[Federal Register Volume 64, Number 120 (Wednesday, June 23, 1999)]
[Rules and Regulations]
[Pages 33404-33424]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-15985]


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DEPARTMENT OF TRANSPORTATION
DEPARTMENT OF TRANSPORTATION

Coast Guard

33 CFR Part 160

[USCG-1998-4819]
RIN 2115-AF85


Year 2000 (Y2K) Reporting Requirements for Vessels and Marine 
Facilities

AGENCY: Coast Guard, DOT.

ACTION: Temporary interim rule with request for comments.

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SUMMARY: The Coast Guard establishes temporary regulations to require 
owners and operators of certain vessels and marine facilities to report 
Year 2000 (Y2K) preparedness information. These reporting requirements 
are based on vessel and marine facility-specific Y2K questionnaires 
issued by the International Maritime Organization (IMO) as IMO Circular 
Letter 2121. Responses to questionnaires will help Coast Guard Captains 
of the Port (COTPs) assess vessel and marine facility preparedness for 
potential Y2K-related malfunctions of equipment and systems. This 
preparedness information will help COTPs identify potentially

[[Page 33405]]

hazardous situations during peak Y2K risk periods, enabling them to 
take appropriate measures to promote port safety and environmental 
protection.

DATES: This temporary interim rule is effective on July 23, 1999 and 
expires on March 31, 2000. Comments must reach the Docket Management 
Facility on or before August 23, 1999. Comments sent to the Office of 
Management and Budget (OMB) on collection of information must reach OMB 
on or before August 23, 1999.

ADDRESSES: To make sure your comments and related material are not 
entered more than once in the docket, please submit them by only one of 
the following means:

(1) By mail to the Docket Management Facility, [USCG-1998-4819], U.S. 
Department of Transportation, room PL-401, 400 Seventh Street SW., 
Washington, DC 20590-0001.
(2) By hand to room PL-401 on the Plaza level of the Nassif Building, 
400 Seventh Street SW., Washington, DC, between 9 a.m. and 5 p.m., 
Monday through Friday, except Federal holidays. The telephone number is 
202-366-9329.
(3) By fax to Docket Management Facility at 202-493-2251.
    (4) Electronically through the Web Site for the Docket Management 
System at http://dms.dot.gov.
    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 related material, and documents as indicated 
in this preamble, will become part of this docket and will be available 
for inspection or copying at room PL-401 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 can also find this docket 
on the Internet at http://dms.dot.gov.

FOR FURTHER INFORMATION CONTACT: For questions on this temporary 
interim rule, call Mr. John Hannon, Project Manager, Office of 
Compliance, Commandant (G-MOC-2), Coast Guard, telephone 202-267-1464. 
For questions on viewing or submitting material to the docket, call 
Dorothy Walker, Chief, Dockets, Department of Transportation, telephone 
202-366-9329.

SUPPLEMENTARY INFORMATION:

Request for Comments

    The Coast Guard encourages you to participate in this rulemaking by 
submitting comments and related material. If you do so, please include 
your name and address, identify the docket number for this rulemaking 
[USCG-1998-4819], indicate the specific section of this document to 
which each comment applies, and give the reason for each comment. You 
may submit your comments and material by mail, hand, fax, or electronic 
means to the Docket Management Facility at the address under ADDRESSES; 
but please submit your comments and material by only one means. If you 
submit them by mail or hand, submit them in an unbound format, no 
larger than 8\1/2\ by 11 inches, suitable for copying and electronic 
filing. If you submit them by mail and would like to know they were 
received, please enclose a stamped, self-addressed postcard or 
envelope. The Coast Guard encourages you to file any important comments 
as quickly as possible. We will consider all comments and material 
received during the comment period and may change this rule, even prior 
to the effective date, if necessary, in response to the comments.

Discussion of Regulatory Action

    Due to the unique nature of the Year 2000 (Y2K) problem, this rule 
is being published as a temporary interim rule and is being made 
effective on July 23, 1999. It will have considerable positive impact 
on marine safety by establishing a reporting requirement for certain 
vessels and marine facilities on Y2K preparedness. The rule is 
temporary in nature--it runs for a defined period of time and is 
tailored to critical Y2K-related dates. This temporary interim rule is 
both time sensitive and time critical. The first peak risk period 
begins at midnight on September 7, 1999 and ends at midnight September 
9, 1999, and the last peak risk period begins at midnight on February 
27, 2000 and ends at midnight February 29, 2000. It is imperative that, 
on these dates, Captains of the Port (COTPs) have all information 
reasonably available to make informed decisions regarding the safety of 
vessels and marine facilities. To ensure timely data collection and 
analysis, this rule requires most vessel and marine facility 
representatives to submit Y2K preparedness information to the Coast 
Guard by August 1, 1999. In addition, although the last Y2K peak risk 
period ends at midnight on February 29, 2000, this rule is effective 
through March 31, 2000. This extra ``period of vigilance'' provides the 
Coast Guard with needed flexibility to quickly address potential 
emerging Y2K problems. Any delay to this rule could result in a 
significant increase in avoidable risk.
    The Coast Guard has been assessing Y2K-related risks, both 
internally and externally. On December 4, 1998, the Coast Guard 
published a request for comments in the Federal Register [63 FR 67166] 
seeking comments on how best to address the Y2K problem aboard vessels, 
at port facilities, and at marine terminals. In the request for 
comments, the Coast Guard stated that the focus was not on mandating 
new industry requirements. Rather, the goal was to use existing 
authority to address Y2K-related risks. The request for comments was 
summarized in the Marine Safety Newsletter and posted on the Coast 
Guard Internet site. Thirty-nine responses to this request were 
received. In January 1999, a meeting of Coast Guard COTPs was held in 
which they stressed the need for a Y2K risk assessment tool. Based on 
the substance of the comments and the COTPs' need for a risk assessment 
tool, the Coast Guard has decided to issue this rule requiring the 
submission of information needed to use the risk assessment tool.
    Further, the international nature of shipping presents additional 
challenges. At the behest of the U.S. Coast Guard and the United 
Kingdom Maritime and Coastguard Agency, a meeting was held at the 
International Maritime Organization (IMO) Headquarters to consider 
issues relating to the Y2K problem, promote international awareness and 
knowledge sharing, identify and refine preparedness actions, and 
promote contingency planning. On March 5, 1999, IMO issued Circular 
Letter No. 2121 which established, through unanimous agreement, the 
Year 2000 Code of Good Practice and Key Elements of Y2K contingency 
plans for ships, ports, and terminals. IMO Circular Letter No. 2121 is 
available in the docket at the addresses listed under ADDRESSES. Part 
of the Code of Good Practice is an assessment of vessel and facility 
Y2K preparedness. The forms contained in IMO Circular Letter No. 2121, 
which are used to determine the level of Year 2000 preparedness, are 
the questionnaires used in this rule.
    Following the issuance of the IMO Circular, the Coast Guard began 
an effort to develop a risk assessment matrix, and to evaluate the need 
for supplemental information to that provided through the 
questionnaires contained in the Circular. This effort was completed in 
mid-May 1999. Since its issuance, the Circular has received worldwide 
acceptance, underscoring its applicability as the basis for Y2K

[[Page 33406]]

preparedness for the international maritime community. The Coast Guard 
is committed to promoting implementation of the IMO Circular to achieve 
consistency of approach between ships, ports, and facilities, as well 
as a serious focus on contingency planning, in the global marine 
transportation system.
    Based on all available information and comments, the Coast Guard 
has determined that this temporary interim rule is necessary to require 
vessel and marine facility operators to respond to questionnaires 
regarding their level of preparedness for the Y2K problem. The 
responses will provide COTPs with information needed to evaluate the 
level of Y2K-related risk associated with vessel and marine facility 
operations. Based on these evaluations, COTPs can make informed 
decisions as to whether operations by particular vessels or facilities 
present undue risk, and take control actions as appropriate to minimize 
any risks. This course of action only requires the submission of 
information and does not require the regulated entities to alter their 
conduct to conform to a specific government standard. The reporting of 
the information causes no harm and the time requirements to report the 
information are minimal. On the other hand, if COTPs don't have the 
information necessary to evaluate the level of Y2K risk in their ports, 
significant harm to port safety, the environment, and commerce could 
occur. Without this information, the Coast Guard would be unable to 
fully and effectively ensure safety in a Y2K environment.
    For these reasons, the Coast Guard finds good cause, under 5 U.S.C. 
553(b)(B), that notice, and public procedure on the notice, before the 
effective date of this rule is impracticable and contrary to the public 
interest in marine safety. We still encourage public comments on this 
temporary interim rule, and we may amend the rule as necessary to 
respond to comments received during the comment period.

