or similar activities outside of the area affected
by the incident also must be established.
(d) Whether alternative employment or business was available and
undertaken and, if so, the amount of income received. All income that a
claimant received as a result of the incident must be clearly indicated
and any saved overhead and other normal expenses not incurred as a
result of the incident must be established.
Sec. 136.235 Compensation allowable.
The amount of compensation allowable is limited to the actual net
reduction or loss of earnings or profits suffered. Calculations for net
reductions or losses must clearly reflect adjustments for--
(a) All income resulting from the incident;
(b) All income from alternative employment or business undertaken;
(c) Potential income from alternative employment or business not
undertaken, but reasonably available;
(d) Any saved overhead or normal expenses not incurred as a result
of the incident; and
(e) State, local, and Federal taxes.
Government Public Services
Sec. 136.237 Authorized claimants.
A claim for net costs of providing increased or additional public
services during or after removal activities, including protection from
fire, safety, or health hazards, caused by a discharge of oil may be
presented only by a State or a political subdivision of a State
incurring the costs.
[[Page 63]]
Sec. 136.239 Proof.
In addition to the requirements of subparts A and B of this part, a
claimant must establish--
(a) The nature of the specific public services provided and the need
for those services;
(b) That the services occurred during or after removal activities;
(c) That the services were provided as a result of a discharge of
oil and would not otherwise have been provided; and
(d) The net cost for the services and the methods used to compute
those costs.
Sec. 136.241 Compensation allowable.
The amount of compensation allowable is the net cost of the
increased or additional service provided by the State or political
subdivision.
Subpart D_Designation of Source and Advertisement
General
Sec. 136.301 Purpose.
This subpart prescribes the requirements concerning designation of
the source or sources of the discharge or threat of discharge and
advertisement of these designations, including the procedures by which
claims may be presented to the responsible party or guarantor.
Sec. 136.303 Definitions.
As used in this subpart--
Advertisement means the dissemination of information, including but
not limited to paid advertisements, that are reasonably calculated to
advise the public how to present a claim.
Designated source means a source designated under Sec. 136.305.
Designation of Source
Sec. 136.305 Notice of designation.
(a) When information of an incident is received, the source or
sources of the discharge or threat are designated, where possible and
appropriate. If the designated source is a vessel or facility, the
responsible party and the guarantor, if known, are notified by
telephone, telefax, or other rapid means of that designation. The
designation will be confirmed by a written Notice of Designation.
(b) A Notice of Designation normally contains, to the extent known--
(1) The name of the vessel or facility designated as the source;
(2) The location, date, and time of the incident;
(3) The type and quantity of oil involved;
(4) The date of the designation;
(5) The procedures for accepting or denying the designation; and
(6) The name, address, telephone number, and, if available, telefax
number of the responsible Federal official to whom further communication
regarding the incident, advertisement of the incident, or denial of
designation should be directed.
[USCG-91-035, 57 FR 36316, Aug. 12, 1992, as amended by USCG-2012-0306,
77 FR 37315, June 21, 2012]
Sec. 136.307 Denial of designation.
(a) Within five days after receiving a Notice of Designation under
Sec. 136.305, the responsible party or guarantor may deny the
designation.
(b) A denial of designation must--
(1) Be in writing;
(2) Identify the Notice of Designation;
(3) Give the reasons for the denial and provide a copy of all
supporting documents; and
(4) Be submitted to the official named in the Notice of Designation.
(c) A denial is deemed received on the date the denial is actually
received by the official named in the Notice of Designation.
Advertisement
Sec. 136.309 Advertisement determinations.
(a) The Director, NPFC, determines for each incident the type,
geographic scope, frequency, and duration of advertisement required.
(b) In making the determination specified in paragraph (a) of this
section, the Director, NPFC, may consider--
(1) The nature and extent of economic losses that have occurred or
are likely to occur;
[[Page 64]]
(2) The potential claimants who are likely to incur economic losses;
(3) The geographical area that is or will likely be affected;
(4) The most effective method of reasonably notifying potential
claimants of the designation and procedures of submitting claims; and
(5) Relevant information or recommendations, if any, submitted by,
or on behalf of, the responsible party or guarantor of the designated
source.
(c) The Director, NPFC, provides the specific requirements for
advertisement for each incident to the responsible party or guarantor of
the designated source.
(d) If a responsible party or guarantor has not denied designation
in accordance with Sec. 136.307, the party or guarantor shall
advertise, in accordance with the requirements of this subpart, the
designation and the procedures by which claims may be presented. The
advertisement must begin not later than 15 days after the date of the
designation made under Sec. 136.305.
(e) If there is no designation under Sec. 136.305, if the source of
the discharge or threat is a public vessel, or if the responsible party
and guarantor of the source designated have denied the designation or
failed to meet the requirements for advertisement in this section, the
Director, NPFC, may advertise procedures for presenting claims.
Sec. 136.311 Types of advertisement.
Advertisement required by the Director, NPFC, will normally include
one or more of the following:
(a) Paid advertisements in a newspaper or newspapers having general
circulation in the area designated by the Director, NPFC.
(b) Notice posted in marinas, marine supply stores, bait and tackle
shops, and other appropriate business establishments or public
facilities in the area designated by the Director, NPFC.
(c) News releases to newspapers, radio stations, television
stations, and cable services having general circulation in the area
designated by the Director, NPFC.
(d) Other means approved by the Director, NPFC, under the
circumstances of each case.
Sec. 136.313 Content of advertisement.
Each advertisement required by this subpart may be required to
contain the following information or to indicate where this information
may be contained:
(a) Location, date, and time of the incident.
(b) Geographical area affected, as determined by the FOSC or
Director, NPFC.
(c) Type and quantity of oil involved.
(d) Name or other description of the source designated by the FOSC
or Director, NPFC.
(e) Name of the responsible party and guarantor of the designated
source.
(f) Name, address, telephone number, office hours, and work days of
the person or persons to whom claims are to be presented and from whom
claim information can be obtained.
(g) The procedures by which a claim may be presented.
(h) Other information required by the Director, NPFC, under the
circumstances of each case.
PART 137_OIL SPILL LIABILITY: STANDARDS FOR CONDUCTING ALL
APPROPRIATE INQUIRIES UNDER THE INNOCENT LAND-OWNER DEFENSE--
Table of Contents
Subpart A_Introduction
Sec.
137.1 Purpose and applicability.
137.5 Disclosure obligations.
137.10 How are terms used in this part defined?
137.15 References: Where can I get a copy of the publication mentioned
in this part?
Subpart B_Standards and Practices
137.18 Duties of persons specified in Sec. 137.1(a).
137.20 May industry standards be used to comply with this regulation?
137.25 Qualifications of the environmental professional.
137.30 Objectives and performance factors.
137.33 General all appropriate inquiries requirements.
137.35 Inquiries by an environmental professional.
137.40 Additional inquiries.
137.45 Interviews with past and present owners, operators, and
occupants.
