[Federal Register Volume 67, Number 118 (Wednesday, June 19, 2002)]
[Proposed Rules]
[Pages 41659-41668]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-15432]


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DEPARTMENT OF TRANSPORTATION

Coast Guard

33 CFR Part 160

[USCG-2001-11865]
RIN 2115-AG35


Notification of Arrival in U.S. Ports

AGENCY: Coast Guard, DOT.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The Coast Guard proposes permanent changes to its notification 
of arrival and departure requirements for commercial vessels greater 
than 300 gross tons bound for or departing from ports or places in the 
United States. We propose to incorporate most of the temporary changes 
we made following the September 11, 2001, terrorist attacks. We also 
propose to consolidate the notice of departure and notice of arrival; 
require electronic submission of cargo manifest information to U.S. 
Customs Service; and require additional crew and passenger information. 
The proposed permanent changes would help ensure public safety, 
security, and the uninterrupted flow of commerce.

DATES: Comments and related material must reach the Docket Management 
Facility on or before August 19, 2002. Comments sent to the Office of 
Management and Budget (OMB) on collection of information must reach OMB 
on or before August 19, 2002.

ADDRESSES: To make sure that 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-2001-11865), 
U.S. Department of Transportation, room 
PL-401, 400 Seventh Street SW., Washington, DC 20590-0001.
    (2) By delivery 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 the Docket Management Facility at 202-493-2251.
    (4) Electronically through the website 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

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rulemaking. Comments and material received from the public, as well as 
documents mentioned in this preamble as being available in the docket, 
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, 400 
Seventh Street SW., Washington, DC between 9 a.m. and 5 p.m., Monday 
through Friday, except Federal holidays. You may also find this docket 
on the Internet at 
http://dms.dot.gov.

FOR FURTHER INFORMATION CONTACT: If you have questions on this proposed 
rule, call LTJG Marcus A. Lines, U.S. Coast Guard (G-MP), at 202-267-
6854. If you have questions concerning U.S. Customs Service procedures, 
call Kimberly Nott at 202-927-0042. If you have questions on viewing or 
submitting material to the docket, call Dorothy Beard, Chief, Dockets, 
Department of Transportation, at 202-366-5149.

SUPPLEMENTARY INFORMATION:

Request for Comments

    We encourage 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-2001-
11865), 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 delivery, fax, or electronic 
means to the Docket Management Facility at the address under ADDRESSES; 
please submit your comments and material by only one means. If you 
submit them by mail or hand delivery, 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 that they 
reached the Facility, please enclose a stamped, self-addressed postcard 
or envelope. We will consider all comments and material received during 
the comment period. We may change this proposed rule in view of them.

Public Meeting

    We do not now plan to hold a public meeting. You may submit a 
request for one to the Docket Management Facility at the address under 
ADDRESSES explaining why one would be beneficial. If we determine that 
one would aid this rulemaking, we will hold one at a time and place 
announced by a later notice in the Federal Register.

Background and Purpose

    The terrorist attacks of September 2001 killed thousands of people 
and heightened the need for security checks on all modes of travel, 
particularly those modes by which foreign nationals and products can 
enter the country. In the maritime context, extra time is needed for 
security checks. If the required arrival information is not received 
early enough, vessels bound for U.S. ports and places could experience 
delays in entering port.
    On October 4, 2001, we published a temporary final rule entitled 
``Temporary Requirements for Notification of Arrival in U.S. Ports'' in 
the Federal Register (66 FR 50565). Subsequently, we published two 
corrections in the Federal Register [November 19, 2001 (66 FR 57877) 
and January 18, 2002 (67 FR 2571)]. The temporary rule increased the 
submission time for an NOA from 24 to 96 hours prior to arriving at 
port; required centralized submissions; temporarily suspended 
exemptions from reporting requirements for some groups of vessels; and 
required submission of passenger, crew, and cargo information.
    Additional rulemakings may be necessary to increase maritime domain 
awareness or to achieve the goal of a single submission of all Federal 
Government arrival information requirements.

Extension of Temporary Final Rule

    The temporary rule was effective until June 15, 2002. On May 30, 
2002, we extended the effective period of the temporary rule until 
September 30, 2002 [67 FR 37682].

Discussion of Comments

    General. During the comment period of the temporary rule, we 
received eight letters. Each of the eight commenters understood the 
need to strengthen security efforts and change the requirements for 
Notices of Arrivals (NOAs). Most of the comments contained suggestions 
about the process in which we manage and distribute the information 
reported from vessels.
    One comment stated that some Captains of the Port (COTP) requested 
vessel owners and operators to submit a duplicate of the information 
already reported to the National Vessel Movement Center (NVMC). The 
comment recommended that information be reported only once. We agree 
with this comment. During the early implementation of the temporary 
rule some instances of duplicated reporting occurred. Those instances 
were resolved. This proposal would require reporting only to a 
centralized location.
    Some comments also encouraged the Coast Guard to share or 
distribute NOA information among federal government agencies to limit 
duplicate submission requirements. We shared these suggestions with the 
program offices working with other agencies to eliminate or minimize 
redundant reporting requirements.
    One comment encouraged the Coast Guard to state in ``plain 
language'' exactly what is required of vessel owners. The Coast Guard 
agrees. We request comments concerning the readability, organization, 
or presentation of requirements in this proposal. We will incorporate 
plain language principles into our Final Rule.
    Local issues. One comment requested that COTPs use information 
submitted for an ``explosive shipment carrying'' permit to satisfy NOA 
submission requirements. Another comment complained that it is too 
difficult to accurately submit a 96-hour advance NOA to the NVMC, 
without subsequent updates.
    These comments both discuss matters which are better addressed by 
the local COTP. Under Sec. 160.205, these individuals may request a 
waiver from submitting an NOA report.
    Electronic Submissions. A few comments suggested the Coast Guard 
provide electronic submission capabilities for submitting NOAs to the 
NVMC. Currently, the NVMC can receive electronic submissions in common 
file formats, such as ASCII text, MS Word documents, and MS Excel 
spreadsheets. In the ``discussion of proposed rule'' section of this 
preamble, we seek comments on electronic filing data specifications 
that would enable automatic processing of NOA data.

