[Title 33 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2001 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

          33
          Parts 125 to 199
          Revised as of July 1, 2001

          Navigation and Navigable Waters





          Containing a codification of documents 
          of general applicability and future effect

          As of July 1, 2001

          With Ancillaries

          Published by
          Office of the Federal Register
          National Archives and Records
          Administration

          A Special Edition of the Federal Register



[[Page ii]]

                                      




                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 2001



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                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 33:
          Chapter I--Coast Guard, Department of Transportation 
          (Continued)                                                3
  Finding Aids:
      Material Approved for Incorporation by Reference........     805
      Table of CFR Titles and Chapters........................     811
      Alphabetical List of Agencies Appearing in the CFR......     829
      List of CFR Sections Affected...........................     839



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                     ----------------------------

                     Cite this Code:  CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 33 CFR 125.01 refers 
                       to title 33, part 125, 
                       section 01.

                     ----------------------------

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, July 1, 2001), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For 
the period beginning January 1, 1986, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call (202) 523-4534.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules (Table I). A list of CFR titles, chapters, 
and parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

[[Page vii]]


REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-523-5227 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408 or e-mail 
info@fedreg.nara.gov.

SALES

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site also contains links to GPO Access.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

July 1, 2001.



[[Page ix]]



                               THIS TITLE

    Title 33--Navigation and Navigable Waters is composed of three 
volumes. The contents of these volumes represent all current regulations 
codified under this title of the CFR as of July 1, 2001. The first and 
second volumes, parts 1-124 and 125-199, contain current regulations of 
the Coast Guard, Department of Transportation. The third volume, part 
200 to End, contains current regulations of the Corps of Engineers, 
Department of the Army, and the Saint Lawrence Seaway Development 
Corporation, Department of Transportation.

    In volumes one and two, subject indexes follow the subchapters. A 
redesignation table also appears in the Finding Aids section of the 
first volume.

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[[Page 1]]



                TITLE 33--NAVIGATION AND NAVIGABLE WATERS




                  (This book contains parts 125 to 199)

  --------------------------------------------------------------------
                                                                    Part

chapter i--Coast Guard, Department of Transportation 
  (Continued)...............................................         125

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    CHAPTER I--COAST GUARD, DEPARTMENT OF TRANSPORTATION (CONTINUED)




  --------------------------------------------------------------------

                   SUBCHAPTER L--WATERFRONT FACILITIES
Part                                                                Page
125             Identification credentials for persons 
                    requiring access to waterfront 
                    facilities or vessels...................           7
126             Handling of Class 1 (explosive) materials or 
                    other dangerous cargoes within or 
                    contiguous to waterfront facilities.....          16
127             Waterfront facilities handling liquefied 
                    natural gas and liquefied hazardous gas.          24
128             Security of passenger terminals.............          48
                Index to subchapter L.......................          53
SUBCHAPTER M--MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION
133             Oil spill liability trust fund; State access          57
135             Offshore oil pollution compensation fund....          59
136             Oil spill liability trust fund; claims 
                    procedures; designation of source; and 
                    advertisement...........................          67
138             Financial responsibility for water pollution 
                    (vessels)...............................          77
                Index to subchapter M.......................         129
            SUBCHAPTER N--OUTER CONTINENTAL SHELF ACTIVITIES
140             General.....................................         133
141             Personnel...................................         139
142             Workplace safety and health.................         143
143             Design and equipment........................         146
144             Lifesaving appliances.......................         150
145             Fire-fighting equipment.....................         153
146             Operations..................................         155
147             Safety zones................................         161
                Index to subchapter N.......................         167
                     SUBCHAPTER NN--DEEPWATER PORTS
148             General.....................................         174

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149             Design, construction, and equipment.........         200
150             Operations..................................         215
                Index to subchapter NN......................         235
                         SUBCHAPTER O--POLLUTION
151             Vessels carrying oil, noxious liquid 
                    substances, garbage, municipal or 
                    commercial waste, and ballast water.....         241
153             Control of pollution by oil and hazardous 
                    substances, discharge removal...........         286
154             Facilities transferring oil or hazardous 
                    material in bulk........................         293
155             Oil or hazardous material pollution 
                    prevention regulations for vessels......         367
156             Oil and hazardous material transfer 
                    operations..............................         433
157             Rules for the protection of the marine 
                    environment relating to tank vessels 
                    carrying oil in bulk....................         445
158             Reception facilities for oil, noxious liquid 
                    substances, and garbage.................         505
159             Marine sanitation devices...................         516
                Index to subchapter O.......................         529
                SUBCHAPTER P--PORTS AND WATERWAYS SAFETY
160             Ports and waterways safety--general.........         541
161             Vessel traffic management...................         549
162             Inland waterways navigation regulations.....         564
163             Towing of barges............................         587
164             Navigation safety regulations...............         588
165             Regulated navigation areas and limited 
                    access areas............................         610
166             Shipping safety fairways....................         692
167             Offshore traffic separation schemes.........         703
168             Escort requirements for certain tankers.....         713
169             Ship reporting systems......................         715
                Index to subchapter P.......................         719
                      SUBCHAPTERS Q--R  [RESERVED]
                      SUBCHAPTER S--BOATING SAFETY
173             Vessel numbering and casualty and accident 
                    reporting...............................         728
174             State numbering and casualty reporting 
                    systems.................................         734
175             Equipment requirements......................         738
177             Correction of especially hazardous 
                    conditions..............................         743
179             Defect notification.........................         748
181             Manufacturer requirements...................         749
183             Boats and associated equipment..............         754

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184--186        [Reserved]
187             Vessel identification system................         787
188--199        [Reserved]
                Index to subchapter S.......................         797

Cross References: United States Customs Service, Department of the 
  Treasury: 19 CFR Chapter I.

  Coast Guard regulations relating to shipping: 46 CFR Chapter I.

  Federal Communications Commission: Stations on shipboard in the 
maritime services: 47 CFR, Part 80.

  Maritime Administration, Department of Transportation: 46 CFR Chapter 
II.

  Federal Maritime Commission: 46 CFR Chapter IV.


  Note: Other regulations issued by the Department of Transportation 
appear in Titles 14, I; 23, I, II; 33, I, IV; 44, IV; 46, I, II, III; 
48, Chapter 12, and 49 Subtitle A, I, II, III, IV, V, and VI.


Abbreviations: The following abbreviations are used in this chapter:
    BMC=Chief Boatswains Mate. CGFR=Coast Guard Federal Register 
  document number. CG=Coast Guard. EM=Electrician's Mate. LS=Lightship. 
  NC=Flag hoist meaning, ``I am in distress and require immediate 
  assistance.'' NCG=Call letters for any Coast Guard Shore Radio 
  Station. OAN=Aids to Navigation Division. PTP=Training and 
  Procurement. U.S.C.G.=United States Coast Guard.

[[Page 7]]





                   SUBCHAPTER L--WATERFRONT FACILITIES


PART 125--IDENTIFICATION CREDENTIALS FOR PERSONS REQUIRING ACCESS TO WATERFRONT FACILITIES OR VESSELS--Table of Contents




Sec.
125.01  Commandant.
125.03  District Commander.
125.05  Captain of the Port.
125.06  Western rivers.
125.07  Waterfront facility.
125.08  Great Lakes.
125.09  Identification credentials.
125.11  Form of Coast Guard Port Security Card.
125.12  Period of validity of Coast Guard Port Security Cards.
125.13  Captain of the Port Identification Cards.
125.15  Access to waterfront facilities, and port and harbor areas, 
          including vessels and harbor craft therein.
125.17  Persons eligible for Coast Guard Port Security Cards.
125.19  Standards.
125.21  Applications.
125.23  United States citizens.
125.25  Aliens.
125.27  Sponsorship of applicant.
125.29  Insufficient information.
125.31  Approval of applicant by Commandant.
125.33  Holders of Coast Guard Port Security Cards.
125.35  Notice by Commandant.
125.37  Hearing Boards.
125.39  Notice by Hearing Board.
125.41  Challenges.
125.43  Hearing procedure.
125.45  Action by Commandant.
125.47  Appeals.
125.49  Action by Commandant after appeal.
125.51  Replacement of lost Coast Guard Port Security Card.
125.53  Requirements for credentials; certain vessels operating on 
          navigable waters of the United States (including the Great 
          Lakes and Western Rivers).
125.55  Outstanding Port Security Card Applications.
125.57  Applications previously denied.

    Authority: R.S. 4517, 4518, secs. 19, 2, 23 Stat. 58, 118, sec. 7, 
49 Stat. 1936, sec. 1, 40 Stat. 220; 46 U.S.C. 570-572, 2, 689, 50 
U.S.C. 191, EO 10173, EO 10277, EO 10352, 3 CFR, 1949-1953 Comp. pp. 
356, 778, 873.

    Source: CGFR 56-15, 21 FR 2940, May 3, 1956, unless otherwise noted.



Sec. 125.01  Commandant.

    The term Commandant means Commandant of the Coast Guard.



Sec. 125.03  District Commander.

    The term District Commander means the officer of the Coast Guard 
designated by the Commandant to command a Coast Guard District.



Sec. 125.05  Captain of the Port.

    The term Captain of the Port means the officer of the Coast Guard, 
under the command of a District Commander, so designated by the 
Commandant for the purpose of giving immediate direction to Coast Guard 
law enforcement activities within the general proximity of the port in 
which he is situated.



Sec. 125.06  Western rivers.

    The term western rivers as used in the regulations in this 
subchapter shall include only the Red River of the North, the 
Mississippi River and its tributaries above the Huey P. Long Bridge, and 
that part of the Atchafalaya River above its junction with the 
Plaquemine-Morgan City alternate waterway.

[CGFR 57-52, 22 FR 10301, Dec. 20, 1957]



Sec. 125.07  Waterfront facility.

    The term waterfront facility as used in this subchapter, means all 
piers, wharves, docks, and similar structures to which vessels may be 
secured, buildings on such structures or contiguous to them, and 
equipment and materials on such structures or in such buildings.



Sec. 125.08  Great Lakes.

    The term Great Lakes as used in the regulations in this subchapter 
shall include the Great Lakes and their connecting and tributary waters.

[CGFR 57-52, 22 FR 10301, Dec. 20, 1957]



Sec. 125.09  Identification credentials.

    The term Identification credentials as used in this subchapter, 
means any of the following:
    (a) Coast Guard Port Security Card (Form CG 2514).

[[Page 8]]

    (b) Merchant Mariner's Document.
    (c) Armed Forces Identification Card.
    (d) Identification credentials issued by Federal Law enforcement and 
intelligence agencies to their officers and employees (e. g., Department 
of the Treasury, Department of Justice, Federal Communications 
Commission).
    (e) Identification credentials issued to public safety officials (e. 
g., police, firemen) when acting within the scope of their employment.
    (f) Such other identification as may be approved by the Commandant 
from time to time.

[CGD 56-15, 21 FR 2940, May 3, 1956, as amended by CGD 77-228, 43 FR 
53427, Nov. 16, 1978]



Sec. 125.11  Form of Coast Guard Port Security Card.

    The Coast Guard Port Security Card issued by the Coast Guard under 
the provisions of this subchapter shall be a laminated card bearing 
photograph, signature, fingerprint, and personal description of the 
holder, and other pertinent data.



Sec. 125.12  Period of validity of Coast Guard Port Security Cards.

    (a) The Coast Guard Port Security Card (Form CG-2514) shall be valid 
for a period of eight years from the date of issuance thereof unless 
sooner suspended or revoked by proper authority. On the first day after 
eight years from the date of issuance, the Coast Guard Port Security 
Card (Form CG-2514) is hereby declared invalid and shall be considered 
null and void for all purposes.
    (b) The holder of a Coast Guard Port Security Card, which is about 
to expire or has expired, may apply for a new Coast Guard Port Security 
Card in accordance with the procedures set forth in Sec. 125.21. In the 
event the applicant's Coast Guard Port Security Card has expired, such 
card shall accompany the application for a new Coast Guard Port Security 
Card. In the event the applicant is holding a valid Coast Guard Port 
Security Card at the time he submits his application for a new card, 
such person shall surrender the old or expired Coast Guard Port Security 
Card at the time he is issued a new Coast Guard Port Security Card. In 
the event the old Coast Guard Port Security Card was lost, stolen, or 
destroyed, then the applicant shall comply with the provisions in 
Sec. 125.51, regarding the replacement of a lost Coast Guard Port 
Security Card and the new card issued as a replacement for a lost card 
which has expired or is about to expire shall bear a current issuance 
date.

[CGFR 58-52, 23 FR 9751, Dec. 18, 1958]



Sec. 125.13  Captain of the Port Identification Cards.

    Captain of the Port Identification Cards issued under the form 
designation ``Form CG 2514'' prior to the revision of August 1950 were 
declared invalid by a notice published in the Federal Register on 
September 11, 1946 (11 FR 10103), which declaration is hereby 
reaffirmed.



Sec. 125.15  Access to waterfront facilities, and port and harbor areas, including vessels and harbor craft therein.

    (a) The Commandant will, from time to time, direct Captains of the 
Port of certain ports to prevent access of persons who do not possess 
one or more of the identification credentials listed in Sec. 125.09 to 
those waterfront facilities, and port and harbor areas, including 
vessels and harbor craft therein, where the following shipping 
activities are conducted:
    (1) Those vital to the Military Defense Assistance Program.
    (2) Those pertaining to the support of U.S. military operations.
    (3) Those pertaining to loading and unloading explosives and other 
dangerous cargo.
    (4) Those essential to the interests of national security and 
defense, to prevent loss, damage or injury, or to insure the observance 
of rights and obligations of the United States.
    (b) No person who does not possess one of the identification 
credentials aforesaid shall enter or remain in such facilities, or port 
or harbor areas, including vessels and harbor craft therein.
    (c) The Captain of the Port shall give local public notice of the 
restriction of access to waterfront facilities, and port and harbor 
areas, including vessels and harbor craft therein, as far in advance

[[Page 9]]

as practicable, and shall cause such facilities and areas to be suitably 
marked as to such restriction.

[CGFR 56-15, 21 FR 2940, May 3, 1956, as amended by CGFR 58-43, 23 FR 
8542, Nov. 1, 1958]



Sec. 125.17  Persons eligible for Coast Guard Port Security Cards.

    (a) Only the following persons may be issued Coast Guard Port 
Security Cards:
    (1) Persons regularly employed on vessels or on waterfront 
facilities.
    (2) Persons having regular public or private business connected with 
the operation, maintenance, or administration of vessels, their cargoes, 
or waterfront facilities.
    (b) A holder of a Merchant Mariner's Document shall not be issued a 
Port Security Card, unless his Merchant Mariner's Document is 
surrendered to the Coast Guard. In this connection, see Sec. 125.09.

[CGFR 62-39, 27 FR 11259, Nov. 15, 1962, as amended by CGD 77-228, 43 FR 
53427, Nov. 16, 1978]



Sec. 125.19  Standards.

    Information concerning an applicant for a Coast Guard Port Security 
Card, or a holder of such card, which may preclude a determination that 
his character and habits of life are such as to warrant the belief that 
his presence on waterfront facilities, and port and harbor areas, 
including vessels and harbor craft therein, would not be inimical to the 
security of the United States, shall relate to the following:
    (a) Advocacy of the overthrow or alteration of the Government of the 
United States by unconstitutional means.
    (b) Commission of, or attempts or preparations to commit, an act of 
espionage, sabotage, sedition or treason, or conspiring with, or aiding 
or abetting another to commit such an act.
    (c) Performing, or attempting to perform, duties or otherwise acting 
so as to serve the interests of another government to the detriment of 
the United States.
    (d) Deliberate unauthorized disclosure of classified defense 
information.
    (e) [Reserved]
    (f) Having been adjudged insane, having been legally committed to an 
insane asylum, or treated for serious mental or neurological disorder, 
without evidence of cure.
    (g) Having been convicted of any of the following offenses, 
indicative of a criminal tendency potentially dangerous to the security 
of such waterfront facilities and port and harbor areas, including 
vessels and harbor craft therein; arson, unlawful trafficking in drugs, 
espionage, sabotage, or treason.
    (h) Drunkenness on the job or addiction to the use of narcotic 
drugs, without adequate evidence of rehabilitation.
    (i) Illegal presence in the United States, its territories or 
possessions; having been found finally subject to deportation order by 
the United States Immigration and Naturalization Service.

[CGFR 56-15, 21 FR 2940, May 3, 1956, as amended by 37 FR 23422, Nov. 3, 
1972]



Sec. 125.21  Applications.

    (a)(1) Application for a Coast Guard Port Security Card shall be 
made under oath in writing and shall include applicant's answers in full 
to inquiries with respect to such matters as are deemed by the 
Commandant to be pertinent to the standards set forth in Sec. 125.19, 
and to be necessary for a determination whether the character and habits 
of life of the applicant are such as to warrant the belief that his 
presence on waterfront facilities, and port and harbor areas, including 
vessels and harbor craft therein, would not be inimical to the security 
of the United States.
    (2) The application also shall include applicant's complete 
identification, citizenship record, personal description, military 
record, if any, and a statement of the applicant's sponsor certifying 
the applicant's employment or union membership and that applicant's 
statements are true and correct to the best of sponsor's knowledge.
    (3) The application shall be accompanied by two unmounted, dull 
finish photographs, 1 inch x 1\15/16\ inches, of passport type, taken 
within one year of the date of application. The photograph shall show 
the full face with the head uncovered and shall be a clear and

[[Page 10]]

satisfactory likeness of the applicant. It shall portray the largest 
image of the head and upper shoulders possible within the dimensions 
specified.
    (4) Fingerprint records on each applicant shall be taken by the 
Coast Guard at the time application is submitted.
    (5) The applicant shall present satisfactory proof of his 
citizenship.
    (6) The applicant shall indicate the address to which his Coast 
Guard Port Security Card can be delivered to him by mail. Under special 
circumstances the applicant may arrange to call in person for the Coast 
Guard Port Security Card.
    (7) The applicant shall present his application, in person, to a 
Coast Guard Port Security Unit designated to receive such applications. 
Such units will be located in or near each port where Coast Guard Port 
Security Cards are required. Each Captain of the Port shall forward 
promptly to the Commandant each application for a Coast Guard Port 
Security Card received by him.
    (b) If an applicant fails or refuses to furnish the required 
information or to make full and complete answer with respect to all 
matters of inquiry, the Commandant shall hold in abeyance further 
consideration of the application, and shall notify the applicant that 
further action will not be taken unless and until the applicant 
furnishes the required information and fully and completely answers all 
inquiries directed to him.

[CGFR 59-63, 25 FR 1589, Feb. 24, 1960]



Sec. 125.23  United States citizens.

    Acceptable evidence of United States citizenship is described in 
this section in the order of its desirability; however, the Coast Guard 
will reject any evidence not believed to be authentic;
    (a) Birth certificate or certified copy thereof.
    (b) Certificate of naturalization. This shall be presented by all 
persons claiming citizenship through naturalization.
    (c) Baptismal certificate or parish record recorded within one year 
after birth.
    (d) Statement of a practicing physician certifying that he attended 
the birth and that he has a record in his possession showing the date 
and place of birth.
    (e) United States passport.
    (f) A commission in one of the armed forces of the United States, 
either regular or reserve; or satisfactory documentary evidence of 
having been commissioned in one of the armed forces subsequent to 
January 1, 1936, provided such commission or evidence shows the holder 
to be a citizen.
    (g) A continuous discharge book, or Merchant Mariner's Document 
issued by the Coast Guard which shows the holder to be a citizen of the 
United States.
    (h) If an applicant claiming to be a citizen of the United States 
submits a delayed certificate of birth issued under a State's seal, it 
may be accepted as prima facie evidence of citizenship if no one of the 
requirements in paragraphs (a) through (g) of this section can be met by 
the applicant and in the absence of any collateral facts indicating 
fraud in its procurement.
    (i) If no one of the requirements in paragraphs (a) through (h) of 
this section can be met by the applicant, he should make a statement to 
that effect, and in an attempt to establish citizenship, he may submit 
for consideration data of the following character:
    (1) Report of the Census Bureau showing the earliest record of age 
or birth available. Request for such information should be addressed to 
the Director of the Census, Suitland, Md. 20233. In making such request, 
definite information must be furnished the Census Bureau as to the place 
of residence when the first census was taken after the birth of the 
applicant, giving the name of the street and the number of the house, or 
other identification of place where living, etc.; also names of parents 
or the names of other persons with whom residing on the date specified.
    (2) School records, immigration records, or insurance policies (the 
latter must be at least 10 years old).



Sec. 125.25  Aliens.

    Alien registration records together with other papers and documents 
which indicated the country of which

[[Page 11]]

the applicant is a citizen shall be accepted as evidence of citizenship 
in a foreign nation.



Sec. 125.27  Sponsorship of applicant.

    Applications for a Coast Guard Port Security Card shall not be 
accepted unless sponsored. The applicant shall be sponsored by an 
authorized official of applicant's employer or by an authorized official 
of applicant's labor union. Each company and each labor union concerned 
shall file with the appropriate Captain of the Port a list of officials 
of the company or union who are authorized to sponsor applicants. Other 
sponsorship may be accepted where the circumstances warrant.



Sec. 125.29  Insufficient information.

    (a)(1) If, in the judgment of the Commandant, an application does 
not contain sufficient information to enable him to satisfy himself that 
the character and habits of life of the applicant are such to warrant 
the belief that his presence on waterfront facilities, and port and 
harbor areas, including vessels and harbor craft herein, would not be 
inimical to the security of the United States, the Commandant may 
require the applicant to furnish, under oath in writing or orally, such 
further information as he deems pertinent to the standards set forth in 
Sec. 125.19 and necessary to enable him to make such a determination.
    (2) If an applicant fails or refuses to furnish such additional 
information, the Commandant shall hold in abeyance further consideration 
of the application, and shall notify the applicant that further action 
will not be taken unless and until the applicant furnishes such 
information.
    (b) Upon receipt, the application and such further information as 
the Commandant may have required shall be referred, except in those 
instances where action on an application is held in abeyance pursuant to 
Sec. 125.21(b) or to paragraph (a)(2) of this section, to a committee 
composed of a representative of the Legal Division, of the Merchant 
Vessel Personnel Division and of the Intelligence Division, Coast Guard 
Headquarters. The committee shall prepare an analysis of the available 
information and shall make recommendations for action by the Commandant.

[CGFR 59-63, 25 FR 1589, Feb. 24, 1960]



Sec. 125.31  Approval of applicant by Commandant.

    (a) If the Commandant is satisfied that the character and habits of 
life of the applicant are not such as to warrant the belief that his 
presence on waterfront facilities, and port and harbor areas, including 
vessels and harbor craft therein, would be inimical to the security of 
the United States, he will direct that a Coast Guard Port Security Card 
be issued to the applicant.
    (b) If the Commandant is not satisfied that the character and habits 
of life of the applicant are such as to warrant the belief that his 
presence on waterfront facilities, and port and harbor areas, including 
vessels and harbor craft therein, would not be inimical to the security 
of the United States, he will notify the applicant in writing as 
provided for in Sec. 125.35.



Sec. 125.33  Holders of Coast Guard Port Security Cards.

    (a) Whenever the Commandant is not satisfied that the character and 
habits of life of a holder of a Coast Guard Port Security Card are such 
as to warrant the belief that his presence on waterfront facilities and 
port and harbor areas, including vessels and harbor craft therein, would 
not be inimical to the security of the United States, he will request 
the holder to furnish, under oath in writing, such information as he 
deems pertinent and necessary for a determination on this issue.
    (b) If the holder fails or refuses to furnish such information 
within thirty (30) days after receipt of the Commandant's request, the 
Commandant may issue the written notice provided for in Sec. 125.35(a).
    (c) The holder's failure or refusal to furnish such information 
shall preclude a determination that the holder's character and habits of 
life are such as to warrant the belief that his presence on waterfront 
facilities, and port and harbor areas, including vessels and harbor 
craft therein, would not be inimical to the security of the United 
States.

[[Page 12]]

    (d) Upon receipt of such information as the Commandant may have 
required, the procedure prescribed in Sec. 125.29(b) shall be followed.
    (e) If the Commandant is satisfied that the character and habits of 
life of the holder are such as to warrant the belief that his presence 
on waterfront facilities, and port and harbor areas, including vessels 
and harbor craft therein, would not be inimical to the security of the 
United States, he shall notify the holder accordingly.
    (f) If the Commandant is not satisfied that the character and habits 
of life of the holder are such as to warrant the belief that his 
presence on waterfront facilities, and port and harbor areas, including 
vessels and harbor craft therein, would not be inimical to the security 
of the United States, he shall notify the holder in writing as provided 
for in Sec. 125.35.

[CGFR 59-63, 25 FR 1589, Feb. 24, 1960]



Sec. 125.35  Notice by Commandant.

    (a) The notice provided for in Secs. 125.31 and 125.33 shall contain 
a statement of the reasons why the Commandant is not satisfied that the 
character and habits of life of the applicant or holder are such as to 
warrant the belief that his presence on waterfront facilities, and port 
and harbor areas, including vessels and harbor craft therein, would not 
be inimical to the security of the United States. Such notice shall be 
as specific and detailed as the interests of national security shall 
permit and shall include pertinent information such as names, dates, and 
places in such detail as to permit reasonable answer.
    (b) The applicant or holder shall have 20 days from the date of 
receipt of the notice of reasons to file written answer thereto. Such 
answer may include statements or affidavits by third parties or such 
other documents or evidence as the applicant or holder deems pertinent 
to the matters in question.
    (c) Upon receipt of such answer the procedure prescribed in 
Sec. 125.29(b) shall be followed.
    (d) If the Commandant is satisfied that the character and habits of 
life of the applicant or holder are such as to warrant the belief that 
his presence on waterfront facilities, and port and harbor areas, 
including vessels and harbor craft therein, would not be inimical to the 
security of the United States, he shall, in the case of an applicant, 
direct that a Coast Guard Port Security Card be issued to the applicant, 
or, in the case of a holder, notify him accordingly.
    (e) If the Commandant is not satisfied that the applicant's or 
holder's character and habits of life are such as to warrant the belief 
that his presence on waterfront facilities, and port and harbor areas, 
including vessels and harbor craft therein, would not be inimical to the 
security of the United States, the Commandant shall refer the matter to 
a Hearing Board for hearing and recommendation in accordance with the 
provisions of this part.



Sec. 125.37  Hearing Boards.

    The Commandant may establish a Hearing Board in each Coast Guard 
District. The Commandant shall designate for each Hearing Board a 
Chairman, who shall be, so far as practicable, an officer of the Coast 
Guard. The Commandant shall designate, so far as practicable, a second 
member from a panel of persons representing labor named by the Secretary 
of Labor, and a third member from a panel of persons representing 
management named by the Secretary of Labor.



Sec. 125.39  Notice by Hearing Board.

    Whenever the Commandant refers a matter to a Hearing Board, the 
Chairman shall:
    (a) Fix the time and place of the hearing;
    (b) Inform the applicant or holder of the names of the members of 
the Hearing Board, their occupations, and the businesses or 
organizations with which they are affiliated, of his privilege of 
challenge, and of the time and place of the hearing;
    (c) Inform the applicant or holder of his privilege to appear before 
the Hearing Board in person or by counsel or representative of his 
choice, and to present testimonial and documentary evidence in his 
behalf, and to cross-examine any witnesses appearing before the Board; 
and
    (d) Inform the applicant or holder that if within 10 days after 
receipt of

[[Page 13]]

the notice he does not request an opportunity to appear before the 
Hearing Board, either in person or by counsel or representative, the 
Hearing Board will proceed without further notice to him.



Sec. 125.41  Challenges.

    Within five days after receipt of the notice described in 
Sec. 125.39 the applicant or holder may request disqualification of any 
member of the Hearing Board on the grounds of personal bias or other 
cause. The request shall be accompanied by an affidavit setting forth in 
detail the facts alleged to constitute grounds for disqualification. The 
affidavit may be supplemented by an oral presentation if desired. If 
after due consideration the Chairman believes a challenged member is 
qualified notwithstanding the challenge, he shall notify the person who 
made the challenge and arrange to proceed with the hearing. If the 
person who made the challenge takes exception to the ruling of the 
Chairman, the exception and data relating to the claim of 
disqualification shall be made a matter of record. If the Chairman finds 
that there is reasonable ground for disqualification he shall furnish 
the person who made the challenge with the name of an alternate in lieu 
of the challenged member and arrange to proceed with the hearing. In the 
event the Chairman is challenged, he shall forthwith notify the 
Commandant, furnishing the grounds for the claim of disqualification, 
and the Commandant shall act upon the challenge in accordance with the 
foregoing procedure. In addition to the right to challenge for cause, a 
person who has requested a hearing shall have two peremptory challenges, 
one challenge for the management member and one challenge for the labor 
member of the Hearing Board. Should the management member be so 
challenged, the person who made the challenge may elect to have the 
management member replaced by another management member or by a member 
not representing either management or labor; if the member peremptorily 
challenged represents labor, the person who made the challenge may elect 
to have the labor member replaced by another labor member or by a member 
not representing either management or labor.



Sec. 125.43  Hearing procedure.

    (a) Hearings shall be conducted in an orderly manner and in a 
serious, businesslike atmosphere of dignity and decorum and shall be 
expedited as much as possible.
    (b) The hearing shall be in open or closed session at the option of 
the applicant or holder.
    (c) Testimony before the Hearing Board shall be given under oath or 
affirmation.
    (d) The Chairman of the Hearing Board shall inform the applicant or 
holder of his right to:
    (1) Participate in the hearing;
    (2) Be represented by counsel of his choice;
    (3) Present witnesses and offer other evidence in his own behalf and 
in refutation of the reasons set forth in the Notice of the Commandant; 
and
    (4) Cross-examine any witnesses offered in support of such reasons.
    (e) Hearings shall be opened by the reading of the Notice of the 
Commandant and the answer thereto. Any statement and affidavits filed by 
the applicant or holder may be incorporated in the record by reference.
    (f) The Hearing Board may, in its discretion, invite any person to 
appear at the hearing and testify. However, the Board shall not be bound 
by the testimony of such witness by reason of having called him and 
shall have full right to cross-examine the witness. Every effort shall 
be made to produce material witnesses to testify in support of the 
reasons set forth in the Notice of the Commandant, in order that such 
witnesses may be confronted and cross-examined by the applicant or 
holder.
    (g) The applicant or holder may introduce such evidence as may be 
relevant and pertinent. Rules of evidence shall not be binding on the 
Hearing Board, but reasonable restrictions may be imposed as to the 
relevancy, competency and materiality of matters considered. If the 
applicant or holder is, or may be, handicapped by the non-disclosure to 
him of confidential sources, or by the failure of witnesses to appear, 
the Hearing Board shall take the fact into consideration.
    (h) The applicant or holder or his counsel or representative shall 
have

[[Page 14]]

the right to control the sequence of witnesses called by him.
    (i) The Hearing Board shall give due consideration to documentary 
evidence developed by investigation, including membership cards, 
petitions bearing the applicant's or holder's signature, books, 
treatises or articles written by the applicant or holder and testimony 
by the applicant or holder before duly constituted authority.
    (j) Complete verbatim stenographic transcription shall be made of 
the hearing by qualified reporters and the transcript shall constitute a 
permanent part of the record. Upon request, the applicant or holder or 
his counsel or representative shall be furnished, without cost, a copy 
of the transcript of the hearing.
    (k) The Board shall reach its conclusion and base its determination 
on information presented at the hearing, together with such other 
information as may have been developed through investigation and 
inquiries or made available by the applicant or holder.
    (l) If the applicant or holder fails, without good cause shown to 
the satisfaction of the chairman, to appear personally or to be 
represented before the Hearing Board, the Board shall proceed with 
consideration of the matter.
    (m) The recommendation of the Hearing Board shall be in writing and 
shall be signed by all members of the Board. The Board shall forward to 
the Commandant, with its recommendation, a memorandum of reasons in 
support thereof. Should any member be in disagreement with the majority 
a dissent should be noted setting forth the reasons therefor. The 
recommendation of the Board, together with the complete record of the 
case, shall be sent to the Commandant as expeditiously as possible.



Sec. 125.45  Action by Commandant.

    (a) If, upon receipt of the Board's recommendation, the Commandant 
is satisfied that the character and habits of life of the applicant or 
holder are such as to warrant the belief that his presence on waterfront 
facilities, and port and harbor areas, including vessels and harbor 
craft therein, would not be inimical to the security of the United 
States, he shall, in the case of an applicant, direct that a Coast Guard 
Port Security Card be issued to the applicant, or, in the case of a 
holder, notify him accordingly.
    (b) If, upon receipt of the Board's recommendation, the Commandant 
is not satisfied that the character and habits of life of the applicant 
or holder are such as to warrant the belief that his presence on 
waterfront facilities, and port and harbor areas, including vessels and 
harbor craft therein, would not be inimical to the security of the 
United States, the Commandant shall:
    (1) In the case of an applicant, notify him that a Coast Guard Port 
Security Card will not be issued to the applicant, or,
    (2) In the case of a holder, revoke and require the surrender of his 
Coast Guard Port Security Card.
    (c) Such applicant or holder shall be notified of his right, and 
shall have 20 days from the receipt of such notice within which, to 
appeal under this part.



Sec. 125.47  Appeals.

    (a) The Commandant shall establish at Coast Guard Headquarters, 
Washington, DC, an Appeal Board to hear appeals provided for in this 
part. The Commandant shall designate for the Appeal Board a Chairman, 
who shall be so far as practicable, an officer of the Coast Guard. The 
Commandant shall designate, so far as practicable, a member from a panel 
of persons representing management nominated by the Secretary of Labor, 
and a member from a panel of persons representing labor nominated by the 
Secretary of Labor. The Commandant shall insure that persons designated 
as Appeal Board members have suitable security clearance. The Chairman 
of the Appeal Board shall make all arrangements incident to the business 
of the Appeal Board.
    (b) If an applicant or holder appeals to the Appeal Board within 20 
days after receipt of notice of his right to appeal under this part, his 
appeal shall be handled under the same procedure as that specified in 
Sec. 125.39, and the privilege of challenge may be exercised through the 
same procedure as that specified in Sec. 125.41.

[[Page 15]]

    (c) Appeal Board proceedings shall be conducted in the same manner 
as that specified in Sec. 125.43.



Sec. 125.49  Action by Commandant after appeal.

    (a) If, upon receipt of the Appeal Board's recommendation, the 
Commandant is satisfied that the character and habits of life of the 
applicant or holder are such as to warrant the belief that his presence 
on waterfront facilities, and port and harbor areas, including vessels 
and harbor craft therein, would not be inimical to the security of the 
United States, he shall, in the case of an applicant, direct that a 
Coast Guard Port Security Card be issued to the applicant, or in the 
case of a holder, notify him accordingly.
    (b) If, upon receipt of the Appeal Board's recommendation, the 
Commandant is not satisfied that the character and habits of life of the 
applicant or holder are such as to warrant the belief that his presence 
on waterfront facilities, and port and harbor areas, including vessels 
and harbor craft therein, would not be inimical to the security of the 
United States, the Commandant shall notify the applicant or holder that 
his appeal is denied.



Sec. 125.51  Replacement of lost Coast Guard Port Security Card.

    (a) Any person whose Coast Guard Port Security Card has been stolen, 
lost, or destroyed shall report that fact to a Coast Guard Port Security 
Unit or Captain of the Port as soon thereafter as possible.
    (b) A person who has lost a Coast Guard Port Security Card may apply 
for a replacement card by submitting ``An Application for Replacement of 
Lost Port Security Card'' (Form CG 2685A) to a Coast Guard Port Security 
Unit. A replacement will be issued only after a full explanation of the 
loss of the Coast Guard Port Security Card is made in writing to the 
Coast Guard and after a full check is made and authorization is granted 
by the Commandant.
    (c) Any person to whom a Coast Guard Port Security Card has been 
issued as a replacement for a lost card, shall immediately surrender the 
original card to the nearest Coast Guard Port Security Unit or Captain 
of the Port if the original card should be recovered.



Sec. 125.53  Requirements for credentials; certain vessels operating on navigable waters of the United States (including the Great Lakes and Western Rivers).

    (a) Every person desiring access to vessels, except public vessels, 
falling within any of the categories listed below, as a master, person 
in charge, or member of the crew thereof, shall be required to be in 
possession of one of the identification credentials listed in 
Sec. 125.09.
    (1) Towing vessels, barges, and lighters operating in the navigable 
waters of the continental United States other than the Great Lakes and 
Western Rivers.
    (2) Harbor craft, such as water taxis, junk boats, garbage disposal 
boats, bum boats, supply boats, repair boats, and ship cleaning boats, 
which in the course of their normal operations service or contact 
vessels, foreign or domestic, public or merchant, in the navigable 
waters of the continental United States other than the Great Lakes and 
Western Rivers.
    (b) The term ``master, person in charge, or member of the crew'' 
shall be deemed to include any person who serves on board in any 
capacity concerned with the operation, maintenance, or administration of 
the vessel or its cargo.
    (c) Where the Coast Guard Port Security Card (Form CG 2514) is to be 
used as the identification required by paragraph (a) of this section, 
application for such card may be made immediately by the persons 
concerned. The issuance of the Coast Guard Port Security Card shall be 
in the form and manner prescribed by Sec. 125.11.
    (d) At the discretion of the District Commander any person desiring 
access to vessels of the categories named in this section, who may be 
required by the provisions hereof to possess identification credentials, 
may be furnished a letter signed by the District Commander or the 
Captain of the Port and this letter shall serve in lieu of a Coast Guard 
Port Security Card and will authorize such access for a period not to 
exceed 60 days, and such a letter issued

[[Page 16]]

shall be deemed to be satisfactory identification within the meaning of 
Sec. 125.09. The issuance of the letter shall be subject to the 
following conditions:
    (1) The services of the person are necessary to avoid delay in the 
operation of the vessel;
    (2) The person does not possess one of the identification 
credentials listed in Sec. 125.09.
    (3) The person has filed his application for a Coast Guard Port 
Security Card or submits his application before the letter is issued; 
and,
    (4) The person has been screened by the District Commander or 
Captain of the Port and such officer is satisfied concerning the 
eligibility of the applicant to receive a temporary letter.

[CGFR 56-15, 21 FR 2940, May 3, 1956, as amended by CGFR 58-51, 21 FR 
9339, Nov. 30, 1956]



Sec. 125.55  Outstanding Port Security Card Applications.

    A person who has filed an application for a Coast Guard Port 
Security Card and who did not receive such a document prior to May 1, 
1956, shall submit a new application in accordance with the requirements 
of this part.

[CGFR 61-54, 26 FR 11862, Dec. 12, 1961]



Sec. 125.57  Applications previously denied.

    A person who has been denied a Coast Guard Port Security Card before 
May 1, 1956, may file a new application for such a document in 
accordance with the requirements of this part.



PART 126--HANDLING OF CLASS 1 (EXPLOSIVE) MATERIALS OR OTHER DANGEROUS CARGOES WITHIN OR CONTIGUOUS TO WATERFRONT FACILITIES--Table of Contents




Sec.
126.01  General definitions.
126.05  Designated waterfront facility.
126.07  Dangerous cargo.
126.09  Designated dangerous cargo.
126.10  Cargo of particular hazard.
126.11  Waiver authority based on local or unusual conditions.
126.13  Designation of waterfront facilities.
126.15  Conditions for designation as designated waterfront facility.
126.16  Conditions for designating a ``facility of particular hazard.''
126.17  Permits required for handling designated dangerous cargo.
126.19  Issuance of permits for handling designated dangerous cargo.
126.21  Permitted transactions.
126.23  Termination or suspension of permits.
126.25  Penalties for handling designated dangerous cargo without 
          permit.
126.27  General permit for handling dangerous cargo.
126.28  Ammonium nitrate, ammonium nitrate fertilizers, fertilizer 
          mixtures, or nitro carbo nitrate; general provisions.
126.29  Supervision and control of dangerous cargo.
126.31  Termination or suspension of general permit.
126.33  Penalties for handling dangerous cargo without permit.
126.35  Primary responsibility.
126.37  Separability.

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



Sec. 126.01  General definitions.

    Commandant means the Commandant of the United States Coast Guard.
    Captain of the Port (COTP) means the officer of the Coast Guard, 
under the command of a District Commander, so designated by the 
Commandant for the purpose of giving immediate direction to Coast Guard 
law enforcement activities within an assigned area.
    District Commander means the officer of the Coast Guard designated 
by the Commandant to command a Coast Guard District.
    Net tons means the net weight of a materials in tons.
    Net weight means a measure of weight referring only to the contents 
of a package, tank or container and does not include the weight of any 
packaging material, or containing devices.
    Waterfront facility means all piers, wharves, docks, and similar 
structures to which a vessel may be secured; areas of land, water, or 
land and water under and in immediate proximity to them; buildings on 
such structures or contiguous to them and equipment and materials on 
such structures or in such buildings. This term does not include 
facilities directly operated by the Department of Defense.

[CGD 78-023, 44 FR 4642, Jan. 22, 1979]

[[Page 17]]



Sec. 126.05  Designated waterfront facility.

    (a) Designated waterfront facility. The term designated waterfront 
facility means a waterfront facility designated by Sec. 126.13 for the 
handling and storage of, and for vessel loading and discharging of: any 
hazardous material subject to the Dangerous Cargoes Regulations in 46 
CFR part 148; and any hazardous material subject to the Hazardous 
Materials Regulations (49 CFR parts 170-179), except for those materials 
preceded by an ``A'' in the Hazardous Materials Table, in 49 CFR 172.101 
and for those materials carried as bulk liquids.
    (b) Facility of particular hazard means a designated waterfront 
facility that is authorized to handle a cargo of particular hazard, as 
defined in Sec. 126.10.

[CGD 78-023, 44 FR 4642, Jan. 22, 1979, as amended by CGD 75-238, 44 FR 
63675, Nov. 5, 1979; CGD 75-238, 45 FR 57393, Aug. 28, 1980; CGD 78-038, 
53 FR 3376, Feb. 7, 1988; CGD 86-034, 55 FR 36252, Sept. 4, 1990; CGD 
92-050, 59 FR 39965, Aug. 5, 1994; CGD 88-049, 60 FR 39794, Aug. 3, 
1995]



Sec. 126.07  Dangerous cargo.

    The term dangerous cargo means all explosives and other hazardous 
materials or cargo covered by--
    (a) Dangerous Cargoes, 46 CFR part 148; or
    (b) Hazardous Materials, 49 CFR parts 170-179, except for those 
materials preceded by an ``A'' in the hazardous Materials Table, 49 CFR 
172.101.

[CGD 78-023, 44 FR 4643, Jan. 22, 1979, as amended by CGD 86-034, 55 FR 
36252, Sept. 4, 1990; CGD 92-050, 59 FR 39965, Aug. 5, 1994]



Sec. 126.09  Designated dangerous cargo.

    The term designated dangerous cargo means Division 1.1 and 1.2 
explosives, as defined in 49 CFR 173.50.

[CGD 92-050, 59 FR 39965, Aug. 5, 1994]



Sec. 126.10  Cargo of particular hazard.

    Cargo of particular hazard means any of the following:
    (a) Division 1.1 or 1.2 explosives, as defined in 49 CFR 173.50.
    (b) Oxidizing material or blasting agent for which a permit is 
required under 49 CFR 176.415.
    (c) Highway route controlled quantity radioactive material, as 
defined in 49 CFR 173.403(1), or Fissile Class III shipments of fissile 
radioactive material, as defined in 49 CFR 173.455(a)(3).

[CGD 75-238, 45 FR 57394, Aug. 28, 1980, as amended by CGD 84-039, 50 FR 
8613, Mar. 4, 1985; CGD 78-038, 53 FR 3376, Feb. 7, 1988; CGD 86-034, 55 
FR 36252, Sept. 4, 1990; CGD 92-050, 59 FR 39965, Aug. 5, 1994; CGD 88-
049, 60 FR 39794, Aug. 3, 1995]



Sec. 126.11  Waiver authority based on local or unusual conditions.

    Whenever the Commandant, the District Commander, or the Captain of 
the Port finds that the application of any provisions contained in 
Secs. 126.15 and 126.16 is not necessary to the safety or security of 
the port and vessels and waterfront facilities therein, or that its 
application is not practical because of local conditions or because the 
materials or personnel required for compliance are not available, or 
because the requirements of the national defense justify a departure 
from such provision, the Commandant, the District Commander, or the 
Captain of the Port may waive compliance with such provision, to the 
extent and under such requirements as they determine.

[CGD 78-023, 44 FR 4643, Jan. 22, 1979]



Sec. 126.13  Designation of waterfront facilities.

    (a) Waterfront facilities which fulfill the conditions required in 
Sec. 126.15, unless waived under provisions of Sec. 126.11, and only 
such waterfront facilities are designated for the handling, storing, 
stowing, loading, discharging, or transporting of dangerous cargo, 
subject to compliance with other applicable requirements and provisions 
set forth in this part.
    (b) Handling, storing, stowing, loading, discharging, or 
transporting dangerous cargo at any waterfront facility other than one 
designated by this section is hereby prohibited, and violation of this 
prohibition will subject the violator to the civil or criminal penalties 
provided in section 13 of the Ports and Waterways Safety Act (33 U.S.C. 
1232).

[CGFR 57-52, 22 FR 10302, Dec. 20, 1957, as amended by CGD 78-023, 44 FR 
4643, Jan. 22, 1979]

[[Page 18]]



Sec. 126.15  Conditions for designation as designated waterfront facility.

    The conditions referred to in Sec. 126.13 for designation of a 
waterfront facility for the purpose of handling, storing, stowing, 
loading, discharging, or transporting of dangerous cargo shall be as 
follows:
    (a) Guards. That guards are provided by the owner or operator of the 
waterfront facility for the protection thereof in such numbers and of 
such qualifications as to assure adequate surveillance, prevent unlawful 
entrance, detect fire hazards, and check the readiness of protective 
equipment.
    (b) Smoking. That smoking is prohibited on the waterfront facility 
except at such portions thereof as may be designated by the owner or 
operator thereof: Provided, That smoking in such areas shall only be 
permitted in accordance with local ordinances and regulations and that 
signs are conspicuously posted marking such authorized smoking areas and 
that ``No Smoking'' signs are conspicuously posted elsewhere on the 
waterfront facility.
    (c) Welding or hot work. Oxyacetylene or similar welding or burning 
or other hot work including electric welding or the operation of 
equipment is prohibited on waterfront facilities or on vessels moored 
thereto, during the handling, storing, stowing, loading, discharging, or 
transporting of explosives. Such work may not be conducted on waterfront 
facilities or vessels moored thereto while either the facility or vessel 
is handling, storing, stowing, loading, discharging, or transporting 
dangerous cargo without the specific approval of the Captain of the 
Port.
    (d) Trucks and other motor vehicles. That trucks and other motor 
vehicles are not permitted to remain or park upon the waterfront 
facility except under the following conditions:
    (1) When actually awaiting opportunity to load or discharge cargo, 
ship supplies, or passengers and is attended by a driver.
    (2) When loading or discharging tools, equipment or materials 
incident to maintenance, repair, or alterations and is attended by a 
driver.
    (3) When the vehicle is headed toward an unimpeded exit and is 
attended by a driver.
    (4) When a vehicle is handled and stored as an item of cargo.
    (5) When parking areas are designated and permitted in accordance 
with local ordinances and regulations and provided no fire lanes are 
blocked nor exits impeded by their presence, passenger vehicles may be 
parked in such portions of the waterfront facility as may be designated 
and marked off by the owner or operator.
    (e) Pier automotive equipment. That tractors, stackers, lift trucks, 
hoisters and other equipment driven by internal combustion engines used 
on the waterfront facility are of such construction and condition and 
free from excess grease, oil, or lint as not to constitute a fire 
hazard; that each unit of such equipment is provided with an approved 
type fire extinguisher attached, except where waterfront facilities are 
provided with fire extinguishers approved by the Captain of the Port, as 
being adequate in numbers, type and location for additional protection 
of pier automotive equipment; that, when not in use, such equipment is 
stored in a safe manner and location; that gasoline or other fuel used 
for such equipment is stored and handled in accordance with accepted 
safe practices and is not stored on the waterfront facility, except in 
conformity with paragraph (g) of this section; and that refueling of 
such equipment or any vehicle is prohibited on any pier or wharf within 
the waterfront facility.
    (f) Rubbish and waste materials. That the waterfront facility is 
free from rubbish, debris, and waste materials. Burning rubbish in an 
open fire on a waterfront facility is prohibited.
    (g) Maintenance stores and supplies. That supplies classified as 
dangerous by the provisions of the Hazardous Materials Regulations (49 
CFR 170-179) except those materials preceded by an ``A'' in the 
Hazardous Materials Table, 49 CFR 172.101, to be used in connection with 
operation or maintenance of the property or facility, are not stored on 
any pier or wharf within the waterfront facility and are not stored 
elsewhere on the waterfront facility except in amounts necessary for 
normal current

[[Page 19]]

operating conditions; that these supplies are stored in a compartment 
remote from combustible material, constructed so as to be readily 
accessible and provide safe storage; that storage compartments are kept 
clean and maintained free of scrap materials, empty containers, soiled 
wiping rags, waste, and other debris; that covered metal containers are 
provided for disposal of used wiping cloths and are emptied at the end 
of each working day; and that clothing lockers are maintained clean and 
orderly and properly ventilated.
    (h) Electric wiring. That new installations of electric wiring and 
equipment are made in accordance with accepted safe practices 
(conformity with the requirements of the National Electric Code (current 
edition) and the requirements of applicable local regulations shall be 
deemed evidence of compliance with such accepted safe practices); that 
materials, fittings, and devices are of type and character approved for 
the intended use by Underwriters Laboratories, Inc., Associated Factory 
Mutual Laboratories, or United States National Bureau of Standards; that 
existing electric wiring is maintained in a safe condition, free of 
defects or modifications which may cause fire or personal injury; that 
defective or dangerous wiring, equipment, and devices are permanently 
disconnected from sources of energy.
    (i) Heating equipment and open fires. That heating equipment is 
safely installed and maintained in good operating condition; that 
adequate clearances to prevent undue heating of nearby combustible 
materials are maintained between heating appliances, chimneys, stove 
pipes, gas vents, or other heat producing elements, and any combustible 
materials of the floor, walls, partitions or roofs; that in general, 
clearances are such that continuous operation of the heat producing 
device at full capacity will not increase the temperature of nearby 
woodwork more than 90 deg. above the ambient temperature; that, where 
necessary to prevent contact with movable combustible materials, heating 
appliances are enclosed or screened; that spark arresters are provided 
on chimneys or appliances burning solid fuel used in locations where 
sparks constitute a hazard to nearby combustible materials. Open fires 
or fires in barrels, drums, or similar apparatus are prohibited. (As a 
guide to safe installation of heating equipment, the appropriate 
chapters of the National Board of Fire Underwriters Building Code 
(current edition) are recommended.)
    (j) Fire extinguishing equipment. That fire extinguishing appliances 
are made available in adequate quantities, locations, and types; that 
first aid fire appliances are installed and maintained in accordance 
with accepted safe practices (conformity with the requirements 
prescribed in the current ``Standards for the Installation, Maintenance 
and Use of Portable Fire Extinguishers,'' issued by the National Fire 
Protection Association, shall be deemed evidence of compliance with such 
accepted safe practices); that fire extinguishing equipment, fire alarm 
systems and devices, and fire doors and other safety equipment are 
maintained in good operating condition at all times; that provision is 
made so that, when hazards arise which require such precaution, 
emergency hose lines will be led out and other emergency fire-fighting 
equipment will be placed immediately adjacent to such hazards.
    (k) Marking of fire appliance locations. That the locations of all 
fire appliances, including hydrants, standpipe and hose stations, fire 
extinguishers, and fire alarm boxes, are conspicuously marked; and that 
ready accessibility to such appliances is maintained.
    (l) Lighting. That subject to applicable dimout and blackout 
regulations, such waterfront facility is adequately illuminated during 
the handling, storing, stowing, loading, discharging or transporting of 
dangerous cargo thereon; and that kerosene and gasoline lamps and 
lanterns are not used on such waterfront facility.
    (m) Arrangement of cargo, freight, merchandise or material. That 
cargo, freight, merchandise or material is arranged on the waterfront 
facility according to the individual structure of such facility, in a 
manner to permit complete access for the purpose of fire extinguishment; 
that, except on facilities used primarily for the transfer of railroad 
or highway vehicles to or from

[[Page 20]]

cargo vessels and carfloats; cargo, freight, merchandise or other 
material is placed on the waterfront facility in accordance with the 
following:
    (1) At least two feet of clear and open space shall be maintained 
free of rubbish, dunnage, or other obstructions between cargo, freight, 
merchandise, or other material piles and both sides of the walls of the 
waterfront facility, fire walls or fire stops in enclosed waterfront 
facilities. This distance shall be measured from the most prominent 
projection of the wall such as studding, bracings, or other obstructions 
that are part of the structure. In an unenclosed facility, 2 feet of 
clear and open space shall be maintained free of rubbish, dunnage, or 
other obstructions between cargo, freight, merchandise or other 
materials and the sides of the pier.
    (2) Inflammable or combustible cargo, freight, merchandise or 
material, not including bulk cargo, shall not be tiered higher than 12 
feet. All cargo, freight, merchandise or other materials including 
inflammable or combustible cargo, freight, merchandise or materials 
shall be so tiered as to maintain a clearance between the upper level of 
the top tier and trusses, beams, girders, or other structural members of 
not less than 36", and between such upper level and sprinkler heads a 
clearance of at least 12" shall be maintained.
    (3) There shall be maintained at least four feet of clear and open 
operating space around any fire alarm box, standpipe, fire hose, 
sprinkler valve, fire door, deck hatch, or first-aid fire appliance.
    (4) When first-aid fire appliances, alarm boxes, other safety 
equipment or deck hatches are located in a space surrounded by cargo, 
freight, merchandise, or other materials, there shall be maintained a 
straight, free, and open space at least three feet in width running 
therefrom to the center aisle. This space shall be kept clear of all 
rubbish, dunnage, and other obstruction.
    (5) A main aisle of at least twenty feet in width shall be 
maintained the entire length of the waterfront facility if control of 
fire requires trucks to come on the pier. The aisle may be reduced to 
eight feet in width if such access by fire trucks is not required.
    (6) Cross aisles, at least five (5) feet wide and straight shall be 
maintained at intervals not exceeding seventy-five (75) feet, and 
extending to the side of the waterfront facility.
    (n) Adequacy of guarding, fire extinguishing equipment, and 
lighting. That the word ``adequate'', as used in paragraphs (a), (j), 
and (l) of this section with respect to guarding, fire extinguishing 
equipment, and lighting, respectively, means that determination which a 
reasonable person would make under the circumstances of the particular 
case. Unless there is gross noncompliance, the judgment and 
determination of the operator of the facility will be acceptable as 
fulfilling the requirements unless and until the Captain of the Port 
inspects the facility and notifies the operator thereof in writing in 
what respect the guarding, fire extinguishing equipment, or lighting, is 
deemed inadequate and affords such operator an opportunity to correct 
the deficiency.

[CGFR 51-37, 16 FR 8677, Aug. 28, 1951]

    Editorial Note: For Federal Register citations affecting 
Sec. 126.15, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and on GPO Access.



Sec. 126.16  Conditions for designating a ``facility of particular hazard.''

    (a) Basic requirements. The facility shall comply with all the 
conditions in Sec. 126.15 except where specifically waived by 
Sec. 126.11.
    (b) Warning alarms. Warning alarms shall be installed at the 
waterside of such a facility to warn approaching or transiting water 
traffic of immediate danger in the event of fire or cargo release. 
Warning alarms shall be of the siren type, or the emergency rotating 
flashing light type, and be of sufficient intensity to be heard, or 
seen, a distance of 1 mile during normal facility working conditions. 
The alarm signal shall not conflict with local municipal prescription.

[CGFR 67-93, 32 FR 20774, Dec. 23, 1967]

[[Page 21]]



Sec. 126.17  Permits required for handling designated dangerous cargo.

    Designated dangerous cargo may be handled, loaded, discharged, or 
transported at any designated waterfront facility only if a permit 
therefor has been issued by the Captain of the Port. This permit 
requirement may be waived, at the discretion of the Captain of the Port, 
when such cargoes are contained within railroad cars or highway vehicles 
which are moved on or across a waterfront facility used primarily for 
the transfer of railroad cars or highway vehicles to or from a railroad 
or highway vehicle ferry or carfloat; provided such designated cargoes 
are not removed from, or placed in, the railroad car or highway vehicle 
while it is in or on such waterfront facility.

[CGFR 58-43, 23 FR 8542, Nov. 1, 1958]



Sec. 126.19  Issuance of permits for handling designated dangerous cargo.

    Upon the application of the owners or operators of a designated 
waterfront facility or of their authorized representatives, the Captain 
of the Port is authorized to issue a permit for each transaction of 
handling, loading, discharging, or transporting designated dangerous 
cargo at such waterfront facility provided the following requirements 
are met:
    (a) The facility shall comply in all respect with the regulations in 
this subchapter.
    (b) The quantity of designated dangerous cargo, except Class 1 
(explosive) materials shipped by or for the Armed Forces of the United 
States, on the waterfront facility and vessels moored thereto shall not 
exceed the limits as to maximum quantity, isolation and remoteness 
established by local, municipal, territorial, or State authorities. Each 
permit issued under these conditions shall specify that the limits so 
established shall not be exceeded.
    (c) The quantity of designated dangerous cargo consisting of Class 1 
(explosive) materials shipped by or for the Armed Forces of the United 
States on the waterfront facility and vessels moored thereto shall not 
exceed the limits as to maximum quantity, isolation and remoteness as 
established by the Captain of the Port. Each permit issued under these 
conditions shall specify that the limits so established shall not be 
exceeded.

[CGFR 53-27, 18 FR 5348, Sept. 3, 1953, as amended by CGD 92-050, 59 FR 
39965, Aug. 5, 1994]



Sec. 126.21  Permitted transactions.

    All permits issued pursuant to Sec. 126.19 are hereby conditioned 
upon the observance and fulfillment of the following:
    (a) The conditions set forth in Sec. 126.15 shall at all times be 
strictly observed.
    (b) No amount of designated dangerous cargo, except Class 1 
(explosive) materials shipped by or for the Armed Forces of the United 
States, in excess of the maximum quantity established by local, 
municipal, territorial, or State authorities shall be present on the 
waterfront facility and vessels moored thereto.
    (c) Designated dangerous cargo shall not be brought onto the 
waterfront facility from shore except when laden within a railroad car 
or highway vehicle and shall remain in such railroad car or highway 
vehicle except when removed as an incident of its prompt transshipment. 
Designated dangerous cargo shall not be brought onto the waterfront 
facility from a vessel except as an incident of its prompt transshipment 
by railroad car or highway vehicle.
    (d) No other dangerous cargo shall be on the waterfront facility 
during the period of transactions involving designated dangerous cargo, 
unless its presence is authorized by the Captain of the Port. This shall 
not apply to maintenance stores and supplies on the waterfront facility 
in conformity with Sec. 126.15(g).

[CGFR 53-27, 18 FR 5348, Sept. 3, 1953, as amended by CGD 92-050, 59 FR 
39965, Aug. 5, 1994]



Sec. 126.23  Termination or suspension of permits.

    Any permit issued pursuant to Sec. 126.19 shall terminate 
automatically at the conclusion of the transaction for which the permit 
has been issued and may be terminated, or suspended, prior thereto by 
the Captain of the Port whenever he deems that the security or safety of

[[Page 22]]

the port or vessels or waterfront facilities therein so requires. 
Confirmation of such termination or suspension by the Captain of the 
Port shall be given to the permittee in writing.

[CGFR 51-37, 16 FR 8679, Aug. 28, 1951]



Sec. 126.25  Penalties for handling designated dangerous cargo without permit.

    Handling, loading, discharging, or transporting any designated 
dangerous cargo without a permit, as provided under Sec. 126.17, being 
in force, will subject persons responsible therefore to the civil or 
criminal penalties provided in Section 13 of the Ports and Waterways 
Safety Act, as amended (33 U.S.C. 1232).

[CGD 78-023, 44 FR 4643, Jan. 22, 1979]



Sec. 126.27  General permit for handling dangerous cargo.