137.50 Reviews of historical sources of information.
[[Page 65]]
137.55 Searches for recorded environmental cleanup liens.
137.60 Reviews of Federal, State, tribal, and local government records.
137.65 Visual inspections of the facility, the real property on which
the facility is located, and adjoining properties.
137.70 Specialized knowledge or experience on the part of persons
specified in Sec. 137.1(a).
137.75 The relationship of the purchase price to the value of the
facility and the real property on which the facility is
located, if oil was not at the facility or on the real
property.
137.80 Commonly known or reasonably ascertainable information about the
facility and the real property on which the facility is
located.
137.85 The degree of obviousness of the presence or likely presence of
oil at the facility and the real property on which the
facility is located and the ability to detect the oil by
appropriate investigation.
Authority: 33 U.S.C. 2703(d)(4); Sec. 1512 of the Homeland Security
Act of 2002, Pub. L. 107-296, Title XV, Nov. 25, 2002, 116 Stat. 2310 (6
U.S.C. 552(d)); Department of Homeland Security Delegation No. 14000.
Source: USCG-2006-25708, 73 FR 2150, Jan. 14, 2008, unless otherwise
noted.
Subpart A_Introduction
Sec. 137.1 Purpose and applicability.
(a) In general under the Oil Pollution Act of 1990 (33 U.S.C. 2701,
et seq.), an owner or operator of a facility (as defined in Sec.
137.10) that is the source of a discharge, or a substantial threat of
discharge, of oil into the navigable waters or adjoining shorelines or
the exclusive economic zone is liable for damages and removal costs
resulting from the discharge or threat. However, if that person can
demonstrate, among other criteria not addressed in this part, that they
did not know and had no reason to know at the time of their acquisition
of the real property on which the facility is located that oil was
located on, in, or at the facility, the person may be eligible for the
innocent landowner defense to liability under 33 U.S.C. 2703(d)(4). One
element of the defense is that the person made all appropriate inquiries
into the nature of the real property on which the facility is located
before acquiring it. The purpose of this part is to prescribe standards
and practices for making those inquiries.
(b) Under 33 U.S.C. 2703(d)(4)(E), this part does not apply to real
property purchased by a non-governmental entity or non-commercial entity
for residential use or other similar uses where a property inspection
and a title search reveal no basis for further investigation. In those
cases, the property inspection and title search satisfy the requirements
of this part.
(c) This part does not affect the existing OPA 90 liability
protections for State and local governments that acquire a property
involuntarily in their functions as sovereigns under 33 U.S.C.
2703(d)(2)(B). Involuntary acquisition of properties by State and local
governments fall under the provisions of 33 U.S.C. 2703(d)(2)(B), not
under the all-appropriate-inquiries provision of 33 U.S.C. 2703(d)(4)
and this part.
Sec. 137.5 Disclosure obligations.
(a) Under 33 U.S.C. 2703(c)(1), persons specified in Sec. 137.1(a),
including environmental professionals, must report the incident as
required by law if they know or have reason to know of the incident.
(b) This part does not limit or expand disclosure obligations under
any Federal, State, tribal, or local law. It is the obligation of each
person, including environmental professionals, conducting inquiries to
determine his or her respective disclosure obligations under Federal,
State, tribal, and local law and to comply with them.
Sec. 137.10 How are terms used in this part defined?
(a) The following terms have the same definitions as in 33 U.S.C.
2701: damages; discharge; incident; liable or liability; oil; owner or
operator; and removal costs.
(b) As used in this part--
Abandoned property means a property that, because of its general
disrepair or lack of activity, a reasonable person could believe that
there is an intent on the part of the current owners to surrender their
rights to the property.
Adjoining property means real property the border of which is shared
in part or in whole with that of the subject property or that would be
shared in part or in whole with that of the property but for a street,
road, or other
[[Page 66]]
public thoroughfare separating the properties.
Data gap means a lack of, or inability to, obtain information
required by subpart B of this part despite good faith efforts by the
environmental professional or persons specified in Sec. 137.1(a), as
appropriate, to gather the information under Sec. 137.33.
Environmental professional means an individual who meets the
requirements of Sec. 137.25.
Facility means any structure, group of structures, equipment, or
device (other than a vessel) which is used for one or more of the
following purposes: exploring for, drilling for, producing, storing,
handling, transferring, processing, or transporting oil. This term
includes any motor vehicle, rolling stock, or pipeline used for one or
more of these purposes.
Good faith means the absence of any intention to seek an unfair
advantage or to defraud another party; an honest and sincere intention
to fulfill one's obligations in the conduct or transaction concerned.
Institutional controls means non-engineered instruments, such as
administrative and/or legal controls, that help to minimize the
potential for human exposure to oil discharge and/or protect the
integrity of a removal action.
Relevant experience means participation in the performance of all-
appropriate-inquiries investigations, environmental site assessments, or
other site investigations that may include environmental analyses,
investigations, and remediation which involve the understanding of
surface and subsurface environmental conditions and the processes used
to evaluate these conditions and for which professional judgment was
used to develop opinions regarding conditions indicative of the presence
or likely presence of oil at the facility and the real property on which
the facility is located.
Sec. 137.15 References: Where can I get a copy of the publication
mentioned in this part?
Section 137.20 of this part refers to ASTM E 1527-05, Standard
Practice for Environmental Site Assessments: Phase I Environmental Site
Assessment Process. That document is available from ASTM International,
100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959.
It is also available for inspection at the Coast Guard National
Pollution Funds Center, Law Library, NPFC CV, U.S. Coast Guard Stop
7605, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7605.
[USCG-2009-0416, 74 FR 27441, June 10, 2009, as amended by USCG-2016-
0498, 82 FR 35082, July 28, 2017]
Subpart B_Standards and Practices
Sec. 137.18 Duties of persons specified in Sec. 137.1(a).
In order to make all appropriate inquiries, persons seeking to
establish the liability protection under Sec. 137.1(a) must conduct the
inquiries and investigations as required in this part and ensure that
the inquiries and investigations required to be made by environmental
professionals are made.
Sec. 137.20 May industry standards be used to comply with this regulation?
The industry standards in ASTM E 1527-05, (Referenced in Sec.
137.15) may be used to comply with the requirements set forth in
Sec. Sec. 137.45 through 137.85 of this part. Use of ASTM E 1527-05 for
this purpose is optional and not mandatory.
Sec. 137.25 Qualifications of the environmental professional.
(a) An environmental professional is an individual who possesses
sufficient specific education, training, and experience necessary to
exercise professional judgment to develop opinions and conclusions
regarding conditions indicative of the presence or likely presence of
oil at a facility and the real property on which the facility is located
sufficient to meet the objectives and performance factors in Sec.