Background and Purpose

    Our society's dependence on automation and computer technology is 
increasing exponentially. The maritime industry incorporates automation 
and computer technology into almost every aspect of its business 
operations. Automation is used for many shipboard systems such as main 
propulsion, boilers, auxiliary systems, power generation, position 
fixing navigation systems, communications, radar, steering systems, 
cargo systems, and bilge/ballast controls. Automation is also used at 
marine facilities on cranes, on shore side equipment, and in loading 
and unloading operations. Despite current regulations for equipment and 
systems testing, the potential technological malfunctions associated 
with the Year 2000 (Y2K) problem could disrupt maritime operations.
    What is the Y2K problem? The Y2K problem stems from the widespread 
computer industry practice of using 2 digits instead of 4 to represent 
the year in databases, software applications, and hardware microchips. 
Certain systems will face difficulty in the year 2000 when that year is 
represented as ``00.'' Unable to differentiate ``00'' from the year 
1900, computer programs and systems aboard ships and at port facilities 
could malfunction or completely shut down.
    How might the Y2K problem affect the maritime industry? Computer 
programs for engine automation systems that send critical operating 
signals are good examples of the Y2K problem. If these programs misread 
``00'' as the year 1900 instead of 2000, they may misinterpret that 100 
years have passed and respond with an inappropriate action or a series 
of inappropriate actions, creating a domino effect, that could shut 
down systems. Temporary loss of main engine operation or steering at 
sea on a calm day with no other ships in sight may only prove 
inconvenient. However, the unexpected loss of a ship's propulsion in a 
narrow or crowded waterway could result in a serious casualty.
    Marine facilities are also at risk from Y2K-related problems. 
Systems that use time as a function of measurement such as fire 
detection systems, cargo tracking software, process flow controls (oil, 
gas, and chemical), temperature controls and alarms are most 
vulnerable. For example, system sensors could cause an automatic 
shutdown response that could in turn trigger some other fail-safe 
response. In such a case, a release of hazardous materials could occur 
when overpressure safeguards react to the sudden closure of a valve 
against the flow of gas or liquid.
    The risk period for Y2K-related equipment and system failures and 
malfunctions is not limited to January 1, 2000. Similar problems are 
associated with the dates September 9, 1999 and February 29, 2000.
    Why are September 9, 1999 and February 29, 2000 dates of concern? 
September 9, 1999 is a date of concern because of the common 
programming practice of using 9999 or simply 99 to mark the end of a 
file or a record that should be archived or purged. Both sets of digits 
could also legitimately represent September 9, 1999, or the year 1999. 
For instance, a maritime application might prompt someone to enter 99 
as a year if they want to delete the corresponding file. Software 
programs may need revisions to facilitate deletion requests 
differently.
    February 29, 2000 is a date of concern because of how leap years 
are determined. Our calendars reflect leap years occurring every four 
years; however, leap years do not adhere to a strict four-year cycle. 
As a result, century years generally are not leap years (i.e. year 1800 
or 1900). However, exceptions apply to century years evenly divisible 
by 400, such as February 29, 2000. Problems could occur in computers 
not properly programmed to accept this date. If a microprocessor reads 
00 as the year 1900, it will fail to accept the 29th of February 
because 1900, unlike 2000, was not a leap year. Leap years have already 
presented a problem. In 1996, the presence of a leap year created a 
complete loss of process control computers at a large aluminum smelter 
in New Zealand because the programs failed to accept the 366th day 
(``Ship 2000''; Lloyd's Register Articles; March 5, 1999).
    What existing regulations and authorities address the Y2K problem? 
Existing Coast Guard regulations include requirements for commercial 
vessel operators to conduct periodic equipment and systems tests, as 
well as inspections of safety, navigation and pollution prevention 
equipment and systems. For example, Title 33 of the Code of Federal 
Regulations (CFR) part 164 requires certain vessels to conduct arrival 
and departure tests to ensure the proper operation of vital navigation 
equipment and systems. In addition, 33 CFR part 156.170(c)(5) requires 
similar testing for facilities to ensure all systems and equipment 
properly perform their intended functions. Such tests help detect 
malfunctions or failures of equipment and systems regardless of the 
cause; however, the general consensus is that these tests are 
ineffective at detecting Y2K-related problems.
    Other existing regulations give the Coast Guard broad authority to 
control operations in the event of hazardous situations. For example, 
33 CFR part 160, subpart B allows District Commanders and COTPs to 
control vessel and waterfront facility operations to ensure safety and 
environmental protection. Under this authority, COTPs can restrict or 
control vessels and waterfront facilities experiencing equipment or 
system malfunctions or failures posing safety or environmental hazards.

[[Page 33407]]

    Did the Coast Guard consider input from the public when developing 
its Y2K policy and this temporary interim rule? Yes. The Coast Guard 
published a request for comments in the Federal Register on December 4, 
1998 entitled ``Vessel and Port Control Measures to Address Year 2000 
(Y2K)-related Problems'' [63 FR 67166]. The request for comments 
focused on possible actions and control measures the Coast Guard might 
take to minimize the occurrence and effect of potential Y2K-related 
equipment and system malfunctions aboard vessels and marine facilities. 
Measures discussed included rigorous equipment and systems testing on 
vessels and at facilities, Y2K assessments and certifications, and 
closing or restricting access to U.S. ports.
    Summary of Comments. Thirty-nine comment letters were submitted to 
the docket in response to the request. Most of the respondents 
indicated that they have implemented or are implementing some type of 
project or plan to identify and correct Y2K-related problems in 
critical systems and various equipment and machinery.
    Most of the respondents stated that existing regulations do not 
directly address Y2K issues. However, some stated that existing 
regulations broadly cover those systems and machinery potentially 
affected by Y2K, indicating that no additional regulations are 
necessary. Others stated that existing regulations are ineffective for 
Y2K because it is difficult to predict the effects of any potential 
Y2K-related problems. We agree that the Y2K problem is unique and that 
existing safety and testing requirements may not uncover a Y2K-related 
problem.
    Most of the respondents indicated that they would prefer that the 
Coast Guard issue Y2K guidance instead of regulations. The guidance 
should be a national standard that is supplemented by limited local 
COTP or District Commander authority. Respondents stated that a 
national standard would minimize confusion for shipping companies that 
operate in multiple ports. We agree that it is important to have 
consistent standards. The Coast Guard does not intend to issue new 
regulations to control vessel movement or facility operations. This 
temporary interim rule establishes standard Y2K preparedness reporting 
requirements so COTPs can employ a consistent risk assessment 
methodology. In addition, we will soon publish Navigation and Vessel 
Inspection Circular (NVIC) 6-99. NVIC 6-99 sets forth a consistent, 
nationwide policy that industry and COTPs can use to help assess and 
reduce Y2K-related risks. The NVIC will be available on the Internet at 
http://www.uscg.mil/hq/g-m/nvic/.
    Most respondents indicated that manufacturers' ``Y2K 
certifications'' of products and systems are not an acceptable 
alternative to assessment, testing, and contingency planning. In 
addition, many respondents indicated that a third party, such as a 
classification society, would be a reliable Y2K ``certifying entity''; 
however, no known reliable classification society will make a Y2K 
certification.
    Respondents suggested that the Coast Guard coordinate with a 
variety of entities to address local Y2K issues and preparedness, 
including: port authorities; local disaster planning agencies; vessel 
and terminal operators; harbor communities; harbor safety committees; 
classification societies; industry associations; and members of the 
public. We agree. Captains of the Port are actively working with local 
port communities to address the Y2K problem.
    Most respondents indicated that some port control measures might be 
appropriate with prior notice. However, most respondents stated that 
those vessels, facilities, and companies that demonstrate adequate Y2K 
preparedness should receive exemptions from port control measures. In 
addition, most respondents stated that a blanket suspension of all port 
operations is not an acceptable preventative measure for potential Y2K-
related problems because it would be extremely costly.
    We generally agree with these comments. Rather than implementing 
blanket control measures, the Coast Guard will use a risk assessment-
based strategy to promote port safety. The Coast Guard has developed a 
standardized ``Y2K Risk Assessment Matrix'' that COTPs will use, in 
tandem with the information collected through questionnaires, as a tool 
to help assess vessel and marine facility preparedness for Y2K 
problems. The risk assessment matrix, however, is not meant to be a 
binding mechanism from which the COTP cannot deviate. It is simply one 
tool that is designed to assist the COTP in making decisions regarding 
maritime safety and the marine environment. The matrix assesses several 
elements, including environmental factors, potential consequences of 
accidents, and questionnaire responses. A vessel or marine facility 
that demonstrates some level of Y2K preparedness should receive a 
better overall risk factor score than a vessel or facility that is not 
prepared for Y2K. However, preparedness is only one element of the risk 
assessment. It is not inconceivable that a vessel or facility that 
takes no Y2K preparedness actions might still be allowed to operate 
during peak Y2K risk periods because its operations pose little risk 
(favorable weather, current and tide conditions; low vessel traffic 
density; non-hazardous cargo; etc.). Of course, we strongly encourage 
all vessel and marine facility owners and operators to prepare for the 
Y2K problem.
    Finally, some comments urged the Coast Guard to make industry Y2K 
preparedness information available to the public. Respondents were 
concerned that, without a central repository for Y2K preparedness 
information, companies may have to submit multiple Y2K preparedness 
reports to flag state administrations, local and State government 
agencies, and other companies. We agree that a central repository for 
Y2K preparedness information may be a useful tool. We understand that 
some commercial Internet sites may offer a similar service in the near 
future; we will provide links to these commercial sites from our Y2K 
Internet site (http://www.uscg.mil/hq/g-m/y2k.htm).
    Why is this temporary interim rule necessary? The Discussion of 
Regulatory Action section of this document discusses in detail why the 
Coast Guard is issuing these temporary regulations. Responses to 
questionnaires will help COTPs assess vessel and marine facility 
preparedness for potential Y2K-related malfunctions of equipment and 
systems. This preparedness information will help COTPs identify 
potentially hazardous situations during peak Y2K risk periods so they 
can take appropriate measures to promote safety and environmental 
protection.
    How will the Coast Guard collect Y2K preparedness information? We 
will use two separate questionnaires to collect Y2K preparedness 
information.
     The Vessel Questionnaire includes IMO Year 2000 
questionnaire 2 and United States (U.S.) Supplement 1.
     The Marine Facility Questionnaire includes IMO Year 2000 
questionnaire 3 and U.S. Supplement 2.
    The questionnaires are based on the questionnaires found in the 
IMO's Year 2000 Code of Good Practice. They have U.S.-specific 
instructions and include U.S. supplements. More information on these 
questionnaires, including applicability and submission requirements, 
can be found in the Discussion of Interim Rule section of this 
document.
    How will COTPs assess Y2K-related risks for vessels and marine 
facilities? With information collected from the