Discussion of Proposed Rule

    This proposed rule would permanently change the notice of arrival 
(NOA) requirements. Many of the changes we propose to make permanent in 
this NPRM have been adopted from the temporary rule. This proposal also 
contains requirements that were not introduced in the temporary rule, 
and they are discussed in detail in this preamble.
    Under 33 CFR part 160, subpart C, owners, agents, masters, 
operators, or persons in charge of vessels bound for U.S. ports must 
file an NOA before they enter port. (Persons required to submit reports 
will hereafter be called ``submitters.'') In this rulemaking, the Coast 
Guard proposes to:
     Require additional information in NOA reports;
     Require electronic submissions of cargo manifest 
information to United States Customs Service (USCS);

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     Change submission times for NOAs;
     Require submitters to report changes to submitted 
information;
     Merge the Notice of Departure (NOD) requirements with the 
NOA requirements;
     Allow consolidated NOA reports for multiple ports;
     Require centralized and electronic submissions;
     Revise exemptions from reporting requirements and
     Update definitions, and make technical corrections in the 
ISM Code Notice listed in 33 CFR 160.207(d).
    Required elements in NOA reports. We propose to permanently require 
the following vessel, cargo, crew, and passenger information be 
reported. Submitters would identify each destination by listing the 
names of the receiving facility, the port or place in the U.S., the 
city, and the state, as well as indicate the location or position of 
the vessel at the time of reporting. Submitters would provide a general 
description of cargo aboard the vessel. The description would convey if 
the vessel were carrying items such as grain, oil, containers, etc. 
Submitters would provide the full name, date of birth, nationality, 
passport number or mariner's documentation number, and position or duty 
on the vessel, as applicable, for each crewmember and passenger.
    In addition to making those requirements permanent, we also propose 
adding requirements for submitters to identify where each crewmember 
and passenger embarked. Submitters would provide any aliases, nickname, 
maiden name, professional, or stage name for each crewmember. This new 
information would allow us to better identify crewmembers entering our 
ports.
    Cargo Manifest Information. The Coast Guard proposes requiring a 
new information requirement as part of the NOA submission. The new 
requirement is the vessel's cargo manifest information described in 19 
CFR 4.7(a). This requirement is in addition to the one in 
Sec. 160.207(b)(14), ``general description of the cargo'', and would 
consist of a completed U.S. Customs Service form (Customs Form 1302). 
Cargo manifest information is necessary to assess cargoes entering U.S. 
ports for potential threats to the national security and appropriately 
respond to those threats.
    The Coast Guard does not have the capability at its National Vessel 
Movement Center to receive and process the cargo manifest information. 
The U.S. Customs Service (USCS), however, does have an existing 
capability to receive, process, and share the information with Coast 
Guard, provided the information is submitted to USCS 96 hours before 
the vessel arrives at a U.S. port and provided it is submitted 
electronically to the USCS Sea Automated Manifest System (AMS). A 
single electronic submission of the cargo manifest information (Customs 
Form 1302) to USCS would satisfy the requirements of both agencies for 
submission of that data.
    The Coast Guard proposes that the cargo manifest information be 
submitted electronically to USCS through AMS, while all other required 
NOA information would continue to be submitted to NVMC.
    The Coast Guard requests comments on whether all vessels should be 
required to submit their cargo manifest information via electronic 
means utilizing Sea AMS, or should they be allowed to submit the cargo 
manifest by some other means?
    To transmit information electronically, a submitter will begin by, 
first, calling 703-921-7501 or sending a letter to the following 
address requesting participation in the Sea AMS program: U.S. Customs 
Service, Client Representative Branch, 7501 Boston Blvd. Rm. 211, 
Springfield, VA 22153. Upon receiving an inquiry, Customs will send a 
respondent checklist to the party for completion.
    Once the checklist is completed and returned to Customs, a USCS 
client representative will be assigned to work with the submitter. This 
representative will serve as a technical advisor establishing a Sea AMS 
interface. Establishing an interface for participation can require as 
little as two weeks or up to several months, depending on the 
particular method chosen.
    AMS will allow participants to transmit manifest information 
electronically 96 hours prior to vessel arrival. There are four methods 
of transmitting data to AMS: (1) Establish a direct connection with 
Customs; (2) use a service provider; (3) use a port authority; and (4) 
purchase software from a vendor. For general information related to 
AMS, visit their Automated Commercial System website at http://www.customs.treas.gov/imp-exp2/auto-sys/ams.htm.
    Of vessels already required to submit a ``cargo manifest'' to USCS, 
approximately 95 percent submit the manifest information 
electronically. The new Coast Guard requirement only affects these 
vessels by increasing the time by which Customs Form 1302 needs to be 
submitted (from 48 hours to 96 hours). For vessels not subject to USCS 
requirements, meaning vessels on a domestic voyage in the United 
States, the requirement to submit cargo manifest information 
electronically would not apply. This rulemaking would not create an 
exception to or exemption from any other applicable U.S. Customs 
regulations.
    NOA submission times. In the temporary rule, we increased the times 
of submitting an arrival notice. We propose to make permanent the 
submission times established in our temporary rule. The following chart 
provides a summary of the proposed submission times.

