[Federal Register Volume 61, Number 11 (Wednesday, January 17, 1996)]
[Proposed Rules]
[Pages 1183-1187]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-450]



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DEPARTMENT OF TRANSPORTATION
33 CFR Part 160

[CGD 94-089]
RIN 2115-AF19


Advance Notice of Arrivals, Departures, and Certain Dangerous 
Cargoes

AGENCY: Coast Guard, DOT.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The Coast guard proposes to amend the requirements for notice 
of arrival and departure by applying them to all vessels of 300 gross 
tons or more and eliciting added information. In addition, the Coast 
Guard proposes to amend the requirement for all foreign vessels 
regardless of the gross tonnage to give notice of arrival and departure 
anywhere within the Seventh Coast Guard District. These changes are 
necessary for the Coast guard to implement more efficiently its 
programs for safety of vessels and for protection of the marine 
environment. They should aid in the identification and elimination of 
substandard ships from U.S. waters, improve emergency response, and 
facilitate the enforcement of rules governing Certificates of Financial 
Responsibility.

DATES: Comments must be received on or before April 16, 1996.

ADDRESSES: Comments may be mailed to the Executive Secretary, Marine 
Safety Council (G-LRA, 3406) [CGD 94-089], U.S. Coast Guard 
Headquarters, 2100 Second Street SW., Washington, DC 20593-0001, or may 
be delivered to room 3406 at the same address between 8 a.m. and 3 
p.m., Monday through Friday, except Federal holidays. The telephone 
number is (202) 267-1477. Comments on collection-of-information 
requirements must be mailed also to the Office of Information and 
Regulatory Affairs, Office of Management and Budget, 725 17th Street 
NW., Washington, DC 20503, ATTN: Desk Officer, U.S. Coast Guard.
    The Executive Secretary maintains the public docket for this 
rulemaking. Comments will become part of this docket and will be 
available for inspection or copying at room 3406, U.S. Coast Guard 
Headquarters, between 8 a.m. and 3 p.m., Monday through Friday, except 
Federal holidays.

FOR FURTHER INFORMATION CONTACT:

[[Page 1184]]

CDR Dennis Haise, Operating and Environmental Standards Division, (202) 
267-6451.

SUPPLEMENTARY INFORMATION:

Request for Comments

    The Coast Guard encourages interested persons to participate in 
this rulemaking by submitting written data, views, or arguments. 
Persons submitting comments should include their names and addresses, 
identify this rulemaking [CGD 94-089] and the specific section of this 
proposal to which each comment applies, and give the reason for each 
comment. Please submit two copies of all comments and attachments in an 
unbound format, no larger than 8\1/2\ by 11 inches, suitable for 
copying and electronic filing. Persons wanting acknowledgement of 
receipt of comments should enclose stamped, self-addressed postcards or 
envelopes.
    The Coast Guard will consider all comments received during the 
comment period. It may change this proposal in view of the comments.
    The Coast Guard plans no public hearing. Persons may request a 
public hearing by writing to the Marine Safety Council at the address 
under ADDRESSES. The request should include the reasons why a hearing 
would be beneficial. If it determines that the opportunity for oral 
presentations will aid this rulemaking, the Coast Guard will hold a 
public hearing at a time and place announced by a later notice in the 
Federal Register.