    A general permit is hereby issued for the handling, storing, 
stowing, loading, discharging or transporting of dangerous cargo (other 
than designated dangerous cargo) in bulk, portable tanks, containers, or 
packagings, at designated waterfront facilities, conditioned upon the 
observance and fulfillment of the following:
    (a) The conditions set forth in Sec. 126.15 shall at all times be 
strictly observed.
    (b) The following classes of hazardous materials classified as 
dangerous for transportation by vessel as listed in the Hazardous 
Materials Regulations Table (49 CFR 172.101), in the amounts specified, 
shall not be handled, stored, stowed, loaded, discharged, or 
transported, except when contained within railroad or high vehicles 
being transported across or on waterfront facilities used primarily for 
the transfer of railroad or highway vehicles to or from a railroad car 
ferry or highway vehicle ferry, or carfloats, without prior notification 
to the Captain of the Port:
    (1) Division 1.3 (explosive) materials (as defined in 49 CFR 
173.50), in excess of 1 net ton at any one time.
    (2) Division 1.4 (explosive) materials (as defined in 49 CFR 
173.50), in excess of 10 net tons at any one time.
    (3) Flammable liquids, in excess of 10 net tons at any one time.
    (4) Flammable solids or oxidizers, in excess of 100 net tons at any 
one time.
    (5) Flammable gases, in excess of 10 net tons at any one time.
    (6) Poisons (Class A).
    (7) A bulk shipment of a cargo of particular hazard as defined in 
Sec. 126.10(d).
    (8) A bulk shipment of a cargo of particular hazard, as defined in 
Sec. 126.10(d).
    (c) No Class 1 (explosive) materials (as defined in 49 CFR 173.50) 
or other dangerous cargoes prohibited from, or not permitted for, 
transportation by 46 CFR part 148 or 49 CFR parts 171 through 179 may be 
present on the waterfront facility.
    (d) Flammable liquids and compressed gases shall be so handled and 
stored as to provide maximum separation from acids, corrosive liquids, 
or combustible materials. Storage for flammable solids or oxidizers 
shall be so arranged as to prevent moisture coming in contact therewith.
    (e) Acids and corrosive liquids shall be so handled and stored as to 
prevent such acids and liquids, in event of leakage, from contacting any 
organic materials.
    (f) Poisonous gases, poisonous liquids, and poisonous solids shall 
be so handled and stored as to prevent their contact with acids, 
corrosive liquids, flammable liquids or flammable solids.
    (g) Dangerous cargo which may be stored on the waterfront facility 
shall be arranged in such manner as to retard the spread of fire. This 
may be accomplished by interspersing dangerous cargo with inert or less 
combustible materials.
    (h) All dangerous cargo stored on the waterfront facility shall be 
packaged, marked, and labeled in accordance with 49 CFR parts 170-179.
    (i) Storage of all radioactive materials shall be so arranged as to 
preclude a gamma radiation in excess of 200 milliroentgens per hour or 
physical equivalent at any readily accessible surface.

[CGD 78-023, 44 FR 4643, Jan. 22, 1979, as amended by CGD 75-238, 44 FR 
63676, Nov. 5, 1979; CGD 75-238, 45 FR 57394, Aug. 28, 1980; CGD 92-050, 
59 FR 39965, Aug. 5, 1994]

[[Page 23]]



Sec. 126.28  Ammonium nitrate, ammonium nitrate fertilizers, fertilizer mixtures, or nitro carbo nitrate; general provisions.

    (a) When any item of ammonium nitrate, ammonium nitrate fertilizers, 
fertilizer mixtures, or nitro carbo nitrate, described and defined as an 
oxidizer by the regulations of 49 CFR part 173 is handled, stored, 
stowed, loaded, discharged or transported on a waterfront facility, the 
following provisions shall apply:
    (1) All outside containers shall be marked with the proper shipping 
name of the nitrate packed within the container.
    (2) The building on a waterfront facility used for storage of any of 
these materials shall be of such construction as to afford good 
ventilation.
    (3) Storage of any of these materials shall be at a safe distance 
from electric wiring, steam pipes, radiators or any heating mechanism.
    (4) These materials shall be separated by a fire resistant wall or 
by a distance of at least 30 feet from organic materials or other 
chemicals and substances which could cause contamination such as 
flammable liquids, combustible liquids, corrosive liquids, chlorates, 
permanganates, finely divided metals, caustic soda, charcoal, sulfur, 
cotton, coal, fats, fish oils or vegetable oils.
    (5) Storage of any of these materials shall be in a clean area upon 
clean wood dunnage, or on pallets over a clean floor. In the case of a 
concrete floor, storage may be made directly on the floor if it is first 
covered with a moisture barrier such as a polyethylene sheet or 
asphaltic laminated paper.
    (6) Any spilled material shall be promptly and thoroughly cleaned up 
and removed from the waterfront facility. If any spilled material has 
remained in contact with a wooden floor for any length of time the floor 
shall be scrubbed with water and all spilled material shall be 
thoroughly dissolved and flushed away.
    (7) An abundance of water for firefighting shall be readily 
available.
    (8) Open drains, traps, pits or pockets which could be filled with 
molten ammonium nitrate if a fire occurred (and thus become potential 
detonators for the storage piles) must be eliminated or plugged.
    Note: See 49 CFR 176.415 for permit requirements for nitro carbo 
nitrate and certain ammonium nitrates.

[CGD 78-023, 44 FR 4644, Jan. 22, 1979]



Sec. 126.29  Supervision and control of dangerous cargo.

    (a) Authority. The Captain of the Port is authorized to require that 
any transaction of handling, storing, stowing, loading, discharging, or 
transporting the dangerous cargo covered by this subchapter shall be 
undertaken and continued only under the immediate supervision and 
control of the Captain of the Port or his duly authorized 
representative. In case the Captain of the Port exercises such 
authority, all directions, instructions, and orders of the Captain of 
the Port or his representative, not inconsistent with this part, with 
respect to such handling, storing, stowing, loading, discharging, and 
transporting; with respect to the operation of the waterfront facility; 
with respect to vessels handling, stowing, loading, or discharging of 
dangerous cargo at anchorages when the operations are under the 
immediate control and supervision of the Captain of the Port or his duly 
authorized representative; with respect to the ingress and egress of 
persons, articles, and things and to their presence on the waterfront 
facilty or vessel; and with respect to vessels approaching, moored at, 
and departing from the waterfront facility, shall be promptly obeyed.
    (b) Reporting discharge of dangerous liquid commodities into the 
waters of the United States. To enhance the safety of the port and to 
protect vessels, their cargo, and waterfront facilities therein, the 
discharge into the navigable waters of the United States of petroleum 
products, petroleum byproducts or other dangerous liquid commodities 
which may create a hazard or toxic condition in the port area will be 
immediately reported to the Captain of the Port or District Commander by 
the owner or master of the vessel from which the discharge occurred, or 
the owner or operator of a waterfront facility from which the discharge 
occurred.

[CGFR 69-89, 34 FR 17478, Oct. 29, 1969]

[[Page 24]]



Sec. 126.31  Termination or suspension of general permit.

    The Captain of the Port is hereby authorized to terminate or to 
suspend the general permit granted by Sec. 126.27 in respect to any 
particular designated waterfront facility whenever he deems that the 
security or safety of the port or vessels or waterfront facilities 
therein so requires. Confirmation of such termination or suspension 
shall be given to the permittee in writing. After such termination, the 
general permit may be revived by the District Commander with respect to 
such particular waterfront facility upon a finding by him that the cause 
of termination no longer exists and is unlikely to recur. After such 
suspension, the general permit shall be revived by the Captain of the 
Port with respect to such particular waterfront facility when the cause 
of suspension no longer exists, and he shall so advise the permittee in 
writing.

[CGFR 51-37, 16 FR 8680, Aug. 28, 1951, as amended by CGFR 69-89, 34 FR 
17479, Oct. 29, 1969]



Sec. 126.33  Penalties for handling dangerous cargo without permit.

    Handling, storing, stowing, loading, discharging, or transporting 
any dangerous cargo covered by Sec. 126.27 under circumstances not 
covered by the general permit granted in Sec. 126.27 or when such 
general permit is not in force will subject persons responsible therefor 
to the civil or criminal penalties provided in Section 13 of the Ports 
and Waterways Safety Act, as amended (33 U.S.C. sec. 1232).

[CGD 78-023, 44 FR 4644, Jan. 22, 1979]



Sec. 126.35  Primary responsibility.

    Nothing contained in the rules, regulations, conditions, and 
designations in this part shall be construed as relieving the masters, 
owners, operators, and agents of vessels, docks, piers, wharves, or 
other waterfront facilities from their primary responsibility for the 
security of such vessels, docks, piers, wharves, or waterfront 
facilities.

[CGFR 51-37, 16 FR 8680, Aug. 28, 1951]



Sec. 126.37  Separability.

    If any provision of the rules, regulations, conditions, or 
designations contained in this part or the application of such provision 
to any person, waterfront facility, or circumstances shall be held 
invalid, the validity of the remainder of the rules, regulations, 
conditions, or designations contained in this part and applicability of 
such provision to other persons, waterfront facilities, or 
circumstances, shall not be affected thereby.

[CGFR 51-37, 16 FR 8680, Aug. 28, 1951]



PART 127--WATERFRONT FACILITIES HANDLING LIQUEFIED NATURAL GAS AND LIQUEFIED HAZARDOUS GAS--Table of Contents




                           Subpart A--General

Sec.
127.001  Applicability.
127.003  Incorporation by reference.
127.005  Definitions.
127.007  Letter of intent.
127.009  Letter of recommendation.
127.011  Inspections of waterfront facilities.
127.013  Suspension of transfer operations.
127.015  Appeals.
127.017  Alternatives.
127.019  Operations Manual and Emergency Manual: Procedures for 
          examination.

     Subpart B--Waterfront Facilities Handling Liquefied Natural Gas

127.101  Design and construction: General.
127.103  Piers and wharves.
127.105  Layout and spacing of marine transfer area for LNG.
127.107  Electrical power systems.
127.109  Lighting systems.
127.111  Communications systems.
127.113  Warning signs.

                                Equipment

127.201  Sensing and alarm systems.
127.203  Portable gas detectors.
127.205  Emergency shutdown.
127.207  Warning alarms.

                               Operations

127.301  Persons in charge of shoreside transfer operations: 
          Qualifications and certification.
127.303  Compliance with suspension order.
127.305  Operations Manual.
127.307  Emergency Manual.
127.309  Operations Manual and Emergency Manual: Use.

[[Page 25]]

127.311  Motor vehicles.
127.313  Bulk storage.
127.315  Preliminary transfer inspection.
127.317  Declaration of inspection.
127.319  LNG transfer.
127.321  Release of LNG.

                               Maintenance

127.401  Maintenance: General.
127.403  Inspections.
127.405  Repairs.
127.407  Testing.
127.409  Records.

                           Personnel Training

127.501  Applicability.
127.503  Training: General.

                              Firefighting

127.601  Fire equipment: General.
127.603  Portable fire extinguishers.
127.605  Emergency outfits.
127.607  Fire main systems.
127.609  Dry chemical systems.
127.611  International shore connection.
127.613  Smoking.
127.615  Fires.
127.617  Hotwork.

                                Security

127.701  Security on existing facilities.
127.703  Access to the marine transfer area for LNG.
127.705  Security systems.
127.707  Security personnel.
127.709  Protective enclosures.
127.711  Communications.

    Subpart C--Waterfront Facilities Handling Liquefied Hazardous Gas

                         Design and Construction

127.1101  Piping systems.
127.1102  Transfer hoses and loading arms.
127.1103  Piers and wharves.
127.1105  Layout and spacing of marine transfer area for LHG.
127.1107  Electrical systems.
127.1109  Lighting systems.
127.1111  Communication systems.
127.1113  Warning signs.

                                Equipment

127.1203  Gas detection.
127.1205  Emergency shutdown.
127.1207  Warning alarms.
127.1209  Respiratory protection.

                               Operations

127.1301  Persons in charge of transfers for the facility: 
          Qualifications and certification.
127.1302  Training.
127.1303  Compliance with suspension order.
127.1305  Operations Manual.
127.1307  Emergency Manual.
127.1309  Operations Manual and Emergency Manual: Use.
127.1311  Motor vehicles.
127.1313  Storage of hazardous materials.
127.1315  Preliminary transfer inspection.
127.1317  Declaration of Inspection.
127.1319  Transfer of LHG.
127.1321  Release of LHG.
127.1325  Access to marine transfer area for LHG.

                               Maintenance

127.1401  General.
127.1403  Inspections.
127.1405  Repairs.
127.1407  Tests.
127.1409  Records.

                         Firefighting Equipment

127.1501  General.
127.1503  Portable fire extinguishers.
127.1505  Emergency response and rescue.
127.1507  Water systems for fire protection.
127.1509  Equipment for controlling and extinguishing fires.
127.1511  International shore connection.

                             Fire Protection

127.1601  Smoking.
127.1603  Hotwork.
127.1605  Other sources of ignition.

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

    Source: CGD 78-038, 53 FR 3376, Feb. 7, 1988, unless otherwise 
noted.



                           Subpart A--General



Sec. 127.001  Applicability.

    (a) Subparts A and B of this part apply to the marine transfer area 
for LNG of each new waterfront facility handling LNG and to new 
construction in the marine transfer area for LNG of each existing 
waterfront facility handling LNG.
    (b) Subpart A of this part and Secs. 127.301 through 127.617 apply 
to the marine transfer area for LNG of each active existing waterfront 
facility handling LNG.
    (c) Sections 127.007 (c), (d), and (e); 127.019(b); and 127.701 of 
subparts A and B of this part apply to the marine transfer area for LNG 
of each inactive existing facility.
    (d) Subparts A and C of this part apply to the marine transfer area 
for LHG of each active waterfront facility handling LHG.
    (e) Sections 127.007 (c), (d), and (e); 127.019(b); and 127.1325(c) 
of subparts A

[[Page 26]]


and C of this part apply to the marine transfer area for LHG of each 
inactive facility.

[CGD 88-049, 60 FR 39794, Aug. 3, 1995]



Sec. 127.003  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in paragraph (b) of this section, the Coast Guard 
must publish notice of change in the Federal Register and make the 
material available to the public. All approved material is on file at 
the Office of the Federal Register, Room 700, 800 North Capitol Street 
NW., Washington, DC 20408, and at the U.S. Coast Guard, (G-MOC), Room 
1108, 2100 Second Street SW., Washington, DC 20593-0001, and is 
available from the sources indicated in paragraph (b) of this section.
    (b) The material approved for incorporation by reference in this 
part, and the sections affected, are:

            The American National Standards Institute (ANSI)
1430 Broadway, New York, NY 10018:
    ANSI B16.5, Pipe Flanges and Flanged Fittings 1988,         127.1102
     including 1992 Addenda and Errata..................
    ANSI S12.13, Part I, Performance Requirements,              127.1203
     Combustible Gas Detectors, 1986....................
                   American Petroleum Institute (API)
1220 L Street NW., Washington, DC 20005:
    API RP 2003, Protection Against Ignitions Arising           127.1101
     Out of Static, Lightning and Stray Currents, 1991..
             American Society of Mechanical Engineers (ASME)
Three Park Avenue, New York, NY 10016-5990:
    ASME B31.3, Chemical Plant and Petroleum Refinery           127.1101
     Piping, 1993.......................................
            American Society for Testing and Materials (ASTM)
100 Barr Harbor Drive, West Conshohocken, PA 19428-2959.
    ASTM F 1121-87 (1993), Standard Specification for           127.611;
     International Shore Connections for Marine Fire            127.1511
     Applications.......................................
               National Fire Protection Association (NFPA)
1 Batterymarch Park, Quincy, MA 02269:
    NFPA 10, Portland Fire Extinguishers, 1994..........        127.603;
                                                                127.1503
    NFPA 30, Flammable and Combustible Liquids Code,            127.313;
     1993...............................................        127.1313
    NFPA 51B, Fire Prevention in Use of Cutting and             127.405;
     Welding Processes, 1994............................        127.1405
    NFPA 59A, Production, Storage, and Handling of              127.101;
     Liquefied Natural Gas (LNG), 1994..................        127.201;
                                                                127.405;
                                                                 127.603
    NFPA 70, National Electrical Code, 1993.............        127.107;
                                                                127.201;
                                                                127.1107
    NFPA 251, Fire Tests of Building Construction and            127.005
     Materials, 1990....................................
 


[CGD 88-049, 60 FR 39794, Aug. 3, 1995; 60 FR 49509, Sept. 26, 1995, as 
amended by CGD 96-026, 61 FR 33665, June 28, 1996; 61 FR 36629, July 12, 
1996; USCG-1999-5832, 64 FR 34714, June 29, 1999; USCG-1999-5151, 64 FR 
67175, Dec. 1, 1999]



Sec. 127.005  Definitions.

    As used in this part:
    Active means accomplishing the transfer of LHG or LNG, or scheduling 
one to occur, within 12 months of the current date.
    Captain of the Port (COTP) means the Coast Guard officer designated 
by the Commandant to command a Captain of the Port Zone as described in 
Part 3 of this chapter, or an authorized representative.

[[Page 27]]

    Commandant means the Commandant of the U.S. Coast Guard or an 
authorized representative.
    Control room means a space within the LNG waterfront facility from 
which facility operations are controlled.
    District Commander means the Coast Guard officer designated by the 
Commandant to command a Coast Guard District as described in Part 3 of 
this chapter, or an authorized representative.
    Environmentally sensitive areas include public parks and recreation 
areas, wildlife and waterfowl refuges, fishing grounds, wetlands, other 
areas deemed to be of high value to fish and wildlife resources, 
historic sites, and other protected areas.
    Existing as applied to a waterfront facility means a facility 
handling LNG constructed or being constructed under a contract awarded 
before June 2, 1988, or a facility handling LHG constructed or being 
constructed under a contract awarded before January 30, 1996.
    Facility means either a waterfront facility handling LHG or a 
waterfront facility handling LNG.
    Fire endurance rating means the duration for which an assembly or 
structural unit will contain a fire or retain structural integrity when 
exposed to the temperatures specified in the standard time-temperature 
curve in NFPA 251.
    Flammable product means a product indicated by the letter ``F'' or 
by the letters ``F + T'' in Table 127.005.
    Inactive means not active.
    Impounding space means a space formed by dikes and floors that 
confines a spill of LHG or LNG.
    LHG means liquefied hazardous gas.
    LHG vessel means a vessel constructed or converted to carry LHG, in 
bulk.
    Liquefied hazardous gas (LHG) means a liquid containing one or more 
of the products listed in Table 127.005.
    Liquefied natural gas (LNG) means a liquid or semisolid consisting 
mostly of methane and small quantities of ethane, propane, nitrogen, or 
other natural gases.
    Liquefied petroleum gas (LPG) means a liquid consisting mostly of 
propane or butane or both.
    LNG means liquefied natural gas.
    LNG vessel means a vessel constructed or converted to carry LNG, in 
bulk.
    Loading flange means the connection or group of connections in the 
cargo transfer pipeline on the facility that connects the facility 
pipeline to the vessel pipeline.
    Marine transfer area for LHG means that part of a waterfront 
facility handling LHG between the vessel, or where the vessel moors, and 
the first shutoff valve on the pipeline immediately inland of the 
terminal manifold or loading arm, including the entire part of a pier or 
wharf used to serve LHG vessels.
    Marine transfer area for LNG means that part of a waterfront 
facility handling LNG between the vessel, or where the vessel moors, and 
the last manifold or valve immediately before the receiving tanks.
    Mating flange means that flange in the product-transfer pipeline on 
a waterfront facility handling LHG or a waterfront facility handling LNG 
that connects this pipeline to the pipeline or transfer hose of the 
vessel.
    MAWP means maximum allowable working pressure.
    Maximum allowable working pressure (MAWP) means the maximum gauge 
pressure permissible at the top of equipment, containers, or pressure 
vessels while operating at design temperature.
    New as applied to a waterfront facility means a facility handling 
LNG constructed or being constructed under a contract awarded on or 
after June 2, 1988, or a facility handling LHG constructed or being 
constructed under a contract awarded on or after January 30, 1996.
    Person in charge of transfer operations on the vessel is the person 
designated the person in charge of cargo transfer under 46 CFR 154.1831.
    Release means any spilling, leaking, pumping, pouring, emitting, 
emptying, discharging, injecting, escaping, leaching, dumping, or 
disposing into the environment, except a minor release of

[[Page 28]]

LHG or its vapor, that may occur during the routine handling of LHG. No 
release is minor if it creates an atmosphere that exceeds the Lower 
Flammable Limit (LFL) for a flammable product or any Permissible 
Exposure Limit (PEL) listed in 29 CFR 1910.1000, Table Z-1 or Z-2, for a 
toxic product.
    Substructure means the deck of a pier or wharf and the structural 
components below that deck.
    Toxic product means a product indicated by the letter ``T'' or by 
the letters ``F+T'' in Table 127.005.
    Waterfront facility handling LHG means any structure on, in, or 
under the navigable waters of the United States, or any structure on 
land or any area on shore immediately adjacent to such waters, used or 
capable of being used to transfer liquefied hazardous gas, in bulk, to 
or from a vessel.
    Waterfront facility handling LNG means any structure on, in, or 
under the navigable waters of the United States, or any structure on 
land or any area on shore immediately adjacent to such waters, used or 
capable of being used to transfer liquefied natural gas, in bulk, to or 
from a vessel.

               Table 127.005--List of Products and Hazards
------------------------------------------------------------------------
                  Product                               Hazard
------------------------------------------------------------------------
Acetaldehyde...............................  F+T
Ammonia, anhydrous.........................  T
Butadiene..................................  F
Butanes....................................  F
Butane and propane (mixtures)..............  F
Butylenes..................................  F
Chlorine...................................  T
Dimethylamine..............................  F+T
Ethane.....................................  F
Ethyl chloride.............................  F+T
Ethylene...................................  F
Ethylene oxide.............................  F+T
Methyl-acetylene and propadiene (mixtures).  F
Methyl bromide.............................  F+T
Methyl chloride............................  F+T
Propane....................................  F
Propylene..................................  F
Sulphur dioxide............................  T
Vinyl chloride.............................  F+T
------------------------------------------------------------------------
Note: ``F'' indicates a flammable product. ``T'' indicates a toxic
  product. ``F&T'' indicates a product both flammable and toxic.


[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39795, Aug. 3, 1995; CGD 97-023, 62 FR 33363, June 19, 1997]



Sec. 127.007  Letter of intent.

    (a) An owner who intends to build a new facility or the owner or 
operator who plans new construction on an existing facility, must submit 
a letter of intent that meets paragraph (d) of this section to the COTP 
of the zone in which the facility is or will be located, at least 60 
days before construction begins.
    (b) The owner or operator of an active existing facility shall 
submit a letter of intent that meets paragraph (d) of this section to 
the COTP of the zone in which the facility is located.
    (c) An owner or operator of an inactive existing facility shall 
submit a letter of intent that meets paragraph (d) of this section to 
the COTP of the zone in which the facility is located, at least 60 days 
before transferring LHG or LNG.
    (d) Each letter of intent must contain--
    (1) The name, address, and telephone number of the owner and 
operator;
    (2) The name, address, and telephone number of the facility;
    (3) The physical location of the facility;
    (4) A description of the facility;
    (5) The LHG or LNG vessels' characteristics and the frequency of LHG 
or LNG shipments to or from the facility; and
    (6) Charts showing waterway channels and identifying commercial, 
industrial, environmentally sensitive, and residential areas in and 
adjacent to the waterway used by the LHG or LNG vessels en route to the 
facility, within 25 kilometers (15.5 miles) of the facility.
    (e) The owner or operator who submits a letter of intent under 
paragraph (a), (b), or (c), shall notify the COTP in writing within 15 
days if--
    (1) There is any change in the information submitted under 
paragraphs (d)(1) through (d)(5) of this section; or
    (2) No LHG or LNG transfer operations are scheduled within the next 
12 months.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39795, Aug. 3, 1995]

[[Page 29]]



Sec. 127.009  Letter of recommendation.

    After the COTP receives the letter of intent under Sec. 127.007 (a) 
or (c), the COTP issues a letter of recommendation to the owner or 
operator of the facility and to the state and local government agencies 
having jurisdiction, as to the suitability of the waterway for LHG or 
LNG marine traffic, based on the--
    (a) Information submitted under Secs. 127.007 (d)(3) through (d)(6);
    (b) Density and character of marine traffic in the waterway;
    (c) Locks, bridges, or other man-made obstructions in the waterway; 
and
    (d) Following factors adjacent to the facility:
    (1) Depths of the water.
    (2) Tidal range.
    (3) Protection from high seas.
    (4) Natural hazards, including reefs, rocks, and sandbars.
    (5) Underwater pipelines and cables.
    (6) Distance of berthed vessel from the channel and the width of the 
channel.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39795, Aug. 3, 1995]
    Note: The Coast Guard is authorized by law to establish water or 
waterfront safety zones, or other measures for limited, controlled, or 
conditional access and activity, when necessary for the protection of 
any vessel, structure, waters, or shore area.



Sec. 127.011  Inspections of waterfront facilities.

    The operator shall ensure that the COTP or his representative is 
allowed to make reasonable examinations and inspections to determine 
whether the facility meets this part.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39795, Aug. 3, 1995]



Sec. 127.013  Suspension of transfer operations.

    (a) The COTP may issue an order to the operator to suspend LHG or 
LNG transfer operations if the COTP finds any condition requiring 
immediate action to--
    (1) Prevent damage to, or the destruction of, any bridge or other 
structure on or in the navigable waters of the United States, or any 
land structure or shore area immediately adjacent to such waters; and
    (2) Protect the navigable waters and the resources therein from harm 
resulting from vessel or structure damage, destruction, or loss.
    (b) Each order to suspend transfer operations issued under paragraph 
(a) of this section--
    (1) Is effective immediately;
    (2) Contains a statement of each condition requiring immediate 
action; and
    (3) Is withdrawn by the COTP whenever each condition is corrected or 
no longer exists.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39795, Aug. 3, 1995]



Sec. 127.015  Appeals.

    (a) Any person directly affected by an action taken under this part 
may request reconsideration by the Coast Guard officer responsible for 
that action.
    (b) Except as provided under paragraph (e) of this section, any 
person not satisfied with a ruling made under the procedure contained in 
paragraph (a) of this section may--
    (1) Appeal that ruling in writing to the District Commander of the 
district in which the action was taken; and
    (2) Supply supporting documentation and evidence that the appellant 
wishes to have considered.
    (c) The District Commander issues a ruling after reviewing the 
appeal submitted under paragraph (b) of this section. Except as provided 
under paragraph (e) of this section, any person not satisfied with this 
ruling may--
    (1) Appeal that ruling in writing to the Assistant Commandant for 
Marine Safety and Environmental Protection, U.S. Coast Guard, 
Washington, DC 20593-0001; and
    (2) Supply supporting documentation and evidence that the appellant 
wishes to have considered.
    (d) The Assistant Commandant for Marine Safety and Environmental 
Protection issues a ruling after reviewing the appeal submitted under 
paragraph (c) of this section, which is final agency action.
    (e) If the delay in presenting a written appeal has an adverse 
impact on

[[Page 30]]

the operations of the appellant, the appeal under paragraph (b) or (c) 
of this section--
    (1) May be presented orally; and
    (2) Must be submitted in writing within five days after the oral 
presentation--
    (i) With the basis for the appeal and a summary of the material 
presented orally; and
    (ii) To the same Coast Guard official who heard the oral 
presentation.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 96-026, 61 FR 
33665, June 28, 1996; CGD 97-023, 62 FR 33363, June 19, 1997]



Sec. 127.017  Alternatives.

    (a) The COTP may allow alternative procedures, methods, or equipment 
standards to be used by an operator instead of any requirements in this 
part if--
    (1) The operator submits a written request for the alternative at 
least 30 days before facility operations under the alternative would 
begin, unless the COTP authorizes a shorter time; and
    (2) The alternative provides at least the same degree of safety 
provided by the regulations in this part.
    (b) The COTP approves or disapproves any alternative requested under 
paragraph (a) of this section--
    (1) In writing; or
    (2) Orally, with subsequent written confirmation.



Sec. 127.019  Operations Manual and Emergency Manual: Procedures for examination.

    (a) The owner or operator of an active existing facility shall 
submit two copies of the Operations Manual and of the Emergency Manual 
to the Captain of the Port of the zone in which the facility is located.
    (b) At least 30 days before transferring LHG or LNG, the owner or 
operator of a new or an inactive existing facility shall submit two 
copies of the Operations Manual and of the Emergency Manual to the 
Captain of the Port of the zone in which the facility is located, unless 
the manuals have been examined and there have been no changes since that 
examination.
    (c) If the COTP finds that the Operations Manual meets Sec. 127.305 
or Sec. 127.1305 and that the Emergency Manual meets Sec. 127.307 or 
Sec. 127.1307, the Captain of the Port returns a copy to the owner or 
operator marked ``Examined by the Coast Guard''.
    (d) If the COTP finds that the Operations Manual or the Emergency 
Manual does not meet this part, the Captain of the Port returns the 
manual with an explanation of why it does not meet this part.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39795, Aug. 3, 1995]



     Subpart B--Waterfront Facilities Handling Liquefied Natural Gas



Sec. 127.101  Design and construction: General.

    The marine transfer area for LNG must meet the following criteria in 
NFPA 59A:
    (a) Chapter 2, Sections 2-1.2 and 2-3.
    (b) Chapter 4, Section 4-1.3.
    (c) Chapter 6.
    (d) Chapter 7, Sections 7-6 and 7-7.
    (e) Chapter 8, except Sections 8-3, 8-5 and 8-7.2.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39795, Aug. 3, 1995]



Sec. 127.103  Piers and wharves.

    (a) If the waterfront facility handling LNG is in a region subject 
to earthquakes, the piers and wharves must be designed to resist 
earthquake forces.
    (b) Substructures, except moorings and breasting dolphins, that 
support or are within 5 meters (16.4 feet) of any pipe or equipment 
containing LNG, or are within 15 meters (49.2 feet) of a loading flange, 
must--
    (1) Be made of concrete or steel; and
    (2) Have a fire endurance rating of not less than two hours.
    (c) LNG or LPG storage tanks must have the minimum volume necessary 
for--
    (1) Surge protection;
    (2) Pump suction supply; or
    (3) Other process needs.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88-049, 60 FR 
39796, Aug. 3, 1995]

[[Page 31]]



Sec. 127.105  Layout and spacing of marine transfer area for LNG.

    (a) LNG impounding spaces must be located so that the heat flux from 
a fire over the impounding spaces does not cause structural damage to an 
LNG vessel moored or berthed at the waterfront facility handling LNG.
    (b) Each LNG loading flange must be located at least 300 meters 
(984.3 feet) from the following which are primarily intended for the use 
of the general public or railways:
    (1) Each bridge crossing a navigable waterway.
    (2) Each entrance to any tunnel under a navigable waterway.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.107  Electrical power systems.

    (a) The electrical power system must have a power source and a 
separate emergency power source, so that failure of one source does not 
affect the capability of the other source. The system must meet the 
National Electrical Code, NFPA 70.
    (b) The emergency power source must provide enough power for the 
operation of the--
    (1) Emergency shutdown system;
    (2) Communications equipment;
    (3) Firefighting equipment; and
    (4) Emergency lighting.
    (c) If an auxiliary generator is used as an emergency power source, 
it must meet Section 700-12 of NFPA 70.



Sec. 127.109  Lighting systems.

    (a) The marine transfer area for LNG must have a lighting system and 
separate emergency lighting.
    (b) All outdoor lighting must be located or shielded so that it is 
not confused with any aids to navigation and does not interfere with 
navigation on the adjacent waterways.
    (c) The lighting system must provide an average illumination on a 
horizontal plane one meter (3.3 feet) above the deck that is--
    (1) 54 lux (five foot-candles) at any loading flange; and
    (2) 11 lux (one foot-candle) at each work area.
    (d) The emergency lighting must provide lighting for the operation 
of the--
    (1) Emergency shutdown system;
    (2) Communications equipment; and
    (3) Firefighting equipment.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39795, Aug. 3, 1995]



Sec. 127.111  Communications systems.

    (a) The marine transfer area for LNG must have a ship-to-shore 
communication system and a separate emergency ship-to-shore 
communication system.
    (b) Each ship-to-shore communication system must be a dedicated 
system that allows voice communication between the person in charge of 
transfer operations on the vessel, the person in charge of shoreside 
transfer operations, and personnel in the control room.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39795, Aug. 3, 1995]



Sec. 127.113  Warning signs.

    (a) The marine transfer area for LNG must have warning signs that--
    (1) Meet paragraph (b) of this section;
    (2) Can be seen from the shore and the water; and
    (3) Have the following text:

Warning
Dangerous Cargo
No Visitors
No Smoking
No Open Lights

    (b) Each letter in the words on the sign must be--
    (1) Block style;
    (2) Black on a white background; and
    (3) 7.6 centimeters (3 inches) high.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]

                                Equipment



Sec. 127.201  Sensing and alarm systems.

    (a) Fixed sensors must have audio and visual alarms in the control 
room and audio alarms nearby.
    (b) Fixed sensors that continuously monitor for LNG vapors must--
    (1) Be in each enclosed area where vapor or gas may accumulate; and
    (2) Meet Section 9-4 of NFPA 59A.

[[Page 32]]

    (c) Fixed sensors that continuously monitor for flame, heat, or 
products of combustion must--
    (1) Be in each enclosed or covered Class I, Division 1, hazardous 
location defined in Section 500-5(a) of NFPA 70 and each area in which 
flammable or combustible material is stored; and
    (2) Meet Section 9-4 of NFPA 59A.



Sec. 127.203  Portable gas detectors.

    The marine transfer area for LNG must have at least two portable gas 
detectors capable of measuring 0-100% of the lower flammable limit of 
methane.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.205  Emergency shutdown.

    Each transfer system must have an emergency shutdown system that--
    (a) Can be activated manually; and
    (b) Is activated automatically when the fixed sensors under 
Sec. 127.201(b) measure LNG concentrations exceeding 40% of the lower 
flammable limit.



Sec. 127.207  Warning alarms.

    (a) The marine transfer area for LNG must have a rotating or 
flashing amber light with a minimum effective flash intensity, in the 
horizontal plane, of 5000 candelas. At least 50% of the required 
effective flash intensity must be maintained in all directions from 1.0 
degree above to 1.0 degree below the horizontal plane.
    (b) The marine transfer area for LNG must have a siren with a 
minimum \1/3\-octave band sound pressure level at l meter of 125 
decibels referenced to 0.0002 microbars. The siren must be located so 
that the sound signal produced is audible over 360 degrees in a 
horizontal plane.
    (c) Each light and siren must be located so that the warning alarm 
is not obstructed for a distance of 1.6 km (1 mile) in all directions.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]

                               Operations



Sec. 127.301  Persons in charge of shoreside transfer operations: Qualifications and certification.

    (a) No person may serve, and the operator of the waterfront facility 
handling LNG may not use the services of any person, as a person in 
charge of shoreside transfer operations, unless that person--
    (1) Has at least 48 hours of LNG transfer experience;
    (2) Knows the hazards of LNG;
    (3) Knows the rules of this subpart; and
    (4) Knows the procedures in the examined Operations Manual and the 
examined Emergency Manual.
    (b) Before a person in charge of shoreside transfer operations 
supervises a transfer, the operator shall certify in writing that the 
criteria in paragraph (a) of this section are met. The operator shall 
maintain a copy of each current certification available for inspection 
at the waterfront facility handling LNG.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.303  Compliance with suspension order.

    If an order to suspend is given to the operator or owner of the 
waterfront facility handling LNG, no LNG transfer operations may be 
conducted at the facility until the order is withdrawn by the COTP.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.305  Operations Manual.

    Each Operations Manual must contain--
    (a) A description of the transfer system including mooring areas, 
transfer connections, control rooms, and diagrams of the piping and 
electrical systems;
    (b) The duties of each person assigned for transfer operations;

[[Page 33]]

    (c) The maximum relief valve setting or maximum allowable working 
pressure of the transfer system;
    (d) The facility telephone numbers of facility supervisors, persons 
in charge of shoreside transfer operations, personnel on watch in the 
marine transfer area for LNG, and security personnel;
    (e) A description of the security systems for the marine transfer 
area for LNG;
    (f) The procedures for--
    (1) Transfer operations including gauging, cool down, pumping, 
venting, and shutdown;
    (2) Transfer operations start-up and shutdown;
    (3) Security violations; and
    (4) The communications systems; and
    (g) A description of the training programs established under 
Sec. 127.503.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.307  Emergency Manual.

    Each Emergency Manual must contain--
    (a) LNG release response procedures, including contacting local 
response organizations;
    (b) Emergency shutdown procedures;
    (c) A description of the fire equipment and systems and their 
operating procedures;
    (d) A description of the emergency lighting and emergency power 
systems;
    (e) The telephone numbers of local Coast Guard units, hospitals, 
fire departments, police departments, and other emergency response 
organizations;
    (f) If the waterfront facility handling LNG has personnel shelters, 
the location of and provisions in each shelter;
    (g) First aid procedures and if there are first aid stations, the 
locations of each station; and
    (h) Emergency procedures for mooring and unmooring a vessel.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.309  Operations Manual and Emergency Manual: Use.

    The operator shall ensure that--
    (a) LNG transfer operations are not conducted unless the waterfront 
facility handling LNG has an examined Operations Manual and examined 
Emergency Manual;
    (b) Each transfer operation is conducted in accordance with the 
examined Operations Manual; and
    (c) Each emergency response is in accordance with the examined 
Emergency Manual.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.311  Motor vehicles.

    (a) The operator shall designate and mark parking spaces that--
    (1) Do not block fire lanes;
    (2) Do not impede any exits;
    (3) Are not located in any impounding space; and
    (4) Are not within 15 meters (49.2 feet) of any storage tank or 
loading flange.
    (b) During transfer operations, no person may--
    (1) Stop or park a motor vehicle in a space that is not designated a 
parking space; or
    (2) Refuel any motor vehicle.



Sec. 127.313  Bulk storage.

    (a) The operator shall ensure that only the following flammable 
materials are stored in the marine transfer area for LNG:
    (1) LNG.
    (2) LPG.
    (3) Vessel fuel.
    (4) Oily waste from vessels.
    (5) Solvents, lubricants, paints, and other fuels in the amount used 
for one day's operations and maintenance.
    (b) Flammable liquids must be stored in accordance with Chapter 4 of 
NFPA 30.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.315  Preliminary transfer inspection.

    Before transferring LNG, the person in charge of shoreside transfer 
operations shall--
    (a) Inspect the transfer piping and equipment to be used during the 
transfer and replace any worn or inoperable parts;

[[Page 34]]

    (b) For each of the vessel's cargo tanks from which cargo will be 
transferred, note the pressure, temperature, and volume to ensure they 
are safe for transfer;
    (c) Review and agree with the person in charge of cargo transfer on 
the vessel to--
    (1) The sequence of transfer operations;
    (2) The transfer rate;
    (3) The duties, location, and watches of each person assigned for 
transfer operations; and
    (4) Emergency procedures from the examined Emergency Manual;
    (d) Ensure that transfer connections allow the vessel to move to the 
limits of its moorings without placing strain on the loading arm or 
transfer piping system;
    (e) Ensure that each part of the transfer system is aligned to allow 
the flow of LNG to the desired location;
    (f) Ensure that warning signs that warn that LNG is being 
transferred, are displayed;
    (g) Eliminate all ignition sources in the marine transfer area for 
LNG;
    (h) Ensure that personnel are on duty in accordance with the 
examined Operations Manual; and
    (i) Test the following to determine that they are operable:
    (1) The sensing and alarm systems.
    (2) The emergency shutdown system.
    (3) The communication systems.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.317  Declaration of inspection.

    (a) After the preliminary transfer inspection under Sec. 127.315 has 
been satisfactorily completed, the person in charge of shoreside 
transfer operations shall ensure that no person transfers LNG until a 
Declaration of Inspection that meets paragraph (c) of this section is 
executed and signed in duplicate.
    (b) The person in charge of shoreside transfer operations shall give 
one signed copy of the Declaration of Inspection to the person in charge 
of transfer operations on the vessel, and shall retain one signed copy 
at the waterfront facility handling LNG for 30 days after completion of 
the transfer.
    (c) Each Declaration of Inspection must contain--
    (1) The name of the vessel and the waterfront facility handling LNG;
    (2) The date and time that transfer operations begin;
    (3) A list of the requirements in Sec. 127.315 with the initials of 
the person in charge of shoreside transfer operations after each 
requirement, indicating that the requirement is met;
    (4) The signature of the person in charge of shoreside transfer 
operations and the date and time of signing, indicating that he or she 
is ready to begin transfer operations; and
    (5) The signature of each relief person in charge and the date and 
time of each relief.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.319  LNG transfer.

    During LNG transfer operations, the following must be met:
    (a) The operator of the waterfront facility handling LNG shall 
ensure that--
    (1) The marine transfer area for LNG is under the supervision of a 
person in charge, who has no other assigned duties during the transfer 
operation;
    (2) Personnel transferring fuel or oily waste are not involved in 
LNG transfer; and
    (3) No vessels are moored outboard of any LNG vessel without the 
permission of the COTP.
    (b) The person in charge of shoreside transfer operations shall--
    (1) Be in continuous communication with the person in charge of 
transfer operations on the vessel;
    (2) Ensure that an inspection of the transfer piping and equipment 
for leaks, frost, defects, and other symptoms of safety and operational 
problems is conducted at least once every transfer;
    (3) Ensure that transfer operations are discontinued--
    (i) Before electrical storms or uncontrolled fires are adjacent to 
the marine transfer area for LNG; and
    (ii) As soon as a fire is detected; and
    (4) Ensure that the lighting systems are turned on between sunset 
and sunrise.

[[Page 35]]

    Note: Vessel transfer requirements are published in 46 CFR Part 154.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.321  Release of LNG.

    (a) The operator of the waterfront facility handling LNG shall 
ensure that--
    (1) No person releases LNG into the navigable waters of the United 
States; and
    (2) If there is a release of LNG, vessels near the facility are 
notified of the release by the activation of the warning alarm.
    (b) If there is a release of LNG, the person in charge of shoreside 
transfer operations shall--
    (1) Immediately notify the person in charge of cargo transfer on the 
vessel of the intent to shutdown;
    (2) Shutdown transfer operations;
    (3) Notify the COTP of the release; and
    (4) Not resume transfer operations until authorized by the COTP.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]

                               Maintenance



Sec. 127.401  Maintenance: General.

    The operator of the waterfront facility handling LNG shall ensure 
that the equipment required under this part is maintained in a safe 
condition so that it does not cause a release or ignition of LNG.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.403  Inspections.

    The operator shall conduct a visual inspection for defects of each 
pressure-relief device not capable of being tested, at least once each 
calendar year, with intervals between inspections not exceeding 15 
months, and make all repairs in accordance with Sec. 127.405.



Sec. 127.405  Repairs.

    The operator shall ensure that--
    (a) Equipment repairs are made so that--
    (1) The equipment continues to meet the applicable requirements in 
this subpart and in NFPA 59A; and
    (2) Safety is not compromised; and
    (b) Welding is done in accordance with NFPA 51B and NFPA 59A, 
Chapter 6, Section 6-3.4.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.407  Testing.

    (a) The operator shall pressure test under paragraph (b) of this 
section the transfer system, including piping, hoses, and loading arms, 
and verify the set pressure of the safety and relief valves--
    (1) After the system or the valves are altered;
    (2) After the system or the valves are repaired;
    (3) After any increase in the MAWP; or
    (4) For those components that are not continuously kept at cryogenic 
temperature, at least once each calendar year, with intervals between 
testing not exceeding 15 months.
    (b) The pressure for the transfer system test under paragraph (a) of 
this section must be at 1.1 times the MAWP and be held for a minimum of 
30 minutes.



Sec. 127.409  Records.

    (a) The operator shall keep on file the following information:
    (1) A description of the components tested under Sec. 127.407.
    (2) The date and results of the test under Sec. 127.407.
    (3) A description of any corrective action taken after the test.
    (b) The information required by this section must be retained for 24 
months.

                           Personnel Training



Sec. 127.501  Applicability.

    The training required by this subpart must be completed before LNG 
is transferred.



Sec. 127.503  Training: General.

    The operator shall ensure that each of the following is met:
    (a) All full-time employees have training in the following subjects:

[[Page 36]]

    (1) Basic LNG firefighting procedures.
    (2) LNG properties and hazards.
    (b) In addition to the training under paragraph (a) of this section, 
each person assigned for transfer operations has training in the 
following subjects:
    (1) The examined Operations Manual and examined Emergency Manual.
    (2) Advanced LNG firefighting procedures.
    (3) Security violations.
    (4) LNG vessel design and cargo transfer operations.
    (5) LNG release response procedures.
    (6) First aid procedures for--
    (i) Frostbite;
    (ii) Burns;
    (iii) Cardio-pulminary resuscitation; and
    (iv) Transporting injured personnel.
    (c) The personnel who received training under paragraphs (a) and (b) 
of this section receive refresher training in the same subjects at least 
once every five years.

                              Firefighting



Sec. 127.601  Fire equipment: General.

    (a) Fire equipment and systems provided in addition to the 
requirements in this subpart must meet the requirements of this subpart.
    (b) The following must be red or some other conspicuous color and be 
in locations that are readily accessible:
    (1) Hydrants and standpipes.
    (2) Hose stations.
    (3) Portable fire extinguishers.
    (4) Fire monitors.
    (c) Fire equipment, if applicable, must bear the approval of 
Underwriters Laboratories, Inc., the Factory Mutual Research Corp., or 
the Coast Guard.



Sec. 127.603  Portable fire extinguishers.

    Each marine transfer area for LNG must have--
    (a) Portable fire extinguishers that meet 9-6.1 of NFPA 59A and 
Chapter 3 of NFPA 10; and
    (b) At least one portable fire extinguisher in each designated 
parking area.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.605  Emergency outfits.

    (a) There must be an emergency outfit for each person whose duties 
include fighting fires, but there must be at least two emergency 
outfits. Each emergency outfit must include--
    (1) One explosion-proof flashlight;
    (2) Boots and gloves of rubber or other electrically nonconducting 
material;
    (3) A rigid helmet that protects the head against impact;
    (4) Water resistant clothing that also protects the body against 
fire; and
    (5) U.S. Bureau of Mines approved self-contained breathing 
apparatus.
    (b) Emergency outfits under paragraph (a) of this section must be in 
locations that are readily accessible and marked for easy recognition.



Sec. 127.607  Fire main systems.

    (a) Each marine transfer area for LNG must have a fire main system 
that provides at least two water streams to each part of the LNG 
transfer piping and connections, one of which must be from a single 
length of hose or from a fire monitor.
    (b) The fire main must have at least one isolation valve at each 
branch connection and at least one isolation valve downstream of each 
branch connection to isolate damaged sections.
    (c) The fire main system must have the capacity to supply--
    (1) Simultaneously all fire hydrants, standpipes, and fire monitors 
in the system; and
    (2) At a Pitot tube pressure of 618 kilonewtons per square meter (75 
p.s.i.), the two outlets having the greatest pressure drop between the 
source of water and the hose or monitor nozzle, when only those two 
outlets are open.
    (d) If the source of water for the fire main system is capable of 
supplying a pressure greater than the system's design working pressure, 
the system must have at least one pressure relief device.
    (e) Each fire hydrant or standpipe must have at least one length of 
hose of sufficient length to meet paragraph (a) of this section.
    (f) Each length of hose must--

[[Page 37]]

    (1) Be 1\1/2\ inches or more in diameter and 30.5 meters (100 feet) 
or less in length;
    (2) Be on a hose rack or reel;
    (3) Be connected to the hydrant or standpipe at all times; and
    (4) Have a Coast Guard approved combination solid stream and water 
spray fire hose nozzle.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.609  Dry chemical systems.

    (a) Each marine transfer area for LNG must have a dry chemical 
system that provides at least two dry chemical discharges to the area 
surrounding the loading arms, one of which must be--
    (1) From a monitor; and
    (2) Actuated and, except for pre-aimed monitors, controlled from a 
location other than the monitor location.
    (b) The dry chemical system must have the capacity to supply 
simultaneously or sequentially each hose or monitor in the system for 45 
seconds.
    (c) Each dry chemical hose station must have at least one length of 
hose that--
    (1) Is on a hose rack or reel; and
    (2) Has a nozzle with a valve that starts and stops the flow of dry 
chemical.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.611  International shore connection.

    The marine transfer area for LNG must have an international shore 
connection that is in accordance with ASTM F 1121 (incorporated by 
reference, see Sec. 127.003), a 2\1/2\ inch fire hydrant, and 2\1/2\ 
inch fire hose of sufficient length to connect the fire hydrant to the 
international shore connection on the vessel.

[CGD 88-032, 56 FR 35819, July 29, 1991, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995; USCG-2000-7223, 65 FR 40057, June 29, 2000]



Sec. 127.613  Smoking.

    In the marine transfer area for LNG, the operator shall ensure that 
no person smokes when there is LNG present.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.615  Fires.

    In the marine transfer area for LNG, the operator shall ensure that 
there are no fires when there is LNG present.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.617  Hotwork.

    The operator shall ensure that no person conducts welding, torch 
cutting, or other hotwork unless that person has a permit from the COTP.

                                Security



Sec. 127.701  Security on existing facilities.

    The operator shall ensure that any security procedure and 
arrangement on existing facilities, that were in use when LNG transfer 
operations were last conducted, be continued and maintained, or 
upgraded, whenever LNG transfer operations are conducted.



Sec. 127.703  Access to the marine transfer area for LNG.

    The operator shall ensure that--
    (a) Access to the marine transfer area for LNG from the shoreside 
and the waterside is limited to--
    (1) Personnel who work at the waterfront facility handling LNG 
including persons assigned for transfer operations, vessel personnel, 
and delivery and service personnel in the course of their business;
    (2) Coast Guard personnel; and
    (3) Other persons authorized by the operator; and
    (b) No person is allowed into the marine transfer area for LNG 
unless that person is identified by a waterfront facility handling LNG-
issued identification card or other identification card displaying his 
or her photograph, or is

[[Page 38]]

an escorted visitor displaying an identifying badge.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.705  Security systems.

    The operator shall ensure that security patrols of the marine 
transfer area for LNG are conducted once every hour, or that a manned 
television monitoring system is used, to detect--
    (a) Unauthorized personnel;
    (b) Fires; and
    (c) LNG releases.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



Sec. 127.707  Security personnel.

    The operator shall ensure that no person is assigned security patrol 
duty unless that person has been instructed on security violation 
procedures.



Sec. 127.709  Protective enclosures.

    The following must be within a fence or wall that prevents 
trespassing:
    (a) Impounding spaces.
    (b) Control rooms and stations.
    (c) Electrical power sources.



Sec. 127.711  Communications.

    The marine transfer area for LNG must have a means of direct 
communications between the security patrol and other operating or 
security personnel on duty on the waterfront facility handling LNG.

[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR 
39796, Aug. 3, 1995]



    Subpart C--Waterfront Facilities Handling Liquefied Hazardous Gas

    Source: CGD 88-049, 60 FR 39796, Aug. 3, 1995, unless otherwise 
noted.

                         Design and Construction



Sec. 127.1101  Piping systems.

    Each piping system within the marine transfer area for LHG used for 
the transfer of LHG must meet the following criteria:
    (a) Each system must be designed and constructed in accordance with 
ASME B31.3.
    (b) Each pipeline on a pier or wharf must be located so that it is 
not exposed to physical damage from vehicular traffic or cargo-handling 
equipment. Each pipeline under navigable waters must be covered or 
protected to meet 49 CFR 195.248.
    (c) The transfer manifold of each liquid transfer line and of each 
vapor return line must have an isolation valve with a bleed connection, 
such that transfer hoses and loading arms can be blocked off, drained or 
pumped out, and depressurized before disconnecting. Bleeds or vents must 
discharge to a safe area such as a tank or flare.
    (d) In addition to the isolation valve at the transfer manifold, 
each liquid-transfer line and each vapor return line must have a readily 
accessible isolation valve located near the edge of the marine transfer 
area for LHG.
    (e) Each power-operated isolation valve must be timed to close so 
that it will not produce a hydraulic shock capable of causing failure of 
the line or equipment. Unless the layout of the piping allows the 
isolation valve at the transfer manifold to close within 30 seconds 
without creating excessive stresses on the system, the layout must be 
reconfigured to reduce the stresses to a safe level.
    (f) Each waterfront facility handling LHG that transfers to or from 
a vessel requiring vapor return during transfer must be equipped with a 
vapor return line designed to attach to the vessel's vapor connection.
    (g) Where two or more LHGs are loaded or unloaded at the same 
facility, each manifold must be identified or marked to indicate each 
LHG it handles.
    (h) Each pipeline used to transfer flammable liquids or vapors must 
be provided with precautions against static, lightning, and stray 
current in accordance with API RP 2003.



Sec. 127.1102  Transfer hoses and loading arms.

    (a) Each hose within the marine transfer area for LHG used for the 
transfer of LHG or its vapors to or from a vessel must--

[[Page 39]]

    (1) Be made of materials resistant to each LHG transferred, in both 
the liquid and vapor state (if wire braid is used for reinforcement, the 
wire must be of corrosion-resistant material, such as stainless steel);
    (2) Be constructed to withstand the temperature and pressure 
foreseeable during transfer, with a MAWP not less than the maximum 
pressure to which it may be subjected and at least 1030 kPa gauge (149.4 
psig);
    (3) Be designed for a minimum bursting pressure of a least five 
times the MAWP;
    (4) Have--
    (i) Full-threaded connections;
    (ii) Flanges that meet ANSI B16.5; or
    (iii) Quick connect couplings that are acceptable to the Commandant;
    (5) Be adequately supported against the weight of its constituent 
parts, the LHG, and any ice formed on it;
    (6) Have no kinks, bulges, soft spots, or other defects that will 
let it leak or burst under normal working pressure; and
    (7) Have a permanently attached nameplate that indicates, or 
otherwise be permanently marked to indicate--
    (i) Each LHG for which it is suitable;
    (ii) Its MAWP at the corresponding service temperature; and
    (iii) If used for service at other than ambient temperature, its 
minimum service temperature.
    (b) Each loading arm used for the transfer of LHG or its vapor 
must--
    (1) Be made of materials resistant to each LHG transferred, in both 
the liquid and vapor state;
    (2) Be constructed to withstand the temperature and pressure 
foreseeable during transfer;
    (3) Be adequately supported against the weight of its constituent 
parts, the LHG, and any ice formed on it;
    (4) Be provided with an alarm to indicate when it is approaching the 
limits of its extension, unless the examined Operations Manual requires 
a person to perform the same function; and
    (5) Have a permanently attached nameplate that indicates, or 
otherwise be permanently marked to indicate--
    (i) Each LHG it may handle;
    (ii) Its MAWP at the corresponding service temperature; and,
    (iii) If it is used for service at other than ambient temperature, 
its minimum service temperature.



Sec. 127.1103  Piers and wharves.

    (a) Each new waterfront facility handling LHG, and all new 
construction in the marine transfer area for LHG of each existing 
facility, must comply with the standards for seismic design and 
construction in 49 CFR part 41.
    (b) Each substructure on a new waterfront facility handling LHG, and 
all new construction in the marine transfer area for LHG of each 
existing facility, except moorings and breasting dolphins, that supports 
or is within 4.5 meters (14.8 feet) of any pipe or equipment containing 
a flammable LHG, or that is within 15 meters (49.2 feet) of a loading 
flange used to transfer a flammable LHG, must have a fire-endurance 
rating of not less than two hours.



Sec. 127.1105  Layout and spacing of marine transfer area for LHG.

    Each new waterfront facility handling LHG, and all new construction 
in the marine transfer area for LHG of each existing facility, must 
comply with the following:
    (a) Each building, shed, and other structure within each marine 
transfer area for LHG must be located, constructed, or ventilated to 
prevent the accumulation of flammable or toxic gases within the 
structure.
    (b) Each impounding space for flammable LHGs located within the area 
must be designed and located so that the heat flux from a fire over the 
impounding space does not cause, to a vessel, damage that could prevent 
the vessel's movement.
    (c) Each manifold, loading arm, or independent mating flange must be 
located at least 60 meters (197 feet) from each of the following 
structures, if that structure is intended primarily for the use of the 
general public or of railways:
    (1) A bridge crossing a navigable waterway.
    (2) The entrance to, or the superstructure of, a tunnel under a 
navigable waterway.
    (d) Each manifold, loading arm, or independent mating flange must be 
located at least 30 meters (98.5 feet) from each public roadway or 
railway.

[[Page 40]]



Sec. 127.1107  Electrical systems.

    Electrical equipment and wiring must be of the kind specified by, 
and must be installed in accordance with, NFPA 70.



Sec. 127.1109  Lighting systems.

    (a) Each waterfront facility handling LHG, at which transfers of LHG 
take place between sunset and sunrise, must have outdoor lighting that 
illuminates the marine transfer area for LHG.
    (b) All outdoor lighting must be located or shielded so that it 
cannot be mistaken for any aids to navigation and does not interfere 
with navigation on the adjacent waterways.
    (c) The outdoor lighting must provide a minimum average illumination 
on a horizontal plane 1 meter (3.3 feet) above the walking surface of 
the marine transfer area that is--
    (1) 54 lux (5 foot-candles) at any loading flange; and
    (2) 11 lux (1 foot-candle) for the remainder of the marine transfer 
area for LHG.



Sec. 127.1111  Communication systems.

    (a) The marine transfer area for LHG must possess a communication 
system that enables continuous two way voice communication between the 
person in charge of transfer aboard the vessel and the person in charge 
of transfer for the facility.
    (b) The communication system required by paragraph (a) of this 
section may consist either of fixed or portable telephones or of 
portable radios. The system must be usable and effective in all phases 
of the transfer and all weather at the facility.
    (c) Devices used to comply with paragraph (a) of this section during 
the transfer of a flammable LHG must be listed as intrinsically safe by 
Underwriters Laboratories, Inc., Factory Mutual Research Corporation, or 
other independent laboratory recognized by NFPA, for use in the 
hazardous location in which it is used.



Sec. 127.1113  Warning signs.

    (a) The marine transfer area for LHG must have warning signs that--
    (1) Meet paragraph (b) of this section;
    (2) Can be seen from the shore and the water; and,
    (3) Except as provided in paragraph (c) of this section, bear the 
following text:

Warning
Dangerous Cargo
No visitors
No Smoking
No Open Lights

    (b) Each letter on the sign must be--
    (1) In block style;
    (2) Black on a white background; and
    (3) At least 7.6 centimeters (3 inches) high.
    (c) The words ``No Smoking'' and ``No Open Lights'' may be omitted 
when the product being transferred is not flammable.

                                Equipment



Sec. 127.1203  Gas detection.

    (a) Each waterfront facility handling LHG that transfers a flammable 
LHG must have at least two portable gas detectors, or a fixed gas 
detector, in the marine transfer area for LHG. Each detector must be 
capable of indicating whether the concentration of flammable vapors 
exceeds 30% of the Lower Flammable Limit for each flammable product 
being transferred and must meet ANSI S12.13, Part I.
    (b) Each waterfront facility handling LHG that transfers a toxic 
LHG, other than anhydrous ammonia, must have at least two portable gas 
detectors, or a fixed gas detector, available in the area. The detectors 
must be capable of showing whether the concentration of each toxic LHG 
being transferred is above, at, or below any Permissible Exposure Limit 
listed in 29 CFR 1910.1000, Table Z-1 or Z-2.
    (c) Each gas detector required by paragraph (a) or (b) of this 
section must serve to detect leaks, check structures for gas 
accumulations, and indicate workers' exposure to toxic gases in the 
area.

[CGD 88-049, 60 FR 39797, Aug. 3, 1995; 60 FR 49509, Sept. 26, 1995]



Sec. 127.1205  Emergency shutdown.

    (a) Each piping system used to transfer LHG or its vapors to or from 
a vessel must have a quick-closing shutoff valve to stop the flow of 
liquid and vapor from the waterfront facility handling LHG if a transfer 
hose or loading

[[Page 41]]

arm fails. This valve may be the isolation valve with a bleed connection 
required by Sec. 127.1101(c).
    (b) The valve required by paragraph (a) of this section must be 
located as near as practicable to the terminal manifold or loading-arm 
connection and must--
    (1) Close on loss of power;
    (2) Close from the time of activation in 30 seconds or less;
    (3) Be capable of local manual closing and remotely controlled 
closing; and,
    (4) If the piping system is used to transfer a flammable LHG, either 
have fusible elements that melt at less than 105  deg.C (221  deg.F) and 
activate the emergency shutdown, or have a sensor that performs the same 
function.
    (c) A remote actuator for each valve must be located in a place 
accessible in an emergency, at least 15 meters (49.2 feet) from the 
terminal manifold or loading arm, and conspicuously marked with its 
designated function. When activated, the actuator must also 
automatically shut down any terminal pumps or compressors used to 
transfer LHG, or its vapors, to or from the vessel.