[[Page 33408]]

Vessel and Marine Facility Questionnaires, COTPs will use the ``Y2K 
Risk Assessment Matrix'' as a tool to help them assess potential Y2K 
risks associated with vessel and marine facility operations during peak 
risk periods. The risk assessment matrix, however, is not meant to be a 
binding mechanism from which the COTP cannot deviate. It is simply one 
tool that is designed to assist the COTP in making decisions regarding 
maritime safety and the marine environment. The risk assessment matrix 
is part of NVIC 6-99. NVIC 6-99 will be available in the docket at the 
addresses under ADDRESSES and on the Internet at http://www.uscg.mil/
hq/g-m/nvic/.
    COTPs will focus their risk assessments on three peak risk periods:
     Between midnight September 7, 1999 and midnight September 
9, 1999 (48 hours);
     Between midnight December 30, 1999 and midnight January 1, 
2000 (48 hours); and
     Between midnight February 27, 2000 and midnight February 
29, 2000 (48 hours).
    The risk assessment matrix has two sections, one for vessel 
movement and one for cargo transfer operations.
     Vessel Movement. The vessel movement section identifies 
vessel and cargo risk factors (inspection status, cargo, vessel 
history, etc.) and balances these factors with local environmental 
factors (time of day, weather, etc.) and the potential consequences of 
accidents (health and safety, environmental, etc.). The matrix 
considers these risk factors along with mitigating factor information 
obtained from the questionnaires (equipment testing, contingency 
planning, etc.) to calculate an overall risk factor.
     Cargo Transfer. The cargo transfer section considers cargo 
risk factors, facility history, and risk mitigating factor information 
obtained from questionnaires to calculate an overall risk factor.
    The Y2K Risk Assessment Matrix is a tool designed to analyze 
information from a variety of sources. The questionnaires required by 
this temporary interim rule are only one component of the risk 
assessment process. It is conceivable, if unlikely, that a vessel or 
facility representative could reply ``no'' to every question on the 
applicable questionnaire (indicating that no Y2K preparedness actions 
have been taken) and the COTP, after conducting a risk assessment and 
classifying the vessel or facility as low risk, could allow the vessel 
or facility to operate without restriction during one or more peak risk 
periods. A vessel or facility not prepared for Y2K could be classified 
as low risk based on a number of factors such as location, weather 
conditions, tide and current, type of cargo, vessel traffic density, 
etc. However, in most cases, a vessel or marine facility that 
demonstrates some level of Y2K preparedness should receive a better 
overall risk factor score than a vessel or marine facility that is not 
prepared for Y2K.
    While the Coast Guard's Y2K risk assessment efforts will focus on 
the specific dates of concern, it is possible that date-sensitive or 
Y2K-related casualties could occur on dates other than the peak risk 
periods. Such incidents should be reported to the applicable COTP under 
existing casualty reporting requirements.
    We encourage vessel and marine facility owners and operators to 
obtain copies NVIC 6-99 so they can use the risk assessment matrix to 
conduct Y2K preparedness self-assessments.
    Why does the Coast Guard need to collect information before and 
after the peak risk periods? Although the first peak risk period begins 
at midnight on September 7, 1999, this rule requires most vessel and 
facility representatives to report Y2K preparedness information by 
August 1, 1999. There are over 42,000 vessels and 7,000 marine 
facilities affected by this rule; most of the affected vessels are 
U.S.-flag vessels. We believe most U.S.-flag vessels and marine 
facilities will operate during at least one of the Y2K peak risk 
periods. Given the large number of questionnaire respondents, we will 
need time to input questionnaire responses into our database, and COTPs 
will need time to conduct risk assessments, follow-up with vessel and 
facility representatives, as necessary, and implement appropriate 
control measures to promote safety and environmental protection. Based 
on feedback from COTPs, vessel and marine facility owners and operators 
may use the time after August 1, 1999 to take additional Y2K 
preparedness actions. Owners and operators who do take additional 
preparedness actions will be able to update their original 
questionnaire submissions.
    The major exception to the August 1, 1999 questionnaire submission 
deadline is foreign vessels. Vessel Questionnaires for foreign vessels 
operating in U.S. waters from August 1, 1999, through March 31, 2000 
are not due until at least 24 hours prior to a vessel's first arrival 
in U.S. waters after August 1, 1999. We do, however, encourage vessel 
representatives to submit the required information to the Coast Guard 
as soon as possible after July 1, 1999. We are interested in Y2K 
preparedness information only for those foreign flag vessels operating 
in U.S. waters between August 1, 1999 and March 31, 2000.
    Although the last peak risk period ends at midnight on February 29, 
2000, this rule is effective through March 31, 2000. We believe it is 
very important to provide an extra ``period of vigilance'' because of 
the remaining uncertainty about the Y2K problem. It is possible that 
some Y2K-related problems may be dormant for a period of time before 
they are discovered. It is also possible that new Y2K-related dates of 
concern may be identified. Having an effective rule in place gives us 
the needed flexibility to quickly address emerging Y2K issues.