137.30(a) and (b).
(1) Such a person must--
(i) Hold a current Professional Engineer's or Professional
Geologist's license or registration from a State, tribe, or U.S.
territory (or the Commonwealth of Puerto Rico) and have
[[Page 67]]
the equivalent of 3 years of full-time relevant experience;
(ii) Be licensed or certified by the Federal government, a State,
tribe, or U.S. territory (or the Commonwealth of Puerto Rico) to perform
environmental inquiries under Sec. 137.35 and have the equivalent of 3
years of full-time relevant experience;
(iii) Have a Baccalaureate or higher degree from an accredited
institution of higher education in a discipline of engineering or
science and the equivalent of 5 years of full-time relevant experience;
or
(iv) Have the equivalent of 10 years of full-time relevant
experience.
(2) An environmental professional should remain current in his or
her field through participation in continuing education or other
activities.
(3) The requirements for an environmental professional in this
section do not preempt State professional licensing or registration
requirements, such as those for a professional geologist, engineer, or
site-remediation professional. Before commencing work, a person should
determine the applicability of State professional licensing or
registration laws to the activities to be undertaken as part of an
inquiry under Sec. 137.35(b).
(4) A person who does not qualify as an environmental professional
under this section may assist in the conduct of all appropriate
inquiries according to this part if the person is under the supervision
or responsible charge of an environmental professional meeting the
requirements of this section when conducting the inquiries.
Sec. 137.30 Objectives and performance factors.
(a) Objectives. This part is intended to result in the
identification of conditions indicative of the presence or likely
presence of oil at the facility and the real property on which the
facility is located. In order to meet the objectives of this regulation,
persons specified in Sec. 137.1(a) and the environmental professional
must seek to identify, through the conduct of the standards and
practices in this subpart, the following types of information about the
facility and the real property on which the facility is located:
(1) Current and past uses and occupancies of the facility and the
real property on which the facility is located.
(2) Current and past uses of oil.
(3) Waste management and disposal activities that indicate presence
or likely presence of oil.
(4) Current and past corrective actions and response activities that
indicate presence or likely presence of oil.
(5) Engineering controls.
(6) Institutional controls, such as zoning restrictions, building
permits, and easements.
(7) Properties adjoining or located nearby the facility and the real
property on which the facility is located that have environmental
conditions that could have resulted in conditions indicative of the
presence or likely presence of oil at the facility and the real property
on which the facility is located.
(b) Performance factors. In order to meet this part and to meet the
objectives stated in paragraph (a) of this section, the persons
specified in Sec. 137.1(a) or the environmental professional (as
appropriate to the particular standard and practice) must--
(1) Gather the information that is required for each standard and
practice listed in this subpart that is publicly available, is
obtainable from its source within a reasonable time and cost, and can be
reviewed practicably; and
(2) Review and evaluate the thoroughness and reliability of the
information gathered in complying with each standard and practice listed
in this subpart taking into account information gathered in the course
of complying with the other standards and practices of this part.
Sec. 137.33 General all appropriate inquiries requirements.
(a) All appropriate inquiries must be conducted within 1 year before
the date of acquisition of the real property on which the facility is
located, as evidenced by the date of receipt of the documentation
transferring title to, or possession of, the real property and must
include:
(1) An inquiry by an environmental professional, as provided in
Sec. 137.35.
[[Page 68]]
(2) The collection of information under Sec. 137.40 by persons
specified in Sec. 137.1(a).
(b) The following components of the all appropriate inquiries must
be conducted or updated within 180 days before the date of acquisition
of the real property on which the facility is located:
(1) Interviews with past and present owners, operators, and
occupants. See Sec. 137.45.
(2) Searches for recorded environmental cleanup liens. See Sec.
137.55.
(3) Reviews of Federal, State, tribal, and local government records.
See Sec. 137.60.
(4) Visual inspections of the facility, the real property on which
the facility is located, and adjoining properties. See Sec. 137.65.
(5) The declaration by the environmental professional. See Sec.
137.35(d).
(c) All appropriate inquiries may include the results of and
information contained in an inquiry previously conducted by, or on
behalf of, persons specified in Sec. 137.1(a) who are responsible for
the inquiries for the facility and the real property on which the
facility is located if--
(1) The information was collected during the conduct of an all-
appropriate-inquiries investigation under this part.
(2) The information was collected or updated within 1 year before
the date of acquisition of the real property on which the facility is
located.
(3) The following components of the inquiries were conducted or
updated within 180 days before the date of acquisition of the real
property on which the facility is located:
(i) Interviews with past and present owners, operators, and
occupants. See Sec. 137.45.
(ii) Searches for recorded environmental cleanup liens. See Sec.
137.55.
(iii) Reviews of Federal, State, tribal, and local government
records. See Sec. 137.60.
(iv) Visual inspections of the facility, the real property on which
the facility is located, and the adjoining properties. See Sec. 137.65.
(v) The declaration by the environmental professional. See Sec.
137.35(d).
(4) Previously collected information is updated by including
relevant changes in the conditions of the facility and the real property
on which the facility is located and specialized knowledge, as outlined
in Sec. 137.70, of the persons conducting the all appropriate inquiries
for the facility and the real property on which the facility is located,
including persons specified in Sec. 137.1(a) and the environmental
professional.
(d) All appropriate inquiries may include the results of an
environmental professional's report under Sec. 137.35(c) that have been
prepared by or for other persons if--
(1) The reports meet the objectives and performance factors in Sec.
137.30(a) and (b); and
(2) The person specified in Sec. 137.1(a) reviews the information
and conducts the additional inquiries under Sec. Sec. 137.70, 137.75,
and 137.80 and updates the inquiries requiring an update under paragraph
(b) of this section.
(e) To the extent there are data gaps that affect the ability of
persons specified in Sec. 137.1(a) and environmental professionals to
identify conditions indicative of the presence or likely presence of
oil, the gaps must be identified in the report under Sec. 137.35(c)(2).
In addition, the sources of information consulted to address data gaps
should be identified and the significance of the gaps noted. Sampling
and analysis may be conducted to develop information to address data
gaps.
(f) Any conditions indicative of the presence or likely presence of
oil identified as part of the all-appropriate-inquiries investigation
should be noted in the report.
Sec. 137.35 Inquiries by an environmental professional.
(a) Inquiries by an environmental professional must be conducted
either by the environmental professional or by a person under the
supervision or responsible charge of an environmental professional.