Background and Purpose

    The Ports and Waterways Safety Act of 1972 [86 Stat. 424], as 
amended by the Port and Tanker Safety Act of 1978 [92 Stat. 1471], 
authorizes the Secretary of the Department in which the Coast Guard is 
operating to require the receipt of notice from any vessel destined for 
or departing from a port or place under the jurisdiction of the United 
States. This notice may include any information necessary for the 
control of the vessel and for the safety of the port or marine 
environment. See 33 U.S.C. 1223; 33 CFR Part 160, Subpart C. In April, 
1994, the Coast Guard established its Port-State-Control Program (PSCP) 
to eliminate substandard ships from U.S. waters. It developed a 
comprehensive risk-based targeting scheme to set boarding priorities 
and used funds provided in the Coast Guard's 1994 appropriations act 
for this purpose. See Senate Report Number 103-150. The primary factors 
used in determining which vessels to board are the vessel's: Flag; 
owner; operator; classification (``class'') society; age; and operating 
history. The PSCP's success hinges on the ability of the Coast Guard to 
identify and examine those vessels that seem to pose the greatest risks 
to life, property, and the environment. By making vessels provide added 
information about arrival and departure, field units of the Coast Guard 
will be able to efficiently target vessels and allocate inspection 
resources.
    As the Coast Guard continues enforcing financial responsibility for 
water pollution under the Oil Pollution Act of 1990, it is important 
that only those vessels that have satisfactorily demonstrated their 
ability to meet their responsibility to the U.S. resulting from their 
discharge of oil or hazardous substances be permitted into U.S. waters. 
A Certificate of Financial Responsibility (COFR) is required of certain 
vessels over 300 gross tons, is issued by the Coast Guard, and 
documents a vessel's compliance with U.S. law on financial 
responsibility for water pollution. The current threshold of 1600 gross 
tons for notice means that the Coast Guard gets no advance notice of 
arrival for many vessels over 300 gross tons required to carry COFRs. 
Reducing the tonnage threshold will enhance the ability of the Captain 
of the Port (COTP) to verify compliance by vessels over 300 gross tons 
with the requirements for the carriage of COFRs.
    In 1989, because of the large number of foreign vessels arriving at 
the port of Miami without notice, in unsafe condition and without 
proper manning, the Coast Guard amended 33 CFR Part 160 so that all 
foreign vessels calling in the zone of the COTP Miami had to give 
notice of arrival.
    The COTP Miami runs a vigorous compliance program aimed at these 
low-tonnage and often substandard ships. However, vessel operators have 
been able to avoid the stricter requirements and potential enforcement 
of the COTP Miami by changing their ports of call to other, nearby COTP 
zones (such as those of Jacksonville, Savannah, Charleston, or Tampa).
    To remove the incentive to avoid scrutiny by the COTP Miami, and to 
improve the effectiveness of efforts by the Seventh Coast Guard 
District to eliminate substandard ships from U.S. waters; the 
requirement for notice of arrival by all commercial non-public foreign 
vessels needs expansion to cover all COTP zones in the Seventh 
District. The boundaries of the Seventh District appear at 33 CFR 3.35-
1(b); the District comprises South Carolina, Georgia, and most of 
Florida, along with the island possessions of the U.S. pertaining to 
Puerto Rico and the Virgin Islands.

Discussion of Proposed Rule

    Section 160.201(c). This paragraph would remove reference to 
section 160.209, which is reserved.
    Section 160.201(c)(1). This paragraph would reduce the threshold 
for giving prearrival notice from 1600 to 300 gross tons; but it would 
require the notice from foreign vessels, entering ports or places 
throughout the entire Seventh Coast Guard District, regardless of 
tonnage.
    First, the change in tonnage would help the COTP verify the 
validity of a vessel's COFR before the vessel's arrival in U.S. waters, 
and prohibit any vessel not in compliance from entering. Second, the 
change in geographic reach to cover all ports in the Seventh Coast 
Guard District would remove the incentive to change ports of call to 
avoid scrutiny by COTP Miami. This should improve the effectiveness of 
efforts by the Seventh District to eliminate substandard ships from 
U.S. waters.
    The increased population of reporting vessels resulting from a 
lowering of the threshold of tonnage would allow the Coast Guard to 
establish and maintain a more comprehensive set of data relative to a 
flag state's ``fleet size''--``fleet size'' being the number of 
distinct vessels of a certain flag calling at U.S. ports in a year. 
This would aid in a more accurate identification of flag states 
associated with substandard shipping and improve the usefulness of the 
PSCP targeting scheme.
    Section 160.201(c)(3). This paragraph would make a vessel's 
International Maritime Organization (IMO) international number, owner, 
operator, class society, and 24-hour point of contact all reportable 
elements.
    The IMO international number is a unique identifier assigned by the 
IMO to vessels subject to the International Convention for the Safety 
of Life at Sea. This number is typically the same number assigned by 
Lloyds Registry of Shipping, and is a primary vessel-identification 
number in the Coast Guard's automated Marine Safety Information System 
(MSIS). The inclusion of a vessel's IMO international number as part of 
the required report would facilitate the identification and retrieval 
from MSIS of vessel-specific factors used in the risk-based targeting 
scheme of the PSCP.
    As several of the primary factors in the risk-analysis matrix of 
the PSCP are a vessel's owner, operator, and class society, COTPs need 
to learn these data as far in advance as practicable. They could then 
identify and examine those vessels that seem to pose the greatest 