[CGD 88-049, 60 FR 39797, Aug. 3, 1995; 60 FR 49509, Sept. 26, 1995]



Sec. 127.1207  Warning alarms.

    (a) Each marine transfer area for LHG must have a rotating or 
flashing amber light that is visible for at least 1,600 meters (1 mile) 
from the transfer connection in all directions.
    (b) Each marine transfer area for LHG must also have a siren that is 
audible for at least 1,600 meters (1 mile) from the transfer connection 
in all directions.
    (c) Each light and siren required by this section must be located so 
as to minimize obstructions. If any obstruction will prevent any of 
these alarms from meeting paragraph (a) or (b) of this section, the 
operator of the waterfront facility handling LHG shall propose for 
approval by the local COTP additional or alternative warning devices 
that provide an equivalent level of safety.

[CGD 88-049, 60 FR 39798, Aug. 3, 1995; 60 FR 49509, Sept. 26, 1995]



Sec. 127.1209  Respiratory protection.

    Each waterfront facility handling LHG must provide equipment for 
respiratory protection for each employee of the facility in the marine 
transfer area for LHG during the transfer of one or more of the 
following toxic LHGs; anhydrous ammonia, chlorine, dimethylamine, 
ethylene oxide, methyl bromide, sulphur dioxide, or vinyl chloride. The 
equipment must protect the wearer from the LHG's vapor for at least 5 
minutes.

                               Operations



Sec. 127.1301  Persons in charge of transfers for the facility: Qualifications and certification.

    (a) No person may serve, or use the services of any person, as a 
person in charge of transfers for the facility regulated under this 
subpart, unless that person--
    (1) Has at least 48 hours' transfer experience with each LHG being 
transferred;
    (2) Knows the hazards of each LHG being transferred;
    (3) Knows the rules of this subpart; and
    (4) Knows the procedures in the examined Operations Manual and the 
examined Emergency Manual.
    (b) Before a person in charge of transfers for a waterfront facility 
handling LHG supervises a transfer of LHG, the operator of the facility 
shall certify in writing that that person has met the requirements in 
paragraph (a) of this section. The operator shall ensure that a copy of 
each current certification is available for inspection at the facility.

[CGD 88-049, 60 FR 39798, Aug. 3, 1995; 60 FR 49509, Sept. 26, 1995]



Sec. 127.1302  Training.

    (a) Each operator of a waterfront facility handling LHG shall ensure 
that each person assigned to act as a person in charge of transfers for 
the facility has training in the following subjects:
    (1) Properties and hazards of each LHG being transferred to or from 
the facility.
    (2) Use of the gas detectors required by Sec. 127.1203.

[[Page 42]]

    (3) Use of the equipment for respiratory protection required by 
Sec. 127.1209.
    (4) Basic firefighting procedures, including the use of the portable 
fire extinguishers required by Sec. 127.1503.
    (5) Content and use of the examined Operations Manual and examined 
Emergency Manual.
    (6) The configuration and limitations of cargo systems of LHG 
vessels.
    (7) Procedures for transferring LHG to and from LHG vessels.
    (8) Procedures for response to a release of the LHG handled by the 
facility.
    (9) First aid for persons--
    (i) With burns;
    (ii) Needing cardio-pulmonary resuscitation;
    (iii) Exposed to toxic liquid or toxic vapors (if a toxic LHG is 
handled by the facility); and
    (iv) Needing transport to a medical facility.
    (10) Restrictions on access to the marine transfer area for LHG.
    (b) Each person that receives training under paragraph (a) of this 
section shall receive refresher training in the same subjects at least 
once every 5 years.
    (c) The operator shall maintain, for each person trained, a record 
of all training provided under paragraphs (a) and (b) of this section. 
The operator shall retain these records for the duration of the person's 
employment on the waterfront facility plus 12 months.
    (d) Training conducted to comply with the hazard communication 
programs required by the Occupational Safety and Health Administration 
(OSHA) of the Department of Labor [29 CFR 1910.120] or the Environmental 
Protection Agency (EPA) [40 CFR 311.1] may be used to satisfy the 
requirements in paragraph (a) of this section, so far as the training 
addresses the requirements in paragraph (a) of this section.



Sec. 127.1303  Compliance with suspension order.

    If the COTP issues to the owner or operator of a waterfront facility 
handling LHG an order to suspend a transfer, no transfer may take place 
at the facility until the COTP withdraws the order.



Sec. 127.1305  Operations Manual.

    Each Operations Manual must contain--
    (a) A description of each liquid-transfer system and vapor transfer 
system, including each mooring area, transfer connection, and (where 
installed) control room, and a diagram of the piping and electrical 
systems;
    (b) The duties of each person assigned to transfers;
    (c) The maximum relief-valve setting or MAWP of the transfer system;
    (d) The telephone numbers of supervisors, persons in charge of 
transfers for the facility, persons on watch in the marine transfer area 
for LHG, and security personnel of the facility;
    (e) A description for each security system provided for the transfer 
area;
    (f) A description of the training programs established under 
Sec. 127.1302;
    (g) The procedures to follow for security violations; and
    (h) For each LHG handled, the procedures for transfer that include--
    (1) Requirements for each aspect of the transfer (start-up, gauging, 
cooldown, pumping, venting, and shutdown);
    (2) The maximum transfer rate;
    (3) The minimum transfer temperature;
    (4) Requirements for firefighting equipment; and
    (5) Communication procedures.



Sec. 127.1307  Emergency Manual.

    (a) Each Emergency Manual must contain--
    (1) For each LHG handled--
    (i) A physical description of the LHG;
    (ii) A description of the hazards of the LHG;
    (iii) First-aid procedures for persons exposed to the LHG or its 
vapors;
    (iv) The procedures for response to a release of the LHG; and,
    (v) If the LHG is flammable, the procedures for fighting a fire 
involving the LHG or its vapors;
    (2) A description of the emergency shutdown required by 
Sec. 127.1205;
    (3) The procedures for emergency shutdown;

[[Page 43]]

    (4) A description of the number, kind, place, and use of the fire 
equipment required by Sec. 127.1501(a) and of the portable fire 
extinguishers required by Sec. 127.1503;
    (5) The telephone numbers of local Coast Guard units, hospitals, 
fire departments, police departments, and other emergency-response 
organizations;
    (6) If the facility has personnel shelters, the place of and 
provisions in each shelter;
    (7) If the facility has first-aid stations, the location of each 
station;
    (8) Emergency procedures for mooring and unmooring a vessel; and,
    (9) If an off-site organization is to furnish emergency response, a 
copy of the written agreement required by Sec. 127.1505(a)(2).
    (b) The employee-emergency plan and fire-prevention plan required by 
OSHA in 29 CFR 1910.38 may be used to comply with this section to the 
extent that they address the requirements specified in paragraphs (a) 
(1) through (9) of this section.

[CGD 88-049, 60 FR 39799, Aug. 3, 1995; 60 FR 49509, Sept. 26, 1995]



Sec. 127.1309  Operations Manual and Emergency Manual: Use.

    Each operator of a waterfront facility handling LHG shall ensure 
that--
    (a) No transfer is conducted unless the facility has an examined 
Operations Manual and an examined Emergency Manual;
    (b) Each transfer is conducted in accordance with the examined 
Operations Manual; and
    (c) Each emergency response is conducted in accordance with the 
examined Emergency Manual.



Sec. 127.1311  Motor vehicles.

    (a) When LHG is being transferred or stored in the marine transfer 
area of a waterfront facility handling LHG, the operator shall ensure 
that no person--
    (1) Stops or parks a motor vehicle in a space other than a 
designated parking space;
    (2) Refuels a motor vehicle within the area; or
    (3) Operates a vehicle or other mobile equipment that constitutes a 
potential source of ignition within 15 meters (49.2 feet) of any storage 
container, manifold, loading arm, or independent mating flange 
containing a flammable liquid or vapor.
    (b) If motor vehicles are permitted to stop in the marine transfer 
area for LHG, the operator shall designate and mark parking spaces 
that--
    (1) Do not block fire lanes;
    (2) Do not impede any entrances or exits; and
    (3) Are not located within 15 meters (49.2 feet) of any storage 
container, manifold, loading arm, or independent mating flange 
containing a flammable liquid or vapor.



Sec. 127.1313  Storage of hazardous materials.

    (a) Each operator of a waterfront facility handling LHG shall ensure 
that no materials listed in the table of hazardous materials under 49 
CFR 172.101, except for the following, are stored in the marine transfer 
area for LHG:
    (1) The LHG being transferred.
    (2) Fuel required by the vessel, or by emergency equipment in the 
area.
    (3) Oily wastes received from vessels.
    (4) Solvents, lubricants, paints and similar materials in the amount 
required for one day's operations and maintenance.
    (b) The operator shall ensure that flammable liquids not stored in 
bulk are stored in accordance with Chapter 4 of NFPA 30.



Sec. 127.1315  Preliminary transfer inspection.

    Before each transfer, the person in charge of transfer for the 
facility shall--
    (a) Inspect piping and equipment within the marine transfer area for 
LHG to be used for transfer and ensure that it meets the requirements in 
this part;
    (b) Determine the contents, pressure, temperature, and capacity of 
each storage tank to or from which LHG will be transferred, to ensure 
that it is safe for transfer;
    (c) Confer with the person in charge of transfer aboard the vessel, 
to review and agree on--
    (1) The sequence of acts required for transfer;

[[Page 44]]

    (2) The rate, maximum working pressure, and minimum working 
temperature of transfer;
    (3) The duties, stations, and watches of each person assigned for 
transfer; and
    (4) The emergency procedures in the examined Emergency Manual;
    (d) Ensure that the vessel is securely moored and that the transfer 
connections allow it to move to the limits of its moorings without 
placing a strain on the piping, hose, or loading arm used for transfer;
    (e) Ensure that each part of the transfer system is aligned to allow 
the flow of LHG to the desired place;
    (f) Ensure the display of the warning signs required by 
Sec. 127.1113;
    (g) Ensure that the requirements of this part concerning smoking and 
fire protection are met;
    (h) Ensure that qualified personnel are on duty in accordance with 
the examined Operations Manual and Secs. 127.1301 and 127.1302; and
    (i) Test the following to determine that they are operable:
    (1) The communication system required by Sec. 127.1111.
    (2) The gas detectors required by Sec. 127.1203.



Sec. 127.1317  Declaration of Inspection.

    (a) Each person in charge of transfer for the facility shall ensure 
that no person transfers LHG to or from a vessel until a Declaration of 
Inspection that meets paragraph (c) of this section is executed and 
signed by both the person in charge aboard the vessel and the person in 
charge for the facility.
    (b) No person in charge of transfer for the facility may sign the 
Declaration unless that person has fulfilled the requirements of 
Sec. 127.1315 and has indicated fulfillment of each requirement by 
writing his or her initials in the appropriate space on the Declaration.
    (c) Each Declaration must contain--
    (1) The name of the vessel and that of the facility;
    (2) The date and time that the transfer begins;
    (3) A list of the requirements in Sec. 127.1315 with the initials of 
both the person in charge aboard the vessel and the person in charge for 
the facility after each requirement, indicating the fulfillment of the 
requirement;
    (4) The signatures of both the person in charge aboard the vessel 
and the person in charge for the facility, and the date and time of 
signing, indicating that they are both ready to begin transfer; and
    (5) The signature of each relief person in charge and the date and 
time of each relief.
    (d) The person in charge of transfer for the facility shall give one 
signed copy of the Declaration to the person in charge of transfer 
aboard the vessel and retain the other.
    (e) Each operator of a facility shall retain a signed copy of the 
Declaration at the facility for 30 days after the transfer.



Sec. 127.1319  Transfer of LHG.

    (a) The operator of a waterfront facility handling LHG shall notify 
the COTP of the time and place of each transfer of LHG in bulk at least 
4 hours before it begins.
    (b) During transfer, each operator of a waterfront facility handling 
LHG shall ensure that--
    (1) The marine transfer area for LHG is under the supervision of a 
person in charge certified for transfers of LHG, who has no other 
assigned duties during the transfer;
    (2) The person in charge supervises transfers only to or from one 
vessel at a time unless authorized by the COTP.
    (3) No person transferring fuel or oily waste is involved in the 
transfer; and
    (4) No vessel is moored outboard of any LHG vessel unless allowed by 
the COTP or the examined Operations Manual of the facility.
    (c) During transfer, each person in charge of transfer for the 
facility shall--
    (1) Maintain communication with the person in charge of transfer 
aboard the LHG vessel;
    (2) Ensure that an inspection of the transfer piping and equipment 
for leaks, frost, defects, and other threats to safety takes place at 
least once every transfer;
    (3) Ensure that--
    (i) Transfer of LHG is discontinued as soon as a release or fire is 
detected in the area or aboard the vessel; and

[[Page 45]]

    (ii) Transfer of flammable LHG is discontinued when electrical 
storms or uncontrolled fires approach near the area; and
    (4) Ensure that the outdoor lighting required by Sec. 127.1109 is 
turned on between sunset and sunrise.
    (d) Upon completion of transfer of LHG, each operator of a 
waterfront facility handling LHG shall ensure that hoses and loading 
arms used for transfer are drained of LHG residue and depressurized 
before disconnecting from the vessel.

    Note to Sec. 127.1319: Corresponding standards for vessels appear at 
46 CFR part 154.



Sec. 127.1321  Release of LHG.

    (a) Each operator of a waterfront facility handling LHG shall ensure 
that--
    (1) No person intentionally releases LHG into the environment; and
    (2) If a release of LHG or its vapor threatens vessels or persons 
outside the marine transfer area for LHG, they are notified by the 
warning devices.
    (b) If LHG or its vapor is released, the person in charge of 
transfer for the facility shall--
    (1) Immediately notify the person in charge of transfer aboard the 
vessel that transfer must be shut down;
    (2) Shut down transfer in coordination with the person aboard the 
vessel;
    (3) Notify the COTP of the release; and
    (4) Not resume transfer until authorized by the COTP.



Sec. 127.1325  Access to marine transfer area for LHG.

    Each operator of a waterfront facility handling LHG shall ensure 
that--
    (a) Access to the marine transfer area for LHG from shoreside and 
waterside is limited to--
    (1) Personnel who work in the area, transfer personnel, vessel 
personnel, and delivery and service personnel in the course of their 
business;
    (2) Federal, State, and local officials; and
    (3) Other persons authorized by the operator;
    (b) Each person allowed into the area is positively identified as 
someone authorized to enter and that each person other than an employee 
of the facility displays an identifying badge;
    (c) Guards are stationed, and fences or other devices are installed, 
to prevent, detect, and respond to unauthorized access, fires, and 
releases of LHG in the area, except that alternative measures approved 
by the COTP (such as electronic monitoring or random patrols) will be 
sufficient where the stationing of guards is impracticable; and
    (d) Coast Guard personnel are allowed access to the facility, at any 
time, to make any examination or to board any vessel moored at the 
facility.

                               Maintenance



Sec. 127.1401  General.

    Each operator of a waterfront facility handling LHG shall ensure 
that all cargo handling equipment is operable, and that no equipment 
that may cause the release or ignition of LHG is used in the marine 
transfer area for LHG.



Sec. 127.1403  Inspections.

    (a) Each operator of a waterfront facility handling LHG shall 
conduct a visual inspection for defects of each pressure relief device 
not capable of being tested.
    (b) The operator shall conduct the inspection required by paragraph 
(a) of this section at least once each calendar year, with intervals 
between inspections not exceeding 15 months.



Sec. 127.1405  Repairs.

    Each operator of a waterfront facility handling LHG shall ensure 
that--
    (a) Equipment is repaired so that--
    (1) The equipment continues to meet the applicable requirements in 
this subpart; and
    (2) Safety is not compromised; and
    (b) Welding and cutting meet NFPA 51B.



Sec. 127.1407  Tests.

    (a) Each operator of a waterfront facility handling LHG shall 
conduct a static liquid-pressure test of the piping, hoses, and loading 
arms of the LHG-transfer system located in the marine transfer area for 
LHG, and shall verify the set pressure of the safety and relief valves--
    (1) After the system or the valves are altered;

[[Page 46]]

    (2) After major repairs to the system or the valves;
    (3) After any increase in the MAWP of the system; and
    (4) At least once each calendar year, with intervals between tests 
not exceeding 15 months.
    (b) The pressure for the test under paragraph (a) of this section 
must be at least 1.1 times the MAWP and last for at least 30 minutes.
    (c) The operator shall conduct a test of each pressure gauge, to 
ensure that the displayed pressure is within 10 percent of the actual 
pressure, at least once each calendar year, with intervals between tests 
not exceeding 15 months.
    (d) The operator shall conduct a test of each item of remote 
operating or indicating equipment, such as a remotely operated valve, at 
least once each calendar year, with intervals between tests not 
exceeding 15 months.
    (e) The operator shall conduct a test of the emergency shutdown 
required by Sec. 127.1205 at least once every two months, to ensure that 
it will perform as intended. If transfers of LHG occur less often than 
every two months, the operator may conduct this test before each 
transfer instead of every two months.
    (f) The operator shall conduct a test of the warning alarm required 
by Sec. 127.1207 at least once every six months, to ensure that it will 
perform as intended. If transfers of LHG occur less often than every six 
months, the operator may conduct this test before each transfer instead 
of every six months.



Sec. 127.1409  Records.

    (a) Each operator of a waterfront facility handling LHG shall keep 
on file:
    (1) A description of the components inspected or tested under 
Sec. 127.1403 or 127.1407.
    (2) The date and results of each inspection or test under 
Sec. 127.1403 or 127.1407.
    (3) A description of any repair made after the inspection or test.
    (4) The date and a description of each alteration or major repair to 
the LHG transfer system or its valves.
    (b) The operator shall keep this information on file for at least 24 
months after the inspection, test, alteration, or major repair.

                         Firefighting Equipment



Sec. 127.1501  General.

    (a) The number, kind, and place of equipment for fire detection, 
protection, control, and extinguishment must be determined by an 
evaluation based upon sound principles of fire-protection engineering, 
analysis of local conditions, hazards within the waterfront facility 
handling LHG, and exposure to other property. A description of the 
number, kind, place, and use of fire equipment determined by this 
evaluation must appear in the Emergency Manual for each facility. The 
evaluation for each new facility and for all new construction on each 
existing facility must be submitted to the COTP for review when the 
emergency manual is submitted under Sec. 127.1307.
    (b) All fire equipment for each facility must be adequately 
maintained, and periodically inspected and tested, so it will perform as 
intended.
    (c) The following must be red or some other conspicuous color and be 
in places that are readily accessible:
    (1) Hydrants and standpipes.
    (2) Hose stations.
    (3) Portable fire extinguishers.
    (4) Fire monitors.
    (d) Fire equipment must bear the approval, if applicable, of 
Underwriters Laboratories, Inc., Factory Mutual Research Corporation, or 
other independent laboratory recognized by NFPA.

[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-1999-5832, 64 
FR 34714, June 29, 1999]



Sec. 127.1503  Portable fire extinguishers.

    Each operator of a waterfront facility handling LHG must provide 
portable fire extinguishers of appropriate, number, size, and kind in 
the marine transfer area for LHG in accordance with NFPA 10.



Sec. 127.1505  Emergency response and rescue.

    (a) Each waterfront facility handling LHG must arrange for emergency 
response and rescue pending the arrival

[[Page 47]]

of resources for firefighting or pollution control. Response and rescue 
may be performed by facility personnel or by an off-site organization.
    (1) If response and rescue are performed by facility personnel, 
appropriate training and equipment for personnel protection must be 
furnished to those personnel. Training and equipment that meets 29 CFR 
1910.120, hazardous-waste operations and emergency response, will be 
appropriate.
    (2) If response and rescue are performed by an off-site 
organization, the organization must enter into a written agreement with 
the facility indicating the services it will perform and the time within 
which it will perform them to injured or trapped personnel.
    (b) [Reserved]



Sec. 127.1507  Water systems for fire protection.

    (a) Each waterfront facility handling LHG must have a supply of 
water and a means for distributing and applying the water to protect 
personnel; to cool storage tanks, equipment, piping, and vessels; and to 
control unignited leaks and spills in the marine transfer area for LHG 
except when the evaluation required by Sec. 127.1501(a) indicates 
otherwise. The evaluation must address fire protection for structures, 
cargo, and vessels. Each water system must include on the pier or wharf 
at least one 2\1/2\-inch supply line, one 2\1/2\-inch fire hydrant, and 
enough 2\1/2\-inch hose to connect the hydrant to the vessel.
    (b) Each water system must fully and simultaneously supply, for at 
least 2 hours, all fixed fire-protection systems, including monitor 
nozzles, at their designed flow and pressure for the worst single 
incident foreseeable, plus 63 L/s (1000 gpm) for streams from hand-held 
hoses.



Sec. 127.1509  Equipment for controlling and extinguishing fires.

    (a) Within each marine transfer area for LHG of each waterfront 
facility handling LHG that transfers a flammable LHG, portable or 
wheeled fire extinguishers suitable for gas fires, preferably dry 
chemical extinguishers, must be available at strategic sites, as 
determined by the evaluation required by Sec. 127.1501(a).
    (b) Fixed systems for extinguishing or controlling fires may be 
appropriate for protection against particular hazards. The evaluation 
required by Sec. 127.1501(a) may specify the use of one or more of the 
following fixed systems:
    (1) Low-, medium-, or high-expansion foam.
    (2) Dry chemicals.
    (3) Water applied as deluge, spray, or sprinkle.
    (4) Carbon dioxide.
    (5) Other NFPA approved fire extinguishing media.



Sec. 127.1511  International shore connection.

    Each marine transfer area for LHG that receives foreign flag vessels 
must have an international shore connection meeting the requirements of 
ASTM F 1121 (incorporated by reference, see Sec. 127.003).

[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by USCG-2000-7223, 65 
FR 40057, June 29, 2000]

                             Fire Protection



Sec. 127.1601  Smoking.

    Each operator of a waterfront facility handling LHG shall ensure 
that no person smokes in the marine transfer area for LHG unless--
    (a) Neither flammable LHG nor its vapors are present in the area; 
and
    (b) The person is in a place designated and marked in accordance 
with local law.



Sec. 127.1603  Hotwork.

    Each operator of a waterfront facility handling LHG shall ensure 
that no person conducts welding, torch cutting, or other hotwork on the 
facility, or on a vessel moored to the facility, unless--
    (a) The COTP has issued a permit for that hotwork; and
    (b) The conditions of the permit are met.



Sec. 127.1605  Other sources of ignition.

    Each operator of a waterfront facility handling LHG shall ensure 
that in the marine transfer area for LHG--
    (a) There are no open fires or open flame lamps;

[[Page 48]]

    (b) Heating equipment will not ignite combustible material;
    (c) Each chimney and appliance has a spark arrestor if it uses solid 
fuel or is located where sparks may ignite combustible material; and
    (d) All rubbish, debris, and waste go into appropriate receptacles.

[CGD 88-049, 60 FR 39796, Aug. 3, 1995, as amended by CGD 97-023, 62 FR 
33363, June 19, 1997]



PART 128--SECURITY OF PASSENGER TERMINALS--Table of Contents




                           Subpart A--General

Sec.
128.100  Does this part apply to me?
128.110  Definitions.
128.120  Incorporation by reference.

                       Subpart B--Security Program

128.200  What must my Terminal Security Plan cover?
128.210  What are the responsibilities of my terminal security officer?
128.220  What must I do to report an unlawful act and related activity?

          Subpart C--Plans and Procedures for Terminal Security

128.300  What is required to be in a Terminal Security Plan?
128.305  Who must submit a Terminal Security Plan?
128.307  What is the procedure for examination?
128.309  What do I do if I need to amend my Terminal Security Plan?
128.311  What is my right of appeal?

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

    Source: CGD 91-012, 61 FR 37654, July 18, 1996, unless otherwise 
noted.

    Editorial Note: For a document relating to clarification of part 
128, see 61 FR 51597, Oct. 3, 1996.



                           Subpart A--General



Sec. 128.100   Does this part apply to me?

    This part applies to all passenger terminals in the United States or 
its territories when being used for the assembling, processing, 
embarking, or disembarking of passengers or baggage for passenger 
vessels over 100 gross tons, carrying more than 12 passengers for hire; 
making a voyage lasting more than 24 hours, any part of which is on the 
high seas. It does not apply to terminals when serving ferries that hold 
Coast Guard Certificates of Inspection endorsed for ``Lakes, Bays, and 
Sounds'', and that transit international waters for only short periods 
of time, on frequent schedules.



Sec. 128.110   Definitions.

    The definitions in part 120 of this chapter apply to this part, 
except for the definition of You. As used in this part:
    You means the owner or operator of a passenger terminal.

[CGD 91-012, 63 FR 53591, Oct. 6, 1998]



Sec. 128.120  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR Part 51. To enforce any edition other 
than that specified in paragraph (b) of this section, the Coast Guard 
must publish notice of change in the Federal Register and must make the 
material available to the public. All approved material may be inspected 
at the Office of the Federal Register, 800 North Capitol Street NW., 
Suite 700, Washington, DC, and at the U.S. Coast Guard, (G-MES), 2100 
Second Street SW., Washington, DC. Copies may be obtain from IMO, 4 
Albert Embankment, London SE1 7 SR.
    (b) The materials approved for incorporation by reference in this 
part and the sections affected are:

                International Maritime Organization (IMO)

4 Albert Embankment, London SE1 7SR
MSC Circular 443, Measures to Prevent Unlawful Acts Against Passengers 
    and Crews on Board Ships September 26, 1986--128.220, 128.300



                       Subpart B--Security Program



Sec. 128.200  What must my Terminal Security Plan cover?

    (a) If this part applies to your passenger terminal, you must 
implement for that terminal a program that--

[[Page 49]]

    (1) Provides for the safety and security of persons and property in 
the terminal and aboard each passenger vessel subject to part 120 of 
this chapter moored at the terminal, against unlawful acts;
    (2) Prevents or deters the carriage aboard any such vessel moored at 
the terminal of any prohibited weapon, incendiary, or explosive on or 
about any person or within his or her personal articles or baggage, and 
the carriage of any prohibited weapon, incendiary, or explosive in 
stowed baggage, cargo, or stores;
    (3) Prevents or deters unauthorized access to any such vessel and to 
restricted areas in the terminal;
    (4) Provides appropriate security measures for Security Levels I, 
II, and III that allow for increases in security when the Commandant or 
Captain of the Port (COTP) advises you that a threat of an unlawful act 
exists and may affect the terminal, a vessel, or any person aboard the 
vessel or terminal;
    (5) Designates, by name, a security officer for the terminal;
    (6) Provides for the evaluation of all security personnel of the 
terminal, before hiring, to determine suitability for employment; and
    (7) Provides for coordination with vessel security while any 
passenger vessel subject to part 120 of this chapter is moored at the 
terminal.
    (b) If this part applies to your passenger terminal, you must work 
with the operator of each passenger vessel subject to part 120 of this 
chapter, to provide security for the passengers, the terminal, and the 
vessel. You need not duplicate any provisions fulfilled by the vessel 
unless directed to by the COTP. When a provision is fulfilled by a 
vessel, the applicable section of the Terminal Security Plan required by 
Sec. 128.300 must refer to that fact.

[CGD 91-012, 63 FR 53591, Oct. 6, 1998]



Sec. 128.210  What are the responsibilities of my terminal security officer?

    (a) If this part applies to your passenger terminal, you must 
designate a security officer for the terminal.
    (b) This officer must ensure that--
    (1) An initial comprehensive security survey is conducted and 
updated;
    (2) The Terminal Security Plan required by Sec. 128.300 is 
implemented and maintained, and that amendments to correct its 
deficiencies and satisfy the security requirements of the terminal are 
proposed;
    (3) Adequate training for personnel responsible for security is 
provided;
    (4) Regular security inspections of the terminal are conducted;
    (5) Vigilance is encouraged, as well as is general awareness of 
security, at the terminal;
    (6) All occurrences or suspected occurrences of unlawful acts and 
related activities are reported under Sec. 128.220 and records of the 
incident are maintained; and
    (7) Coordination, for implementation of the Terminal Security Plan 
required by Sec. 128.300, takes place with the vessel security officer 
of each vessel that embarks or disembarks passengers at the terminal.

[CGD 91-012, 63 FR 53592, Oct. 6, 1998]



Sec. 128.220  What must I do to report an unlawful act and related activity?

    (a) Either you or the terminal security officer must report each 
breach of security, unlawful act, or threat of an unlawful act against 
the terminal, a passenger vessel subject to part 120 of this chapter 
destined for or moored at that terminal, or any person aboard the 
terminal or vessel, to the COTP, to the local office of the Federal 
Bureau of Investigation (FBI), and to the local police agency having 
jurisdiction over the terminal.
    (b) Either you or the terminal security officer must file a written 
report of the incident using the form ``Report on an Unlawful Act,'' 
contained in IMO MSC Circular 443, as soon as possible, to the local 
COTP.

[CGD 91-012, 63 FR 53592, Oct. 6, 1998]



          Subpart C--Plans and Procedures for Terminal Security



Sec. 128.300  What is required to be in a Terminal Security Plan?

    (a) If your passenger terminal is subject to this part, you must 
develop and maintain, in writing, for that terminal, an appropriate 
Terminal Security Plan

[[Page 50]]

that articulates the program required by Sec. 128.200.
    (b) The Terminal Security Plan must be developed and maintained 
under the guidance in IMO MSC Circular 443 and must address the security 
of passengers aboard passenger vessels subject to part 120 of this 
chapter, of members of crews of such vessels, and of employees of the 
terminal, by establishing security measures to take for Security Levels 
I, II, and III, to--
    (1) Deter unauthorized access to the terminal and its restricted 
areas and to any passenger vessel moored at the terminal;
    (2) Deter the introduction of prohibited weapons, incendiaries, and 
explosives into the terminal and its restricted areas and onto any 
passenger vessel moored at the terminal;
    (3) Encourage vigilance, as well as general awareness of security, 
at the terminal;
    (4) Provide adequate security training to employees of the terminal;
    (5) Coordinate responsibilities for security with the operator of 
each vessel that embarks or disembarks passengers at the terminal; and
    (6) Provide information to employees of the terminal and to law-
enforcement personnel, in case of an incident affecting security.
    (c) You must amend the Terminal Security Plan to address any known 
deficiencies.
    (d) You must restrict the distribution, disclosure, and availability 
of information contained in the Terminal Security Plan to those persons 
with an operational need to know.

[CGD 91-012, 63 FR 53592, Oct. 6, 1998]



Sec. 128.305  Who must submit a Terminal Security Plan?

    (a) The owner or operator of the vessel must submit a Terminal 
Security Plan whenever--
    (1) There is an agreement with you that the owner or operator of the 
vessel will submit the Plan;
    (2) The owner or operator of the vessel has exclusive use of the 
pier and terminal building immediately adjacent to the pier and has 
complete control of that area;
    (3) There is no terminal; or
    (4) Passengers embark or disembark but no baggage or stores are 
loaded or offloaded.
    (b) In the situations described in paragraphs (a)(3) and (4) of this 
section, the owner or operator of the vessel may, with the permission of 
the cognizant COTP, use an annex to the vessel's security plan instead 
of a Terminal Security Plan.
    (c) You must submit a Terminal Security Plan whenever--
    (1) There is an agreement with the owner or operator of the vessel 
that you will submit the Plan;
    (2) No security agreement exists; or
    (3)(i) At least one vessel other than a passenger vessel uses the 
terminal;
    (ii) More than one passenger vessel line uses the terminal; or
    (iii) The terminal loads or offloads baggage or stores.

[CGD 91-012, 63 FR 53592, Oct. 6, 1998]



Sec. 128.307  What is the procedure for examination?

    (a) Unless a plan for your passenger terminal will be submitted by 
an entity other than yourself under Sec. 128.305 or Sec. 120.303 of this 
chapter, you must submit two copies of each Terminal Security Plan 
required by Sec. 128.300 to the COTP for examination at least 60 days 
before transferring passengers to or from a vessel subject to part 120 
of this chapter.
    (b) If the COTP finds that the Terminal Security Plan meets the 
requirements of Sec. 128.300, he or she will return a copy to you marked 
``Examined by the Coast Guard.''
    (c) If the COTP finds that the Terminal Security Plan does not meet 
the requirements of Sec. 128.300, he or she will return the Plan with an 
explanation of why it does not meet them.
    (d) No terminal subject to this part may transfer passengers to or 
from a passenger vessel subject to part 120 of this chapter, unless it 
holds either a Terminal Security Plan that we have examined or a letter 
from the COTP stating that we are currently reviewing the Plan and that 
normal operations may continue until the COTP has determined whether the 
Plan meets the requirements of Sec. 128.300.

[CGD 91-012, 63 FR 53592, Oct. 6, 1998]

[[Page 51]]



Sec. 128.309  What do I do if I need to amend my Terminal Security Plan?

    (a) If your passenger terminal is subject to this part, you must 
amend your Terminal Security Plan when directed by the COTP, and may 
amend it on your own initiative.
    (b) You must submit each proposed amendment to the Terminal Security 
Plan you initiate to the COTP for review at least 30 days before the 
amendment is to take effect, unless he or she allows a shorter period. 
The COTP will examine the amendment and respond according to 
Sec. 128.307.
    (c) The COTP may direct you to amend your Terminal Security Plan if 
he or she determines that implementation of the Plan is not providing 
effective security. Except in an emergency, he or she will issue you a 
written notice of matters to address and will allow you at least 60 days 
to submit proposed amendments.
    (d) If there is an emergency or other circumstance that makes the 
procedures in paragraph (c) of this section impracticable, the COTP may 
give you an order to implement increases in security immediately. The 
order will incorporate a statement of the reasons for it.

[CGD 91-012, 63 FR 53593, Oct. 6, 1998]



Sec. 128.311  What is my right of appeal?

    Any person directly affected by a decision or action taken by the 
COTP under this part, may appeal that action or decision to the 
cognizant District Commander according to the procedures in 46 CFR 1.03-
15; the District Commander's decision on appeal may be further appealed 
to the Commandant according to the procedures in 46 CFR 1.03-25.

[CGD 91-012, 61 FR 37654, July 18, 1996. Redesignated by CGD 91-012, 63 
FR 53592, Oct. 6, 1998]

[[Page 53]]

                                  INDEX

                     SUBCHAPTER L--WATERFRONT FACILITIES

  EDITORIAL NOTE: This listing is provided for informational purposes 
only. It is compiled and kept up-to-date by the Coast Guard, Department 
of Transportation.

                                                                 Section

                                 A

Access to waterfront facilities, and port and harbor areas, 
including vessels and harbor craft therein
                                                                  125.15
Alternatives
                                                                 127.017
Appeal(s)
                                                         125.47, 127.015
Appeal, right to
                                                                 128.309
Applicability
                                                        127.001, 128.100
Applications
                                                                  125.21
Applications, aliens
                                                                  125.25
Applications, challenges to
                                                                  125.41
Applications, insufficient information
                                                                  125.29
Applications, previously denied
                                                                  125.57
Applications, sponsorship
                                                                  125.27
Applications, United States citizens
                                                                 125.230

                                 C

Captain of the Port...............................................125.05
Identification Cards..............................................125.13
Cargoes
Ammonium nitrate, ammonium nitrate fertilizers,........................  

Fertilizer mixtures, or nitro carbo nitrate; general...................  

provisions........................................................126.28
Cargoes of particular hazard......................................126.10
Dangerous.........................................................126.07
Designated dangerous cargo.............................................  

Supervision and control...........................................126.29
Coast Guard Port Security Card
Form of...........................................................125.11
Holders of........................................................125.33
Outstanding applications..........................................125.55
Period of validity................................................125.12
Persons eligible..................................................125.17
Replacement of lost card..........................................125.51
Standards.........................................................125.19
Commandant, action by the.........................................125.45
After appeal......................................................125.49
Approval of applicant.............................................125.31
Commandant,.......................................................125.01
Notice by.........................................................125.35
Communications systems
                                                                 127.111

[[Page 54]]

                                 D

Definitions
                                                126.01, 127.005, 128.110
Design and construction
                                                                 127.101
Design and Construction
Communications systems..........................................127.1111
Electrical systems..............................................127.1107
Layout and spacing of marine transfer area for LHG..............127.1105
Lighting systems................................................127.1109
Piers and wharves...............................................127.1103
Piping systems..................................................127.1101
Transfer hoses and loading arms.................................127.1102
Warning signs...................................................127.1113
District Commander
                                                                  125.03

                                 E

Electrical power systems
                                                                 127.107
Equipment
Emergency shutdown.....................................127.205, 127.1205
Gas detectors, portable................................127.203, 127.1203
Respiratory protection..........................................127.1209
Sensing and alarm systems........................................127.201
Warning alarms.........................................127.207, 127.1207

                                 F

Facilities
Arrangement of...................................................126.15m
Automotive equipment.............................................126.15e
Designated waterfront facility....................................126.05
Designated waterfront facility, conditions for....................126.15
Designation of....................................................126.13
Electrical wiring................................................126.15h
``Facility of particular hazard'', conditions for designating.....126.16
Fire extinguishing equipment.....................................126.15j
Guards...........................................................126.15a
Heating equipment and open fires.................................126.15I
Lighting.........................................................126.15l
Maintenance stores and supplies..................................126.15g
Rubbish and waste material.......................................126.15f
Smoking..........................................................126.15b
Truck or other motor vehicles....................................126.15d
Warning alarms...................................................126.16b
Welding or hot work..............................................126.15c
Firefighting/Firefighting Equipment
Dry chemical systems.............................................127.609
Emergency outfits................................................127.605
Emergency response and rescue...................................127.1505
Equipment for controlling and extinguishing fires...............127.1509
Fire equipment; general..........................................127.601
Fire main systems................................................127.607
Fires............................................................127.615
General.........................................................127.1501
Hotwork..........................................................127.617
International shore connection.........................127.611, 127.1511
Portable fire extinguishers............................127.603, 127.1503
Smoking..........................................................127.613

[[Page 55]]

Water systems for fire protection...............................127.1507
Fire Protection
Hotwork.........................................................127.1603
Other sources of ignition.......................................127.1605
Smoking.........................................................127.1601

                                 G

Great Lakes
                                                                  125.08

                                 H

Handling of class 1 (explosive) materials or other dangerous 
cargoes within or contiguous to waterfront facilities
                                                                Part 126
Hearings
Boards............................................................125.37
Procedure.........................................................125.43
Notice by.........................................................125.39

                                 I

Identification Credentials
                                                                  125.09
Identification credentials for persons requiring access to 
waterfront facilities or vessels
                                                                Part 125
Incorporation by reference
                                                        127.003, 128.120
Inspections of waterfront facilities
                                                                 127.011
International Maritime Organization
                                                                128.120a

                                 L

Layout and spacing of marine transfer area for LNG
                                                                 127.105
Letter of intent
                                                                 127.007
Letter of recommendation
                                                                 127.009
Lighting systems
                                                                 127.109

                                 M

Maintenance
General................................................127.401, 127.1401
Inspections............................................127.403, 127.1403
Records................................................127.409, 127.1409
Repairs................................................127.405, 127.1405
Testing................................................127.407, 127.1407

                                 O

Operations
Bulk storage.....................................................127.313
Declaration of Inspection........................................127.317
Emergency Manual.......................................127.307, 127.1307
LNG release......................................................127.321
LNG transfer.....................................................127.319
Motor vehicles...................................................127.311
Operations Manual and Emergency Manual; use of...................127.309
Operations Manual......................................127.305, 127.1305
Qualifications and certification of persons in charge of shoreside 
transfer operations....................................127.301, 127.1301
Suspension order, compliance with................................127.303
Suspension order, compliance with...............................127.1303
Training........................................................127.1302

[[Page 56]]

Transfer inspection, preliminary.................................127.315
Operations Manual and Emergency Manual; Examination procedures
                                                                 127.019

                                 P

Penalties
Handling dangerous cargo without a permit.........................126.33
Handling designated dangerous cargo without a permit..............126.25
Permits
For handling dangerous cargo......................................126.27
For handling designated dangerous cargo...........................126.19
Termination of general permits....................................126.31
Termination or suspension of permits..............................126.23
Transactions......................................................126.21
Personnel Training
Applicability....................................................127.501
Training, general................................................127.503
Piers and wharves
                                                                 127.103
Plan
Amendment........................................................128.307
Examination procedure............................................128.305
General..........................................................128.300
Primary Responsibility
                                                                  126.35

                                 R

Reporting of unlawful acts and related activities
                                                                 128.220

                                 S

Security
Access to the marine transfer area for LNG.......................127.703
Communications...................................................127.711
On existing facilities...........................................127.701
Personnel........................................................127.707
Protective enclosures............................................127.709
Systems..........................................................127.705
Security of passenger terminals
                                                                Part 128
Separability
                                                                  126.37
Suspension of transfer operations
                                                                 127.013

                                 T

Terminal security officer
                                                                 128.210

                                 V

Vessel credential requirements
                                                                  125.53

                                 W

Warning signs
                                                                 127.113
Waterfront facility
                                                                  125.07
Waterfront Facilities Handling Liquefied Hazardous Gas
                                                               Subpart C
Waterfront Facilities Handling Liquefied Natural Gas
                                                               Subpart B
Waterfront facilities handling liquefied natural gas and liquefied 
hazardous gas
                                                                Part 127
Western Rivers
                                                                  125.06

[[Page 57]]

        ................................................................



SUBCHAPTER M--MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION


PART 133--OIL SPILL LIABILITY TRUST FUND; STATE ACCESS--Table of Contents




Sec.
133.1  Purpose.
133.3  Definitions.
133.5  Requests: General.
133.7  Requests: Amount.
133.9  Requests: Where made.
133.11  Requests: Contents.
133.13  Removal actions eligible for funding.
133.15  Determination of eligibility for funding.
133.17  Conduct of removal actions.
133.19  Recordkeeping.
133.21  Records retention.
133.23  Investigation to determine the source and responsible party.
133.25  Notification of Governor's designee.

    Authority: 33 U.S.C. 2712(e); E.O. 12777 (3 CFR, 1991 Comp., p. 
351); 49 CFR 1.46.

    Source: CGD 92-014, 57 FR 53969, Nov. 13, 1992, unless otherwise 
noted.



Sec. 133.1  Purpose.

    This part prescribes procedures for the Governor of a State to 
request payments from the Oil Spill Liability trust Fund (the Fund) for 
oil pollution removal costs under section 1012(d)(1) of the Oil 
Pollution Act of 1990 (the Act) (33 U.S.C. 2712(d)(1)).



Sec. 133.3  Definitions.

    (a) As used in this part, the following terms have the same meaning 
as set forth in section 1001 of the Act (33 U.S.C. 2701): ``discharge'', 
``exclusive economic zone'', ``Fund'', ``incident'', ``National 
Contingency Plan'', ``navigable waters'', ``oil'', ``remove'', 
``removal'', ``removal costs'', ``responsible party'', ``State'', and 
``United States''.
    (b) As used in this part--
    Act means Title I of the Oil Pollution Act of 1990 (33 U.S.C. 2701 
through 2719).
    Director, NPFC, means the person in charge of the U.S. Coast Guard 
National Pollution Funds Center or that person's authorized 
representative.
    NPFC means the U.S. Coast Guard National Pollution Funds Center, 
4200 Wilson Boulevard, suite 1000, Arlington, Virginia 22203-1804.
    On-Scene Coordinator or OSC means the Federal official predesignated 
by the Environmental Protection Agency or the U.S. Coast Guard to direct 
and coordinate all efforts for removal of a discharge, or the mitigation 
or the prevention of a substantial threat of a discharge, of oil.
    Removal action means an incident-specific activity taken under this 
part to contain or remove a discharge, or to mitigate or prevent a 
substantial threat of a discharge, of oil.



Sec. 133.5  Requests: General.

    (a) Upon a request submitted in accordance with this part by the 
Governor of a State or his or her designated State official, the OSC may 
obtain a Federal Project Number (FPN) and a ceiling not to exceed 
$250,000 per incident for removal costs. The removal costs must be for 
the immediate removal of a discharge, or the mitigation or prevention of 
a substantial threat of a discharge, of oil.
    (b) Before a request under this part is made, the State official 
shall ensure that the procedures in the National Contingency Plan (40 
CFR part 300) for notifying Federal authorities of the discharge or 
threat of discharge have been met.
    (c) The Federal Grant and Cooperative Agreement Act of 1977 (31 
U.S.C. 6301-6308) and 49 CFR parts 18, 20, 29, and 90 apply to Fund 
monies obligated for payment under this part.



Sec. 133.7  Requests: Amount.

    (a) The amount of funds that may be requested under this part--
    (1) Is limited to the amount anticipated for immediate removal 
action for a single oil pollution incident, but, in any event, may not 
exceed $250,000 per incident;
    (2) Must be for removal costs consistent with the National 
Contingency Plan; and
    (3) Must be reasonable for the removal actions proposed, considering 
such factors as quantity and composition of the oil, weather conditions 
and

[[Page 58]]

customary costs of similar services in the locale.
    (b) The funds requested are obligated only to the extent they are 
determined to be for immediate removal actions which are reasonable and 
otherwise eligible for payment under this part.



Sec. 133.9  Requests: Where made.

    Requests for access to the Fund under Sec. 133.5 must be made by 
telephone or other rapid means to the OSC.



Sec. 133.11  Request: Contents.

    In making a request for access to the Fund, the person making the 
request shall--
    (a) Indicate that the request is a State access request under 33 CFR 
part 133;
    (b) Give his or her name, title, department, and State;
    (c) Describe the incident in sufficient detail to allow a 
determination of jurisdiction, including at a minimum the date of the 
occurrence, type of product discharged, estimated quantity of the 
discharge, body of water involved, and proposed removal actions for 
which funds are being requested under this part; and
    (d) Indicate the amount of funds being requested.



Sec. 133.13  Removal actions eligible for funding.

    To be eligible for funding under this part, each removal action must 
meet the following:
    (a) Must be for an incident, occurring after August 18, 1990, which 
resulted in a discharge, or the substantial threat of a discharge, of 
oil into or upon the navigable waters or adjoining shorelines.
    (b) Must comply with the National Contingency Plan.
    (c) Must be an immediate removal action.



Sec. 133.15  Determination of eligibility for funding.

    Upon receipt of the information under Sec. 133.11 and, if necessary, 
from other sources determined to be appropriate at his or her 
discretion, the OSC will determine whether the proposed removal actions 
meet the requirements of Sec. 133.13. If necessary, the OSC may seek 
further clarification of the proposed actions from the State official. 
The OSC shall expeditiously notify the State official and the Director, 
NPFC, of his or her decision.



Sec. 133.17  Conduct of removal actions.

    Removal actions funded under this part must be coordinated with the 
OSC and conducted in accordance with the National Contingency Plan.



Sec. 133.19  Recordkeeping.

    (a) The State official shall maintain detailed records of 
expenditures made from the funds provided under this part, including 
records of--
    (1) Daily expenditures for each individual worker, giving the 
individual's name, title or position, activity performed, time on task, 
salary or hourly rate, travel costs, per diem, out-of-pocket or 
extraordinary expenses, and whether the individual is normally available 
for oil spill removal;
    (2) Equipment purchased or rented each day, with the daily or hourly 
rate;
    (3) Miscellaneous materials and expendables purchased each day; and
    (4) Daily contractor or consultant fees, including costs for their 
personnel and contractor-owned or rented equipment, as well as that of 
any subcontractor.
    (b) The State official shall submit a copy of these records and a 
summary document stating the total of all expenditures made to the NPFC 
official specified in Sec. 133.25(c) within thirty days after completion 
of the removal actions. A copy of these documents shall also be 
submitted to the cognizant OSC.
    (c) Upon request of the OSC or the NPFC, the State official shall 
make the original records available for inspection.
    (d) If, after inspecting the records, the Director, NPFC, determines 
that expenditures by a State official from funds obligated under this 
part were not eligible for funding under this part and the expenditures 
were not made with the good faith understanding that they were eligible 
under this part, the Director, NPFC, may seek reimbursement to the Fund 
from the State.

[[Page 59]]



Sec. 133.21  Records retention.

    (a) The State official shall maintain all records for ten years 
following completion of the removal actions.
    (b) If any litigation, claim, negotiation, audit, cost recovery, or 
other action involving the records has been started before the 
expiration of the ten-year period, the records must be retained until 
completion of the action and resolution of all issues which arise from 
it, or until the end of the regular ten-year period, whichever is later.



Sec. 133.23  Investigation to determine the source and responsible party.

    (a) The State official shall promptly make a thorough investigation 
to determine the source of the incident and the responsible party.
    (b) Upon completion of the investigation, the State official shall 
forward the results of the investigation and copies of the supporting 
evidence identifying the source and the responsible party to both the 
cognizant OSC and the NPFC official specified in Sec. 133.25(c).



Sec. 133.25  Notification of Governor's designee.

    (a) If the Governor of a State anticipates the need to access the 
Fund under this part, he or she must advise the NPFC in writing of the 
specific individual who is designated to make requests under this part.
    (b) This designation must include the individual's name, address, 
telephone number, and title or capacity in which employed.
    (c) The information required by paragraph (b) of this section must 
be forwarded to the Chief, Case Management Division, National Pollution 
Funds Center, Suite 1000, 4200 Wilson Boulevard, Arlington, Virginia 
22203-1804.



PART 135--OFFSHORE OIL POLLUTION COMPENSATION FUND--Table of Contents




                           Subpart A--General

Sec.
135.1  Purpose.
135.3  Applicability.
135.5  Definitions.
135.7  Delegation--Fund Administrator.
135.9  Fund address.

                         Subpart B--Levy of Fees

135.101  Purpose.
135.103  Levy and payment of barrel fee on OCS oil.

       Subpart C--Financial Responsibility for Offshore Facilities

135.201  Applicability.
135.203  Amount required.
135.204  Submission of evidence.
135.205  Methods of establishing.
135.207  Insurance as evidence.
135.209  Guaranty as evidence.
135.210  Indemnity as evidence.
135.211  Surety bond as evidence.
135.213  Qualification as self-insurer.
135.215  Certification.
135.219  Notification of changes affecting certification.
135.221  Reapplication for certification.
135.223  Certificates, denial or revocation.

             Subpart D--Notification of Pollution Incidents

135.303  Definitions.
135.305  Notification procedures.
135.307  Notification contents.

                Subpart E--Access, Denial, and Detention

135.401  Access to vessel, Certificates of Financial Responsibility.
135.403  Sanctions for failure to produce vessel Certificates of 
          Financial Responsibility.
135.405  Appeal provisions.

    Authority: 33 U.S.C. 2701-2719; E.O. 12777, 56 FR 54757; 49 CFR 
1.46.

    Source: CGD 77-055, 44 FR 16868, Mar. 19, 1979, unless otherwise 
noted.



                           Subpart A--General



Sec. 135.1  Purpose.

    (a) This part prescribes the policies, procedures, and 
administrative practices regarding offshore oil pollution liability and 
compensation, including the administration and general operation of the 
fund established under Title III of the Outer Continental Shelf Lands 
Act Amendments of 1978 (Pub. L. 95-372, 43 U.S.C. 1811 et. seq.).



Sec. 135.3  Applicability.

    (a) This part applies to each person who:
    (1) Owns oil obtained from the Outer Continental Shelf when the oil 
in produced;

[[Page 60]]

    (2) Owns, operates, or is the guarantor of the owner or operator of 
any vessel;
    (3) Owns, operates, or is the guarantor of the owner or operator of 
any offshore facility;
    (4) Sustains an economic loss as a consequence of oil pollution 
arising from Outer Continental Shelf activities; or
    (5) Otherwise has responsibilities under Title III of the Act and 
the regulations in this part.



Sec. 135.5  Definitions.

    (a) As used in this part, the following terms shall have the same 
meaning as defined in section 301 of Title III of the Outer Continental 
Shelf Lands Act Amendments of 1978 (Pub. L. 95-372): ``barrel''; 
``claim''; ``discharge''; ``facility''; ``Fund''; ``guarantor''; 
``incident''; ``offshore facility''; ``oil pollution''; ``operator''; 
``owner''; ``person''; ``person in charge''; ``public vessel''; and 
``vessel''.
    (b) As used in this part:
    (1) Act means Title III of the Outer Continental Shelf Lands Act 
Amendments of 1978 (Pub. L. 95-372), entitled ``Offshore Oil Spill 
Pollution Fund''.
    (2) Captain of the Port means a Coast Guard officer designated as 
Captain of the Port for the areas described in Part 3 of this chapter, 
or that person's authorized representative or, where there is no Captain 
of the Port area, the District Commander.
    (3) Commandant means the Commandant of the Coast Guard or that 
person's authorized representative.
    (4) District Commander means the Coast Guard officer commanding a 
Coast Guard District described in Part 3 of this chapter, or that 
person's authorized representative.
    (5) Fund Administrator means the person to whom the authority and 
functions of the Commandant as administrator of the Fund are delegated.
    (6) Oil means petroleum, including crude oil or any fraction or 
residue therefrom and natural gas condensate, except that the term does 
not include natural gas.
    (7) Outer Continental Shelf or OCS means ``outer Continental Shelf'' 
as defined in section 2(a) of the Outer Continental Shelf Lands Act (43 
U.S.C.1331(a)).



Sec. 135.7  Delegation--Fund Administrator.

    (a) The Fund Administrator is delegated authority to perform those 
functions assigned or delegated to the Secretary of Transportation under 
the Act not reserved by the Secretary of Transportation or the 
Commandant.
    (b) The Fund Administrator may redelegate and authorize successive 
redelegations of the authority granted in paragraph (a) of this section 
within the command under which that person has jurisdiction or to 
members of the Fund staff.



Sec. 135.9  Fund address.

    The address to which correspondence relating to the Coast Guard's 
administration of the Fund should be directed is: U.S. Coast Guard 
National Pollution Funds Center, 4200 Wilson Boulevard, Suite 1000, 
Arlington, VA 22203-1804.

[CGD 86-032, 52 FR 23175, June 18, 1987, as amended by CGD 88-052, 53 FR 
25120, July 1, 1988; USCG-1998-3799, 63 FR 35530, June 30, 1998]



                         Subpart B--Levy of Fees



Sec. 135.101  Purpose.

    (a) The purpose of this subpart is to state the general requirements 
concerning the levy of fees.



Sec. 135.103  Levy and payment of barrel fee on OCS oil.

    (a) A fee of $.03 per barrel is levied on all oil produced on the 
OCS and is imposed upon the owner of the oil when such oil is produced.
    (b) The owner of oil obtained from the OCS shall, for the purpose of 
computing the barrel fee levied in paragraph (a) of this section, 
measure OCS oil production by employing the methods and criteria of the 
Minerals Management Service contained in 30 CFR 250.180.
    (c) The barrel fee levied in paragraph (a) of this section applies 
whenever the unobligated Fund balance is less than $200,000,000.

[[Page 61]]

    (d) Payment of the fee levied in paragraph (a) of this section is 
made in accordance with the fee collection regulations of the IRS at 26 
CFR part 301, Sec. 301.9001. Federal government entitlement to royalty 
oil does not constitute ownership of oil at time of production. The Fund 
Administrator advises the IRS when the unobligated Fund balance requires 
starting or stopping the collection of the barrel fee levied in this 
section, so the IRS may provide appropriate notice to affected owners of 
OCS oil.

[CGD 88-050, 53 FR 52997, Dec. 30, 1988, as amended by CGD 90-005, 55 FR 
17268, Apr. 24, 1990]



       Subpart C--Financial Responsibility for Offshore Facilities



Sec. 135.201  Applicability.

    (a) This subpart applies to the owner or operator of each offshore 
facility required by the Act to establish and maintain evidence of 
financial responsibility.
    (b) For the purpose of this subpart:
    (1) All structures, including platforms, wells, and pipelines, are 
considered a single offshore facility if they are physically connected, 
located upstream of the point of custody transfer, within the same oil 
field, and under one ownership.
    (2) If separate parts of a structure, including platforms and 
pipelines, are owned separately, each part having common ownership is 
considered a separate offshore facility.
    (3) A mobile offshore drilling unit is considered an offshore 
facility from the moment a drill shaft or other device connected to the 
unit first touches the seabed or connects to a well for the purposes of 
exploration, development, or production of oil until drilling is 
completed and the unit is no longer attached to the well or drill hole 
by any device.
    (4) A mobile offshore drilling unit considered an offshore facility 
under paragraph (b)(3) of this section remains a separate facility when 
physically connected to another offshore facility, unless both are under 
one ownership.
    (5) All segments of a common carrier pipeline from the point of 
custody transfer to the shore, including any pumping or booster 
stations, which are under one ownership are considered a single offshore 
facility.
    (6) Any pipeline, which is under one ownership, between two offshore 
facilities, or between an offshore facility and the shore, is considered 
a single offshore facility.
    (7) Offshore facilities which drill for, produce, or process only 
natural gas are not subject to this subpart unless the facilities have 
the capacity to transport, store, or otherwise handle more than 1,000 
barrels of condensate at any one time.
    Note: Regulations governing financial responsiblity and 
certification for vessels are promulgated by the Federal Maritime 
Commission.



Sec. 135.203  Amount required.

    (a) Each facility that is used for drilling for, producing, or 
processing oil, or which has the capacity to transport, store, transfer, 
or otherwise handle more than one thousand barrels of oil at any one 
time must be covered by evidence of financial responsibility submitted 
by or on behalf of the owner or operator of the facility, in the amount 
of $35,000,000.
    (b) Evidence of financial responsibility established and maintained 
by a person who owns or operates more than one facility, or who has an 
interest in the ownership or operation of more than one facility, may be 
applied by that person towards establishing and maintaining the required 
evidence of financial responsibility for each facility in which that 
person has an interest, if the evidence is available to satisfy 
liabilities arising out of incidents involving those facilities.



Sec. 135.204  Submission of evidence.

    (a) Where the offshore facility is owned and operated solely by one 
person, that person must establish and maintain evidence of financial 
responsibility covering the facility.
    (b) Where the offshore facility is owned in its entirety by one 
person and operated solely by another person, evidence of financial 
responsibility covering the facility must be established and maintained 
by either the owner or the operator, or, in consolidated form, by both 
the owner and operator.

[[Page 62]]

    (c) Where the offshore facility is owned or operated by more than 
one person, evidence of financial responsibility covering the facility 
must be established and maintained by any one of the owners or 
operators, or, in consolidated form, by or on behalf of two or more 
owners or operators.
    (d) When evidence of financial responsibility is established in a 
consolidated form, the proportional share of each participant must be 
shown. The evidence must be accompanied by a statement authorizing the 
applicant to act for and in behalf of each participant in submitting and 
maintaining the evidence of financial responsibility.
    (e) Each owner and operator of a facility is subject to the penalty 
provided by section 312(a) of the Act if evidence of financial 
responsibility is not established and maintained for that facility.



Sec. 135.205  Methods of establishing.

    (a) Evidence of financial responsibility may be established by any 
one, or any combination acceptable to the Fund Administrator, of the 
following methods:
    (1) Insurance;
    (2) Guaranty;
    (3) Indemnity;
    (4) Surety bond; or
    (5) Qualification as self-insurer.
    (b) The Fund Administrator will accept alternative evidence of 
financial responsibility if, in the Fund Administrator's opinion, it 
establishes an equivalent degree of financial responsibility for the 
purposes of this subpart.



Sec. 135.207  Insurance as evidence.

