[Federal Register Volume 64, Number 54 (Monday, March 22, 1999)]
[Proposed Rules]
[Pages 13734-13752]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-4697]


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DEPARTMENT OF TRANSPORTATION

Coast Guard

33 CFR Part 155

[USCG-1998-4354]
RIN 2115-AE88


Tank Vessel Response Plans for Hazardous Substances

AGENCY: Coast Guard, DOT.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The Coast Guard proposes regulations that would require 
response plans for certain tank vessels operating on the navigable 
waters of the United States that could reasonably be expected to cause 
substantial or significant and substantial harm to the environment by 
discharging a hazardous substance. These regulations are mandated by 
the Oil Pollution Act of 1990 (OPA 90), which requires the President to 
issue regulations requiring the preparation of hazardous substance 
response plans. The primary purpose of requiring response plans is to 
minimize the impact of a discharge of hazardous substances into the 
navigable waters of the United States.

DATES: Comments must reach the Coast Guard on or before June 21, 1999. 
Comments sent to the Office of Management and Budget (OMB) on 
collection of information must reach OMB on or before June 21, 1999.

ADDRESSES: You may mail comments to the Docket Management Facility, 
[USCG-1998-4354], U.S. Department of Transportation, room PL-401, 400 
Seventh Street SW., Washington, DC 20590-0001, or deliver them to room 
PL-401 located on the Plaza Level of the Nassif Building at the same 
address, between 9 a.m. and 5 p.m., Monday through Friday, except 
Federal holidays. The telephone number is 202-366-9329.
    You must also mail comments on collection of information 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 Docket Management Facility maintains the public docket for this 
rulemaking. Comments, and documents as indicated in this preamble other 
than material proposed for incorporation by reference, will become part 
of this docket and will be available for inspection or copying at room 
PL-401, located on the Plaza Level of the Nassif Building at the same 
address, between 9 a.m. and 5 p.m., Monday through Friday, except 
Federal holidays. You may also access this docket on the Internet at 
http://dms.dot.gov.
    The material proposed for incorporation by reference is available 
for inspection at room 2100, U.S. Coast Guard Headquarters, 2100 Second 
Street SW., Washington, DC 20593-0001 between 9:00 a.m. and 2:30 p.m., 
Monday through Friday, except Federal holidays. The telephone number is 
202-267-6716.

FOR FURTHER INFORMATION CONTACT: CDR John Weber, Office of Response (G-
MOR), (202) 267-6716; e-mail: J[email protected] or LT Michael 
Roldan, Office of Standards Evaluation and Development (G-MSR), 202-
267-0756; e-mail: [email protected]. Telephones are equipped to 
record messages on a 24-hour basis. For questions on viewing, or 
submitting material to the docket, contact Dorothy Walker, Chief, 
Dockets, Department of Transportation, telephone 202-366-9329.

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 (USCG-1998-4354), and the specific section of 
this document to which each comment applies, and give the reason for 
each comment. Please submit all comments and attachments in an unbound 
format, no larger than 8\1/2\ by 11 inches, suitable for copying and 
electronic filing to the Docket Management Facility at the address 
under ADDRESSES. Persons wanting acknowledgment 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 proposed rule in view of the 
comments.
    The Coast Guard plans to hold public meetings regarding this 
proposed rulemaking. We will announce the dates and times for the 
meetings in a later notice in the Federal Register. You may request a 
public meeting by submitting a comment requesting one to the address 
under ADDRESSES. The request should include the reasons why a hearing 
would be beneficial.

[[Page 13735]]

Background and Purpose

    The Clean Water Act (CWA) [33 U.S.C. 1321(j)(5)], as amended by 
section 4202(a)(6) of OPA 90, requires owners or operators of tank 
vessels, offshore facilities, and onshore facilities that could 
reasonably be expected to cause substantial or significant and 
substantial harm to the environment to prepare and submit plans for 
responding to the maximum extent practicable, to a worst case 
discharge, or a substantial threat of such a discharge, of oil or a 
hazardous substance into or on navigable waters, adjoining shorelines, 
or the exclusive economic zone. The Final Rule for oil spill response 
plans for vessels was published on January 12, 1996 [61 FR 1052]. The 
Final Rule for oil spill response plans for facilities was published on 
February 29, 1996 [61 FR 7890]. This proposed rulemaking addresses OPA 
90 response planning requirements for tank vessels carrying hazardous 
substances. A separate rulemaking will propose regulations for 
facilities.

Regulatory History

Advance Notice of Proposed Rulemaking

    The Coast Guard published an Advance Notice of Proposed Rulemaking 
(ANPRM) addressing vessel and facility response plans for hazardous 
substances in the Federal Register on May 3, 1996 (61 FR 20084). The 
ANPRM discussed the background, statutory requirements of section 
311(j) of the CWA, and possible regulatory approaches. In addition, the 
ANPRM raised 96 questions for public comment. The Coast Guard received 
42 comment letters replying to the ANPRM. All comment letters were 
considered in developing this NPRM.

Public Meetings

    The Coast Guard conducted public meetings on July 30, 1996, in 
Washington, DC, and August 5, 1996, in Houston, TX. The Coast Guard 
considered comments made during these meetings.

Response Plan Workshop

    In addition to accepting written comments concerning the 
development of regulations for vessel response plans for hazardous 
substances, a workshop and meeting were held in Houston, TX, on 
February 26 and 27, 1997. The workshop engaged various stakeholders in 
issues that had been identified as significant in response to the 
ANPRM. Approximately 120 persons participated in the workshop.
    The workshop focused on four specific issues identified in advance 
by the Coast Guard. These issues were: (1) Role and Contents of First 
Responders' Guides; (2) Role and Capabilities of Decision Support 
Systems; (3) Chemical Removal Technology; and (4) Public Responder 
versus Private Responder Issues. While drafting this NPRM, the Coast 
Guard considered recommendations from the workshop. A summary of the 
proceedings of the workshop is available for review and copying in the 
public docket as described under ADDRESSES.

Advisory Committee

    The Chemical Transportation Advisory Committee (CTAC) formed the 
Hazardous Substances Response Plan Subcommittee. This subcommittee 
developed and recommended hazardous substance response plan criteria 
for the Coast Guard's consideration in developing requirements for OPA 
90-mandated response plans. In addition to the formation of a Steering 
Committee, the subcommittee established the following working groups to 
address appropriate aspects of response planning: Fate and Effects, 
Response Resources and Methodology, and Planning Process. Based on work 
done by the groups, the CTAC subcommittee delivered a report containing 
findings and recommendations. Input from the committee was used in the 
development of this NPRM.

Discussion of Proposed Rule

1. General
    In response to public comment and recommendations from the Chemical 
Transportation Advisory Committee, the Coast Guard established several 
principles to guide the development of this proposed rule. These 
principles specify that--
    a. The response plans should address human health which, as the 
primary concern, includes the general public, vessel crew, and 
responders;
    b. The regulations should recognize and promote existing industry 
best practices;
    c. The regulations should allow for flexibility in plan development 
to accommodate other existing practices that are effective;
    d. The Coast Guard should avoid developing prescriptive ``one size 
fits all'' regulations;
    e. The Coast Guard should avoid duplicating existing federal 
regulations;
    f. The Coast Guard should maximize consistency with international 
standards;
    g. The regulations should reflect the differences in planning 
requirements between oil and hazardous substances, specifically as they 
relate to recoverability and risk of exposure; and
    h. The regulations should facilitate amending existing oil response 
plans to meet requirements for hazardous substances under OPA.
    A fundamental underpinning of these proposed regulations is that, 
for hazardous substance discharges, the availability of information and 
expertise is essential to support response decision-making, while the 
mobilization of containment and collection equipment will be feasible 
only as conditions allow. For oil response planning, some portion of 
the spilled product may be recoverable through containment and 
collection. The amount recovered is largely a function of how rapidly 
response equipment can be deployed. For hazardous substances, 
containment and collection may be viable for certain chemicals, 
depending on environmental conditions and safety considerations. 
Limitations on containment and collection are also imposed by the 
compatibility of equipment with the hazardous substance in question. 
The most effective mitigation strategy may be to control the source of 
the discharge, not contain and collect the hazardous substance. The 
Coast Guard prefers to foster a ``quickly assess the risk and respond 
accordingly'', instead of a ``rush in to contain and collect the 
product'' philosophy.
    For the reasons previously described, these proposed regulations 
contain requirements that ensure access to certain information and 
equipment during a response, and the availability of appropriate 
technical expertise as necessary. The Coast Guard intends that owners/
operators will, through good business practice, identify and perform 
the most appropriate response strategies.
2. Consistency With International Standards
    The International Maritime Organization (IMO) is developing 
chemical response planning requirements to augment existing oil 
response planning requirements. Current international standards 
encompass several hundred chemicals, many of which are outside the 
Coast Guard's statutory authority in developing hazardous substance 
response planning regulations. The IMO has a subcommittee on 
international standards for hazardous material response. The Coast 
Guard has worked with this subcommittee to ensure our regulations are 
consistent with international standards.

[[Page 13736]]