[[Page 1185]]
risks and could allocate inspection resources efficiently.
    A name and telephone number of a 24-hour point of contact for 
vessel-related problems or concerns would constitute part of the 
prearrival notice. Experience shows that, when these data are readily 
available to the COTP, response to incidents is quicker and more 
efficient, and problems associated with a vessel's port call are 
minimized.
    Section 160.203. This section would define gross tons and operator 
to resolve doubts that might arise regarding applicability of this 
rule. It would also redefine public vessel to conform it to a recent 
decision by the General Counsel, U.S. Department of Transportation.
    Section 160.207(c). This paragraph would bring uniformity to the 
contents of the notice; uniformity would facilitate compliance by the 
affected parties. This paragraph would also delete current, although 
recent, paragraph (c)(5) because the IMO international number would 
become required information of all covered vessels, not just foreign-
flag tank vessels of over 5000 gross tons.
    Section 160.211. This section would bring uniformity to the 
contents of the notice from vessels carrying certain dangerous cargoes; 
again, uniformity would facilitate compliance by the affected parties. 
Section 160.211 already requires notices from all vessels carrying 
certain dangerous cargoes, regardless of tonnage. The items made 
matters of notice would be IMO international number (if applicable), 
owner, operator, class society, and 24-hour point of contact.
    Section 160.213. Like section 160.211, this section would bring 
uniformity to the contents of the notice from vessels carrying certain 
dangerous cargoes; again, uniformity would facilitate compliance by the 
affected parties. The items made matters of notice would be IMO 
international number (if applicable), owner, operator, class society, 
and 24-hour point of contact.

Regulatory Evaluation

    This proposed rule is not a significant regulatory action under 
section 3(f) of Executive Order 12866 and does not require an 
assessment of potential costs and benefits under section 6(a)(3) of 
that Order. It has not been reviewed by the Office of Management and 
Budget under that Order.
    Nor is this rule significant under the regulatory policies and 
procedures of the Department of Transportation (DOT) [44 FR 11040 
(February 26, 1979)]. The Coast Guard expects the economic impact of 
this rule to be so minimal that a full Regulatory Evaluation under 
paragraph 10e of the regulatory policies and procedures of DOT is 
unnecessary.
    This rule for the most part would incorporate into an established 
reporting regime what are becoming customary procedures. The items made 
matters of notice are readily available to those from whom we seek 
them. Modern electronic communication simplifies their reporting. Some 
units of the Coast Guard already receive much of this information from 
the shipping industry on a voluntary basis.

Small Entities

    Under the Regulatory Flexibility Act (5 U.S.C. 601 et seq.), the 
Coast Guard must consider whether this proposed rule, if adopted, would 
have a significant economic impact on a substantial number of small 
entities. ``Small entities'' may include: (1) Small businesses and not-
for-profit organizations that are independently owned and operated and 
are not dominant in their fields and (2) governmental jurisdictions 
with populations of less than 50,000.
    Small businesses generally operate fewer vessels and would 
therefore have fewer reports to make. As the notice can be spoken and 
need follow no particular format, costs could be limited to those of a 
brief telephone call. In the Seventh Coast Guard District, all foreign 
vessels, regardless of size, have had to give notice since 1989, with 
no reported economic impact.
    In an effort to minimize the impacts of the reporting requirements, 
current Sec. 160.201 already contains several exemptions from the 
reporting requirements. Notwithstanding the changes this rule would 
make to Sec. 160.201(c)(1), these exemptions would remain.
    Because it expects the impact of this rule to be minimal, the Coast 
Guard certifies under 5 U.S.C. 605(b) that this rule if adopted, would 
not have a significant economic impact on a substantial number of small 
entities.

