[Federal Register Volume 61, Number 187 (Wednesday, September 25, 1996)]
[Rules and Regulations]
[Pages 50232-50235]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-24422]


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DEPARTMENT OF TRANSPORTATION

Coast Guard

33 CFR Part 160

[CGD 94-089]
RIN 2115-AF19


Advance Notice of Arrivals, Departures, and Certain Dangerous 
Cargoes

AGENCY: Coast Guard, DOT.

ACTION: Final Rule.

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SUMMARY: The Coast Guard has amended the requirements for notice of 
arrival and departure by applying them to vessels over 300 gross tons 
and eliciting added information. In addition, the Coast Guard amended 
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.

EFFECTIVE DATE: October 25, 1996.

ADDRESSES: Unless otherwise indicated, documents referred to in this 
preamble are available for inspection or copying at the office of the 
Executive Secretary, Marine Safety Council (G-LRA, 3406), U.S. Coast 
Guard Headquarters, 2100 Second Street SW., Washington, DC 20593-0001, 
between 8 a.m. and 3 p.m., Monday through Friday, except Federal 
holidays. The telephone number is (202) 267-1477.

FOR FURTHER INFORMATION CONTACT:
 CDR Dennis Haise, Operating and Environmental Standards Division, 
Vessel and Facility Operating Standards Branch (202) 267-6451.

SUPPLEMENTARY INFORMATION

Regulatory History

    On January 17, 1996, the Coast Guard published a notice of proposed 
rulemaking entitled Advance Notice of Arrivals, Departures, and Certain 
Dangerous Cargoes in the Federal Register (61 FR 1183). The Coast Guard 
received 5 letters commenting on the proposal. No public meeting was 
requested, and none was held.

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. 1271], 
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.
    Applying this rule to U.S. vessels as well will also help the 
Captain of the Port (COTP) to effectively direct

[[Page 50233]]

inspection resources by applying similar criteria to insure that the 
highest risk U.S. vessels are also inspected along with foreign vessels 
posing similar risks.
    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 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 Comments and Changes
    One comment was received concerning the exemption of Oil Spill 
Recovery Vessels (OSRVs) from the requirements of this rule based on 
the premise that these vessels are normally in a standby status and 
only get underway for actual spill response operations or for training. 
The Coast Guard agrees with this position and has amended the rules to 
exclude OSRVs from all reporting requirements except Sec. 160.215 
(Notice of Hazardous Condition).
    One comment suggested that the rule and the Port State Control 
Program (PSCP) only focuses on foreign flag vessels and therefore U.S. 
vessels should be exempt. The Coast Guard agrees that most of the 
emphasis for this increase in reporting is because of PSCP and is 
directed at foreign flag vessels, however, U.S. vessels are also 
targeted for boarding based on their history of performance. Part of 
the focus of this rulemaking is to allow the COTP to use this data to 
better direct the use of limited resources. The Coast Guard bears the 
responsibility to insure compliance with U.S. law by both foreign and 
domestic vessels. There are provisions within the rule that permit 
vessels operating exclusively within a COTP zone or on a fixed schedule 
to forgo these requirements once the COTP has been informed of their 
operations.
    One of the comments suggested that the applicability be changed to 
include those vessels of exactly 300 gross tons and higher. The 
applicability in this rule mirrors that of the requirements for COFRs 
and, therefore, has not been changed.
    Another comment suggested that the rulemaking address tugs towing 
barges if the barge is over 300 gross tons with both the tug and barge 
being identified in the reporting process. Barges are exempt from the 
notification process by the nature of their trade and because of the 
size of the U.S. barge fleet. The reporting of all tugs and barges 
would cause an excessive workload for both the Coast Guard and the 
industry. However, a tug of over 300 gross tons on a voyage of 24 hours 
or more will still have to comply with the advance notice of arrival 
requirements.
    One comment suggested that Sec. 160.207(c)(8) be changed to ``last 
port of call'' vice ``Name of port or place of departure''. The Coast 
Guard disagrees. This wording is explained in the definitions section 
(Sec. 160.203) of the regulations and is clear as written.
    One comment addressed changing Sec. 160.207(c)(10) to read 
``Estimated date and time of arrival in U.S. waters and date and time 
of arrival at a specific berth or anchorage''. The Coast Guard 
disagrees. The requirement as written is clear and provides adequate 
information to allow for directing resources. More specific information 
would only cause a greater burden on the industry as specific data 
would require more frequent changes.
    One comment recommended adding the intent to bunker to the 
notification requirements. The Coast Guard disagrees. Although this has 
some merit, the COTP can require a 4 hour advance notice of transfer 
under 33 CFR 156.118(b) for lightering or fueling operations if deemed 
necessary in a particular port.

Regulatory Evaluation

    This rule is not a significant regulatory action under section 3(f) 
of Executive Order 12866 and does not require an assessment of 
potential costs and benefits under section 6(a)(3) of that order. It 
has not been reviewed by the Office of Management and Budget under that 
order. It is not significant under the regulatory policies and 
procedures of the Department of Transportation (DOT) [44 FR 11040 
(February 26, 1979)]. The Coast Guard expects the economic impact of 
this rule to be so minimal that a full Regulatory Evaluation under 
paragraph 10(e) 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 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

[[Page 50234]]

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

    This rule contains collection-of-information requirements. The 
Coast Guard has submitted the requirements to the Office of Management 
and Budget (OMB) for review under section 3504(h) of the Paperwork 
Reduction Act (44 U.S.C. 3501 et seq.), and OMB has approved them. The 
section numbers are Secs. 160.207, 160.211, and 160.213, and the 
corresponding approval number is OMB Control Number 2115-0557.

Federalism

    The Coast Guard has analyzed this 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 
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 amends 33 
CFR Part 160 as follows:
    1. The authority citation for Part 160 is revised to read as 
follows:

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

    2. In 160.201, paragraphs (b), (c) introductory text, (c)(1), and 
(c)(3)(i) through (c)(3)(iii) are revised, and paragraphs (c)(3)(iv) 
through (c)(3)(x) are added to read as follows:


Sec. 160.201  Applicability and exceptions to applicability.

* * * * *
    (b) This part does not apply to recreational vessels under 46 
U.S.C. 4301 et seq. and, except Sec. 160.215, does not apply to:
    (1) Passenger and supply vessels when they are employed in the 
exploration for or in the removal of oil, gas, or mineral resources on 
the continental shelf, and
    (2) Oil Spill Recovery Vessels (OSRVs) when engaged in actual spill 
response operations or during spill response exercises.
    (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 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, 
the 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 as 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, 
the 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) introductory text and paragraphs 
(a) (1)-(8) are revised and paragraphs (a) (9)-(16) are added 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

[[Page 50235]]

an assigned IMO international number, the 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. 160.211(b), paragraph (b) is amended by removing the 
reference ``(a)(8)'' and adding, in its place, the references ``(a)(4) 
and (a)(8) through (16)''.
    7. In Sec. 160.213, paragraph (a) introductory text and paragraphs 
(a) (1)-(7) are revised and paragraphs (a) (8)-(15) are added 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 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, 
the 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.
* * * * *
    (8) In Sec. 160.213(b), paragraph (b) is amended by removing the 
reference ``(a)(7)'' and add, in its place, the references ``(a)(4) and 
(a) (8) through (15)''.

    Dated: September 17, 1996.
J.C. Card,
Rear Admiral, U.S. Coast Guard, Chief, Marine Safety and Environmental 
Protection.
[FR Doc. 96-24422 Filed 9-24-96; 8:45 am]
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