Discussion of Interim Rule

    This rulemaking will prescribe temporary Y2K preparedness reporting 
requirements by adding a temporary new subpart D to 33 CFR part 160--
Year 2000 (Y2K) Preparedness Reporting for Certain Vessels and Marine 
Facilities. The new subpart D contains--
     applicability for certain vessels and marine facilities;
     new definitions for various terms used throughout the 
subpart; and
     instructions for submitting the appropriate Y2K 
preparedness information.
    These temporary reporting requirements will help COTPs assess 
potential Y2K risks associated with vessel movement and cargo transfer 
during the peak risk periods.
    Applicability and exemptions. The Y2K reporting requirements will 
apply to:
     Vessels owned in the U.S and foreign flag vessels 
operating on waters subject to the jurisdiction of the U.S., bound for 
a U.S. port or place of destination between August 1, 1999 and March 
31, 2000;
     Vessels owned in the United States and foreign flag 
vessels engaged in lightering operations under part 156 of this title 
on the navigable waters of the United States or in the marine 
environment;
     Vessels inspected under Chapter 33 of Title 46 United 
States Code; and
     Marine facilities.
    Recreational vessels, public vessels, uninspected commercial 
fishing vessels, uninspected barges, foreign flag vessels engaged in 
innocent passage, and facilities directly operated by the Department of 
Defense or under the authority of the Department of the Interior are 
exempt from this rule.
    Definitions. Subpart D contains several definitions that are 
related to Y2K and these temporary reporting requirements. Some 
definitions are self-

[[Page 33409]]

explanatory and are used in other Coast Guard regulations. The 
following is a discussion of a few key definitions developed 
specifically for the Y2K preparedness reporting requirements.
    The term facility representative is defined to clarify who may 
complete and submit a Facility Questionnaire on behalf of a marine 
facility. A facility representative could be the facility owner, 
operator, person in charge, or other employee of a marine facility who 
is responsible for the facility's Y2K preparedness.
    The term midnight is defined to clarify when the peak risk periods 
begin and end. As used in this rule, midnight means the last moment or 
end of a calendar day, i.e., 2400 hours local time on a 24-hour clock.
    The term operating is defined to clarify what vessels and marine 
facilities must comply with the Y2K preparedness reporting requirements 
of this rule. Operating vessels include vessels underway, conducting 
cargo loading/transfer operations, or carrying passengers. Operating 
marine facilities include facilities conducting cargo loading/transfer 
operations with vessels. Vessels and marine facilities not operating 
between August 1, 1999 and March 31, 2000 do not need to meet the Y2K 
preparedness reporting requirements of this rule.
    The term vessel representative is defined to clarify who may 
complete and submit a Vessel Questionnaire on behalf of a vessel or 
fleet of vessels. A vessel representative could be the vessel owner, 
agent, master, operator, person in charge, or other person who is 
responsible for a vessel's or fleet's Y2K preparedness.
    Vessel and Marine Facility Questionnaires. As previously discussed, 
we have developed a Vessel Questionnaire and a Marine Facility 
Questionnaire to collect information concerning Y2K preparedness. 
Copies of the questionnaires will be available from Coast Guard Marine 
Safety Offices or on the Internet at http://www.uscg.mil/hq/g-m/
y2k.htm. You can submit questionnaires via mail, fax or an Internet-
based form. We recommend that you submit questionnaires via the 
Internet if possible. Questionnaires submitted on the Internet will be 
password protected so only you and the Coast Guard can access your 
vessel's or facility's information. If the status of your Y2K 
preparedness changes or your operational plans change, you will be able 
to enter your password and access your original submission, making 
updates relatively easy.
    Vessel Questionnaire. The Vessel Questionnaire consists of four 
pages.
     Page 1 includes instructions for completing the Vessel 
Questionnaire. The instructions provide very specific and detailed 
information on how to use the questionnaire, where to send it, when and 
how to update information, etc.
     Page 2 is the IMO Year 2000 Questionnaire 2. This 
questionnaire is designed to collect specific Y2K preparedness 
information for a vessel or fleet of vessels. (Under IMO Circular 2121, 
marine facilities may request this information from visiting vessels.)
     Page 3 is the U.S. Supplement 1. The Coast Guard developed 
U.S. Supplement 1 to collect vessel specific information such as vessel 
type and cargo. U.S. Supplement 1 also helps identify which Captain of 
the Port zone(s) a vessel may be operating in between August 1, 1999 
and March 31, 2000, as well as which zone(s) the vessel may be 
operating in during the peak risk periods. It also asks one additional 
risk assessment-related question concerning Y2K contingency planning.
     Page 4 is a list of Marine Safety Offices/Captains of the 
Port. It provides contact addresses and fax numbers.
    Marine Facility Questionnaire. The Marine Facility Questionnaire 
consists of four pages.
     Page 1 includes instructions for completing the Marine 
Facility questionnaire. The instructions provide very specific and 
detailed information on how to use the questionnaire, where to send it, 
when and how to update information, etc.
     Page 2 is the IMO Year 2000 Questionnaire 3. It is 
designed to collect specific Y2K preparedness information for marine 
facilities. (Under IMO Circular 2121, visiting vessels may request this 
information from marine facilities.)
     Page 3 is the U.S. Supplement 2. The Coast Guard developed 
U.S. Supplement 2 to collect facility-specific information such as name 
and type of facility. It also asks one additional risk assessment-
related question concerning Y2K remedial actions.
     Page 4 is a list of Marine Safety Offices/Captains of the 
Port. It provides contact addresses and fax numbers.
    Y2K reporting requirements for vessels owned in the United States. 
If you are the vessel representative of a vessel owned in the U.S. that 
will operate during any of the peak risk periods, you must submit a 
Vessel Questionnaire so it is received by the Coast Guard no later than 
August 1, 1999.
    If you are the vessel representative of a vessel owned in the U.S. 
that will not operate during any of the peak risk periods, but will 
operate during the period August 1, 1999, through March 31, 2000, you 
must submit a U.S. Supplement 1 (page 3 of the Vessel Questionnaire) so 
it is received by the Coast Guard no later than August 1, 1999. You do 
not need to submit an IMO Year 2000 Questionnaire 2 (page 2 of the 
Vessel Questionnaire).
    You may submit one copy of the IMO Year 2000 Questionnaire 2 on 
behalf of an entire fleet of vessels if the same Y2K preparedness 
information applies to all vessels within the fleet. However, you must 
submit a U.S. Supplement 1 (page 3 of the Vessel Questionnaire) for 
each vessel in the fleet. If any vessel(s) in your fleet has a 
different level of Y2K preparedness, you must submit a separate Vessel 
Questionnaire for that vessel(s).
    If the Y2K preparedness status of your vessel(s) changes, or your 
operational plans change, you must submit a new or updated Vessel 
Questionnaire or updated U.S. Supplement 1 as soon as possible. If you 
submit updated information during any of the peak risk periods, you 
must instead submit it to the applicable COTP. This process will ensure 
that the COTP has the most up-to-date information available for your 
vessel(s).
    The Coast Guard is currently putting the final touches on its Y2K 
questionnaire data processing system and should have the system up and 
running by July 1, 1999. Please do not submit Vessel Questionnaires or 
U.S. Supplement 1's to the Coast Guard prior to July 1, 1999.
    Y2K reporting requirements for foreign flag vessels. If you are a 
representative of a foreign flag vessel that will operate on waters 
subject to the jurisdiction of the U.S. during any of the peak risk 
periods, you must submit a Vessel Questionnaire so it is received by 
the Coast Guard no later than 24 hours prior to the vessel's first 
arrival in a U.S. port or place of destination on or after August 1, 
1999.
    If you are a representative of a foreign flag vessel that will not 
operate on waters subject to the jurisdiction of the U.S. during any of 
the peak risk periods, but will operate on these waters during the 
period August 1, 1999, through March 31, 2000, you must submit a U.S. 
Supplement 1 (page 3 of the Vessel Questionnaire) so it is received by 
the Coast Guard no later than 24 hours prior to the vessel's first 
arrival in a U.S. port or place of destination on or after August 1, 
1999. You do not need to

[[Page 33410]]

submit an IMO Year 2000 Questionnaire 2 (page 2 of the Vessel 
Questionnaire).
    You may submit one copy of the IMO Year 2000 Questionnaire 2 on 
behalf of an entire fleet of vessels if the same Y2K preparedness 
information applies to all vessels within the fleet. However, you must 
submit a U.S. Supplement 1 (page 3 of the Vessel Questionnaire) for 
each vessel in the fleet. If any vessel(s) in your fleet has a 
different level of Y2K preparedness, you must submit a separate Vessel 
Questionnaire for that vessel(s).
    If the Y2K preparedness status of your vessel(s) changes, or your 
operational plans change, you must submit a new or updated Vessel 
Questionnaire or updated U.S. Supplement 1 as soon as possible. If you 
submit updated information during any of the peak risk periods, you 
must instead submit it to the applicable COTP. This process will ensure 
that the COTP has the most up-to-date information available for your 
vessel(s).
    Though these regulations require submission of information at least 
24 hours prior to your vessel's arrival in the U.S., you are encouraged 
to submit information as soon as practicable in case corrective actions 
become necessary. You do not need to provide Y2K preparedness 
information for a vessel that will not operate in U.S. waters between 
August 1, 1999 and March 31, 2000.
    The Coast Guard is currently putting the final touches on its Y2K 
questionnaire data processing system and should have the system up and 
running by July 1, 1999. Please do not submit Vessel Questionnaires or 
U.S. Supplement 1's to the Coast Guard prior to July 1, 1999.
    Y2K reporting requirements for marine facilities. If you are a 
representative of a marine facility that will operate during any of the 
peak risk periods, you must submit a Marine Facility Questionnaire so 
that it is received by the Coast Guard no later than August 1, 1999.
    If you are a representative of a marine facility that will not 
operate during any of the peak risk periods, but will operate during 
the period August 1, 1999, through March 31, 2000, you must submit a 
U.S. Supplement 2 (page 3 of the Marine Facility Questionnaire) so that 
it is received by the Coast Guard no later than August 1, 1999. You do 
not need to submit an IMO Year 2000 Questionnaire 3 (page 2 of the 
Marine Facility Questionnaire).
    If your facility's Y2K preparedness or operational plans change, 
you must submit a new or updated Marine Facility Questionnaire or 
updated U.S. Supplement 2 as soon possible. If your facility's Y2K 
status or operational plans change during any of the peak risk periods, 
you must instead submit the updated information to the applicable COTP. 
This process will ensure that the COTP has the most up-to-date 
information available for your facility.
    The Coast Guard is currently putting the final touches on its Y2K 
questionnaire data processing system and should have the system up and 
running by July 1, 1999. Please do not submit Marine Facility 
Questionnaires or U.S. Supplement 2's to the Coast Guard prior to July 
1, 1999.