(b) The inquiry of the environmental professional must include the
requirements in Sec. Sec. 137.45 (interviews with past and present
owners), 137.50 (reviews of historical sources), 137.60 (reviews of
[[Page 69]]
government records), 137.65 (visual inspections), 137.80 (commonly known
or reasonably ascertainable information) and 137.85 (degree of
obviousness of the presence or likely presence of oil). In addition, the
inquiry should take into account information provided to the
environmental professional by the person specified in Sec. 137.1(a)
conducting the additional inquiries under Sec. 137.40.
(c) The results of the inquiry by an environmental professional must
be documented in a written report that, at a minimum, includes the
following:
(1) An opinion as to whether the inquiry has identified conditions
indicative of the presence or likely presence of oil at the facility and
the real property on which the facility is located.
(2) An identification of data gaps in the information developed as
part of the inquiry that affect the ability of the environmental
professional to identify conditions indicative of the presence or likely
presence of oil at the facility and the real property on which the
facility is located. The report must also indicate whether the gaps
prevented the environmental professional from reaching an opinion
regarding the identification of conditions indicative of the presence or
likely presence of oil.
(3) The qualifications of the environmental professional.
(4) An opinion regarding whether additional appropriate
investigation is necessary.
(d) The environmental professional must place the following
statements in the written document identified in paragraph (c) of this
section and sign the document: ``[I, We] declare that, to the best of
[my, our] professional knowledge, [I, we] meet the requirements under 33
CFR 137.25 for an environmental professional.'' and ``[I, We] have the
specific qualifications based on education, training, and experience to
assess the nature, history, and setting of a facility and the real
property on which it is located. [I, We] have developed and conducted
all appropriate inquiries according to the standards and practices in 33
CFR part 137.''
Sec. 137.40 Additional inquiries.
(a) Persons specified in Sec. 137.1(a) must conduct inquiries in
addition to those conducted by the environmental professional under
Sec. 137.35 and may provide the information associated with these
additional inquiries to the environmental professional responsible for
conducting the activities listed in Sec. 137.35--
(1) As required by Sec. 137.55 and if not otherwise obtained by the
environmental professional, environmental cleanup liens against the
facility and the real property on which it is located that are filed or
recorded under Federal, State, tribal, or local law.
(2) As required by Sec. 137.70, specialized knowledge or experience
of the person specified in Sec. 137.1(a).
(3) As required by Sec. 137.75, the relationship of the purchase
price to the fair market value of the facility and the real property on
which the facility is located if the oil was not at the facility and the
real property on which it is located.
(4) As required by Sec. 137.80 and if not otherwise obtained by the
environmental professional, commonly known or reasonably ascertainable
information about the facility and the real property on which it is
located.
(b) [Reserved]
Sec. 137.45 Interviews with past and present owners, operators, and occupants.
(a) Interviews with owners, operators, and occupants of the facility
and the real property on which the facility is located must be conducted
for the purposes of achieving the objectives and performance factors of
Sec. 137.30(a) and (b).
(b) The inquiry of the environmental professional must include
interviewing the current owner and occupant of the facility and the real
property on which the facility is located. If the facility and the real
property on which the facility is located has multiple occupants, the
inquiry of the environmental professional must include interviewing
major occupants, as well as those occupants likely to use, store, treat,
handle or dispose of oil or those who have likely done so in the past.
(c) The inquiry of the environmental professional also must include,
to the extent necessary to achieve the objectives and performance
factors in
[[Page 70]]
Sec. 137.30(a) and (b), interviewing one or more of the following
persons:
(1) Current and past facility and real property managers with
relevant knowledge of uses and physical characteristics of the facility
and the real property on which the facility is located.
(2) Past owners, occupants, or operators of the facility and the
real property on which the facility is located.
(3) Employees of current and past occupants of the facility and the
real property on which the facility is located.
(d) In the case of inquiries conducted at abandoned properties where
there is evidence of potential unauthorized uses or evidence of
uncontrolled access, the environmental professional's inquiry must
include an interview of at least one owner or occupant of a neighboring
property from which it appears possible that the owner or occupant of
the neighboring property could have observed use or other presence or
likely presence of oil.
Sec. 137.50 Reviews of historical sources of information.
(a) Historical documents and records must be reviewed for the
purposes of achieving the objectives and performance factors of Sec.
137.30(a) and (b). Historical documents and records may include, but are
not limited to, aerial photographs, fire insurance maps, building
department records, chain of title documents, and land use records.
(b) Historical documents and records reviewed must cover a period of
time as far back in the history of the real property to when the first
structure was built or when it was first used for residential,
agricultural, commercial, industrial, or governmental purposes. The
environmental professional may exercise professional judgment in context
of the facts available at the time of the inquiry as to how far back in
time it is necessary to search historical records.
Sec. 137.55 Searches for recorded environmental cleanup liens.
(a) All appropriate inquiries must include a search for the
existence of environmental cleanup liens against the facility and the
real property on which the facility is located that are filed or
recorded under Federal, State, tribal, or local law.
(b) All information collected by persons specified in Sec. 137.1(a)
rather than an environmental professional regarding the existence of
environmental cleanup liens associated with the facility and the real
property on which the facility is located may be provided to the
environmental professional or retained by the applicable party.
Sec. 137.60 Reviews of Federal, State, tribal, and local government records.
(a) Federal, State, tribal, and local government records or
databases of government records of the facility, the real property on
which the facility is located, and adjoining properties must be reviewed
for the purposes of achieving the objectives and performance factors of
Sec. 137.30(a) and (b).
(b) With regard to the facility and the property on which the
facility is located, the review of Federal, State, and tribal government
records or databases of the government records and local government
records and databases of the records should include--
(1) Records of reported oil discharges present, including site
investigation reports for the facility and the real property on which
the facility is located;
(2) Records of activities, conditions, or incidents likely to cause
or contribute to discharges or substantial threat of discharges of oil,
including landfill and other disposal unit location records and permits,
storage tank records and permits, hazardous waste handler and generator
records and permits, Federal, tribal and State government listings of
sites identified as priority cleanup sites, and spill reporting records;
(3) Comprehensive Environmental Response, Compensation, and
Liability Information System (CERCLIS) records;
(4) Public health records;
(5) Emergency Response Notification System records;
(6) Registries or publicly available lists of engineering controls;
and
[[Page 71]]
(7) Registries or publicly available lists of institutional
controls, including environmental land use restrictions, applicable to
the facility and the real property on which the facility is located.
(c) With regard to nearby or adjoining properties, the review of
Federal, State, tribal, and local government records or databases of
government records should include the identification of the following:
(1) Properties for which there are government records of reported
discharges or substantial threat of discharges of oil. Such records or
databases containing such records and the associated distances from the
facility and the real property on which the facility is located for
which such information should be searched include the following:
(i) Records of National Priorities List (NPL) sites or tribal- and
State-equivalent sites (one mile).