    (a) Insurance filed with the Fund Administrator as evidence of 
financial responsibility shall be issued by an insurer that is 
acceptable to the Fund Administrator. Those insurers may include 
domestic and foreign insurance companies, corporations or associations 
of individual insurers, protection and indemnity associations, or other 
persons acceptable to the Fund Administrator.
    (b) An insurer must:
    (1) Agree to be sued directly, within the limits of the policy 
coverage, by any person for claims under the Act against the owner or 
operator; and
    (2) Designate an agent in the United States for service of process.
    (c) Insurance as evidence of financial responsibility must indicate 
the effective date in the endorsement on the application for Certificate 
of Financial Responsibility, and must remain in force until the date of 
termination indicated in the endorsement or until--
    (1) 30 days after mailing, by certified mail, to the Fund 
Administrator, and the person insured, notification of intent to cancel; 
or
    (2) Other evidence of financial responsibility acceptable to the 
Fund Administrator has been established; or
    (3) The facility to which the insurance applies ceases to be a 
facility under Sec. 135.201(b).
    (d) Termination of insurance coverage shall not affect the liability 
of the insurer for an incident occurring before the effective date of 
termination.
    (e) Confirmation of insurance may be accepted from an insurance 
broker that is acceptable to the Fund Administrator, subject to the Fund 
Administrator's approval of the individual underwriters, in lieu of 
their signature on an application, provided the confirmation:
    (1) States the insurance covers liabilities under the Act;
    (2) Sets forth the limit and deductible;
    (3) Provides for direct action against the individual underwriters 
to the extent of their contracts;
    (4) Names the underwriters and percentages of the limit accepted by 
each;
    (5) States that the underwriters agree to give prior written notice 
of cancellation or change to the Fund Administrator as required in 
paragraph (c) of this section; and
    (6) States that the notice indicated in paragraph (e)(5) of this 
section will not affect the underwriter's liability for incidents 
occurring before the effective date of cancellation.



Sec. 135.209  Guaranty as evidence.

    (a) Guarantors must:
    (1) Agree to be sued directly, within the limits the guaranty, by 
any person for claims under the Act against the owner or operator; and

[[Page 63]]

    (2) Designate an agent in the United States for service of process.
    (b) Guaranties filed as evidence of financial responsibility must be 
accompanied by the same proof that the Guarantor is financially 
responsible as this subpart would require of the owner or operator; i.e. 
insurance, surety bond, self-insurance, or other acceptable methods.
    (c) A guaranty as evidence of financial responsibility must indicate 
the effective date in the endorsement on the application for Certificate 
of Financial Responsibility, and must remain in force until the date of 
termination indicated in the endorsement or until:
    (1) 30 days after mailing, by certified mail, to the Fund 
Administrator, and the person guarantied, notification of intent to 
cancel; or
    (2) Other evidence of financial responsibility acceptable to the 
Fund Administrator has been established; or
    (3) The facility to which the guaranty applies ceases to be a 
facility under Sec. 135.201(b).
    (d) Termination of the guaranty shall not affect the liability of 
the guarantor for an incident occurring before the effective date of 
termination.



Sec. 135.210  Indemnity as evidence.

    (a) An indemnitor must:
    (1) Agree to be sued directly, within the limits of the contract 
coverage, by any person for claims under the Act against the owner or 
operator to the extent of the indemnity coverage; and
    (2) Designate an agent in the United States for service of process.
    (b) Indemnity filed as evidence of financial responsibility must be 
accompanied by the same proof of the indemnitor's financial 
responsibility as this subpart would require of the owner or operator; 
i.e. insurance, surety bond, self-insurance; or other acceptable 
methods.
    (c) An indemnity as evidence of financial responsibility must 
indicate the effective date in the endorsement on the application for 
Certificate of Financial Responsibility, and must remain in force until 
the date of termination indicated in the endorsement or until--
    (1) 30 days after mailing, by certified mail, to the Fund 
Administrator, and the person indemnified, notification of intent to 
cancel; or
    (2) Other evidence of financial responsibility acceptable to the 
Fund Administrator has been established; or
    (3) The facility to which the indemnity applies ceases to be a 
facility under Sec. 135.201(b).
    (d) Termination of an indemnity shall not affect the liability of 
the indemnitor for an incident occurring before the effective date of 
termination.



Sec. 135.211  Surety bond as evidence.

    (a) Each surety bond filed with the Fund Administrator as evidence 
of financial responsibility shall be issued by a bonding company that:
    (1) Is authorized to do business in the United States;
    (2) Is licensed to do business in the state or territory in which 
the bond is executed;
    (3) Is certified by the Department of the Treasury with respect to 
the issuance of Federal bonds in the penal sum of the bond; and
    (4) Designates an agent in the United States for service of process.
    (b) The bonding company must agree to be sued directly, within the 
limits of the surety bond, by any person for claims under the Act 
against the owner or operator.
    (c) A surety bond as evidence of financial responsibility must 
indicate the effective date in the endorsement on the application for 
Certificate of Financial Responsibility, and must remain in force until 
the date of termination indicated in the endorsement or until:
    (1) 30 days after mailing, by certified mail, to the Fund 
Administrator, and the person bonded, notification of intent to cancel; 
or
    (2) Other evidence of financial responsibility acceptable to the 
Fund Administrator has been established; or
    (3) The facility to which the surety bond applies ceases to be a 
facility under Sec. 135.201(b).
    (d) Termination of the surety bond shall not affect the liability of 
the surety for an incident occurring before the effective date of 
termination.

[[Page 64]]



Sec. 135.213  Qualification as self-insurer.

    (a) Qualification for self insurance must be supported by a copy of 
the self-insurer's current balance sheet, income statement, and 
statement of changes in financial position that are certified by an 
independent Certified Public Accountant and must be accompanied by 
either:
    (1) An additional statement confirming that the self-insurer's 
current U.S. assets, including those of consolidated subsidiaries held 
in the U.S., not including pledged assets or stock not publicly traded, 
exceed the current U.S. liabilities, and the self-insurers net worth 
exceeds the amount of the requested self-insurance; or
    (2) A statement, based on an analysis of the self-insurer's 
financial position, which shows that sufficient assets or cash flow, 
other than which might be damaged as a result of a pollution incident, 
are available which may be liquidated to provide the funds necessary to 
retire a claim for the amount of the self-insurance without placing the 
self-insurer in an insolvent position.
    (b) The statements required by paragraphs (a) (1) and (2) of this 
section must be prepared and submitted by the involved Certified Public 
Accountant when the required financial statements are prepared in 
consolidated form and the liability represents less than the full 
financial backing of the consolidated entity, otherwise they may be 
prepared and submitted by the Treasurer or equivalent official.
    (c) If the self-insurer files a Securities and Exchange Commission 
Form 10-K report, a copy of the self-insurer's most recent 10-K report 
must be filed with the Fund Administrator within 120 days after the end 
of the fiscal year to which it relates, in addition to filing the most 
recent 10-K report with the initial application.
    (d) Each self-insurer must file annually with the Fund 
Administrator, copies of documents required under paragraph (a) of this 
section, within 120 days after the close of the self-insurer's fiscal 
accounting period. If a self-insurer files a 10-K report with the Fund 
Administrator under paragraph (c) of this section which contains some of 
the financial statements required in paragraph (a), a separate filing of 
those specific statements need not be made.



Sec. 135.215  Certification.

    (a) Applicants shall:
    (1) If the facility is in existence before September 17, 1979, apply 
for a Certificate of Financial Responsibility before September 17, 1979.
    (2) If the offshore facility is not in existence on September 17, 
1979, apply for a Certificate of Financial Responsibility at least 45 
days before placing the offshore facility into operation or coverage 
becomes effective.
    (3) If submitting an application to include an additional facility 
under previously established evidence of financial responsibility, apply 
for a Certificate of Financial Responsibility as early as possible 
before the anticipated date of desired coverage.
    (b) Each application for a Certificate of Financial Responsibility 
must be made on a Coast Guard prescribed Application for Certificate of 
Financial Responsibility form, available from the Fund Administrator or 
any Coast Guard District Office. This form must be submitted for each 
facility; however, if evidence of financial responsibility has been 
previously established in an amount sufficient to meet Sec. 135.203 (a), 
no additional evidence need be submitted with the application.
    (c) Each application form submitted under this section must be 
signed by the applicant. A written statement proving authority to sign 
must also be submitted where the signer is not disclosed as an 
individual (sole proprietor) applicant, a partner in a partnership 
applicant, or a director or other officer of a corporate applicant.
    (d) Financial data or other information submitted under this section 
that is proprietary in nature, or constitutes a trade secret, must be 
clearly designated as such to insure confidential treatment by the Fund 
Administrator, under 5 U.S.C. 552, the Freedom of Information Act, which 
provides for exemption from disclosure of trade secret data.
    (e) If any of the information submitted for certification is 
determined

[[Page 65]]

by the Fund Administrator to be insufficient the Fund Administrator may 
require additional information before final consideration of the 
application.
    (f) Certificates, as issued, are to be considered property of the 
U.S. Government, are not to be altered in any manner, and must be 
surrendered on demand when revoked in accordance with Sec. 135.223 of 
this subpart.
    (g) Applicants shall obtain a Certificate of Financial 
Responsibility for each facility.



Sec. 135.219  Notification of changes affecting certification.

    (a) Each owner, operator, or guarantor of an offshore facility shall 
within ten days notify the Fund Administrator in writing when any 
changes occur which prevent the owner, operator, or guarantor, from 
meeting the obligations for which a Certificate of Financial 
Responsibility has been issued.
    (b) Based on notice of a change in financial capability under 
paragraph (a) of this section, the Fund Administrator may revoke a 
Certificate of Financial Responsibility.



Sec. 135.221  Reapplication for certification.

    (a) If a Certificate of Financial Responsibility becomes invalid for 
any reason, an application for a new certificate must be immediately 
submitted to the Fund Administrator in accordance with Sec. 135.204.



Sec. 135.223  Certificates, denial or revocation.

    (a) A certificate may be denied or revoked for any of the following 
reasons:
    (1) Making any willfully false statement to the Fund Administrator 
in connection with establishing or maintaining evidence of financial 
responsibility.
    (2) Failure of an applicant or certificant to establish or maintain 
evidence of financial responsibility as required by the regulations in 
this subpart.
    (3) Failure to comply with or respond to inquiries, regulations, or 
orders of the Fund Administrator concerning establishing or maintaining 
evidence of financial responsibility.
    (4) Failure to timely file the reports or documents required by 
Sec. 135.213 (c) and (d).
    (5) Cancellation or termination of any insurance policy, surety 
bond, indemnity, or guaranty issued under this subpart or modification 
thereto which reduces the financial capacity of the applicant or 
certificant to meet the requirements of this subpart, unless substitute 
evidence of financial responsibility has been submitted to and accepted 
by the Fund Administrator.
    (b) Denial or revocation of a certificate shall be immediate and 
without prior notice in a case where the applicant or certificant:
    (1) Is no longer the owner or operator of the offshore facility in 
question;
    (2) Fails to furnish acceptable evidence of financial responsibility 
in support of an application; or
    (3) Permits the cancellation or termination of the insurance policy, 
surety bond, indemnity, or guaranty upon which the continued validity of 
the certificate is based.
    (c) In any other case, before the denial or revocation of a 
certificate, the Fund Administrator advises the applicant or 
certificant, in writing, of the intention to deny or revoke the 
certificate, and shall state the reason therefor.
    (d) If the reason for an intended revocation is failure to file the 
reports or documents required by Sec. 135.213 (c) and (d) the revocation 
shall be effective 10 days after the date of receipt of the notice of 
intention to revoke, unless the certificant shall, before revocation, 
submit the required material or demonstrate that the required material 
was timely filed.
    (e) If the intended denial or revocation is based upon one of the 
reasons in paragraph (a)(1) or (a)(3) of this section, the applicant or 
certificant may request, in writing, a hearing to show that the 
applicant or certificant is in compliance with this subpart. If the 
applicant or certificant fails to file a timely request for a hearing, 
the denial or revocation is effective 10 days after receipt of the 
notice.
    (f) If a request for a hearing under paragraph (e) of this section 
is received by the Fund Administrator within 10

[[Page 66]]

days after the date of receipt of a notice of intention to deny or 
revoke, the Fund Administrator grants a hearing and notifies the 
requesting party of the date, time, and location of the hearing. If a 
requesting party fails to enter an appearance at the scheduled hearing, 
or in lieu thereof fails to submit written evidence for the 
consideration of the hearing official, denial or revocation is effective 
as of the scheduled date and time of the hearing, unless an extension of 
time is granted by the Fund Administrator for good cause shown.
    (g) Hearings under this section are informal and are conducted by an 
official designated by the Fund Administrator. The official conducting 
the hearing considers all relevant material submitted and makes 
recommendations to the Fund Administrator.
    (h) The Fund Administrator's decision is final agency action.



             Subpart D--Notification of Pollution Incidents



Sec. 135.303  Definitions.

    As used in this subpart:
    Occurrences which pose an imminent threat of oil pollution means 
those incidents that are likely to result in a discharge of oil and 
include, but are not limited to: vessel collisions, grounding or 
stranding; structural failure in a tank, pipeline or other oil handling 
system; fire, explosion or other events which may cause structural 
damage to a vessel or offshore facility.

[CGD 77-055, 44 FR 16868, Mar. 19, 1979, as amended by CGD 91-035, 57 FR 
36316, Aug. 12, 1992]



Sec. 135.305  Notification procedures.

    (a) The person in charge of a vessel or offshore facility that is 
involved in an incident, including occurrences which pose an imminent 
threat of oil pollution shall, as soon as that person has knowledge of 
the incident, immediately notify by telephone, radio telecommunication 
or a similar rapid means of communication, in the following order of 
preference:
    (1) (Within or offshore of the 48 contiguous States only) The Duty 
Officer, National Response Center, U.S. Coast Guard, 2100 Second Street, 
SW., Washington, DC 20593-0001, toll free telephone number 800-424-8802; 
or
    (2) The commanding officer or supervisor of any Coast Guard Marine 
Safety Office, Captain of the Port Office, Marine Safety Detachment or 
Port Safety Detachment in the vicinity of the incident; or
    (3) The commanding officer or officer in charge of any other Coast 
Guard unit in the vicinity of the incident; or
    (4) The Commander of any Coast Guard District.
    (b) Notification given in accordance with this subpart constitutes 
fulfillment of the requirements of Subpart C of 33 CFR Part 153 
concerning Notice of the Discharge of Oil.

[CGD 77-055, 44 FR 16868, Mar. 19, 1979, as amended by USCG-1998-3799, 
63 FR 35530, June 30, 1998]



Sec. 135.307  Notification contents.

    (a) In each notification provided under Sec. 135.305, the person in 
charge of the vessel or offshore facility involved in the incident shall 
provide his or her name and telephone number, or radio call sign, and, 
to the extent known, the:
    (1) Location, date and time of the incident;
    (2) Quantity of oil involved;
    (3) Cause of the incident;
    (4) Name or other identification of the vessel or offshore facility 
involved;
    (5) Size and color of any slick or sheen and the direction of 
movement;
    (6) Observed on scene weather conditions, including wind speed and 
direction, height and direction of seas, and any tidal or current 
influence present;
    (7) Actions taken or contemplated to secure the source or contain 
and remove or otherwise control the discharged oil;
    (8) Extent of any injuries or other damages incurred as a result of 
the incident;
    (9) Observed damage to living natural resources; and
    (10) Any other information deemed relevant by the reporting party or 
requested by the person receiving the notification.
    (b) The person giving notification of an incident must not delay 
notification to gather all required information and

[[Page 67]]

must provide any information not immediately available when it becomes 
known.



                Subpart E--Access, Denial, and Detention



Sec. 135.401  Access to vessel, Certificates of Financial Responsibility.

    (a) The owner, operator, master or agent of any vessel subject to 
the Act shall, upon request by any Coast Guard officer or petty officer, 
permit access to the vessel and produce for examination the Certificate 
of Financial Responsibility.



Sec. 135.403  Sanctions for failure to produce vessel Certificates of Financial Responsibility.

    (a) The Captain of the Port issues denial or detention orders to the 
owner, operator, agent, or master of any vessel that cannot show upon 
request a valid Certificate of Financial Responsibility issued under the 
Act.
    (b) A denial order forbids entry of any vessel subject to the Act to 
any port or place in the United States or to the navigable waters of the 
United States.
    (c) A detention order detains any vessel subject to the Act at the 
port or place in the United States from which it is about to depart for 
any other port or place in the United States.
    (d) The Captain of the Port terminates a denial or detention order 
when the owner, operator, agent, or master of a vessel furnishes 
adequate evidence that the certification of financial responsibility 
requirements under the Act have been met.



Sec. 135.405  Appeal provisions.

    (a) The owner, operator, agent or master of a vessel issued a denial 
or detention order under this subpart may petition the District 
Commander in any manner to review that order.
    (b) Upon completion of review, the District Commander affirms, sets 
aside, or modifies the order.
    (c) Unless otherwise determined by the District Commander a denial 
or detention order remains in effect pending the outcome of any petition 
or appeal of that order.
    (d) The District Commander acts on all petitions or appeals within 
10 days of receipt.
    (e) The decision of the District Commander is final agency action.



PART 136--OIL SPILL LIABILITY TRUST FUND; CLAIMS PROCEDURES; DESIGNATION OF SOURCE; AND ADVERTISEMENT--Table of Contents




                           Subpart A--General

Sec.
136.1  Purpose and applicability.
136.3  Information.
136.5  Definitions.
136.7  Foreign claimants.
136.9  Falsification of claims.

                      Subpart B--General Procedure

136.101  Time limitations on claims.
136.103  Order of presentment.
136.105  General requirements for a claim.
136.107  Subrogated claims.
136.109  Removal costs and multiple items of damages.
136.111  Insurance.
136.113  Other compensation.
136.115  Settlement and notice to claimant.

               Subpart C--Procedures for Particular Claims

                              Removal Costs

136.201  Authorized claimants.
136.203  Proof.
136.205  Compensation allowable.

                            Natural Resources

136.207  Authorized claimants.
136.209  Proof.
136.211  Compensation allowable.

                        Real or Personal Property

136.213  Authorized claimants.
136.215  Proof.
136.217  Compensation allowable.

                             Subsistence Use

136.219  Authorized claimants.
136.221  Proof.
136.223  Compensation allowable.

                           Government Revenues

136.225  Authorized claimants.
136.227  Proof.
136.229  Compensation allowable.

                      Profits and Earning Capacity

136.231  Authorized claimants.
136.233  Proof.
136.235  Compensation allowable.

[[Page 68]]

                       Government Public Services

136.237  Authorized claimants.
136.239  Proof.
136.241  Compensation allowable.

           Subpart D--Designation of Source and Advertisement

                                 General

136.301  Purpose.
136.303  Definitions.

                          Designation of Source

136.305  Notice of designation.
136.307  Denial of designation.

                              Advertisement

136.309  Advertisement determinations.
136.311  Types of advertisement.
136.313  Content of advertisement.

    Authority: 33 U.S.C. 2713, 2714; E.O. 12777, 3 CFR, 1991 Comp., p. 
351; 49 CFR 1.46.

    Source: CGD 91-035, 57 FR 36316, Aug. 12, 1992, unless otherwise 
noted.



                           Subpart A--General



Sec. 136.1  Purpose and applicability.

    (a) This part prescribes regulations for--
    (1) Presentation, filing, processing, settlement, and adjudication 
of claims authorized to be presented to the Oil Spill Liability Trust 
Fund (the Fund) under section 1013 of the Oil Pollution Act of 1990 (the 
Act) (33 U.S.C. 2713) for certain uncompensated removal costs or 
uncompensated damages resulting from the discharge, or substantial 
threat of discharge, of oil from a vessel or facility into or upon the 
navigable waters, adjoining shorelines, or the exclusive economic zone;
    (2) Designation of the source of the incident, notification to the 
responsible party of the designation, and advertisement of the 
designation and claims procedures; and
    (3) Other related matters.
    (b) This part applies to claims resulting from incidents occurring 
after August 18, 1990.
    (c) Nothing in this part--
    (1) Preempts the authority of any State or political subdivision 
thereof from imposing any additional liability or requirements with 
respect to--
    (i) The discharge of oil or other pollution by oil within such 
State; or
    (ii) Any removal activities in connection with such a discharge; or
    (2) Affects or modifies in any way the obligations or liabilities of 
any person under the Solid Waste Disposal Act (42 U.S.C. 6901 et seq.) 
or State law, including common law; or
    (3) Affects the authority of any State--
    (i) To establish, or to continue in effect, a fund any purpose of 
which is to pay for costs or damages arising out of, or directly 
resulting from, oil pollution or the substantial threat of oil 
pollution; or
    (ii) To require any person to contribute to such a fund; or
    (4) Affects the authority of the United States or any State or 
political subdivision thereof to impose additional liability or 
additional requirements relating to a discharge, or substantial threat 
of a discharge, of oil.



Sec. 136.3  Information.

    Anyone desiring to file a claim against the Fund may obtain general 
information on the procedure for filing a claim from the Director, 
National Pollution Funds Center, suite 1000, 4200 Wilson Boulevard, 
Arlington, Virginia 22203-1804, (703) 235-4756.



Sec. 136.5  Definitions

    (a) As used in this part, the following terms have the same meaning 
as set forth in sections 1001 and 1007(c) of the Act (33 U.S.C. 2701 and 
2707(c)): Claim, claimant, damages, discharge, exclusive economic zone, 
facility, foreign claimant, foreign offshore unit, Fund, guarantor, 
incident, National Contingency Plan, natural resources, navigable 
waters, offshore facility, oil, onshore facility, owner or operator, 
person, removal costs, responsible party, State, United States, and 
vessel.
    (b) As used in this part--
    Act means title I of the Oil Pollution Act of 1990 (Pub. L. 101-380; 
33 U.S.C. 2701 through 2719).
    Director, NPFC, means the person in charge of the U.S. Coast Guard 
National Pollution Funds Center or that person's authorized 
representative.
    FOSC means the Federal On-Scene Coordinator designated under the 
National Contingency Plan or that person's authorized representative.

[[Page 69]]

    NPFC means the U.S. Coast Guard National Pollution Funds Center, 
suite 1000, 4200 Wilson Boulevard, Arlington, Virginia 22203-1804.



Sec. 136.7  Foreign claimants.

    In addition to other applicable limitations on presenting claims to 
the Fund, claims by foreign claimants to recover removal costs or 
damages may be presented only when the requirements of section 1007 of 
the Act (33 U.S.C. 2707) are met.



Sec. 136.9  Falsification of claims.

    Persons submitting false claims or making false statements in 
connection with claims under this part may be subject to prosecution 
under Federal law, including but not limited to 18 U.S.C. 287 and 1001. 
In addition, persons submitting written documentation in support of 
claims under this part which they know, or should know, is false or 
omits a material fact may be subject to a civil penalty for each claim. 
If any payment is made on the claim, the claimant may also be subject to 
an assessment of up to twice the amount claimed. These civil sanctions 
may be imposed under the Program Fraud Civil Remedies Act, 31 U.S.C. 
3801-3812, as implemented in 49 CFR part 31.

[CGD 91-035, 57 FR 36316, Aug. 12, 1992, as amended by CGD 96-052, 62 FR 
16703, Apr. 8, 1997]



                      Subpart B--General Procedure



Sec. 136.101  Time limitations on claims.

    (a) Except as provided under section 1012(h)(3) of the Act (33 
U.S.C. 2712(h)(3)) (minors and incompetents), the Fund will consider a 
claim only if presented in writing to the Director, NPFC, within the 
following time limits:
    (1) For damages, within three years after--
    (i) The date on which the injury and its connection with the 
incident in question were reasonably discoverable with the exercise of 
due care.
    (ii) In the case of natural resources damages under section 
1002(b)(2)(A) of the Act (33 U.S.C. 2702(b)(2)(A)), the date under 
paragraph (a)(1)(i) of this section, or within three years from the date 
of completion of the natural resources damage assessment under section 
1006(e) of the Act (33 U.S.C. 2706(e)), whichever is later.
    (2) For removal costs, within six years after the date of completion 
of all removal actions for the incident. As used in this paragraph, 
``date of completion of all removal actions'' is defined as the actual 
date of completion of all removal actions for the incident or the date 
the FOSC determines that the removal actions which form the basis for 
the costs being claimed are completed, whichever is earlier.
    (b) Unless the Director, NPFC, directs in writing that the claim be 
submitted elsewhere, a claim is deemed presented on the date the claim 
is actually received at the National Pollution Funds Center, suite 1000, 
4200 Wilson Boulevard, Arlington, Virginia 22203-1804. If the Director, 
NPFC, directs that the claim be presented elsewhere, the claim is deemed 
presented on the date the claim is actually received at the address in 
the directive.

[CGD 91-035, 57 FR 36316, Aug. 12, 1992; 57 FR 41104, Sept. 9, 1992]



Sec. 136.103  Order of presentment.

    (a) Except as provided in paragraph (b) of this section, all claims 
for removal costs or damages must be presented first to the responsible 
party or guarantor of the source designated under Sec. 136.305.
    (b) Claims for removal costs or damages may be presented first to 
the Fund only--
    (1) By any claimant, if the Director, NPFC, has advertised, or 
otherwise notified claimants in writing, in accordance with 
Sec. 136.309(e);
    (2) By a responsible party who may assert a claim under section 1008 
of the Act (33 U.S.C. 2708);
    (3) By the Governor of a State for removal costs incurred by that 
State; or
    (4) By a United States claimant in a case where a foreign offshore 
unit has discharged oil causing damage for which the Fund is liable 
under section 1012(a) of the Act (33 U.S.C. 2712(a)).
    (c) If a claim is presented in accordance with paragraph (a) of this 
section and--

[[Page 70]]

    (1) Each person to whom the claim is presented denies all liability 
for the claim; or
    (2) The claim is not settled by any person by payment within 90 days 
after the date upon which (A) the claim was presented, or (B) 
advertising was begun pursuant to Sec. 136.309(d), whichever is later, 
the claimant may elect to commence an action in court against the 
responsible party or guarantor or to present the claim to the Fund.
    (d) No claim of a person against the Fund will be approved or 
certified for payment during the pendency of an action by the person in 
court to recover costs which are the subject of the claim.

[CGD 91-035, 57 FR 36316, Aug. 12, 1992; 57 FR 41104, Sept. 9, 1992]



Sec. 136.105  General requirements for a claim.

    (a) The claimant bears the burden of providing all evidence, 
information, and documentation deemed necessary by the Director, NPFC, 
to support the claim.
    (b) Each claim must be in writing for a sum certain for compensation 
for each category of uncompensated damages or removal costs (as 
described in Subpart C of this part) resulting from an incident. If at 
any time during the pendency of a claim against the Fund the claimant 
receives any compensation for the claimed amounts, the claimant shall 
immediately amend the claim.
    (c) Each claim must be signed in ink by the claimant certifying to 
the best of the claimant's knowledge and belief that the claim 
accurately reflects all material facts.
    (d) In addition to the other requirements of this section, any claim 
presented by a legal representative of the claimant must also be signed 
by the legal representative and--
    (1) Be presented in the name of the claimant;
    (2) Show the title or legal capacity of the representative; and
    (3) Provide proof of authority to act for the claimant.
    (e) Each claim must include at least the following, as applicable:
    (1) The full name, street and mailing addresses of residence and 
business, and telephone numbers of the claimant.
    (2) The date, time, and place of the incident giving rise to the 
claim.
    (3) The identity of the vessel, facility, or other entity causing or 
suspected to have caused the removal costs or damages claimed and the 
basis for such identity or belief.
    (4) A general description of the nature and extent of the impact of 
the incident, the costs associated with removal actions, and damages 
claimed, by category as delineated in Subpart C of this part, including, 
for any property, equipment, or similar item damaged, the full name, 
street and mailing address, and telephone number of the actual owner, if 
other than the claimant.
    (5) An explanation of how and when the removal costs or damages were 
caused by, or resulted from, an incident.
    (6) Evidence to support the claim.
    (7) A description of the actions taken by the claimant, or other 
person on the claimant's behalf, to avoid or minimize removal costs or 
damages claimed.
    (8) The reasonable costs incurred by the claimant in assessing the 
damages claimed. This includes the reasonable costs of estimating the 
damages claimed, but not attorney's fees or other administrative costs 
associated with preparation of the claim.
    (9) To the extent known or reasonably identifiable by the claimant, 
the full name, street and mailing address, and telephone number of each 
witness to the incident, to the discharge, or to the removal costs or 
damages claimed, along with a brief description of that person's 
knowledge.
    (10) A copy of written communications and the substance of verbal 
communications, if any, between the claimant and the responsible party 
or guarantor of the source designated under Sec. 136.305 and a statement 
indicating that the claim was presented to the responsible party or 
guarantor, the date it was presented, that it was denied or remains not 
settled and, if known, the reason why it was denied or remains not 
settled.
    (11) If the claimant has insurance which may cover the removal costs 
or

[[Page 71]]

damages claimed, the information required under Sec. 136.111.
    (12) A statement by the claimant that no action has been commenced 
in court against the responsible party or guarantor of the source 
designated under Sec. 136.305 or, if an action has been commenced, a 
statement identifying the claimant's attorney and the attorney's address 
and phone number, the civil action number, and the court in which the 
action is pending.
    (13) In the discretion of the Director, NPFC, any other information 
deemed relevant and necessary to properly process the claim for payment.



Sec. 136.107  Subrogated claims.

    (a) The claims of subrogor (e.g., insured) and subrogee (e.g., 
insurer) for removal costs and damages arising out of the same incident 
should be presented together and must be signed by all claimants.
    (b) A fully subrogated claim is payable only to the subrogee.
    (c) A subrogee must support a claim in the same manner as any other 
claimant.



Sec. 136.109  Removal costs and multiple items of damages.

    (a) A claimant must specify all of the claimant's known removal 
costs or damages arising out of a single incident when submitting a 
claim.
    (b) Removal costs and each separate category of damages (as 
described in subpart C of this part) must be separately listed with a 
sum certain attributed to each type and category listed.
    (c) At the sole discretion of the Director, NPFC, removal costs and 
each separate category of damages may be treated separately for 
settlement purposes.



Sec. 136.111  Insurance.

    (a) A claimant shall provide the following information concerning 
any insurance which may cover the removal costs or damages for which 
compensation is claimed:
    (1) The name and address of each insurer.
    (2) The kind and amount of coverage.
    (3) The policy number.
    (4) Whether a claim has been or will be presented to an insurer and, 
if so, the amount of the claim and the name of the insurer.
    (5) Whether any insurer has paid the claim in full or in part or has 
indicated whether or not payment will be made.
    (b) If requested by the Director, NPFC, the claimant shall provide a 
copy of the following material:
    (1) All insurance policies or indemnification agreements.
    (2) All written communications, and a summary of all oral 
communications, with any insurer or indemnifier.
    (c) A claimant shall advise the Director, NPFC, of any changes in 
the information provided under this section.



Sec. 136.113  Other compensation.

    A claimant must include an accounting, including the source and 
value, of all other compensation received, applied for, or potentially 
available as a consequence of the incident out of which the claim arises 
including, but not limited to, monetary payments, goods or services, or 
other benefits.



Sec. 136.115  Settlement and notice to claimant.

    (a) Payment in full, or acceptance by the claimant of an offer of 
settlement by the Fund, is final and conclusive for all purposes and, 
upon payment, constitutes a release of the Fund for the claim. In 
addition, acceptance of any compensation from the Fund precludes the 
claimant from filing any subsequent action against any person to recover 
costs or damages which are the subject of the compensated claim. 
Acceptance of any compensation also constitutes an agreement by the 
claimant to assign to the Fund any rights, claims, and causes of action 
the claimant has against any person for the costs and damages which are 
the subject of the compensated claims and to cooperate reasonably with 
the Fund in any claim or action by the Fund against any person to 
recover the amounts paid by the Fund. The cooperation shall include, but 
is not limited to, immediately reimbursing the Fund for any compensation 
received from any other source for the same costs and damages and 
providing any documentation, evidence, testimony, and other support, as 
may be necessary

[[Page 72]]

for the Fund to recover from any person.
    (b) Claimant's failure to accept an offer of settlement within 60 
days after the date the offer was mailed to the claimant automatically 
voids the offer. The Director, NPFC, reserves the right to revoke an 
offer at any time.
    (c) A claimant will be notified in writing sent by certified or 
registered mail whenever a claim against the Fund is denied. The failure 
of the Director, NPFC, to make final disposition of a claim within six 
months after it is filed shall, at the option of the claimant any time 
thereafter, be deemed a final denial of the claim.
    (d) The Director, NPFC, upon written request of the claimant or of a 
person duly authorized to act on the claimant's behalf, reconsiders any 
claim denied. The request for reconsideration must be in writing and 
include the factual or legal grounds for the relief requested, providing 
any additional support for the claim. The request must be received by 
the Director, NPFC, within 60 days after the date the denial was mailed 
to the claimant or within 30 days after receipt of the denial by the 
claimant, whichever date is earlier. Reconsideration may only be 
requested once for each claim denied. The Director, NPFC will provide 
the claimant seeking reconsideration with written notification of the 
decision within 90 days after receipt of the request for 
reconsideration. This written decision is final. The failure of the 
Director, NPFC, to make final disposition of a reconsideration within 90 
days after it is received shall, at the option of the claimant any time 
thereafter, be deemed a final denial of the reconsideration.



               Subpart C--Procedures for Particular Claims

                              Removal Costs



Sec. 136.201  Authorized claimants.

    A claim for removal costs may be presented by any claimant.



Sec. 136.203  Proof.

    In addition to the requirements of Subparts A and B of this part, a 
claimant must establish--
    (a) That the actions taken were necessary to prevent, minimize, or 
mitigate the effects of the incident;
    (b) That the removal costs were incurred as a result of these 
actions;
    (c) That the actions taken were determined by the FOSC to be 
consistent with the National Contingency Plan or were directed by the 
FOSC.



Sec. 136.205  Compensation allowable.

    The amount of compensation allowable is the total of uncompensated 
reasonable removal costs of actions taken that were determined by the 
FOSC to be consistent with the National Contingency Plan or were 
directed by the FOSC. Except in exceptional circumstances, removal 
activities for which costs are being claimed must have been coordinated 
with the FOSC.

                            Natural Resources



Sec. 136.207  Authorized claimants.

    (a) Claims for uncompensated natural resource damages may be 
presented by an appropriate natural resources trustee. However, in order 
to facilitate the processing of these claims with respect to a single 
incident where multiple trustees are involved and to prevent double 
recovery, the affected trustees should select a lead administrative 
trustee who will present consolidated claims on behalf of the trustees.
    (b) A trustee may present a claim for the reasonable cost of 
assessing natural resources damages separately from a claim for the cost 
of developing and implementing plans for the restoration, 
rehabilitation, replacement, or acquisition of the equivalent of the 
natural resources damaged.



Sec. 136.209  Proof.

    In addition to the requirements of subparts A and B of this part, a 
trustee must do the following:
    (a) Submit the assessment and restoration plans which form the basis 
of the claim.
    (b) Provide documented costs and cost estimates for the claim. Final 
cost estimates for conducting damage assessments or implementing a 
restoration plan may form the basis for a

[[Page 73]]

claim against the Fund for an uncompensated natural resources damage 
claim.
    (c) Identify all trustees who may be potential claimants for the 
same natural resources damaged.
    (d) Certify the accuracy and integrity of any claim submitted to the 
Fund, and certify that any actions taken or proposed were or will be 
conducted in accordance with the Act and consistent with all applicable 
laws and regulations.
    (e) Certify whether the assessment was conducted in accordance with 
applicable provisions of the natural resources damage assessment 
regulations promulgated under section 1006(e)(1) of the Act (33 U.S.C. 
2706(e)(1)). Identify any other or additional damage assessment 
regulations or methodology utilized.
    (f) Certify that, to the best of the trustee's knowledge and belief, 
no other trustee has the right to present a claim for the same natural 
resources damages and that payment of any subpart of the claim presented 
would not constitute a double recovery for the same natural resources 
damages.



Sec. 136.211  Compensation allowable.

    (a) The amount of compensation allowable is the reasonable cost of 
assessing damages, and the cost of restoring, rehabilitating, replacing, 
or acquiring the equivalent of the damaged natural resources.
    (b) In addition to any other provision of law respecting the use of 
sums recovered for natural resources damages, trustees shall reimburse 
the Fund for any amounts received from the Fund in excess of that amount 
required to accomplish the activities for which the claim was paid.

                        Real or Personal Property



Sec. 136.213  Authorized claimants.

    (a) A claim for injury to, or economic losses resulting from the 
destruction of, real or personal property may be presented only by a 
claimant either owning or leasing the property.
    (b) Any claim for loss of profits or impairment of earning capacity 
due to injury to, destruction of, or loss of real or personal property 
must be included as subpart of the claim under this section and must 
include the proof required under Sec. 136.233.



Sec. 136.215  Proof.

    (a) In addition to the requirements of subparts A and B of this 
part, a claimant must establish--
    (1) An ownership or leasehold interest in the property;
    (2) That the property was injured or destroyed;
    (3) The cost of repair or replacement; and
    (4) The value of the property both before and after injury occurred.
    (b) In addition, for each claim for economic loss resulting from 
destruction of real or personal property, the claimant must establish--
    (1) That the property was not available for use and, if it had been, 
the value of that use;
    (2) Whether or not substitute property was available and, if used, 
the costs thereof; and
    (3) That the economic loss claimed was incurred as the result of the 
injury to or destruction of the property.



Sec. 136.217  Compensation allowable.

    (a) The amount of compensation allowable for damaged property is the 
lesser of--
    (1) Actual or estimated net cost of repairs necessary to restore the 
property to substantially the same condition which existed immediately 
before the damage;
    (2) The difference between value of the property before and after 
the damage; or
    (3) The replacement value.
    (b) Compensation for economic loss resulting from the destruction of 
real or personal property may be allowed in an amount equal to the 
reasonable costs actually incurred for use of substitute commercial 
property or, if substitute commercial property was not reasonably 
available, in an amount equal to the net economic loss which resulted 
from not having use of the property. When substitute commercial property 
was reasonably available, but not used, allowable compensation for loss 
of use is limited to the cost of the substitute commercial property, or 
the

[[Page 74]]

property lost, whichever is less. Compensation for loss of use of 
noncommercial property is not allowable.
    (c) Compensation for a claim for loss of profits or impairment of 
earning capacity under Sec. 136.213(b) is limited to that allowable 
under Sec. 136.235.

                             Subsistence Use



Sec. 136.219  Authorized claimants.

    (a) A claim for loss of subsistence use of natural resources may be 
presented only by a claimant who actually uses, for subsistence, the 
natural resources which have been injured, destroyed, or lost, without 
regard to the ownership or management of the resources.
    (b) A claim for loss of profits or impairment of earning capacity 
due to loss of subsistence use of natural resources must be included as 
part of the claim under this section and must include the proof required 
under Sec. 136.233.



Sec. 136.221  Proof.

    In addition to the requirements of subparts A and B of this part, a 
claimant must provide--
    (a) The identification of each specific natural resource for which 
compensation for loss of subsistence use is claimed;
    (b) A description of the actual subsistence use made of each 
specific natural resource by the claimant;
    (c) A description of how and to what extent the claimant's 
subsistence use was affected by the injury to or loss of each specific 
natural resource;
    (d) A description of each effort made by the claimant to mitigate 
the claimant's loss of subsistence use; and
    (e) A description of each alternative source or means of subsistence 
available to the claimant during the period of time for which loss of 
subsistence is claimed, and any compensation available to the claimant 
for loss of subsistence.



Sec. 136.223  Compensation allowable.

    (a) The amount of compensation allowable is the reasonable 
replacement cost of the subsistence loss suffered by the claimant if, 
during the period of time for which the loss of subsistence is claimed, 
there was no alternative source or means of subsistence available.
    (b) The amount of compensation allowable under paragraph (a) of this 
section must be reduced by--
    (1) All compensation made available to the claimant to compensate 
for subsistence loss;
    (2) All income which was derived by utilizing the time which 
otherwise would have been used to obtain natural resources for 
subsistence use; and
    (3) Overheads or other normal expenses of subsistence use not 
incurred as a result of the incident.
    (c) Compensation for a claim for loss of profits or impairment of 
earning capacity under Sec. 136.219(b) is limited to that allowable 
under Sec. 136.235.

                           Government Revenues



Sec. 136.225  Authorized claimants.

    A claim for net loss of revenue due to the injury, destruction, or 
loss of real property, personal property, or natural resources may be 
presented only by an appropriate claimant sustaining the loss. As used 
in this section and Sec. 136.277, ``revenue'' means taxes, royalties, 
rents, fees, and net profit shares.



Sec. 136.227  Proof.

    In addition to the requirements of Subparts A and B, a claimant must 
establish--
    (a) The identification and description of the economic loss for 
which compensation is claimed, including the applicable authority, 
property affected, method of assessment, rate, and method and dates of 
collection;
    (b) That the loss of revenue was due to the injury to, destruction 
of, or loss of real or personal property or natural resources;
    (c) The total assessment or revenue collected for comparable revenue 
periods; and
    (d) The net loss of revenue.



Sec. 136.229  Compensation allowable.

    The amount of compensation allowable is the total net revenue 
actually lost.

[[Page 75]]

                      Profits and Earning Capacity



Sec. 136.231  Authorized claimants.

    (a) A claim for loss of profits or impairment of earning capacity 
due to the injury to, destruction of, or loss of real or personal 
property or natural resources may be presented by a claimant sustaining 
the loss or impairment. The claimant need not be the owner of the 
damaged property or resources to recover for lost profits or income.
    (b) A claim for loss of profits or impairment of earning capacity 
that also involves a claim for injury to, or economic losses resulting 
from destruction of, real or personal property must be claimed under 
Sec. 136.213.
    (c) A claim for loss of profits or impairment of earning capacity 
that also involves a claim for loss of subsistence use of natural 
resources must be claimed under Sec. 136.219.



Sec. 136.233  Proof.

    In addition to the requirements of subparts A and B of this part, a 
claimant must establish the following:
    (a) That real or personal property or natural resources have been 
injured, destroyed, or lost.
    (b) That the claimant's income was reduced as a consequence of 
injury to, destruction of, or loss of the property or natural resources, 
and the amount of that reduction.
    (c) The amount of the claimant's profits or earnings in comparable 
periods and during the period when the claimed loss or impairment was 
suffered, as established by income tax returns, financial statements, 
and similar documents. In addition, comparative figures for profits or 
earnings for the same or similar activities outside of the area affected 
by the incident also must be established.
    (d) Whether alternative employment or business was available and 
undertaken and, if so, the amount of income received. All income that a 
claimant received as a result of the incident must be clearly indicated 
and any saved overhead and other normal expenses not incurred as a 
result of the incident must be established.



Sec. 136.235  Compensation allowable.

    The amount of compensation allowable is limited to the actual net 
reduction or loss of earnings or profits suffered. Calculations for net 
reductions or losses must clearly reflect adjustments for--
    (a) All income resulting from the incident;
    (b) All income from alternative employment or business undertaken;
    (c) Potential income from alternative employment or business not 
undertaken, but reasonably available;
    (d) Any saved overhead or normal expenses not incurred as a result 
of the incident; and
    (e) State, local, and Federal taxes.

                       Government Public Services



Sec. 136.237  Authorized claimants.

    A claim for net costs of providing increased or additional public 
services during or after removal activities, including protection from 
fire, safety, or health hazards, caused by a discharge of oil may be 
presented only by a State or a political subdivision of a State 
incurring the costs.



Sec. 136.239  Proof.

    In addition to the requirements of subparts A and B of this part, a 
claimant must establish--
    (a) The nature of the specific public services provided and the need 
for those services;
    (b) That the services occurred during or after removal activities;
    (c) That the services were provided as a result of a discharge of 
oil and would not otherwise have been provided; and
    (d) The net cost for the services and the methods used to compute 
those costs.



Sec. 136.241  Compensation allowable.

    The amount of compensation allowable is the net cost of the 
increased or additional service provided by the State or political 
subdivision.

[[Page 76]]



           Subpart D--Designation of Source and Advertisement

                                 General



Sec. 136.301  Purpose.

    This subpart prescribes the requirements concerning designation of 
the source or sources of the discharge or threat of discharge and 
advertisement of these designations, including the procedures by which 
claims may be presented to the responsible party or guarantor.



Sec. 136.303  Definitions.

    As used in this subpart--
    Advertisement means the dissemination of information, including but 
not limited to paid advertisements, that are reasonably calculated to 
advise the public how to present a claim.
    Designated source means a source designated under Sec. 136.305.

                          Designation of Source



Sec. 136.305  Notice of designation.

    (a) When information of an incident is received, the source or 
sources of the discharge or threat are designated, where possible and 
appropriate. If the designated source is a vessel or facility, the 
responsible party and the guarantor, if known, are notified by 
telephone, telefax, or other rapid means of that designation. The 
designation will be confirmed by a written Notice of Designation.
    (b) A Notice of Designation normally contains, to the extent known--
    (1) The name of the vessel or facility designated as the source;
    (2) The location, date, and time of the incident;
    (3) The type of quantity of oil involved;
    (4) The date of the designation;
    (5) The procedures for accepting or denying the designation; and
    (6) The name, address, telephone number, and, if available, telefax 
number of the responsible Federal official to whom further communication 
regrading the incident, advertisement of the incident, or denial of 
designation should be directed.



Sec. 136.307  Denial of designation.

    (a) Within five days after receiving a Notice of Designation under 
Sec. 136.305, the responsible party or guarantor may deny the 
designation.
    (b) A denial of designation must--
    (1) Be in writing;
    (2) Identify the Notice of Designation;
    (3) Give the reasons for the denial and provide a copy of all 
supporting documents; and
    (4) Be submitted to the official named in the Notice of Designation.
    (c) A denial is deemed received on the date the denial is actually 
received by the official named in the Notice of Designation.

                              Advertisement



Sec. 136.309  Advertisement determinations.

    (a) The Director, NPFC, determines for each incident the type, 
geographic scope, frequency, and duration of advertisement required.
    (b) In making the determination specified in paragraph (a) of this 
section, the Director, NPFC, may consider--
    (1) The nature and extent of economic losses that have occurred or 
are likely to occur;
    (2) The potential claimants who are likely to incur economic losses;
    (3) The geographical area that is or will likely be affected;
    (4) The most effective method of reasonably notifying potential 
claimants of the designation and procedures of submitting claims; and
    (5) Relevant information or recommendations, if any, submitted by, 
or on behalf of, the responsible party or guarantor of the designated 
source.
    (c) The Director, NPFC, provides the specific requirements for 
advertisement for each incident to the responsible party or guarantor of 
the designated source.
    (d) If a responsible party or guarantor has not denied designation 
in accordance with Sec. 136.307, the party or guarantor shall advertise, 
in accordance with the requirements of this subpart, the designation and 
the procedures by which claims may be presented. The advertisement must 
begin

[[Page 77]]

not later than 15 days after the date of the designation made under 
Sec. 136.305.
    (e) If there is no designation under Sec. 136.305, if the source of 
the discharge or threat is a public vessel, or if the responsible party 
and guarantor of the source designated have denied the designation or 
failed to meet the requirements for advertisement in this section, the 
Director, NPFC, may advertise procedures for presenting claims.



Sec. 136.311  Types of advertisement.

    Advertisement required by the Director, NPFC, will normally include 
one or more of the following:
    (a) Paid advertisements in a newspaper or newspapers having general 
circulation in the area designated by the Director, NPFC.
    (b) Notice posted in marinas, marine supply stores, bait and tackle 
shops, and other appropriate business establishments or public 
facilities in the area designated by the Director, NPFC.
    (c) News releases to newspapers, radio stations, television 
stations, and cable services having general circulation in the area 
designated by the Director, NPFC.
    (d) Other means approved by the Director, NPFC, under the 
circumstances of each case.



Sec. 136.313  Content of advertisement.

    Each advertisement required by this subpart may be required to 
contain the following information or to indicate where this information 
may be contained:
    (a) Location, date, and time of the incident.
    (b) Geographical area affected, as determined by the FOSC or 
Director, NPFC.
    (c) Type and quantity of oil involved.
    (d) Name or other description of the source designated by the FOSC 
or Director, NPFC.
    (e) Name of the responsible party and guarantor of the designated 
source.
    (f) Name, address, telephone number, office hours, and work days of 
the person or persons to whom claims are to be presented and from whom 
claim information can be obtained.
    (g) The procedures by which a claim may be presented.
    (h) Other information required by the Director, NPFC, under the 
circumstances of each case.



PART 138--FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS)--Table of Contents




Sec.
138.10  Scope.
138.12  Applicability.
138.15  Implementation schedule.
138.20  Definitions.
138.30  General.
138.40  Where to apply for and obtain forms.
138.50  Time to apply.
138.60  Applications, general instructions.
138.65  Issuance and carriage of Certificates.
138.70  Renewal of Certificates.
138.80  Financial responsibility, how established.
138.90  Individual and Fleet Certificates.
138.100  Non-owning operator's responsibility for identification.
138.110  Master Certificates.
138.120  Certificates, denial or revocation.
138.130  Fees.
138.140  Enforcement.
138.150  Service of process.

Appendix A to Part 138--Application Form.
Appendix B to Part 138--Insurance Guaranty Form
Appendix C to Part 138--Master Insurance Guaranty Form
Appendix D to Part 138--Surety Bond Guaranty Form
Appendix E to Part 138--Financial Guaranty Form
Appendix F to Part 138--Master Financial Guaranty Form

    Authority: 33 U.S.C. 2716, 2716a; 42 U.S.C. 9608, 9609; sec. 7(b), 
E.O. 12580, 3 CFR, 1987 Comp., p. 198; E.O. 12777, 3 CFR 1991 Comp., p. 
351; 49 CFR 1.46.
    Section 138.30 also issued under the authority of 46 U.S.C. 2103, 
14302.

    Source: CGD 91-005, 59 FR 34227, July 1, 1994, unless otherwise 
noted.



Sec. 138.10  Scope.

    This part sets forth the procedures by which an operator of a vessel 
may establish and maintain, for itself, and, where the operator is not 
the owner or demise charterer, for the owner and demise charterer of the 
vessel, evidence of financial responsibility to cover liability of the 
owner, operator, and demise charterer arising under--
    (a) Section 1002 of the Oil Pollution Act of 1990 (OPA 90) (33 
U.S.C. 2702); and

[[Page 78]]

    (b) Section 107(a)(1) of the Comprehensive Environmental Response, 
Compensation, and Liability Act, as amended (CERCLA) (42 U.S.C. 
9607(a)(1)).

[CGD 91-005, 59 FR 34227, July 1, 1994, as amended by CGD 91-005, 61 FR 
9274, Mar. 7, 1996]



Sec. 138.12  Applicability.

    (a) This part applies to--
    (1) A tank vessel of any size, and to a foreign-flag vessel of any 
size, using the waters of the exclusive economic zone to transship or 
lighter oil (whether delivering or receiving) destined for a place 
subject to the jurisdiction of the United States; and
    (2) A vessel using the navigable waters of the United States or any 
port or place subject to the jurisdiction of the United States, 
including an offshore facility subject to the jurisdiction of the United 
States, except--
    (i) A vessel that is 300 gross tons or less; and
    (ii) A non-self-propelled barge that does not carry oil as cargo or 
fuel and does not carry hazardous substances as cargo.
    (b) For the purposes of financial responsibility under OPA 90, a 
mobile offshore drilling unit is treated as a tank vessel when it is 
being used as an offshore facility and there is a discharge, or a 
substantial threat of a discharge, of oil on or above the surface of the 
water. A mobile offshore drilling unit is treated as a vessel other than 
a tank vessel when it is not being used as an offshore facility.
    (c) In addition to a non-self-propelled barge over 300 gross tons 
that carries hazardous substances as cargo, for the purposes of 
financial responsibility under CERCLA, this part applies to a self-
propelled vessel over 300 gross tons, even if it does not carry 
hazardous substances.
    (d) This part does not apply to a public vessel.

[CGD 91-005, 59 FR 34227, July 1, 1994, as amended at 61 FR 9274, Mar. 
7, 1996]



Sec. 138.15  Implementation schedule.

    (a) A tank vessel is subject to the following implementation 
schedule:
    (1) Until December 28, 1994, a tank vessel is required to carry a 
Certificate issued under parts 130, 131, and 132 of this chapter, as may 
be applicable to that vessel. On or after that date, and until July 1, 
1995, a non-self-propelled tank vessel must carry a Certificate issued 
under parts 130, 131, and 132 of this chapter, as may be applicable to 
that vessel, unless it carries a Certificate issued under this part.
    (2) A self-propelled tank vessel to which this part applies and 
which carries a valid Certificate issued under part 130 of this chapter 
may not operate on or after December 28, 1994, unless the operator of 
that vessel has submitted to the Director, NPFC, before that date 
acceptable evidence of financial responsibility applicable to that 
vessel under this part. A self-propelled tank vessel covered by that 
evidence of financial responsibility before December 28, 1994, may 
continue to operate with the Certificate issued under part 130 of this 
chapter. The expiration date of the Certificate issued under part 130 of 
this chapter for that vessel will be deemed to be December 28, 1995, 
regardless of the expiration date appearing on the Certificate. 
Thereafter, a Certificate issued under this part is required.
    (3) A self-propelled tank vessel to which this part applies, but 
which does not carry a valid Certificate issued under part 130 of this 
chapter before December 28, 1994, may not operate on or after that date 
unless it carries a Certificate under this part.
    (4) A non-self-propelled tank vessel to which this part applies may 
not operate on or after July 1, 1995, without a Certificate issued under 
this part. A non-self-propelled tank vessel may continue to operate with 
a Certificate issued under parts 130, 131, and 132 of this chapter, as 
may be applicable to that vessel, until that date.
    (b) A vessel that is not a tank vessel (non-tank vessel) is subject 
to the following implementation schedule:
    (1) Until December 28, 1997, a non-tank vessel is required to carry 
a Certificate issued under parts 130 and 132 of this chapter, as may be 
applicable to that vessel, unless that vessel carries a Certificate 
issued under this part. On or after December 28, 1997, each non-tank 
vessel subject to this part must carry a Certificate issued under this 
part.

[[Page 79]]

    (2) A Certificate is issued, on and after December 28, 1994, and 
before December 28, 1997, under parts 130 and 132 of this chapter only 
to replace a lost Certificate or to replace a Certificate due to a 
vessel or operator name change (a change of legal identity, such as 
reincorporation or other reorganization, is not considered a name 
change). The expiration date that will appear on the replacement 
Certificate will be the same as the expiration date of the Certificate 
being replaced. During that three-year time period, with respect to part 
132 of this chapter, the expiration date that will appear on a 
Certificate being replaced, or on an existing Certificate being renewed, 
will be adjusted to coincide with the expiration date of the 
Certificate, if any, for that vessel issued under part 130 of this 
chapter.
    (3) A non-tank vessel that has a Certificate issued before December 
28, 1994, under part 130 of this chapter is not required to carry a 
Certificate under this part until the date of expiration of the 
Certificate issued under part 130 of this chapter.
    (4) Except as provided in paragraph (b)(5) of this section, a 
Certificate issued on and after July 1, 1994, and before December 28, 
1994, under parts 130 and 132 of this chapter is issued with an 
expiration date three years from the date of issuance.
    (5) If a Certificate issued under part 130 of this chapter with an 
expiration date of December 28, 1994, or later is surrendered, and a new 
Certificate is requested for the same non-tank vessel before December 
28, 1994, the new Certificate will have the same expiration date as that 
of the surrendered Certificate.
    (c) On or after July 1, 1994, a vessel that is subject to either 
part 131 or 132, or both, of this chapter but that is not subject to 
part 130 of this chapter because the vessel is 300 gross tons or less is 
not required to comply with part 131 or 132 of this chapter, unless that 
vessel is subject to this part under Sec. 138.12(a)(1).



Sec. 138.20  Definitions.

    (a) As used in this part (including the appendices to this part), 
the following terms have the same meaning as set forth in--
    (1) Section 1001 of the Oil Pollution Act of 1990 (33 U.S.C. 2701), 
respecting the financial responsibility referred to in 
Sec. 138.10(b)(1): claimant, damages, discharge, exclusive economic 
zone, navigable waters, mobile offshore drilling unit, natural 
resources, offshore facility, oil, person, remove, removal, removal 
costs, and United States; and
    (2) Section 101 of the Comprehensive Environmental Response, 
Compensation, and Liability Act (42 U.S.C. 9601), respecting the 
financial responsibility referred to in Sec. 138.10(b)(2): claimant, 
damages, environment, hazardous substance, navigable waters, natural 
resources, person, release, remove, removal, and United States.
    (b) As used in this part (including the appendices to this part)--
    Acts means OPA 90 and CERCLA.
    Applicant means an operator who has applied for a Certificate or for 
the renewal of a Certificate under this part.
    Application means ``Application for Vessel Certificate of Financial 
Responsibility (Water Pollution)'', as illustrated in Appendix A of this 
part.
    Cargo means goods or materials on board a vessel for purposes of 
transportation, whether proprietary or nonproprietary. A hazardous 
substance or oil carried solely for use aboard the carrying vessel is 
not ``cargo''.
    CERCLA means title I of the Comprehensive Environmental Response, 
Compensation, and Liability Act, as amended (42 U.S.C. 9601 et seq.).
    Certificant means an operator who has been issued a Certificate 
under this part.
    Certificate means a ``Vessel Certificate of Financial Responsibility 
(Water Pollution)'' issued under this part, unless otherwise indicated.
    Director, NPFC, means the head of the U.S. Coast Guard National 
Pollution Funds Center (NPFC).
    Financial responsibility means statutorily required financial 
ability to meet liability under the Acts.
    Fish tender vessel and fishing vessel have the same meaning as set 
forth in 46 U.S.C. 2101.
    Fuel means any oil or hazardous substance used or capable of being 
used to produce heat or power by burning, including power to operate 
equipment. A hand-carried pump with not more than

[[Page 80]]

five gallons of fuel capacity, that is neither integral to nor regularly 
stored aboard a non-self-propelled barge, is not equipment.
    Guarantor means any person who provides evidence of financial 
responsibility, under the Acts, on behalf of a vessel owner, operator, 
and demise charterer. A vessel operator who can qualify as a self-
insurer may act as both a self-insurer of vessels it operates and as a 
financial guarantor of other vessels, under Sec. 138.80(b)(4).
    Hazardous material means a liquid material or substance that is--
    (1) Flammable or combustible;
    (2) Designated a hazardous substance under section 311(b) of the 
Federal Water Pollution Control Act (33 U.S.C. 1221); or
    (3) Designated a hazardous material under section 104 of the 
Hazardous Material Transportation Act (49 App. U.S.C. 1803).
    Incident means any occurrence or series of occurrences having the 
same origin, involving one or more vessels, facilities, or any 
combination thereof, resulting in the discharge or substantial threat of 
discharge of oil into or upon the navigable waters or adjoining 
shorelines or the exclusive economic zone.
    Insurer is a type of guarantor and means one or more insurance 
companies, associations of underwriters, shipowners' protection and 
indemnity associations, or other persons, each of which must be 
acceptable to the Coast Guard.
    Master Certificate means a Certificate issued under this part to a 
person acting as vessel operator in its capacity as a builder, repairer, 
scrapper, or seller of vessels.
    Offshore supply vessel has the same meaning as set forth in 46 
U.S.C. 2101.
    OPA 90 means title I of the Oil Pollution Act of 1990 (33 U.S.C. 
2701 et seq.).
    Operator means a person who is an owner, a demise charterer, or 
other contractor, who conducts the operation of, or who is responsible 
for the operation of, a vessel. A builder, repairer, scrapper, lessor, 
or seller who is responsible, or who agrees by contract to become 
responsible, for a vessel is an operator.
    Owner means any person holding legal or equitable title to a vessel. 
In a case where a Certificate of Documentation or equivalent document 
has been issued, the owner is considered to be the person or persons 
whose name or names appear thereon as owner. For purposes of CERCLA 
only, ``owner'' does not include a person who, without participating in 
the management of a vessel, holds indicia of ownership primarily to 
protect the owner's security interest in the vessel.
    Public vessel means a vessel
    Owned or bareboat chartered by the United States, or by a State or 
political subdivision thereof, or by a foreign nation, except when the 
vessel is engaged in commerce.
    Self-elevating lift vessel means a vessel with movable legs capable 
of raising its hull above the surface of the sea and that is an offshore 
work boat (such as a work barge) that does not engage in drilling 
operations.
    Tank vessel means a vessel (other than an offshore supply vessel, a 
fishing or fish tender vessel of 750 gross tons or less that transfers 
fuel without charge to a fishing vessel owned by the same person, or a 
towing or pushing vessel (tug) simply because it has in its custody a 
tank barge) that is constructed or adapted to carry, or that carries, 
oil or liquid hazardous material in bulk as cargo or cargo residue, and 
that--
    (1) Is a vessel of the United States;
    (2) Operates on the navigable waters; or
    (3) Transfers oil or hazardous material in a place subject to the 
jurisdiction of the United States.
    Total Applicable Amount means the amount determined under 
Sec. 138.80(f)(3).
    Vessel means every description of watercraft or other artificial 
contrivance used, or capable of being used, as a means of transportation 
on water.