Regulatory Evaluation

    This temporary interim rule is not a significant regulatory action 
under section 3(f) of Executive Order 12866 and does not require an 
assessment of potential costs and benefits under section 6(a)(3) of 
that Order. It has not been reviewed by the Office of Management and 
Budget under that Order. It is not significant under the regulatory 
policies and procedures of the Department of Transportation (DOT)(44 FR 
11040; February 26, l979).
    We expect the economic impact of this temporary interim rule to be 
so minimal that a full Regulatory Evaluation under paragraph 10e of the 
regulatory policies and procedures of DOT is unnecessary.

Costs

    The costs of the rule are the labor costs and Internet, fax, and 
mail costs required by industry to complete and submit the 
questionnaires, plus costs to the government. The total cost of the 
rule to industry and government is $385,262 ($282,262 industry costs 
plus $103,000 government costs).

Benefits

    This rule will provide Coast Guard COTPs with critical Y2K 
preparedness information on vessels and marine facilities. COTPs will 
use this information to identify potentially high risk operations 
during peak risk periods so appropriate measures can be taken to 
promote safety and environmental protection.

Small Entities

    Since we did not publish a notice of proposed rulemaking, this 
action is not covered by the Regulatory Flexibility Act (5 U.S.C. 601-
612). However, we have considered whether this temporary interim rule 
would have a significant economic impact on a substantial number of 
small entities. The term ``small entities'' comprises small businesses, 
not-for-profit organizations that are independently owned and operated 
and are not dominant in their fields, and governmental jurisdictions 
with populations of less than 50,000.
    Small entities that own or operate marine facilities, certain U.S. 
vessels, or foreign flag vessels that operate on U.S. waters from 
August 1, 1999, through March 31, 2000 are affected by this rule. Small 
entities that own or operate uninspected commercial fishing vessels, 
uninspected passenger vessels, uninspected barges, recreational 
vessels, and public vessels are exempted from this rule.
    The Marine Facility Questionnaire will take each marine facility 
representative, on average, 8 minutes to complete and submit. At an 
average unit labor cost of $45 per hour, we estimate the average labor 
cost to complete and submit the Marine Facility Questionnaire is $5.85 
per facility. Each facility representative can submit the completed 
questionnaire either by Internet, fax, or mail. Delivery costs range 
from $0 (Internet) to $1.30 (fax). Thus, the total cost to a marine 
facility, on average, is expected to range from $5.85 to $7.15.
    It is expected to take a vessel representative, on average, 13 
minutes to complete a Vessel Questionnaire (includes 8 minutes to 
complete IMO Year 2000 Questionnaire 2 and 5 minutes to complete U.S. 
Supplement 1). The total cost for a single vessel, on average, is 
expected to range from $9.45 to $10.75 (depending on delivery costs). 
For each additional vessel in a fleet, total labor cost increases by 
$3.60 per vessel, and total delivery cost increases by $0 to $0.65, 
depending upon method of delivery.
    The smaller a company's fleet, the smaller the hour burden and 
labor cost to complete and submit the Vessel Questionnaire. Because 
fleet size is a reasonable measure of entity size, we expect small 
entities to have relatively small fleets. According to the Coast 
Guard's database, a U.S. vessel company, on average, has 4 vessels. 
Thus, the total hour burden and total cost of this rule to an entity 
with an average fleet is 0.47 hours and from $21.15 to $24.58, 
respectively. We expect the hour burden and cost of this rule to small 
entities to be less than this average.
    Therefore, the Coast Guard certifies under 5 U.S.C. 605(b) that 
this temporary interim rule would not have a significant economic 
impact on a substantial number of small entities.

Assistance for Small Entities

    Under section 213(a) of the Small Business Regulatory Enforcement

[[Page 33411]]

Fairness Act of 1996 (Pub. L. 104-121), we want to assist small 
entities in understanding this temporary interim rule so that they can 
better evaluate its effects on them and participate in the rulemaking. 
If the rule will affect your small business, organization, or 
governmental jurisdiction and you have questions concerning its 
provisions or options for compliance, please call Mr. John Hannon at 
(202) 267-1464.
    Small businesses may send comments on the actions of Federal 
employees who enforce, or otherwise determine compliance with, Federal 
regulations to the Small Business and Agriculture Regulatory 
Enforcement Ombudsman and the Regional Small Business Regulatory 
Fairness Boards. The Ombudsman evaluates these actions annually and 
rates each agency's responsiveness to small business. If you wish to 
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR 
(1-888-734-3247).