3. Summary of Proposed Requirements
    Following is a discussion of sections contained in the proposed 
rule.
    Section 155.3015 indicates who must comply with these regulations. 
It applies to owners and operators of tank vessels that carry hazardous 
substances in bulk as cargo or cargo residue. Tank vessels include both 
tankers and tank barges that carry any hazardous substance. The term 
``bulk'' means that a hazardous substance is carried in an integral 
tank, or is transferred into a marine portable tank while on the 
vessel. These regulations would not apply to packaged or containerized 
hazardous substances.
    The Oil Pollution Act of 1990 amended the Clean Water Act (CWA) 
with respect to oil and hazardous substances. Accordingly, the 
determination of what substances are hazardous substances is made under 
the CWA. The complete list of CWA hazardous substances can be found in 
40 CFR 116.4. These regulations would also apply to isomers and 
hydrates, as well as any solutions and mixtures of 10% or more, by 
weight.
    Some comments made during public meetings and in response to the 
Advance Notice of Proposed Rulemaking (ANPRM) (61 FR 20084; May 3, 
1996) encouraged the Coast Guard to expand the applicability of these 
regulations beyond the CWA hazardous substances carried in bulk. For 
the reasons described previously, OPA 90 and the CWA, as amended, 
prevent the Coast Guard from doing this. However, we ensured response 
plans contained tools to mitigate incidents involving hazardous 
substances, including those substances not covered under these 
regulations.
    Section 155.3020 includes definitions that apply to the subpart. 
Many of the definitions listed mirror those used in oil spill response 
planning regulations contained in 33 CFR 155. We added or modified some 
definitions to make them applicable to hazardous substance response 
activities or to improve their clarity.
    Section 155.3021 discusses how a plan-holder can ``ensure the 
availability of response resources by contract or other approved 
means.'' These provisions are essentially unchanged from oil response 
plan regulations, although the plan-holder must ensure appropriate 
resources are available.
    Section 155.3022 contains the requirement to designate a Qualified 
Individual (QI) and alternate QI in the plan. As prescribed by OPA 90, 
a QI must have full authority to implement all response actions 
necessary to minimize or mitigate damage to public health, the 
environment, and public and private property. A QI must be able to 
immediately and continuously communicate with the appropriate federal 
official and response resource providers, as needed. It is not assumed 
that a QI for oil spill response will necessarily be an appropriate QI 
for hazardous substance discharges.
    Several comments to the ANPRM and public meetings have indicated 
that under the oil response planning regulations, some QI's do nothing 
more than obligate funds. These comments suggest that the role of the 
QI does not include involvement in decisions relating to a response and 
therefore, the QI does not need to have any understanding of incident 
response. This is not the Coast Guard's expectation of a QI.
    The Coast Guard understands that Congress intended for a 
``qualified individual'' to have basic qualifications that demonstrate 
an ability to coordinate, with full authority from the plan-holder, a 
response to an incident. Early in a response, when the risks are often 
greatest, the QI may independently make decisions that could impact the 
overall response. For example, a plan may identify a list of 
contractors that provide particular response services. Without a basic 
knowledge of chemical response, a QI may not know which resource 
provider to contact or be able to characterize the nature of the 
incident to responders. This knowledge may not be as critical for oil 
spills, where response options are more standardized, and the immediate 
threat to human health is not as prevalent. It is critical that QI's 
are properly trained by establishing a minimum standard training 
requirement.
    To build on an existing standard that is widely accepted and 
demonstrates the appropriate skill set, the proposed regulations 
require QI's to meet the requirements of an incident commander under 
the OSHA hazardous waste operations and emergency response provisions 
in 29 CFR 1910.120(q)(6)(v). Qualifications are further described in 
emergency response training guidance for incident commanders contained 
in Appendix E to Sec. 1910.120. Furthermore, this standard is 
consistent with the Environmental Protection Agency's expectation of a 
QI under its facility response plans for oil.
    The OSHA training requirement for incident commanders is a minimum 
qualification, not an absolute measure of expertise in and of itself. 
Plans require designating each QI in writing, and indicate that the QI 
is familiar with the response plan and has full authority to implement 
actions to contain, remove, or otherwise minimize or mitigate damage to 
the public health, the environment, and public property. Owners or 
operators should ensure that their QI's training and experience are 
adequate to carry out designated responsibilities.
    The Coast Guard welcomes comments regarding the recognition of 
other standards or certifications that demonstrate a working knowledge 
of hazardous substance response that is adequate for the 
responsibilities contained in these regulations.
    At the time of the discharge, a responsible member of the vessel's 
crew becomes the incident commander and initiates notification and 
shipboard mitigation procedures, if appropriate. When that vessel crew 
member notifies the QI of the hazardous substance discharge, the QI may 
assume the role of incident commander. The individuals acting as 
incident commander may change as an incident progresses, particularly 
if the duration of the event is prolonged.
    Section 155.3026 describes the actions that could be taken to 
receive authorization to carry hazardous substances after submitting a 
plan to the Coast Guard, but before it has been approved. These 
proposed requirements mirror those currently required for oil spill 
response plans.
    Section 155.3030 contains requirements that pertain to the format 
and contents of response plans. These requirements are very similar to 
those contained in vessel oil spill response plans regulations.
    Because response plans must be consistent with the National 
Contingency Plan and appropriate Area Contingency Plans (ACPs), some 
members of the public suggested that the Coast Guard refrain from 
developing these regulations prior to November 1998, when ACPs must be 
updated to include hazardous materials response planning. In 
consideration of this request, the Coast Guard has concluded that the 
development of regulatory requirements prior to the final ACP updates 
would be acceptable, but plans approved prior to the issuance of an 
updated ACP would be grandfathered until the next required review. The 
Coast Guard will accept plans written using the Integrated Contingency 
Plan (ICP) Guidance provided the plan meets all of our proposed 
requirements. The ICP was published in the Federal Register on June 5, 
1996 (61 FR 28642).
    Section 155.3031 provides plan-holders with the flexibility of 
modifying existing oil spill response plans with

[[Page 13737]]

additional information that meets hazardous substance response-specific 
requirements.
    Section 155.3035 describes the required contents of a response 
plan. Some of the requirements mirror those found in the oil spill 
response planning regulations; some do not. The following is a 
discussion of some of the proposed requirements that would deviate 
substantially from existing oil spill response plan provisions.
    Paragraph (b) requires a description of the methods used to make 
notifications, as well as a list of those individuals and organizations 
required to be notified. Due to the nature of tank vessel operations, 
the proximity to human populations, and the potential for exposure 
following a discharge, plans must include notifications to local public 
response organizations so they may initiate established response 
procedures and discharge notifications.
    Paragraph (b)(4) requires that the incident commander, notified in 
accordance with paragraph (b)(3)(ii), must have the capability of 
arriving at the incident command post, if established, or at the 
immediate vicinity of the incident, within a reasonable time-frame. The 
Coast Guard intends that a ``reasonable time-frame'' should reflect the 
critical factors relevant to the incident and typically may be no more 
than 2 hours from notification. Current industry practices indicate 
that private response organizations have established networks of 
personnel that fulfill the roles of the qualified individual and 
incident commander. The specific time frame may be influenced by the 
nature of the discharge, proximity to population centers, weather 
conditions or other factors.
    Provisions contained in paragraph (c) of this section would call 
for plan-holders to develop a risk-based decision support process. 
Public commenters suggested that the use of automated ``decision 
support systems'' or ``expert systems'' may be an effective tool for 
use in determining response strategies. The proposed requirement is 
intended to provide a tool to be used by responders to ensure thorough 
consideration of risk factors that may influence response activities. 
This includes a description of processes which will be used to 
identify, evaluate, control, and communicate risk presented by the 
hazardous substance discharge. This requirement could be met through a 
decision tree, flow diagram, automated system, or any other method that 
contains the required components.
    The provisions in paragraph (e)(4) require that plans describe the 
organizational structure that will be used to manage response 
operations. This structure must outline the roles and responsibilities 
of the specific functional areas contained in the National Interagency 
Incident Management System (NIIMS) Incident Command System (ICS). This 
organizational structure, to include functional area roles and 
responsibilities, is described in the U.S. Coast Guard Field Operations 
Guide (ICS-OS-420-1). This document can be requested by contacting the 
U.S. Coast Guard Headquarters (G-MOR-3), 2100 Second Street SW., 
Washington, DC 20593-0001, or obtained electronically via Internet URL 
http://www.uscg.mil/hq/g-m/nmc/response/fog/fog.htm.
    Paragraph (e)(4)(i) contains a provision that requires an 
understanding of the unified command. Briefly summarized, the unified 
command consists of a Federal On Scene Coordinator (Federal OSC), State 
On Scene Coordinator (SOSC), local emergency coordinator, and 
responsible party's incident commander, who direct and oversee all 
public and private resources dedicated to the response. Unified command 
members are expected to establish joint control over an incident, and 
develop mutually-agreeable response strategies. If the unified command 
cannot develop mutually agreeable response strategies, or if the 
Federal OSC believes that the responsible party's actions are 
unsatisfactory, the Federal OSC may assume overall control of the 
response. This action is normally used as a last resort when the 
responsible party is uncooperative with federal and state 
representatives.
    Paragraph (e)(4)(i) requires that each plan describe the key roles 
and responsibilities of the incident commander, defined in the proposed 
regulations as the designated representative of the responsible party 
in the unified command. This individual may be the QI.
    Paragraph (e)(4)(iv) requires that each plan describe how the 
responsible party will liaison with local public response organizations 
following a hazardous substance discharge. Although OPA 90 explicitly 
requires the availability of private resources to respond to these 
discharges, local responders, such as firefighters and hazardous 
materials response teams, will probably respond as well. This 
requirement recognizes the benefits gained by ensuring an effective 
liaison between the responsible party and these response organizations.
    Paragraph (e)(6) contains requirements to have the capability to 
rapidly integrate the following types of expertise into the spill 
management team: product specialist, toxicologist, certified marine 
chemist, chemist or chemical engineer, and certified industrial 
hygienist (CIH). The need for these areas of specialty will be dictated 
by each discharge scenario; however, the response to such a discharge 
will be more effectively executed if this expertise is available to 
advise the unified command. Therefore, these specialties must be 
accessible.
    Paragraph (g) describes exercise procedures for hazardous substance 
response. The proposed requirements are identical to those requirements 
contained in oil spill response plan regulations, except that plan-
holders now conducting oil spill exercises would be allowed to replace 
between 25 and 75 percent of oil spill exercises with hazardous 
substance exercises. The percentage would be determined by the plan-
holder, and should reflect the relative quantities of oil and hazardous 
substance cargo carried by the company.
    Paragraph (h) ``Geographic specific appendix for each COTP zone in 
which your vessel operates'', identifies the operating area(s) within a 
particular COTP zone in which the vessel will operate. This would not 
restrict the vessel from operating in the entire zone, however. 
Additional information found in this appendix would identify response 
resources that are either listed or ensured by ``contract or other 
approved means'' that would respond to a hazardous discharge in the 
identified operating area.
    The determining factors as to whether equipment must be contracted 
or not relates to the probability of its use following a worst case 
discharge. It is likely that personal protective equipment, monitoring 
equipment, and dispersion modeling would be necessary to assess the 
potential risks and develop response strategies. Unlike oil spills, 
where containment and collection strategies are standard, many 
hazardous substances, once discharged, cannot be contained or 
collected. The first priority for these discharges would be to ensure 
that peoples' exposure to the hazardous substances is minimized. The 
proposed equipment requirements are designed to do this.
    For hazardous substances that can be contained and collected (e.g., 
those that are not highly soluble or reactive in water), paragraph (h) 
proposes that containment and collection equipment be listed in the 
plan so it could be quickly mobilized when needed. The equipment is not 
required to be ensured available by contract or other approved means 
because the probability of its use is limited, and factors influencing 
a

[[Page 13738]]

potential discharge create an almost limitless number of response 
scenarios. Therefore, the Coast Guard could not assume that the 
equipment will be needed.
    Equipment that must be identified in the plan would correspond to 
two hazardous substance categories describing behavior following a 
discharge: ``sinkers'' and ``floaters.''
    ``Sinkers'' are those hazardous substances whose physical and 
chemical properties, following a discharge into water, result in a 
substance in the water that does not float, react chemically with 
water, rapidly vaporize, or rapidly dissolve. Under ambient conditions, 
these chemicals have a solubility of less than .01 percent, specific 
gravity greater than 1.0, and a vapor pressure less than 1 psig.
    ``Floaters'' are those hazardous substances whose physical and 
chemical properties, following a discharge into water, result in a 
substance on the water surface that does not rapidly sink, react 
chemically with water, vaporize, or dissolve. Under ambient conditions, 
these hazardous substances have a solubility of less than .01 percent, 
a specific gravity less than 1.0, and a vapor pressure less than 1 
psig.
    Neither a ``sinker'' or ``floater'' designation is intended to 
include hazardous substances that are highly reactive in water, and 
therefore could not be reasonably contained or collected under any 
conditions. Hazardous substances that do not fall into either of these 
categories would not be covered by the requirements of 
Secs. 155.3035(h) (3) and (4).
    Requirements that pertain to lightering, marine salvage, and 
firefighting would also be contained in paragraph (h). Lightering 
requirements would be consistent with the existing requirements for oil 
spill response plans. Based on comments made during the August 5, 1997 
Marine Salvage and Firefighting Workshop, salvage and firefighting 
requirements are different from those contained in oil spill response 
planning regulations. The requirement to have the capability of 
bringing salvage and firefighting resources on-scene within 24 hours 
would not imply that all equipment must be on-scene within 24 hours. 
``Salvage resources'' and ``firefighting resources'' include the 
necessary people and equipment that could evaluate and recommend 
appropriate salvage or firefighting strategies.
    On February 12, 1998, the Coast Guard published a final rule (63 FR 
7069) suspending, until February 12, 2001, deployment of salvage and 
firefighting equipment requirements in oil spill response plans. This 
suspension addressed public confusion regarding the correct 
interpretation of the phrase ``equipment and expertise'' and debate 
over the 24-hour-response time requirement. The Coast Guard is 
currently reviewing the salvage and marine firefighting capabilities 
within the United States and its territories. Results from this 
analysis may change our proposed salvage and firefighting requirements 
for vessels carrying hazardous substances. Any changes to our proposed 
salvage and firefighting requirements would be issued in either a 
Supplemental Notice of Proposed Rulemaking to this proposal or a 
separate Notice of Proposed Rulemaking addressing salvage and 
firefighting requirements for both oil and hazardous substance response 
plans.
    Paragraph (j) would require the inclusion of hazardous-substance-
specific information in each plan. The types of information would 
include cautionary response considerations, health hazards, fire 
hazards, chemical reactivity, water pollution, shipping information, 
hazard classifications, and physical and chemical properties.
    Hazardous-substance-specific information required in the proposed 
rule is essentially the same information that is contained in the 
Chemical Hazards Response Information System (CHRIS). CHRIS is being 
expanded to include more chemicals, as well as improvements in format, 
content, and capabilities. It has historically functioned as a widely-
accepted source of chemical-specific information for use by responders 
and response plan developers.
    Because CHRIS is one of many tools that responders could use in 
planning for and during an actual response, and because responders and 
response planners need the flexibility to choose their own response 
tools, the Coast Guard does not propose to codify the use of the CHRIS 
manual.
    Unlike previous versions of CHRIS, which were available only as 
hard-copy manuals, the new version will be available in hard-copy, 
electronic, and Internet formats. The revised CHRIS will afford users 
flexibility to tailor the system to meet specific needs. The electronic 
version will reside in a searchable database that allows for customized 
queries. Comments on how to further improve CHRIS are welcome and may 
be forwarded to the location listed under ADDRESSES. The Coast Guard 
intends that CHRIS will be available prior to the publication of a 
final rule on hazardous substance response plans.
    Section 155.3055 calls for plan-holders to conduct their own 
evaluations of response resource providers named in response plans. 
These evaluations would cover both equipment adequacy and competency of 
personnel resources. The plan-holder must provide written certification 
of this evaluation, signed by the owner or operator.
    The Coast Guard will consider adopting privately-sponsored programs 
that establish a standard that assures adequate capabilities of 
resource providers exist in order to meet plan requirements. The 
development of such a program will reduce the burden on owners or 
operators of conducting individual provider evaluations and is 
encouraged.
    Vessel response plans are ``self-certifying'' in nature, as 
provided for by 33 CFR 155.3055 and 3065(a)(3). The scope of these 
certification statements includes the assurance that the response 
resources required by the applicable subparts have been ensured 
available through contract or other approved means. As such, it should 
be noted that any knowingly fraudulent statements or misrepresentations 
regarding contracted resources within the plan can result in an owner 
or operator being criminally prosecuted under 18 USC 1001, which, upon 
conviction, carries criminal penalties of a fine, up to five years of 
imprisonment, or both.