(ii) Resource Conservation and Recovery Act (RCRA) properties
subject to corrective action (one mile).
(iii) Records of Federally-registered, or State-permitted or -
registered, hazardous waste sites identified for investigation or
remediation, such as sites enrolled in State and tribal voluntary
cleanup programs and tribal- and State-listed brownfield sites (one-half
mile).
(iv) Records of leaking underground storage tanks (one-half mile).
(2) Properties that previously were identified or regulated by a
government entity due to environmental concerns at the facility and the
real property on which the facility is located. The records or databases
containing the records and the associated distances from the facility
and the real property on which the facility is located for which the
information should be searched include the following:
(i) Records of delisted NPL sites (one-half mile).
(ii) Registries or publicly available lists of engineering controls
(one-half mile).
(iii) Records of former CERCLIS sites with no further remedial
action notices (one-half mile).
(3) Properties for which there are records of Federally-permitted,
State-permitted or -registered, or tribal-permitted or -registered waste
management activities. The records or databases that may contain the
records include the following:
(i) Records of RCRA small quantity and large quantity generators
(adjoining properties).
(ii) Records of Federally-permitted, State-permitted or -registered,
or tribal-permitted landfills and solid waste management facilities
(one-half mile).
(iii) Records of registered storage tanks (adjoining property).
(4) A review of additional government records with regard to sites
identified under paragraphs (c)(1) through (c)(3) of this section may be
necessary in the judgment of the environmental professional for the
purpose of achieving the objectives and performance factors of
Sec. Sec. 137.30(a) and (b).
(d) The search distance from the real property boundary for
reviewing government records or databases of government records listed
in paragraph (c) of this section may be modified based upon the
professional judgment of the environmental professional. The rationale
for the modifications must be documented by the environmental
professional. The environmental professional may consider one or more of
the following factors in determining an alternate appropriate search
distance--
(1) The nature and extent of a discharge.
(2) Geologic, hydrogeologic, or topographic conditions of the
property and surrounding environment.
(3) Land use or development densities.
(4) The property type.
(5) Existing or past uses of surrounding properties.
(6) Potential migration pathways (e.g., groundwater flow direction,
prevalent wind direction).
(7) Other relevant factors.
Sec. 137.65 Visual inspections of the facility, the real
property on which the facility is located, and adjoining properties.
(a) For the purpose of achieving the objectives and performance
factors of Sec. 137.30(a) and (b), the inquiry of the environmental
professional must include the following:
[[Page 72]]
(1) A visual on-site inspection of the facility and the real
property on which the facility is located, and the improvements at the
facility and real property, including a visual inspection of the areas
where oil may be or may have been used, stored, treated, handled, or
disposed. Physical limitations to the visual inspection must be noted.
(2) A visual inspection of adjoining properties, from the subject
real property line, public rights-of-way, or other vantage point (e.g.,
aerial photography), including a visual inspection of areas where oil
may be or may have been stored, treated, handled or disposed. A visual
on-site inspection is recommended, though not required. Physical
limitations to the inspection of adjacent properties must be noted.
(b) Except as in paragraph (c) of this section, a visual on-site
inspection of the facility and the real property on which the facility
is located must be conducted.
(c) An on-site inspection is not required if an on-site visual
inspection of the facility and the real property on which the facility
is located cannot be performed because of physical limitations, remote
and inaccessible location, or other inability to obtain access to the
facility and the real property on which the facility is located after
good faith efforts have been taken to obtain access. The mere refusal of
a voluntary seller to provide access to the facility and the real
property on which the facility is located is not justification for not
conducting an on-site inspection. The inquiry of the environmental
professional must include--
(1) Visually inspecting the facility and the real property on which
the facility is located using another method, such as aerial imagery for
large properties, or visually inspecting the facility and the real
property on which the facility is located from the nearest accessible
vantage point, such as the property line or public road for small
properties;
(2) Documenting the efforts undertaken to obtain access and an
explanation of why such efforts were unsuccessful; and
(3) Documenting other sources of information regarding the presence
or likely presence of oil at the facility and the real property on which
the facility is located that were consulted according to Sec.
137.30(a). The documentation should include comments, if any, by the
environmental professional on the significance of the failure to conduct
a visual on-site inspection of the facility and the real property on
which the facility is located with regard to the ability to identify
conditions indicative of the presence or likely presence of oil at the
facility and the real property.
Sec. 137.70 Specialized knowledge or experience on the part
of persons specified in Sec. 137.1(a).
(a) For the purpose of identifying conditions indicative of the
presence or likely presence of oil at the facility and the real property
on which the facility is located, persons specified in Sec. 137.1(a)
must take into account their own specialized knowledge of the facility
and the real property on which the facility is located, the area
surrounding the facility and the real property on which the facility is
located, and the conditions of adjoining properties and their experience
relevant to the inquiry.
(b) The results of all appropriate inquiries under Sec. 137.33 must
take into account the relevant and applicable specialized knowledge and
experience of the persons specified in Sec. 137.1(a) responsible for
undertaking the inquiry.
Sec. 137.75 The relationship of the purchase price to the value
of the facility and the real property on which the facility is
located, if oil was not at the
facility or on the real property.
(a) Persons specified in Sec. 137.1(a) must consider whether the
purchase price of the facility and the real property on which the
facility is located reasonably reflects the fair market value of the
facility and real property if oil was not present or likely present.
(b) If the persons conclude that the purchase price does not
reasonably reflect the fair market value of that facility and real
property if oil was not at the facility and the real property, they must
consider whether or not the differential in purchase price and fair
market value is due to the presence or likely presence of oil.
[[Page 73]]
Sec. 137.80 Commonly known or reasonably ascertainable information
about the facility and the real property on which the facility
is located.
(a) Throughout the inquiries, persons specified in Sec. 137.1(a)
and environmental professionals conducting the inquiry must take into
account commonly known or reasonably ascertainable information within
the local community about the facility and the real property on which
the facility is located and consider that information when seeking to
identify conditions indicative of the presence or likely presence of oil
at the facility and the real property.
(b) Commonly known information may include information obtained by
the person specified in Sec. 137.1(a) or by the environmental
professional about the presence or likely presence of oil at the
facility and the real property on which the facility is located that is
incidental to the information obtained during the inquiry of the
environmental professional.
(c) To the extent necessary to achieve the objectives and
performance factors of Sec. 137.30(a) and (b), the person specified in
Sec. 137.1(a) and the environmental professional must gather
information from varied sources whose input either individually or taken
together may provide commonly known or reasonably ascertainable
information about the facility and the real property on which the
facility is located; the environmental professional may refer to one or
more of the following sources of information:
(1) Current owners or occupants of neighboring properties or
properties adjacent to the facility and the real property on which the
facility is located.
(2) Local and state government officials who may have knowledge of,
or information related to, the facility and the real property on which
the facility is located.