[CGD 91-005, 59 FR 34227, July 1, 1994, as amended by CGD 91-005, 61 FR 
9274, Mar. 7, 1996]



Sec. 138.30  General.

    (a) The regulations in this part set forth the procedures whereby an 
operator of a vessel subject to this part can demonstrate that it and 
the owner and

[[Page 81]]

demise charterer of the vessel are financially able to meet potential 
liability for costs and damages in the amounts established by this part. 
The owner, operator, and demise charterer are strictly, jointly, and 
severally liable for the costs and damages resulting from an incident or 
a release or threatened release, but together they need only establish 
and maintain an amount of financial responsibility equal to the single 
limit of liability per incident, release, or threatened release. Only 
that portion of the evidence of financial responsibility under this part 
with respect to--
    (1) OPA 90 is required to be made available by a guarantor for the 
costs and damages related to an incident where there is not also a 
release or threatened release; and
    (2) CERCLA is required to be made available by a guarantor for the 
costs and damages related to a release or threatened release where there 
is not also an incident. A guarantor (or a self-insurer for whom the 
exceptions to limitations of liability are not applicable), therefore, 
is not required to apply the entire amount of financial responsibility 
to an incident involving oil alone or a release or threatened release 
involving a hazardous substance alone.
    (b) Where a vessel is operated by its owner, or the owner is 
responsible for its operation, the owner is considered to be the 
operator and shall submit the application for a Certificate. In all 
other cases, the vessel operator shall submit the application. A time or 
voyage charterer that does not assume responsibility for the operation 
of the vessel is not considered an operator for the purposes of this 
part.
    (c) For a United States-flag vessel, the applicable gross tons or 
gross tonnage, as referred to in this part, is determined as follows:
    (1) For a documented U.S. vessel measured under both 46 U.S.C. 
Chapters 143 (Convention Measurement) and 145 (Regulatory Measurement). 
The vessel's regulatory gross tonnage is used to determine whether the 
vessel exceeds 300 gross tons where that threshold applies under the 
Acts. If the vessel's regulatory tonnage is determined under the Dual 
Measurement System in 46 CFR part 69, subpart D, the higher gross 
tonnage is the regulatory tonnage for the purposes of the 300 gross ton 
threshold. The vessel's gross tonnage as measured under the 
International Convention on Tonnage Measurement of Ships, 1969 
(``Convention''), is used to determine the vessel's required amount of 
financial responsibility, and limit of liability under section 1004(a) 
of OPA 90 and under section 107(a) of CERCLA.
    (2) For all other United States vessels. The vessel's gross tonnage 
under 46 CFR part 69 is used for determining both the 300 gross ton 
threshold, the required amount of financial responsibility, and limit of 
liability under section 1004(a) of OPA 90 and under section 107(a) of 
CERCLA. If the vessel is measured under the Dual Measurement System, the 
higher gross tonnage is used in all determinations.
    (d) For a vessel of a foreign country that is a party to the 
Convention, gross tonnage, as referred to in this part, is determined as 
follows:
    (1) For a vessel assigned, or presently required to be assigned, 
gross tonnage under Annex I of the Convention. The vessel's gross 
tonnage as measured under Annex I of the Convention is used for 
determining the 300 gross ton threshold, if applicable, the required 
amount of financial responsibility, and limit of liability under section 
1004(a) of OPA 90 and under section 107(a) of CERCLA.
    (2) For a vessel not presently required to be assigned gross tonnage 
under Annex I of the Convention. The highest gross tonnage that appears 
on the vessel's certificate of documentation or equivalent document and 
that is acceptable to the Coast Guard under 46 U.S.C. chapter 143 is 
used for determining the 300 gross ton threshold, if applicable, the 
required amount of financial responsibility, and limit of liability 
under section 1004(a) of OPA 90 and under section 107(a) of CERCLA. If 
the vessel has no document or the gross tonnage appearing on the 
document is not acceptable under 46 U.S.C. chapter 143, the vessel's 
gross tonnage is determined by applying the Convention Measurement 
System under 46 CFR part 69, subpart B, or if applicable, the Simplified 
Measurement System under

[[Page 82]]

46 CFR part 69, subpart E. The measurement standards applied are subject 
to applicable international agreements to which the United States 
Government is a party.
    (e) For a vessel of a foreign country that is not a party to the 
Convention, gross tonnage, as referred to in this part, is determined as 
follows:
    (1) For a vessel measured under laws and regulations found by the 
Commandant to be similar to Annex I of the Convention. The vessel's 
gross tonnage under the similar laws and regulations is used for 
determining the 300 gross ton threshold, if applicable, the required 
amount of financial responsibility, and limit of liability under section 
1004(a) of OPA 90 and under section 107(a) of CERCLA. The measurement 
standards applied are subject to applicable international agreements to 
which the United States Government is a party.
    (2) For a vessel not measured under laws and regulations found by 
the Commandant to be similar to Annex I of the Convention. The vessel's 
gross tonnage under 46 CFR part 69, subpart B, or, if applicable, 
subpart E, is used for determining the 300 gross ton threshold, if 
applicable, the required amount of financial responsibility, and limit 
of liability under section 1004(a) of OPA 90 and under section 107(a) of 
CERCLA. The measurement standards applied are subject to applicable 
international agreements to which the United States is a party.
    (f) A person who agrees to act as a guarantor or a self-insurer is 
bound by the vessel's gross tonnage as determined under paragraphs (c), 
(d), or (e) of this section, regardless of what gross tonnage is 
specified in an application or guaranty form illustrated in the 
appendices to this part. Guarantors, however, may limit their liability 
under a guaranty of financial responsibility to the applicable gross 
tonnage appearing on a vessel's International Tonnage Certificate or 
other official, applicable certificate of measurement and shall not 
incur any greater liability with respect to that guaranty, except when 
the guarantors knew or should have known that the applicable tonnage 
certificate was incorrect.



Sec. 138.40  Where to apply for and obtain forms.

    (a) An operator shall file an application for a Certificate and a 
renewal of a Certificate together with fees and evidence of financial 
responsibility, with the Coast Guard National Pollution Funds Center at 
the following address: U.S. Coast Guard, National Pollution Funds Center 
(cv), 4200 Wilson Boulevard, Suite 1000, Arlington, VA 22203-1804, 
telephone (202) 493-6780, Telefax (202) 493-6781.
    (b) Forms may be obtained at the address in paragraph (a) of this 
section, and all requests for assistance, including telephone inquiries, 
in completing applications should be directed to the U.S. Coast Guard at 
that same address.

[CGD 91-005, 59 FR 34227, July 1, 1994, as amended by USCG-1999-5832, 64 
FR 34714, June 29, 1999]



Sec. 138.50  Time to apply.

    (a) A vessel operator who wishes to obtain a Certificate shall file 
a completed application form, evidence of financial responsibility and 
appropriate fees at least 21 days prior to the date the Certificate is 
required. The Director, NPFC, may waive this 21-day requirement.
    (b) The Director, NPFC, generally processes applications in the 
order in which they are received at the National Pollution Funds Center.



Sec. 138.60  Applications, general instructions.

    (a) The application for a Certificate (Form CG-5585) is illustrated 
in Appendix A of this part. An application and all supporting documents 
must be in English. All monetary terms must be expressed in United 
States dollars.
    (b) An authorized official of the applicant shall sign the 
application. The title of the signer must be shown in the space provided 
on the application.
    (c) The application must be accompanied by a written statement 
providing authority to sign, where the signer is not disclosed as an 
individual (sole proprietor) applicant, a partner in a partnership 
applicant, or a director, chief executive officer, or any other duly 
authorized officer of a corporate applicant.

[[Page 83]]

    (d) If, before the issuance of a Certificate, the applicant becomes 
aware of a change in any of the facts contained in the application or 
supporting documentation, the applicant shall, within five business days 
of becoming aware of the change, notify the Director, NPFC, in writing, 
of the change.



Sec. 138.65  Issuance and carriage of Certificates.

    Upon the satisfactory demonstration of financial responsibility and 
payment of fees, the Director, NPFC, issues a Vessel Certificate of 
Financial Responsibility (Water Pollution), the original of which 
(except as provided in Secs. 138.90 (a) and (b) and 138.110(f)) is to be 
carried aboard the vessel covered by the Certificate. The carriage of a 
valid Certificate or authorized copy indicates compliance with these 
regulations. Failure to carry a valid Certificate or authorized copy 
subjects the vessel to enforcement action, except where a Certificate is 
removed temporarily from a vessel for inspection by a United States 
Government official.



Sec. 138.70  Renewal of Certificates.

    (a) An operator shall file a written application for the renewal of 
a Certificate at least 21 days, but not earlier than 90 days, before the 
expiration date of the Certificate. Except as provided in paragraph (c) 
of this section, a letter may be used for this purpose. The Director, 
NPFC, may waive this 21-day requirement.
    (b) The applicant shall identify in the renewal application any 
changes which have occurred since the original application for a 
Certificate was filed, and set forth the correct information in full.
    (c) An applicant that applies for the first time for a Certificate 
issued under this part to replace a Certificate issued under part 130 of 
this chapter shall submit an application form illustrated in Appendix A 
of this part. An applicant is not required to pay an application fee 
under Sec. 138.130(c) for this first-time application.



Sec. 138.80  Financial responsibility, how established.

    (a) General. In addition to submitting an application and fees, an 
applicant shall submit, or cause to be submitted, evidence of financial 
responsibility in an amount determined under Sec. 138.80(f). A guarantor 
may submit directly to the Director, NPFC, the evidence of financial 
responsibility.
    (b) Methods. An applicant shall establish evidence of financial 
responsibility by one or more of the following methods:
    (1) Insurance. By filing with the Director, NPFC, an insurance 
guaranty form CG-5586, illustrated in Appendix B of this part (or, when 
applying for a Master Certificate, a master insurance guaranty form CG-
5586-1, illustrated in Appendix C of this part), executed by not more 
than four insurers that have been found acceptable by and remain 
acceptable to the Director, NPFC, for purposes of this part.
    (2) Surety bond. By filing with the Director, NPFC, a surety bond 
guaranty form CG-5586-2, illustrated in Appendix D of this part, 
executed by not more than 10 acceptable surety companies certified by 
the United States Department of the Treasury with respect to the 
issuance of Federal bonds in the maximum penal sum of each bond to be 
issued under this part.
    (3) Self-insurance. By filing the financial statements specified in 
paragraph (b)(3)(i) of this section for the applicant's last fiscal year 
preceding the date of application and by demonstrating that the 
applicant maintains, in the United States, working capital and net worth 
each in amounts equal to or greater than the total applicable amount 
calculated in accordance with Sec. 138.80(f), based on a vessel carrying 
hazardous substances as cargo. As used in this paragraph, working 
capital means the amount of current assets located in the United States, 
less all current liabilities anywhere in the world; and net worth means 
the amount of all assets located in the United States, less all 
liabilities anywhere in the world. After the initial submission, for 
each of the applicant's fiscal years, the applicant or certificant shall 
submit statements as follows:
    (i) Initial and annual submissions. An applicant or certificant 
shall submit

[[Page 84]]

annual, current, and audited non-consolidated financial statements 
prepared in accordance with Generally Accepted Accounting Principles, 
and audited by an independent Certified Public Accountant. These 
financial statements must be audited in accordance with Generally 
Accepted Auditing Standards. These financial statements must be 
accompanied by an additional statement from the Treasurer (or equivalent 
official) of the applicant or certificant certifying both the amount of 
current assets and the amount of total assets included in the 
accompanying balance sheet, which are located in the United States. If 
the financial statements cannot be submitted in non-consolidated form, a 
consolidated statement may be submitted if accompanied by an additional 
statement prepared by the same Certified Public Accountant, verifying 
the amount by which the applicant's or certificant's--
    (A) Total assets, located in the United States, exceed its total 
(i.e., worldwide) liabilities; and
    (B) Current assets, located in the United States, exceed its total 
(i.e., worldwide) current liabilities. This additional statement must 
specifically name the applicant or certificant, indicate that the 
amounts so verified relate only to the applicant or certificant, apart 
from any other affiliated entity, and identify the consolidated 
financial statement to which it applies.
    (ii) Semiannual submissions. When the applicant's or certificant's 
demonstrated net worth is not at least ten times the total applicable 
amount of financial responsibility, the applicant's or certificant's 
Treasurer (or equivalent official) shall file affidavits covering the 
first six months of the applicant's or certificant's fiscal year. The 
affidavits must state that neither the working capital nor the net worth 
have, during the first six months of the current fiscal year, fallen 
below the applicant's or certificant's required amount of financial 
responsibility as determined in accordance with this part.
    (iii) Additional submissions. An applicant or certificant--
    (A) Shall, upon request of the Director, NPFC, submit additional 
financial information; and
    (B) Who establishes financial responsibility under paragraph (b)(3) 
of this section shall notify the Director, NPFC, within five business 
days of the date the applicant or certificant knows, or has reason to 
believe, that the working capital or net worth has fallen below the 
amounts required by this part.
    (iv) Time for submissions. All required annual financial statements 
must be received by the Director, NPFC, within 90 days after the close 
of the applicant's or certificant's fiscal year, and all affidavits 
required by paragraph (b)(3)(ii) of this section within 30 days after 
the close of the applicable six-month period. Upon written request, the 
Director, NPFC, may grant an extension of the time limits for filing the 
annual financial statements or affidavits. An applicant or certificant 
that requests an extension must set forth the reason for the extension 
and deliver the request at least 15 days before the statements or 
affidavits are due. The Director, NPFC, will not consider a request for 
an extension of more than 60 days.
    (v) Failure to submit. The Director, NPFC, may revoke a certificate 
for failure of the certificant to submit any statement, data, 
notification, or affidavit required by paragraph (b)(3) of this section.
    (vi) Waiver of working capital. The Director, NPFC, may waive the 
working capital requirement for any applicant or certificant that--
    (A) Is a regulated public utility, a municipal or higher-level 
governmental entity, or an entity operating solely as a charitable, non-
profit making organization qualifying under section 501(c) Internal 
Revenue Code. The applicant or certificant must demonstrate in writing 
that the grant of a waiver would benefit a local public interest; or
    (B) Demonstrates in writing that working capital is not a 
significant factor in the applicant's or certificant's financial 
condition. An applicant's or certificant's net worth in relation to the 
amount of its required amount of financial responsibility and

[[Page 85]]

a history of stable operations are the major elements considered by the 
Director, NPFC.
    (4) Financial Guaranty. By filing with the Director, NPFC, a 
Financial Guaranty Form CG-5586-3, illustrated in Appendix E of this 
part (when applying for a Master Certificate, a Master Financial 
Guaranty Form CG-5586-4, illustrated in Appendix F of this part), 
executed by not more than four financial guarantors, such as a parent or 
affiliate acceptable to the Coast Guard. A financial guarantor shall 
comply with all of the self-insurance provisions of paragraph (b)(3) of 
this section. In addition, a person that is a financial guarantor for 
more than one applicant or certificant shall have working capital and 
net worth no less than the aggregate total applicable amounts of 
financial responsibility provided as a guarantor for each applicant or 
certificant, plus the amount required to be demonstrated by a self-
insurer under this part, if also acting as a self-insurer.
    (5) Other evidence of financial responsibility. The Director, NPFC, 
will not accept a self-insurance method other than the one described in 
paragraph (b)(3) of this section. An applicant may in writing request 
the Director, NPFC, to accept a method different from one described in 
paragraph (b) (1), (2), or (4) of this section to demonstrate evidence 
of financial responsibility. An applicant submitting a request under 
this paragraph shall submit the request to the Director, NPFC, at least 
45 days prior to the date the Certificate is required. The applicant 
shall describe in detail the method proposed, the reasons why the 
applicant does not wish to use or is unable to use one of the methods 
described in paragraph (b) (1), (2), or (4) of this section, and how the 
proposed method assures that the applicant is able to fulfill its 
obligation to pay costs and damages in the event of an incident or a 
release or threatened release. The Director, NPFC, will not accept a 
method under this paragraph that merely deletes or alters a provision of 
one of the methods described in paragraph (b) (1), (2), or (4) of this 
section (for example, one that alters the termination clause of the 
insurance guaranty form illustrated in Appendix B of this part). An 
applicant that makes a request under this paragraph shall provide the 
Director, NPFC, a proposed guaranty form that includes all the elements 
described in paragraphs (c) and (d) of this section. A decision of the 
Director, NPFC, not to accept a method requested by an applicant under 
this paragraph is final agency action.
    (c) Forms--(1) Multiple guarantors. Four or fewer insurers (a lead 
underwriter is considered to be one insurer) may jointly execute an 
insurance guaranty form. Ten or fewer sureties (including lead sureties) 
may jointly execute a surety bond guaranty form. Four or fewer financial 
guarantors may jointly execute a financial guaranty form. If more than 
one insurer, surety, or financial guarantor executes the relevant form--
    (i) Each is bound for the payment of sums only in accordance with 
the percentage of vertical participation specified on the relevant form 
for that insurer, surety, or financial guarantor. Participation in the 
form of layering (tiers, one in excess of another) is not acceptable; 
only vertical participation on a percentage basis is acceptable unless 
none of the participants specifies a percent of participation. If no 
percentage of participation is specified for an insurer, surety, or 
financial guarantor, the liability of that insurer, surety, or financial 
guarantor is joint and several for the total of the unspecified 
portions; and
    (ii) The guarantors must designate a lead guarantor having authority 
to bind all guarantors for actions required of guarantors under the 
Acts, including but not limited to receipt of designation of source, 
advertisement of a designation, and receipt and settlement of claims.
    (2) Operator name. An applicant shall ensure that each form 
submitted under this part sets forth in full the correct legal name of 
the vessel operator to whom a certificate is to be issued.
    (d) Direct Action. (1) Acknowledgment. Any evidence of financial 
responsibility submitted under this part must contain an acknowledgment 
by the insurer or other guarantor that an action in court by a claimant 
(including a claimant by right of subrogation) for

[[Page 86]]

costs and damage claims arising under the provisions of the Acts, may be 
brought directly against the insurer or other guarantor. The evidence of 
financial responsibility must also provide that, in the event an action 
is brought under the Acts directly against the insurer or other 
guarantor, the insurer or other guarantor may invoke only the following 
rights and defenses:
    (i) The incident, release, or threatened release was caused by the 
willful misconduct of the person for whom the guaranty is provided.
    (ii) Any defense that the person for whom the guaranty is provided 
may raise under the Acts.
    (iii) A defense relating to the amount of a claim or claims, filed 
in any action in any court or other proceeding, that exceeds the amount 
of the guaranty with respect to an incident or with respect to a release 
or threatened release.
    (iv) A defense relating to the amount of a claim or claims that 
exceeds the amount of the guaranty, which amount is based on the gross 
tonnage of the vessel as entered on the vessel's International Tonnage 
Certificate or other official, applicable certificate of measurement, 
except when the guarantor knew or should have known that the applicable 
tonnage certificate was incorrect.
    (v) The claim is not one made under either of the Acts.
    (2) Limitation on guarantor liability. A guarantor that participates 
in any evidence of financial responsibility under this part shall be 
liable because of that participation, with respect to an incident or a 
release or threatened release, in any proceeding only for the amount and 
type of costs and damages specified in the evidence of financial 
responsibility. A guarantor shall not be considered to have consented to 
direct action under any law other than the Acts, or to unlimited 
liability under any law or in any venue, solely because of the 
guarantor's participation in providing any evidence of financial 
responsibility under this part. In the event of any finding that 
liability of a guarantor exceeds the amount of the guaranty provided 
under this part, that guaranty is considered null and void with respect 
to that excess.
    (e) Public access to data. Financial data filed by an applicant, 
certificant, and any other person is considered public information to 
the extent required by the Freedom of Information Act (5 U.S.C. 552) and 
permitted by the Privacy Act (5 U.S.C. 552a).
    (f) Total applicable amount. (1) The applicable amount under OPA 90 
is determined as follows:
    (i) For a tank vessel (except a tank vessel on which no liquid 
hazardous material in bulk is being carried as cargo or cargo residue, 
and on which the only oil carried as cargo or cargo residue is an animal 
fat or vegetable oil, as those terms are used in section 2 of the Edible 
Oil Regulatory Reform Act (Pub. L. 104-55)).
    (A) Over 300 gross tons (and a vessel of 300 gross tons or less 
using the waters of the United States Exclusive Economic Zone to 
transship or lighter oil destined for a place subject to the 
jurisdiction of the United States, as specified in Sec. 138.12(a)(1)) 
but not exceeding 3,000 gross tons, the greater of $2,000,000 or $1,200 
per gross ton; and
    (B) Over 3,000 gross tons, the greater of $10,000,000 or $1,200 per 
gross ton.
    (ii) For a vessel other than a tank vessel under paragraph (f)(1)(i) 
of this section that is over 300 gross tons or that is 300 gross tons or 
less using the waters of the Exclusive Economic Zone of the United 
States to transship or lighter oil destined for a place subject to the 
jurisdiction of the United States, the greater of $500,000 or $600 per 
gross ton.
    (2) The applicable amount under CERCLA is determined as follows:
    (i) For a vessel over 300 gross tons carrying a hazardous substance 
as cargo, the greater of $5,000,000 or $300 per gross ton.
    (ii) For any other vessel over 300 gross tons, the greater of 
$500,000 or $300 per gross ton.
    (3) The total applicable amount is the maximum applicable amount 
calculated under paragraph (f)(1) of this section plus maximum 
applicable amount calculated under paragraph (f)(2) of this section.

[CGD 91-005, 59 FR 34227, July 1, 1994, as amended by CGD 91-005, 61 FR 
9274, Mar. 7, 1996]

[[Page 87]]



Sec. 138.90  Individual and Fleet Certificates.

    (a) The Director, NPFC, issues an individual Certificate for each 
vessel listed on a completed application when the Director, NPFC, 
determines that acceptable evidence of financial responsibility has been 
provided and appropriate fees have been paid, except where a Fleet 
Certificate is issued under this section or where a Master Certificate 
is issued under Sec. 138.110. Each Certificate of any type issued under 
this part is issued only in the name of a vessel operator and is 
effective for not more than three years from the date of issue, as 
indicated on each Certificate. An authorized official of the applicant 
may submit to the Director, NPFC, a letter requesting that additional 
vessels be added to a previously submitted application for an individual 
Certificate. The letter must set forth all information required in item 
5 of the application form. The authorized official shall also submit or 
cause to be submitted acceptable evidence of financial responsibility, 
if required, and certification fees for these additional vessels. The 
certificant shall carry the original individual Certificate on the 
vessel named on the Certificate, except that a legible copy (certified 
as accurate by a notary public or other person authorized to take oaths 
in the United States) may be carried instead of the original if the 
vessel is an unmanned barge and does not have a document carrying device 
which the vessel operator believes would offer suitable protection for 
the original Certificate. If a notarized copy of an individual 
Certificate is carried aboard a barge, the Certificate shall retain the 
original in the United States and shall make it readily available for 
inspection by United States Government officials.
    (b) An operator of two or more barges that are not tank vessels and 
that from time to time may be subject to this part (e.g., a hopper barge 
over 300 gross tons when carrying oily metal shavings or similar cargo), 
so long as the operator of such a fleet is a self-insurer or arranges 
with an acceptable guarantor to cover, automatically, all such barges 
for which the operator may from time to time be responsible, may apply 
to the Director, NPFC, for issuance of a Fleet Certificate. A legible 
copy of the Fleet Certificate, certified as accurate by a notary public 
or other person authorized to take oaths in the United States, must be 
carried on each barge when subject to this part. In addition, the 
certificant shall retain in the United States the original Fleet 
Certificate and shall make it readily available for inspection by United 
States Government officials. The original Fleet Certificate, when 
invalid, must be completed on the reverse side and returned immediately 
to the Director, NPFC, and all copies must be destroyed. When the 
certificant ceases to be responsible for a barge covered by a Fleet 
Certificate, the certificant shall immediately destroy the copy of the 
Fleet Certificate carried aboard that barge.
    (c) A person shall not make any alteration on any Certificate issued 
under this part or copy of that Certificate, except the notarized 
certifications permitted in Sec. 138.110(f) and paragraphs (a) and (b) 
of this section. A Certificate or copy containing any alteration is 
void.
    (d) If, at any time after a Certificate has been issued, a 
certificant becomes aware of a change in any of the facts contained in 
the application or supporting documentation, the certificant shall 
notify the Director, NPFC, in writing within 10 days of becoming aware 
of the change. A vessel or operator name change or change of a guarantor 
shall be reported as soon as possible by telefax or other electronic 
means to the Director, NPFC, and followed by a written notice sent 
within three business days.
    (e) Except as provided in Sec. 138.90(f), at the moment a 
certificant ceases to be the operator of a vessel for any reason, 
including a vessel that is scrapped or transferred to a new operator, 
the individual Certificate naming the vessel, and any copies of the 
Certificate, are void and their further use is prohibited. In that case, 
the certificant shall, within 10 days of the Certificate becoming void, 
complete the reverse side of the original individual Certificate naming 
the involved vessel and return the Certificate to the Director, NPFC. If 
the Certificate cannot be returned

[[Page 88]]

because it has been lost or destroyed, the certificant shall, within 
three business days, submit the following information in writing to the 
Director, NPFC:
    (1) The number of the individual Certificate and the name of the 
vessel.
    (2) The date and reason why the certificant ceased to be the 
operator of the vessel.
    (3) The location of the vessel on the date the certificant ceased to 
be the operator.
    (4) The name and mailing address of the person to whom the vessel 
was sold or transferred.
    (f) In the event of the temporary transfer of custody of an unmanned 
barge certificated under this part, where the certificant transferring 
the barge continues to be liable under the Acts and continues to 
maintain on file with the Director, NPFC, acceptable evidence of 
financial responsibility with respect to the barge, the existing 
individual Certificate remains in effect. A temporary new individual 
Certificate is not required. A transferee is encouraged to require the 
transferring certificant to acknowledge in writing that the transferring 
certificant agrees to remain responsible for pollution liabilities.



Sec. 138.100  Non-owning operator's responsibility for identification.

    (a) Each operator that is not an owner of a vessel certificated 
under this part, other than an unmanned barge, shall ensure that the 
original or a legible copy of the demise charter-party (or other written 
document on the owner's letterhead, signed by the vessel owner, which 
specifically identifies the vessel operator named on the Certificate) is 
maintained on board the vessel.
    (b) The demise charter-party or other document required by paragraph 
(a) of this section must be presented, upon request, for examination to 
a United States Government official.



Sec. 138.110  Master Certificates.

    (a) A contractor or other person who is responsible for a vessel in 
the capacity of a builder, scrapper, lessor, or seller (including a 
repairer who agrees to be responsible for a vessel under its custody) 
may apply for a Master Certificate instead of applying for an individual 
Certificate for each vessel. A Master Certificate covers all of the 
vessels subject to this part held by the applicant solely for purposes 
of construction, repair, scrapping, lease, or sale. A vessel which is 
being operated commercially in any business venture, including the 
business of building, repairing, scrapping, leasing, or selling (e.g., a 
slop barge used by a shipyard) cannot be covered by a Master 
Certificate. Any vessel for which a Certificate is required, but which 
is not eligible for a Master Certificate, must be covered by either an 
individual Certificate or a Fleet Certificate.
    (b) An applicant for a Master Certificate shall submit an 
application form in the manner prescribed by Sec. 138.60. An applicant 
shall establish evidence of financial responsibility in accordance with 
Sec. 138.80, by submission, for example, of an acceptable Master 
Insurance Guaranty Form, Surety Bond Guaranty Form, Master Financial 
Guaranty Form, or acceptable self-insurance documentation. An 
application must be completed in full, except for Item 5. The applicant 
shall make the following statement in Item 5: ``This is an application 
for a Master Certificate. The largest tank vessel to be covered by this 
application is [insert applicable gross tons] gross tons. The largest 
vessel other than a tank vessel is [insert applicable gross tons] gross 
tons.'' The dollar amount of financial responsibility evidenced by the 
applicant must be sufficient to meet the amount required under this 
part.
    (c) Each Master Certificate issued by the Director, NPFC, 
indicates--
    (1) The name of the applicant (i.e., the builder, repairer, 
scrapper, lessor, or seller);
    (2) The date of issuance and termination, encompassing a period of 
not more than three years; and
    (3) The gross tons of the largest tank vessel and gross tons of the 
largest vessel other than a tank vessel eligible for coverage by that 
Master Certificate. The Master Certificate does not identify the name of 
each vessel covered by the Certificate.

[[Page 89]]

    (d) Each additional vessel which does not exceed the respective 
tonnages indicated on the Master Certificate and which is eligible for 
coverage by a Master Certificate is automatically covered by that Master 
Certificate. Before acquiring a vessel, by any means, including 
conversion of an existing vessel, that would have the effect of 
increasing the certificant's required amount of financial responsibility 
(above that provided for issuance of the existing Master Certificate), 
the certificant shall submit to the Director, NPFC, the following:
    (1) Evidence of increased financial responsibility.
    (2) A new certification fee.
    (3) Either a new application or a letter amending the existing 
application to reflect the new gross tonnage which is to be indicated on 
a new Master Certificate.
    (e) A person to whom a Master Certificate has been issued shall 
submit to the Director, NPFC, every six months beginning the month after 
the month in which the Master Certificate is issued, a report indicating 
the name, previous name, type, and gross tonnage of each vessel covered 
by the Master Certificate during the preceding six-month reporting 
period and indicating which vessels, if any, are tank vessels.
    (f) The certificant shall ensure that a legible copy of the Master 
Certificate (certified as accurate by a notary public or other person 
authorized to take oaths in the United States) is carried aboard each 
vessel covered by the Master Certificate. The certificant shall retain 
the original Master Certificate at a location in the United States and 
shall make it readily available for inspection by United States 
Government officials.
    (g) Upon revocation or other invalidation of the Master Certificate, 
the certificant shall return the original Certificate within 10 days to 
the Director, NPFC. The certificant shall ensure that all copies of the 
Certificate are destroyed.

[CGD 91-005, 59 FR 34227, July 1, 1994, as amended by CGD 91-005, 61 FR 
9275, Mar. 7, 1996]



Sec. 138.120  Certificates, denial or revocation.

    (a) The Director, NPFC, may deny a Certificate when an applicant--
    (1) Willfully or knowingly makes a false statement in connection 
with an application for an initial or renewal Certificate;
    (2) Fails to establish acceptable evidence of financial 
responsibility as required by this part;
    (3) Fails to pay the required application or certificate fees;
    (4) Fails to comply with or respond to lawful inquiries, 
regulations, or orders of the Coast Guard pertaining to the activities 
subject to this part; or
    (5) Fails to timely file required statements, data, notifications, 
or affidavits.
    (b) The Director, NPFC, may revoke a Certificate when a 
certificant--
    (1) Willfully or knowingly makes a false statement in connection 
with an application for an initial or a renewal Certificate, or in 
connection with any other filing required by this part;
    (2) Fails to comply with or respond to lawful inquiries, 
regulations, or orders of the Coast Guard pertaining to the activities 
subject to this part; or
    (3) Fails to timely file required statements, data, notifications, 
or affidavits.
    (c) A Certificate is immediately invalid, and considered revoked, 
without prior notice, when the certificant--
    (1) Fails to maintain acceptable evidence of financial 
responsibility as required by this part;
    (2) Is no longer the responsible operator of the vessel in question; 
or
    (3) Alters any Certificate or copy of a Certificate except as 
permitted by this part in connection with notarized certifications of 
copies.
    (d) The Director, NPFC, advises the applicant or certificant, in 
writing, of the intention to deny or revoke a Certificate under 
paragraph (a) or (b) of this section and states the reason therefor. 
Written advice from the Director, NPFC, that an incomplete application 
will be considered withdrawn unless it is completed within a stated 
period, is the equivalent of a denial.
    (e) If the intended revocation under paragraph (b) of this section 
is based

[[Page 90]]

on failure to timely file the required financial statements, data, 
notifications, or affidavits, the revocation is effective 10 days after 
the date of the notice of intention to revoke, unless, before 
revocation, the certificant demonstrates to the satisfaction of the 
Director, NPFC, that the required documents were timely filed or have 
been filed.
    (f) If the intended denial is based on paragraph (a)(1) or (a)(4) of 
this section, or the intended revocation is based on paragraph (b)(1) or 
(b)(2) of this section, the applicant or certificant may request, in 
writing, an opportunity to present information for the purpose of 
showing that the applicant or certificant is in compliance with the 
part. The request must be received by the Director, NPFC, within 10 days 
after the date of the notification of intention to deny or revoke. A 
Certificate subject to revocation under this paragraph remains valid 
until the Director, NPFC, issues a written decision revoking the 
Certificate.
    (g) An applicant or certificant whose Certificate has been denied 
under paragraph (a) of this section or revoked under paragraph (b) or 
(c) of this section may request the Director, NPFC, to reconsider the 
denial or revocation. The certificant shall file a request for 
reconsideration, in writing, to the Director, NPFC, within 20 days of 
the date of the denial or revocation. The certificant shall state the 
reasons for reconsideration. The Director, NPFC, issues a written 
decision on the request within 30 days of receipt, except that failure 
to issue a decision within 30 days shall be deemed an affirmance of a 
denial or revocation. Until the Director, NPFC, issues this decision, a 
revoked certificate remains invalid. A decision by the Director, NPFC, 
affirming a denial or revocation, is final agency action.



Sec. 138.130  Fees.

    (a) The Director, NPFC, will not issue a Certificate until the fees 
set forth in paragraphs (c) and (d) of this section have been paid.
    (b) Fees must be paid in United States currency by check, draft, or 
postal money order made payable to the ``U.S. Coast Guard''. Cash will 
not be accepted.
    (c) Except as provided in Sec. 138.70(c), an applicant that submits 
an application for the first time under this part, shall pay an initial, 
non-refundable application fee of $150 for each type of application 
(i.e., individual Certificate(s), Fleet Certificate, and Master 
Certificate). An applicant that submits an application for an additional 
(i.e., supplemental) individual Certificate, or to replace, amend or 
renew an existing Certificate, is not required to pay a new application 
fee. However, if an applicant for any reason withdraws or permits the 
withdrawal of an application for an individual Certificate(s) and the 
applicant holds no valid individual Certificate(s), in order to reapply 
for an individual Certificate(s) covering the same or different vessels 
the applicant shall submit a new application form and an application fee 
of $150. Similarly, an applicant shall submit a new application form and 
fee to obtain a new Fleet or Master Certificate following invalidation 
of a Fleet or Master Certificate.
    (d) In addition to the application fee of $150, an applicant shall 
also pay a certification fee of $80 for each Certificate requested. An 
applicant shall submit the certification fee for each vessel listed in, 
or later added to, an application for an individual Certificate(s). An 
applicant shall submit the $80 certification fee to renew or to reissue 
a Certificate for any reason, including, but not limited to, a vessel or 
operator name change or a lost certificate.
    (e) A certification fee is refunded, upon receipt of a written 
request, if the application is denied or withdrawn before issuance of 
the Certificate. Overpayments of application and certification fees are 
refunded, on request, only if the refund is for $50 or more. However, 
any overpayments not refunded will be credited, for a period of three 
years from the date of receipt of the monies by the Coast Guard, for the 
applicant's possible future use or transfer to another applicant under 
this part.



Sec. 138.140  Enforcement.

    (a) Any person who fails to comply with this part with respect to 
evidence of financial responsibility under section 1016 of OPA 90 (33 
U.S.C. 2716) is

[[Page 91]]

subject to a civil penalty. In addition, under section 4303(b) of that 
Act (33 U.S.C. 2716a(b)), the Attorney General may secure such relief as 
may be necessary to compel compliance with this part including 
termination of operations. Further, any person who fails to comply with 
this part with respect to evidence of financial responsibility under 
section 108(a)(1) of CERCLA (42 U.S.C. 9608(a)(1)), is subject to a 
Class I administrative civil penalty and a Class II administrative civil 
penalty or judicial penalty.
    (b) The Secretary of the Treasury shall withhold or revoke the 
clearance required by 46 U.S.C. App. 91 to any vessel subject to this 
part that does not produce evidence of financial responsibility required 
by this part.
    (c) The Coast Guard may deny entry to any port or place in the 
United States or the navigable waters of the United States, and may 
detain at a port or place in the United States in which it is located, 
any vessel subject to this part, which, upon request, does not produce 
evidence of financial responsibility required by this part.
    (d) Any vessel subject to this part which is found in the navigable 
waters without the necessary evidence of financial responsibility is 
subject to seizure by and forfeiture to the United States.
    (e) Knowingly and willfully using an invalid Certificate, or any 
copy thereof, is fraud.

[CGD 91-005, 59 FR 34227, July 1, 1994, as amended by CGD 96-052, 62 FR 
16703, Apr. 8, 1997]



Sec. 138.150  Service of process.

    (a) When executing the forms required by this part, each applicant 
and guarantor shall designate thereon a person located in the United 
States as its agent for service of process for purposes of this part and 
for receipt of notices of designations and presentations of claims under 
the Acts (collectively referred to as ``service of process''). Each 
designated agent shall acknowledge the designation in writing unless the 
agent has already furnished the Director, NPFC, with a ``master'' (i.e., 
blanket) concurrence showing that it has agreed in advance to act as the 
United States agent for service of process for the applicant, 
certificant, or guarantor in question.
    (b) If any applicant, certificant, or guarantor desires, for any 
reason, to change any designated agent, the applicant, certificant, or 
guarantor shall notify the Director, NPFC, of the change and furnish the 
relevant information, including the new agent's acknowledgment in 
accordance with paragraph (a) of this section, if a ``master'' 
concurrence is not applicable. In the event of death, disability, or 
unavailability of a designated agent, the applicant, certificant, or 
guarantor shall designate another agent in accordance with paragraph (a) 
of this section within 10 days of knowledge of any such event. The 
applicant, certificant, or guarantor shall submit the new designation to 
the Director, NPFC. The Director, NPFC, may revoke a certificate if an 
applicant, certificant, or guarantor fails to designate and maintain an 
agent for service of process.
    (c) If a designated agent can not be served because of death, 
disability, unavailability, or similar event and another agent has not 
been designated under this section, then service of process on the 
Director, NPFC, will constitute valid service of process. Service of 
process on the Director, NPFC, will not be effective unless the server--
    (1) Sends the applicant, certificant, or guarantor (by registered 
mail, at its last known address on file with the Director, NPFC), a copy 
of each document served on the Director, NPFC; and
    (2) Attests to this registered mailing, at the time process is 
served upon the Director, NPFC, indicating that the intent of the 
mailing is to effect service of process on the applicant, certificant, 
or guarantor and that service on the designated agent is not possible, 
stating the reason why.

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                Appendix A to Part 138--Application Form
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             Appendix B to Part 138--Insurance Guaranty Form
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[CGD 91-005, 61 FR 9276, Mar. 7, 1996]

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         Appendix C to Part 138--Master Insurance Guaranty Form
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[CGD 91-005, 61 FR 9283, Mar. 7, 1996]

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[CGD 91-005, 61 FR 9288, Mar. 7, 1996]

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             Appendix E to Part 138--Financial Guaranty Form
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[CGD 91-005, 61 FR 9296, Mar. 7, 1996]

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         Appendix F to Part 138--Master Financial Guaranty Form
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[CGD 91-005, 61 FR 9303, Mar. 7, 1996]

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                                  INDEX

        SUBCHAPTER M--MARINE POLLUTION FINANCIAL RESPONSIBILITY AND 
                              COMPENSATION

  EDITORIAL NOTE: This listing is provided for informational purposes 
only. It is compiled and kept up-to-date by the Coast Guard, Department 
of Transportation.

                                                                 Section

                                 A

Access, Denial, and Detention
Appeal provisions................................................135.405
Certificates of Financial Responsibility, access to vessel.......135.401
Certificates of Financial Responsibility, sanctions for failure to 
produce..........................................................135.403
Advertisement, designation of source
Advertisement determinations.....................................136.309
Contents of......................................................136.313
Definitions......................................................136.303
Denial of designation............................................136.307
Notice of designation............................................136.305
Purpose..........................................................136.301
Types of.........................................................136.311
Applicability, Financial Responsibility for Water Pollution 
(vessels)
                                                                  138.12
Applicability, Offshore Oil Pollution Compensation Fund
                                                                   135.3
Applicability, Offshore Facilities, financial responsibility for 
                                                                 135.201
Applications
Fees..............................................................130.13
General instructions.......................................130.6, 138.60
Time to apply......................................................130.5
Where to apply and obtain forms....................................130.4

                                 C

Certificates
Denial or revocation.....................................130.12, 138.120
Enforcement..............................................130.14, 138.140
Fees.............................................................138.130
Forms and where to apply..........................................138.40
Individual and Fleet..............................................138.90
Individual.........................................................130.9
Issuance and carriage.............................................138.65
Master...................................................130.11, 138.110
Renewal....................................................130.7, 138.70
Time to apply.....................................................138.50
Claims, particular procedures for Government Public Services
Allowable compensation...........................................136.241
Authorized claimants.............................................136.237
Proof............................................................136.239
Claims, particular procedures for Government Revenues
Allowable compensation...........................................136.229

[[Page 130]]

Authorized claimants.............................................136.225
Proof............................................................136.227
Claims, particular procedures for Natural Resources
Allowable compensation...........................................136.211
Authorized claimants.............................................136.207
Proof............................................................136.209
Claims, particular procedures for Profits and Earning Capacity
Allowable compensation...........................................136.235
Authorized claimants.............................................136.231
Proof............................................................136.233
Claims, particular procedures for Real or Personal Property
Allowable compensation...........................................136.217
Authorized claimants.............................................136.213
Proof............................................................136.215
Claims, particular procedures for Removal Costs
Allowable compensation...........................................136.205
Authorized claimants.............................................136.201
Proof............................................................136.203
Claims, particular procedures for Subsistence Use
Allowable compensation...........................................136.223
Authorized claimants.............................................136.219
Proof............................................................136.221
Conduct of removal actions
                                                                  133.17

                                 D

Dates
                                                                   130.0
Definitions
                                      130.2, 133.3, 135.5, 136.5, 138.20

                                 E

Evidence of Financial Responsibility
Guaranty as evidence.............................................135.209
Insurance as evidence............................................135.207
Indemnity as evidence............................................135.210
Submission of....................................................135.204
Surety bond as evidence..........................................135.211

                                 F

Falsification of claims
                                                                   136.9
Fees
Levy and payment of barrel fee on OCS oil........................135.103
Purpose..........................................................135.101
Financial Responsibility
Amount required..................................................135.203
Applicability....................................................135.201
Certification....................................................135.215
Certificates, denial, or revocation..............................135.223
Guaranty as evidence.............................................135.209
Insurance as evidence............................................135.207
Indemnity as evidence............................................135.210
Methods of establishing..........................................135.205
Notification of changes affecting certification..................135.219
Qualification as self-insurer....................................135.213
Reapplication for certification..................................135.221
Submission of evidence...........................................135.204
Surety bond as evidence..........................................135.211
Financial responsibility for water pollution (vessels)
                                                                Part 138

[[Page 131]]

Financial responsibility for water pollution
                                                                Part 130
Financial responsibility, how established
                                                                   130.8
Additional submissions.............................................130.8
Direct action......................................................130.8
Failure to submit..................................................130.8
Forms, general.....................................................130.8
General............................................................130.8
Guaranty...........................................................130.8
Initial and annual submissions.....................................130.8
Insurance..........................................................130.8
Public access......................................................130.8
Self-insurance.....................................................130.8
Semi-annual submissions............................................130.8
Time for submissions...............................................130.8
Foreign claimants
                                                                   136.7
Forms
Application.......................................Appendix A to Part 138
Financial Guaranty................................Appendix E to Part 138
Insurance Guaranty................................Appendix B to Part 138
Master Financial Guaranty.........................Appendix F to Part 138
Master Insurance Guaranty.........................Appendix C to Part 138
Surety Bond Guaranty..............................Appendix D to Part 138
Fund
Address............................................................135.9
Administrator, delegation..........................................135.7
Funding
Determination of eligibility for..................................133.15
Removal actions eligible for......................................133.13

                                 G

General Procedure
General requirements for a claim.................................136.105
Insurance........................................................136.111
Order of presentment.............................................136.103
Other compensation...............................................136.113
Removal costs and multiple items of damages......................136.109
Settlement and notice to claimant................................136.115
Subrogated claims................................................136.107
Time limitations on claims.......................................136.101

                                 I

Implementation schedule
                                                                  138.15
Information
                                                                   136.3
Investigation to determine the source and responsible party
                                                                  133.23

                                 N

Non-owning operator's responsibility for identification
                                                                 138.100
Notification of Governor's designee
                                                                  133.25
Notification of pollution incidents
                                                                 135.303

                                 O

Offshore oil pollution compensation fund
                                                                Part 135
Oil spill liability trust fund; claims, procedures; Designation of 
source; and advertisement
                                                                Part 136
Oil spill liability trust fund; state access
                                                                Part 133

[[Page 132]]

                                 R

Recordkeeping
                                                                  133.19
Retention
                                                                  133.21
Requests
Amount.............................................................133.7
Contents..........................................................133.11
General............................................................133.5
Where made.........................................................133.9

                                 S

Scope
                                                                   130.1
Service of Process
                                                         130.15, 138.150

[[Page 133]]

        ................................................................



            SUBCHAPTER N--OUTER CONTINENTAL SHELF ACTIVITIES


PART 140--GENERAL--Table of Contents




                           Subpart A--General

Sec.
140.1  Purpose.
140.3  Applicability.
140.4  Relationship to other law.
140.5  Exemptions during construction.
140.7  Incorporation by reference.
140.10  Definitions.
140.15  Equivalents and approved equipment.
140.20  Delegations.
140.25  Appeals.
140.30  Judicial review.
140.35  Sanctions.
140.40  Processing penalty cases.

                         Subpart B--Inspections

140.101  Inspection by Coast Guard marine inspectors.
140.103  Annual inspection of fixed OCS facilities.
140.105  Correction of deficiencies and hazards.

                        Subpart C--Investigations

140.201  General.
140.203  Investigation procedures.
140.205  Subpoenas.

    Authority: 43 U.S.C. 1333, 1348, 1350, 1356; 49 CFR 1.46.

    Source: CGD 78-160, 47 FR 9376, Mar. 4, 1982, unless otherwise 
noted.



                           Subpart A--General



Sec. 140.1  Purpose.

    This subchapter is intended to promote safety of life and property 
on Outer Continental Shelf (OCS) facilities, vessels, and other units 
engaged in OCS activities, protect the marine environment, and implement 
the Outer Continental Shelf Lands Act (43 U.S.C. 1331 et seq.), as 
amended by the Outer Continental Shelf Lands Act Amendments of 1978 
(Pub. L. 95-372, 92 Stat. 629).



Sec. 140.3  Applicability.

    Unless otherwise stated, this subchapter applies to OCS facilities, 
vessels, and other units engaged in OCS activities as the term ``OCS 
activities'' is defined in Sec. 140.10. This subchapter does not apply 
to pipelines and deepwater ports (as the term ``deepwater port'' is 
defined in section 3(10) of the Deepwater Port Act of 1974 (33 U.S.C. 
1502)).



Sec. 140.4  Relationship to other law.

    (a) Design and equipment requirements of this subchapter for OCS 
facilities, including mobile offshore drilling units in contact with the 
seabed of the OCS for exploration or exploitation of subsea resources, 
are in addition to the regulations and orders of the U.S. Geological 
Survey applicable to those facilities.
    (b) Any apparent conflict between the application of any requirement 
of this subchapter and any regulation or order of the U.S. Geological 
Survey should immediately be brought to the attention of the Officer in 
Charge, Marine Inspection.
    (c) This subchapter does not establish design requirements for fixed 
OCS facilities or regulate drilling or production equipment on any OCS 
facility or attending vessel, except for matters affecting navigation or 
workplace safety or health.



Sec. 140.5  Exemptions during construction.

    The Officer in Charge, Marine Inspection, may exempt any unit under 
construction from any requirements of this subchapter that would be 
impracticable or unreasonable to apply during construction or erection 
of the unit.



Sec. 140.7  Incorporation by reference.

    (a) Certain materials are incorporated by reference into this 
subchapter with the approval of the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a). To enforce any edition other than the 
one listed in paragraph (b) of this section, notice of the change must 
be published in the Federal Register and the material made available to 
the public. All approved material is on file at the Office of the 
Federal Register, 800 North Capitol Street, NW., suite 700, Washington, 
DC and at U.S. Coast Guard, Office of Compliance (G-MOC), 2100 Second 
Street, SW., Washington, DC 20593-0001

[[Page 134]]


and is available from the sources indicated in paragraph (b) of this 
section.
    (b) The material approved for incorporation by reference in this 
subchapter and the sections affected are as follows:

 
 
 
American National Standards Institute (ANSI)
  11 West 42nd Street, New York, NY 10036.
  ANSI A10.14-1975--Requirements for Safety Belts, Harnesses,     142.42
   Lanyards, Lifelines, and Drop Lines for Construction and
   Industrial Use............................................
  ANSI/UL1123-1987--Standard for Marine Buoyant Devices......    143.405
  ANSI Z41-1983--American National Standard for Personal          142.33
   Protection-Protective Footwear............................
  ANSI Z87.1-1979--Practice for Occupational and Educational      142.27
   Eye and Face Protection...................................
  ANSI Z88.2-1980--Practices for Respiratory Protection......     142.39
  ANSI Z89.1-1981--Safety Requirements for Industrial Head        142.30
   Protection................................................
 
International Maritime Organization (IMO)
  IMO Sales, New York Nautical Instrument and Service Corp.,
   140 W. Broadway, New York, NY 10013
  IMO Assembly Resolution A.414 (XI) Code for Construction      143.207;
   and Equipment of Mobile Offshore Drilling Units...........    146.205
 


[CGD 84-098b, 54 FR 21571, May 18, 1989, as amended by CGD 96-026, 61 FR 
33665, June 28, 1996]



Sec. 140.10  Definitions.

    As used in this subchapter:
    Act means the Outer Continental Shelf Lands Act of 1953 (43 U.S.C. 
1331 et seq.), as amended by the Outer Continental Shelf Lands Act 
Amendments of 1978 (Pub. L. 95-372).
    Approved means approved by the Commandant, unless otherwise 
indicated.
    Attending vessel means a vessel which is moored close to and readily 
accessible from an OCS facility for the purpose of providing power, 
fuel, or other services to the operation being conducted on the 
facility.
    Commandant means Commandant of the Coast Guard or that person's 
authorized representative.
    Development means those activities which take place following 
discovery of minerals in paying quantities, including, but not limited 
to, geophysical activity, drilling, and platform construction, and which 
are for the purpose of ultimately producing the minerals discovered.
    District Commander means an officer who commands a Coast Guard 
District described in part 3 of this chapter or that person's authorized 
representative.
    Exploration means the process of searching for minerals, including, 
but not limited to, (1) geophysical surveys where magnetic, gravity, 
seismic, or other systems are used to detect or imply the presence of 
such minerals, and (2) any drilling, whether on or off known geological 
structures, including the drilling of a well in which a discovery of oil 
or natural gas in paying quantities is made and the drilling of any 
additional delineation well after the discovery which is needed to 
delineate any reservoir and to enable the lessee to determine whether to 
proceed with development and production.
    Fixed OCS facility means a bottom founded OCS facility permanently 
attached to the seabed or subsoil of the OCS, including platforms, guyed 
towers, articulated gravity platforms, and other structures.
    Floating OCS facility means a buoyant OCS facility securely and 
substantially moored so that it cannot be moved without a special 
effort. This term includes tension leg platforms and permanently moored 
semisubmersibles or shipshape hulls but does not include mobile offshore 
drilling units and other vessels.
    Investigating officer means a person assigned by the Commandant, a 
District Commander, or an Officer in Charge, Marine Inspection, to 
conduct an investigation of an accident, casualty, or other incident.
    Manned facility means an OCS facility on which people are routinely 
accommodated for more than 12 hours in successive 24 hour periods.

[[Page 135]]

    Manned platform means a fixed OCS facility on which people are 
routinely accommodated for more than 12 hours in successive 24 hour 
periods.
    Marine inspector means a person designated as such by an Officer in 
Charge, Marine Inspection, to perform inspections of units to determine 
whether or not the requirements of laws administered by the Coast Guard 
and of Coast Guard regulations are met.
    Minerals includes oil, gas, sulphur, geopressured-geothermal and 
associated resources, and all other minerals which are authorized by an 
Act of Congress to be produced from ``public lands'' as defined in 
section 103 of the Federal Lands Policy and Management Act of 1976 (43 
U.S.C. 1702(e)).
    Mobile offshore drilling unit or MODU means a vessel, other than a 
public vessel of the United States, capable of engaging in drilling 
operations for exploration or exploitation of subsea resources.
    Officer in Charge, Marine Inspection means a person who commands a 
Marine Inspection Zone described in Part 3 of this chapter and who is 
immediately responsible for the performance of duties with respect to 
inspections, enforcement, and administration of regulations governing 
units.
    Operator means--(1) In the case of a vessel, a charterer by demise 
or any other person who is responsible for the operation, manning, 
victualing, and supplying of the vessel; or
    (2) In the case of an OCS facility, the operator as defined in 30 
CFR 250.2(gg).
    Outer Continental Shelf or OCS means all submerged lands lying 
seaward and outside of the area of ``lands beneath navigable waters'' as 
defined in section 2(a) of the Submerged Lands Act (43 U.S.C. 1301(a)) 
and of which the subsoil and seabed appertain to the United States and 
are subject to its jurisdiction and control.
    OCS activity means any offshore activity associated with exploration 
for, or development or production of, the minerals of the Outer 
Continental Shelf.
    OCS facility means any artificial island, installation, or other 
device permanently or temporarily attached to the subsoil or seabed of 
the Outer Continental Shelf, erected for the purpose of exploring for, 
developing, or producing resources therefrom, or any such installation 
or other device (other than a ship or vessel) for the purpose of 
transporting such resources. The term includes mobile offshore drilling 
units when in contact with the seabed of the OCS for exploration or 
exploitation of subsea resources. The term does not include any pipeline 
or deepwater port (as the term ``deepwater port'' is defined in section 
3(10) of the Deepwater Port Act of 1974 (33 U.S.C. 1502)).
    Owner means a person holding title to or, in the absence of title, 
other indicia of ownership of a unit; however, this does not include a 
person who holds indicia of ownership primarily to protect a security 
interest in the unit and does not participate in the management or 
operation of the unit.
    Person means an individual, association, partnership, consortium, 
joint venture, private, public, or municipal firm or corporation, or a 
government entity.
    Person in charge means the master or other individual designated as 
such by the owner or operator under Sec. 146.5 of this subchapter or 46 
CFR 109.107.
    Personnel means individuals who are employed by leaseholders, permit 
holders, operators, owners, contractors, or subcontractors and who are 
on a unit by reason of their employment.
    Production means those activities which take place after the 
successful completion of any means for the removal of minerals, 
including, but not limited to, such removal, field operations, transfer 
of minerals to shore, operation monitoring, maintenance, and workover.
    Rebuilt means having had substantial alteration or reconstruction of 
the hull or principal structural component.
    Standby vessel means a vessel meeting the requirements of Part 143, 
Subpart E, of this chapter and specifically designated in an Emergency 
Evacuation Plan under Secs. 146.140 or 146.210 of this chapter to 
provide rapid evacuation assistance in the event of an emergency.
    Unit means any OCS facility, vessel, rig, platform, or other vehicle 
or structure, domestic or foreign.
    Unmanned facility means an OCS facility, other than a floating 
facility or

[[Page 136]]

mobile offshore drilling unit, which is not a manned facility even 
though it may be continuously serviced by an attending vessel.
    Unmanned platform means a fixed, bottom-founded OCS facility which 
is not a manned facility even though it may be continuously serviced by 
an attending vessel.
    Vessel means every description of watercraft or other artificial 
contrivance used, or capable of being used, as a means of transportation 
on water.

[CGD 78-160, 47 FR 9376, Mar. 4, 1982, as amended by CGD 79-077, 51 FR 
25059, July 10, 1986; CGD 84-098b, 54 FR 21571, May 18, 1989]



Sec. 140.15  Equivalents and approved equipment.

    (a) The use of alternate equipment or procedures for those specified 
in this subchapter may be permitted by an Officer in Charge, Marine 
Inspection, to the extent and upon conditions as will insure a degree of 
safety comparable to or greater than that provided by the minimum 
standards in this subchapter.
    (b) Where equipment in this subchapter is required to be of an 
approved type, the equipment requires the specific approval of the 
Commandant. Approvals are published in the Federal Register and 
COMDTINST M16714.3 (Series) Equipment List, available from Commandant 
(G-MSE), U.S. Coast Guard, Washington, DC 20593-0001.
    (c) Specifications for certain items required to be of an approved 
type are contained in 46 CFR Parts 160 through 164.

[CGD 78-160, 47 FR 9376, Mar. 4, 1982, as amended at CGD 88-052, 53 FR 
25121, July 1, 1988; CGD 96-026, 61 FR 33665, June 28, 1996]



Sec. 140.20  Delegations.

    (a) Each District Commander is responsible for the administration 
and enforcement of the regulations in this subchapter within that 
person's assigned district.
    (b) Under the general superintendence of the District Commander, the 
Officer in Charge, Marine Inspection, is delegated authority to 
administer and enforce the regulations in this subchapter.
    (c) Authority delegated under this section may be redelegated as 
necessary by the delegate.



Sec. 140.25  Appeals.

    (a) Any person directly affected by an action or decision of an 
Officer in Charge, Marine Inspection, under the Act or the regulations 
in this subchapter may request reconsideration of that action or 
decision. If still dissatisfied, that person may appeal the action or 
decision of the Officer in Charge, Marine Inspection, within 30 days to 
the District Commander of the District in which the action was taken or 
the decision made. The District Commander issues a decision after 
reviewing the appeal submitted under this paragraph.
    (b) Any person not satisfied with the decision of a District 
Commander may appeal that decision within 30 days to the Commandant, who 
issues a ruling after reviewing the appeal submitted under this 
paragraph. Rulings of the Commandant constitute final agency action.
    (c) An appeal to the District Commander or Commandant:
    (1) Must be made in writing, except in an emergency when an oral 
appeal may be accepted;
    (2) Must be submitted to the District Commander of the District in 
which the action was taken or the decision made;
    (3) Must describe the decision or action being appealed;
    (4) Must state the reasons why the action or decision should be set 
aside or modified; and
    (5) May contain any supporting documents and evidence that the 
appellant wishes to have considered.
    (d) Pending determination of any appeal, the action or decision 
appealed remains in effect, unless suspended by the District Commander 
to whom the appeal was made or by the Commandant.



Sec. 140.30  Judicial review.

    (a) Nothing in this subchapter shall be construed to prevent any 
interested party from seeking judicial review as authorized by law.
    (b) Judicial review of the regulations in this subchapter, or any 
final ruling

[[Page 137]]

or order of the Commandant or that person's delegate pursuant to the Act 
or the regulations in this subchapter, is governed by the judicial 
review provisions of section 23 of the Act (43 U.S.C. 1349).



Sec. 140.35  Sanctions.

    (a) Any person who fails to comply with:
    (1) Any provision of the Act;
    (2) Any regulation in this subchapter; or
    (3) Any order issued under the Act or the regulations in this 
subchapter by the Commandant, a District Commander, or an Officer in 
Charge, Marine Inspection, after notice of the failure and after 
expiration of any reasonable period allowed for corrective action, shall 
be liable for a civil penalty for each day of the continuance of the 
failure.
    (b) Any person who knowingly and willfully:
    (1) Violates any provision of the Act;
    (2) Violates any regulation in this subchapter designed to protect 
health, safety, or the environment;
    (3) Violates any order of the Commandant, District Commander, or 
Officer in Charge, Marine Inspection, issued under the Act or the 
regulations in this subchapter that is designed to protect health, 
safety, or the environment;
    (4) Makes any false statement, representation, or certification in 
any application, record, report, or other document filed or required to 
be maintained under the Act or the regulations in this subchapter;
    (5) Falsifies, tampers with, or renders inaccurate any monitoring 
device or method of record required to be maintained under this Act or 
the regulations in this subchapter; or
    (6) Reveals any data or information required to be kept confidential 
by the Act shall, upon conviction, be punished by a fine of not more 
than $100,000, or by imprisonment for not more than ten years, or both. 
Each day that a violation under paragraph (b)(1), (b)(2), or (b)(3) of 
this section continues, or each day that any monitoring device or data 
recorder remains inoperative or inaccurate because of any activity 
described in paragraph (b)(5) of this section, constitutes a separate 
violation.
    (c) Whenever a corporation or other entity is subject to prosecution 
under paragraph (b) of this section, any officer or agent of the 
corporation or entity who knowingly and willfully authorized, ordered, 
or carried out the prescribed activity shall be subject to the same 
fines or imprisonment, or both, as provided for under paragraph (b) of 
this section.
    (d) The penalties prescribed in this section are concurrent and 
cumulative and the exercise of one does not preclude the exercise of the 
others. Further, the penalties prescribed in this section are in 
addition to any other penalties afforded by any other law or regulation.