BILLING CODE 4910-15-P

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[GRAPHIC] [TIFF OMITTED] TP19JN02.001

BILLING CODE 4910-15-P

[[Page 41663]]

    Reporting changes to submitted NOA information. The temporary rule 
established procedures for reporting changes to the information 
submitted on an NOA. We propose to make the requirements permanent by 
adding a new section, Sec. 160.214 ``Requirements for submitting 
changes to NOA reports''. Changes to NOAs would be reported as soon as 
practical but no less than 12 or 24 hours prior to entering port 
depending on vessel and voyage characteristics. When reporting changes, 
a complete resubmission of an entire report would not be necessary. See 
Chart 1, above, for the proposed submission times applicable to 
reporting changes.
    Notice of Departure (NOD). The Coast Guard proposes to combine all 
of the information elements of a Notification of Departure (NOD) and an 
NOA into a single NOA report. Both notices contained duplicate 
reporting elements, although the NOD required the submission of one 
additional element. We propose to include the additional element (the 
estimated date and time of departure) in the NOA report, thereby, 
eliminating reporting the same information twice and reducing the 
reporting burden.
    Multiple Ports. Submitters would also be allowed to file a single 
NOA report listing all consecutive U.S. destinations during the voyage, 
along with estimated arrival and departure dates and times for each 
port.
    Require centralized submissions. As established in the temporary 
rule, we propose that all NOA reports continue to go to the NVMC 
instead of to individual Captains of the Port (COTPs). Foreign vessels 
of 300 gross tons or less operating in the Seventh Coast Guard District 
would continue to submit NOA reports to cognizant COTPs.
    Vessels transiting inbound on the Saint Lawrence Seaways would be 
able to meet the NOA reporting requirements by continuing to fax their 
submissions to the Saint Lawrence Seaway Development Corporation and 
the Saint Lawrence Seaway Management Corporation of Canada. The 
Canadian offices would forward each vessel's NOA report to the Coast 
Guard.
    We require the owner, authorized agent, master, operator, or person 
in charge of a vessel to report a vessel's arrival to the NVMC. We are 
considering accepting NOA submissions from only the vessel owner and 
operator, or from only the owner, operator, and authorized agent 
(including shipping agents and marine exchanges) of the vessel. We 
specifically request comments on how either of these changes would 
affect the method of submission you currently use.
    Electronic Submissions. We are considering developing the 
capability to receive and automatically process NOA data that is 
submitted in a specified electronic file format. At this time, we are 
requesting comments regarding electronic submittals. If electronic 
submission capabilities are improved and in place when a final rule is 
published, it would be the preferred or possibly the required method 
for filing NOA reports. The following six questions can be used as a 
guide; however, comments need not be limited to answering the 
questions:
    1. What are your information security concerns regarding electronic 
submissions of NOA?
    2. Would you allow the Coast Guard to forward all or parts of your 
NOA information to entities such as marine exchanges or port 
authorities as a value added service to facilitate information sharing 
at the port level?
    3. If the Coast Guard produced a desktop application that allowed 
you to create, manage, and automatically submit NOA via email, would 
you use it?
    4. Which electronic means for submitting NOAs would you prefer? 
(e.g.: HTML, SMTP, FTP)
    5. What are your information security concerns if the Coast Guard 
allowed you to send your NOA to an FTP (File Transfer Protocol) server 
or web server in the public domain?
    6. If the Coast Guard provided an XML (Extensible markup language) 
data specification for NOA, would you be able to generate XML documents 
and submit them via email or other means?
    Exemptions from NOA reporting. The temporary final rule suspended 
reporting exemptions for vessels complying with Automated Mutual 
Assistance Vessel Rescue System (AMVER), certain vessels operating 
solely on the Great Lakes, and vessels operating on a regularly 
scheduled route. We propose to permanently remove these exemptions.
    Under this proposal, U.S. vessels, except tank vessels, operating 
solely between U.S. ports on the Great Lakes would be exempt from 
reporting. Canadian vessels, U.S. tank vessels coming from a foreign 
port, and vessels complying with AMVER would be required to submit an 
NOA report. Vessels operating on a regularly scheduled route would be 
required to submit an NOA report.
    Additionally, we propose revising the exemption from reporting for 
each barge. At the moment, each barge carrying cargoes other than 
certain dangerous cargoes is exempt from NOA reporting. In this rule, 
we would limit this exemption to barges coming from a U.S. port. This 
change would require barges coming from a foreign port to submit an 
NOA.
    Other changes. We propose permanently adding definitions for 
``crewmember'', ``nationality'', and ``persons in addition to 
crewmembers''. We would also revise the definition for ``certain 
dangerous cargo'' to conform to language used by the Research and 
Special Programs Administration (RSPA) in some Division 1.5 materials 
and add UN hazardous class division numbers.