(3) Others with knowledge of the facility and the real property on
which the facility is located.
(4) Other sources of information, such as newspapers, Web sites,
community organizations, local libraries, and historical societies.
Sec. 137.85 The degree of obviousness of the presence or likely
presence of oil at the facility and the real property on which
the facility is located and the
ability to detect the oil by appropriate investigation.
(a) Persons specified in Sec. 137.1(a) and environmental
professionals conducting an inquiry of a facility and the real property
on which it is located on their behalf must take into account the
information collected under Sec. Sec. 137.45 through 137.80 in
considering the degree of obviousness of the presence or likely presence
of oil at the facility and the real property on which the facility is
located.
(b) Persons specified in Sec. 137.1(a) and environmental
professionals conducting an inquiry of a facility and the property on
which the facility is located on their behalf must take into account the
information collected under Sec. Sec. 137.45 through 137.80 in
considering the ability to detect the presence or likely presence of oil
by appropriate investigation. The report of the environmental
professional should include an opinion under Sec. 137.35(c)(4)
regarding whether additional appropriate investigation is necessary.
PART 138_EVIDENCE OF FINANCIAL RESPONSIBILITY FOR WATER POLLUTION
(VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS, DEEPWATER PORTS
AND ONSHORE FACILITIES)--Table of Contents
Subpart A_Evidence of Financial Responsibility for Water Pollution
(Vessels)
Sec.
138.10 Scope and purpose.
138.20 Applicability.
138.30 Definitions.
138.40 General requirements.
138.50 How to apply vessel gross tonnages.
138.60 Forms and submissions; ensuring submission timeliness.
138.70 Issuance and renewal of COFRs.
138.80 Applying for COFRs.
138.90 Renewing COFRs.
138.100 How to calculate a total applicable amount.
138.110 How to establish and maintain evidence of financial
responsibility.
138.120 Fees.
138.130 Agents for Service of process.
138.140 Application withdrawals, COFR denials and revocations.
[[Page 74]]
138.150 Reporting requirements.
138.160 Non-owning COFR Operator's responsibility for identification.
138.170 Enforcement.
Subpart B_OPA 90 Limits of Liability (Vessels, Deepwater Ports and
Onshore Facilities)
138.200 Scope.
138.210 Applicability.
138.220 Definitions.
138.230 Limits of liability.
138.240 Procedure for updating limits of liability to reflect
significant increases in the Consumer Price Index (Annual CPI-
U) and statutory changes.
Authority: 6 U.S.C. 552(d); 33 U.S.C. 2704, 2716, 2716a; 42 U.S.C.
9608, 9609; E.O. 12580, Sec. 7(b), 3 CFR, 1987 Comp., p. 193; E.O.
12777, Secs. 4 and 5, 3 CFR, 1991 Comp., p. 351, as amended by E.O.
13286, Sec. 89, 3 CFR, 2004 Comp., p. 166, and by E.O. 13638, Sec. 1, 3
CFR, 2014 Comp., p.227; Department of Homeland Security Delegation Nos.
00170.1, Revision 01.2 and 5110, Revision 01. Section 138.40 also issued
under the authority of 46 U.S.C. 2103 and 14302.
Source: USCG-2005-21780, 73 FR 53697, Sept. 17, 2008, unless
otherwise noted.
Subpart A_Evidence of Financial Responsibility for Water Pollution
(Vessels)
Source: 86 FR 68139, Dec. 1, 2021, unless otherwise noted.
Sec. 138.10 Scope and purpose.
(a) Scope. This subpart sets forth--
(1) The requirements and procedures each COFR Operator (as defined
in Sec. 138.30(b)) must use to establish and maintain the evidence of
financial responsibility required by the OPA 90 and CERCLA (both defined
in Sec. 138.30), and to obtain Certificates of Financial Responsibility
(COFR);
(2) The standards and procedures the Coast Guard uses to determine
the acceptability of guarantors;
(3) The procedures guarantors must use to submit evidence of
financial responsibility on behalf of the responsible parties for
vessels to which this subpart applies;
(4) The requirements for designating and maintaining U.S. agents for
service of process;
(5) The requirements for reporting changes affecting compliance with
this subpart; and
(6) The enforcement actions that may result from non-compliance with
this subpart or OPA 90, CERCLA, or both, referenced in paragraph (a)(1)
of this section.
(b) Purpose. These requirements ensure that the responsible parties
for vessels to which this subpart applies, have sufficient available
financial resources to cover their potential liabilities to the United
States and other claimants in the following scenarios:
(1) Under OPA 90 in the event of a discharge, or substantial threat
of a discharge, of oil; and
(2) In the case of vessels greater than 300 gross tons, under CERCLA
in the event of a release, or threatened release, of a hazardous
substance.
Sec. 138.20 Applicability.
(a) Applicability generally. This subpart applies--
(1) To the COFR Operator of--
(i) Any vessel over 300 gross tons (except a vessel listed in
paragraph (d)(1) or (2) of this section) using the navigable waters of
the United States, or any port or other place subject to the
jurisdiction of the United States, including any such vessel using a
deepwater port or other offshore facility subject to the jurisdiction of
the United States;
(ii) Any vessel of any size (except a vessel listed in paragraph
(d)(1) or (3) of this section) using the waters of the Exclusive
Economic Zone to transship or lighter oil (whether delivering or
receiving) destined for a place subject to the jurisdiction of the
United States; and
(iii) Any tank vessel over 100 gross tons (except a vessel listed in
paragraph (d)(1) or (3) of this section) using the navigable waters of
the United States, or any port or other place subject to the
jurisdiction of the United States, including any such tank vessel using
a deepwater port or other offshore facility subject to the jurisdiction
of the United States;
(2) To a guarantor providing evidence of financial responsibility
under this subpart on behalf of one or more of a vessel's responsible
parties;
[[Page 75]]
(3) To responsible parties other than the COFR Operator designated
to represent the responsible parties for purposes of this subpart; and
(4) To any person serving as a U.S. agent for service of process
under this subpart.
(b) How to apply this part to mobile offshore drilling units. For
the purposes of applying the evidence of financial responsibility
required under OPA 90 and this subpart and the limits of liability set
forth in subpart B of this part, and in addition to any OPA 90 offshore
facility evidence of financial responsibility requirements that may
apply under 30 CFR part 553, a mobile offshore drilling unit is treated
as--
(1) A tank vessel when it is being used as an offshore facility; and
(2) A vessel other than a tank vessel when it is not being used as
an offshore facility.
(c) How to apply CERCLA evidence of financial responsibility to
self-propelled vessels. For the purposes of applying the evidence of
financial responsibility required under CERCLA and for vessels
identified in paragraph (a)(1)(i) of this section, this subpart applies
to a self-propelled vessel over 300 gross tons even if it does not carry
hazardous substances.