Incorporation by Reference

    Material that would be incorporated by reference is listed in 
Sec. 155.140. The material is available for inspection where indicated 
under ADDRESSES. Copies of the material are available from the sources 
listed in Sec. 155.140.
    Before publishing a final rule, the Coast Guard will submit this 
material to the Director of the Federal Register for approval of the 
incorporation by reference.

Assessment

    Due to substantial public interest, this proposal is a significant 
regulatory action under section 3(f) of Executive Order 12866 and has 
been reviewed by the Office of Management and Budget. Although the 
proposed rule is not economically significant, section 6(a)(3) of that 
order requires an assessment of potential costs and benefits. The 
proposed rule is significant under the regulatory policies and 
procedures of the Department of Transportation (44 FR 11040; February 
26, 1979). A draft Assessment has been prepared and is available in the 
docket for inspection or

[[Page 13739]]

copying where indicated under ADDRESSES.
    The Coast Guard does not anticipate that the proposed rule will 
result in a significant economic burden on regulated entities. These 
proposed regulations are expected to impact only those vessel owner/
operators that must comply with any new requirements. The Coast Guard 
will also incur costs related to plan review and approval.
    Benefits are anticipated to result from an increased level of 
preparedness and efficiency in conducting response operations. 
Anticipated benefits from these regulations include averted pollution, 
a reduction in injuries and property damage associated with hazardous 
substance discharges, the avoidance of costs incurred by both public 
and private entities directly involved in response operations, and 
reduction of impacts on populations located in the vicinity of such 
discharges.
    As many as 560 U.S. and foreign flag tankers and 1907 tank barges 
carry bulk chemicals in U.S. waters. These figures represent vessel 
ownership by an estimated 367 tanker and 182 barge companies. While all 
of these vessels do not carry the specific hazardous substances covered 
under these regulations, the analysis uses the conservative assumption 
that all of these vessels will be impacted by the regulations.
    In determining the costs and benefits of the proposed regulations, 
the draft regulatory assessment for this proposed rule considered the 
following potential regulatory components:
    1. The Coast Guard will take no action beyond existing regulations.
    2. Regulations will require the submission of response plans 
containing information regarding qualified individuals, training, 
exercises, hazardous substance characteristics, notification 
procedures, and other crew procedures. This is identified as component 
A in the Regulatory Assessment.
    3. The availability of a ``first responders guide'' and the 
development of a ``decision support system'' will be a voluntary 
measure not mandated by the regulations. Based on industry feedback, we 
expect compliance with these voluntary measures to be at or near 100 
percent. This is identified as component B in the Regulatory 
Assessment.
    First responders guides are concise instructions or handbooks that 
would be immediately available to personnel most likely to be at risk 
in the event of a hazardous substance discharge, and therefore most 
likely to take immediate actions. The level of detail in these guides 
would be determined by each vessel owner or operator, and each 
company's expectation of the crew members in the event of a discharge. 
It is intended that the guides would be as specific as possible, and 
not include generic guidelines that allow for broad interpretation by 
those expected to use them.
    Decision support systems are tools that responders can use to 
analyze risks associated with a hazardous substance discharge, and that 
assist in making decisions related to identifying and evaluating 
response strategies. Such systems could be automated, manual or human-
based.
    4. The preferred regulatory approach includes components A and B, 
plus requiring companies to contract for spill response equipment and 
having deployment drills. Regulations will essentially mirror 
requirements for vessel response plans for oil now found in 33 CFR 155 
by requiring contracted containment and removal equipment to respond to 
hazardous substance discharges. This approach, designated as 
Alternative 1 in the Regulatory Assessment, is reflected in this 
proposed rule.

Cost-Effectiveness Summary

    The measures included in the selected regulatory alternative are 
expected to yield a net cost-effectiveness of about $13,254 per barrel 
of hazardous substance spillage averted. This cost-effectiveness value 
is expressed in 1997 dollars and is a ten-year quantifiable present 
value (PV). The cost of the proposed rule is approximately $58.6 
million, while its benefits are approximately 4000 barrels of pollution 
averted, and approximately $5.3 million in avoided costs. Subtracting 
the avoided costs of the proposed rule from its total cost yields a net 
rule cost of about $53.3 million. Dividing this net cost by about 4,000 
barrels yields the net cost-effectiveness ratio of $13,254. This 
procedure allows us to compare pollution and property damage benefits 
together.
    The total first-year cost of these new requirements to industry is 
estimated to be a maximum of $12.9 million. The recurring costs are 
estimated to be a maximum $8.3 million per year.
    The estimated cost for component A only is $32.5 million. Its 
benefits include 2,432 barrels of avoided pollution and $3.2 million of 
damages averted. Its net cost-effectiveness is $12,037 per barrel 
unspilled.
    The marginal cost for the additional measures contained in 
component B not included in component A is $3.8 million. Marginal 
benefits include 651 barrels of avoided pollution and $0.9 million of 
damages averted. The marginal net cost effectiveness of these 
additional measures is $4,506 per barrel unspilled.
    The marginal cost for the additional measures contained in 
Alternative 1 not included in component B is $22.3 million. Marginal 
benefits include 935 barrels of avoided pollution and $1.2 million of 
damages averted. The marginal net cost effectiveness of these 
additional measures is $22,520 per barrel unspilled.
    Non-quantified benefits could further decrease the cost per barrel 
of pollution averted. The most significant non-quantifiable benefit is 
the usefulness of response plans in many chemical discharge scenarios, 
not just those involving a worst case discharge of bulk Clean Water Act 
hazardous substances. History shows that, while only a limited number 
of ``worst case discharges'' of Clean Water Act hazardous substances 
have occurred in recent years, hundreds of discharges involving other 
chemicals, and in smaller quantities, have occurred. Response to these 
discharges would also have been enhanced if response plans had been 
developed.
A. Costs
    The 10-year PV cost of the proposed rule is approximately $58.6 
million. Costs associated with these proposed regulations are the 
development of the actual hazardous substance response plans, as well 
as the costs of operating in compliance with the plan. In calculating 
costs, the Coast Guard used the estimate that 80% of companies owning/
operating tank vessels covered by these regulations are currently 
holding oil response plans required by 33 CFR 155 Subpart D, and will 
modify or add to these existing plans rather than develop entirely new 
plans. Consequently, these companies have been credited with partial 
compliance with these proposed regulations. To the extent possible, 
costs reflect input from a range of industry sectors that will be 
directly or indirectly impacted by these regulations. Unless otherwise 
specified, ``total cost'' reflects the aggregate cost to the entire 
industry impacted by these proposed regulations. The Regulatory 
Assessment, prepared for this regulatory project, has broken down costs 
by components. The components and their costs are:
    Baseline. The Coast Guard will take no action beyond existing 
regulations. By passing OPA 90, Congress indicated a preference for a 
statutory solution to oil and hazardous substance response planning 
rather than a ``free market''

[[Page 13740]]

solution. Given that OPA 90 has been enacted, ``no action'' is 
essentially not a feasible alternative.
    Component A. The Coast Guard will require that response plans be 
developed for all vessels and facilities engaged in the handling, 
transfer, or storage of any of the regulated hazardous substances 
covered by the regulations. The plans will include--
     General site information;
     Consistency with associated national and area planning 
requirements;
     Designation of a qualified individual with the authority 
to activate spill response resources;
     Contact lists;
     Training and drills;
     Submission of plans; and
     Periodic updates as associated changes may occur.
    Component B. Component B includes cost from the measures in 
component A, plus the costs from the following two measures--
     First Responders Guides, or handbooks that provide 
instructions for initial response; and
    Subject matter experts and a Decision Support System incorporating 
expert knowledge to assist in responding to a spill and assessing the 
risk to the surrounding areas.
    Alternative 1. Alternative 1 captures what is mandated by statute. 
In addition to components A and B, companies will be required to 
contract for spill response capabilities and have equipment deployment 
drills. This requirement will mirror that required in the oil response 
plan regulations but will be applied only to those substances that 
display oil-like characteristics (i.e., those that float on water).
B. Benefits
    Based on the preferred alternative and assuming a 10-year PV, the 
amount of pollution averted is estimated at 4,000 barrels, while the 
avoided costs are estimated to be about $5.3 million. Anticipated 
benefits from these regulations include averted pollution, a reduction 
in injuries and property damage associated with hazardous substance 
discharges, the avoidance of costs incurred by both public and private 
entities directly involved in response operations, and reduction of 
impacts on populations located in the vicinity of such discharges.
    The degree to which response operations would be improved was 
estimated by interviewing 11 subject matter experts that have been 
directly involved with responding to hazardous substance discharges. 
These individuals represent vessel owners or operators, local hazardous 
material response teams, U.S. Coast Guard Federal On-Scene Coordinators 
and Marine Safety Offices, and the U.S. Environmental Protection 
Agency.
    Each interviewee was asked to estimate the level of effectiveness 
for each regulatory component. These estimates, ranging from minimal to 
significant impact on the efficiency of response operations, were 
averaged to develop an overall ``percent efficiency''. This in turn 
reflects the percent to which costs of a response would be reduced and 
the amount of pollution that could be averted.
    An indirect benefit applies to chemical release incidents not 
covered under these regulations. These regulations apply to worst case 
discharges and the threat of such discharges. In reality, the vast 
majority of these incidents occur during transfer operations and are 
not worst case discharges, and frequently involve chemicals not carried 
in bulk or not covered by these regulations. Realizing that the benefit 
of the plans would be limited if they could be applied only to worst 
case discharges involving specific bulk hazardous substance cargoes, 
the Coast Guard designed these regulations with enough flexibility to 
be useful in guiding a wider range of chemical responses.