Collection of Information

    This temporary interim rule calls for a collection of information 
under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). As 
defined in 5 CFR 1320.3(c), ``collection of information'' comprises 
reporting, recordkeeping, monitoring, posting, labeling, and other, 
similar actions. The title and description of the information 
collections, a description of those who must collect the information, 
and an estimate of the total annual burden follow. The estimate covers 
the time for reviewing instructions, searching existing sources of 
data, gathering and maintaining the data needed, and completing and 
reviewing the collection.
    Title: Year 2000 (Y2K) Reporting Requirements for Vessels and 
Marine Facilities
    Summary of the Collection of Information: Approximately 7,821 
marine facilities, 42,819 vessels (and 22,151 vessel owners/operators) 
are affected by this temporary interim rule. We expect 50,640 U.S. 
Supplements and 19,327 IMO Year 2000 Questionnaires will be submitted 
by vessel and marine facility representatives. The total hour burden of 
this rule to respondents is 5,939 hours. The total labor cost of this 
rule to respondents is estimated to be $267,255. The total delivery/
submission cost is estimated to be $15,007. Thus, the total cost to 
respondents is estimated to be $282,262.
    Need for Information: At present, there are no regulations that 
require either vessels or marine facilities to disclose their Y2K 
preparedness. The Y2K preparedness information required by this rule 
will help COTPs assess vessel and marine facility preparedness for 
potential Y2K-related malfunctions of equipment and systems. This 
preparedness information will help COTPs identify potentially hazardous 
situations during peak Y2K risk periods, enabling them to take 
appropriate measures to promote port safety and environmental 
protection.
    Proposed Use of Information: To help COTPs conduct Y2K risk 
assessments for their ports. Risk assessments will identify potentially 
hazardous situations during peak risk periods so appropriate measures 
can be taken to help ensure port safety and environmental protection.
    Description of the Respondents: Marine facilities and vessels that 
arrive in, operate in, and reside in U.S. ports from August 1, 1999, 
through March 31, 2000.
    Number of Respondents: 7,821 marine facilities and 42,819 vessels 
(22,151 owners/operators)
    Frequency of Response: One questionnaire per marine facility and 
one questionnaire per vessel (or owner/operator), or as needed.
    Burden of Response: According to the Coast Guard's MSMS database, 
there are 7,821 marine facilities and 42,819 certain U.S. and foreign 
vessels that arrive in, operate in, and reside at U.S. ports during an 
eight-month time frame.
    A Marine Facility Questionnaire (includes an IMO Year 2000 
Questionnaire 3 and U.S. Supplement 2) must be submitted for each 
marine facility by August 1, 1999. The Coast Guard estimates it will 
take a facility representative, on average, 8 minutes (0.13 hours) to 
complete and submit the Marine Facility Questionnaire. The total hour 
burden to marine facilities is 1,017 hours. At an average unit labor 
cost of $45 per hour, the total labor cost of this rule to marine 
facilities is $45,765.
    A marine facility representative can submit the required 
information by Internet, fax, or mail. The Coast Guard estimates the 
average delivery cost to be $0 if sent by Internet, $1.30 if sent by 
fax, and $0.33 by U.S. mail. Most marine facilities are connected to 
the Internet, so the Coast Guard expects 75% of facility 
representatives to submit the required information by Internet, 20% by 
fax, and the remaining 5% by mail. The total delivery cost to marine 
facilities is estimated to be $2,162. Thus, the total cost of this 
information collection to marine facilities is expected to be $47,927.
    According to the Coast Guard's MSMS database, 37,171 U.S. vessels 
and 8,682 U.S. vessel owning or operating companies are affected by 
this rule. A U.S. vessel owning or operating company owns, on average, 
4 vessels.
    Each U.S. company will be required to complete U.S. Supplement 1 
(part of the Vessel Questionnaire) for every vessel in its fleet that 
arrives in, operates in, or resides in U.S. ports from August 1, 1999, 
through March 31, 2000. We expect that 37,171 U.S. Supplement 1's will 
be submitted for U.S. vessels. Each company that has a vessel arriving 
in, operating in, or residing at U.S. waters during any of the three 
peak risk periods must submit IMO Year 2000 Questionnaire 2. We expect 
all U.S. vessels will operate in U.S. waters during at least one of the 
peak risk periods; therefore, we expect that 8,682 Questionnaire 2's 
will be submitted for U.S. vessels. The Coast Guard estimates it will 
take, on average, 5 minutes (0.08 hours) to complete and submit U.S. 
Supplement 1 for every vessel and, on average, 8 minutes (0.13 hours) 
to complete and submit IMO Year 2000 Questionnaire 2. Thus, the total 
hour burden to U.S. vessel companies is 4,103 hours (2,974 + 1,129). 
With an average unit labor cost of $45 per hour, we expect the total 
labor cost to owners/operators of U.S. vessels is $184,635.
    The Coast Guard estimates the average delivery cost for the 
required vessel information is $0 for Internet submission, $0.65 per 
page by fax, or $0.53 for 5 pages by U.S. mail. Furthermore, the Coast 
Guard estimates that a third of the vessel representatives will deliver 
the required information by Internet, a third by fax, and the remaining 
third by mail. U.S. vessel representatives will submit a total of 
45,853 submissions (37,171 U.S. Supplement 1's and 8,682 IMO Year 2000 
Questionnaire 2's). Thus, the total delivery cost for Internet 
submission is $0; to fax is $9,934, and to mail is $1,534. The total 
delivery cost to owners/agents of U.S. vessels is $11,468.
    The total cost of this rule to U.S. vessels is $196,103.
    According to the Coast Guard's MSMS database, 8,475 foreign vessels 
arrived in U.S. ports in 1998. Given that number, we assume an average 
of 706 foreign flag vessels per month are affected by this rule. Thus, 
we expect 5,648 foreign vessels to arrive in U.S. ports from August 1, 
1999, through March 31, 2000. Thus, we expect that 5,648 U.S. 
Supplement 1's will be submitted by foreign flag vessel 
representatives. (5,509 Supplement 1's will be submitted to Coast Guard 
Headquarters and 139 Supplement 1's will be submitted to Captains of 
the Port).

[[Page 33412]]

    The Coast Guard estimates that 50% of the 5,648 foreign flag 
vessels will operate in U.S. waters during the peak Y2K risk periods. 
Thus, we expect that a total of 2,824 IMO Year 2000 Questionnaire 2's 
will be submitted by foreign flag vessel representatives. (69 will be 
submitted to Captains of the Port, while 2,755 will be submitted to 
Coast Guard Headquarters).
    The Coast Guard estimates it will take, on average, 5 minutes (0.08 
hours) to complete and submit U.S. Supplement 1, and 8 minutes (0.13 
hours) to complete and submit IMO Year 2000 Questionnaire 2. 
Consequently, the total hour burden to foreign flag vessels is 819 
hours (452 + 367). At a unit labor cost of $45 per hour, the total 
labor cost is $36,855.
    We expect foreign flag vessel representatives to submit a total of 
8,472 submissions (2,824 IMO Year 2000 Questionnaires and 5,648 U.S. 
Supplement 1's). The Coast Guard estimates that 75% (6,354 pages will 
be submitted by Internet, and the remaining 25% (2,118 pages) by fax. 
At a cost of $0 per page to Internet, and $0.65 per page to fax, we 
estimate the total delivery cost to foreign flag vessels is $1,377.
    The total cost of this rule to foreign flag vessels is $38,232 
(36,855 + 1,377).
    The total cost of this rule to industry is $282,262 [$47,927 
(marine facilities) plus $196,103 (U.S. vessels) plus $38,232 (foreign 
vessels)].
    Estimate of Total Annual Burden: The temporary interim rule 
implementing this collection will be effective from July 23, 1999 
through March 31, 2000.
    As required by the Paperwork Reduction Act of 1995 (44 U.S.C. 
3507(d)), we have submitted a copy of this temporary interim rule to 
the Office of Management and Budget (OMB) for its review of the 
collection of information.
    We ask for public comment on the collection of information to help 
us determine how useful the information is; whether it can help us 
perform our functions better; whether it is readily available 
elsewhere; how accurate our estimate of the burden of collection is; 
how valid our methods for determining burden are; how we can improve 
the quality, usefulness, and clarity of the information; and how we can 
minimize the burden of collection.
    If you submit comments on the collection of information, submit 
them both to OMB and to the Docket Management Facility where indicated 
under ADDRESSES, by the date under DATES.
    You need not respond to a collection of information unless it 
displays a currently valid control number from OMB. The Coast Guard has 
received emergency approval from OMB on the collection of information 
requirements (OMB approval number 2115-0639). This emergency OMB 
approval is effective for six months. Prior to the expiration of the 
emergency approval, the Coast Guard will submit the requirements to OMB 
for renewal.

Federalism

    We have analyzed this temporary interim rule under E.O. 12612 and 
have determined that this rule does not have sufficient implications 
for federalism to warrant the preparation of a Federalism Assessment.

Unfunded Mandates

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538) and 
E.O. 12875, Enhancing the Intergovernmental Partnership, (58 FR 58093; 
October 28, 1993) govern the issuance of Federal regulations that 
require unfunded mandates. An unfunded mandate is a regulation that 
requires a State, local, or tribal government or the private sector to 
incur direct costs without the Federal Government's having first 
provided the funds to pay those costs. This temporary interim rule 
would not impose an unfunded mandate.

Taking of Private Property

    This temporary interim rule would not effect a taking of private 
property or otherwise have taking implications under E.O. 12630, 
Governmental Actions and Interference with Constitutionally Protected 
Property Rights.

Civil Justice Reform

    This temporary interim rule meets applicable standards in sections 
3(a) and 3(b)(2) of E.O. 12988, Civil Justice Reform, to minimize 
litigation, eliminate ambiguity, and reduce burden.

Protection of Children

    We have analyzed this temporary interim rule under E.O. 13045, 
Protection of Children from Environmental Health Risks and Safety 
Risks. This rule is not an economically significant rule and does not 
concern an environmental risk to health or risk to safety that may 
disproportionately affect children.

Environment

    We considered the environmental impact of this temporary interim 
rule and concluded that, under figure 2-1, paragraph (34)(i), of 
Commandant Instruction M16475.lC, this rule is categorically excluded 
from further environmental documentation. This rule establishes 
temporary reporting requirements that will assist the Coast Guard in 
assessing Y2K-related risks. A ``Categorical Exclusion Determination'' 
is available in the docket where indicated under ADDRESSES.

List of Subjects 33 CFR Part 160

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

    For the reasons discussed in the preamble, the Coast Guard amends 
33 CFR part 160 as set forth below:

PART 160--PORTS AND WATERWAYS SAFETY--GENERAL

    1. The authority citation for part 160 is amended to read as 
follows:

    Authority: 33 U.S.C. 1223, 1231; 49 CFR 1.46. Subpart D is also 
issued under the authority of 33 U.S.C. 1225 and 46 U.S.C. 3715.