(d) Exceptions. (1) This subpart does not apply to public vessels.
(2) Paragraph (a)(1)(i) of this section does not apply to any non-
self-propelled barge that does not carry oil as cargo or fuel and does
not carry hazardous substances as cargo.
(3) Paragraphs (a)(1)(ii) and (iii) of this section do not apply to:
any offshore supply vessel; any fishing vessel or fish tender vessel of
750 gross tons or less that transfers fuel without charge to a fishing
vessel owned by the same person; any towing or pushing vessel (tug)
simply because it has in its custody a tank barge; or any tank vessel
that only carries, or is adapted to carry, non-liquid hazardous material
in bulk as cargo or cargo residue.
Sec. 138.30 Definitions.
(a) As used in this subpart, the following terms have the meanings
set forth in--
(1) OPA 90 (specifically in 33 U.S.C. 2701): Claim, claimant,
damages, deepwater port, discharge, Exclusive Economic Zone, facility,
incident, liable or liability, mobile offshore drilling unit, navigable
waters, offshore facility, oil, owner or operator, person, remove,
removal, removal costs, responsible party, tank vessel, United States,
and vessel; and
(2) CERCLA (42 U.S.C. 9601): Claim, claimant, damages, facility,
hazardous substance, liable or liability, navigable waters, offshore
facility, owner or operator, person, remove, removal, United States, and
vessel.
(3) 46 CFR 69.9: Convention Measurement System, foreign-flag vessel,
gross tonnage ITC (GT ITC) \1\ and gross register tonnage (GRT),
tonnage, and U.S.-flag vessel.
---------------------------------------------------------------------------
\1\ The acronym ``ITC'' refers to the International Tonnage
Convention. GT ITC, as defined in 46 CFR 69.9 means the gross tonnage
measurement of a vessel as applied under the Convention Measurement
System.
---------------------------------------------------------------------------
(b) As used in this subpart--
Applicable amount means an OPA 90 or CERCLA evidence of financial
responsibility amount determined to apply to a vessel as provided under
Sec. 138.100.
Application means an ``Application for Vessel Certificate of
Financial Responsibility (Water Pollution)'', which the COFR Operator
for one or more vessels has completed and verified in eCOFR, as provided
in Sec. 138.60(c)(1)(i), or signed, dated, and submitted to the NPFC by
one of the submission methods specified in Sec. 138.60(c)(1)(ii)
through (iv).
Cargo means goods or materials carried on board a vessel for
purposes of transportation, whether proprietary or nonproprietary. A
hazardous substance or oil carried solely for use aboard the carrying
vessel is not cargo.
CERCLA means the Comprehensive Environmental Response, Compensation,
and Liability Act of 1980, as amended (42 U.S.C. 9601, et seq.).
COFR means a current Certificate of Financial Responsibility (Water
Pollution) issued by the Director, under this subpart, as provided in
Sec. 138.70, and posted on the NPFC COFR program website https://
npfc.uscg.mil/ cofr/default.aspx.
COFR Operator means a responsible party who conducts, or has
responsibility for, the operation of a vessel to
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which this subpart applies--that is, a person who is an operator as
defined in OPA 90 and CERCLA, and, when there is more than one
responsible party (including more than one operator), is the operator
designated and authorized by all the vessel's responsible parties to act
on their behalf for the purpose of complying with this subpart,
including submitting (or causing to be submitted) all Applications and
requests for COFR renewal, evidence of financial responsibility and
reports, and payment of all fees required by Sec. 138.120.
(i) If a vessel has one owner and is operated by that owner, or the
owner controls and is responsible for the vessel's operation, the owner
is the COFR Operator. In all other cases the person who operates, or
controls and is principally responsible for the operation of, the vessel
(for example, the demise charterer) is the COFR Operator.
(ii) A person who is responsible, or who agrees by contract to
become responsible, for a vessel in the capacity of a builder, repairer,
or scrapper, or for the purpose of holding the vessel out for sale or
lease, is the COFR Operator. A person who takes possession of, or
responsibility for, a newly built, modified, or repaired vessel from a
builder or repairer, or who purchases and operates or becomes a demise
charterer of a vessel held out for sale or lease, is the COFR Operator.
(iii) A time or voyage charterer who does not assume responsibility
for the operation of a vessel is not a COFR Operator for purposes of
this subpart.
(iv) The designation of an operator to act as the COFR Operator on
behalf of a vessel's responsible parties for purposes of this subpart
does not limit who may be determined to be an operator under OPA 90,
CERCLA, or both, in the event of an incident or a release.
Day or days means calendar days unless otherwise specified.
Director means the person in charge of the U.S. Coast Guard,
National Pollution Funds Center (NPFC), or that person's authorized
representative.
eCOFR means the electronic Certificate of Financial Responsibility
web-based process located on the NPFC COFR program website, https://
npfc.uscg.mil/ cofr/default.aspx, and is the process COFR Operators may
use to apply for and renew COFRs.
Evidence of financial responsibility means the demonstration of the
financial ability of the responsible parties for a vessel to which this
subpart applies to meet their potential liabilities under OPA 90,
CERCLA, or both, up to the total applicable amount determined as
provided under Sec. 138.100.
Financial guarantor is a type of guarantor and means a business
entity or other person providing a financial guaranty under Sec.
138.110(c). A financial guarantor is distinct from a COFR insurance
guarantor, a self-insurer, or a surety. A self-insurer, however, may
also serve as a financial guarantor for others.
Fish tender vessel and fishing vessel have the same meanings as set
forth in 46 U.S.C. 2101.
Fleet Certificate means a COFR issued by the Director under this
subpart to the COFR Operator of a fleet of 2 or more unmanned, non-self-
propelled barges that are not tank vessels and that, from time to time,
may be subject to this subpart (for example, a hopper barge over 300
gross tons when carrying oily metal shavings or similar cargo). A Fleet
Certificate covers, automatically, all unmanned, non-self-propelled,
non-tank barges for which the COFR Operator may from time to time be
responsible that does not exceed the maximum gross tonnage indicated on
the Fleet Certificate.
Fuel means any oil or hazardous substance used, or capable of being
used, to produce heat or power by burning, including power to operate
equipment. A hand-carried pump with no more than 5 gallons of fuel
capacity, that is neither integral to nor regularly stored aboard a non-
self-propelled barge, is not equipment.
Guarantor means any person who has been determined to be acceptable
by the Director, as provided in Sec. 138.110, and who is providing
evidence of financial responsibility on behalf of one or more of a
vessel's responsible parties, other than as a responsible party
providing self-insurance under Sec. 138.110(d).
Hazardous material has the same meaning as set forth in 46 U.S.C.