Regulatory Evaluation

    This proposed rule is not a ``significant regulatory action'' under 
section 3(f) of Executive Order 12866, Regulatory Planning and Review, 
and does not require an assessment of potential costs and benefits 
under section 6(a)(3) of that Order. The Office of Management and 
Budget (OMB) has not reviewed it under that Order. It is not 
``significant'' under the regulatory policies and procedures of the 
Department of Transportation (DOT) (44 FR 11040, February 26, 1979).
    We expect the economic impact of this proposed rule to be so 
minimal that a full Regulatory Evaluation under paragraph 10e of the 
regulatory policies and procedures of DOT is unnecessary. We present 
this Regulatory Evaluation for the purposes of information. A detailed 
Assessment is available in the docket as indicated under ADDRESSES. A 
summary of the Assessment follows:
    Assessment. The regulatory baseline for this rule is the NOA and 
NOD reporting requirements in 33 CFR part 160 that are proposed to be 
amended by this rulemaking. At the present, the requirements of part 
160 that we propose to amend are temporarily suspended. During the 
suspension period of these requirements there has been a temporary 
final rule NOA and NOD reporting in place since October 4, 2001. The 
effect of the temporary final rule ends on September 30, 2002. The 
temporary reporting requirements are not addressed in this analysis. 
This means that the cost of the proposed rule is estimated as the 
incremental expenditure required to meet the provisions of the proposed 
rule in absence of the temporary rule published October 4, 2001.
    The cost for complying with the proposed rule will differ depending 
on the type of vessel submitting the report. Owners and operators of 
non-AMVER/non-Great Lakes vessels will have to submit lists of the crew 
and persons in

[[Page 41664]]

addition to the crew (information they already have to submit to INS). 
Additionally, these vessels must provide detail on the persons aboard 
the vessel (e.g. port where embarked, aliases). Owners and operators of 
AMVER and Great Lakes vessels may complete the INS forms (which they 
did not have to provide previously), the crew lists, and the crew 
detail.
    The cost of the proposed rule to industry is presented below based 
on the average number of annual arrivals for 1998 and 1999.

                                  Annual Cost and Benefit of the Proposed Rule
                                                 [2002 Dollars]
----------------------------------------------------------------------------------------------------------------
                                                                                     Cost per
                           NOA report                                Arrivals         arrival       Annual cost
----------------------------------------------------------------------------------------------------------------
Non-AMVER/Non-Great Lakes.......................................          63,286          $95.17      $6,022,715
AMVER...........................................................           4,040          141.75         572,603
Great Lakes.....................................................             813          141.75         115,243
                                                                                                 ---------------
      Totals....................................................  ..............  ..............      6,710,561
----------------------------------------------------------------------------------------------------------------
Detail may not calculate to total due to independent rounding.

    As shown, the proposed rule is estimated to cost $6.7 million 
annually. Over the next 10 years, the Present Value (PV) cost of the 
proposed rule is $50.4 million (2002-2011, 7 percent discount rate, 
2002 dollars).
    The non-quantifiable benefit of the proposed rule, would be--
     Providing relevant information about an applicable 
vessel's cargo, crewmembers, and passengers as well as a threat it may 
pose; and
     Providing more time to evaluate, analyze, and respond to 
the information collected.

Small Entities

    Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have 
considered whether this proposed 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.
    The Coast Guard certifies under 5 U.S.C. 605(b) that this proposed 
rule would not have a significant economic impact on a substantial 
number of small entities. If you think that your business, 
organization, or governmental jurisdiction qualifies as a small entity 
and that this rule would have a significant economic impact on it, 
please submit a comment to the Docket Management Facility at the 
address under ADDRESSES. In your comment, explain how and why you think 
it qualifies and to what degree this rule would economically affect it.

Assistance for Small Entities

    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 proposed rule would call 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. The new collection of information estimate is based on the 
current collection, which accounts for the temporary rule. The 
temporary changes will be in effect until September 30, 2002.
    Title: Advance Notice of Vessel Arrival and Departure.
    OMB Control Number: 2115-0557.
    Summary of the Collection of Information: The Coast Guard requires 
pre-arrival messages from any vessel entering a port or place in the 
United States. This rule will amend 33 CFR part 160 to permanently 
require:
     Earlier receipt of the notice of arrival--96 hours instead 
of 24 hours--from vessels currently required to provide advance 
notification of arrival;
     Submission of NOA reports to a central clearinghouse, the 
National Vessel Movement Center;
     Removal of the current exemption from notice of arrival 
reporting requirements for vessels operating in compliance with the 
Automated Mutual Assistance Vessel Rescue System, some vessels 
operating on the Great Lakes, and vessels on scheduled routes; and
     Additional information about crewmembers, passengers, 
cargoes on board the vessel to be provided as items in the notice of 
arrival report.
    Need for Information: To ensure port safety and security and to 
ensure the uninterrupted flow of commerce, the Coast Guard must 
permanently change regulations relating to the Notifications of Arrival 
requirements.
    Proposed Use of Information: This information is required to 
control vessel traffic, develop contingency plans, enforce regulations, 
and enhance maritime security.
    Description of the Respondents: Respondents are owners and 
operators of vessels that arrive at or depart from a port or place in 
the United States after departing from foreign ports.
    Number of Respondents: The existing OMB-approved collection number 
of respondents is 10,367 (respondents are owners/operators of the 
vessels calling on U.S. ports annually). This proposed rule will not 
increase the number of respondents.
    Frequency of Response: Owners/operators of vessels making calls in 
U.S. ports will submit NOA reports as necessary. The existing OMB-
approved collection number of responses is 136,278 (responses are 
arrivals at and departures from U.S. ports). This proposed rule will 
decrease the number of responses by 68,139 (separate Notification of 
Departure reports are no longer required) for a net total of 68,139 
responses.