    2. Subpart D is added to part 160 effective July 23, 1999 through 
March 31, 2000, to read as follows:

Subpart D--Year 2000 (Y2K) Preparedness Reporting for Certain Vessels 
and Marine Facilities

Sec.
160.301  What is the purpose of this subpart?
160.303  When is this subpart effective?
160.305  To which vessels and facilities does this subpart apply?
160.307  Which vessels and facilities are exempt from this subpart?
160.309  What definitions apply to this subpart?
160.311  What are the Year 2000 (Y2K) peak risk periods?
160.313  What are the Year 2000 (Y2K) reporting requirements for 
vessels owned in the United States?
160.315  What are the Year 2000 (Y2K) reporting requirements for 
foreign flag vessels?
160.317  What are the Year 2000 (Y2K) reporting requirements for 
marine facilities?
Appendix A to Subpart D of Part 160--United States Coast Guard 
Vessel Questionnaire
Appendix B to Subpart D of Part 160--United States Coast Guard 
Marine Facility Questionnaire

Subpart D--Year 2000 (Y2K) Preparedness Reporting for Certain 
Vessels and Marine Facilities

    Authority: 33 U.S.C. 1223, 1231; 49 CFR 1.46. Subpart D is also 
issued under the authority of 33 U.S.C. 1225 and 46 U.S.C. 3715.

[[Page 33413]]

Sec. 160.301  What is the purpose of this subpart?

    This subpart contains temporary regulations implementing the Ports 
and Waterways Safety Act (33 U.S.C. 1221 et seq.) and related statutes. 
The information collected as a result of these temporary regulations 
will help Captains of the Port assess vessel and marine facility 
preparedness for potential Year 2000-related malfunctions.


Sec. 160.303  When is this subpart effective?

    This subpart is effective from July 23, 1999 through March 31, 
2000.


Sec. 160.305  To which vessels and facilities does this subpart apply?

    This subpart applies to:
    (a) Vessels owned in the United States and foreign flag vessels 
operating on waters subject to the jurisdiction of the U.S. between 
August 1, 1999, and March 31, 2000;
    (b) Vessels owned in the United States and foreign flag vessels 
engaged in lightering operations under part 156 of this title on the 
navigable waters of the United States or in the marine environment;
    (c) Vessels inspected under Chapter 33 of Title 46 United States 
Code; and
    (d) Marine facilities as defined in Sec. 160.309.


Sec. 160.307  Which vessels and facilities are exempt from this 
subpart?

    The following vessels and facilities are exempt from this subpart:
    (a) Recreational vessels under 46 U.S.C. 4301 et seq.;
    (b) Public vessels;
    (c) Uninspected commercial fishing vessels;
    (d) Uninspected barges;
    (e) Foreign flag vessels engaged in innocent passage;
    (f) Uninspected passenger vessels; and
    (g) Facilities directly operated by the Department of Defense or 
under the authority of the Department of the Interior.


Sec. 160.309  What definitions apply to this subpart?

    As used in this subpart:
    Agent means any person, partnership, firm, company, or corporation 
engaged by the owner or charterer of the vessel to act in their behalf 
in matters concerning the vessel.
    Facility Representative means the owner, operator, person in 
charge, or employee of a marine facility who is responsible for the 
facility's Y2K preparedness.
    Marine facility means any facility designated by the following:
    (1) 33 CFR 125.07 or 126.01 as a Waterfront Facility;
    (2) 33 CFR 126.05 as a Designated Waterfront Facility;
    (3) 33 CFR 127.005 as a Waterfront Facility Handling Liquefied 
Hazardous Gas (LNG) or Liquefied Natural Gas (LNG);
    (4) 33 CFR 148.3 as a Deepwater Port;
    (5) 33 CFR 154.105 as a Facility, Mobile Facility, or Offshore 
Facility; or
    (6) 33 CFR 154.1020 as a Marine Transportation-related Facility.
    Marine Facility Questionnaire means ``IMO Year 2000 Questionnaire 3 
(IMO circular letter 2121, Appendix 3) and U.S. Supplement 2'' for 
marine facilities.
    Midnight means the last moment or end of a calendar day, i.e., 2400 
hours local time on a 24-hour clock.
    Operating means vessels underway, conducting cargo loading/transfer 
operations, or carrying passengers, or facilities conducting cargo 
loading/transfer operations with vessels.
    Operator means any person including, but not limited to, an owner, 
a demise or bareboat charterer, or a contractor who conducts, or is 
responsible for, the operation of a vessel.
    Port or place of departure means any port or place in which a 
vessel is anchored or moored.
    Port or place of destination means any port or place to which a 
vessel is bound to anchor or moor.
    Recreational vessel means a vessel being used only for pleasure as 
defined in 46 U.S.C. 2101(25).
    Vessel includes every description of watercraft or other artificial 
contrivance used, or capable of being used, as a means of 
transportation on water.
    Vessel owned in the United States means any vessel documented or 
numbered under the laws of the United States; and, any vessel owned by 
a citizen of the United States that is not documented or numbered by 
any nation.
    Vessel Questionnaire means ``IMO Year 2000 Questionnaire 2 (IMO 
circular letter 2121, Appendix 2) and U.S. Supplement 1'' for vessels.
    Vessel Representative means the owner, agent, master, operator, 
person in charge, or other person responsible for a vessel's or fleet's 
Y2K preparedness.
    Year 2000 (Y2K) preparedness means checking for the proper 
operation of systems that include, but are not limited to, power 
generation equipment, steering and propulsion, loading and unloading 
equipment, and alarms into the next century on all potential risk 
dates; preparing for the Y2K risk dates which may require updating 
software and hardware and replacing systems, subsystems, or components; 
and determining that other computer-based systems' data exchanges 
internal or external to the company's, vessel's, or marine facility's 
will also correctly function before, into, and during the Year 2000.


Sec. 160.311  What are the Year 2000 (Y2K) peak risk periods?

    The Y2K peak risk periods are:
    (a) Between midnight September 7, 1999, and midnight September 9, 
1999;
    (b) Between midnight December 30, 1999, and midnight January 1, 
2000; and
    (c) Between midnight February 27, 2000, and midnight February 29, 
2000.


Sec. 160.313  What are the Year 2000 (Y2K) reporting requirements for 
vessels owned in the United States?

    (a) The vessel representative of a vessel owned in the United 
States must submit the following information--
    (1) If your vessel will operate during any of the peak risk periods 
identified in Sec. 160.311, you must submit a Vessel Questionnaire, as 
contained in Appendix A to this subpart, so that it is received by the 
U.S. Coast Guard no later than August 1, 1999.
    (2) If your vessel will not operate during any of the peak risk 
periods identified in Sec. 160.311, but will operate during the period 
August 1, 1999, through March 31, 2000, you must submit U.S. Supplement 
1 (page 3 of the Vessel Questionnaire as contained in Appendix A to 
this subpart) so that it is received by the U.S. Coast Guard no later 
than August 1, 1999.
    (b) You must submit the information required by paragraph (a) of 
this section to the U.S. Coast Guard by one of the following means.
    (1) By mail to: United States Coast Guard (MOC/Y2K), c/o The 
Centech Group, 2000 N. 14th Street, Suite 700, Arlington, VA 22201;
    (2) By fax to: 1-800-825-4357; or
    (3) Electronically via the Internet at: http://www.ucsg.mil/hq/g-m/
y2k.htm.
    (c) You may submit one copy of the IMO Year 2000 Questionnaire 2 
(page 2 of the Vessel Questionnaire contained in Appendix A to this 
subpart) on behalf of your entire fleet if the same information 
provided in the IMO Year 2000 Questionnaire 2 applies to all vessels 
within the fleet, unless circumstances as described in paragraphs (f) 
or (g) of this section apply. You must still complete a U.S. Supplement 
1 for each vessel operating between August 1, 1999, and March 31, 2000.
    (d) For vessels described in paragraph (a)(1) of this section, you 
must notify the U.S. Coast Guard, through the completion of a Vessel 
Questionnaire

[[Page 33414]]

contained in Appendix A to this subpart. The information required to 
complete the questionnaire includes:
    (1) Name of person completing the questionnaire;
    (2) Company contact personnel and address, phone number, facsimile 
number (if available), and electronic mail address (if available);
    (3) Vessel's name;
    (4) Vessel's type;
    (5) Cargo type;
    (6) Vessel's gross tonnage;
    (7) Vessel's Flag State;
    (8) Vessel's IMO or Official Number;
    (9) Captain of the Port zone(s) the vessel may be operating in from 
August 1, 1999, through March 31, 2000.
    (10) Status of Y2K preparedness.
    (e) For vessels described in paragraph (a)(2) of this section, you 
must notify the U.S. Coast Guard, through the completion of a U.S. 
Supplement 1 (page 3 of the Vessel Questionnaire contained in Appendix 
A to this subpart). The information required to complete the supplement 
includes:
    (1) Name of person completing the questionnaire;
    (2) Company contact personnel and address, phone number, facsimile 
number (if available), and electronic mail address (if available);
    (3) Vessel's name;
    (4) Vessel's type;
    (5) Cargo type;
    (6) Vessel's gross tonnage;
    (7) Vessel's Flag State;
    (8) Vessel's IMO or Official Number;
    (9) Captain of the Port zone(s) the vessel may be operating in from 
August 1, 1999, through March 31, 2000.
    (f) If the Y2K preparedness or operational plans of your vessel(s) 
changes after the initial submission of a Vessel Questionnaire or U.S. 
Supplement 1, you must submit an updated or new Vessel Questionnaire or 
updated U.S. Supplement 1 by the means described in paragraph (b) of 
this section.
    (g) If you submit a new or updated Vessel Questionnaire, as 
contained in Appendix A to this subpart, during any of the peak risk 
periods identified in Sec. 160.311, you must submit the information to 
the Captain of the Port for each port or place of destination the 
vessel will operate in instead of by one of the means described in 
paragraph (b) of this section.