Small Entities

    Under the Regulatory Flexibility Act (5 U.S.C. 601 et seq.), the 
Coast Guard must consider whether this proposal, if adopted, will have 
a significant economic impact on a substantial number of small 
entities. ``Small entities'' may include (1) small business 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.
    These regulations are not expected to significantly impact small 
businesses. No comments were made during two public meetings, one 
workshop, and in response to an ANPRM, that expressed concerns about 
impacts on small entities. The Coast Guard further contacted trade 
associations representing small businesses in the chemical 
transportation industry and received no indications that these 
regulations would adversely impact small entities. In total the draft 
Small Entity Assessment estimates that a maximum of 11 tank barge 
owners and no tank ship owners are small entities and could be affected 
by these regulations.
    Excluded from these proposed regulations are public vessels, 
vessels of opportunity, and fishing or fishing tender vessels of not 
more than 750 gross tons. The regulations also contain several 
provisions giving affected small businesses flexibility in complying 
with the requirements. The proposed regulations provide allowances to 
modify existing response plans and to take advantage of participation 
in industry cooperatives. Additionally, the Coast Guard is updating and 
making CHRIS available, which would essentially provide impacted 
parties with the hazardous-substance-specific information required in 
the regulations. For any company that believes it will be significantly 
impacted, the regulations allow the company to request further 
flexibility in complying with the requirements.
    Therefore, the Coast Guard certifies under 5 U.S.C. 605(b) that 
this proposed rule, if adopted, will not have a significant economic 
impact on a substantial number of small entities. If, however, you 
think that your business or organization qualifies as a small entity 
and that this proposed rule will have a significant economic impact on 
your business or organization, please submit a comment (see ADDRESSES) 
explaining why you think it qualifies and in what way and to what 
degree this proposed rule will economically affect it.

Assistance for Small Entities

    In accordance with section 213(a) of the Small Business Regulatory 
Enforcement Act of 1996 (Pub. L. 104-121), the Coast Guard wants to 
assist small entities in understanding this proposed rule so that they 
can better evaluate its effects on them and participate in the 
rulemaking process. If your small business or organization is affected 
by this rule and you have questions concerning its provisions or 
options for compliance, please contact the Project Development Division 
(G-MSR-2) at 202-267-0756.
    The Small Business and Agriculture Regulatory Enforcement Ombudsman 
and 10 Regional Fairness Boards were established to receive comments 
from small businesses about Federal agency enforcement actions. The 
Ombudsman will annually evaluate the enforcement activities and rate 
each agency's responsiveness to small business. If you wish to comment 
on the enforcement actions of the Coast Guard, call 1-888-REG-FAIR (1-
888-734-3247).

Collection of Information

    This proposed rule provides for a collection of information under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.). As 
defined in 5

[[Page 13741]]

CFR 1320.3(c), ``collection of information'' includes reporting, 
recordkeeping, monitoring, posting, labeling, and other, similar 
actions. The title and description of the information collections, a 
description of the respondents, and an estimate of the total annual 
burden follow. Included in the estimate is the time for reviewing 
instructions, searching existing sources of data, gathering and 
maintaining the data needed, and completing and reviewing the 
collection.
    Title: Tank Vessel Response Plans and Response Equipment for 
Hazardous Substances.
    Summary of the Collection of Information: The Coast Guard has 
prepared and will seek approval for this collection of information 
under a consolidated collection which applies to these proposed 
regulations, proposed regulations for Facility Hazardous Substance 
Response Plans as well as existing regulations for Vessel and Facility 
Oil Response Plans. This proposal contains collection of information 
requirements in Secs. 155.3022 (What are the requirements for qualified 
individuals and alternate qualified individuals and what authority do 
they have?); 155.3025 (When may I engage in hazardous substance 
operations?); 155.3026 (How do I obtain an interim operating 
authorization or a one-time authorization?); 155.3030 (What is the 
general format of a response plan?); 155.3031 (May I augment my vessel 
response plan for oil with hazardous substance response information?); 
155.3032 (How many copies of the plan must I have, and where must they 
be maintained?); 155.3035 (What are the required contents of each 
section of the plan?); 155.3055 (How must I certify that my response 
resource providers are capable of meeting plan requirements?); 155.3065 
(What are the procedures for plan submission and receiving approval?); 
155.3066 (What are the procedures for submitting a request for 
acceptance of alternative planning criteria?); and 155.3070 (What are 
the procedures for plan review, revision, resubmission, and appeal?).
    Need for Information: This information is necessary to ensure that 
vessels carrying hazardous substances in bulk as cargo or cargo residue 
entering and operating in U.S. waters are adequately prepared to 
respond to a hazardous substance discharge.
    Proposed Use of Information: In part, the purpose of the OPA 90 
amendments to section 311 of the FWPCA is to reduce the number of 
hazardous substance spills and to minimize the impact of the hazardous 
substance spills when they occur in U.S. waters. Without the proposed 
requirements for vessel response plans, it is possible that some 
operators will not maintain the necessary internal resources (effective 
planning, training, drilling, etc.) or external resources (adequate 
shore-based response capability) to meet the requirements of these 
proposed regulations. The proposed collection of information 
requirements help ensure and monitor, through the submission and 
recurring update of response plans, that vessels entering and operating 
in U.S. waters have appropriate response plans and shore-based response 
resources.
    Submission of vessel response plans to the U. S. Coast Guard for 
approval, the onboard verification of an approved plan during routine 
boarding procedures, and the maintenance of training and drill records 
is believed to be the best way to ensure compliance.
    Description of the Respondents: Owners and operators of tank 
vessels carrying hazardous substances in bulk as cargo or cargo residue 
while entering or operating in U.S. waters.
    Number of Respondents: 659.
    Frequency of Response: Response plan submitted every 5 years; 
notice of reviews completed annually; updates as necessary.
    Burden of Response: A one-time burden of 45,960 hours for reporting 
and an annual recordkeeping burden of 4,600 hours.
    Estimated Total Annual Burden: One-time reporting burden of 69.7 
hours and an annual recordkeeping burden of 6.9 hours.
    As required by section 3507(d) of the Paperwork Reduction Act of 
1995, the Coast Guard has submitted a copy of this proposed rule to the 
Office of Management and Budget (OMB) for its review of the collection 
of information. The Coast Guard solicits public comment on the proposed 
collection of information to (1) evaluate whether the information is 
necessary for the proper performance of the functions of the Coast 
Guard, including whether the information would have practical utility; 
(2) evaluate the accuracy of the Coast Guard's estimate of the burden 
of the collection, including the validity of the methodology and 
assumptions used; (3) enhance the quality, utility, and clarity of the 
information to be collected; and (4) minimize the burden of the 
collection on those who are to respond, as by allowing the submittal of 
responses by electronic means or the use of other forms of information 
technology.
    Persons submitting comments on the collection of information should 
submit their comments both to OMB and to the Coast Guard where 
indicated under ADDRESSES by the date under DATES.
    Persons are not required to respond to a collection of information 
unless it displays a currently valid OMB control number. Before the 
requirements for this collection of information become effective, the 
Coast Guard will publish notice in the Federal Register of OMB's 
decision to approve, modify, or disapprove the collection.

Federalism

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

Environment

    The Coast Guard considered the environmental impact of this 
proposed rule and concluded that preparation of an Environmental Impact 
Statement is not necessary. A draft Environmental Assessment and a 
draft Finding of No Significant Impact are available in the docket for 
inspection or copying where indicated under ADDRESSES.
    The draft Environmental Assessment indicates that these regulations 
could be expected to result in a positive impact on the environment 
through the avoidance of adverse impacts following a hazardous 
substance discharge. The assessment analyzed the range of environmental 
impacts associated with several potential regulatory strategies 
considered by the Coast Guard, with a ``no action'' option as a 
baseline. A ``no action'' regulatory action would essentially result in 
no impact on the environment. Other regulatory options considered would 
result in positive impacts by averting pollution.
    Estimates of pollution averted were established through interviews 
with individuals having substantial experience in the area of chemical 
response. No aspects of these regulations would be expected to result 
in adverse impacts on the environment.

Unfunded Mandates

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA), (Pub. 
L. 104-4, 109 Stat. 48), requires Federal agencies to assess the 
effects of certain regulatory actions on State, local, and tribal 
governments, and the private sector. UMRA requires a written statement 
of economic and regulatory approaches for proposed and final rules that 
contain Federal mandates. A ``Federal mandate'' is a new or

[[Page 13742]]

additional enforceable duty, imposed on any State, local or tribal 
government, or the private sector. If any Federal mandate causes those 
entities to spend, in the aggregate, $100 million or more in any one 
year, the UMRA analysis is required. This rule does not impose Federal 
mandates on any State, local or tribal governments or the private 
sector.

Other Executive Orders on the Regulatory Process

    In addition to the statutes and Executive Orders already addressed 
in this preamble, the Coast Guard considered the following executive 
orders in developing this notice of proposed rulemaking (NPRM) and 
reached the following conclusions:
    E.O. 12630, Governmental Actions and Interference with 
Constitutionally Protected Property Rights. This NPRM will not effect a 
taking of private property or otherwise have taking implications under 
this Order.
    E.O. 12875, Enhancing the Intergovernmental Partnership. This NPRM 
will not impose, on any State, local, or tribal government, a mandate 
that is not required by statute and that is not funded by the Federal 
government.
    E.O. 12988, Civil Justice Reform. This NPRM meets applicable 
standards in sections 3(a) and 3(b)(2) of this Order to minimize 
litigation, eliminate ambiguity, and reduce burden.
    E.O. 13045, Protection of Children from Environmental Health Risks 
and Safety Risks. This NPRM is not an economically significant rule and 
does not concern an environmental risk to safety disproportionately 
affecting children.

List of Subjects 33 CFR Part 155

    Hazardous substances, Incorporation by reference, Oil pollution, 
Reporting and recordkeeping requirements.

    For the reasons discussed in the preamble, the Coast Guard proposes 
to amend 33 CFR part 155 as follows:

PART 155--OIL OR HAZARDOUS MATERIAL POLLUTION PREVENTION 
REGULATIONS FOR VESSELS

    1. The authority citation for part 155 continues to read as 
follows:

    Authority: 33 U.S.C. 1231, 1321(j); 46 U.S.C. 3715; sec. 2, E.O. 
12777, 56 FR 54757, 3 CFR, 1991 Comp., p. 351; 49 CFR 1.46.
    Secs. 155.100-155.130, 155.350-155.400, 155.430, 155.440, 
155.470, 155.1030(j) and (k), and 155.1065(g) also issued under 33 
U.S.C. 1903(b); and Secs. 155.1110-155.1150 also issued 33 U.S.C. 
2735.

    2. In Sec. 155.140(b), add, in alphabetical order to the 
organization referenced, the following standard:


Sec. 155.140  Incorporation by reference.