[[Page 41665]]

    Burden of Response: The existing OMB-approved collection burden of 
response is approximately 15 minutes (0.250 hours) (burden of response 
is the time required to complete the paperwork requirements of the rule 
for a single response). This proposed rule will increase the burden of 
response by an average of 60 minutes (1.000 hour) and decrease the 
burden of response by 1 minute (0.017 hours) for a net total of 74 
minutes (1.233 hours).
    Estimate of Total Annual Burden: The existing OMB-approved 
collection total annual burden is 39,037 hours (total annual burden is 
the time required to complete the paperwork requirements of the rule 
for all responses). This proposed rule will increase the total annual 
burden by 136,278 hours and decrease total annual burden by 1,136 hours 
for a net total of 174,179 hours.
    As required by the Paperwork Reduction Act of 1995 (44 U.S.C. 
3507(d)), we have submitted a copy of this proposed rule to OMB for its 
review of the collection of information.
    We ask for public comment on the proposed 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. Before the 
requirements for this collection of information become effective, we 
will publish notice in the Federal Register of OMB's decision to 
approve, modify, or disapprove the collection.

Federalism

    A rule has implications for federalism under Executive Order 13132, 
Federalism, if it has a substantial direct effect on State or local 
governments and would either preempt State law or impose a substantial 
direct cost of compliance on them. We have analyzed this proposed rule 
under that Order and have determined that it does not have implications 
for federalism.

Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538) 
requires Federal agencies to assess the effects of their discretionary 
regulatory actions. In particular, the Act addresses actions that may 
result in the expenditure by a State, local, or tribal government, in 
the aggregate, or by the private sector of $100,000,000 or more in any 
one year. Though this proposed rule would not result in such an 
expenditure, we do discuss the effects of this rule elsewhere in this 
preamble.

Taking of Private Property

    This proposed rule would not affect a taking of private property or 
otherwise have taking implications under Executive Order 12630, 
Governmental Actions and Interference with Constitutionally Protected 
Property Rights.

Civil Justice Reform

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

Protection of Children

    We have analyzed this proposed rule under Executive Order 13045, 
Protection of Children from Environmental Health Risks and Safety 
Risks. This rule is not an economically significant rule and would not 
create an environmental risk to health or risk to safety that might 
disproportionately affect children.

Indian Tribal Governments

    This proposed rule does not have tribal implications under 
Executive Order 13175, Consultation and Coordination with Indian Tribal 
Governments, because it would not have a substantial direct effect on 
one or more Indian tribes, on the relationship between the Federal 
Government and Indian tribes, or on the distribution of power and 
responsibilities between the Federal Government and Indian tribes.
    To help the Coast Guard establish regular and meaningful 
consultation and collaboration with Indian and Alaskan Native tribes, 
we published a notice in the Federal Register (66 FR 36361, July 11, 
2001) requesting comments on how to best carry out the Order. We invite 
your comments on how this proposed rule might impact tribal 
governments, even if that impact may not constitute a ``tribal 
implication'' under the Order.

Energy Effects

    We have analyzed this proposed rule under Executive Order 13211, 
Actions Concerning Regulations That Significantly Affect Energy Supply, 
Distribution, or Use. We have determined that it is not a ``significant 
energy action'' under that order because it is not a ``significant 
regulatory action'' under Executive Order 12866 and is not likely to 
have a significant adverse effect on the supply, distribution, or use 
of energy. The Administrator of the Office of Information and 
Regulatory Affairs has not designated it as a significant energy 
action. Therefore, it does not require a Statement of Energy Effects 
under Executive Order 13211.

Environment

    We have considered the environmental impact of this proposed rule 
and concluded that under figures 
2-1, paragraph (34)(a), of Commandant Instruction M16475.lD, this rule 
is categorically excluded from further environmental documentation. 
This rulemaking would change the requirements in the notification of 
arrival regulations. They would be procedural in nature and therefore 
are categorically excluded. A ``Categorical Exclusion Determination'' 
is available in the docket where indicated under ADDRESSES.

List of Subjects in 33 CFR Part 160

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

    For the reasons discussed in the preamble, the Coast Guard proposes 
to amend 33 CFR part 160 as follows:

PART 160--PORTS AND WATERWAYS SAFETY--GENERAL

Subpart C--Notifications of Arrival, Departures, Hazardous 
Conditions, and Certain Dangerous Cargoes

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

    Authority: 33 U.S.C. 1223, 1226, 1231; 49 CFR 1.46.

    2. Revise Sec. 160.201 to read as follows:


Sec. 160.201  Applicability and exceptions to applicability.

    (a) This subpart prescribes notification requirements for U.S. and 
foreign vessels bound for or departing from ports or places in the 
United States.
    (b) This subpart does not apply to recreational vessels under 46 
U.S.C.