[CGD 78-160, 47 FR 9376, Mar. 4, 1982, as amended by CGD 96-052, 62 FR 
16703, Apr. 8, 1997]



Sec. 140.40  Processing penalty cases.

    Apparent violations of the regulations in this subchapter are 
processed in accordance with subpart 1.07 of 33 CFR part 1 on civil and 
criminal penalty proceedings, except as follows:
    (a) The District Commander refers civil penalty cases to the 
Secretary of the Interior, or that person's delegate, who, under the 
Act, assesses, collects, and compromises civil penalties.
    (b) If a possible violation investigated by the Coast Guard carries 
both a civil and a criminal penalty, the District Commander determines 
whether to refer the case to the U.S. Attorney for criminal prosecution 
or to the Secretary of the Interior, or that person's delegate, for 
civil penalty proceedings.
    (c) When the U.S. Attorney declines to institute criminal 
proceedings, the District Commander decides whether to refer the case to 
the Secretary of the Interior, or that person's delegate, for civil 
penalty proceedings or to close the case.



                         Subpart B--Inspections



Sec. 140.101  Inspection by Coast Guard marine inspectors.

    (a) Each unit engaged in OCS activities is subject to inspection by 
the Coast Guard.

[[Page 138]]

    (b) Under the direction of the Officer in Charge, Marine Inspection, 
marine inspectors may inspect units engaged in OCS activities to 
determine whether the requirements of this subchapter are met. These 
inspections may be conducted with or without advance notice at any time 
deemed necessary by the Officer in Charge, Marine Inspection.
    (c) As part of an inspection, a marine inspector may review records 
and require and observe the conduct of emergency drills and other tests 
and procedures as may be necessary to demonstrate to that person's 
satisfaction that the unit and its equipment are in full compliance with 
applicable Coast Guard regulations. The marine inspector consults with 
the person in charge of the unit before requiring a drill or other test 
or procedure to be conducted to minimize disruption of unit activities 
and risk to life or property.
    (d) Coast Guard inspections of foreign units recognize valid 
international certificates accepted by the United States, including 
Safety of Life at Sea (SOLAS), Loadline, and Mobile Offshore Drilling 
Unit (MODU) Code certificates for matters covered by the certificates, 
unless there are clear grounds for believing that the condition of the 
unit or its equipment does not correspond substantially with the 
particulars of the certificate.
    (e) Coast Guard marine inspectors conduct an initial inspection of 
each fixed OCS facility installed after June 27, 1988, to determine 
whether the facility is in compliance with the requirements of this 
subchapter.

[CGD 78-160, 47 FR 9376, Mar. 4, 1982, as amended by CGD 84-098a, 53 FR 
18980, May 26, 1988]



Sec. 140.103  Annual inspection of fixed OCS facilities.

    (a) The owner or operator of each fixed OCS facility shall ensure 
that the facility is inspected, at intervals not to exceed 12 months, to 
determine whether the facility is in compliance with the requirements of 
this subchapter.
    (b) Except for initial inspections under Sec. 140.101(e), 
inspections by Coast Guard Marine inspectors do not meet the 
requirements for an inspection under paragraph (a) of this section.
    (c) Except for initial inspections under Sec. 140.101(e), the 
results of the inspection must be recorded on Form CG-5432. Forms CG-
5432 may be obtained from the Officer in Charge, Marine Inspection. The 
owner or operator shall submit the completed Form CG-5432 to the Officer 
in Charge, Marine Inspection, within 30 days after completion of the 
inspection.
    (d) For facilities installed on the OCS after June 27, 1988, the 12 
month period under paragraph (a) of this section begins with the initial 
inspection under Sec. 140.101(e). For facilities on the OCS on June 27, 
1988, the 12 month period begins upon completion of the first inspection 
under paragraph (a) of this section, which inspection must be completed 
within 12 months after June 27, 1988. Before September 26, 1988, the 
owner or operator shall notify the Officer in Charge, Marine Inspection, 
of the proposed inspection date for each facility.

[CGD 84-098a, 53 FR 18980, May 26, 1988]



Sec. 140.105  Correction of deficiencies and hazards.

    (a) Lifesaving and fire fighting equipment which is found defective 
during an inspection and which, in the opinion of the inspector, cannot 
be satisfactorily repaired must be so mutilated in the presence of the 
inspector that it cannot be used for the purpose for which it was 
originally intended. Lifesaving and fire fighting equipment subsequently 
determined to be unrepairable must be similarly mutilated in the 
presence of the person making that determination.
    (b) Any deficiency or hazard discovered during an inspection by a 
Coast Guard marine inspector is reported to the unit's owner or 
operator, who shall have the deficiency or hazard corrected or 
eliminated as soon as practicable and within the period of time 
specified by the Coast Guard marine inspector.
    (c) Deficiencies and hazards discovered during an inspection of a 
fixed OCS facility under Sec. 140.103(a) must be corrected or 
eliminated, if practicable, before the Form CG-5432 is submitted

[[Page 139]]

to the Officer in Charge, Marine Inspection (OCMI). Deficiencies and 
hazards that are not corrected or eliminated by the time the Form is 
submitted must be indicated on the Form as ``outstanding.'' For 
lifesaving and firefighting equipment deficiencies that cannot be 
corrected before the submission of Form CG-5432, the owner or operator 
shall contact the OCMI to request a time period for repair of the item. 
The owner or operator shall include a description of the deficiency and 
the time period specified by the OCMI for correction of the deficiency 
in the comment section of Form CG-5432. Upon receipt of a Form CG-5432 
indicating outstanding deficiencies or hazards, the OCMI informs, by 
letter, the owner or operator of the fixed OCS facility of the 
deficiencies or hazards and the time period specified to correct or 
eliminate the deficiencies or hazards.
    (d) Where a deficiency or hazard remains uncorrected or uneliminated 
after the expiration of the time specified for correction or 
elimination, the Officer in Charge, Marine Inspection, initiates 
appropriate enforcement measures.

[CGD84-098a, 53 FR 18981, May 26, 1988]



                        Subpart C--Investigations



Sec. 140.201  General.

    Under the direction of the Officer in Charge, Marine Inspection, 
investigating officers investigate the following incidents occurring as 
a result of OCS activities:
    (a) Death.
    (b) Injury resulting in substantial impairment of any bodily unit or 
function.
    (c) Fire which causes death, serious injury or property damage 
exceeding $25,000.
    (d) Oil spillage exceeding two hundred barrels of oil in one 
occurrence during a thirty-day period.
    (e) Other injuries, casualties, accidents, complaints of unsafe 
working conditions, fires, pollution, and incidents occurring as a 
result of OCS activities as the Officer in Charge, Marine Inspection, 
deems necessary to promote the safety of life or property or protect the 
marine environment.



Sec. 140.203  Investigation procedures.

    (a) Insofar as practicable, investigations conducted pursuant to 
this subchapter shall follow the procedures of 46 CFR Part 4.
    (b) Representatives of the U.S. Geological Survey may participate in 
these investigations. This participation may include, but is not limited 
to:
    (1) Participating in a joint on-scene investigation;
    (2) Making recommendations concerning the scope of the 
investigation;
    (3) Calling and examing witnesses; and
    (4) Submitting or requesting additional evidence.
    (c) Reports of investigations conducted under this subchapter shall 
be made available to parties to the investigation and the public upon 
completion of agency action.



Sec. 140.205  Subpoenas.

    (a) In any investigation conducted pursuant to this subchapter, the 
investigating officer shall have the power to administer necessary 
oaths, subpoena witnesses, and require the production of books, papers, 
documents, and any other evidence.
    (b) Attendance of witnesses or the production of books, papers, 
documents, or any other evidence shall be compelled by a process similar 
to that used in the District Courts of the United States.



PART 141--PERSONNEL--Table of Contents




                  Subpart A--Restrictions on Employment

Sec.
141.1  Purpose.
141.5  Applicability.
141.10  Definitions.
141.15  Restrictions on employment.
141.20  Exemptions from restrictions on employment.
141.25  Evidence of citizenship.
141.30  Evidence of status as a resident alien.
141.35  Records to be kept by the employer.

    Authority: 43 U.S.C. 1356; 49 CFR 1.46(z).

    Source: CGD 78-160, 47 FR 9379, Mar. 4, 1982, unless otherwise 
noted.

[[Page 140]]



                  Subpart A--Restrictions on Employment



Sec. 141.1  Purpose.

    This subpart prescribes rules governing restrictions on the 
employment of personnel on units engaged in OCS activities.



Sec. 141.5  Applicability.

    (a) This subpart applies to employment of personnel on units engaged 
in OCS activities, except as provided in paragraph (b) of this section.
    (b) This subpart does not apply to employment of personnel on any:
    (1) Vessel subject to the citizenship requirements of 46 U.S.C. 8103 
for pilots, licensed officers, and unlicensed crew when the vessel is 
transiting to or from an OCS facility or a United States port;
    (2) Vessel subject to the citizenship requirements of 46 U.S.C. 7102 
and 8103 for officers and crew on federally subsidized or documented 
vessels; or
    (3) Unit over 50 percent of which is owned by one or more citizens 
of a foreign nation or with respect to which one or more citizens of a 
foreign nation have the right effectively to control, except to the 
extent and to the degree that the President determines that the 
government of such foreign nation or any of its political subdivisions 
has implemented, by statute, regulation, policy, or practice, a national 
manning requirement for equipment engaged in the exploration, 
development, or production of oil or gas in its offshore areas.
    (c) The Commandant may, upon request or upon that person's own 
initiative, determine whether over 50 percent of a particular unit is 
owned by citizens of a foreign nation or whether citizens of a foreign 
nation have the right effectively to control the unit.
    (d) In determining whether ownership or a right effectively to 
control exists, the Commandant may consider operational control of a 
unit, management responsibility, title, lease and charter arrangements, 
and financial interests.
    (e) The owner or operator of any unit affected is notified of the 
Commandant's determination.

(Information collection requirements contained in paragraph (c) were 
approved by the Office of Management and Budget under OMB control number 
2130-0182)

[CGD 78-160, 47 FR 9379, Mar. 4, 1982, as amended by CGD 97-023, 62 FR 
33363, June 19, 1997]



Sec. 141.10  Definitions.

    As used in this subpart:
    Citizens of the United States means:
    (1) In the case of an individual, one who is a native born, 
derivative, or fully naturalized citizen of the United States;
    (2) In the case of a partnership, unincorporated company, or 
association, one in which 50% or more of the controlling interest is 
vested in citizens of the United States; or
    (3) In the case of a corporation, one which is incorporated under 
the laws of the United States or of any State thereof.
    Citizen of a foreign nation means:
    (1) In the case of an individual, one who is not a citizen of the 
United States;
    (2) In the case of a partnership, unincorporated company, or 
association, one in which more than 50% of the controlling interest is 
vested in citizens of a nation other than the United States; or
    (3) In the case of a corporation, one which is incorporated under 
the laws of a nation other than the United States so long as (i) the 
title to a majority of the stock thereof is free from any trust or 
fiduciary obligation in favor of any citizen of the United States; (ii) 
the majority of the voting power in the corporation is not vested in any 
citizen of the United States; (iii) through any contract or 
understanding, the majority of the voting power may not be exercised 
directly or indirectly on behalf of any citizen of the United States; or 
(iv) by no other means, control of the corporation is conferred upon or 
permitted to be exercised by any citizen of the United States.

[[Page 141]]

    Resident alien means an alien lawfully admitted to the United States 
for permanent residence in accordance with section 101(a)(20) of the 
Immigration and Nationality Act of 1952, as amended, 8 U.S.C. 
1101(a)(20).



Sec. 141.15  Restrictions on employment.

    (a) Each employer of personnel on any unit engaged in OCS activities 
that is subject to this part must employ, as members of the regular 
complement of the unit, only citizens of the United States or resident 
aliens except as provided by Sec. 141.20.
    (b) As used in paragraph (a) of this section, ``regular complement 
of a unit'' means those personnel necessary for the routine functioning 
of the unit, including marine officers and crew; industrial personnel on 
the unit, such as toolpushers, drillers, roustabouts, floor hands, crane 
operators, derrickmen, mechanics, motormen, and general maintenance 
personnel; and support personnel on the unit, such as cooks, stewards 
and radio operators. The term does not include specialists, 
professionals, or other technically trained personnel called in to 
handle emergencies or other temporary operations; extra personnel on a 
unit for training; and other personnel temporarily on a unit for 
specialized operations, such as construction, alteration, well logging, 
or unusual repairs or emergencies.
    (c) The Officer in Charge, Marine Inspection, may determine whether 
a particular individual or position is part of the regular complement of 
a unit. A copy of the determination is provided to the owner or operator 
of the unit affected.

(Approved by the Office of Management and Budget under OMB control 
number 2130-0182)

[CGD 78-160, 47 FR 9379, Mar. 4, 1982, as amended by USCG-1998-3799, 63 
FR 35530, June 30, 1998]



Sec. 141.20  Exemptions from restrictions on employment.

    (a) An employer may request an exemption from the restrictions on 
employment in Sec. 141.15 in order to employ persons other than citizens 
of the United States or resident aliens as part of the regular 
complement of the unit under the following circumstances:
    (1) When specific contractual provisions or national registry 
manning requirements in effect on September 18, 1978 provide that a 
person other than a citizen of the United States or a resident alien is 
to be employed on a particular unit.
    (2) When there is not a sufficient number of citizens of the United 
States or resident aliens qualified and available for the work.
    (3) When the President determines with respect to a particular unit 
that the employment of only citizens of the United States or resident 
aliens is not consistent with the national interest.
    (b) The request must be in writing, identify the provision of 
paragraph (a) of this section relied upon, and:
    (1) If involving specific contractual provisions under paragraph 
(a)(1) of this section, list the persons claimed exempt and contain a 
copy of the contract;
    (2) If involving persons without an H-2 Visa under paragraph (a)(2) 
of this section, list the persons or positions sought to be exempted; or
    (3) If under paragraph (a)(3) of this section, identify the unit 
involved and contain any information in support of the claim.
    (c) Requests must be submitted to the Commandant (G-MOC), U.S. Coast 
Guard Headquarters, 2100 2nd Street, SW., Washington, D.C. 20593.
    (d) Upon receipt of a request under paragraph (a)(2) of this 
section, the Coast Guard seeks information from the Department of Labor 
concerning whether there are citizens of the United States or resident 
aliens qualified and available for work. If information is provided that 
citizens of the United States or resident aliens are qualified and 
available, the employer may be required to seek their employment before 
the request is approved.
    (e) Upon receipt of a request under paragraph (a)(3) of this section 
and after consulting with other Federal agencies as appropriate, the 
Commandant forwards the request and the comments of the Coast Guard and 
other interested agencies to the President for determination.
    (f) Upon approval by the President for request under paragraph 
(a)(3) of this section or by the Coast Guard for

[[Page 142]]

all other requests, the Coast Guard issues a certification of the 
exemption. A certification issued under paragraph (a)(2) of this section 
is valid for one year from the date of issuance.
    (g) If, within 30 days of receipt by the Coast Guard of a request 
under paragraph (a)(2) of this section, the Coast Guard does not make a 
determination or advise the employer that additional time for 
consideration is necessary, the request is considered approved for a 
period of 90 days from the end of the 30 day period.
    (h) A request need not be submitted for persons who are not citizens 
of the United States or resident aliens and who:
    (1) Are employed under the national registry manning requirements 
exception in paragraph (a)(1) of this section; or
    (2) Have been classified and admitted to the United States as 
temporary workers under 8 U.S.C. 1101(a)(15)(H)(ii) for work in a 
position for which admitted.

(Approved by the Office of Management and Budget under OMB control 
number 2130-0182)

[CGD 78-160, 47 FR 9379, Mar. 4, 1982, as amended by CGD 96-026, 61 FR 
33665, June 28, 1996]



Sec. 141.25  Evidence of citizenship.

    (a) The employer may accept as sufficient evidence that a person is 
a citizen of the United States any one of the following documents and no 
others:
    (1) A merchant mariner's document issued by the Coast Guard under 46 
CFR Part 12 which shows the holder to be citizen of the United States.
    (2) An original or certified copy of a birth certificate or birth 
registration issued by a state or the District of Columbia.
    (3) A United States passport.
    (4) A Certificate of Citizenship issued by the Immigration and 
Naturalization Service.
    (5) A Certificate of Naturalization issued by a Naturalization 
Court.
    (6) A letter from the Coast Guard issued under paragraph (d) of this 
section.
    (b) If a person does not have one of the documents listed in 
paragraphs (a)(1) through (a)(6) of this section, that person may appear 
in person before an Officer in Charge, Marine Inspection, and submit one 
or more of the following documents which may be considered as evidence 
that the applicant is a citizen of the United States:
    (1) A Certificate of Derivative Citizenship or a Certificate of 
Naturalization of either parent and a birth certificate of the applicant 
or other evidence satisfactorily establishing that the applicant was 
under 21 years of age at the time of the parent's naturalization.
    (2) An original or certified copy of a birth certificate from a 
political jurisdiction outside the United States which demonstrates 
citizenship status.
    (3) A Baptismal certificate or parish record recorded within one 
year after birth.
    (4) A statement of a practicing physician certifying that the 
physician attended the birth and has a record showing the date on which 
the birth occurred.
    (5) A commission, or evidence of commission, in the Armed Forces of 
the United States which shows the holder to be a citizen of the United 
States.
    (6) A continuous discharge book or certificate of identification 
issued by the Coast Guard or the former Bureau of Marine Inspection, 
provided the document shows that the applicant produced satisfactory 
evidence of citizenship at the time the document was issued.
    (7) A delayed certificate of birth issued under a state seal, 
provided there are no collateral facts indicating fraud in its 
procurement.
    (8) A report of the Census Bureau showing the earliest available 
record of the applicant's age or birth.
    (9) Affidavits of parents, relatives, or two or more responsible 
citizens of the United States, school records; immigration records; 
insurance policies; or other records which support the citizenship 
claim.
    (c) In any case where doubt exists concerning evidence of 
citizenship submitted under paragraph (b) of this section, the Officer 
in Charge, Marine Inspection, may refer the matter to the United States 
Immigration and Naturalization Service for an advisory opinion.

[[Page 143]]

    (d) If the documents submitted under paragraph (b) of this section 
are determined by the Officer in Charge, Marine Inspection, to be 
sufficient evidence that the applicant is a citizen of the United 
States, the Coast Guard issues the applicant a letter acknowledging this 
determination.

(Approved by the Office of Management and Budget under OMB control 
number 2130-0182)



Sec. 141.30  Evidence of status as a resident alien.

    The employer may accept as sufficient evidence that a person is a 
resident alien any one of the following documents and no others:
    (a) A merchant mariner's document issued by the Coast Guard under 46 
CFR Part 12.
    (b) An alien registration receipt card issued by the Immigration and 
Naturalization Service certifying that the card holder has been admitted 
to the United States as an immigrant.
    (c) A declaration of intention to become a citizen of the United 
States issued by the a Naturalization Court.



Sec. 141.35  Records to be kept by the employer.

    (a) The employer of personnel subject to this subpart shall 
maintain, and make available to the Coast Guard upon request, a record 
identifying which of the documents listed in Secs. 141.25 and 141.30 
were relied upon for each employee. The record must consist of either a 
copy of the document or the following information on the document:
    (1) For a merchant mariner's document or a United States passport, 
the document's title and identification number.
    (2) For a birth certificate or birth registration, the document's 
title and the employee's date and place of birth.
    (3) For all other documents listed in Secs. 141.25 and 141.30, the 
document's title and date and place of issuance.
    (b) The employer of personnel subject to this subpart shall maintain 
a written list of the positions that make up the regular complement of 
the unit and the name and nationality of the individual filling each 
employee position. This list may be in summary form and any simple 
format.

(Approved by the Office of Management and Budget under OMB control 
number 2130-0182)



PART 142--WORKPLACE SAFETY AND HEALTH--Table of Contents




                           Subpart A--General

Sec.
142.1  Purpose.
142.4  Duties of lessees, permittees, and persons responsible for actual 
          operations.
142.7  Reports of unsafe working conditions.

                Subpart B--Personal Protective Equipment

142.21  Purpose and applicability.
142.24  Use of equipment.
142.27  Eye and face protection.
142.30  Head protection.
142.33  Foot protection.
142.36  Protective clothing.
142.39  Respiratory protection.
142.42  Safety belts and lifelines.
142.45  Personal flotation devices.
142.48  Eyewash equipment.

                 Subpart C--General Workplace Conditions

142.81  Purpose and applicability.
142.84  Housekeeping.
142.87  Guarding of deck openings.
142.90  Lockout and tagout.

    Authority: 43 U.S.C 1333(d)(1), 1347(c), 1348(c); 49 CFR 1.46(z).

    Source: CGD 79-077, 51 FR 25059, July 10, 1986, unless otherwise 
noted.



                           Subpart A--General



Sec. 142.1  Purpose.

    This part is intended to promote workplace safety and health by 
establishing requirements relating to personnel, workplace activities 
and conditions, and equipment on the Outer Continental Shelf (OCS).



Sec. 142.4  Duties of lessees, permittees, and persons responsible for actual operations.

    (a) Each holder of a lease or permit under the Act shall ensure that 
all places of employment within the lease area or within the area 
covered by the permit on the OCS are maintained in compliance with 
workplace safety and health regulations of this part and, in addition, 
free from recognized hazards.

[[Page 144]]

    (b) Persons responsible for actual operations, including owners, 
operators, contractors, and subcontractors, shall ensure that those 
operations subject to their control are conducted in compliance with 
workplace safety and health regulations of this part and, in addition, 
free from recognized hazards.
    (c) ``Recognized hazards'', in paragraphs (a) and (b) of this 
section, means conditions which are--
    (1) Generally known among persons in the affected industry as 
causing or likely to cause death or serious physical harm to persons 
exposed to those conditions; and
    (2) Routinely controlled in the affected industry.



Sec. 142.7  Reports of unsafe working conditions.

    (a) Any person may report a possible violation of any regulation in 
this subchapter or any other hazardous or unsafe working condition on 
any unit engaged in OCS activities to an Officer in Charge, Marine 
Inspection.
    (b) After reviewing the report and conducting any necessary 
investigation, the Officer in Charge, Marine Inspection, notifies the 
owner or operator of any deficiency or hazard and initiates enforcement 
measures as the circumstances warrant.
    (c) The identity of any person making a report under paragraph (a) 
of this section is not made available, without the permission of the 
reporting person, to anyone other than those officers and employees of 
the Department of Transportation who have a need for the record in the 
performance of their official duties.



                Subpart B--Personal Protective Equipment



Sec. 142.21  Purpose and applicability.

    This subpart prescribes requirements concerning personal protection 
on OCS facilities.



Sec. 142.24  Use of equipment.

    (a) Each holder of a lease or permit issued under the Act shall 
ensure that all personnel who are required by this subpart to use or 
wear personal protective equipment do so when within the lease area or 
the area covered by the permit.
    (b) Persons responsible for actual operations shall ensure that all 
personnel engaged in the operation properly use or wear the personal 
protective equipment specified by this subpart.



Sec. 142.27  Eye and face protection.

    (a) Personnel engaged in or observing welding, grinding, machining, 
chipping, handling hazardous materials, or acetylene burning or cutting 
shall wear the eye and face protector specified for the operation in 
Figure 8 of ANSI Z87.1.
    (b) Eye and face protectors must be maintained in good condition.
    (c) Each eye and face protector must be marked with the information 
required by ANSI Z87.1 for that type of protector.



Sec. 142.30  Head protection.

    (a) Personnel in areas where there is a hazard of falling objects or 
of contact with electrical conductors shall wear a head protector 
meeting the specifications of ANSI Z89.1, for the hazard involved.
    (b) Each head protector must be marked with the information 
specified by ANSI Z89.1 for that type of protector and for the hazard 
involved.



Sec. 142.33  Foot protection.

    (a) Personnel working in areas or engaged in activities where there 
is a reasonable probability for foot injury to occur shall wear footwear 
meeting the specifications of ANSI Z41, except when environmental 
conditions exist that present a hazard greater than that against which 
the footwear is designed to protect.
    (b) Each pair of footwear must be marked with the information 
specified by ANSI Z41 for the type of footwear.

[CGD 79-077, 51 FR 25059, July 10, 1986, as amended at 51 FR 28381, Aug. 
7, 1986]



Sec. 142.36  Protective clothing.

    Personnel in areas where there are flying particles, molten metal, 
radiant energy, heavy dust, or hazardous materials shall wear clothing 
and gloves providing protection against the hazard involved.

[[Page 145]]



Sec. 142.39  Respiratory protection.

    (a) Personnel in an atmosphere specified under ANSI Z88.2, requiring 
the use of respiratory protection equipment shall wear the type of 
respiratory protection equipment specified in ANSI Z88.2 for that 
atmosphere.
    (b) Before personnel enter an atmosphere specified under ANSI Z88.2 
requiring the use of respiratory protection equipment, the persons 
listed in Sec. 142.4 shall ensure that the personnel entering the 
atmosphere--
    (1) Follow the procedures stated in section 6 of ANSI Z88.2 
concerning the proper selection of a respirator and individual fit 
testing; and
    (2) Are trained in the matters set forth in section 7 of ANSI Z88.2 
concerning proper use of the equipment to be used and in the generally 
recognized short and long term harmful effects of exposure to the 
atmosphere involved.
    (c) All respiratory protection equipment must be approved, used, and 
maintained in accordance with ANSI Z88.2.

[CGD 79-077, 51 FR 25059, July 10, 1986, as amended at 51 FR 28381, Aug. 
7, 1986]



Sec. 142.42  Safety belts and lifelines.

    (a) Except when moving from one location to another, personnel 
engaged in an activity where there is a hazard of falling 10 or more 
feet shall wear a safety belt or harness secured by a lanyard to a 
lifeline, drop line, or fixed anchorage.
    (b) Each safety belt, harness, lanyard, lifeline, and drop line must 
meet the specifications of ANSI A10.14.



Sec. 142.45  Personal flotation devices.

    Personnel, when working in a location such that, in the event of a 
fall, they would likely fall into water, shall wear a work vest that 
meets the requirements of 33 CFR 146.20 or a life preserver that meets 
the requirements of 46 CFR 160.002, 160.005, or 160.055, except when 
using the safety belts and lifelines required by Sec. 142.42.



Sec. 142.48  Eyewash equipment.

    Portable or fixed eyewash equipment providing emergency relief must 
be immediately available near the drill floor, mudrooms, and other areas 
where there is a reasonable probability that eye injury may occur.

[CGD 79-077, 51 FR 28381, Aug. 7, 1986]



                 Subpart C--General Workplace Conditions



Sec. 142.81  Purpose and applicability.

    This subpart prescribes requirements relating to general working 
conditions on OCS facilities.



Sec. 142.84  Housekeeping.

    All staging, platforms, and other working surfaces and all ramps, 
stairways, and other walkways must be kept clear of portable tools, 
materials, and equipment not in use and be promptly cleared of 
substances which create a tripping or slipping hazard. When engaged in 
an activity on the drill floor in which the spillage of drilling fluid 
is inevitable, such as when pulling wet strings of drill pipe, footwear 
and flooring designed to reduce slipping substantially may be used 
instead of keeping the drill floor free of drilling fluid during the 
activity.

[CGD 79-077, 51 FR 28381, Aug. 7, 1986]



Sec. 142.87  Guarding of deck openings.

    Openings in decks accessible to personnel must be covered, guarded, 
or otherwise made inaccessible when not in use. The manner of blockage 
shall prevent a person's foot or body from inadvertently passing through 
the opening.



Sec. 142.90  Lockout and tagout.

    (a) While repair or other work is being performed on equipment 
powered by an external source, that equipment must be locked out as 
required in paragraph (b) of this section or, if a lockout provision 
does not exist on the equipment, must be disconnected from the power 
source or otherwise deactivated, unless the nature of the work being 
performed necessitates that the power be connected or the equipment 
activated.
    (b) If the equipment has a lockout or other device designed to 
prevent unintentional activation of the equipment, the lockout or other 
device must be engaged while the work is being performed on the 
equipment, unless the

[[Page 146]]

nature of the work being performed necessitates that the equipment be 
activated.
    (c) A tag must be placed at the point where the equipment connects 
to a power source and at the location of the control panel activating 
the power, warning--
    (1) That equipment is being worked on; and
    (2) If the power source is disconnected or the equipment 
deactivated, that the power source must not be connected or the 
equipment activated.
    (d) The tags must not be removed without the permission of either 
the person who placed the tags, that person's immediate supervisor, or 
their respective reliefs.

[CGD 79-077, 51 FR 25059, July 10, 1986; 51 FR 28382, Aug. 7, 1986]



PART 143--DESIGN AND EQUIPMENT--Table of Contents




                           Subpart A--General

Sec.
143.1  Purpose.
143.15  Lights and warning devices.

                        Subpart B--OCS Facilities

143.100  Applicability.
143.101  Means of escape.
143.105  Personnel landings.
143.110  Guards and rails.
143.120  Floating OCS facilities.

                Subpart C--Mobile Offshore Drilling Units

143.200  Applicability.
143.201  Existing MODUs exempted from new design requirements.
143.205  Requirements for U.S. and undocumented MODUs.
143.207  Requirements for foreign MODUs.
143.210  Letter of compliance.

                           Subpart D--Vessels

143.300  Applicability.
143.301  Load line requirements.

                       Subpart E--Standby Vessels

143.400  Applicability.
143.401  Vessel certification and operation.
143.405  Equipment.
143.407  Manning.

    Authority: 43 U.S.C. 1333(d)(1), 1348(c), 1356; 49 CFR 1.46; section 
143.210 is also issued under 14 U.S.C. 664 and 31 U.S.C. 9701.

    Source: CGD 78-160, 47 FR 9382, Mar. 4, 1982, unless otherwise 
noted.



                           Subpart A--General



Sec. 143.1  Purpose.

    This part prescribes design and equipment requirements for units 
engaged in OCS activities.



Sec. 143.15  Lights and warning devices.

    (a) OCS facilities must meet the lights and warning devices 
requirements under Part 67 of this chapter concerning aids to navigation 
on artificial islands and fixed structures.
    (b) Vessels, including attending vessels but excluding MODUs under 
paragraph (a) of this section, must meet the lights and warning devices 
requirements under the International Regulations for Preventing 
Collisions at Sea 1972 or under local rules provided for in Rule 1 of 
those Regulations.

[CGD 78-160, 47 FR 9382, Mar. 4, 1982, as amended by USCG-1998-3799, 63 
FR 35530, June 30, 1998]



                        Subpart B--OCS Facilities



Sec. 143.100  Applicability.

    This subpart applies to OCS facilities except mobile offshore 
drilling units.



Sec. 143.101  Means of escape.

    (a) ``Primary means of escape'' shall be fixed stairways or fixed 
ladders of metal construction.
    (b) ``Secondary means of escape'' shall be types approved for 
``primary means of escape'' or portable, flexible ladders, knotted man 
ropes, and other devices satisfactory to the Officer in Charge, Marine 
Inspection.
    (c) Manned OCS facilities shall be provided with at least two 
``primary means of escape'' extending from the uppermost platform level 
that contains living quarters or that personnel occupy continuously, to 
each successively lower working level and to the water surface. Working 
levels without living quarters, shops, or offices in manned facility 
structural appendages, extensions, and installations that personnel 
occupy only occasionally shall be provided with one ``primary means of 
escape'' and, when necessary in the

[[Page 147]]

opinion of the Officer in Charge, Marine Inspection, one or more 
``secondary means of escape.''
    (d) Unmanned OCS facilities shall be provided with at least one 
``primary means of escape'' extending from the uppermost platform 
working level to each successively lower working level and to the water 
surface. When personnel are on board, unmanned facilities shall also be 
provided with one or more ``secondary means of escape,'' but not more 
than one will be required for every 10 persons extending from the 
uppermost working level of the facility to each successively lower 
working level and to the water surface, excluding facility appendages 
and installations, unless ``secondary means of escape'' from such 
appendages and installations are necessary in the opinion of the Officer 
in Charge, Marine Inspection.
    (e) ``Means of escape'' shall be suitably accessible to personnel 
for rapid facility evacuation.
    (f) When two or more ``means of escape'' are installed, at least two 
shall be located as nearly diagonally opposite each other as practicable 
unless such requirement is unreasonable or impracticable in the opinion 
of the Officer in Charge, Marine Inspection.



Sec. 143.105  Personnel landings.

    (a) Sufficient personnel landings shall be provided on each manned 
OCS facility to assure safe access and egress. When due to special 
construction personnel landings are not feasible, then suitable transfer 
facilities to provide safe access and egress shall be installed.
    (b) The personnel landings shall be provided with satisfactory 
illumination. The minimum shall be one-foot candle of artificial 
illumination as measured at the landing floor and guards and rails.



Sec. 143.110  Guards and rails.

    (a) Except for helicopter landing decks which are provided for in 
paragraph (b) of this section, and areas not normally occupied, the 
unprotected perimeter of all floor or deck areas and openings shall be 
rimmed with guards and rails or wire mesh fence. The guard rail or fence 
shall be at least 42 inches high. The two intermediate rails shall be so 
placed that the rails are approximately evenly spaced between the guard 
rail and the floor or deck area: Provided, That if a toe board is 
installed then one of the intermediate rails may be omitted and the 
other rail placed approximately half way between the top of the toe 
board and the top guard rail.
    (b) The unprotected perimeter of the helicopter landing deck shall 
be protected with a device of sufficient strength and size as to prevent 
any person from falling from such deck.
    (c) Each catwalk and each stairway shall be provided with a suitable 
guard rail or rails, as necessary.



Sec. 143.120  Floating OCS facilities.

    (a) Before construction is started on a proposed floating OCS 
facility, the owner or operator of the facility must submit to the Coast 
Guard for approval all plans and information listed in subpart C of 46 
CFR part 107 which relate to the facility. All plans and information 
must be submitted according to the procedures in that subpart.
    (b) The facility must comply with the requirements of subchapters F 
(Marine Engineering) and J (Electrical Engineering) of 46 CFR chapter I 
and 46 CFR part 108 (Design and Equipment). Where unusual design or 
equipment needs make compliance impracticable, alternative proposals 
that provide an equivalent level of safety may be accepted. These 
requirements do not apply to production systems on the facility.
    (c) The Officer in Charge, Marine Inspection, determines whether a 
floating OCS facility meets the requirements of paragraph (b) of this 
section and issues a certificate of inspection for each facility which 
meets these requirements. Inspection of the facility may be required as 
part of this determination.



                Subpart C--Mobile Offshore Drilling Units



Sec. 143.200  Applicability.

    This subpart applies to mobile offshore drilling units when engaged 
in OCS activities.

[[Page 148]]



Sec. 143.201  Existing MODUs exempted from new design requirements.

    Any mobile offshore drilling unit built before, under construction 
on, or contracted for prior to April 5, 1982 is not required to meet the 
design requirements of this subpart until the unit is rebuilt. Until 
rebuilt, the unit must continue to comply with the design requirements 
applicable to the unit on April 4, 1982.

[CGD 78-160, 47 FR 11011, Mar. 15, 1982]



Sec. 143.205  Requirements for U.S. and undocumented MODUs.

    Each mobile offshore drilling unit that is documented under the laws 
of the United States or not documented under the laws of any nation must 
comply with the design, equipment, and inspection requirements of 46 CFR 
parts 107 and 108 in order to engage in OCS activities.



Sec. 143.207  Requirements for foreign MODUs.

    Each mobile offshore drilling unit that is documented under the laws 
of a foreign nation must, when engaged in OCS activities, comply with 
one of the following:
    (a) The design and equipment standards of 46 CFR part 108.
    (b) The design and equipment standards of the documenting nation if 
the standards provide a level of safety generally equivalent to or 
greater than that provided under 46 CFR part 108.
    (c) The design and equipment standards for mobile offshore drilling 
units contained in the International Maritime Organization (IMO, 
formerly Inter-Governmental Maritime Consultative Organization or IMCO) 
(IMO) Code for Construction and Equipment of Mobile Offshore Drilling 
Units (IMO Assembly Resolution A.414(XI)) which has been incorporated by 
reference.



Sec. 143.210  Letter of compliance.

    (a) The Officer in Charge, Marine Inspection, determines whether a 
mobile offshore drilling unit which does not hold a valid Coast Guard 
Certificate of Inspection meets the requirements of Secs. 143.205 or 
143.207 relating to design and equipment standards and issues a letter 
of compliance for each unit which meets the requirements. Inspection of 
the unit may be required as part of this determination.
    (b) A letter of compliance issued under paragraph (a) of this 
section is valid for one year or until the MODU departs the OCS for 
foreign operations, whichever comes first.
    (c) The owner or operator of a foreign mobile offshore drilling unit 
requiring a letter of compliance examination must pay the fee prescribed 
in 46 CFR 2.10-130.

[CGD 84-098a, 53 FR 18981, May 26, 1988, as amended by CGD 91-030, 60 FR 
13563, Mar. 13, 1995]



                           Subpart D--Vessels



Sec. 143.300  Applicability.

    This subpart applies to all vessels engaged in OCS activities except 
mobile offshore drilling units.



Sec. 143.301  Load line requirements.

    (a) Vessels, including foreign vessels, which would be subject to 
the requirements of subchapter E of 46 CFR chapter I concerning load 
lines when arriving at or proceeding to sea from any port or place 
within the United States must comply with those requirements when 
engaged in activities on the OCS.
    (b) Load line certificates and load line exemption certificates 
issued or accepted under subchapter E of 46 CFR chapter I are accepted 
as evidence of compliance with paragraph (a) of this section.



                       Subpart E--Standby Vessels

    Source: CGD 84-098b, 54 FR 21571, May 18, 1989, unless otherwise 
noted.



Sec. 143.400  Applicability.

    This subpart applies only to standby vessels meeting the 
requirements of this subpart and specifically designated in an Emergency 
Evacuation Plan (EEP) required by Secs. 146.140 or 146.210 of this 
chapter to provide rapid evacuation assistance in the event of an 
emergency.

[[Page 149]]



Sec. 143.401  Vessel certification and operation.

    Standby vessels must meet the following:
    (a) Have a valid certificate of inspection issued in compliance with 
Subchapters H, I, or T of 46 CFR Chapter I.
    (b) Be capable of carrying and providing shelter for 100 per cent of 
the number of persons on the most populated facility that the standby 
vessel is designated to assist. Crew spaces may be used to meet the 
requirements of this section.
    (c) Provide bunks or aircraft type reclining seats for 10 per cent 
of the number of persons on the most populated facility that the standby 
vessel is designated to assist. Crew spaces may be used to meet the 
requirements of this section.
    (d) Not carry or store goods, supplies, and equipment on the deck of 
the standby vessel or in other locations that may hinder the vessel's 
ability to render assistance to the facility that the vessel is 
designated to assist.
    (e) Not carry or store any hazardous material.



Sec. 143.405  Equipment.

    (a) Standby vessels must have, at least, the following equipment:
    (1) Multiple propellers or propulsion devices.
    (2) Two searchlights.
    (3) For vessels certificated under Subchapter H of 46 CFR Chapter I, 
a line throwing appliance that meets the requirements in 46 CFR 75.45.
    (4) For vessels certificated under subchapters I or T of 46 CFR 
chapter I, a line throwing appliance that meets the requirements of 46 
CFR 94.45.
    (5) A Stokes or comparable litter.
    (6) One blanket for each person on the most populated facility that 
the standby vessel is designated to assist.
    (7) Means for safely retrieving persons, including injured or 
helpless persons, from the water. The means of retrieval must be 
demonstrated to the satisfaction of the Officer in Charge, Marine 
Inspection.
    (8) A scramble net that can be rigged on either side of the standby 
vessel.
    (9) A minimum of four Coast Guard approved ring life buoys, each 
equipped with 15 fathoms of line.
    (10) An immersion suit approved by the Coast Guard under 46 CFR 
160.171, or a buoyant suit meeting Supplement A of ANSI/UL-1123-1987 and 
approved under 46 CFR 160.053, for each member of the standby vessel's 
crew when the standby vessel operates north of 32 degrees north latitude 
in the Atlantic Ocean or north of 35 degrees north latitude in all other 
waters.
    (11) Two boat hooks.
    (12) A fire monitor with a minimum flow rate of, at least, 500 
gallons per minute.
    (13) One two-way radio capable of voice communications with the OCS 
facility, helicopters or other rescue aircraft, rescue boats, and shore 
side support personnel.
    (14) Floodlights to illuminate the personnel and boat retrieval 
area, the scramble net when deployed, and the water around the personnel 
retrieval and scramble net deployment areas.
    (15) A copy of ``The Ship's Medicine Chest and Medical Aid at Sea'', 
DHHS Publication No. (PHS) 84-2024, available from the Superintendent of 
Documents, U.S. Government Printing Office, Washington, DC 20402.
    (16) An industrial first aid kit sized for 50 percent of the number 
of persons on the most populated facility that the standby vessel is 
designated to assist.
    (17) Coast Guard approved life preservers for 50 percent of the 
number of persons on the most populated facility that the standby vessel 
is designated to assist.
    (b) Equipment required by paragraph (a) of this section must be to 
the satisfaction of the Officer in Charge, Marine Inspection.



Sec. 143.407  Manning.

    Standby vessels must be crewed in accordance with their certificate 
of inspection for 24 hour operation. The Officer in Charge, Marine 
Inspection, may require the crew to be augmented, as necessary, to 
provide for maneuvering the standby vessel, for lookouts, for rigging 
and operating retrieval equipment, and for caring for survivors.

[[Page 150]]



PART 144--LIFESAVING APPLIANCES--Table of Contents




                    Subpart 144.01--Manned Platforms

Sec.
144.01-1  Life floats.
144.01-5  Location and launching of life floats.
144.01-10  Equipment for life floats.
144.01-15  Alternates for life floats.
144.01-20  Life preservers.
144.01-25  Ring life buoys.
144.01-30  First-aid kit.
144.01-35  Litter.
144.01-40  Emergency communications equipment.

                   Subpart 144.10--Unmanned Platforms

144.10-1  Lifesaving equipment.
144.10-10  Other lifesaving equipment.

      Subpart 144.20--Requirements for U.S. and Undocumented MODU's

144.20-1  Applicability.
144.20-5  Exposure suits.

             Subpart 144.30--Requirements for Foreign MODU's

144.30-1  Applicability.
144.30-5  Exposure suits.

    Authority: 43 U.S.C. 1333d; 46 U.S.C. 3102(a); 46 CFR 1.46.



                    Subpart 144.01--Manned Platforms



Sec. 144.01-1  Life floats.

    Each manned platform shall be provided with at least two approved 
life floats. The life floats shall have sufficient capacity to 
accommodate all persons present at any one time.

[CGFR 56-4, 21 FR 903, Feb. 9, 1956]



Sec. 144.01-5  Location and launching of life floats.

    The life floats shall be distributed in accessible locations and 
mounted on the outboard sides of the working platform in such a manner 
as to be readily launched.

[CGFR 56-4, 21 FR 903, Feb. 9, 1956]



Sec. 144.01-10  Equipment for life floats.

    (a) Each lifefloat shall be provided with a painter. This painter 
shall be a manila rope not less than 2\3/4\ inches in circumference and 
of a length not less than three times the distance from the deck where 
the lifefloat is stowed to the low water line. Alternatively, the 
painter may be of other material provided it has equal strength to the 
size of manila rope specified and is not less than \1/2\ inch in 
diameter.
    (b) Each life float must have a water light of an approved automatic 
electric type constructed in accordance with 46 CFR Subpart 161.010, 
except a water light constructed in accordance with former 46 CFR 
Subpart 161.001 that was installed before January 1, 1972, may be 
retained in an existing installation as long as it is maintained in good 
condition. The water light must be attached to the life float by a 12-
thread manila or equivalent synthetic lanyard not less than 2 meters (6 
feet) nor more than 4 meters (12 feet) in length. The water light must 
be mounted on a bracket so that when the life float is launched, the 
water light will pull free of the bracket.
    (c) Two paddles shall be provided for each life float. The paddles 
shall not be less than five feet nor more than six feet long. The 
paddles shall be stowed in such a way that they will be readily 
accessible from either side of the life float when in the water.

[CGFR 56-4, 21 FR 903, Feb. 9, 1956]

    Editorial Note: For Federal Register citations affecting 
Sec. 144.01-10, see the List of CFR Sections Affected, which appears in 
the Finding Aids section of the printed volume and on GPO Access.



Sec. 144.01-15  Alternates for life floats.

    (a) Approved lifeboats, approved life rafts or approved inflatable 
life rafts may be used in lieu of approved life floats for either all or 
part of the capacity required. When either lifeboats or life rafts are 
used approved means of launching will be required. Inflatable life 
rafts, when used, shall be distributed and mounted as required for life 
floats under Sec. 144.01-5.
    (b) The equipment required for a lifeboat is a bailer, boat hook, 
bucket, hatchet, lantern, life line, two life preservers, matches, full 
complement of oars and steering oar, painter, plug, and rowlocks, of the 
same type, kind, and character as required for lifeboats

[[Page 151]]

carried on vessels engaged in navigating bays, sounds, and lakes other 
than the Great Lakes, and rivers.
    (c) The equipment required for a life raft is a boat hook, life line 
(if not a Type A life raft), full complement of oars and steering oar, 
painter, and rowlocks of the same type, kind, and character as required 
for life rafts carried on cargo and miscellaneous vessels navigating on 
bays, sounds, and lakes other than the Great Lakes.
    (d) Inflatable liferafts shall be approved by the Coast Guard under 
approval series 160.151. An approved ``Limited Service'' or ``Ocean 
Service'' liferaft installed on board a platform before May 9, 1997, may 
continue to be used to meet the requirements of this section provided it 
is maintained in good and serviceable condition.

[CGFR 56-4, 21 FR 903, Feb. 9, 1956, as amended by CGFR 60-35 25 FR 
10132, Oct. 25, 1960; CGD 85-205, 62 FR 35392, July 1, 1997]



Sec. 144.01-20  Life preservers.

    (a) An approved life preserver shall be provided for each person on 
a manned platform. The life preservers shall be located in easily 
accessible places.
    (b) All kapok and fibrous glass life preservers which do not have 
plastic-covered pad inserts shall be removed from service.
    (c) Each life preserver carried on a manned platform must have a 
personal flotation device light that is approved under Subpart 161.012 
of 46 CFR Part 161. Each light must be securely attached to the front 
shoulder area of the life preserver.
    (d) Each life preserver carried on a manned platform must have at 
least 200 sq. cm (31 sq. in.) of retroreflective material attached on 
its front side, at least 200 sq. cm on its back side, and at leat 200 
sq. cm of material on each of its reversible sides. The material must be 
Type I material that is approved under 46 CFR 164.018. The material 
attached on each side of a life preserver must be divided equally 
between the upper quadrants of the side, and the material in each 
quadrant must be attached as closely as possible to the shoulder area of 
the life preserver.

[CGFR 60-35, 25 FR 10132, Oct. 25, 1960, as amended by CGD 78-160, 47 FR 
9383, Mar. 3, 1982; USCG-1998-3799, 63 FR 35530, June 30, 1998]



Sec. 144.01-25  Ring life buoys.

    (a) Each manned platform must have at least four approved ring life 
buoys constructed in accordance with 46 CFR Subpart 160.050; except ring 
life buoys approved under former 46 CFR Subpart 160.009 may be used as 
long as they are in good and serviceable condition. One ring life buoy 
must be placed on a suitable rack on each side of a manned platform in 
an accessible place. The ring life buoy must always be capable of being 
cast loose and may not be permanently secured in any way.
    (b) Each ring life buoy must have a water light of an approved 
automatic electric type constructed in accordance with 46 CFR Subpart 
161.010. A water light constructed in accordance with former 46 CFR 
Subpart 161.001 that was installed before January 1, 1972 may be 
retained in an existing installation as long as it is maintained in good 
condition. The water light must be attached to the ring life buoy by a 
12-thread manila or equivalent synthetic lanyard not less than 1 meter 
(3 feet) nor more than 2 meters (6 feet) in length. The water light must 
be mounted on a bracket near the ring life buoy so that when the ring 
life buoy is cast loose, the water light will pull free of the bracket.

[CGFR 56-4, 21 FR 903, Feb. 9, 1956, as amended by CGD 79-165b, 45 FR 
65208, Oct. 2, 1980; CGD 80-155b. 47 FR 10533, Mar. 11, 1982]



Sec. 144.01-30  First-aid kit.

    On each manned platform a first-aid kit approved by the Commandant 
or the U.S. Bureau of Mines shall be provided and kept in the custody of 
the person in charge.

[CGFR 56-4, 21 FR 903, Feb. 9, 1956, as amended by CGD 73-177R, 40 FR 
8176, Feb. 26, 1975]



Sec. 144.01-35  Litter.

    On each manned platform a Stokes litter, or other suitable safety 
litter capable of being safely hoisted with an

[[Page 152]]

injured person, shall be provided and kept in an accessible place.

[CGFR 68-154, 33 FR 18626, Dec. 17, 1968]



Sec. 144.01-40  Emergency communications equipment.

    On manned platforms means of communication by radio and/or wire 
telephone shall be provided for contacting the shore or vessels in the 
vicinity for aid in the event of an emergency.

[CGFR 56-4, 21 FR 903, Feb. 9, 1956]



                   Subpart 144.10--Unmanned Platforms



Sec. 144.10-1  Lifesaving equipment.

    (a) Except as allowed in paragraph (b) of this section, no person 
may be on an unmanned platform unless the following lifesaving equipment 
is readily accessible on the platform:
    (1) A life preserver or a Type I--Personal flotation device, listed 
in Table 1, for each person.

  Table 1--Life Preservers and Equivalent Performance Flotation Devices
------------------------------------------------------------------------
                                              Equivalent to performance
              Devices marked                         type marked
------------------------------------------------------------------------
160.002 Life preserver....................  Type I--Personal flotation
                                             device.
160.003 Life preserver....................  Type I--Personal flotation
                                             device.
160.004 Life preserver....................  Type I--Personal flotation
                                             device.
160.005 Life preserver....................  Type I--Personal flotation
                                             device.
160.055 Life preserver....................  Type I--Personal flotation
                                             device.
------------------------------------------------------------------------

    (2) An approved ring life buoy (Type IV PFD) for every two persons, 
but no more than four devices are required. Each ring life buoy must be 
of a type constructed in accordance with 46 CFR subpart 160.050; except 
a ring life buoy that was approved under former 46 CFR subpart 160.009 
may be used as long as it is in good and serviceable condition.
    (3) Each ring life buoy under paragraph (a)(2) of this section must 
have an approved automatic electric water light that is attached as 
described in Sec. 144.01-25(b).
    (b) The ring life buoys required in paragraph (a)(2) of this section 
may be kept on a manned vessel that remains alongside the platform if 
there is no available space to keep them on the platform.

[CGD 73-177R, 40 FR 8176, Feb. 26, 1975, as amended by CGD 80-155b, 47 
FR 10533, Mar. 11, 1982]



Sec. 144.10-10  Other lifesaving equipment.

    Any lifesaving equipment on an unmanned platform that is not 
required in Sec. 144.10-1 must meet the standards contained in Subpart 
144.01 of this part.

[CGD 73-177R, 40 FR 8176, Feb. 26, 1975]



      Subpart 144.20--Requirements for U.S. and Undocumented MODU's

    Authority: Sec. 4, 67 Stat. 462 (43 U.S.C. 1333) as amended; 49 CFR 
1.46(z).



Sec. 144.20-1  Applicability.

    This subpart applies to each MODU operating on the OCS that is not 
inspected under 46 CFR subchapter I-A.

[CGD 82-075b, 49 FR 4377, Feb. 6, 1984]



Sec. 144.20-5  Exposure suits.

    This section applies to each MODU except those operating south of 32 
degrees North latitude in the Atlantic Ocean or south of 35 degrees 
North latitude in all other waters.
    (a) Each MODU must carry an exposure suit for each person on board. 
The exposure suit must be stowed in a readily accessible location in or 
near the berthing area of the person for whom the exposure suit is 
provided.
    (b) In addition to the exposure suits required by paragraph (a) of 
this section, each watch station and work station must have enough 
exposure suits to equal the number of persons normally on watch in, or 
assigned to, the station at one time. However, an exposure suit need not 
be provided at a watch or work station for a person whose cabin, 
stateroom, or berthing area (and the exposure suits stowed in that 
location) is readily accessible to the station.
    (c) Each exposure suit on a MODU must be of a type approved under 46 
CFR 160.171.
    (d) Each exposure suit must have a personal flotation device light 
that is approved under 46 CFR 161.012. Each

[[Page 153]]

light must be securely attached to the front shoulder area of the 
exposure suit.
    (e) Each exposure suit on a MODU must be provided with a whistle of 
the ball type or multi-tone type, of corrosion resistant construction, 
and in good working order. The whistle must be attached to the exposure 
suit by a lanyard without hooks, snaps, clips, etc., that is long enough 
to permit the whistle to reach the mouth of the wearer. If the lanyard 
allows the whistle to hang below the waist of the wearer, the whistle 
must be stowed in a pocket on the exposure suit, or with the lanyard 
coiled and stopped off.
    (f) No stowage container for exposure suits may be capable of being 
locked.

[CGD 82-075b, 49 FR 4377, Feb. 6, 1984, as amended by CGD 84-090, 50 FR 
3904, Jan. 29, 1985; USCG-2000-7223, 65 FR 40057, June 29, 2000]



             Subpart 144.30--Requirements for Foreign MODU's

    Authority: Sec. 4, 67 Stat. 462 (43 U.S.C. 1333) as amended; 49 CFR 
1.46(z).



Sec. 144.30-1  Applicability.

    This subpart applies to each MODU engaged in OCS activities that is 
documented under the laws of a foreign nation.

[CGD 82-075b, 49 FR 4377, Feb. 6, 1984]



144.30-5  Exposure suits.

    Each foreign MODU must meet the requirements of Sec. 144.20-5 of 
this chapter, except as follows:
    (a) Exposure suits (immersion suits, survival suits, etc.) approved 
by the nation under which the MODU is documented may be used in lieu of 
suits approved under 46 CFR 160.071, provided that they are accepted by 
the Commandant as providing equivalent thermal protection to the wearer. 
(Requests for acceptance of such suits should be sent to Commandant, 
U.S. Coast Guard, (G-MSE), Washington, DC 20593-0001, along with 
technical data supporting the thermal performance of the suits.)
    (b) Personal flotation device lights approved by the nation under 
which the MODU is documented may be used in lieu of lights approved 
under 46 CFR 161.012.

[CGD 82-075b, 49 FR 4377, Feb. 6, 1984, as amended by CGD 88-052, 53 FR 
25121, July 1, 1988; CGD 96-026, 61 FR 33665, June 28, 1996]



PART 145--FIRE-FIGHTING EQUIPMENT--Table of Contents




Sec.
145.01  Portable and semi-portable fire extinguishers.
145.05  Classification of fire extinguishers.
145.10  Locations and number of fire extinguishers required.

    Authority: Sec. 633, 63 Stat. 545; sec. 4, 67 Stat. 462; 14 U.S.C. 
633; 43 U.S.C. 1333.



Sec. 145.01  Portable and semi-portable fire extinguishers.

    On all manned platforms and on all unmanned platforms where crews 
are continuously working on a 24-hour basis, approved type portable fire 
extinguishers and/or approved type semi-portable fire extinguishers 
shall be installed and maintained. On all unmanned platforms where crews 
are not continuously working on a 24-hour basis, approved type portable 
fire extinguishers and/or approved type semi-portable fire extinguishers 
are required to be installed and maintained only when crews are working 
thereon.

[CGFR 56-4, 21 FR 903, Feb. 9, 1956]



Sec. 145.05  Classification of fire extinguishers.

    (a) Portable and semi-portable extinguishers shall be classified by 
a combination letter and number symbol. The letter indicating the type 
of fire which the unit could be expected to extinguish, and the number 
indicating the relative size of the unit.
    (b) The types of fire will be designated as follows:
    (1) ``A'' for fires in ordinary combustible materials where the 
quenching and cooling effects of quantities of water, or solutions 
containing large percentages of water, are of first importance.
    (2) ``B'' for fires in flammable liquids, greases, etc., where a 
blanketing effect is essential.

[[Page 154]]

    (3) ``C'' for fires in electrical equipment where the use of a non-
conducting extinguishing agent is of first importance.
    (c) The number designations for size will start with ``I'' for the 
smallest to ``V'' for the largest. Sizes I and II are considered 
portable extinguishers. Sizes III, IV and V are considered semi-portable 
extinguishers which shall be fitted with suitable hose and nozzle or 
other practicable means so that all portions of the space concerned may 
be covered. Examples of size graduations for some of the typical 
portable and semi-portable extinguishers are set forth in Table 
145.05(c).

                            Table 145.05(c)--Portable and Semiportable Extinguishers
----------------------------------------------------------------------------------------------------------------
                              Classification                                Soda-
--------------------------------------------------------------------------   acid             Carbon      Dry
                                                                             and     Foam,   dioxide,  chemical,
                   Type                                  Size               water,  gallons   pounds     pounds
                                                                           gallons
----------------------------------------------------------------------------------------------------------------
A.........................................  II...........................   2\1/2\   2\1/2\  ........  .........
B.........................................  II...........................  .......   2\1/2\        15        10
C.........................................  II...........................  .......  .......        15        10
B.........................................  V............................  .......       40       100        50
----------------------------------------------------------------------------------------------------------------

    (d) All portable and semi-portable extinguishers shall have 
permanently attached thereto a durable name plate giving the name of the 
item, the rated capacity in gallons or pounds, the name and address of 
the person or firm for whom approved, and the identifying mark of the 
actual manufacturer.

[CGFR 56-4, 21 FR 903, Feb. 9, 1956, as amended by CGFR 58-28, 23 FR 
6880, Sept. 6, 1958]



Sec. 145.10  Locations and number of fire extinguishers required.

    (a) Approved portable and semi-portable extinguishers shall be 
installed in accordance with Table 145.10(a).
    (b) Semi-portable extinguishers shall be located in the open so as 
to be readily seen.

                            Table 145.10(a)--Portable and Semi-Portable Extinguishers
----------------------------------------------------------------------------------------------------------------
                  Space                           Classification                  Quantity and location
----------------------------------------------------------------------------------------------------------------
               safety areas
 
Communicating corridors..................  A-II........................  1 in each main corridor not more than
                                                                          150 feet apart. (May be located in
                                                                          stairways.)
Radio room...............................  C-II........................  1 in vicinity of exit.
 
              accommodations
 
Sleeping accommodations..................  A-II........................  1 in each sleeping accommodation space.
                                                                          (Where occupied by more than 4
                                                                          persons.)
 
             services spaces
 
Galleys..................................  B-II or C-II................  1 for each 2,500 square feet or
                                                                          fraction thereof for hazards involved.
Storerooms...............................  A-II........................  1 for each 2,500 square feet or
                                                                          fraction thereof located in vicinity
                                                                          of exits, either inside or outside of
                                                                          spaces.
 
             machinery spaces
 
Gas-fired boilers........................  B-II (CO2 or dry chemical)..  2 required.
Gas-fired boilers........................  B-V.........................  1 required.\1\
Oil-fired boilers........................  B-II........................  2 required.
Oil-fired boilers........................  B-V.........................  2 required.\1\
Internal combustion or gas turbine         B-II........................  1 for each engine.\2\
 engines.
Electric motors or generators of open      C-II........................  1 for each 2 motors or generators.\3\
 type.
----------------------------------------------------------------------------------------------------------------
\1\ Not required where a fixed carbon dioxide system is installed.
\2\ When installation is on weather deck or open to atmosphere at all times 1 B-II for each three engines is
  allowable.
\3\ Small electrical appliances, such as fans, etc., shall not be counted or used as basis for determining
  number of extinguishers required.