Collection of Information

    Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the 
Office of Management and Budget (OMB) reviews each proposed rule that 
contains a collection-of-information requirement to determine whether 
the practical value of the information would be worth the burden 
imposed by its collection. Collection-of-information requirements 
include reporting, recordkeeping, notification, and other, similar 
requirements.
    This rule would contain collection-of-information requirements in 
the following sections: 160.207, 160.211, and 160.213. The following 
particulars apply:
    DOT No: 2115.
    OMB Control No.: 2115-0557.
    Administration: U.S. Coast Guard.
    Title: Advance Notice of Arrivals, Departures, and Certain 
Dangerous Cargoes.
    Need for Information: Senate Report 103-150 on the 1994 
appropriation bill for the Department of Transportation and related 
agencies directed, and the bill as enacted funded, vigorous efforts by 
the Coast Guard to implement procedures designed to eliminate 
substandard ships from U.S. waters. In April, 1994, the Coast Guard 
established its PSCP for this purpose. It developed a comprehensive 
risk-based targeting scheme to set boarding priorities. The primary 
factors in this analysis are the vessel's flag, owner, operator, class 
society, age, and operating history. The PSCP's success hinges on the 
ability of the Coast Guard to target and examine those vessels that 
seem to pose the greatest risks to life, property, and the environment. 
By making vessels provide added information on arrival and departure, 
Coast Guard field units would be able to efficiently target vessels and 
allocate inspection resources.
    Proposed Use of Information: Requiring a vessel to give notice that 
includes its IMO international number, along with the names of its 
owner, operator, and class society, would enable the COTP to identify a 
high-risk vessel more effectively before its arrival in U.S. waters, 
and to take the appropriate safety measures. The inclusion of the IMO 
international number would facilitate the identification and retrieval 
from the Coast Guard's MSIS of the vessel-specific factors used in the 
risk-based targeting scheme of the PSCP.
    Frequency of Response: A covered vessel would have to give notice 
whenever it arrived at a U.S. port. A covered vessel carrying any of 
certain dangerous cargoes would have to give notice whenever it arrived 
at or departed from a U.S. port.
    Burden Estimate: The estimated burden to respondents would be 
around 15,700 hours/year.
    Respondents: According to MSIS records, around 9800 vessels would 
be covered.
    Form(s): There would be no forms required for collection of this 
information.
    Average Burden Hours per Respondent: Average reporting burden would 
be 0.185 hours a response. There would be no recordkeeping burden.

[[Page 1186]]

    The Coast Guard has submitted the requirements to OMB for review 
under section 3504(h) of the Paperwork Reduction Act. Persons 
submitting comments on the requirements should submit their comments 
both to OMB and to the Coast Guard where indicated under ADDRESSES.

Federalism

    The Coast Guard has analyzed this proposed rule under the 
principles and criteria contained in Executive Order 12612 and has 
determined that this rule does not have sufficient implications for 
federalism to warrant the preparation of a Federalism Assessment.

Environment

    The Coast Guard has considered the environmental impact of this 
proposed rule and concluded that, under paragraph 2.B.2e(22) of 
Commandant Instruction M16475.1B, this rule is categorically excluded 
from further environmental documentation. A Determination of 
Categorical Exclusion is available in the docket for inspection or 
copying where indicated under ADDRESSES.

List of Subjects in 33 CFR Part 160

    Administrative practice and procedure, Harbors, Hazardous materials 
transportation, Marine safety, Navigation (water), Reporting and 
recordkeeping requirements, Vessels, Waterways.

    For the reasons set out in the preamble, the Coast Guard proposes 
to amend 33 CFR Part 160 as follows:

PART 160--[AMENDED]

    1. The citation of authority for Part 160 is revised to read as 
follows:

    Authority: 33 U.S.C. 1223, 1231; 49 CFR 1.46.

    2. In Sec. 160.201, paragraph (c) is amended by revising its 
introductory text; (c)(1); and (c)(3) (i), (ii), and (iii) and by 
adding paragraphs (c)(3) (iv) through (x), to read as follows:


Sec. 160.201   Applicability and exceptions to applicability.

* * * * *
    (c) Section 160.207 does not apply to the following:
    (1) Each vessel of 300 gross tons or less, except a foreign vessel 
of 300 gross tons or less entering any port or place in the Seventh 
Coast Guard District as described by Sec. 3.35-1(b) of this chapter.
* * * * *
    (3) * * *
    (i) Name of the vessel;
    (ii) Country of registry of the vessel;
    (iii) Call sign of the vessel;
    (iv) International Maritime Organization (IMO) international 
number--or, if the vessel does not have an assigned IMO international 
number, official number--of the vessel;
    (v) Name of the registered owner of the vessel;
    (vi) Name of the operator of the vessel;
    (vii) Name of the classification society of the vessel;
    (viii) Each port or place of destination;
    (ix) Estimated dates and times of arrivals at and departures from 
these ports or places; and
    (x) Name and telephone number of a 24-hour point of contact.
* * * * *
    3. In Sec. 160.203, new definitions, for ``gross tons'' and 
``operator'', are added in alphabetical order, and the definition for 
``public vessel'' is revised, to read as follows:


Sec. 160.203   Definitions.