* * * * *
    (b) * * *

International Maritime Organization (IMO)

* * * * *
    Resolution A.648(16), General Principles for Ship Reporting System 
and Ship Reporting Requirements October 19, 1989 ........155.3035
* * * * *
    3. Revise the heading to subpart D to read as follows:

Subpart D--Response Plans for Oil

    4. Add subpart H, consisting of Secs. 155.3010 through 155.3070, to 
read as follows:

Subpart H--Response Plans for Hazardous Substances

Sec.
155.3010  What is the purpose of this subpart?
155.3015  Who must follow this subpart?
155.3020  What definitions apply to this subpart?
155.3021  What is a ``contract or other approved means''?
155.3022  What are the requirements for qualified individuals and 
alternate qualified individuals and what authority do they have?
155.3025  When may I engage in hazardous substance operations?
155.3026  How do I obtain an interim operating authorization or a 
one-time authorization?
155.3030  What is the general format of a response plan?
155.3031  May I augment my vessel response plan for oil with 
hazardous substance response information?
155.3032  How many copies of the plan must I have, and where must 
they be maintained?
155.3035  What are the required contents of each section of the 
plan?
155.3050  What are the operating criteria that apply to response 
resource equipment?
155.3055  How must I certify that my response resource providers are 
capable of meeting plan requirements?
155.3065  What are the procedures for plan submission and receiving 
approval?
155.3066  What are the procedures for submitting a request for 
acceptance of alternative planning criteria?
155.3067  How do I submit an appeal if my response plan is not 
approved?
155.3070  What are the procedures for plan review, revision, 
resubmission, and appeal?

Subpart H--Response Plans for Hazardous Substances


Sec. 155.3010  What is the purpose of this subpart?

    The purpose of this subpart is to establish requirements for 
hazardous substance response plans for certain vessels. The planning 
criteria in this subpart are intended for use in response plan 
development and the identification of necessary resources. The 
development of a response plan prepares the vessel owner or operator 
and the vessel's crew to respond to a hazardous substance discharge. 
The specific criteria for response resources and their arrival times 
are not performance standards. They are planning criteria based on a 
set of assumptions that may not exist during an actual hazardous 
substance discharge incident.(3)


Sec. 155.3015  Who must follow this subpart?

    (a) You must follow this subpart if you are an owner or operator of 
a tank vessel that carries any bulk hazardous substance as cargo or 
cargo residue. This includes any hazardous substance, its isomers and 
hydrates, as well as any mixtures and solutions that contain 10% or 
more hazardous substance, by weight.
    (b) You are not required to follow this subpart if you own or 
operate any of the following:
    (1) Public vessels and vessels deemed public vessels;
    (2) A vessel that, although constructed or adapted to carry 
hazardous substances in bulk as cargo or cargo residue, is not storing 
or carrying hazardous substances in bulk as cargo or cargo residue;
    (3) A dedicated response vessel that is designated in its 
certificate of inspection as such a vessel, or that is adapted to 
respond to a discharge of oil or a hazardous material, when conducting 
hazardous substance response operations;
    (4) A vessel of opportunity that--
    (i) Conducts response activities in a response area; and (ii) Does 
not conduct hazardous substance operations except when involved in 
response activities;
    (5) An offshore supply vessel as defined in 46 U.S.C. 2101;

[[Page 13743]]

    (6) A fishing or fishing tender vessel as defined in 46 U.S.C. 2101 
up to 750 gross tons when operating as such;
    (7) A foreign flag vessel engaged in innocent passage.
    (c) If you own or operate a vessel that must follow this subpart, 
but are not operating within the navigable waters or the exclusive 
economic zone (EEZ) of the United States, then you must meet all 
requirements of this subpart except:
    (1) You do not have to identify and ensure the availability of 
response resources, including the spill management team;
    (2) You do not have to provide the geographic-specific appendices 
required in Sec. 155.3035(j);
    (3) You do not have to designate a qualified individual and 
alternate qualified individual as required in Sec. 155.3022.


Sec. 155.3020  What definitions apply to this subpart?

    As used in this subpart:
    Adverse weather means the hydrographic, meteorological, and other 
environmental conditions that magnify the risk of adverse impact to 
human health and the environment when a hazardous substance is 
discharged, and must be considered when identifying response resources 
in a response plan.
    Bulk means any volume of a hazardous substance carried in an 
integral cargo tank of a vessel, and any volume of a hazardous 
substance transferred to or from a marine portable tank or independent 
tank while on board a vessel.
    Captain of the Port (COTP) Zone means a zone specified in 33 CFR 
part 3 and, for coastal ports, the seaward extension of that zone to 
the outer boundary of the exclusive economic zone (EEZ).
    Dedicated response vessel means a vessel that is designated as an 
oil spill response vessel in its certificate of inspection, or that is 
adapted to respond to a discharge of oil or a hazardous substance. 
Response activities in which such vessels may engage include discharge 
recovery and transport; tank vessel escorting; deployment of response 
equipment, supplies, and personnel; and discharge response training, 
testing, exercises and research.
    Exclusive economic zone (EEZ) means the zone contiguous to the 
territorial sea of the United States extending up to 200 nautical miles 
from the baseline from which the breadth of the territorial sea is 
measured.
    Federal On-scene coordinator (Federal OSC) means the Federal 
official pre-designated by the Coast Guard or Environmental Protection 
Agency (EPA) to coordinate and direct response efforts at the scene of 
a hazardous substance discharge, as prescribed in the National Oil and 
Hazardous Substances Pollution Contingency Plan (National Contingency 
Plan (NCP)) published in 40 CFR part 300.
    Floater means any hazardous substance whose physical and chemical 
properties, when discharged into water, result in a substance on the 
water surface that does not rapidly sink, react chemically with water, 
vaporize, or dissolve.
    Great Lakes means Lakes Superior, Michigan, Huron, Erie, and 
Ontario, their connecting and tributary waters, the Saint Lawrence 
River as far as Saint Regis, and adjacent port areas.
    Hazardous substance means any chemical that is listed in 40 CFR 
116.4.
    Hazardous substance operations means the storing, transferring, 
handling, transporting, or lightering of a hazardous substance in bulk 
in areas subject to the jurisdiction of the United States.
    Inland area means either the area shoreward of the boundary lines 
defined in 46 CFR part 7 or, in the Gulf of Mexico, the area shoreward 
of the lines of demarcation (COLREG lines) as defined in 33 CFR 80.740 
through 80.850. The Great Lakes are not included in the inland area.
    Interim operating authorization means authorization granted by the 
Coast Guard for a vessel to handle, store, transport, transfer, or 
lighter a hazardous substance without having an approved plan.
    Lightering or lightering operation means the transfer of a 
hazardous substance in bulk from one vessel to another, and includes 
all phases of the operation from the mooring of the vessel to the 
departure of the service vessel from the vessel lightered, except when 
the cargo is intended only for use as ship's stores aboard the 
receiving vessel.
    Nearshore area means either the area extending seaward 12 miles 
from the boundary lines defined in 46 CFR part 7, or, in the Gulf of 
Mexico, the area extending seaward 12 miles from the lines of 
demarcation (COLREG lines) as defined in 33 CFR 80.740 through 80.850.
    Offshore area means the area from the outer boundary of the 
nearshore area seaward 38 nautical miles.
    Open ocean area means the area from the outer boundary of the 
offshore area to the seaward boundary of the exclusive economic zone.
    Operating area means any of the following: Rivers and canals, Great 
Lakes, Inland area, Nearshore area, Offshore area, or Open ocean area.
    Operator means the owner, demise charterer, or contractor who 
operates or is responsible for the operation of a vessel. For the 
purposes of this subpart only, the operator of a towing vessel is not, 
per se, considered the operator of a vessel being towed.
    Owner or vessel owner means any person holding legal or equitable 
title to a vessel unless this person holds the title solely as security 
and not as the owner. It also means the person(s) whose name(s) appears 
on a vessel's Certificate of Documentation. If the name of a president 
or secretary of an incorporated company is on the certificate, then the 
company is the owner.
    Personal protective equipment (PPE) means equipment that meets the 
requirements contained in 29 CFR 1910.120.
    Public vessel means a vessel owned or bareboat-chartered and 
operated by the United States, or by a State or political subdivision 
of the United States, or by a foreign nation, except when engaged in 
commerce.
    Response activity means any actions necessary to minimize or 
mitigate damage to human health, the environment, or property.
    Response area means the area designated by the Federal On-Scene 
Coordinator in which response activities are occurring.
    Response resources means the personnel, equipment, supplies, and 
other capabilities necessary to perform activities identified in a 
response plan.
    Response resources provider means an entity that provides response 
personnel, equipment, supplies, and other capabilities necessary to 
perform activities identified in a response plan.
    Rivers and canals means bodies of water confined within the inland 
area. These include the Intracoastal Waterways and other waterways 
artificially created for navigation having a project depth of 12 feet 
or less.
    Sinker means any hazardous substance whose physical and chemical 
properties, when discharged into water, result in a substance in the 
water that does not float, react chemically with water, rapidly 
vaporize, or rapidly dissolve.
    Spill management team (SMT) means the personnel identified in a 
response plan who staff the organizational structure that manages 
response plan implementation. The term Incident Management Team may 
also be used.
    Tank barge means a non-self-propelled tank vessel.
    Tank vessel means a vessel that is constructed or adapted to carry, 
or that

[[Page 13744]]

carries, oil or hazardous material in bulk as cargo or cargo residue, 
and that--
    (1) Is a vessel of the United States;
    (2) Operates on the navigable waters of the United States; or
    (3) Transfers a hazardous substance in a place subject to the 
jurisdiction of the United States.
    Tanker means a self-propelled tank vessel constructed or adapted 
primarily to carry oil or hazardous materials in bulk in the cargo 
spaces.
    Vessel crew means:
    (1) For tankers--those persons required by a Certificate of 
Inspection or other official manning document to be on board;
    (2) For tank barges--those persons manning both the tank barge and 
the towing vessel.
    Vessel deemed public vessel means any motorboat or yacht, while 
assigned to authorized Coast Guard duty.
    Vessel of opportunity means a vessel that, because of its 
availability and geographic location, becomes involved in a response to 
an oil or hazardous substance incident.
    Vessels carrying hazardous substances as cargo means all vessels 
carrying hazardous substances in bulk as cargo or cargo residue, except 
for dedicated response vessels.
    Worst case discharge means a discharge of a vessel's entire 
hazardous substance cargo during adverse weather.


Sec. 155.3021  What is a ``contract or other approved means''?

    A ``contract or other approved means'' is any of the following 
methods used to meet the requirements contained in Sec. 155.3035:
    (a) A written contract with a response resources provider;
    (b) A written certification that the personnel, equipment, and 
capabilities required by your response plan are available and are under 
your control;
    (c) You have an active membership in a local or regional response 
resources provider;
    (d) You have a document such as a letter, memorandum, or other form 
of written consent that specifies the agreement you have with a 
response resources provider and that the provider is capable of and 
intends to commit to meet your plan requirements. This document must 
give permission for the Coast Guard to verify the identified response 
resources and their capabilities through tests, inspections, and 
exercises;
    (e) You have found another way you can comply with the requirements 
of this section and it is approved by Commandant (G-MOR).


Sec. 155.3022  What are the requirements for qualified individuals (QI) 
and alternate qualified individuals and what authority do they have?

    (a) You must designate a QI and at least one alternate QI in your 
response plan. You may designate a third party organization to fulfill 
the role of the QI and alternate QI. The organization must identify a 
QI and at least one alternate QI. These individuals must be available 
on a 24-hour basis.
    (b) Qualified individuals and alternates must--
    (1) Speak fluent English;
    (2) Be located in the United States, except your QI or alternate QI 
may be located in Canada while your Canadian flag vessel is operating 
on the Great Lakes or the Strait of Juan de Fuca and Puget Sound, WA;
    (3) Be familiar with the implementation of your plan;
    (4) Meet the training requirements contained in 29 CFR 
1910.120(q)(6)(v), to include the capabilities contained in Appendix E, 
29 CFR 1910.120, in the section entitled ``Suggested Training 
Curriculum Guidelines'', in paragraph C.b.(5) entitled ``Incident 
commander.''
    (c) You must designate each QI and alternate QI in writing. In your 
designation document you must specify that the QI--
    (1) Has full authority to implement actions to contain, remove, or 
otherwise minimize or mitigate damage to the public health, the 
environment, and public property;
    (2) Is able to immediately and continuously communicate with the 
Federal OSC and persons providing resources and equipment, as needed;
    (3) Is authorized to contracting and obligate funds to carry out 
response activities; and
    (4) Is adequately trained and experienced to carry out the 
responsibilities of the QI.
    (d) The qualified individual's liability is covered in 33 U.S.C. 
1321(c)(4).
    (e) As soon as is practicable after a discharge or incident 
resulting in a substantial threat of a discharge, the QI will provide 
the Federal OSC with the name of the individual who will direct 
response activities and act as the owner or operator's incident 
commander, if other than the QI.