[CGFR 56-4, 21 FR 903, Feb. 9, 1956]

[[Page 155]]



PART 146--OPERATIONS--Table of Contents




                        Subpart A--OCS Facilities

Sec.
146.1  Applicability.
146.5  Person in charge.
146.10  Notice of new facilities.
146.15  Maintenance of emergency equipment.
146.20  Work vests.
146.30  Notice of casualties.
146.35  Written report of casualty.
146.40  Diving casualties.
146.45  Pollution incidents.

                    Subpart B--Manned OCS Facilities

146.101  Applicability.
146.105  General alarm system.
146.110  Emergency signals.
146.115  Duties of personnel during an emergency.
146.120  Manning of survival craft.
146.125  Emergency drills.
146.130  Station bill.
146.135  Markings for emergency equipment.
146.140  Emergency Evacuation Plan.

                Subpart C--Mobile Offshore Drilling Units

146.201  Applicability.
146.202  Notice of arrival or relocation of MODUs on the OCS.
146.203  Requirements for U.S. and undocumented MODUs.
146.205  Requirements for foreign MODUs.
146.210  Emergency Evacuation Plan.

                           Subpart D--Vessels

146.301  Applicability.
146.303  Notice and written report of casualties.

    Authority: 43 U.S.C. 1333(d)(1), 1348(c), 1356; 49 CFR 1.46.

    Source: CGD 78-160, 47 FR 9383, Mar. 4, 1982, unless otherwise 
noted.



                        Subpart A--OCS Facilities



Sec. 146.1  Applicability.

    The provisions of this subpart apply to OCS facilities except mobile 
offshore drilling units.



Sec. 146.5  Person in charge.

    (a) The owner or operator, or the agent of either of them, shall 
designate by title and in order of succession the persons on each OCS 
facility who shall be the ``person in charge.''
    (b) In case an emergency arises, nothing in the regulations in this 
subchapter shall be so construed as preventing the person in charge from 
pursuing the most effective action in that person's judgement for 
rectifying the conditions causing the emergency.



Sec. 146.10  Notice of new facilities.

    (a) The owner or operator of each OCS facility not in operation 
before April 5, 1982 shall, at least 30 days before the date on-site 
construction of the facility is expected to commence, notify the 
District Commander for the area in which the facility will be located 
of:
    (1) The position in which the facility will be operated;
    (2) The designation assigned to the facility for identification 
under 30 CFR 250.37;
    (3) The date when operation of the facility is expected to commence; 
and
    (4) The date when the facility is expected to be available for 
inspection by the Coast Guard.
    (b) The information required in paragraph (a) of this section may be 
submitted together with an need not repeat information submitted in 
connection with the application and notice requirements in 33 CFR Part 
67 for aids to navigation on the Outer Continental Shelf.



Sec. 146.15  Maintenance of emergency equipment.

    (a) The emergency equipment provided, regardless of whether or not 
required by this subchapter, shall be maintained in good condition at 
all times. Good operating practices require replacement of expended 
equipment, as well as periodic renewal of those items which have a 
limited period of effectiveness.
    (b) Each personal flotation device light that has a non-replaceable 
power source must be replaced on or before the expiration date of the 
power source.
    (c) Each replaceable power source for a personal flotation device 
light must be replaced on or before its expiration date and the light 
must be replaced when it is no longer serviceable.



Sec. 146.20  Work vests.

    (a) Types of approved work vests. Each buoyant work vest carried 
under the

[[Page 156]]

permissive authority of this section must be approved under--
    (1) 46 CFR 160.053; or
    (2) 46 CFR 160.077 as a commercial hybrid PFD.
    (b) Use. Approved buoyant work vests are considered to be items of 
safety apparel and may be carried aboard OCS facilities to be worn by 
persons employed thereon when working near or over the water. The use 
and control of such vests shall be under the supervision of the person 
in charge of the facility. When carried, such vests shall not be 
accepted in lieu of any portion of the required number of approved life 
preservers and shall not be substituted for the approved life preservers 
required to be worn during drills and emergencies.
    (c) Stowage. The work vests shall be stowed separately from the 
regular stowage of approved life preservers. The location for the 
stowage of work vests shall be such as not to be easily confused with 
that for approved life preservers.
    (d) Inspections. Each work vest shall be subject to examination by a 
marine inspector to determine its serviceability. If found to be 
satisfactory, it may be continued in service, but shall not be stamped 
by a marine inspector with a Coast Guard stamp. If a work vest is found 
not to be in a serviceable condition, then such work vest shall be 
removed from the OCS facility. If a work vest is beyond repair, it shall 
be destroyed or mutilated in the presence of a marine inspector so as to 
prevent its continued use as a work vest.
    (e) Additional requirements for hybrid work vests. Commercial hybrid 
PFD's must, in addition to the other requirements in this section, be--
    (1) Used, stowed, and maintained in accordance with--
    (i) The procedures set out in the manual required for these devices 
by 46 CFR 160.077-29; and
    (ii) Any limitation(s) marked on them; and
    (2) Of the same or similar design and have the same method of 
operation as each other hybrid PFD carried on board.

[CGD 78-160, 47 FR 9383, Mar. 4, 1982, as amended by CGD 78-174A, 51 FR 
4339, Feb. 4, 1986]



Sec. 146.30  Notice of casualties.

    (a) The owner, operator, and person in charge of an OCS facility 
shall ensure that the Coast Guard is notified as soon as possible after 
a casualty occurs, and by the most rapid means available, of each 
casualty involving the facility which results in:
    (1) Death; or
    (2) Injury to 5 or more persons in a single incident.
    (b) The owner, operator, and person in charge shall ensure that the 
Coast Guard is notified promptly of each casualty involving the facility 
which results in:
    (1) Damage affecting the usefulness of primary lifesaving or 
firefighting equipment;
    (2) Injury causing any person to be incapacitated for more than 72 
hours;
    (3) Damage to the facility exceeding $25,000 resulting from a 
collision by a vessel with the facility; or
    (4) Damage to a floating OCS facility exceeding $25,000.
    (c) The notice required by paragraphs (a) and (b) of this section 
must identify the person giving the notice and the facility involved and 
describe, insofar as practicable, the nature of the casualty and the 
extent of injury to personnel and damage to property.
    (d) Damage costs referred to in paragraphs (b)(3) and (b)(4) of this 
section include the cost of labor and material to restore the facility 
to the service condition which existed prior to the casualty, but does 
not include the cost of salvage, cleaning, gas freeing, drydocking or 
demurrage of the facility.

(Approved by the Office of Management and Budget under OMB control 
numbers 2115-0003 and 2115-0004)

[CGD 78-160, 47 FR 9383, Mar. 4, 1982, as amended by CGD 82-069, 50 FR 
14216, Apr. 11, 1985]



Sec. 146.35  Written report of casualty.

    (a) In addition to the notice of a casualty required by Sec. 146.30, 
the owner, operator, or person in charge shall, within 10 days of the 
casualty, submit to the Officer in Charge, Marine Inspection, a written 
report which:
    (1) Identifies the facility involved, its owner, operator, and 
person in charge;

[[Page 157]]

    (2) Describes the casualty, including the date and time;
    (3) Describes the nature and extent of injury to personnel and 
damage to property;
    (4) Describes the factors which may have contributed to causing the 
casualty;
    (5) Gives the name, address, and phone number of persons involved in 
or witnessing the casualty; and
    (6) Gives any desired comments, especially with respect to use of or 
need for emergency equipment.
    (7) Includes information relating to alcohol or drug involvement as 
specified in the vessel casualty reporting requirements of 46 CFR 4.05-
12.
    (b) The written report required by paragraph (a) of this section may 
be--
    (1) In narrative form if all appropriate parts of Form CG-2692 are 
addressed;
    (2) On Form CG-2692 for casualties resulting in property damage, 
personnel injury, or loss of life.
    (c) If filed or postmarked within 5 days of the casualty, the 
written report required by paragraph (a) of this section serves as the 
notice required by Sec. 146.30(b).

(Approved by the Office of Management and Budget under OMB control 
numbers 2115-0003 and 2115-0004)

[CGD 78-160, 47 FR 9383, Mar. 4, 1982, as amended by CGD 82-023a, 47 FR 
35741, Aug. 16, 1982; CGD 82-023a, 48 FR 43174, Sept. 22, 1983; CGD 84-
099, 52 FR 47533, Dec. 14, 1987]



Sec. 146.40  Diving casualties.

    Diving related casualties are reported in accordance with 46 CFR 
197.484 and 197.486.



Sec. 146.45  Pollution incidents.

    Oil pollution incidents involving an OCS facility are reported in 
accordance with Secs. 135.305 and 135.307 of this chapter. Additional 
provisions concerning liability and compensation because of oil 
pollution are contained in Subchapter M of this chapter.



                    Subpart B--Manned OCS Facilities



Sec. 146.101  Applicability.

    The provisions of this subpart apply only to manned OCS facilities 
except mobile offshore drilling units.



Sec. 146.105  General alarm system.

    Each manned facility must have a general alarm system. When 
operated, this system shall be audible in all parts of the structure on 
which provided.



Sec. 146.110  Emergency signals.

    (a) The owner, the owner's agent, or the person in charge shall 
establish emergency signals to be used for calling the personnel to 
their emergency stations.
    (b) The signal to man emergency stations shall be an intermittent 
signal on the general alarm system for not less than 10 seconds. The 
abandon facility signal shall be a continuous signal on the general 
alarm system.



Sec. 146.115  Duties of personnel during an emergency.

    (a) The owner, the owner's agent, or the person in charge shall 
assign to each person on a manned facility special duties and duty 
stations so that in event an emergency arises confusion will be 
minimized and no delay will occur with respect to the use or application 
of equipment required by this subchapter. The duties shall, as far as 
possible, be comparable with the regular work of the individual.
    (b) The duties shall be assigned as necessary for the proper 
handling of any emergency, and shall include the following:
    (1) The closing of air ports, watertight doors, scuppers, and 
sanitary and other discharges which lead through the facility's hull.
    (2) The stopping of fans and ventilation systems.
    (3) The donning of life preserves.
    (4) The preparation and launching of life floats, lifeboats, or life 
rafts.



Sec. 146.120  Manning of survival craft.

    The owner, the owner's agent, or the person in charge shall assign a 
person to each life float, lifeboat, life raft, or survival capsule who 
shall be responsible for launching it in event of an emergency.



Sec. 146.125  Emergency drills.

    (a) Emergency drills shall be conducted at least once each month by 
the

[[Page 158]]

person in charge of the manned facility. The drill shall be conducted as 
if an actual emergency existed. All personnel should report to their 
respective stations and be prepared to perform the duties assigned to 
them.
    (b) The person in charge and conducting the emergency drill shall 
instruct the personnel as necessary to insure that all persons are 
familiar with their duties and stations.
    (c) Emergency evacuation drills. The following emergency evacuation 
drills must be conducted:
    (1) At least once a year, all the elements of the Emergency 
Evacuation Plan (EEP) under Sec. 146.140 relating to the evacuation of 
personnel from the facility must be exercised through a drill or a 
series of drills. The drill(s) must exercise all of the means and 
procedures listed in the EEP for each circumstance and condition 
described in the EEP under Sec. 146.140(d)(9).
    (2) At least once a month, a drill must be conducted that 
demonstrates the ability of the facility's personnel to perform their 
duties and functions on the facility, as those duties and functions are 
described in the EEP. If a standby vessel is designated for that 
facility in the EEP, the vessel must be positioned as described in the 
EEP for an evacuation of that facility and the vessel's crew must 
demonstrate its ability to perform its duties and functions under the 
EEP.
    (d) The date and time of such drills shall be reported in writing by 
the person in charge at the time of the drill to the owner who shall 
maintain this report record for a year and furnish it upon request to 
the Coast Guard. After one year, such records may be destroyed. When it 
is impossible to conduct emergency drills as required by this section 
during a particular calendar month, during the following month, a 
written report by the owner shall be submitted to the Officer in Charge, 
Marine Inspection, stating why the drills could not be conducted.

(Approved by the Office of Management and Budget under OMB control 
number 2115-0071)

[CGD 78-160, 47 FR 9383, Mar. 4, 1982, as amended by CGD 84-098b, 54 FR 
21572, May 18, 1989]



Sec. 146.130  Station bill.

    (a) The person in charge of each manned platform shall be 
responsible for and have prepared a station bill (muster list). This 
station bill must be signed by the person in charge. Copies shall be 
duly posted in conspicuous locations on the manned platform.
    (b) The station bill shall set forth the special duties and duty 
stations of each member of the personnel for any emergency which 
involves the use or application of equipment required by this 
subchapter. In addition, it shall contain all other duties assigned and 
considered as necessary for the proper handling of other emergencies.
    (c) The station bill shall contain the various signals to be used 
for calling the personnel to their emergency stations, and to abandon 
the facility.

(Approved by the Office of Management and Budget under OMB control 
number 2115-0542)

[CGD 78-160, 47 FR 9383, Mar. 4, 1982, as amended by CGD 86-011, 51 FR 
5712, Feb. 18, 1986]



Sec. 146.135  Markings for emergency equipment.

    (a) Markings shall be provided as considered necessary for the 
guidance of persons on manned facilities.
    (b) The general alarm bell switches shall be identified by red 
letters at least one inch high with a contrasting background: ``General 
Alarm.''
    (c) All general alarm bells shall be identified by a sign at each 
bell in red letters at least one inch high with a sharp contrasting 
background: ``General Alarm--When Bell Rings Go to Your Station.
    (d) All life floats, lifeboats, life rafts, and survival capsules, 
together with paddles or oars, shall be conspicuously marked with a name 
or number of, or other inscription identifying, the facility on which 
placed. The number of persons allowed on each life float, lifeboat, or 
life raft shall be conspicuously marked thereon in letters and numbers 
1\1/2\ inches high. These numbers shall be placed on both sides of the 
life float, lifeboat, or life raft. Inflatable life rafts shall be 
marked in accordance with Subpart 160.051 of 46 CFR Part 160 and no 
additional markings are required.

[[Page 159]]

    (e) All life preservers and ring life buoys shall be marked with the 
name or number of, or other inscription identifying, the facility on 
which placed except those which accompany mobile crews to unmanned 
platforms may be marked with the operator's name and field designation.



Sec. 146.140  Emergency Evacuation Plan.

    (a) The operator of each manned OCS facility shall develop an 
Emergency Evacuation Plan (EEP) for the facility which addresses all of 
the items listed in paragraph (d) of this section. The EEP may apply to 
more than one facility, if the facilities are located in the same 
general geographic location and within the same Coast Guard Officer in 
Charge, Marine Inspection (OCMI) zone; if each facility covered by the 
EEP is specifically identified in the EEP; and if the evacuation needs 
of each facility are accommodated. The EEP must be submitted to the OCMI 
having jurisdiction over the facility, 30 days before placing the 
facility in operation. The OCMI reviews the EEP to determine whether all 
items listed in paragraph (d) of this section are addressed for each 
facility included in the EEP. If the OCMI determines that all items in 
paragraph (d) of this section are addressed, the OCMI stamps the EEP 
``APPROVED'' and returns it, together with a letter indicating Coast 
Guard approval, to the operator. If the OCMI determines that any item is 
not addressed, the OCMI stamps the EEP ``RETURNED FOR REVISION'' and 
returns the EEP, together with an explanation of the EEP's deficiencies, 
to the operator.
    (b) Once the EEP is approved under paragraph (a) of this section, 
the facility operator shall ensure that a copy of the EEP and the letter 
indicating Coast Guard approval is maintained on the facility.
    (c) The EEP must be resubmitted for approval when substantive 
changes are made to the EEP. Only the pages affected by a change need be 
resubmitted if the EEP is bound in such a way as to allow old pages to 
be removed easily and new ones inserted. Substantive changes include, 
but are not limited to, installation of a new facility within the area 
covered by an EEP, relocation of a MODU, changes in the means or methods 
of evacuation, or changes in the time required to accomplish evacuation.
    (d) The EEP must, at a minimum,
    (1) Be written in language that is easily understood by the 
facility's operating personnel;
    (2) Have a table of contents and general index;
    (3) Have a record of changes;
    (4) List the name, telephone number, and function of each person to 
be contacted under the EEP and state the circumstances in which that 
person should be contacted;
    (5) List the facility's communications equipment, its available 
frequencies, and the communications schedules with shore installations, 
standby vessels, rescue aircraft, and other OCS facilities specified in 
the EEP;
    (6) Identify the primary source of weather forecasting relied upon 
in implementing the EEP and state the frequency of reports when normal 
weather is forecasted, the frequency of reports when heavy weather is 
forecasted, and the method of transmitting the reports to the facility;
    (7) Designate the individual on each facility covered by the EEP who 
is assigned primary responsibility for implementing the EEP;
    (8) Designate those facility and shoreside support personnel who 
have the authority to advise the person in charge of the facility as to 
the best course of action to be taken and who initiate actions to assist 
facility personnel;
    (9) Describe the recognized circumstances, such as fires or 
blowouts, and environmental conditions, such as approaching hurricanes 
or ice floes, in which the facility or its personnel would be placed in 
jeopardy and a mass evacuation of the facility's personnel would be 
recommended;
    (10) For each of the circumstances and conditions described under 
paragraph (d)(9) of this section, list the pre-evacuation steps for 
securing operations, whether drilling or production, including the time 
estimates for completion and the personnel required;

[[Page 160]]

    (11) For each of the circumstances and conditions described under 
paragraph (d)(9) of this section, describe the order in which personnel 
would be evacuated, the transportation resources to be used in the 
evacuation, the operational limitations for each mode of transportation 
specified, and the time and distance factors for initiating the 
evacuation; and
    (12) For each of the circumstances and conditions described under 
paragraph (d)(9) of this section, identify the means and procedures--
    (i) For retrieving persons from the water during an evacuation;
    (ii) For transferring persons from the facility to designated 
standby vessels, lifeboats, or other types of evacuation craft;
    (iii) For retrieving persons from designated standby vessels, 
lifeboats, or other types of evacuation craft if used; and
    (iv) For the ultimate evacuation of all persons on the facility to 
land, another facility, or other location where the evacuees would be 
reasonably out of danger under the circumstance or condition being 
addressed.
    (e) The operator shall ensure that--
    (1) All equipment specified in the EEP, whether the equipment is 
located on or off of the facility, is made available and located as 
indicated in the EEP and is designed and maintained so as to be capable 
of performing its intended function during an emergency evacuation;
    (2) All personnel specified in the EEP are available and located as 
specified in the EEP and are trained in fulfilling their role under the 
EEP; and
    (3) Drills are conducted in accordance with Sec. 146.125(c).
    (f) A complete copy of the EEP must be made available to the 
facility's operating personnel and a brief written summary of, or an 
oral briefing on, the EEP must be given to each person newly reporting 
on the facility.
    (g) A copy of the EEP must be on board each standby vessel, if any, 
designated in the EEP and provided to all shoreside support personnel, 
if any, specified in the EEP.

[CGD 84-098b, 54 FR 21572, May 18, 1989, as amended by USCG-1998-3799, 
63 FR 35530, June 30, 1998]



                Subpart C--Mobile Offshore Drilling Units



Sec. 146.201  Applicability.

    This subpart applies to mobile offshore drilling units engaged in 
OCS activities.



Sec. 146.202  Notice of arrival or relocation of MODUs on the OCS.

    (a) The owner of any mobile offshore drilling unit engaged in OCS 
activities shall, 14 days before arrival of the unit on the OCS or as 
soon thereafter as practicable, notify the District Commander for the 
area in which the unit will operate of:
    (1) The unit's name, nationality, and designation assigned for 
identification under 30 CFR 250.37;
    (2) The location and year that the unit was built;
    (3) The name and address of the owner, and the owner's local 
representative, if any;
    (4) Classification or inspection certificates currently held by the 
unit;
    (5) The location and date that operations are expected to commence 
and their anticipated duration; and
    (6) The location and date that the unit will be available and ready 
for inspection by the Coast Guard.
    (b) Once a unit is located on the OCS, the owner of the unit shall 
notify the District Commander before relocating the unit.
    (c) The information required in paragraphs (a) and (b) of this 
section may be provided by telephone or may be submitted together with, 
and need not repeat information contained in, applications and notices 
under 33 CFR part 67 for aids to navigation on the Outer Continental 
Shelf or 33 CFR part 135 for applications for certificate of financial 
responsibility.



Sec. 146.203  Requirements for U.S. and undocumented MODUs.

    Each mobile offshore drilling unit documented under the laws of the 
United States and each mobile offshore drilling unit that is not 
documented under the laws of any nation must comply with the operating 
standards of 46 CFR part 109 when engaged in OCS activities.

[[Page 161]]



Sec. 146.205  Requirements for foreign MODUs.

    Each mobile offshore drilling unit that is documented under the laws 
of a foreign nation must, when engaged in OCS activities, comply with 
one of the following:
    (a) The operating standards of 46 CFR part 109.
    (b) The operating standards of the documenting nation if the 
standards provide a level of safety generally equivalent to or greater 
than that provided under 46 CFR part 109.
    (c) The operating standards for mobile offshore drilling units 
contained in the International Maritime Organization (IMO, formerly 
Inter-Governmental Maritime Consultative Organization or IMCO) (IMO) 
Code for the Construction and Equipment of Mobile Offshore Drilling 
Units (IMO Assembly Resolution A. 414(XI)) which has been incorporated 
by reference and the requirements of 46 CFR Part 109 for matters not 
addressed by the Code.



Sec. 146.210  Emergency Evacuation Plan.

    (a) Except as otherwise provided in this section, the requirements 
applicable to Emergency Evacuation Plans (EEPs) on manned OCS facilities 
under Sec. 146.140 are applicable to MODUs.
    (b) An EEP must be submitted by--
    (1) The holder of a lease or permit under the Act for each MODU 
within the area of the lease or the area covered by the permit; or
    (2) The operator under 30 CFR 250.2(gg), if other than the holder of 
a lease or permit, for each MODU within the area in which the operator 
controls or manages operations.
    (c) To avoid unnecessary duplication, the EEP may incorporate by 
reference pertinent sections of the MODU's operating manual required by 
46 CFR 109.121.
    (d) In complying with Sec. 146.140(d)(7), the EEP must designate the 
master or person in charge of the MODU under 46 CFR 109.107 as the 
individual who is assigned primary responsibility for implementing the 
EEP, as it relates to that MODU.

[CGD 84-098b, 54 FR 21573, May 18, 1989]



                           Subpart D--Vessels



Sec. 146.301  Applicability.

    This subpart applies to vessels engaged in OCS activities other than 
United States vessels already required to report marine casualties under 
Subpart 4.05 of 46 CFR part 4 or subpart D of 46 CFR part 109.



Sec. 146.303  Notice and written report of casualties.

    The owner, operator, or person in charge of a vessel engaged in OCS 
activities shall ensure that the notice of casualty requirements of 
Sec. 146.30 and the written report requirements of Sec. 146.35 are 
complied with whenever a casualty involving the vessel occurs which 
results in:
    (a) Death;
    (b) Injury to 5 or more persons in a single incident; or
    (c) Injury causing any person to be incapacitated for more than 72 
hours.

(Approved by the Office of Management and Budget under OMB control 
numbers 2115-0003 and 2115-0004)



PART 147--SAFETY ZONES--Table of Contents




Sec.
147.1  Purpose of safety zones.
147.5  Delegation of authority.
147.10  Establishment of safety zones.
147.15  Extent of safety zones.
147.20  Definitions.
147.801  Boxer Platform safety zone.
147.803  Bullwinkle Platform safety zone.
147.805  Ursa Tension Leg Platform safety zone.
147.807  West Delta 143 Platform safety zone.
147.809  Mars Tension Leg Platform safety zone.
147.811  Ram-Powell Tension Leg Platform safety zone.
147.813  Auger Tension Leg Platform safety zone.
147.1102  Platform GRACE safety zone.
147.1103  Platform GINA safety zone.
147.1104  Platform ELLEN & ELLY safety zone.
147.1105  Platform HONDO safety zone.
147.1106  Exxon Santa Ynez offshore storage and treatment vessel mooring 
          safety zone.
147.1107  Platform GILDA safety zone.
147.1108  Platform EDITH safety zone.
147.1109  Platform HERMOSA safety zone.
147.1110  Platform HARVEST safety zone.
147.1111  Platform EUREKA safety zone.
147.1112  Platform HIDALGO safety zone.

[[Page 162]]

147.1113  Platform GAIL safety zone.
147.1114  Platform HARMONY safety zone.
147.1115  Platform HERITAGE safety zone.
147.1116  Platform IRENE safety zone.

    Authority: 14 U.S.C. 85; 43 U.S.C. 1333; 49 CFR 1.46.

    Source: CGD 78-160, 47 FR 9386, Mar. 4, 1982, unless otherwise 
noted.



Sec. 147.1  Purpose of safety zones.

    Safety zones may be established around OCS facilities being 
constructed, maintained, or operated on the Outer Continental Shelf to 
promote the safety of life and property on the facilities, their 
appurtenances and attending vessels, and on the adjacent waters within 
the safety zones. Regulations adopted for safety zones may extend to the 
prevention or control of specific activities and access by vessels or 
persons, and include measures to protect the living resources of the sea 
from harmful agents. The regulations do not encompass the operating 
equipment or procedures used in the drilling for and production of oil, 
gas, or other minerals, or the transportation of oil, gas, or other 
minerals by pipeline except as they relate to the safety of life and 
property on OCS facilities and on the waters adjacent to OCS facilities 
or to the protection of the living resources of the sea within a safety 
zone from harmful agents.



Sec. 147.5  Delegation of authority.

    The authority to establish safety zones and to issue and enforce 
safety zone regulations in accordance with the provisions of this part 
is delegated to District Commanders.



Sec. 147.10  Establishment of safety zones.

    (a) Whenever it comes to the attention of the District Commander 
that a safety zone and regulations may be required concerning any OCS 
facility being constructed, maintained, or operated on the Outer 
Continental Shelf or its appurtenances and attending vessels, or the 
adjacent waters, the District Commander may initiate appropriate inquiry 
to determine whether a safety zone and regulations should be 
established. In making this determination, the District Commander 
considers all relevant safety factors, including existing or reasonably 
foreseeable congestion of vessels, the presence of unusually harmful or 
hazardous substances, and any obstructions within 500 meters of the OCS 
facility. If the District Commander determines that the circumstances 
warrant the establishment of a safety zone and regulations the District 
Commander takes action as necessary consistent with the provisions of 
this part.
    (b) Except as provided in paragraph (c) of this section, a safety 
zone and necessary regulations may be established concerning any OCS 
facility being constructed, maintained or operated on the Outer 
Continental Shelf, following publication of a notice of proposed rule 
making in the Federal Register and after interested parties have been 
given the opportunity to submit comments. A zone and necessary 
regulations may be in effect during any period when construction 
equipment and materials are within 500 meters of the construction site 
until the removal of all portions of the facility.
    (c) A safety zone and necessary regulations may be established 
without public rule making procedures when the District Commander 
determined that imminent danger exists with respect to the safety of 
life and property on an OCS facility constructed, maintained, or 
operated on the Outer Continental Shelf, its appurtenances and attending 
vessels or adjacent waters. A safety zone and regulations may be made 
effective on the date the rule is published in the Federal Register. 
However, if circumstances require, they may be placed into effect 
immediately, followed promptly by publication in the Federal Register. 
The District Commander may utilize, in addition to broadcast Notices to 
Mariners, Local Notices to Mariners, and Notices to Mariners, 
newspapers, and broadcasting stations to disseminate information 
concerning a safety zone and regulations pertaining thereto. The public 
may comment concerning the establishment of a safety zone or regulations 
under this paragraph. A safety zone or regulations may be modified or 
withdrawn, as appropriate, based on the comments received.
    (d) Geographic coordinates expressed in terms of latitude or 
longitude, or

[[Page 163]]

both, are not intended for plotting on maps or charts whose referenced 
horizontal datum is the North American Datum of 1983 (NAD 83), unless 
such geographic coordinates are expressly labeled NAD 83. Geographic 
coordinates without the NAD 83 reference may be plotted on maps or 
charts reference to NAD 83 only after application of the appropriate 
corrections that are published on the particular map or chart being 
used.

[CGD 78-160, 47 FR 9386, Mar. 4, 1982, as amended by CGD 86-082, 52 FR 
33811, Sept. 8, 1987]



Sec. 147.15  Extent of safety zones.

    A safety zone establishment under this part may extend to a maximum 
distance of 500 meters around the OCS facility measured from each point 
on its outer edge or from its construction site, but may not interfere 
with the use of recognized sea lanes essential to navigation.



Sec. 147.20  Definitions.

    Unless otherwise stated, the term ``attending vessel'' refers to any 
vessel which is operated by the owner or operator of an OCS facility 
located in the safety zone, which is used for the purpose of carrying 
supplies, equipment or personnel to or from the facility, which is 
engaged in construction, maintenance, alteration, or repair of the 
facility, or which is used for further exploration, production, transfer 
or storage of natural resources from the seabed beneath the safety zone.

[CGD 08-99-023, 65 FR 16825, Mar. 30, 2000]



Sec. 147.801  Boxer Platform safety zone.

    (a) Description. The Boxer Platform is located at position 
27 deg.56'48" N, 90 deg.59'48" W. The area within 500 meters (1640.4 
feet) from each point on the structure's outer edge, not to extend into 
the adjacent East--West Gulf of Mexico Fairway is a safety zone.
    (b) Regulation. No vessel may enter or remain in this safety zone 
except:
    (1) An attending vessel;
    (2) A vessel under 100 feet in length overall not engaged in towing; 
or
    (3) A vessel authorized by the Commander, Eighth Coast Guard 
District.

[CGD 08-99-023, 65 FR 16825, Mar. 30, 2000]



Sec. 147.803  Bullwinkle Platform safety zone.

    (a) Description. The Bullwinkle Platform is located at position 
27 deg.53'01" N, 90 deg.54'04" W. The area within 500 meters (1640.4 
feet) from each point on the structure's outer edge is a safety zone.
    (b) Regulation. No vessel may enter or remain in this safety zone 
except:
    (1) An attending vessel;
    (2) A vessel under 100 feet in length overall not engaged in towing; 
or
    (3) A vessel authorized by the Commander, Eighth Coast Guard 
District.

[CGD 08-99-023, 65 FR 16825, Mar. 30, 2000]



Sec. 147.805  Ursa Tension Leg Platform safety zone.

    (a) Description. The Ursa Tension Leg Platform (Ursa TLP) is located 
at position 28 deg.09'14.497" N, 89 deg.06'12.790" W. The area within 
500 meters (1640.4 feet) from each point on the structure's outer edge 
is a safety zone.
    (b) Regulation. No vessel may enter or remain in this safety zone 
except:
    (1) An attending vessel;
    (2) A vessel under 100 feet in length overall not engaged in towing; 
or
    (3) A vessel authorized by the Commander, Eighth Coast Guard 
District.

[CGD 08-99-023, 65 FR 16825, Mar. 30, 2000]



Sec. 147.807  West Delta 143 Platform safety zone.

    (a) Description. The West Delta 143 Platform is located at position 
28 deg.39'42" N, 89 deg.33'05" W. The area within 500 meters (1640.4 
feet) from each point on the structure's outer edge, not to extend into 
the adjacent Mississippi River Approach Fairway, is a safety zone.
    (b) Regulation. No vessel may enter or remain in this safety zone 
except: (1) An attending vessel;
    (2) A vessel under 100 feet in length overall not engaged in towing; 
or
    (3) A vessel authorized by the Commander, Eighth Coast Guard 
District.

[CGD 08-99-023, 65 FR 16825, Mar. 30, 2000]



Sec. 147.809  Mars Tension Leg Platform safety zone.

    (a) Description. The Mars Tension Leg Platform (Mars TLP) is located 
at position 28 deg.10'10.29" N, 89 deg.13'22.35" W with two supply boat 
mooring buoys at positions 28 deg.10'18.12" N, 89 deg.12'52.08" W

[[Page 164]]

(Northeast) and 28 deg.09'49.62" N, 89 deg.12'57.48" W (Southeast). The 
area within 500 meters (1640.4 feet) from each point on the structure's 
outer edge and the area within 500 meters (1640.4 feet) of each of the 
supply boat mooring buoys is a safety zone.
    (b) Regulation. No vessel may enter or remain in this safety zone 
except:
    (1) An attending vessel;
    (2) A vessel under 100 feet in length overall not engaged in towing; 
or
    (3) A vessel authorized by the Commander, Eighth Coast Guard 
District.

[CGD 08-99-023, 65 FR 16825, Mar. 30, 2000]



Sec. 147.811  Ram-Powell Tension Leg Platform safety zone.

    (a) Description. The Ram-Powell Tension Leg Platform (Ram-Powell 
TLP) is located at position 29 deg.03'52.2" N, 88 deg.05'30" W with two 
supply boat mooring buoys at positions 29 deg.03'52.2" N, 
88 deg.05'12.6" W (Northeast) and 29 deg.03'28.2" N, 88 deg.05'10.2" W 
(Southeast). The area within 500 meters (1640.4 feet) from each point on 
the structure's outer edge and the area within 500 meters (1640.4 feet) 
of each of the supply boat mooring buoys is a safety zone.
    (b) Regulation. No vessel may enter or remain in this safety zone 
except:
    (1) An attending vessel;
    (2) A vessel under 100 feet in length overall not engaged in towing; 
or
    (3) A vessel authorized by the Commander, Eighth Coast Guard 
District.

[CGD 08-99-023, 65 FR 16825, Mar. 30, 2000]



Sec. 147.813  Auger Tension Leg Platform safety zone.

    (a) Description. The Auger Tension Leg Platform (Auger TLP) is 
located at position 27 deg.32'45.4" N, 92 deg.26'35.09" W with two 
supply boat mooring buoys at positions 27 deg.32'38.1" N, 
92 deg.26'04.8" W (East Buoy) and 27 deg.32'58.14" N, 92 deg.27'04.92" W 
(West Buoy). The area within 500 meters (1640.4 feet) from each point on 
the structure's outer edge and an area within 500 meters (1640.4 feet) 
of each of the supply boat mooring buoys is a safety zone.
    (b) Regulation. No vessel may enter or remain in this safety zone 
except:
    (1) an attending vessel;
    (2) A vessel under 100 feet in length overall not engaged in towing 
or fishing; or
    (3) A vessel authorized by the Commander, Eighth Coast Guard 
District.

[CGD 08-99-023, 65 FR 16825, Mar. 30, 2000]



Sec. 147.1102  Platform GRACE safety zone.

    (a) Description: The area within a line 500 meters from each point 
on the structure's outer edge. The position of the center of the 
structure is 34 deg.-10'-47"N, 119 deg.-28'-05"W.
    (b) Regulations: No vessel may enter or remain in this safety zone 
except the following: (1) An attending vessel, (2) a vessel under 100 
feet in length overall not engaged in towing, or (3) a vessel authorized 
by the Commander, Eleventh Coast Guard District.

[CCGD 11-79-02, 47 FR 39679, Sept. 9, 1982; 48 FR 33263, July 21, 1983]



Sec. 147.1103  Platform GINA safety zone.

    (a) Description: The area within a line 500 meters from each point 
on the structure's outer edge. The position of the center of the 
structure is 34 deg.-07'-02"N, 119 deg.-16'-35"W.
    (b) Regulations: No vessel may enter or remain in this safety zone 
except the following: (1) An attending vessel, (2) a vessel under 100 
feet in length overall not engaged in towing, or (3) a vessel authorized 
by the Commander, Eleventh Coast Guard District.

[CCGD 11-79-02, 47 FR 39679, Sept. 9, 1982; 48 FR 33263, July 21, 1983]



Sec. 147.1104  Platform ELLEN & ELLY safety zone.

    (a) Description: The areas within a line 500 meters from each point 
on the outer edge of each structure. The structures are approximately 
120 meters apart. The position of the center of each structure is: 
Platform Ellen, 33 deg.-34'-57"N, 118 deg.-07'-42"W; and Platform Elly, 
33 deg.-35'-00"N, 118 deg.-07'-40"W.
    (b) Regulations: No vessel may enter or remain in this safety zone 
except the following: (1) An attending vessel serving either structure, 
(2) a vessel

[[Page 165]]

under 100 feet in length overall not engaged in towing, or (3) a vessel 
authorized by the Commander, Eleventh Coast Guard District.

[CCGD 11-79-02, 47 FR 39679, Sept. 9, 1982; 48 FR 33263, July 21, 1983]



Sec. 147.1105  Platform HONDO safety zone.

    (a) Description: The area within a line 500 meters from each point 
on the structure's outer edge. The position of the center of the 
structure is 34 deg.-23'-27"N, 120 deg.-07'-14"W.
    (b) Regulations: No vessel may enter or remain in this safety zone 
except for the following: (1) An attending vessel, (2) a vessel under 
100 feet in length overall not engaged in towing, or (3) a vessel 
authorized by the Commander, Eleventh Coast Guard District.

[CCGD 11-79-02, 47 FR 39679, Sept. 9, 1982; 48 FR 33263, July 21, 1983]



Sec. 147.1106  Exxon Santa Ynez offshore storage and treatment vessel mooring safety zone.

    (a) Description: The area within a line 1108 meters for the center 
of the mooring. The position of the center of the mooring is 34 deg.-
24'-19"N 120 deg.-06'00"-W.
    (b) Regulations: No vessel may enter or remain in this safety zone 
except the following: (1) An attending vessel, (2) a vessel under 100 
feet in length overall not engaged in towing, or (3) a vessel authorized 
by the Commander, Eleventh Coast Guard District.

[CCGD 11-79-02, 47 FR 39679, Sept. 9, 1982; 48 FR 33263, July 21, 1983]



Sec. 147.1107  Platform GILDA safety zone.

    (a) Description: The area within a line 500 meters from each point 
on the structure's outer edge. The position of the center of the 
structure is 34 deg.-10'-56"N. 119 deg.-25'-07"W.
    (b) Regulations: No vessel may enter or remain in this safety zone 
except for the following: (1) An attending vessel, (2) a vessel under 
100 feet in length overall not engaged in towing, or (3) a vessel 
authorized by the Commander, Eleventh Coast Guard District.

[CCGD 11-79-02, 47 FR 39679, Sept. 9, 1982; 48 FR 33263, July 21, 1983]



Sec. 147.1108  Platform EDITH safety zone.

    (a) Description: The area within a line 500 meters from each point 
on the structure's outer edge. The position of the center of the 
structure is 33 deg.-35'-45"N. 118 deg.-08'-27"W.
    (b) Regulations: No vessel may enter or remain in this safety zone 
except for the following: (1) An attending vessel, (2) a vessel under 
100 feet in length overall not engaged in towing, or (3) a vessel 
authorized by the Commander, Eleventh Coast Guard District.

[CCGD 11-79-02, 47 FR 39679, Sept. 9, 1982; 48 FR 33263, July 21, 1983]



Sec. 147.1109  Platform HERMOSA safety zone.

    (a) Description: The area within a line 500 meters from each point 
on the structure's outer edge. The position of the center of the 
structure is 34-27-19 N, 120-38-47 W.
    (b) Regulations: No vessel may enter or remain in this safety zone 
except the following: (1) An attending vessel, (2) a vessel under 100 
feet in length overall not engaged in towing or (3) a vessel authorized 
by the Commander, Eleventh Coast Guard District.

[CGD 11-84-01, 49 FR 33015, Aug. 20, 1984]



Sec. 147.1110  Platform HARVEST safety zone.

    (a) Description: The area within a line 500 meters from each point 
on the structure's outer edge. The position of the center of the 
structure is 34-28-09.5N, 120-40-46.1W.
    (b) Regulations: No vessel may enter or remain in this safety zone 
except for the following: (1) An attending vessel, (2) a vessel under 
100 feet in length overall not engaged in towing or (3) a vessel 
authorized by the Commander, Eleventh Coast Guard District.

[CGD 11-84-01, 49 FR 33016, Aug. 20, 1984]



Sec. 147.1111  Platform EUREKA safety zone.

    (a) Description: The area within a line 500 meters from each point 
on the structure's outer edge. The position of the center of the 
structure is 33-33-50N, 118-07-00W.
    (b) Regulations: No vessel may enter or remain in this safety zone 
except

[[Page 166]]

the following: (1) An attending vessel, (2) a vessel under 100 feet in 
length overall not engaged in towing or (3) a vessel authorized by the 
Commander, Eleventh Coast Guard District.

[CGD 11-84-01, 49 FR 33016, Aug. 20, 1984]



Sec. 147.1112  Platform HIDALGO safety zone.

    (a) Description: The area within a line 500 meters from each point 
on the structure's outer edge. The position of the center of the 
structure is 34-29-42N, 120-42-08W.
    (b) Regulations: No vessel may enter or remain in this safety zone 
except the following: (1) An attending vessel, (2) a vessel under 100 
feet in length overall not engaged in towing or (3) a vessel authorized 
by the Commander, Eleventh Coast Guard District.

[CGD 11-84-01, 49 FR 33016, Aug. 20, 1984]



Sec. 147.1113  Platform GAIL safety zone.

    (a) Description: The area within a line 500 meters from each point 
on the structure's outer edge. The position of the center of the 
structure is 34 deg.-07,-30 N, 
119 deg.-24,-01 W.
    (b) Regulation: No vessel may enter or remain in this safety zone 
except the following: (1) An attending vessel, (2) a vessel under 100 
feet in length overall not engaged in towing, or (3) a vessel authorized 
by the Commander, Eleventh Coast Guard District.

[CGD11-87-06, 52 FR 9657, Mar. 26, 1987]



Sec. 147.1114  Platform HARMONY safety zone.

    (a) Description: The area within a line 500 meters from each point 
on the structure's outer edge. The position of the center of the 
structure is 34 deg.-22'-36" N, 120 deg.-10'-03" W.
    (b) Regulation: No vessel may enter or remain in this safety zone 
except the following: (1) an attending vessel; (2) a vessel under 100 
feet in length overall not engaged in towing; or (3) a vessel authorized 
by the Commander, Eleventh Coast Guard District.

[CGD11-92-01, 57 FR 9055, Mar. 16, 1992]



Sec. 147.1115  Platform HERITAGE safety zone.

    (a) Description: The area within a line 500 meters from each point 
on the structure's outer edge. The position of the center of the 
structure is 34 deg.-21'-01" N, 120 deg.-16'-45" W.
    (b) Regulation: No vessel may enter or remain in this safety zone 
except the following: (1) An attending vessel; (2) a vessel under 100 
feet in length overall not engaged in towing; or (3) a vessel authorized 
by the Commander, Eleventh Coast Guard District.

[CGD11-92-01, 57 FR 9055, Mar. 16, 1992]



Sec. 147.1116  Platform IRENE safety zone.

    (a) Description: The area within a line 500 meters from each point 
on the structure's outer edge. The position of the center of the 
structure is 34 deg.-36'-37.5" N, 120 deg.-43'-46" W.
    (b) Regulation: No vessel may enter or remain in this safety zone 
except the following: (1) An attending vessel; (2) a vessel under 100 
feet in length overall not engaged in towing; or (3) a vessel authorized 
by the Commander, Eleventh Coast Guard District.

[CGD11-92-02, 57 FR 9054, Mar. 16, 1992]

[[Page 167]]

                                  INDEX

              SUBCHAPTER N--OUTER CONTINENTAL SHELF ACTIVITIES

  Editorial Note: This listing is provided for informational purposes 
only. It is compiled and kept up--to--date by the Coast Guard, 
Department of Transportation.
Note: Citations in this index are, for the most part, references 
to general subject matter only. The applicability of a reference 
to any given type of application (e.g. MODU, Platform, Manned, 
Unmanned, U.S., Foreign, etc.) should always be checked against 
the description of ``applicability'' preceding most Parts or 
Subparts in the regulations.

                                                                        

                                 A

Alarm systems
                                                                 146.105
Annual inspection, facilities
                                                                 140.105
Appeals
                                                                  140.25
Approved equipment
                                                                  140.15
Arrival of MODU, notice of
                                                                 146.202

                                 C

Casualties:
Criteria for reporting...................................146.30, 146.303
Diving............................................................146.40
Pollution.........................................................146.45
Reports required.................................146.30, 146.35, 146.303
Catwalk, rails required
                                                              143.110(c)
Citizenship of personnel
                                   141.5, 141.15, 141.20, 141.25, 141.30
Civil penalties
                                                                  140.35
Collision damages
                                                                  146.30
Communications equipment (manned platforms)
                                                       144.04-40, 146.15
Complaints, investigation of
                                                              140.201(e)
Construction, exemptions during
                                                                   140.5
Criminal penalties
                                                                  140.35

                                 D

Death:
Investigation of..............................................140.201(a)
Reporting of.....................................146.30, 146.35, 146.303
Deficiencies
                                                                 140.103
Definitions
                                                140.10, 141.10, 147.1101
Design and equipment:
Exemptions, existing MODUs.......................................143.201
Foreign design standards......................................143.207(b)
Foreign flag MODUs...............................................143.207
General.....................................................See Part 143
Letter of Compliance.............................................143.210
U.S. flag MODUs..................................................143.205

[[Page 168]]

Undocumented MODUs...............................................143.205
Diving casualties
                                                                  146.40
Drilling, inspection prior to
                                                              140.105(d)
Drills, emergency
                                                                 146.125
Duties during emergency:
General..........................................................146.115
Station bill.....................................................146.130

                                 E

Emergency drills:
During inspections............................................140.101(c)
Duties during....................................................146.115
Manned facilities................................................146.125
Station bill.....................................................146.130
Emergency equipment:
Maintenance of....................................................146.15
On manned platforms............................................144.01-40
Emergency Evacuation Plan
                                                        146.140, 146.210
Emergency signals
                                                        146.110, 146.130
Employment restrictions
                                                   141.5, 141.15, 141.20
Equipment tests
                                                              140.101(c)
Equivalent equipment
                                                                  140.15
Evidence of citizenship
                                                                  141.25
Existing MODUs, design exemptions
                                                                 143.201
Exposure suits:
Foreign MODUs.........................................See Subpart 144.30
U.S. and undocumented MODUs...........................See Subpart 144.20

                                 F

Failure to comply
                                                                  140.35
Fire, investigation of
                                                              140.201(c)
Fire extinguishers (portable and semi-portable):
Classification of.................................................145.05
Locations and number required.....................................145.10
On platforms......................................................145.01
Fire fighting equipment:
Defective.....................................................140.103(c)
General.....................................................See Part 145
Reporting damage to.......................................146.30, 146.35
First aid kits (manned platforms)
                                                               144.01-30
Floating OCS facilities:
Certificate of Inspection.....................................143.120(c)
Design and equipment requirements.............................143.120(b)
General..........................................................143.120
Plan approval.................................................143.120(a)
Foreign Units:
Foreign MODUs, design and equipment..............................143.207
Inspection of....................................................140.101
Letter of Compliance (MODUs).....................................143.210
Lifesaving equipment (exposure suits).................See Subpart 144.30
Load line certificates........................................143.301(b)
Load lines....................................................143.301(a)
MODU design exemption............................................143.201
MODU operating standards.........................................146.205
Ownership of.........................................141.5(b)(3), 141.10

[[Page 169]]

                                 G

General alarm system:
Emergency signals................................................146.110
General..........................................................146.105
Marking of.......................................................146.135
Guards and rails
                                                                 143.110

                                 H

Hazards
                                                                 140.103
Helicopter landing deck:
Protection required...........................................143.110(b)

                                 I

Immersion suits--See Exposure suits
IMO MODU Code
                                  140.7, 140.102, 143.207(c), 146.205(c)
Injury:
Investigation of..............................................140.201(b)
Reporting of.....................................146.30, 146.35, 146.303
Inspections:
Annual inspection of fixed OCS facilities........................140.103
Deficiencies found during........................................140.105
Foreign units.................................................140.101(d)
General..........................................................140.101
Prior to drilling or production...............................140.105(d)
Unannounced inspections.......................................140.101(b)
Work vests.....................................................146.20(d)
Investigations:
Death.........................................................140.201(a)
General..........................................................140.201
Injury........................................................140.201(b)
Procedures governing.............................................140.203
Subpoena power...................................................140.205
Workplace safety................................................142.5(b)

                                 L

Landing, personnel
                                                                 143.105
Letter of Compliance (foreign and undocumented MODUs)
                                                                 143.210
Life floats (manned platforms):
Alternatives to................................................144.01-15
Equipment for..................................................144.01-10
General.........................................................144.01-1
Location and launching of.......................................144.01-5
Manning of.......................................................146.120
Marking of.......................................................146.135
Life preservers:
Lights and batteries..............................................146.15
Marking of.......................................................146.135
On manned platforms............................................144.01-20
On unmanned platforms...........................................144.10-1
Life rafts:
Manning of.......................................................146.120
Marking of.......................................................146.135
On manned platforms............................................144.01-15
Life rings--See Ring life buoys
Lifeboats:

[[Page 170]]

Manning of.......................................................146.120
Marking of.......................................................146.135
On manned platforms................................144.01-15 (a) and (b)
Lifesaving equipment:
Defective.....................................................140.103(c)
Foreign MODUs (exposure suits)........................See Subpart 144.30
General.....................................................See Part 144
Manned platforms......................................See Subpart 144.01
Reporting damage to.......................................146.30, 146.35
Undocumented MODUs (exposure suits)...................See Subpart 144.20
Unmanned platforms....................................See Subpart 144.10
U.S. flag MODUs (exposure suits)......................See Subpart 144.20
Lights and warning devices
                                                                  143.15
Litter (lifesaving type)
                                                               144.01-35
Load lines required
                                                                 143.301

                                 M

Maintenance of emergency equipment
                                                                  146.15
Manned platforms:
Lifesaving equipment required.........................See Subpart 144.01
Manning of survival craft
                                                                 146.120
Markings for emergency equipment
                                                                 146.135
Means of escape
                                                                 143.101
Mobile Offshore Drilling Units:
Certificate of Inspection........................................143.210
Design and equipment requirements, U.S. flag.....................143.205
``Existing units'' exempt from design requirements...............143.201
Exposure suits, foreign flag..........................See Subpart 144.30
Exposure suits, (U.S. and undocumented)...............See Subpart 144.20
Foreign flag MODUs.............................143.201, 143.207, 146.205
General....................See Part 143 Subpart C and Part 146 Subpart C
Letter of Compliance.............................................143.210
Notice of arrival or relocation..................................146.202
Operating requirements (U.S. and undocumented)...................146.203
Rebuilding existing units........................................143.201
Undocumented MODUs...............................................143.205
Monthly emergency drills (manned facilities except MODUs)
                                                                 146.125

                                 N

Notice:
Of arrival of MODU...............................................146.202
Of casualty or accident on facilities.....................146.30, 146.35
Of casualty or accident on vessels...............................146.303
Of new facilities.................................................146.10
Of relocation of MODU............................................146.202

                                 O

Oil spills:
Investigation of..............................................140.201(d)
Liability and compensation........................................146.45
Reporting of......................................................146.45
Operations:
Facilities........................................See Part 146 Subpart A
Foreign MODUs....................................................146.205
General.....................................................See Part 146
Manned facilities.................................See Part 146 Subpart B

[[Page 171]]

U.S. and undocumented MODUs......................................146.203

                                 P

Paddles (for life floats):
General.....................................................144.01-10(c)
Marking of.......................................................146.135
Painter (for life floats)
                                                            144.01-10(a)
Penalties
                                                          140.35, 140.40
Person in charge:
Casualties, notification of.......................................146.30
Casualties, written reports of....................................146.35
Casualties involving vessels.....................................146.303
Consultation with marine inspector............................140.101(c)
Custody of First Aid Kit.......................................144.01-30
Definition of.....................................................140.10
Designation of..................................................146.5(a)
Diving casualties, reporting of...................................146.40
Emergency actions...............................................146.5(b)
Emergency drills, conduct of.............................146.125(a), (c)
Emergency drills, written report of...........................146.125(d)
Emergency duties, assignment of...............................146.115(a)
Emergency signals, establishment of...........................146.110(a)
Instructing personnel.........................................146.125(b)
Pollution incidents, notification of..............................146.45
Station bill, preparation of.....................................146.130
Survival craft launch supervisors, assignment of.................146.120
Work vests, supervision of.....................................146.20(b)
Personal flotation device (PFD)--See Life preservers
Personnel:
Citizenship requirements...................................141.5, 141.15
Duties during emergency..........................................146.115
Evidence of citizenship...........................................141.25
Exemption from citizenship, requests for..........................141.20
General.....................................................See Part 141
Records to be maintained on.......................................141.35
Resident aliens...................................141.15, 141.20, 141.30
Station bill.....................................................146.130
Personnel landings
                                                                 143.105
Pollution incidents
                                                                  146.45
Portable fire extinguishers
                                                                  145.01
Production, inspection prior to
                                                              140.105(d)

                                 R

Radio, on manned platform
                                                               144.01-40
Rails
                                                                 143.110
Rebuilding ``existing'' MODUs
                                                                 143.201
``Recognized hazards''
                                                                   142.1
Records required, employee files
                                                                  141.35
Relocation of MODU, notice of
                                                                 146.202
Reports:
By vessels.......................................................146.303
Collisions................................................146.30, 146.35
Diving casualties.................................................146.40
Emergency drills..............................................146.125(c)
Notice of casualty or accident...................146.30, 146.35, 146.303
Pollution incidents...............................................146.45
Unsafe working conditions..........................................142.5

[[Page 172]]

Written report of casualty...............................146.35, 146.303
Resident aliens
                                                  141.15, 141.20, 141.30
Ring life buoys:
Marking of.......................................................146.135
On manned platforms............................................144.01-25
On unmanned platforms...........................................144.10-1

                                 S

Safety zones:
Authority to establish.............................................147.5
Establishment of..................................................147.10
Extent of.........................................................147.15
General.....................................................See Part 147
Purpose of.........................................................147.1
Sanctions--See Civil Penalties
Semi-portable fire extinguishers
                                                                  145.01
Signals, emergency
                                                        146.110, 146.130
SOLAS
                                                              140.101(d)
Stairways, rails required
                                                              143.110(c)
Standby vessels
                                                 See Part 143, Subpart E
Station bill
                                                                 146.130
Subpoena power
                                                                 140.205
Survival craft:
Manning of.......................................................146.120
Marking of.......................................................146.135
Survival suits--See Exposure suits
                                 U

Undocumented MODUs:
Exposure suits........................................See Subpart 144.20
General..........................................................143.205
Letter of Compliance.............................................143.210
Operating requirements...........................................146.203
Unmanned platforms (lifesaving equipment)
                                                      See Subpart 144.10
Unsafe working conditions:
Investigation of..............................................140.201(e)
Reports of.........................................................142.5

                                 V

Vessels:
General..........................................................143.300
Inspection of..................................140.101, 140.102, 140.103
Load line Certificates........................................143.301(b)
Load lines....................................................143.301(a)
Notice of casualty or accident...................................146.303

                                 W

Waterlights:
On exposure suits..................................144.20-5 and 144.30-5
On life floats (manned platforms)...........................144.01-10(b)
On life preservers (manned platforms)...............144.01-20(c), 146.15
On ring life buoys (manned platforms).......................144.01-25(b)
On ring life buoys (unmanned platforms)...................144.10-1(a)(3)
Work vests:
Approved type..................................................146.20(a)
General...........................................................146.20

[[Page 173]]

Inspection of..................................................146.20(d)
Stowage of.....................................................146.20(c)
Use of.........................................................146.20(b)
Workplace safety:
General.....................................................See Part 142
Investigations..................................................142.5(b)
Reports of unsafe working conditions...............................142.5

[[Page 174]]





                     SUBCHAPTER NN--DEEPWATER PORTS


PART 148--GENERAL--Table of Contents




                           Subpart A--General

Sec.
148.1  Purpose.
148.3  Definitions.

                         Subpart B--Applications

                                 General

148.101  Applicability.
148.103  Address of application staff.
148.105  Preparation.
148.107  Copies: fees.
148.109  Contents of application for issuance of license.
148.111  Optional procedures.

                    Subpart C--Application Proceeding

                                 General

148.201  Purpose.
148.203  Applicability.
148.205  Clerk: docket; record.
148.207  Availability of documents in the record.
148.211  Processing an application.
148.213  Changes to an application.
148.215  Withdrawal of application.
148.216  Request by port for determination.
148.217  Designation of adjacent coastal States.
148.219  Claims and objections.

                         Informal Public Hearing

148.231  Notice of public hearing.
148.233  Testimony and argument.
148.235  Report of public hearing.

                             Formal Hearing

148.251  Determination to hold formal hearing: notice of formal hearing.
148.253  Assignment of administrative law judge: disqualification.
148.255  Jurisdiction of the administrative law judge.
148.257  Authority of the administrative law judge.
148.259  Ex parte communications.
148.261  Parties.
148.263  Intervention.
148.265  A person not a party.
148.267  Appearance and practice.
148.269  Requirements for documents.
148.271  Subscription.
148.273  Filing.
148.275  Service of document: other transmittal.
148.277  Conferences.
148.279  Motions.
148.281  Subpoenas.
148.283  Hearing date.
148.285  Reporter: transcript; corrections.
148.287  Order of procedure.
148.289  Evidence.
148.291  Rulings referred or appealed to the Commandant.

                     Application Approval or Denial

148.321  Decision process generally.
148.323  Criteria and considerations.
148.325  Multiple applications.
148.327  Termination of proceeding before approval or denial of an 
          application.

                    Subpart D--Issuance of a License

148.400  Applicability.
148.403  Issuance of a license.
148.405  Term of license.
148.407  Consultation with adjacent coastal States.

                       Subpart E--Site Evaluation

148.501  Purpose.
148.503  Notice of proposed site evaluation activities.
148.505  General conditions of performance.
148.507  Reports.
148.509  Suspension and prohibition of activities.

  Subpart F--Procedure for Exemption From Any Requirement in Deepwater 
                            Port Regulations

148.601  Applicability.
148.603  Petition for exemption.
148.605  Coordination with states.
148.607  Exemption criteria.

                     Subpart G--Limits of Liability

148.701  Purpose.
148.703  Limits of liability.

Appendix A to Part 148--Environmental Review Criteria for Deepwater 
          Ports

    Authority: Secs. 5(a), 5(b), Pub. L. 93-627, 88 Stat. 2131 (33 
U.S.C. 1504(a), (b)); 49 CFR 1.46(s).

    Source: CGD 75-002, 40 FR 52553, Nov. 10, 1975, unless otherwise 
noted.



                           Subpart A--General



Sec. 148.1  Purpose.

    This subchapter prescribes regulations for the licensing, 
construction, design and equipment, and operation of deep-water ports.

[[Page 175]]



Sec. 148.3  Definitions.

