[Federal Register Volume 59, Number 137 (Tuesday, July 19, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-17531]


[[Page Unknown]]

[Federal Register: July 19, 1994]


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DEPARTMENT OF TRANSPORTATION
[CGD 94-047]

 

Implementation of the Port-State Control Initiative

AGENCY: Coast Guard, DOT.

ACTION: Notice.

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SUMMARY: The Coast Guard has implemented a port-state control 
initiative to identify and eliminate the operation of substandard ships 
in U.S. waters. The Coast Guard is increasing its enforcement efforts 
against these vessels. This notice is published to ensure wide 
dissemination of this information to those who may be affected by it.

DATES: Effective May 1, 1994.

ADDRESSES: Commandant (G-M), U.S. Coast Guard Headquarters, 2100 Second 
Street SW., Washington, DC 20593-0001, telephone (202) 267-1464.

FOR FURTHER INFORMATION CONTACT:
Commander Joseph J. Saboe, Project Manager, Merchant Vessel Inspection 
and Documentation Division (G-MVI-1), U.S. Coast Guard Headquarters, 
2100 Second Street, SW., Washington, DC 20593-0001, telephone (202) 
267-1464.

SUPPLEMENTARY INFORMATION:

Background and Purpose

    The Coast Guard examines and inspects ships under the authority of 
a number of existing statutory and international convention provisions. 
This port-state control initiative uses a risk management approach to 
focus the Coast Guard's attention and resources on those foreign 
vessels which potentially pose the greatest threat to the safety of 
U.S. ports and the marine environment.
    On September 27, 1993, the U.S. Senate Appropriations Committee 
published a report (103-150) on the 1994 Department of Transportation 
and Related Agencies Appropriations Bill. In part, the Committee 
expressed a strong interest in eliminating substandard ships from U.S. 
waters. To accomplish this the U.S. Coast Guard was directed to develop 
and initiate stricter port-state controls to identify substandard ships 
entering U.S. waters for boarding and examination. The Coast Guard was 
also directed to develop a system to ensure accountability if a 
substandard ship is found and deficiencies were not detected in prior 
Coast Guard boardings or examinations.
    A substandard vessel presents an unacceptable risk to the persons 
on board or to the marine environment. Under Coast Guard policy and 
applicable international guidelines, a ship is considered substandard 
if its hull, crew, machinery, or lifesaving, firefighting, or pollution 
prevention equipment are substantially below the standards required by 
U.S. laws or international conventions due to:
    a. the absence of principal equipment or arrangements required by 
U.S. laws or international conventions;
    b. gross noncompliance with equipment standards or arrangements 
under U.S. laws or international conventions;
    c. substantial deterioration of the ship's structure or its 
essential equipment;
    d. noncompliance with the operational and/or manning standards 
required by U.S. laws or international conventions;
    e. clear lack of appropriate certification; or,
    f. demonstrated lack of competence on the part of the crew.
    The Coast Guard is authorized under several international maritime 
safety conventions to intervene if a vessel is not in compliance with 
existing international treaties and, if necessary, detain it until 
conditions are corrected. Conventions that provide port-state control 
intervention and/or detention authority include: the International 
Convention for the Safety of Life at Sea (SOLAS); the International 
Convention for the Prevention of Pollution From Ships, 1973 and its 
Protocol of 1978 (MARPOL 73/78); the International Conference on 
LoadLines, 1966 (LOADLINE 66); and the International Convention on 
Standards of Training, Certification and Watchkeeping, 1978 (STCW 78).
    This initiative will also have a positive effect for vessels which 
are owned, managed, classed, and flagged by responsible parties who 
ensure their vessels meet U.S. and international safety standards. 
These vessels should be subject to a decrease in the number of 
boardings by the Coast Guard. This would result in a savings of vessel 
personnel time and operation costs.
    The Coast Guard developed a matrix for determining vessel boarding 
priorities. This matrix uses information on a vessel's owner, operator 
and managing operator; destination; flag of registry; classification 
society; Coast Guard boarding history; and the type of ship to 
determine the vessel's relative risk. These criteria are assigned 
various point values in the matrix. Each of these criteria is discussed 
below.

Owner, Operator, and Managing Operator

    A ship will be assigned points in the matrix if its owner, operator 
or managing operator had any of its ships subjected to an intervention 
by the U.S. Coast Guard within the past twelve months. All vessels 
associated with that owner, operator or managing operator will be 
assigned points in the matrix, not just the vessel that was subjected 
to intervention.

Destination

    Coast Guard historical data indicates that substandard ships are 
more likely to call at certain facilities. A vessel will be assigned 
points in the matrix if it is enroute to a facility that has been 
identified by the local Capital of the Port as a facility that has a 
previous record of receiving substandard vessels.