* * * * *
    Gross tons means the tonnage determined by the tonnage authorities 
of a vessel's flag state in accordance with the national tonnage rules 
in force before the entry into force of the International Convention on 
Tonnage Measurement of Ships, 1969 (``Convention''). For a vessel 
measured only under Annex I of the Convention, gross tons means that 
tonnage. For a vessel measured under both systems, the higher gross 
tonnage is the tonnage used for the purposes of the 300-gross-ton 
threshold.
* * * * *
    Operator means any person including, but not limited to, an owner, 
a demise- (bareboat-) charterer, or another contractor who conducts, or 
is responsible for, the operation of a vessel.
* * * * *
    Public vessel means a vessel that is owned or demise- (bareboat-) 
chartered by the government of the United States, by a State or local 
government, or by the government of a foreign country and that is not 
engaged in commercial service.
* * * * *
    4. In Sec. 160.207, paragraphs (c)(1) through (c)(5) are revised, 
and paragraphs (c) (6) through (11) are added, to read follows:


Sec. 160.207   Notice of arrival: Vessels bound for ports or places in 
the United States.

* * * * *
    (c) * * *
    (1) Name of the vessel;
    (2) Country of registry of the vessel;
    (3) Call sign of the vessel;
    (4) International Maritime Organization (IMO) international 
number--or, if the vessel does not have an assigned IMO international 
number, official number--of the vessel;
    (5) Name of the registered owner of the vessel;
    (6) Name of the operator of the vessel;
    (7) Name of the classification society of the vessel;
    (8) Name of the port or place of departure;
    (9) Name of the port or place of destination;
    (10) Estimated date and time of arrival at this port or place; and
    (11) Name and telephone number of a 24-hour point of contact.
    5. In Sec. 160.211, paragraph (a) is revised to read as follows:


Sec. 160.211  Notice of arrival: Vessels carrying certain dangerous 
cargo.

    (a) The owner, agent, master, operator, or person in charge of a 
vessel, except a barge, bound for a port or place in the United States 
and carrying certain dangerous cargo, shall notify the Captain of the 
Port of the port or place of destination at least 24 hours before 
entering that port or place of the--
    (1) Name of the vessel;
    (2) Country of registry of the vessel;
    (3) Call sign of the vessel;
    (4) International Maritime Organization (IMO) international 
number--or, if the vessel does not have an assigned IMO international 
number, official number--of the vessel;
    (5) Name of the registered owner of the vessel;
    (6) Name of the operator of the vessel;
    (7) Name of the classification society of the vessel;
    (8) Name of the port or place of departure;
    (9) Name of the port or place of destination;
    (10) Estimated date and time of arrival at this port or place;
    (11) Name and telephone number of a 24-hour point of contact;
    (12) Location of the vessel at the time of the report;
    (13) Name of each of the certain dangerous cargoes carried;
    (14) Amount of each of the certain dangerous cargoes carried;
    (15) Stowage location of each of the certain dangerous cargoes 
carried; and
    (16) Operational condition of the equipment under Sec. 164.35 of 
this chapter.
* * * * *
    6. In Sec. 164.211, paragraph (b) is amended by removing the 
reference ``(a)(8)'' and adding, in its place, the reference ``(4) and 
(a)(8) through (16)''.

[[Page 1187]]

    7. In Sec. 160.213, paragraph (a) is revised to read as follows:


Sec. 160.213  Notice of departure: Vessels carrying certain dangerous 
cargo.

    (a) The owner, agent, master, operator, or person in charge of a 
vessel, except a barge, departing from a port or place in the United 
States for any other port or place and carrying certain dangerous 
cargo, shall notify the Captain of the Port or place of departure at 
least 24 hours before departing, unless this notification was made 
within 2 hours after the vessel's arrival, of--
    (1) Name of the vessel;
    (2) Country of registry of the vessel;
    (3) Call sign of the vessel;
    (4) International Maritime Organization (IMO) international 
number--or, if the vessel does not have an assigned IMO international 
number, official number--of the vessel;
    (5) Name of the registered owner of the vessel;
    (6) Name of the operator of the vessel;
    (7) Name of the classification society of the vessel;
    (8) Name of the port or place of departure;
    (9) Name of the port or place of destination;
    (10) Estimated date and time of arrival at this port or place;
    (11) Name and telephone number of a 24-hour point of contact;
    (12) Name of each of the certain dangerous cargoes carried;
    (13) Amount of each of the certain dangerous cargoes carried;
    (14) Stowage location of each of the certain dangerous cargoes 
carried; and
    (15) Operational condition of the equipment under Sec. 164.35 of 
this chapter.
* * * * *


Sec. 160.213  [Amended]

    8. In Sec. 160.213, paragraph (b) is amended by removing the 
reference ``(a)(7)'' and adding in its place the reference ``(4) and 
(a)(8) through (15)''.
Joseph J. Angelo,
Acting Chief, Office of Marine Safety, Security and Environmental 
Protection.
[FR Doc. 96-450 Filed 1-16-96; 8:45 am]
BILLING CODE 4910-14-M