Sec. 155.3025  When may I engage in hazardous substance operations?

    (a) If you submit a plan prior to [6 months after publication of 
Final Rule], you may conduct hazardous substance operations pending 
receipt of interim operating authorization. These operations must be 
conducted in accordance with your plan.
    (b) If you are awaiting approval of a submitted plan and have 
received interim operating authorization from the Coast Guard, then you 
may conduct hazardous substance operations for up to two years after 
the date your plan was submitted, and if your vessel is fully 
certificated for its intended service.
    (c) If you have an approved plan, and your vessel is fully 
certificated for its intended service, then your vessel may engage in 
hazardous substance operations.
    (d) Your vessel may not conduct hazardous substance operations if--
    (1) You have not submitted a plan to the Coast Guard prior to [6 
months after publication of Final Rule];
    (2) The Coast Guard determines that the response resources 
referenced in your plan do not substantially meet the requirements of 
this subpart;
    (3) The contracts or agreements cited in your plan have lapsed or 
are otherwise no longer valid;
    (4) You are not operating in accordance with your plan;
    (5) The interim operating authorization under paragraph (b) of this 
section has expired; or
    (6) The plan's approval has expired.


Sec. 155.3026  How do I obtain an interim operating authorization or a 
one-time authorization?

    (a) To obtain an interim operating authorization, you must submit a 
written request to Commandant (G-MOR) certifying that you have 
identified and ensured available, by contract or other approved means, 
the private response resources necessary to respond to a worst case 
hazardous substance discharge or substantial threat of such a 
discharge. The interim operating authorization will allow you to 
conduct hazardous substance operations only in the geographic area 
covered by your plan.
    (b) If you would like your vessel to conduct hazardous substance 
operations in a geographic area not covered by your plan, then you must 
get a one-time authorization from the applicable COTP to do so.
    (c) To receive a one-time authorization you must submit a written 
request to the applicable COTP certifying that you have--
    (1) An approved hazardous substance response plan or interim 
operating authorization aboard the vessel(except for the applicable 
geographic specific appendix);
    (2) Given the name of the QI to the master of the vessel and the 
COTP; and
    (3) Identified and ensured available, by contract or other approved 
means, the private response resources necessary

[[Page 13745]]

to respond to a worst case discharge or substantial threat of such a 
discharge in the area in which you seek to have the vessel operate.


Sec. 155.3030  What is the general format of a response plan?

    (a) Your response plan must--
    (1) Identify and cover all geographic areas of the United States 
where your vessel will conduct hazardous substance operations;
    (2) Be written in English and the languages understood by crew 
members with responsibilities under the plan;
    (3) Have the following sections:
    (i) General information;
    (ii) Notification procedures and list of contacts;
    (iii) Risk based decision support process;
    (iv) Shipboard mitigation procedures;
    (v) Shore-based response organization;
    (vi) Training procedures;
    (vii) Exercise procedures;
    (viii) Geographic--specific appendix for each COTP zone where your 
vessel(s) operates;
    (ix) Vessel(s)--specific appendix for each vessel covered by the 
plan;
    (x) An appendix for each hazardous substance aboard the vessel; and
    (4) Have an on-board notification checklist and emergency 
procedures (tank barges only).
    (b) Your response plan must be divided into the sections described 
in paragraph (a)(3) of this section unless your plan is supplemented by 
a cross-reference table showing the location of required information.
    (c) Your plan must be consistent with the National Oil and 
Hazardous Substances Pollution Contingency Plan (NCP) (40 CFR part 300) 
and the Area Contingency Plan (ACP) in effect six months prior to the 
submission of your plan.


Sec. 155.3031  May I augment my vessel response plan for oil with 
hazardous substance response information?

    Yes, you may augment your existing vessel response plan for oil 
with requirements that are specific to this subpart.


Sec. 155.3032  How many copies of the plan must I have, and where must 
they be maintained?

    (a) You must maintain a current copy of the complete plan. You must 
provide a copy to each qualified individual and alternate.
    (b) A copy of the following plan sections must be maintained on 
board your vessel:

------------------------------------------------------------------------
                                                        Approval letter
      Type of tank vessel           Required plan       (Notarized copy
                                       sections           authorized)
------------------------------------------------------------------------
Tanker........................  Sec.  155.3030(a)(3)(  Yes.
                                 i)-(iv) and (viii)-
                                 (x).
Tank Barge....................  Sec.  155.3030(a)(3)(  Yes.
                                 x), (4).
------------------------------------------------------------------------

Sec. 155.3035  What are the required contents of each section of the 
plan?

    (a) General information. This section of the plan must include all 
of the following:
    (1) A list of vessels covered by the plan;
    (2) A list of COTP zones in which the vessel intends to conduct 
hazardous substance operations;
    (3) A table of contents or index of sufficient detail to permit any 
user to find a specific section of the plan; and
    (4) A ``Record of Changes'' page to record information on plan 
reviews, updates, or revisions.
    (b) Notification procedures and list of contacts. This section of 
the plan must include notification or contact information. If the 
notifications vary due to vessel location, persons to be notified may 
be listed in a geographic-specific appendix. This section of the plan 
must also provide all of the following:
    (1) The primary and secondary communication methods to be used in 
making notifications;
    (2) A checklist showing all notifications required by MARPOL 73/78, 
33 CFR part 153, and any appropriate State and designated local 
authorities. This checklist must include 24-hour telephone numbers or 
other notification methods and the information required for those 
notifications. The checklist must also specify notifications to be made 
by shipboard personnel and shore-based personnel;
    (3) The procedures for notifying all of the following:
    (i) Qualified individual and alternate;
    (ii) Incident commander (if other than the QI);
    (iii) Vessel owner or operator;
    (iv) Vessel's local agent;
    (v) Person(s) able to assess a vessel's seaworthiness; and
    (vi) Transfer facility (if applicable);
    (4) The incident commander must have the capability of arriving at 
the incident command post, if established, or at the immediate vicinity 
of the incident within a reasonable time-frame; and
    (5) Information that must be provided in initial and follow-up 
notifications is:

BILLING CODE 4910-14-P

[[Page 13746]]

[GRAPHIC] [TIFF OMITTED] TP22MR99.000



BILLING CODE 4910-14-C

[[Page 13747]]

    (c) Risk based decision support processes. This section of your 
plan must outline processes which will help responders make decisions 
relating to the identification, evaluation, and control of risks to 
human health and the environment following a hazardous substance 
discharge. These outlined processes do not need to be scenario 
specific, but can be generic in nature. This section of the plan may 
take the form of a decision tree, an automated decision support system, 
or any other format that meets the elements described in this 
paragraph. As a minimum, the process must include all of the following:
    (1) Risk identification which describes the process which will be 
used to determine the extent and route of hazardous substance exposure 
to humans and the environment;
    (2) Risk evaluation which describes the process which will be used 
to establish relative degrees of risk and prioritizing risks;
    (3) Risk control which describes the process which will be used to 
determine which response methods are feasible to eliminate or reduce 
impacts of the hazardous substance discharge on humans and the 
environment likely to be exposed; and
    (4) Risk communication which describes the process which will be 
used to communicate information resulting from paragraphs (c)(1), (2), 
and (3) of this section to parties internal and external to response 
activities.
    (d) Shipboard mitigation procedures. This section of your plan must 
contain prioritized procedures necessary to protect the vessel's crew, 
and mitigate, control or prevent the discharge of a hazardous 
substance. Paragraphs (d)(1) through (4) of this section include the 
requirements for shipboard mitigation procedures.
    (1) All plans must include procedures for--
    (i) Crew safety, and if applicable, the use of personal protective 
equipment;
    (ii) Crew responsibilities by job title;
    (iii) Crew actions while conducting internal or external cargo 
transfers during a transfer system leak, overflow, or a suspected cargo 
tank or hull leak;
    (iv) Crew actions during casualties or emergencies which include 
grounding or stranding, collision, explosion or fire (or both), hull 
failure, excessive list, or equipment failure such as main propulsion, 
steering gear, etc.;
    (v) Internal or tank to tank transfers of cargo in an emergency (if 
applicable to type of vessel);
    (vi) Emergency ship-to-ship cargo transfers. (Procedures must be 
consistent with the vessel's transfer procedures, lightering plan, and 
safety considerations.);
    (vii) Arrangements for emergency towing, to include rigging 
requirements and operating procedures of any emergency towing 
equipment; and
    (viii) The vessel crew to gather information that must be provided 
to shore-based personnel who will conduct damage stability and hull 
stress assessments.
    (2) If your crew will engage in shipboard mitigation measures, then 
include:
    (i) The identification and description of the activities that the 
crew has been trained in and are qualified to do when the crew does not 
have shore-based support.
    (ii) Crew responsibilities to mitigate a hazardous substance 
discharge. You must include procedures for use of vessel equipment and 
personal protective equipment carried on board.
    (3) If your crew will initiate a shore-based response (beyond 
required notifications), then include crew responsibilities to initiate 
a shore-based response, and the crew's supervision responsibilities of 
the shore-based response resources.
    (4) If your crew will conduct air sampling/monitoring or water 
sampling/ monitoring, then include crew responsibilities for 
recordkeeping and sampling of spilled hazardous substances, personal 
protective equipment requirements, and safety procedures during the 
sampling/monitoring operation.
    (e) Shore-based response organization. This section of your plan 
must include the following:
    (1) The authority and responsibilities of the qualified individual. 
The authority must allow for immediate and continuous communication 
with the Federal OSC and notification/activation of the hazardous 
substance response resource provider(s).
    (2) Procedures for transferring the responsibility for direction of 
response activities from the vessel crew to the qualified individual or 
incident commander, if other than the QI.
    (3) Procedures for coordinating all response actions with the 
Federal OSC who oversees or directs those actions.
    (4) The organizational structure to be used to manage response 
actions. This structure must outline the key roles and responsibilities 
of the following functional areas:
    (i) Command and control (incident commander);
    (ii) Public information;
    (iii) Safety;
    (iv) Liaison with government agencies and other agencies as 
appropriate;
    (v) Response operations;
    (vi) Planning;
    (vii) Logistics support; and
    (viii) Finance.
    (5) You must list the responsibilities, duties, and functional job 
descriptions for each position of the spill management team that is 
part of the organizational structure described in paragraph (e)(4) of 
this section.
    (6) You must list individuals with the following specific technical 
specialties that are available on a 24 hour-a-day basis for integration 
into the spill management team, as needed:
    (i) Product specialist;
    (ii) Toxicologist;
    (iii) Certified marine chemist;
    (iv) Chemist or chemical engineer; and
    (v) Certified industrial hygienist.
    (7) You will satisfy the requirements of paragraphs (e) (1) through 
(5) of this section if you design your spill management team in 
accordance with the U.S. Coast Guard adopted National Inter-agency 
Incident Management System (NIIMS) Incident Command System (ICS).
    (f) Training. (1) You must identify the training required for 
personnel having responsibilities under the response plan.
    (2) You must differentiate between that training provided to vessel 
personnel and shore-based personnel.
    (3) You must document the training of your personnel and make your 
training records available when requested by the Coast Guard. This 
applies to both initial and refresher training, as applicable. Records 
must be maintained for 3 years following completion of training.
    (4) Nothing in this paragraph (f) relieves you from the 
responsibility to ensure that private shore-based response personnel 
are trained to meet the Occupational Safety and Health Administration 
(OSHA) standards for emergency response operations in 29 CFR 1910.120.
    (5) This paragraph (f) does not apply to the individuals listed in 
paragraph (e)(6) of this section.
    (g) Exercise procedures. This section of the plan addresses your 
exercise program. These exercises should help to ensure that your plan 
will function in an emergency. Your exercise program must detail the 
types of exercises, frequencies, scopes, objectives, and the scheme for 
exercising your entire response plan every three years. You must 
include announced and unannounced exercises in your plan.
    (1) Minimum exercise requirements are:

[[Page 13748]]



----------------------------------------------------------------------------------------------------------------
            Exercise type                     Frequency                             Comments
----------------------------------------------------------------------------------------------------------------
(i) Qualified individual notification  Quarterly.               ................................................
(ii) Emergency procedures............  Quarterly..............  See note.
(iii) Spill management team tabletop.  Annually...............  In a 3-year period, one exercise must include a
                                                                 worst case discharge scenario for hazardous
                                                                 substances. See note.
(iv) Response resource provider        Annually...............  See note.
 equipment deployment.
(v) Entire response plan.............  Every 3 years..........  You must design your exercise program so that
                                                                 every component of the plan is exercised at
                                                                 least once every 3 years. You may exercise the
                                                                 components all at once. The components may be
                                                                 exercised via the required exercises or via an
                                                                 area exercise.
----------------------------------------------------------------------------------------------------------------
Note to paragraph (g)(1) table: One of these exercises must be unannounced in the three year exercise cycle.

    (2) You must participate in unannounced exercises, as directed by 
the COTP. The objectives of these exercises are to verify the ability 
and evaluate the performance of shipboard personnel in fulfilling their 
emergency-related responsibilities under the plan. These exercises will 
be limited to four per area per year. After participating in an 
unannounced exercise, you will not be required to participate in 
another unannounced exercise for at least 3 years from the date of the 
exercise.
    (3) You must participate in area exercises as directed by the 
Federal OSC. The area exercises will involve those actions necessary to 
respond to the spill scenario developed by the exercise design team, of 
which you will be a member. After participating in an area exercise, 
you will not be required to participate in another area exercise for at 
least 6 years.
    (4) You must maintain adequate exercise records as follows:
    (i) Records of the qualified individual notification exercises and 
the emergency procedures exercises must be maintained on the vessel. 
You may document these exercises in the ship's log or in a separate 
exercise log.
    (ii) Exercise records must be maintained and available to the Coast 
Guard for 3 years following completion of the exercises.
    (5) For holders of approved oil response plans augmented for 
hazardous substances, oil and hazardous substances exercises are 
interchangeable. However, a minimum of 25 percent to a maximum of 75 
percent of all exercises must be for hazardous substances.
    (6) You may satisfy the exercise response plan requirements by 
complying with the National Preparedness for Response Exercise Program 
(PREP) Guidelines issued by Commandant (G-MOR). These guidelines are 
available from the United States Government Printing Office, North 
Capitol and H Sts., NW., Washington, DC 20402.
    (h) Geographic-specific appendix for each COTP zone in which your 
vessel(s) operates. This section of your plan must include a 
geographic-specific appendix for each COTP zone where your vessel 
intends to conduct hazardous substance operations.
    (1) Each appendix must identify the geographic area(s) within each 
COTP zone where your vessel intends to operate.
    (2) For each COTP zone, you must ensure available, through contract 
or other approved means, the following response resources to be on-
scene within the time-frames indicated from the detection of the 
discharge and the 24-hour point of contact for the provider of each 
resource. (NOTE: The response resources contained in paragraphs 
(h)(2)(i)-(iv) of this section are required when operating in the 
inland, river and canal, and Great Lakes operating areas.)
    (i) Air monitoring in accordance with 29 CFR 1910.120--2 hours.
    (ii) Water sampling--2 hours.
    (iii) Personal protective equipment--2 hours.
    (iv) Modeling capabilities available to include dispersion modeling 
(water and air)--2 hours.
    (v) Lightering resources capable of providing the following 
equipment and services at your vessel's location within the prescribed 
time-frame:

------------------------------------------------------------------------
                                                   And your vessel is
                                                 located in one of the
                                                 areas listed, then the
 If your lightering resource must provide the  equipment and/or services
  following equipment and/or services * * *     must be at your vessel's
                                                  location within the
                                                  timeframe indicated:
------------------------------------------------------------------------
(A) Lightering equipment (see note):
    (1) Fendering equipment..................  Inland, nearshore and
                                                Great Lakes waters--12
                                                hours.
                                               Offshore waters and
                                                Rivers and canals--18
                                                hours.
                                               Open ocean waters--36
                                                hours.
    (2) Portable pumps and ancillary           The same as (A)(1) above.
     equipment necessary to offload vessel's
     cargo tank in 24 hours of continuous
     operation.
    (3) Transfer hoses and connection          The same as (A)(1) above.
     equipment.
(B) Access to lightering specialists and       Any operating area--24
 mooring masters.                               hours.
(C) Access to barge brokers or other entities  Any operating area--24
 that can assist in identifying available       hours.
 barges that can be used as lightering
 vessels.
------------------------------------------------------------------------
Note to paragraph (h)(2)(v) table: For tankers the equipment must be
  onboard.

    (vi) Marine firefighting resources with equipment that have the 
capability to be on-scene within 24 hours.
    (vii) Salvage resources that can respond within 24 hours and have 
the capability to access the necessary salvage equipment.
    (3)(i) If you transport a hazardous substance that exhibits the 
characteristics of a ``floater'', then you must list the following 
response

[[Page 13749]]

resources capable of being on-scene within 24 hours of detection of the 
discharge and the 24-hour point of contact for the provider of each 
resource:
    (A) Sorbent and containment boom;
    (B) Recovery devices; and
    (C) 10,000 feet of inland boom for shoreline protection operations.
    (ii) Resources listed in oil response plans will meet the 
requirement of paragraph (h)(3)(i) of this section.
    (4) If you transport a hazardous substance that exhibits the 
characteristics of a ``sinker'', then you must list the following 
response resources capable of being on-scene within 24 hours of 
detection of the discharge and the 24-hour point of contact for the 
provider of each resource:
    (i) Sorbent boom, containment boom, silt curtains, or other 
equipment to contain hazardous substances that may remain floating on 
the surface or to reduce spreading on the bottom;
    (ii) Dredges, pumps, or other equipment necessary to recover 
hazardous substances from the bottom and shoreline;
    (iii) Chemical detection devices, such as sonar or sampling 
equipment; and
    (iv) In situ treatment equipment as deemed appropriate by the plan-
holder.
    (5) The listed response resource providers must meet the equipment 
criteria contained in Sec. 155.3050. Response resource providers must 
provide trained personnel to operate equipment, and staff their 
organization and the spill management team for the first 7 days of the 
response.
    (i) Vessel(s)-specific appendix for each vessel covered by the 
plan. This section of the plan must include:

----------------------------------------------------------------------------------------------------------------
        Required information (where applicable)                                  Comments
----------------------------------------------------------------------------------------------------------------
(1) Vessel's name, Country of registry, Call sign,       If the plan covers multiple vessels, then this
 Official number, International Maritime Organization     information must be provided for each vessel.
 (IMO) international number.
(2) List of the vessel's principal characteristics.....  See note.
(3) Capacities of all cargo, fuel, lube oil, ballast,    See note.
 and fresh water tanks.
(4) Diagrams showing locations of all tanks Vessel       Can be maintained separately aboard the vessel provided
 plans and information:                                   the response plan identifies location. See note.
    (i) General arrangement plan.
    (ii) Midships section.
    (iii) Cargo and fuel piping diagrams and pumping
     plan.
    (iv) Cargo and fuel storage plan.
(5) Location of all equipment and fittings used to       See note.
 perform transfers and lightering.
(6) Location of equipment and personal protective        See note.
 equipment carried to mitigate a hazardous substance
 discharge.
(7) Damage stability data: Locations of plans to         You must maintain a copy of these plans ashore. The
 perform salvage, stability, and hull stress              vessel's owner or operator or the vessel's
 assessments. These include the general arrangement       classification society may maintain these plans unless
 plan, midship section plan, lines plan or table of       you have arranged for a shore-based damage stability
 offsets, tank tables, load line assignment, and          and residual strength calculation program with your
 lightship characteristics.                               vessel's baseline strength and stability
                                                          characteristics pre-entered. If the computerized
                                                          damage stability calculation program is utilized, then
                                                          you must provide in the plan the shore location and 24-
                                                          hour access procedures of the calculation program.
----------------------------------------------------------------------------------------------------------------
 Note to paragraph (i) table: Because many of the tank vessels covered by a response plan may be of the same
  design, you do not need to repeat this information provided the plan identifies the tank vessels to which the
  same information applies.

    (j) Hazardous substance specific appendix. This section of the plan 
must include a separate appendix for each hazardous substance cargo on 
board your vessel. The following table represents the types of 
information which must be included, if pertinent:

------------------------------------------------------------------------
    Information categories                Types of information
------------------------------------------------------------------------
(1) NAME OF HAZARDOUS          Common Chemical Name, Synonym(s), and
 SUBSTANCE.                     Trade Name(s)
(2) CAUTIONARY RESPONSE        First Response Activities for Fire,
 INFORMATION.                   Exposure, and Water Pollution
                               Physical Description
                               Telephone Number for Medical Treatment
(3) CHEMICAL DESIGNATIONS....  CAS Registry Number.
                               CG Compatibility Class.
                               DOT ID No.
                               Formula.
                                IMO/UN Designation.
                                NAERG Guide Number.
                               Standard International Trade
                                Classification.
(4) HEALTH HAZARDS...........  Chronic Toxicity.
                               EPS AEGL.
                               IDLH Value.
                               Irritant Characteristics (Liquid, solid,
                                or vapor (gas)).
                               Odor threshold.
                               OSHA PEL-CEILING.
                               OSHA PEL-STEL.
                               OSHA PEL-TWA.
                               PPE.
                               Symptoms Following Exposure.
                               TLC-Ceiling.
                               TLV-STEL.
                               TLV-TWA.
                               Toxicity by ingestion.