Sec. 160.315  What are the Year 2000 (Y2K) reporting requirements for 
foreign flag vessels?

    (a) The vessel representative of a foreign flag vessel must submit 
the following information--
    (1) If your vessel will operate on waters subject to the 
jurisdiction of the U.S. during any of the peak risk periods identified 
Sec. 160.311, you must submit a Vessel Questionnaire, as contained in 
Appendix A to this subpart, so that it is received by the U.S. Coast 
Guard no later than 24 hours prior to arrival in a U.S. port or U.S. 
place of destination.
    (2) If your vessel will not operate on waters subject to the 
jurisdiction of the U.S. during any of the peak risk periods identified 
in Sec. 160.311, but will operate on waters subject to the jurisdiction 
of the U.S. during the period August 1, 1999, through March 31, 2000, 
you must submit U.S. Supplement 1 (page 3 of the Vessel Questionnaire 
as contained in Appendix A to this subpart) so that it is received by 
the U.S. Coast Guard no later than 24 hours prior to arrival in a U.S. 
port or U.S. place of destination.
    (b) You must submit the information required by paragraph (a) of 
this section to the U.S. Coast Guard by one of the following means:
    (1) By mail to: United States Coast Guard (MOC/Y2K), c/o The 
Centech Group 2000 N. 14th Street, Suite 700, Arlington, VA 22201;
    (2) By fax to: 1-800-825-4357; or
    (3) Electronically via the Internet at: http://www.ucsg.mil/hq/g-m/
y2k.htm.
    (c) You may submit one copy of the IMO Year 2000 Questionnaire 2 
(page 2 of the Vessel Questionnaire contained in Appendix A to this 
subpart) on behalf of your entire fleet if the same information 
provided in the IMO Year 2000 Questionnaire 2 applies to all vessels 
within the fleet, unless circumstances as described in paragraphs (f) 
or (g) of this section apply. You must still complete a U.S. Supplement 
1 for each vessel operating on waters subject to the jurisdiction of 
the U.S. between August 1, 1999, and March 31, 2000.
    (d) For vessels described in paragraph (a)(1) of this section, you 
must notify the U.S. Coast Guard, through the completion of a Vessel 
Questionnaire contained in Appendix A to this subpart. The information 
required to complete the questionnaire includes:
    (1) Name of person completing the questionnaire;
    (2) Company contact personnel and address, phone number, facsimile 
number (if available), and electronic mail address (if available);
    (3) Vessel's name;
    (4) Vessel's type;
    (5) Cargo type;
    (6) Vessel's gross tonnage;
    (7) Vessel's Flag State;
    (8) Vessel's IMO or Official Number;
    (9) Captain of the Port zone(s) the vessel may be operating in from 
August 1, 1999, through March 31, 2000.
    (10) Status of Y2K preparedness.
    (e) For vessels described in paragraph (a)(2) of this section, you 
must notify the U.S. Coast Guard, through the completion of a U.S. 
Supplement 1 (page 3 of the Vessel Questionnaire contained in Appendix 
A to this subpart). The information required to complete the supplement 
includes:
    (1) Name of person completing the questionnaire;
    (2) Company contact personnel and address, phone number, facsimile 
number (if available), and electronic mail address (if available);
    (3) Vessel's name;
    (4) Vessel's type;
    (5) Cargo type;
    (6) Vessel's gross tonnage;
    (7) Vessel's Flag State;
    (8) Vessel's IMO or Official Number;
    (9) Captain of the Port zone(s) the vessel may be operating in from 
August 1, 1999, through March 31, 2000.
    (f) If the Y2K preparedness or operational plans of your vessel(s) 
changes after the initial submission of a Vessel Questionnaire or U.S. 
Supplement 1, you must submit an updated or new Vessel Questionnaire or 
updated U.S. Supplement 1 by the means described in paragraph (b) of 
this section.
    (g) If you submit a new or updated Vessel Questionnaire, as 
contained in Appendix A to this subpart, during any of the peak risk 
periods identified in Sec. 160.311, you must submit the information to 
the Captain of the Port for each port or place of destination the 
vessel will operate in instead of by one of the means described in 
paragraph (b) of this section.


Sec. 160.317  What are the Year 2000 (Y2K) reporting requirements for 
marine facilities?

    (a) The facility representative of a marine facility must submit 
the following information--
    (1) If your marine facility will operate during any of the peak 
risk periods identified Sec. 160.311, you must submit a Marine Facility 
Questionnaire, as contained in Appendix B to this subpart, so that it 
is received by the U.S. Coast Guard no later than August 1, 1999.
    (2) If your marine facility will not operate during any of the peak 
risk periods identified in Sec. 160.311, but will operate during the 
period August 1, 1999, through March 31, 2000, you must submit U.S. 
Supplement 2 (page 3 of the Marine Facility Questionnaire as contained 
in Appendix B to this subpart) so that it is received by the U.S. Coast 
Guard no later than August 1, 1999.
    (b) You must submit the information required by paragraph (a) of 
this section

[[Page 33415]]

to the U.S. Coast Guard by one of the following means:
    (1) By mail to: United States Coast Guard (MOC/Y2K), c/o The 
Centech Group, 2000 N. 14th Street, Suite 700, Arlington, VA 22201;
    (2) By fax to: 1-800-825-4357; or
    (3) Electronically via the Internet at: http://www.ucsg.mil/hq/g-m/
y2k.htm.
    (c) For marine facilities described in paragraph (a)(1) of this 
section, you must notify the U.S. Coast Guard, through the completion 
of a Marine Facility Questionnaire contained in Appendix B to this 
subpart. The information required to complete the questionnaire 
includes:
    (1) Captain of the Port zone the facility is located in;
    (2) Name of facility;
    (3) Type(s) of facility;
    (4) Name of company;
    (5) Name and title of person providing Y2K preparedness 
information;
    (6) Company contact personnel and address, phone number, facsimile 
number (if available), and electronic mail address (if available); and
    (7) Status of Y2K preparedness.
    (d) For marine facilities described in paragraph (a)(2) of this 
section, you must notify the U.S. Coast Guard, through the completion 
of a U.S. Supplement 2 (page 3 of the Marine Facility Questionnaire 
contained in Appendix B to this subpart). The information required to 
complete the supplement includes:
    (1) Captain of the Port zone the facility is located in;
    (2) Name of facility;
    (3) Type(s) of facility;
    (4) Name of company;
    (5) Name and title of person providing Y2K preparedness 
information; and
    (6) Company contact personnel and address, phone number, facsimile 
number (if available), and electronic mail address (if available).
    (f) If the Y2K preparedness or operational plans of your marine 
facility changes after the initial submission of a Marine Facility 
Questionnaire or U.S. Supplement 2, you must submit an updated or new 
Marine Facility Questionnaire or updated U.S. Supplement 2 by the means 
described in paragraph (b) of this section.
    (g) If you submit a new or updated Marine Facility Questionnaire, 
as contained in Appendix B to this subpart, during any of the peak risk 
periods identified in Sec. 160.311, you must submit the information to 
the Captain of the Port for the place the facility operates in instead 
of by one of the means described in paragraph (b) of this section.

BILLING CODE 4910-15-P

[[Page 33416]]

Appendix A to Subpart D of Part 160--United States Coast Guard 
Vessel Questionnaire
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[[Page 33420]]

Appendix B to Subpart D of Part 160--United States Coast Guard 
Marine Facility Questionnaire
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[[Page 33424]]


    Dated: June 15, 1999.
R.C. North,
Assistant Commandant for Marine Safety and Environmental Protection.
[FR Doc. 99-15985 Filed 6-18-99; 3:21 pm]
BILLING CODE 4910-15-C