Flag of Registry

    Points may also be assigned in the matrix based on a vessel's flag 
of registry. Points will be assigned to a vessel if its flag state's 
rate of interventions to fleet size exceeds the average intervention 
ratio for all flag states calling in the U.S. Intervention ratios are 
calculated based on the number of ships of each flag state that are 
subject to intervention in U.S. waters in comparison to the total 
number of ships from the flag state which call at U.S. ports.
    Yearly totals of interventions and port calls will be developed and 
averages over a three-year period will be calculated. A three-year 
rolling average of flag state intervention ratios will be used to 
reduce the effect of any anomalies in the annual data. This three-year 
average will be compared to the three-year average for all flag states. 
Baseline data for these ratios were obtained using the Coast Guard's 
records of interventions for the years 1991 through 1993.
    The initial three-year rolling average intervention rate for all 
foreign vessels calling in the U.S. for the period 1991-1993 is 0.50 
percent. Thus, vessels of flags of registry which experienced an 
average intervention rate greater than 0.50 percent will be assigned 
points in the boarding priority matrix.

Classification Society

    A classification society is an organization that issues 
certificates of class or issues international convention certificates 
to a vessel under the authority of a flag state. Currently, 
approximately 68 entities have been identified that issue 
classification certificates or international convention certificates.
    The Coast Guard will determine which of the organizations 
identified meet the guidelines in International Maritime Organization 
(IMO) Resolution A.739(18), ``Guidelines for the Authorization of 
Organizations Acting on Behalf of the Administration.'' Resolution 
A.739(18) provides the following guidelines for organizations:
    a. extensive experience;
    b. publication of rules in English;
    c. significant technical staffs;
    d. qualified professional staffs;
    e. a written code of ethics;
    f. written policy and objectives;
    g. an internal audit system based on an internationally recognized 
quality management system such as ISO 9000; and,
    h. subject to certification of its quality system by independent 
auditors recognized by the appropriate flag administration.
    The Coast Guard has sent a letter to each classification society or 
other organization it has identified, and requested information needed 
to determine if the society or organization meets the guidelines in 
Resolution A.739(18). The Chief, Merchant Vessel Inspection and 
Documentation Division will review the responses, and develop a list of 
those societies or organizations that meet the guidelines. Vessels that 
have received certificates from those organizations that are not 
considered to meet the criteria in IMO Resolution A.739(18) will be 
automatically assigned points in the matrix.
    A vessel that has received a certificate from a classification 
society or other organization that meets IMO Resolution A.739(18) may 
also be assigned points in the matrix based on the classification 
society's intervention rate. A classification society's intervention 
rate will be calculated based on the number of ships classed by each 
classification society that are subject to intervention in U.S. waters 
in comparison to the total number of ships classed by that 
classification society which call on U.S. ports. Each society's rate 
will be compared to the average intervention ratio for all 
classification societies. Vessels that have received certificates of 
class from societies with intervention rates higher than the average 
will be assigned points in the matrix.

Boarding History

    A vessel will also be assigned points in the matrix based upon its 
record in U.S. waters. A vessel will be assigned points if it has not 
been boarded within the past six months, or has been involved in an 
intervention, civil penalty action, marine casualty, or oil or 
hazardous material pollution incident within the past 12 months.

Vessel Type

    Vessel type will also be a factor in determining priorities for 
examination or inspection. Points are assigned within the matrix for 
vessels with inherent high risks, such as bulk chemical tankers, oil 
tankers, gas carriers, bulk freighters ten or more years old, passenger 
vessels, and ships carrying low-value commodities (e.g., tallow, scrap 
metal, asphalt, paper).

Boarding Priorities

    The cumulative point total, determined by using the matrix, is one 
of the factors taken into account in establishing the Coast Guard 
priority for boarding that vessel.
    Four priority levels have been established:
    a. Priority I: targeted for examination prior to port entry;
    b. Priority II: targeted for examination after port entry and prior 
to cargo operations or passenger embarkation;
    c. Priority III: targeted for examination after port entry with no 
restriction on cargo or passenger operations; and,
    d. Priority IV: not targeted.
    The port-state control initiative is also intended to assist the 
Coast Guard to allocate its resources for inspection or examination of 
ships making future port calls. Personnel and logistics concerns, 
weather, or specific local conditions may affect a decision to board or 
not to board a particular vessel. Although identified as Priority I-
III, a ship is not considered substandard unless a boarding reveals 
that its physical conditions or manning is substantially below 
applicable U.S. or international requirements. The authority of the 
District Commander or Captain of the Port, pursuant to the Ports and 
Waterways Safety Act, 33 Code of Federal Regulations (CFR), Part 160, 
or other applicable authorities, are neither expanded nor limited by 
the port state control initiative.
    Additional information on this port-state control initiative may be 
obtained by contacting the person listed under FOR FURTHER INFORMATION 
CONTACT or by writing to the address under ADDRESSES.

    Dated: July 11, 1994.
J.C. Card,
Rear Admiral, U.S. Coast Guard, Chief, Office of Marine Safety, 
Security and Environmental Protection.
[FR Doc. 94-17531 Filed 7-18-94; 8:45 am]
BILLING CODE 4910-14-M