[[Page 13750]]

 
                               Toxicity by inhalation.
                               Treatment of exposure.
(5) FIRE HAZARDS.............  Adiabatic Flame Temperature.
                               Behavior in Fire.
                               Burning Rate.
                               Electrical Hazard.
                               Fire Extinguishing Agents.
                               Fire Extinguishing Agents Not to be Used.
                               Flame Temperature.
                               Flammable Limits in Air.
                               Flash Point.
                               Ignition Temperature.
                               Minimum Oxygen Concentration for
                                Combustion (MOCC).
                               Molar Ratio.
                               Special Hazards of Combustion Products.
                               Stoichiometric Air to Fuel Ratio.
(6) CHEMICAL REACTIVITY......  Inhibitor of Polymerization.
                               Neutralizing Agents for Acids and
                                Caustics.
                               Polymerization.
                               Reactivity with Common Materials.
                               Reactivity with Water.
                               Stability During Transport.
(7) WATER POLLUTION..........  Aquatic Toxicity.
                               Biochemical Oxygen Demand (BOD).
                               Food Chain Concentration Potential.
                               GESAMP Hazard Profile.
                               Waterfowl Toxicity.
(8) SHIPPING INFORMATION:....  Barge Hull Type
                               Grades of Purity.
                               IMO Pollution Category.
                               Inert Atmosphere.
                               Ship Type.
                               Storage Temperature.
                               Venting.
(9) HAZARD CLASSIFICATIONS...  49 CFR Category.
                               49 CFR Class.
                               49 CFR Package Group.
                               EPA FWPCA List.
                               EPA Pollution Category.
                               EPA Reportable Quantity.
                               Marine Pollutant.
                               NFPA Hazard Classification.
                               RCRA Waste Number.
(10) PHYSICAL AND CHEMICAL     Boiling Point at 1 atm.
 PROPERTIES.
                               Critical Pressure.
                               Critical Temperature.
                               Freezing Point.
                               Heat of Combustion.
                               Heat of Decomposition.
                               Heat of Fusion of Polymerization.
                               Heat of Solution.
                               Latent Heat of Vaporization.
                               Limiting Value.
                               Liquid Surface Tension.
                               Liquid Water Interfacial Tension.
                               Molecular Weight.
                               Physical State.
                               Ratio of Specific heats of Vapor (Gas).
                               Reid Vapor Pressure Heat.
                               Specific Gravity.
                               Vapor (Gas) Specific Gravity.
------------------------------------------------------------------------

    (k) On board notification checklist and emergency procedures (for 
tank barges only). The checklist and emergency procedures must 
include--
    (1) The telephone number of the National Response Center;
    (2) The name of a QI and one alternate QI and the procedures to 
contact them on a 24-hour basis;
    (3) The name and address of the vessel's owner or operator and the 
procedures for contacting the owner or operator on a 24-hour basis;
    (4) The list of information to be provided in the notification by 
the reporting personnel;
    (5) A statement of responsibilities and actions to be taken by 
reporting personnel after a hazardous substance discharge or 
substantial threat of one;

[[Page 13751]]

    (6) A list of responsibilities of the crew; and (7) A statement 
addressing the crew's safety and personal protective equipment needs.


Sec. 155.3050  What are the operating criteria that apply to response 
resource equipment?

    (a) If you conduct hazardous substance operations with substances 
that have the characteristics of a ``floater'' or ``sinker'', then the 
containment boom and recovery devices listed under Sec. 155.3035(h)(3) 
and (4) must meet the following criteria:
    (1) Table 1 must be used to identify appropriate hazardous 
substance recovery devices in the response plan. These criteria reflect 
conditions used for planning purposes to select mechanical response 
equipment. They are not conditions that would limit response actions or 
affect a vessel's normal operations. Table 1 follows:

   Table 1.--Response Resource Operating Criteria Hazardous Substance
                            Recovery Devices
------------------------------------------------------------------------
                                    Significant wave
          Operating area            height \1\  (in        Sea state
                                         feet)
------------------------------------------------------------------------
Rivers and Canals................       1              1
Inland...........................       3              2
Great Lakes......................       4            2-3
Nearshore, Offshore, Open Ocean..       6            3-4


                                                      Boom
----------------------------------------------------------------------------------------------------------------
                                                                      Use
                             -----------------------------------------------------------------------------------
            Boom                                                                                   Nearshore,
                               Rivers and  canals          Inland              Great Lakes       offshore, open
                                                                                                      ocean
----------------------------------------------------------------------------------------------------------------
Significant Wave Height.....  1........  3........  4........  6
Sea State...................  1...................  2...................  2-3.................  3-4
Boom Height--in (draft plus   6-18................  18-24...............  18-24...............  24
 freeboard).
Reserve Buoyancy to Weight    2:1.................  2:1.................  2:1.................  3:1 to 4:1
 Ratio.
Total Tensile Strength--lbs.  4,500...............  15-20,000...........  15-20,000...........  20,00
                                                                                                 0
Skirt Fabric Tensile          200.................  300.................  300.................  500
 Strength--lbs.
Skirt Fabric Tear Strength--  100.................  100.................  100.................  125
 lbs.
----------------------------------------------------------------------------------------------------------------
\1\ Recovery devices and boom must be at least capable of operating in wave heights up to and including the
  values listed in Table 1 for each operating area.

    (2) When evaluating operability of response equipment you must 
consider limitations identified in the Area Contingency Plans for the 
COTP zones in which your vessel operates, including --
    (i) Ice conditions;
    (ii) Debris;
    (iii) Temperature ranges;
    (iv) Weather-related visibility.
    (b) The COTP may reclassify a specific body of water or location 
within the COTP zone. Any reclassifications will be listed in the Area 
Contingency Plan. Reclassifications may be to--
    (1) A more stringent operating area if the prevailing wave 
conditions exceed the significant wave height criteria during more than 
35 percent of the year; or
    (2) A less stringent operating area if the prevailing wave 
conditions do not exceed the significant wave height criteria for the 
less stringent operating area during more than 35 percent of the year.
    (c) Response equipment must--
    (1) Meet or exceed the criteria listed in table 1 of (a)(1) of this 
section;
    (2) Be capable of functioning in the applicable operating area;
    (3) Be appropriate for the hazardous substance carried; and
    (4) Be periodically inspected and maintained in accordance with 
manufacturer's recommendations and best commercial practices. All 
inspections and maintenance must be documented and these records must 
be maintained for 3 years.


Sec. 155.3055  How must I certify that my response resources providers 
are capable of meeting plan requirements?

    (a) Your plan must include the original written certification of 
the following:
    (1) You have evaluated the risks associated with the worst case 
discharge of a hazardous substance you carry;
    (2) You have contracted or listed, as appropriate, the resources 
that you have determined are necessary to effectively respond to a 
worst case hazardous substance discharge or threat of such discharge, 
and that the response resource providers you listed in your plan have 
acknowledged being listed;
    (3) You have determined that the technical expertise of the 
response providers is adequate to carry out the planned response 
requirements.
    (b) This certification must be signed by the owner or operator of 
the vessel.


Sec. 155.3065  What are the procedures for plan submission and 
receiving approval?

    (a) You must submit your plan to Commandant (G-MOR), U.S. Coast 
Guard Headquarters, 2100 Second Street SW., Washington, DC 20593-0001. 
Your plan must--
    (1) Be complete and in English;
    (2) Be submitted at least 60 days before your vessel intends to 
perform hazardous substance operations;
    (3) Include a statement certifying that your plan meets the 
requirements of this subpart; and
    (4) Include a statement noting the plan covers either manned or 
unmanned vessels.
    (b) If your plan is approved, then the Coast Guard will send you an 
approval letter. Your plan will be valid for up to 5 years from the 
date the plan was submitted.
    (c) If your plan is reviewed and not approved, then you will 
receive written notification of your plan's deficiencies. You must 
submit a revised plan or the corrected portions within the time period 
specified in the Coast Guard's notice.
    (d) If you have received interim operating authorization per 
Sec. 155.3026,

[[Page 13752]]

then the provisions of Sec. 155.3070(c), (d), and (f) apply.


Sec. 155.3066  What are the procedures for submitting a request for 
acceptance of alternative planning criteria?

    If you believe that national planning criteria contained elsewhere 
in this part are not applicable to your vessel for the areas in which 
you wish to operate, then you may request the Coast Guard to accept 
alternative planning criteria. Your request must be made 90 days before 
your vessel operates under the proposed alternative, and must be 
forwarded via the COTP of the geographic area(s) affected.


Sec. 155.3067  How do I submit an appeal if my response plan is not 
approved?

    If you have been notified that your plan is not approved, then you 
have 21 days following notification to submit a written appeal of the 
Coast Guard's decision. Your appeal must be submitted to Commandant (G-
M), U.S. Coast Guard Headquarters, 2100 Second Street SW., Washington, 
DC 20593-0001.


Sec. 155.3070  What are the procedures for plan review, revision, 
resubmission, and appeal?

    (a) You must review your plan--
    (1) Annually within one month of the anniversary date of the Coast 
Guard's approval of your plan; and
    (2) After a drill or hazardous substance discharge to evaluate and 
validate the plan's effectiveness.
    (b) After review of your plan, you must submit any amendments or 
revisions to the Coast Guard for information or approval. A cover page 
that provides a summary of the changes and the pages affected must be 
included with the revisions. The revised pages must be annotated with 
the revision number and effective date of the revision. You must note 
on the record of changes page what changes were made and the date they 
were made. You must also note the completion of the annual review on 
the record of changes page.
    (c) You must submit revisions or amendments to your plan whenever 
any of the following occur:
    (1) A change in the owner or operator if that person is not the one 
who provided the certifying statement required by Sec. 155.3055(a) or 
Sec. 155.3065(a);
    (2) A change in your vessel's operating area that is not covered by 
your plan. Your vessel may operate in this new area once you have 
received confirmation from the Coast Guard that you have submitted a 
new geographic-specific appendix for approval and the certification 
required in Sec. 155.3026(a);
    (3) A significant change in your vessel's configuration that 
affects the information in your response plan;
    (4) A change in the cargo your vessel carries, except when you are 
authorized by the COTP to carry this cargo as a result of assisting in 
a discharge response activity;
    (5) A change in response resources required by Sec. 155.3050;
    (6) A significant change in your vessel's emergency response 
procedures;
    (7) A change in the qualified individual or alternate;
    (8) The addition of a vessel to your plan. You must submit the 
vessel-specific appendix and certification required in 
Sec. 155.3026(a); or
    (9) Any other changes that affect the implementation of the plan.
    (d) At least 30 days in advance of hazardous substance operations, 
you must submit any revisions or amendments identified in paragraph (c) 
of this section. You must submit certification as required by 
Sec. 155.3055(a) or Sec. 155.3065(a) with the revisions or amendments.
    (e) You must resubmit your entire plan to the Coast Guard for 
approval--
    (1) Six months before the end of the current approval period 
identified in Sec. 155.3065(b); and
    (2) When the owner or operator changes, if that owner or operator 
provided the certifying statement required by Sec. 155.3065(a) a new 
certifying statement must be submitted.
    (f) The Coast Guard may require you to revise your response plan if 
it is determined that your plan does not meet the requirements of this 
subpart. The Coast Guard will provide to you written notification of 
any deficiencies and any operating restrictions. Deficiencies must be 
corrected and submitted for acceptance within the specified timeframe 
provided by the Coast Guard or your plan will be declared invalid. If 
you conduct any hazardous substance operations after your plan has been 
declared invalid, then you will be in violation of the Clean Water Act 
(CWA) (33 U.S.C. 1321(j)(5)(E)).
    (g) If you disagree with a deficiency determination, you may submit 
a petition for reconsideration to Commandant (G-M), U. S. Coast Guard 
Headquarters, 2100 Second Street, SW., Washington, DC 20593-0001, 
within the time period required for compliance or within 7 days from 
the date of receipt of the Coast Guard notice of a deficiency 
determination, whichever is less. After considering all relevant 
material presented, the Coast Guard will notify you in writing of the 
final decision.
    (1) Unless you petition for reconsideration of the Coast Guard's 
decision, you must correct the response plan deficiencies within the 
period specified in the Coast Guard's initial determination.
    (2) If you petition the Coast Guard for reconsideration, the 
effective date of the Coast Guard notice of deficiency determination 
may be delayed pending their decision. Petitions to the Coast Guard 
must be submitted in writing, via the Coast Guard official who issued 
the requirement to amend the response plan, within 7 days of receipt of 
the notice.
    (h) You must advise the Coast Guard and all other holders of the 
response plan of any revisions to personnel and telephone numbers and 
provide a copy of these revisions. Amendments to personnel and 
telephone number lists included in the response plan do not require 
prior Coast Guard approval, except as required in paragraph (c) of this 
section.

    Dated: February 16, 1999.
James M. Loy,
Admiral, U.S. Coast Guard Commandant.
[FR Doc. 99-4697 Filed 3-19-99; 8:45 am]
BILLING CODE 4910-14-P