2101.
[[Page 77]]
Individual Certificate means a COFR issued by the Director under
this subpart to the COFR Operator for a single vessel.
Insurance guarantor is a type of guarantor and means an insurance
company, association of underwriters, ship owners' protection and
indemnity association, or other person, serving as a guarantor under
Sec. 138.110(b). An insurance guarantor is distinct from a self-
insurer, a financial guarantor, or a surety.
Master Certificate means a COFR issued by the Director under this
subpart to the COFR Operator of one or more vessels that are under the
custody of such person solely in the capacity of a builder, repairer, or
scrapper, or for the purpose of holding vessels out for sale or lease,
where such person does not physically operate the vessels. A Master
Certificate covers, automatically, all of the vessels subject to this
subpart held by the COFR Operator solely for purposes of construction,
repair, scrapping, sale or lease. A vessel which is being operated
commercially in any business venture, including the business of
building, repairing, scrapping, leasing, or selling (for example, a slop
barge used by a shipyard) cannot be covered by a Master Certificate and
must have either a current Individual Certificate or, if applicable, a
current Fleet Certificate.
Net worth means the amount of all assets located in the United
States, less all liabilities anywhere in the world.
NPFC means the U.S. Coast Guard, National Pollution Funds Center.
NPFC is the U.S. Government office responsible for administering the OPA
90 and CERCLA vessel COFR program.
Offshore supply vessel has the same meaning as set forth in 46
U.S.C. 2101.
OPA 90 means the Oil Pollution Act of 1990, as amended (33 U.S.C.
2701, et seq.).
Public vessel means a vessel owned or demise chartered and operated
by the United States, by a State or political subdivision thereof, or by
a foreign nation, except when the vessel is engaged in commerce.
Release, for purposes of this subpart, means a release as defined in
CERCLA (specifically, 42 U.S.C. 9601), or a threatened release, of a
hazardous substance.
Responsible party, for purposes of OPA 90 evidence of financial
responsibility, has the same meaning as defined at 33 U.S.C. 2701; and,
for purposes of CERCLA evidence of financial responsibility, means any
person who is an ``owner or operator,'' as defined at 42 U.S.C. 9601,
including any person chartering a vessel by demise.
Self-insurer means a COFR Operator providing evidence of financial
responsibility as the responsible party of the subject vessel, as
provided under Sec. 138.110(d). A self-insurer is distinct from a
guarantor.
Total applicable amount means an evidence of financial
responsibility amount that must be demonstrated under this subpart,
determined as provided in Sec. 138.100.
Working capital means the amount of current assets located in the
United States, less all current liabilities anywhere in the world.
Sec. 138.40 General requirements.
(a) Requirement to establish and maintain evidence of financial
responsibility. The COFR Operator of a vessel must establish and
maintain (or cause to be established and maintained) evidence of
financial responsibility acceptable to the Director using any one of the
methods specified in Sec. 138.110, in an amount equal to or greater
than the total applicable amount determined under Sec. 138.100 and, in
the case of a financial guarantor, as further provided under Sec.
138.110(c)(2) (aggregation of total applicable amounts). The evidence of
financial responsibility required by this paragraph must be--
(1) Established as of the date they become a responsible party; and
(2) Continuously maintained for so long as they remain a responsible
party.
(b) Requirement to have a COFR and report changes. The COFR Operator
must apply for and ensure the vessel is covered at all times by a
current COFR, by complying with the requirements and procedures set
forth in this subpart, including the reporting requirements in Sec.
138.150.
[[Page 78]]
Sec. 138.50 How to apply vessel gross tonnages.
(a) Purpose. This section sets forth the methods for applying vessel
gross tonnage to--
(1) Determine whether a vessel exceeds the 100 or 300 gross ton
threshold under Sec. 138.20 and OPA 90, CERCLA, or both;
(2) Calculate the OPA 90 and CERCLA applicable amounts of financial
responsibility required, as provided in Sec. 138.100; and
(3) Determine the OPA 90 limit of liability under subpart B of this
part in the event of an oil pollution incident, and the CERCLA limit of
liability under 42 U.S.C. 9607 in the event of a hazardous substance
release.
(b) Both GT ITC and GRT assigned. For a vessel assigned both gross
tonnage ITC (GT ITC) and gross register tonnage (GRT) under 46 CFR part
69, apply the tonnage thresholds in Sec. 138.20 using the assigned GRT
tonnage, and determine the applicable amounts of financial
responsibility and the limits of liability using the assigned GT ITC
tonnage.
(c) GT ITC or GRT assigned. For a vessel assigned only a GT ITC or a
GRT tonnage under 46 CFR part 69, apply the tonnage thresholds in Sec.
138.20, and determine the applicable amounts of evidence of financial
responsibility and the limits of liability using the assigned GT ITC or
GRT tonnage.
(d) High or low GRT assigned. For a vessel assigned a high and low
GRT tonnage under 46 CFR part 69, subpart D (Dual Regulatory Measurement
System), apply the tonnage thresholds in Sec. 138.20, and determine the
applicable amounts of financial responsibility and the limits of
liability, using the high GRT tonnage.
(e) Summary. The use of assigned gross tonnages, as required by
paragraphs (b) through (d) of this section, is summarized in the
following table.
Table 1 to Sec. 138.50(e)--Use of Assigned Gross Tonnages
----------------------------------------------------------------------------------------------------------------
Assigned tonnage
---------------------------------------------------------------------------------
Category To apply the tonnage thresholds in To determine applicable amounts under
Sec. 138.20 Sec. 138.100 and limits of liability
----------------------------------------------------------------------------------------------------------------
Vessels Assigned Both GT ITC GRT.................................... GT ITC.
and GRT.
Vessels Assigned--
GT ITC only............... GT ITC................................. GT ITC.
GRT only...................... GRT.................................... GRT.
----------------------------------------------------------------------------------------------------------------
(f) Certified gross tonnage governs. In the event of an incident or
release, the responsible parties and guarantors are governed by the
vessel's assigned gross tonnage on the date of the incident. This is as
determined under paragraphs (b) through (e) of this section and
evidenced on the appropriate tonnage certifying document as provided for
under the U.S. tonnage regulations or international conventions (for
example, tonnage certificate or completed Simplified measurement
application, International Tonnage Certificate (1969)), regardless of
what gross tonnage is specified in the Application or guaranty form
submitted under this subpart, except when the responsible parties or
guarantors knew or should have known that the tonnage certificate
information was incorrect (see also Sec. 138.110(h)(1)(iii)).
(g) Requirement to present tonnage certifying document(s). Each COFR
Operator must submit to the Director, or other authorized United States
Government official, upon request, for examination and copying, the
original or an unaltered and legible electronic copy of the vessel's
applicable tonnage certifying document(s).