[[Page 41666]]

4301 et seq. and, except Sec. 160.215 (Notice of Hazardous Conditions), 
does not apply to:
    (1) Passenger and supply vessels when they are employed in the 
exploration for or in the removal of oil, gas, or mineral resources on 
the continental shelf; and
    (2) Oil Spill Recovery Vessels (OSRVs) when engaged in actual spill 
response operations or during spill response exercises.
    (c) Section 160.207 does not apply to the following:
    (1) Each vessel of 300 gross tons or less, except a foreign vessel 
of 300 gross tons or less entering any port or place in the Seventh 
Coast Guard District as described by 3.35-1(b) of this chapter.
    (2) Each vessel operating exclusively within a Captain of the Port 
zone.
    (3) [Reserved]
    (4) Each vessel arriving at a port or place under force majeure.
    (5) [Reserved]
    (6) Each barge operating solely between ports or places in the 
United States.
    (7) Each public vessel.
    (8) U.S. vessels, except tank vessels, operating solely between 
ports or places in the United States on the Great Lakes.
    (d) Sections 160.207(b)(17) and 160.211(d)(21) do not apply to 
vessels on domestic voyages.
    (e) Sections 160.207 and 160.211 apply to each vessel upon the 
waters of the Mississippi River between its mouth and mile 235, Lower 
Mississippi River, Above Head of Passes. Sections 160.207 and 160.211 
do not apply to each vessel upon the waters of the Mississippi River 
between its sources and mile 235, Above Head of Passes, and all the 
tributaries emptying thereinto and their tributaries, and that part of 
the Atchafalaya River above its junction with the Plaquemine-Morgan 
City alternate waterway, and the Red River of the South.
    3. In Sec. 160.203, revise the definitions of ``Certain dangerous 
cargo'' and ``Public vessel'', and add in alphabetic order definitions 
for ``Crewmember'', ``Nationality'', and ``Persons in addition to 
crewmembers'' to read as follows:


Sec. 160.203  Definitions.

* * * * *
    Certain dangerous cargo includes any of the following:
    (a) Division 1.1 or 1.2 (explosive) materials, as defined in 49 CFR 
173.50.
    (b) Division 5.1 oxidizing materials or Division 1.5 blasting 
agents for which a permit is required under 49 CFR 176.415.
    (c) Division 2.3 gas that is a material poisonous by inhalation, as 
defined in 49 CFR 171.8, and that is in a quantity in excess of 1 
metric ton per vessel.
    (d) Division 6.1 liquid that is a material poisonous by inhalation, 
as defined in 49 CFR 171.8, and that is in a bulk packaging, or that is 
in a quantity in excess of 20 metric tons per vessel when not in a bulk 
packaging.
    (e) Division 2.1 flammable gas that is in a quantity in excess of 
20 metric tons per vessel.
    (f) Division 4.2 spontaneously combustible material assigned to 
packing group I, that is in a quantity in excess of 20 metric tons per 
vessel.
    (g) Division 4.3 dangerous when wet material that is in a quantity 
in excess of 20 metric tons per vessel.
    (h) Class 7, highway route controlled quantity radioactive 
material, or fissile material, controlled shipment, as defined in 49 
CFR 173.403.
    (i) Each cargo under Table 1 of 46 CFR Part 153 when carried in 
bulk.
    (j) Each cargo under Table 4 of 46 CFR Part 154 when carried in 
bulk.
    (k) Each cargo under Table 151.05 of 46 CFR Part 151 when carried 
in bulk.
    (l) Ammonium nitrate or ammonium nitrate fertilizers when carried 
in bulk.
* * * * *
    Public Vessel means a vessel that is owned or demise-(bareboat) 
chartered by the government of the United States, by a State or local 
government, or by the government of a foreign country and that is not 
engaged in commercial service, including a vessel under Military 
Sealift Command control or charter.
* * * * *
    Crewmember means all persons carried on board the vessel to provide 
navigation and maintenance of the vessel, its machinery, systems, and 
arrangements essential for propulsion and safe navigation or to provide 
services for other persons on board.
* * * * *
    Nationality means the state (nation) in which a person is a citizen 
or to which a person owes permanent allegiance.
* * * * *
    Persons in addition to crewmembers means any person onboard the 
vessel, including passengers, who are not included on the list of 
crewmembers.
* * * * *
    4. Add Sec. 160.204 to read as follows:


Sec. 160.204  Submission of notice of arrival (NOA) reports.

    (a) Except as provided in paragraphs (c) and (d) of this section, 
all vessels required to report notice of arrival information in 
Secs. 160.207(b)(1) through (16) or Secs. 160.211(d)(1) through (20) 
must submit the notice to the National Vessel Movement Center (NVMC), 
United States Coast Guard, 408 Coast Guard Drive, Kearneysville, WV, 
25430, by:
    (1) Telephone at 1-800-708-9823;
    (2) Fax at 1-800-547-8724; or
    (3) E-mail at [email protected].

    Note: Information about the National Vessel Movement Center is 
available on its website at http://www.nvmc.uscg.gov/.

    (b)(1) The notice of arrival information required by 
Secs. 160.207(b)(17) or 160.211(d)(21) must be submitted electronically 
to the United States Customs Service's (USCS) Sea Automated Manifest 
System (AMS) by one of the following methods and in accordance with 19 
CFR 4.7(a):
    (i) By Direct Connection with USCS or by purchasing the proper 
software; or
    (ii) Using a Service Provider or a Port Authority.
    (2) To become a participant in Sea AMS, submitters must provide a 
letter of intent prior to first submission.
    (c) Those vessels 300 or less gross tons operating in the Seventh 
Coast Guard District required by Sec. 160.207 or Sec. 160.211 to report 
notice of arrival and departure information must submit the notice to 
the cognizant Captain of the Port (COTP).
    (d) Those vessels transiting the Saint Lawrence Seaway inbound, 
bound for a port or place in the United States, may meet the submission 
requirements of paragraph (a) of this section by submitting the 
required information to the Saint Lawrence Seaway Development 
Corporation and the Saint Lawrence Seaway Management Corporation of 
Canada by Fax at 315-764-3250 or at 613-932-5240.
    5. Revise Sec. 160.207 to read as follows:


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

    (a) The owner, agent, master, operator, or person in charge of a 
vessel on a voyage of:
    (1) 96 hours or more must submit the information under paragraph 
(b) of this section at least 96 hours before entering the port or place 
of destination;
    (2) Less than 96 hours but not less than 24 hours must submit the 
information under paragraph (b) of this section prior to departing the 
port or place of departure, but not less than 24 hours before entering 
the port or place of destination; or
    (3) Less than 24 hours must submit the information in paragraph (b) 
of this section prior to departing the port or place of departure.
    (b) Vessels required to submit a NOA report under paragraph (a) of 
this section must include the following information in the report:

[[Page 41667]]

    (1) Name of the vessel;
    (2) Country of registry of the vessel;
    (3) Call sign of the vessel;
    (4) International Maritime Organization (IMO) international number 
or, if the vessel does not have an assigned IMO international number, 
the official number of the vessel;
    (5) Name of the registered owner of the vessel;
    (6) Name of the operator of the vessel;
    (7) Name of the classification society of the vessel;
    (8) Provide the following for the last five ports or places visited 
--
    (i) The name of each port; and
    (ii) The dates of arrival and departure for each port listed;
    (9) For each destination list the names of the receiving facility, 
the port or place in the United States, the city, and state;
    (10) Estimated date and time of arrival at each port or place 
listed;
    (11) Estimated date and time of departure from each port or place 
listed;
    (12) Location (port or place and country) or position (latitude and 
longitude) of the vessel at the time of reporting;
    (13) Name and telephone number of a 24-hour point of contact for 
each port included in the notice of arrival;
    (14) General description of cargo onboard the vessel (e.g.: grain, 
container, oil, etc.);
    (15) A list of crewmembers onboard the vessel. The list must 
include the following information for each person:
    (i) Full name;
    (ii) Any other name including alias, nickname, maiden name, 
professional or stage name by which each individual has been known;
    (iii) Date of birth;
    (iv) Nationality;
    (v) Passport number or mariners document number (type of 
identification and number);
    (vi) Position or duties on the vessel; and
    (vii) Where the crewmember embarked (list port or place and 
country);
    (16) A list of persons in addition to the crew onboard the vessel. 
The list must include the following information for each person:
    (i) Full name;
    (ii) Date of birth;
    (iii) Nationality;
    (iv) Passport number; and
    (v) Where the person embarked; and
    (17) Cargo Declaration (Customs Form 1302) as described in 19 CFR 
4.7(a).
    (c) You may submit a copy of INS Form I-418 to satisfy the 
requirements of paragraphs (b)(15)(i), (b)(15)(iii) through (vi), and 
(b)(16) of this section.
    (d) International Safety Management (ISM) Code (Chapter IX of 
SOLAS) Notice. If you are the owner, agent, master, operator, or person 
in charge of a passenger vessel carrying more than 12 passengers and 
engaged on a foreign voyage to the United States or a tank vessel, bulk 
freight vessel, high speed freight vessel, other type of freight 
vessel, or a self propelled mobile offshore drilling unit that is 500 
gross tons or more and engaged on a foreign voyage to the United 
States, you must provide the ISM Code notice described in paragraph (e) 
of this section.
    (e) ISM Code notice includes the following:
    (1) The date of issuance for the company's Document of Compliance 
certificate that covers the vessel.
    (2) The date of issuance for the vessel's Safety Management 
Certificate, and,
    (3) The name of the Flag Administration, or the recognized 
organization(s) representing the vessel flag administration, that 
issued those certificates.
    (f) Any vessel planning to enter two or more consecutive ports or 
places in the United States during a single voyage may submit one 
consolidated Notification of Arrival at least 96 hours before entering 
the first port or place of destination. The consolidated notice must 
include the port name and estimated arrival date for each destination 
of the voyage. Any vessel submitting a consolidated notice under this 
section must still meet the requirements of Sec. 160.214 of this part 
concerning changes to required information.
    6. Revise Sec. 160.211 to read as follows:


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

    (a) The owner, agent, master, operator, or person in charge of a 
vessel, other than a barge, carrying certain dangerous cargo and bound 
for a port or place in the United States that is:
    (1) 96 hours or more away from the vessel's port of destination 
must report the information in paragraph (d) of this section at least 
96 hours before entering the port or place of destination;
    (2) Less than 96 hours but not less than 24 hours away from the 
vessel's port of destination must report the information in paragraph 
(d) of this section prior to departing the port or place of departure, 
but not less than 24 hours before entering the port or place of 
destination; or
    (3) Less than 24 hours away from the vessel's port of destination 
must report the information in paragraph (d) of this section prior to 
departing the port or place of departure.
    (b) The owner, agent, master, operator, or person in charge of a 
barge carrying certain dangerous cargo, that is:
    (1) 24 hours or greater away from the vessel's port of destination 
must report the information required in paragraphs (d)(1) through 
(d)(3) and (d)(7) through (d)(20) of this section at least 12 hours 
before entering that port or place; or
    (2) Less than 24 hours away from the vessel's port of destination 
must report the information required in paragraphs (d)(1) through 
(d)(3) and (d)(7) through (d)(20) of this section prior to departing 
the port or place of departure.
    (c) A vessel submitting a notice of arrival under this section 
satisfies the notice requirements under Sec. 160.207.
    (d) The following information must be submitted as prescribed by 
Sec. 160.204:
    (1) Name of the vessel;
    (2) Country of registry of the vessel;
    (3) Call sign of the vessel;
    (4) International Maritime Organization (IMO) international number 
or, if the vessel does not have an assigned IMO international number, 
the official number of the vessel;
    (5) Name of the registered owner of the vessel;
    (6) Name of the operator of the vessel;
    (7) Name of the classification society of the vessel;
    (8) Provide the following for the last five ports or places 
visited--
    (i) The name of each port; and
    (ii) The dates of arrival and departure for each port listed;
    (9) For each destination list the names of the receiving facility, 
the port or place in the United States, the city, and state;
    (10) Estimated date and time of arrival at each port or place 
listed;
    (11) Estimated date and time of departure from each port or place 
listed;
    (12) Location (port or place and country) or position (latitude and 
longitude) of the vessel at the time of reporting;
    (13) Name and telephone number of a 24-hour point of contact for 
each port included in the notice of arrival;
    (14) Name of each of the certain dangerous cargoes carried, 
including cargo UN number, if applicable;
    (15) Amount of each of the certain dangerous cargoes carried;
    (16) Stowage location of each of the certain dangerous cargoes 
carried;
    (17) General description of cargo, other than dangerous cargoes, 
onboard the vessel;
    (18) Operational condition of the equipment under Sec. 164.35 of 
this chapter;

[[Page 41668]]

    (19) A list of crewmembers onboard the vessel. The list must 
include the following information for each person:
    (i) Full name;
    (ii) Any other name including alias, nickname, maiden name, 
professional or stage name by which each individual has been known;
    (iii) Date of birth;
    (iv) Nationality;
    (v) Passport number or mariners document number (type of 
identification and number);
    (vi) Position or duties on the vessel; and
    (vii) Where the crewmember embarked (list port or place and 
country);
    (20) A list of persons in addition to the crew onboard the vessel. 
The list must include the following information for each person:
    (i) Full name;
    (ii) Date of birth;
    (iii) Nationality;
    (iv) Passport number; and
    (v) Where the person embarked; and
    (21) Cargo Declaration (Customs Form 1302) as described in 19 CFR 
4.7(a).
    (e) You may submit a copy of INS Form I-418 to meet the 
requirements of paragraphs (d)(19)(i), (d)(19)(iii) through (vi), and 
(d)(20) of this section.
    (f) Any vessel planning to enter two or more consecutive ports or 
places in the United States during a single voyage may submit one 
consolidated Notification of Arrival at least 96 hours before entering 
the first U.S. port or place of destination. The consolidated notice 
must include the port name and estimated arrival date for each 
destination of the voyage. Any vessel submitting a consolidated notice 
under this section must still meet the requirements of Sec. 160.214 of 
this part concerning changes to required information.


Sec. 160.213  [Removed and Reserved]

    7. Remove Sec. 160.213.
    8. Add Sec. 160.214 to read as follows:


Sec. 160.214  Requirements for submitting changes to notice of arrival 
reports.

    (a) The owner, agent, master, operator, or person in charge of a 
vessel, other than a barge, that is:
    (1) 96 hours or more away from the vessel's port of destination 
must report the information in paragraph (d) of this section as soon as 
practicable but not less than 24 hours before entering the port of 
destination;
    (2) Less than 96 hours but not less than 24 hours away from the 
vessel's port of destination must report the information in paragraph 
(d) of this section as soon as practicable but not less than 24 hours 
before entering the port of destination; or
    (3) Less than 24 hours away from the vessel's port of destination 
must report the information in paragraph (d) of this section as soon as 
practicable but no less than 12 hours before entering the port of 
destination.
    (b) The owner, agent, master, operator, or person in charge of a 
barge carrying certain dangerous cargo must report the information in 
paragraph (d) of this section as soon as practicable but not less than 
12 hours before entering the port of destination;
    (c) The owner, agent, master, operator, or person in charge of a 
vessel, other than a barge, carrying certain dangerous cargo and bound 
for a port or place in the United States that is less than 24 hours 
away from the vessel's port of destination must report the information 
in paragraph (d) of this section as soon as practicable but not less 
than 12 hours before entering the port of destination.
    (d) Each owner, agent, master, operator, or person in charge of a 
vessel required to report a notice of arrival under Secs. 160.207 and 
160.211 of this part must submit a notice of change as detailed in 
paragraphs (a) and (b) of this section if any of the required notice of 
arrival information has changed, except that:
    (1) Changes in arrival or departure time that are less than six (6) 
hours need not be reported; and
    (2) Changes in vessel position need only be reported when an update 
is otherwise required.
    (e) When reporting changes do not resubmit the entire NOA report, 
only report--
    (1) Specific items to be corrected in the submitted NOA report; and
    (2) Include the new location or position of the vessel at the time 
of reporting changes.

    Dated: June 13, 2002.
Paul J. Pluta,
Rear Admiral, U.S. Coast Guard, Assistant, Commandant for Marine 
Safety, Security and Environmental Protection.
[FR Doc. 02-15432 Filed 6-14-02; 1:38 pm]
BILLING CODE 4910-15-P