    The terms listed in sections 3 and 18 of the Act, whenever used in 
Parts 148, 149 and 150, have the same meaning they have in the Act, 
except as provided in this section for ``Affiliate.''
    Act means the Deepwater Port Act of 1974.
    Affiliate means each person:
    (1) Having any direct or indirect ownership interest in the 
applicant of greater than three percent;
    (2) With whom the applicant has made, or proposes to make, a 
significant contract for financing, managing or otherwise participating 
in the construction or operation of the deepwater port proposed to be 
licensed;
    (3) Who owns or controls any person who is an affiliate by operation 
of paragraphs (a) or (b) of this definition, or who owns or controls the 
applicant;
    (4) Owned or controlled by or under common ownership or control with 
an applicant or any person who is an affiliate by operation of 
paragraphs (a), (b) or (c) of this definition; or
    (5) Who is determined by the Secretary to have information required 
to review or process the application.
    Barrel means 42 U.S. gallons at atmospheric pressure and 60 
deg.Fahrenheit.
    Captain of the Port means a Coast Guard Officer commanding a Captain 
of the Port Area described in Part 3 of this chapter.
    Crude oil means a mixture of hydrocarbons that exist in the liquid 
phase in natural underground reservoirs and remains liquid at 
atmospheric pressure after passing through surface separating facilities 
and includes:
    (1) Liquids technically defined as crude oil;
    (2) Small amounts of hydrocarbons that exist in the gaseous phase in 
natural underground reservoirs but are liquid at atmospheric pressure 
after being recovered from oil well (casing head) gas in lease 
separators; and
    (3) Small amounts of non-hydrocarbons produced with the oil.
    Deepwater port means any fixed or floating manmade structures other 
than a vessel, or any group of such structures, located beyond the 
territorial sea and off the coast of the United States and which are 
used or intended for use as a port or terminal for the loading or 
unloading and further handling of oil for transportation to any State, 
except as otherwise provided in section 23 of the Act. The term includes 
all associated components and equipment, including pipelines, pumping 
stations, service platforms, mooring buoys, and similar appurtenances to 
the extent they are located seaward of the high water mark.
    Gross under keel clearance means the distance between the keel of a 
tanker and the ocean bottom when the tanker is moored or anchored in 
calm water free of wind, wave, current, or tide conditions that would 
induce ship motion.
    Marine site means the area in which the deepwater is located, and 
includes the safety zone, attendant ships' routing measures, anchorages 
and all areas seaward of the high water mark in which associated 
components and equipment of the deepwater port are located.
    Miles means nautical miles.
    Net under keel clearance means that distance between the ocean 
bottom and the portion of a tanker's hull closest to the ocean bottom 
when the tanker is underway, moored or anchored, considering ship motion 
in responding to the combination of actual wind, wave, tide, and current 
conditions.
    PAD District means one of the five Petroleum Administration for 
Defense Districts defined by the Bureau of Mines, Department of the 
Interior.
    Platform means a fixed structure which rests on or is embedded in 
the sea-bed that has floors or decks in which an activity or specific 
function may be carried out.
    Production District means a State and each district within the State 
of Louisiana, New Mexico or Texas for which production of crude 
petroleum is separately reported by the Bureau of Mines, Department of 
the Interior.
    Pumping platform complex (PPC) means a single platform or a series 
of interconnected platforms that have one or more of the following 
capabilities:
    (1) Pumping oil between a vessel and the shore.
    (2) Berthing and messing facilities for assigned personnel.
    (3) Landing area for helicopters.
    (4) Mooring and loading for small vessels.

[[Page 176]]

    Refining District means a refining district as defined by the Bureau 
of Mines, Department of the Interior, for reporting refining operations.
    SPM means single point mooring buoy.
    Year-end proved reserves of crude oil means the estimated quantities 
of all liquids statistically defined as crude oil, which geological and 
engineering data demonstrate with reasonable certainty as of December 31 
of the year concerned to be recoverable in future years from known 
reservoirs under existing economic and operating conditions. Reservoirs 
are considered proved if economic producibility is supported by either 
actual production or conclusive formation tests. The area of an oil 
reservoir considered proved includes:
    (1) That portion delineated by drilling and defined by gas-oil or 
oil-water contacts, if any; and
    (2) The immediately adjoining portions not yet drilled, but which 
can be reasonably judged as economically productive on the basis of 
available geological and engineering data.

In the absence of information on fluid contacts, the lowest known 
structural occurrence of hydrocarbons controls the lower proved limit of 
reservoir. Reserves of crude oil which can be produced economically 
through application of improved recovery techniques (such as fluid 
injection) are included in the ``proved'' classification when successful 
testing by a pilot project, or the operation of an installed program in 
the reservoir, provides support for the engineering analysis on which 
the project or program was based.

[CGD 75-002, 40 FR 52553, Nov. 10, 1975, as amended by CGD 76-096, 45 FR 
85647, Dec. 29, 1980]



                         Subpart B--Applications

                                 General



Sec. 148.101  Applicability.

    This subpart prescribes rules that apply to each application, 
including competing applications described in section 5(d)(3) of the 
Act, for the issuance of a license for the ownership, construction, and 
operation of a deepwater port.



Sec. 148.103  Address of application staff.

    The address of the application staff is: Commandant (G-M), U.S. 
Coast Guard, 2100 Second Street SW., Washington, DC 20593-0001.

[CGD 92-069, 58 FR 11193, Feb. 24, 1993]



Sec. 148.105  Preparation.

    (a) Any person may confer with the application staff concerning the 
preparation of an application.
    (b) An applicant may incorporate by clear and specific reference in 
his application any:
    (1) Standard reference material upon which he relies and which he 
knows to be readily available to Federal and State Agencies;
    (2) Current information contained in previous applications or 
reports that he has submitted to the application staff; and
    (3) Current information contained in a tariff, report or other 
document previously filed for public record with the Interstate Commerce 
Commission, the Securities and Exchange Commission, or the Federal 
Energy Administration, provided:
    (i) A certified true and complete copy of the document is attached 
to each of 10 of the 60 copies of the application required by 
Sec. 148.107(a);
    (ii) Each copy filed with the application bears on its cover 
notation of the date of filing and the document number or other locator; 
and
    (iii) Any verification or certification required for the original 
filing (other than from auditors or other independent persons) is 
brought current to a date not earlier than 30 days prior to the date of 
the application.
    (c) If any required information is furnished pursuant to 
Sec. 148.111(b), the application need only state with respect thereto, 
in the appropriate place or places: ``Required information is being 
furnished by [named affiliate] [all affiliates] pursuant to 
Sec. 148.111(b).''



Sec. 148.107  Copies: fees.

    (a) Sixty copies of each license application must be submitted to 
the application staff.
    (b) One copy of each license application must be submitted to the 
U.S. Army Corps of Engineers District office

[[Page 177]]

having jurisdiction over the proposed port.
    (c) A nonrefundable application fee of $100,000 must be submitted 
with each application for issuance of a license. If additional 
information is necessary to make an application complete, no additional 
application fee is required.
    (d) The costs incurred by the United States in processing an 
application will be charged to the application fee until it is 
exhausted. Reimbursement for additional processing costs, above the 
application fee, must be submitted to the application staff when 
assessed.
    (e) Fees and costs assessed under this section must be made payable 
to the United States Treasury.



Sec. 148.109  Contents of application for issuance of license.

    Each application must include the following:
    (a) Identity of applicant and affiliates. (1) The name, address and 
principal business activity of the applicant and of each affiliate.
    (2) A list of all domestic subsidiaries and a list of all foreign 
subsidiaries of each applicant and of each affiliate that elects under 
Sec. 148.111(a) to furnish required information on a consolidated basis.
    (3) The name, address and principal business activity of each 
subsidiary or division of an applicant or an affiliate which 
participated directly and substantially in the planning, evaluating or 
approving of participation in the construction, financing, or operation 
of a deepwater port.
    (b) Proof of citizenship and authority. (1) If the applicant is an 
individual, group of individuals, a partnership or an association, an 
affidavit from each individual stating that he is a citizen of the 
United States of America.
    (2) If the applicant is a corporation, one copy of its charter or 
instrument by which the corporation is formed and organized under 
general corporation laws, certified by the Secretary of State or other 
appropriate authority of the State in which incorporated, and a copy of 
its by-laws certified by its Secretary or an Assistant Secretary.
    (3) If the applicant is a State, or combination of States, or any 
political subdivision, agency, or instrumentality of a State, including 
a wholly owned corporation, a copy of the laws authorizing the 
operations detailed in the application.
    (c) Address for service of documents. The name and address of a 
person upon whom service may be made if a formal hearing is held on the 
application and the name and address of a person to whom documents not 
required to be served under Sec. 148.275 may be sent.
    (d) Verification. A statement at the end of the application 
subscribed and sworn to before a notary public that the individual who 
signed the application has read it and that its contents are true to his 
best knowledge and belief.
    (e) Financial information. (1) For each applicant and affiliate:
    (i) Its most recent annual financial statement, including an income 
statement and a balance sheet, accompanied by an opinion of a certified 
public accountant; and
    (ii) An interim income statement and balance sheet for each 
subsequent fiscal quarter-year ended prior to 30 days before submission 
of the application.
    (2) The proposed location and capacity of the deepwater port, 
including all components thereof, together with a general description of 
the anticipated use of the deepwater port during the expected life of 
the project.
    (3) An estimate of construction costs, by phases together with 
estimated dates or periods for completion of each phase, or annually, 
and a detailed estimate of the cost of removal of all marine components 
of the deepwater port, other than pipelines lying below the seabed.
    (4) Annualized projections or estimates of each of the following, at 
reasonable intervals throughout the expected useful life of the 
deepwater port:
    (i) Total oil throughput together with subtotals of throughput of 
oil owned by the applicant and affiliates and of throughput of oil owned 
by others.
    (ii) Annual revenue.
    (iii) Annual operating expenses, showing separately any anticipated 
management fee, payment, allowance,

[[Page 178]]

or credit to any affiliate for management or operation of the port or 
any component.
    (5) A copy of every agreement or proposal relating to the ownership 
or management of a deepwater port or any of its components or to the 
financing of the construction or operation of the deep-water port or 
component, including those relating to throughputs, capital 
contributions, loans, guarantees, and commitment therefor.
    (6) To the extent known to the applicant or any affiliate, every 
existing or proposed:
    (i) Tariff or portion thereof to be filed with the Interstate 
Commerce Commission;
    (ii) Rate or joint rate; and
    (iii) Agreement, arrangement or understanding with respect to terms 
or conditions on which other persons may become an affiliate or with 
respect to minimum or maximum tenders or other economic restrictions on 
shipments by nonaffiliated persons.

If any item required by this subparagraph has not been determined, an 
explanation of the basis on which it will be determined must be 
included.
    (7) To the extent known to the applicant or any affiliate, the 
anticipated:
    (i) Total annual demand for crude oil; and
    (ii) Total year-end proved reserves of crude oil for each Production 
District within the PAD District in which oil from the proposed 
deepwater port is to be landed, at reasonable intervals throughout the 
expected useful life of the deepwater port.
    (8) To the extent known to the applicant or any affiliate, the 
anticipated:
    (i) Total refinery capacity;
    (ii) Total runs to stills; and
    (iii) Total demand for gasoline, for jet aviation fuels, for 
distillate fuel oils, and for other refinery products, for each Refining 
District within the PAD District in which oil from the deepwater port is 
to be landed, at reasonable intervals throughout the expected useful 
life of the deepwater port.
    (9) If the PAD District in which oil from deepwater port is to be 
landed has a surplus:
    (i) Of crude oil production and imports over refinery capacity, the 
information required in paragraph (e)(7) of this section must also be 
set forth for each Production District within the PAD Districts to which 
surplus crude oil from the District in which oil from deepwater port is 
landed is expected to be transported; and
    (ii) Of refinery capacity over demand for refinery products, the 
information required in paragraph (e)(8) of this section must also be 
set forth for each Refining District within the PAD Districts to which 
surplus refinery products from the PAD District in which oil from the 
deepwater port is landed is expected to be transported. If this includes 
the East Coast Refining District, the information for that district must 
be separately stated for the following three components:
    (a) New England: The States of Massachusetts, Rhode Island, and 
Connecticut.
    (b) South-Atlantic: The States of Virginia, North Carolina, South 
Carolina, Georgia, and Florida.
    (c) Mid-Atlantic: The remaining area of the East Coast Refining 
District (Maine, Vermont, New Hampshire, New Jersey, Maryland, Delaware, 
District of Columbia, and the eastern parts of New York and 
Pennsylvania).
    (10) From each applicant or affiliate which is engaged in producing, 
refining, or marketing oil, its estimate of its components of the totals 
required to be included under the provisions of paragraphs (e)(7), (8) 
and (9) of this section.
    (11) From each applicant or affiliate engaged in producing, 
refining, or marketing oil, for each item it is required to supply under 
paragraph (e)(10) of this section, its actual data for each of the three 
calendar years immediately prior to the date of application.
    (12) From each applicant or affiliate which has a significant 
interest in any refinery within any refinery district on which 
information is required to be disclosed under paragraphs (e)(8) or 
(9)(ii) of this section, for each refinery, its:
    (i) Location;
    (ii) Runs to still for each of the three calendar years prior to 
date of application; and

[[Page 179]]

    (iii) Production for each of the three calendar years prior to date 
of application of gasoline, jet aviation fuel, distillate fuel oils, and 
other products.
    (13) From each applicant or affiliate engaged in producing, refining 
or marketing oil, for each of the three calendar years immediately prior 
to the date of application, its total domestic and total worldwide: 
yearend proved reserves; annual production imports into the United 
States; and annual refinery runs to still and production of gasoline, 
jet aviation fuel, distillate fuel oils and other refinery products.
    (f) General technical information. (1) A description of the 
experience of the applicant, each affiliate of the applicant that the 
applicant may want to provide, and each consultant of the applicant in 
offshore operations, with particular emphasis on involvement in offshore 
transfer and storage of liquid cargo and vessel loading and unloading 
operations.
    (2) A listing and abstract of each study relied upon by the 
applicant and a listing and abstract of each ongoing or completed study 
pertaining to deepwater ports conducted by or for the applicant, later 
supplemented by data of particular environmental or operational concern 
from specific studies identified by the Coast Guard.
    (3) The name, address, citizenship and telephone number of each 
affiliate of the applicant together with a description of the manner in 
which the affiliate is associated with the applicant.
    (4) The name, address, citizenship, telephone number and 
qualifications of each engineering firm, if known, that will design the 
deepwater port, or any portion of the port.
    (5) The ownership interest in the applicant of each affiliate having 
any ownership interest in the applicant of greater than 3 percent.
    (6) For each affiliate with whom the applicant has made, or proposes 
to make a significant contract for the construction of any part of the 
deepwater port, a description of that affiliate's experience in 
construction of marine terminal facilities, offshore structures, 
underwater pipelines, seabed foundations or any other experience that 
would bear on his qualification to participate in the construction of a 
deepwater port.
    (7) A copy of each contract made by the applicant for the 
construction of any component of the deepwater port or for the operation 
of the port.
    (g) Water. Evidence that the requirements of section 401(a)(1) of 
the Federal Water Pollution Control Act Amendments of 1972, 33 U.S.C. 
1341(a)(1), will be satisfied, except that, in those cases where 
certification under section 401(a)(1) must be obtained from the 
Administrator of the United States Environmental Protection Agency, the 
request for such certification must accompany each application for a 
license under the Act.
    (g-1) Coastal zone management. The certification, or certifications, 
required by section 307 of the Coastal Zone Management Act of 1972, as 
amended.
    (h) Lease block identification. (1) Identification of each lease 
block established either by the Secretary of the Interior under section 
5 of the Outer Continental Shelf Lands Act (43 U.S.C. 1334), or by a 
State under t--e authority of section 3 of the Submerged Lands Act (43 
U.S.C. 1311), within which any part of the proposed deepwater port or 
its approaches are located. This identification should be made using 
Official Outer Continental Shelf Leasing Maps or Protraction diagrams 
where they are available. For each identified lease block, the following 
must be provided:
    (i) A description of each pipeline, or other right-of-way crossing, 
in enough detail to allow plotting of rights-of-way and facilities to 
the nearest one-tenth of a second in latitude and longitude.
    (ii) The identity of the lessee of each pipeline or other right-of-
way.
    (2) Detailed information concerning any interest that the applicant 
and others have in each block and concerning the present and planned use 
of each block.
    (i) Overall site plan. Single-line drawings showing the location and 
type of each component of the proposed deepwater port and its necessary 
facilities, including floating structures, fixed structures, aids to 
navigation, manifold systems and onshore storage areas, pipelines, and 
refineries.

[[Page 180]]

    (j) Site plan for marine components. A site plan consisting of:
    (1) The proposed size and location of:
    (i) All fixed and floating structures;
    (ii) SPM swing circles;
    (iii) Maneuvering areas;
    (iv) Recommended ships' routing measures and proposed vessel traffic 
patterns in the port area;
    (v) Recommended anchorage areas;
    (vi) Recommended mooring area for support vessels;
    (vii) Required and recommended aids to navigation; and
    (viii) Pipelines and cables within the marine site;
    (2) The charted water depth throughout the proposed marine site as 
verified by the reconnaissance hydrographic survey required by this 
subpart:
    (3) A reconnaissance hydrographic survey of the proposed marine 
site.
    Note: A requirement to submit an engineering hydrographic survey of 
the final marine site will be imposed as a license condition.
    (k) Soil data. An analysis of the general character and condition of 
the ocean bottom and sub-bottom throughout the marine site and along the 
path of the pipeline to the shore, including an opinion by a registered 
professional engineer specializing in soil mechanics concerning:
    (1) The suitability of the soil to accommodate the anticipated 
design load of each marine component that will be fixed to or supported 
on the ocean floor; and
    (2) The stability of the seabed when exposed to the environmental 
forces resulting from severe storms, or to lesser forces that continue 
for an extended period, including any history of accretion or erosion of 
the coast line in proximity to the marine site.
    (l) Operational information. (1) The maximum lengths, maximum 
drafts, and maximum deadweight tonnages of the tankers to be 
accommodated at each SPM.
    (2) Calculations with supporting data and other documentation to 
show that the charted water depth at each proposed SPM location is 
sufficient to provide at least a 5 foot net under keel clearance for 
each tanker that the applicant expects to be accommodated at the SPM.
    (3) A detailed description of the manner of forecasting the wind, 
wave, and current conditions described in the draft Operations Manual 
during which the following would occur:
    (i) Shutdown of oil transfer operations.
    (ii) Departure of the tanker from the mooring.
    (iii) Prohibition on mooring to an SPM.
    (iv) Shutdown of all operations and evacuation of the port.
    (4) The speed limits proposed for tankers in the safety zone.
    (m) Floating components data. (1) A description and preliminary 
design drawing of each floating component, including the hoses and the 
anchoring or securing structure and navigation lights if the component 
is a mooring buoy.
    (2) The design criteria, developed pursuant to Part 149 of this 
chapter, to which each floating component is to be designed and built.
    (3) The design standards and codes to be used.
    (4) The title of each recommended engineering practice to be 
followed.
    (5) A description and the results of any design and evaluation 
studies performed by or for the applicant on a floating component.
    (6) A description of safety, fire fighting, and pollution prevention 
equipment to be used on each floating component.
    (7) A description of lighting to be used on floating hoses for night 
detection.
    (n) Fixed marine components data. (1) A description and preliminary 
design drawing of each fixed marine component.
    (2) The design criteria, developed pursuant to Part 149 of this 
chapter, to which each fixed marine component is to be designed and 
built.
    (3) The design standards and codes to be used.
    (4) The title of each recommended engineering practice to be 
followed.
    (5) A description and the results of any design and evaluation 
studies performed by or for the applicant for any fixed marine component 
and utilized in the development of the application.

[[Page 181]]

    (6) A description of navigational lighting, safety, lifesaving, fire 
fighting, pollution prevention and removal, and waste treatment 
equipment to be installed.
    (7) A description and preliminary design drawing of the oil pumping 
equipment, piping system, control and instrumentation system, and any 
associated equipment, including the oil throughput measuring equipment, 
leak detection equipment, alarm system, and emergency shutdown 
equipment.
    (8) The personnel capacity of each PPC.
    (o) Offshore pipeline data. (1) A description and preliminary design 
drawing of the marine pipeline, including size, throughput capacity, 
length, depth and protective devices.
    (2) The design criteria to which the marine pipeline is to be 
designed and built.
    (3) The design standards and codes to be used.
    (4) The title of each recommended engineering practice to be 
followed.
    (5) A description of the metering system to be used to measure flow 
rate.
    (6) Information concerning all submerged or buried pipelines that 
will be crossed by the offshore pipeline and the manner in which the 
crossing will be made.
    (p) Onshore components data. (1) A description of the location, 
capacity, and ownership of, and a preliminary design drawing for 
construction of new or expansion of existing onshore pipelines, storage 
facilities, refineries, petro-chemical facilities, and transshipment 
facilities to be served by the deepwater port.
    (2) Location, capacity, and ownership of existing onshore pipelines, 
storage facilities, refineries, petrochemical facilities, and 
transshipment facilities to be served by the deepwater port.
    (3) A chart showing the location of all planned and existing onshore 
pipelines, storage facilities, refineries, and petrochemical facilities 
and transshipment facilities to be served by the deepwater port.
    (4) From each applicant or affiliate which is engaged in producing, 
refining or marketing oil, throughput of crude oil, of gasoline, of jet 
aviation fuel, of distillate fuel oils and of other refinery products, 
for the calendar year preceding the date of application, and a copy of 
each existing or proposed throughput agreement.
    (5) A facility is served by the deep-water port if it is within a 
PAD District for which information is required under paragraph (e)(7), 
(8) or (9) of this section and is either served by connection with a 
common carrier pipeline or a component of or appurtenant to a common 
carrier pipeline.
    (6) Crude oil gathering lines and lines wholly within a facility 
must be included only if specifically required under paragraph (z) of 
this section. Entry points and major connections between lines and with 
bulk purchasers must be included.
    (q) Miscellaneous components data. (1) A description of the 
communications systems to be used in operation of the deepwater port.
    (2) A description of the radar navigation system to be used in 
operation of the deepwater port to include the type and characteristics 
of the radar and the antenna location.
    (3) A description of plans and method of bunkering vessels using the 
deepwater port.
    (4) Type, size and number of vessels to be used in bunkering, 
mooring, and servicing the vessels using the deepwater port.
    (5) A description and exact location of any shore based support 
facilities to be provided for vessels described in paragraph (q)(4) of 
this section.
    (r) Construction procedures. A description of the method and 
procedures to be used in constructing each component of the deepwater 
port and a description of each phase, including anticipated dates of 
completion for each of the specific components.
    (s) Draft Operations Manual. A draft Operations Manual for the 
proposed port prepared in accordance with the ``Guidelines for 
Preparation of a Deepwater Port Operations Manual''. If required 
information is not available, an applicant should so state, show why, 
and state when the information can be expected to be provided.

[[Page 182]]

    (t) Environmental analysis. An environmental analysis prepared in 
accordance with ``Guide to Preparation of Environmental Analyses for 
Deepwater Ports.''
    (u) Aids to Navigation. (1) For each proposed aid to navigation, the 
proposed position of the aid described by latitude and longitude 
coordinates to the nearest second or tenth of a second as determined 
from the largest scale chart of the area in which the aid is to be 
located. (Latitude and longitude should be specified to a level obtained 
by visual interpolation between the finest graduation of the latitude 
and longitude scales on the chart.)
    (2) For each proposed obstruction light and the proposed rotating 
lighted beacon, the color, characteristic, effective intensity, height 
above water, and general description of illumination apparatus.
    (3) For each proposed fog signal on a structure, a general 
description of the apparatus.
    (4) For each proposed buoy, the shape, color, number or letter, and 
depth of water in which located, and a general description of any light 
or fog signal apparatus installed.
    (5) For the proposed radar beacon (RACON), height above water and a 
general description of the apparatus.
    (v) Telecommunications equipment. A description of the radio 
stations or other communications facilities and the proposed concept of 
operation to serve the deepwater port during construction or operation.
    Note: Federal Communications Commission application for these 
facilities may be submitted directly to the Federal Communications 
Commission when sufficient technical information is available to meet 
the rules of that agency. The holding of appropriate Federal 
Communications Commission licenses will be made a condition on a 
deepwater port license.
    (w) National Pollutant Discharge Elimination System Information. To 
the extent available, the information prescribed by, and submitted on, 
the ``National Pollutant Discharge Elimination System'' (NPDES). 
Application for Permit to Discharge, Short Form ``D'' for applying for 
issuance of a discharge permit to the Administrator of the Environmental 
Protection Agency (EPA). If complete information is not available by the 
time the Secretary must either approve or deny the application for a 
designated application area, under section 5(i)(1) of the Act, the 
license is conditioned upon the applicant receiving the required 
discharge permit from the EPA prior to the commencement of any discharge 
requiring the same.
    (x) Discharge of dredged or fill material. The information 
prescribed by, and submitted on, Form EP 1145-2-1 contained as Appendix 
B of ``Application for Department of Army Permits for Activities in 
Waterways, EP 1145-2-1 of 1 October 1974'' for each permit issued by the 
Secretary of the Army in compliance with:
    (1) Section 10 of the Rivers and Harbors Act of 1899 (30 Stat. 1151; 
33 U.S.C. 403);
    (2) Section 404(b) of the Federal Water Pollution Control Act 
Amendments of 1972 (86 Stat. 816; 33 U.S.C. 1251); or
    (3) Section 103 of the Marine Protection, Research, and Sanctuaries 
Act of 1972 (86 Stat. 1052; 33 U.S.C. 1401).
    (y) Additional Federal authorizations required. All other 
applications for Federal authorizations required for ownership, 
construction, and operation of a deepwater port not listed elsewhere in 
this subpart.
    (z) Supplemental information. (1) A designation of locations where 
the applicant and each affiliate has segregated and filed documents in 
its possession relating to deepwater ports which were prepared within 
four years of the date of application and which fall under one or more 
of the following categories:
    (i) Prepared by or for, or submitted to, a Board of Directors or an 
executive, management or planning committee.
    (ii) Concern the financing of construction or operation of a 
deepwater port, including throughput nominations and membership in and 
financing of any existing or proposed joint venture.
    (iii) Concern existing or proposed or anticipated rates or joint 
rates.
    (iv) Determined by the Secretary to be required to review and 
process the application.
    (2) Documents referred to in paragraph (z)(1) of this section must 
be

[[Page 183]]

available during normal business hours to the Secretary or the General 
Counsel of the Department of Transportation or the designate of either 
of them, for inspection and copying, at the locations designated in the 
application unless the General Counsel requires consolidation of 
documents from two or more locations. If any claim of privilege or 
immunity is asserted with respect to any document or record designated 
for inspection or copying, the person making the claim shall furnish to 
the Secretary or the General Counsel or his designate as the case may 
be, in accordance with Sec. 148.219(c), an identification of the 
document and statement of the claim.
    (3) The Secretary may require an applicant or affiliate to make 
available for examination under oath or for interview persons having, or 
believed to have, designated information. Interviews and examinations 
are conducted by or at the direction of the General Counsel.
    (4) The Secretary may require an applicant or affiliate to file as a 
supplement to the application any analysis, explanation or detailing of 
information in the application or any other information determined by 
the Secretary to be required to review or process the application.
    (5) Any Federal or State department or agency or other interested 
person may file with the clerk a request or recommendation for further 
information. Requests and recommendations received within 30 days after 
notice of the initial application has been published will be fully 
considered before any final determination is made under this paragraph 
(z). Requests and recommendations must include a brief statement of the 
purpose of any proposed requirement, including, if it relates to 
conduct, the nature of the conduct and the probable consequences, or if 
the proposed requirement relates to physical characteristics, the nature 
of any safety, health, environmental or economic concerns.
    (6) In exercising the authority to require supplemental information 
under paragraph (z)(2), (3) or (4) of this section, the Secretary, the 
General Counsel, or the designate, as the case may be, may fix a time by 
which an applicant or affiliate must meet the requirement. If an 
application states that required information is not yet available but 
will be furnished at a later date, the Commandant may specify a time by 
which the information must be provided. If any requirement is not met by 
a time fixed in accordance with this subparagraph, the Secretary shall 
determine whether compliance with the requirement is material to 
processing of the application within the time prescribed in the Act. If 
the Secretary determines that it is material, he may disapprove the 
application, or may suspend the application pending a determination that 
processing can be resumed. The period of any suspension shall not be 
counted in determining the date prescribed by the time limit set forth 
in sections 4(c)(6), 5(d)(3), 5(e)(2), 5(g), 7(b)(1) or 9(b)(1) of the 
Act.

[CGD 75-002, 40 FR 52553, Nov. 11, 1975; 40 FR 58144, Dec. 15, 1975, as 
amended by CGD 76-096, 45 FR 85647, Dec. 29, 1980]



Sec. 148.111  Optional procedures.

    (a) Consolidated statements. Applicants and affiliates may elect to 
supply required information consolidated in accordance with generally 
accepted accounting principles, if and to the extent that consolidated 
statements or reports are filed with the Interstate Commerce Commission, 
the Securities and Exchange Commission, or the Federal Energy 
Administration, but if those filings are also made or required to be 
made by line of business or other classifications, the application shall 
be prepared on the same basis. An election under this paragraph is 
subject to the authority of the Secretary to require supplemental 
information, pursuant to Sec. 148.109(z).
    (b) Direct submissions by affiliates. If any affiliate has reason to 
believe that it or its business or property would be prejudiced by 
furnishing information required from it to the applicant, the affiliate 
may file the required information directly with the clerk. The 
information must be enclosed in a sealed envelope bearing on the outside 
the names of the applicant and affiliate and the date or anticipated 
date of the application. If any claim of privilege or confidentiality is 
asserted with respect

[[Page 184]]

to the contents, the procedure specified in Sec. 148.219(c) or (d) must 
be followed.



                    Subpart C--Application Proceeding

                                 General



Sec. 148.201  Purpose.

    This subpart prescribes rules of procedure and practice for 
application proceedings.



Sec. 148.203  Applicability.

    (a) Except as provided in paragraph (b) of this section, the rules 
in this subpart apply to each application proceeding.
    (b) The rules for formal hearings in Secs. 148.251--148.291 apply 
only to application proceedings in which the Commandant issues a notice 
of formal hearing under Sec. 148.251. The rules for informal hearings in 
Secs. 148.231--148.235 apply only to proceedings to consider 
applications for issuance, transfer, and renewal of a license.



Sec. 148.205  Clerk: docket; record.

    (a) The mailing address for the clerk in each proceeding is: 
Commandant (G-M), U.S. Coast Guard, 2100 Second Street SW., Washington, 
DC 20593-0001.
    (b) The clerk maintains a docket and the record for each proceeding. 
The docket lists each document in the record. The record contains all 
documents filed or issued in the proceeding that the clerk has received 
and any other documents in the proceeding that are docketed in 
accordance with this subpart.

[CGD 75-002, 40 FR 52553, Nov. 10, 1975; 40 FR 58143, Dec. 15, 1975, as 
amended by CGD 92-069, 58 FR 11193, Feb. 24, 1993]



Sec. 148.207  Availability of documents in the record.

    (a) The procedure for inspecting and copying documents in the record 
of a proceeding is contained in 49 CFR part 7 and section 14 of the Act. 
Copies of documents in the record of a proceeding are mailed to each 
adjacent coastal State unless their release is prohibited by 49 CFR part 
7 and section 14 of the Act.
    (b) Comments submitted by Federal agencies and departments for each 
proceeding in accordance with sections 5(e)(2) and 7(b) of the Act are 
docketed when they are received. Copies of the draft and final 
environmental impact statements prepared in accordance with section 5(f) 
of the Act are docketed when they are transmitted to the Council on 
Environmental Quality.
    (c) The applicant must designate any portions of the material 
submitted in an application that contain either trade secrets or 
commercial or financial information that is claimed to be privileged or 
confidential. Section 148.219 prescribes procedures for objecting to 
claims and resolving of disputed issues.
    (d) A copy of the application, except trade secrets and confidential 
information, is available for inspection and copying at: Commandant (G-
M), U.S. Coast Guard, 2100 Second Street SW., Washington, DC 20593-0001.
    (e) The application staff will designate a custodian of all 
documents filed in a proceeding for which protection is claimed under 
section 14(b) of the Act. The custodian shall not make public for 
inspection documents for which protection is claimed nor otherwise 
disclose such information, unless the General Counsel is of the opinion 
that the disclosure is not inconsistent with the requirements of section 
14(b) of the Act. The custodian shall keep a record of all officers and 
employees of the Department having custody of any copy or copies of 
undisclosed documents.

[CGD 75-002, 40 FR 52553, Nov. 10, 1975, as amended by CGD 92-069, 58 FR 
11193, Feb. 24, 1993]



Sec. 148.211  Processing an application.

    The Assistant Commandant for Marine Safety and Environmental 
Protection takes the action described in section 5(c)(1) of the Act for 
processing each application received in a proceeding and for issuing in 
the Federal Register the notices described in section 5(c)(1). If he 
issues notice of application pursuant to section 5(c)(1) of the Act, the 
application staff thereafter delivers the application described in the 
notice to the clerk for docketing and mails a copy of the notice to 
each:
    (a) Party;
    (b) Adjacent coastal State; and

[[Page 185]]

    (c) Other coastal State bordering on the body of water in which the 
proposed port would be located.

[CGD 75-002,40 FR 52553, Nov. 10, 1975 as amended, at CGD 88-052, 53 FR 
25121, July 1, 1988; CGD 96-026, 61 FR 33665, June 28, 1996; CGD 97-023, 
62 FR 33363, June 19, 1997]



Sec. 148.213  Changes to an application.

    If information in an application becomes materially inaccurate or 
incomplete after it is docketed in a proceeding but before the 
proceeding is terminated, the applicant must promptly file an amendment 
furnishing the corrected or additional information. Sixty copies of the 
amendment must be submitted to the application staff when the revisions 
are filed.



Sec. 148.215  Withdrawal of application.

    An applicant may withdraw his application in a proceeding at any 
time before the proceeding is terminated by delivering or mailing notice 
of withdrawal to the clerk for docketing.



Sec. 148.216  Request by port for determination.

    A port which applies for a determination under section 4(d) of the 
Act must submit a request in writing to the application staff within 30 
days of the date that notice of application is published in the Federal 
Register. The request must:
    (a) Be signed by the highest official of the port submitting the 
request;
    (b) Contain a copy of existing plans for the construction of a deep 
draft channel and harbor;
    (c) Certify that the port has an active study by the Secretary of 
the Army for the construction of a deep draft channel and harbor, or 
that the port has pending an application for a permit under section 10 
of the Act of March 3, 1899 (30 Stat. 1121) for the construction;
    (d) Provide any available documentation on:
    (1) Initial costs, by phases if staged development, for the proposed 
onshore project, including dredging, ship terminal and attendant 
facilities;
    (2) Estimated annual operating expenses by phases, if staged 
development, including labor, for thirty years for all elements of the 
project;
    (3) Estimated time of completion of all elements of the proposed 
project;
    (4) An estimate of the volume of ship traffic, the volume and 
variety of the tonnage, an assessment of the potential traffic 
congestion conditions in the port and an assessment of the capability of 
the port for controlling vessel traffic as a result of the proposed 
dredging project;
    (5) An assessment of the economic benefits estimated to be derived 
from the project, including:
    (i) Economic contribution to the local, and regional area;
    (ii) Induced industrial development;
    (iii) Increased employment;
    (iv) Increases in tax revenues; and
    (v) Any other factors; and
    (6) An assessment of the environmental and social impact of the 
project on elements of the local and regional community; and
    (e) Provide a statement of its views on whether it seeks a 
determination that the State port best serves the national interest or 
that both developments are warranted.



Sec. 148.217  Designation of adjacent coastal States.

    (a) The Assistant Commandant for Marine Safety and Environmental 
Protection, in issuing a notice of application pursuant to section 
5(c)(1) of the Act, designates as an adjacent coastal State each State 
which would be directly connected by pipeline to the deepwater port 
proposed in the application or which is within 15 miles of the proposed 
deepwater port. A State not designated as an adjacent coastal State in 
the notice of application may request to be so designated on the basis 
that the risk of damage to its coastal environment is equal to or 
greater than the risk posed to a State directly connected by pipeline to 
the proposed deepwater port.
    (b) Each request submitted under paragraph (a) of this section must:
    (1) Be submitted in writing to the application staff within 14 days 
after the date of publication of the notice of application in the 
Federal Register;
    (2) Be signed by the Governor of the State;
    (3) Set forth the facts and any available analyses in support of the 
request

[[Page 186]]

together with any available documentation concerning the risk of damage 
to the coastal environment of the requesting State that could occur as a 
result of the establishment of a deepwater port; and
    (4) State why the requesting State believes the risk of damage to 
its coastal environment is equal to or greater than the risk posed to a 
State connected by a pipeline to the proposed deepwater port.
    (c) The application staff transmits a copy of each request submitted 
in accordance with paragraph (b) of this section to the Administrator of 
the National Oceanic and Atmospheric Administration and requests his 
recommendations within a period of time that will allow the Secretary to 
determine the matter within 45 days after the date the request was 
received.
    (d) If, after having received the recommendation of the 
Administrator of the National Oceanic and Atmospheric Administration, 
the Secretary determines that there is a risk of damage to the coastal 
environment of the requesting State equal to or greater than the risk 
posed to a State directly connected to the proposed deepwater port, he 
grants the request and designates the requesting State as an adjacent 
coastal State. If he determines that there is not such a risk, he denies 
the request and so notifies the Governor of the requesting State.

[CGD 75-002, 40 FR 52553, Nov. 10, 1975, as amended by CGD 88-052, 53 FR 
25121, July 1, 1988; CGD 96-026, 61 FR 33665, June 28, 1996; CGD 97-023, 
62 FR 33363, June 19, 1997]



Sec. 148.219  Claims and objections.

    (a) Any person required to furnish information may assert, as ground 
for relief from the requirement, any failure to comply with this part or 
any other constitutional or legal right or privilege.
    (b) In general, claims relating to documents must be made on filing 
an application or on receiving a determination by the Secretary pursuant 
to Sec. 148.109(z).
    (c) If a person claims attorney-client privilege, he must identify 
the communication by date, type of communication, persons making and 
receiving the communication, and general subject matter. If the required 
information is in a separable part of a communication, such as an 
attachment to a letter, the separate part must be similarly identified. 
The identification must be filed with the clerk or as a document 
pursuant to Sec. 148.269.
    (d) Any document claimed to be protected by section 14(b) of the Act 
must be placed in a sealed envelope, containing the name of the person 
claiming the protection and of the applicant, and the date or 
anticipated date of the application. A brief statement of the basis of 
the claim must be included, either on the envelope or separately. If a 
number of documents are involved, they must be grouped according to 
nature of claim, and a self-explanatory numbering system used for 
envelopes and documents.
    (e) Written objection to any claim may be made by any Federal or 
State department or agency, or any applicant, affiliate, party or other 
interested person. The objection shall include a brief statement of its 
basis and identify the documents to which it applies.
    (f) Except as provided in paragraph (g) of this section, the General 
Counsel shall determine, or designate a person to determine, issues 
raised by any claim filed under this section. A designation by the 
General Counsel may specify procedures to be used in resolving the issue 
or may leave some or all of the procedural matters to the discretion of 
the designated person. The proceedings pursuant to a designation shall 
be reported to the General Counsel, who shall approve, modify or 
disapprove the reported findings and conclusions.
    (g) Any person making or objecting to a claim, or other interested 
person, may at any time file with the General Counsel a request or 
recommendation as to procedures. The General Counsel may act upon it or 
refer it to a person designated to resolve the issue.
    (h) At any formal or informal hearing the presiding officer may 
permit any person to assert any claim that could be filed under this 
section and may determine any issue raised by the claim or, in his 
discretion, refer it to the General Counsel for resolution pursuant to 
paragraph (f) of this section.

[[Page 187]]

    (i) The filing of any claim under this section, other than a claim 
of document protection under paragraph (d) of this section, shall stay 
the time for meeting any information required to which the claim 
relates, but shall not stay the periods for processing and review of an 
application unless the Secretary determines that compliance with the 
requirement is material to processing of the application within the time 
prescribed in the Act. If the Secretary determines that it is material, 
he may suspend the application pending a determination that processing 
can be resumed. The period of any suspension shall not be counted in 
determining the date prescribed by the time limit set forth in section 
4(c)(6), 5(d)(3), 5(e)(2), 5(g), 7(b)(11) or 9(b)(1) of the Act.
    (j) Any determination by the General Counsel under paragraph (f) of 
this section may be appealed to the Secretary for good cause shown.

                         Informal Public Hearing



Sec. 148.231  Notice of public hearing.

    After all applications in a proceeding are docketed, the Commandant 
issues a notice of public hearing and mails or delivers it to any person 
who requests it and to each applicant and adjacent coastal state. The 
clerk dockets the notice when it is published. Each notice shows the 
time and place for the hearings, formulates the factual issues in the 
proceeding, procedural matters to govern the hearings, and designates 
the presiding officer assigned by the Commandant for the hearing.



Sec. 148.233  Testimony and argument.

    Interested persons may attend any public hearing, present relevant 
material at the hearing, and submit briefs and oral argument at a time 
determined by the presiding officer during the hearing.



Sec. 148.235  Report of public hearing.

    As soon as practicable after a public hearing is completed, the 
presiding officer forwards a report of the hearing to the clerk for 
docketing. The report at a minimum contains a summary of the materials 
presented and factual issues raised at the hearing and has attached to 
it a transcript of the hearing and all relevant materials and briefs 
submitted to the presiding officer. The presiding officer determines and 
announces to the participants during the course of the hearing what 
material will be attached to the report.

                             Formal Hearing



Sec. 148.251  Determination to hold formal hearing: notice of formal hearing.

    (a) After the reports of public hearings are docketed in a 
proceeding, the Commandant determines whether there are specific and 
material factual issues concerning the applications that may be resolved 
by a formal hearing. If he determines that a formal hearing is 
necessary, he issues notice of formal hearing to the applicants, the 
application staff, and the administrative law judge.
    (b) A notice of formal hearing lists the factual issues for 
resolution at the hearing, the applicants, and the administrative law 
judge assigned to conduct the hearing.
    (c) The clerk mails or delivers a copy of the notice of formal 
hearing in a proceeding to each adjacent coastal state and to each 
person who requests notice of formal hearing.



Sec. 148.253  Assignment of administrative law judge: disqualification.

    (a) The Commandant assigns the administrative law judge for a formal 
hearing.
    (b) The administrative law judge may disqualify himself at any time 
after assignment by filing notice of withdrawal from the proceeding. If 
on motion of a party the administrative law judge does not disqualify 
himself, the party may appeal the ruling to the Commandant by filing 
notice of appeal within seven days after the ruling on the motion. A 
brief may be filed with the notice of appeal.
    (c) If the assigned administrative law judge becomes unavailable 
during the proceeding, another administrative law judge is assigned.

[[Page 188]]



Sec. 148.255  Jurisdiction of the administrative law judge.

    (a) The jurisdiction of the administrative law judge over a 
proceeding begins when he is assigned. His jurisdiction ends 20 days 
after the transcript of the formal hearing is docketed or when he issues 
notice of withdrawal from the proceeding.
    (b) The Commandant exercises the authority of an administrative law 
judge in a proceeding when no administrative law judge has jurisdiction.



Sec. 148.257  Authority of the administrative law judge.

    The administrative law judge assigned to a formal hearing may:
    (a) Administer oaths and affirmations;
    (b) Issue subpoenas;
    (c) Adopt procedures for the submission of evidence in written form;
    (d) Rule on offers of proof and receive relevant evidence;
    (e) Examine witnesses at the formal hearing;
    (f) Dispose of procedural requests or similar matters;
    (g) Convene, recess, reconvene, adjourn, and otherwise regulate the 
course of the formal hearing;
    (h) Certify questions to the Commandant;
    (i) If a party to a formal hearing fails to appear at a session of 
the hearing, proceed with the session without further notice to the 
party;
    (j) Extend or shorten a time prescribed by this subpart to the 
extent consistent with the 240 days time limit prescribed in section 
5(g) of the Act for completing public hearings in a proceeding;
    (k) Prescribe a time for doing an act if the time is not prescribed 
in this subpart; and
    (l) Take any other action authorized by or consistent with this 
subpart, the Act, or 5 U.S.C. 551-559.



Sec. 148.259  Ex parte communications.

    If two or more applications have been filed in a proceeding, or if a 
person opposing an application has intervened in the proceeding, the 
administrative law judge may not consult any party on a fact in issue 
except on notice and opportunity for all parties to participate. The 
administrative law judge must prepare a summary of and have docketed 
each ex parte communication in the proceeding.



Sec. 148.261  Parties.

    The parties to a formal hearing are the application staff, the 
applicants, and intervenors in the proceeding.



Sec. 148.263  Intervention.

    (a) Any person may file a petition to intervene in a formal hearing, 
and any adjacent coastal state may intervene by filing a notice of 
intervention. The petition must be addressed to the administrative law 
judge, must identify the specific matters in the hearing on which he 
seeks to intervene and his interest in those matters, and must designate 
the name and address of a person upon whom service may be made if the 
petition is granted. A party to the formal hearing may file an answer to 
a petition within five days after the petition is filed.
    (b) A petition to intervene must be filed within ten days after 
notice of formal hearing is issued.
    (c) Intervention may be limited to particular matters or to 
particular times in the hearing if necessary to prevent repetitious 
evidence and argument or to control the course of the formal hearing.
    (d) If the administrative law judge denies a petition in whole or 
part, the petitioner may appeal to the Commandant by filing notice of 
appeal within seven days after the denial is issued. A brief may be 
filed with the notice of appeal. A party may file a brief in support of 
or in opposition to the appeal within seven days after the notice of 
appeal is filed.



Sec. 148.265  A person not a party.

    (a) At any time before a formal hearing, any person who is not a 
party may submit to the administrative law judge a petition to present 
evidence at the formal hearing. The petition must be sent to the 
administrative law judge or to the clerk who will forward it to the 
administrative law judge. The petition must contain a statement 
describing in detail the evidence to be presented and must show its 
relevancy to factual

[[Page 189]]

issues listed in the notice of formal hearing.
    (b) If a petition is granted, the ruling delineates the evidence 
that may be presented at the formal hearing.



Sec. 148.267  Appearance and practice.

    (a) Each party to a formal hearing, except an individual, must 
appear by his attorney. Each attorney must file a notice of appearance 
that states his name, address, telephone number, and the name of the 
person he represents. With his notice of appearance, each attorney must 
file a written authorization from his client.
    (b) Each attorney representing a person in a proceeding must be 
admitted, and be in good standing, to practice before a court of the 
United States or the highest court of any State, territory or possession 
of the United States.
    (c) The administrative law judge assigned to the formal hearing may 
suspend or bar an attorney from representing a person in the proceeding 
if he finds that the attorney has failed to conform to the standards of 
conduct required for attorneys in the Courts of the United States.
    (d) The administrative law judge may exclude any person from a 
formal hearing or a conference if the person is contumacious at the 
hearing or conference.



Sec. 148.269  Requirements for documents.

    (a) Each document, except an application, filed in a proceeding or 
submitted to the administrative law judge must:
    (1) List the docket number of the proceeding; and
    (2) Be signed in ink by the person filing or submitting the document 
and show the capacity of the person signing, his address, and the date 
of signing.
    (b) Each document filed in a proceeding, except an application, 
must:
    (1) Be accompanied by ten copies of the document;
    (2) Show the name and address of each person upon whom a copy of the 
document has been served;
    (3) Be accompanied by an affidavit showing proof of service if the 
person serving the process is not an attorney; and
    (4) Contain the following certificate of service if the person 
serving the process is an attorney:

    I hereby certify that I have this day served the foregoing document 
upon --------------------------------in accordance with 33 CFR 148.275.
    Dated at ------------ this ------------day of ------------, 19----.

                                                       Signature        
For_____________________________________________________________________

                                             Name of Party or Petitioner



Sec. 148.271  Subscription.

    The signature on a document filed, served, or submitted to the 
administrative law judge in a proceeding is certification by the person 
signing that he has full authority to sign the document, that he has 
read it and knows its contents, that to the best of his knowledge, 
information, and belief the statements made in it are true, and that it 
is not interposed for delay.



Sec. 148.273  Filing.

    (a) A document is filed in a proceeding when it meets the 
requirements in Sec. 148.269 and is deposited in the mail or, if not 
mailed, is received by the clerk.
    (b) If the clerk receives a document that does not comply with 
Sec. 148.269 he returns it to the person who submitted it with a 
statement of reasons for the return.
    (c) Filing by mail must be by certified mail.



Sec. 148.275  Service of document: other transmittal.

    (a) The clerk serves each order, ruling, decision, and notice upon 
all parties to a formal hearing when issued, except a document issued at 
the formal hearing or a prehearing conference.
    (b) Each document before it is filed in a proceeding must be served 
upon:
    (1) All parties, except the person filing the document; and
    (2) The administrative law judge or if no administrative law judge 
has jurisdiction, the Commandant.
    (c) Service of a document upon a party must be made upon the 
attorney representing the party or, for a party not represented by an 
attorney, upon the party.

[[Page 190]]

    (d) Service must be made by handing a copy of the document to the 
person to be served or depositing a copy of the document in the mail.
    (e) This section does not apply to service of subpoenas. Rules for 
serving subpoenas are in Sec. 148.281.
    (f) The clerk mails to a person who is not a party, and who has 
submitted a petition or motion in the proceeding, a copy of the ruling 
on the petition or motion when issued and a copy of the action taken on 
any appeal of the petition. He mails a copy of the notice of the formal 
hearing, when the notice is issued, to each person whose petition to 
present evidence has been granted under Sec. 148.265.
    (g) The clerk provides the applicants and the administrative law 
judge with a copy of each application and report of public hearing 
docketed in the proceeding.



Sec. 148.277  Conferences.

    (a) The administrative law judge may hold one or more prehearing 
conferences to give the parties an opportunity to present and consider 
facts and arguments, to exchange exhibits proposed to be offered in 
evidence, and to obtain stipulations, admissions, and agreements to 
produce documents and other tangible things. The administrative law 
judge may consider at a conference the procedure to be followed at the 
formal hearing, limitations on the number of witnesses at the hearing, 
and any other matters that may expedite the disposition of the 
proceeding.
    (b) The administrative law judge may hold conferences during a 
formal hearing to expedite the disposition of the proceeding.
    (c) If a prehearing conference is held, the administrative law judge 
issues a notice reciting the action taken at the conference and any 
agreements made between the parties.



Sec. 148.279  Motions.

    (a) Any request for a ruling or relief in a proceeding, except a 
request for a subpoena or a petition to intervene or present evidence at 
a formal hearing, must be submitted by motion. Each motion must be 
addressed to the administrative law judge, state the ruling or relief 
sought and the grounds therefor, and be accompanied, if appropriate, by 
a proposed order. Each written motion must be filed. An oral motion may 
be made only at the formal hearing or a conference.
    (b) Within seven days after service of a written motion, a party may 
file an answer supporting or opposing the motion.
    (c) Unless otherwise authorized by the administrative law judge, no 
oral argument is heard on a written motion. A brief may be filed with a 
written motion or an answer to a written motion.
    (d) The administrative law judge issues a ruling and any appropriate 
order for each motion made.
    (e) Except as otherwise provided in Secs. 148.253 and 148.263, a 
ruling of the administrative law judge on a motion may not be appealed 
to the Commandant. The administrative law judge may refer any ruling to 
the Commandant for review if he determines that the ruling involves an 
important question of law or policy.



Sec. 148.281  Subpoenas.

    (a) At any time before a formal hearing is completed, a party may 
submit a request to the administrative law judge for issuance of a 
subpoena. A request for issuance of a subpoena must show the general 
relevance and scope of the evidence sought.
    (b) A proposed subpoena and fifteen copies, and witness fees for one 
day and mileage, must be submitted with each request. A proposed 
subpoena must contain:
    (1) The docket number of the proceeding;
    (2) The captions ``Department of Transportation,'' ``Coast Guard,'' 
and ``Licensing of Deepwater Port for coastal waters off (insert name of 
the coastal state closest to the proposed deepwater port and the docket 
number of the proceeding)'';
    (3) The name and office of the administrative law judge;
    (4) A statement commanding the person to whom the subpoena is 
directed to attend the formal hearing and give testimony or, for a 
subpoena to produce documentary evidence, a statement commanding the 
person to produce designated documents, books,

[[Page 191]]

papers, or other tangible things at a designated time or place; and
    (5) Explanation of the procedure in Sec. 148.279 and paragraph (e) 
of this section for quashing a subpoena.
    (c) Unless otherwise authorized by the administrative law judge, a 
subpoena must be served in accordance with Rule 45 of the Federal Rules 
of Civil Procedure.
    (d) A subpoenaed witness is paid the same fees and mileage paid to 
witnesses subpoenaed in District Courts of the United States. The person 
requesting a subpoena must pay the fees and mileage.
    (e) Any motion to quash a subpoena must be submitted within seven 
days after service of the subpoena.
    (f) If a person does not comply with a subpoena and the 
administrative law judge on motion rules that good cause has been shown 
for seeking judicial enforcement of a subpoena, he refers his ruling to 
the Commandant.



Sec. 148.283  Hearing date.

    (a) The administrative law judge schedules the formal hearing by 
issuing a notice to the parties.
    (b) The clerk mails or delivers a copy of the notice to any person 
who requests it.



Sec. 148.285  Reporter: transcript; corrections.

    (a) The reporter for a formal hearing is arranged for by the clerk. 
The reporter prepares a verbatim transcript of the hearing under the 
supervision of the administrative law judge. Nothing may be deleted from 
the transcript unless ordered by the administrative law judge and noted 
in the transcript.
    (b) After a formal hearing is completed, the administrative law 
judge certifies and forwards the transcript to the clerk for docketing.
    (c) At any time within 20 days after the transcript is docketed, the 
administrative law judge may make corrections to the certified 
transcript. Corrections when filed are attached to the transcript as 
appendices. Any motion to correct the transcript must be submitted 
within ten days after the transcript is docketed.



Sec. 148.287  Order of procedure.

    The administrative law judge determines the order of procedure for 
each formal hearing.



Sec. 148.289  Evidence.

    A party may present evidence and conduct cross-examination of 
witnesses at a formal hearing. Other persons may present evidence that 
they have been authorized to present under Sec. 148.265.



Sec. 148.291  Rulings referred or appealed to the Commandant.

    (a) The Commandant reviews each ruling referred or appealed to him 
under this subpart and issues a ruling and any appropriate order. Unless 
otherwise ordered by the Commandant or the administrative law judge, 
review of a ruling does not stay a formal hearing or extend a time 
period prescribed by this subpart.
    (b) If the administrative law judge refers a ruling to the 
Commandant, he gives notice to the parties of the referral.

                     Application Approval or Denial



Sec. 148.321  Decision process generally.

    (a) During the 45-day period immediately following the completion of 
the final public hearing on a proposed deepwater port license for a 
designated application area, opportunity is provided for the various 
Federal departments and agencies having expertise concerning, or 
jurisdiction over, any aspect of ownership, construction, or operation 
of deepwater ports or having a duty under the Act with respect thereto 
and the Governor of each adjacent coastal State to formulate and 
transmit to the Secretary their determinations, recommendations, 
opinions and approvals or disapprovals, as the case may be.
    (b) Within 45 days after the expiration of the 45-day period 
described in paragraph (a) of this section, the Secretary approves or 
denies each application for a deepwater port license in the designated 
application area.



Sec. 148.323  Criteria and considerations.

    (a) The Secretary approves an application only after he determines 
that:

[[Page 192]]

    (1) The applicant is financially responsible and will carry 
insurance or give evidence of other financial responsibility in the 
amount of $50,000,000 to cover the clean-up costs and damages that could 
result from a discharge of oil from the deepwater port concerned or from 
a vessel moored at the deepwater port;
    (2) The applicant can and will comply with applicable laws, 
regulations, and license conditions;
    (3) The construction and operation of the deepwater port will be in 
the national interest and consistent with national security and other 
national policy goals and objectives, including energy sufficiency and 
environmental quality;
    (4) The deepwater port will not unreasonably interfere with 
international navigation or other reasonable uses of the high seas, as 
defined by treaty, convention, or customary international law;
    (5) In accordance with the environmental review criteria set forth 
in Appendix A to this part, that the applicant has demonstrated that the 
deepwater port will be constructed and operated using the best available 
technology, so as to prevent or minimize adverse impact on the marine 
environment; and
    (6) The adjacent coastal State to which the deepwater port concerned 
is to be connected by pipeline, has developed, or is making, at the time 
the application was submitted, reasonable progress toward developing an 
approved coastal zone management program pursuant to the Coastal Zone 
Management Act of 1972 in the area to be directly and primarily impacted 
by land and water development in the coastal zone resulting from the 
deepwater port or is receiving a planning grant under section 305 of the 
Coastal Zone Management Act.
    (b) In deciding whether to approve or deny an application and in 
making the related preliminary determinations specified in paragraph (a) 
of this section, the Secretary considers:
    (1) The information set forth in the application concerned and any 
other applications for licenses for the same application area submitted 
in accordance with section 5(d)(3) of the Act;
    (2) The information developed during hearings held pursuant to 
Secs. 148.231 through 148.291;
    (3) The final environmental impact statement for the application 
area concerned;
    (4) The views of the Secretary of the Army, the Secretary of State, 
and the Secretary of Defense on the adequacy of the application and its 
effects on programs within their respective jurisdictions;
    (5) The views and recommendations of the heads of any other Federal 
departments or agencies having expertise concerning, or jurisdiction 
over, any aspect of the ownership, construction or operation of 
deepwater ports; and
    (6) The opinions of the Federal Trade Commission and the Attorney 
General as to whether issuance of the license would adversely affect 
competition, restrain trade, promote monopolization or otherwise create 
a situation in contravention of the antitrust laws.
    (c) The Secretary does not approve an application if, within the 45-
day period immediately following the completion of the final public 
hearing:
    (1) The Administrator of the Environmental Protection Agency 
determines that the proposed deepwater port will not conform with all 
applicable provisions of the Clean Air Act, as amended, the Federal 
Water Pollution Control Act, as amended, or the Marine Protection, 
Research and Sanctuaries Act, as amended; or
    (2) The Governor of an adjacent coastal State disapproves the 
issuance of the license.



Sec. 148.325  Multiple applications.

    (a) Except as provided in paragraph (b) of this section, in the case 
of more than one application for a deepwater port license in a 
designated application area, only one application may be approved 
according to the following order of priorities:
    (1) An applicant that is an adjacent coastal State (or combination 
of States), any political subdivision thereof or agency or 
instrumentality, including a wholly owned corporation thereof.
    (2) An applicant who is not:
    (i) Engaged in producing, refining, or marketing oil;

[[Page 193]]

    (ii) An affiliate of any person who is engaged in producing, 
refining or marketing oil; or
    (iii) An affiliate of such an affiliate.
    (3) Any other applicant.
    (b) Notwithstanding the order of priorities listed in paragraph (a) 
of this section, if the Secretary determines that one of the proposed 
deepwater ports will clearly best serve the national interest, he may 
approve the application for that port. In making this determination, the 
Secretary considers:
    (1) The degree to which the proposed deepwater ports affect the 
environment as determined under the review criteria set forth in 
Appendix A to this part;
    (2) Any significant differences between anticipated completion dates 
for the proposed deepwater ports; and
    (3) Any differences in costs of construction and operation of the 
proposed deepwater ports to the extent that such differential may 
significantly affect the ultimate cost of oil to the consumer.



Sec. 148.327  Termination of proceeding before approval or denial of an application.

    The Commandant terminates a proceeding if:
    (a) All applications are withdrawn before the decision approving or 
denying them is issued; or
    (b) In a proceeding with one application that does not have all of 
the information required by Subpart B of this part, the applicant after 
inquiry by the application staff does not provide adequate assurance 
that further information to make the application is forthcoming.



                    Subpart D--Issuance of a License



Sec. 148.400  Applicability.

    This subpart prescribes rules that apply to the issuance of a 
license under the Act.



Sec. 148.403  Issuance of a license.

    If an application under the Act is approved, a license is issued 
containing the following:
    (a) The name and number or identification of the port.
    (b) The name of the owner and operator of the port.
    (c) Conditions to the ownership, construction, and operation of the 
deepwater port issued under section 4(e) of the Act.



Sec. 148.405  Term of license.

    Each license is issued for a term of 20 years, unless a shorter 
period is requested in the application.



Sec. 148.407  Consultation with adjacent coastal States.

    (a) The Governor of an adjacent coastal State may consult with the 
application staff concerning license conditions that the application 
staff may have under consideration.
    (b) If the Governor of an adjacent coastal State notifies the 
Secretary that an application, which would otherwise be approved in a 
proceeding, is inconsistent with State programs relating to 
environmental protection, land and water use, or coastal zone 
management, the notification should include a description of:
    (1) The State's environmental protection, land or water use, or 
coastal zone management program with which the application is 
inconsistent and how the application is inconsistent; and
    (2) Conditions that if imposed on the license would make it 
consistent with the State program.



                       Subpart E--Site Evaluation

    Source: CGD 75-194, 41 FR 16800, Apr. 22, 1976, unless otherwise 
noted.



Sec. 148.501  Purpose.

    (a) This subpart prescribes requirements for site evaluation and 
preconstruction testing at potential deepwater port locations.
    (b) For the purpose of this subpart, ``site evaluation and 
preconstruction testing'' means all field studies performed at potential 
deepwater port locations, including:
    (1) Preliminary studies to determine site feasibility;
    (2) Detailed studies of the topographic and geologic structure of 
the ocean bottom to determine its ability to support offshore structures 
and appurtenances; and

[[Page 194]]

    (3) Studies involved with the preparation of the environmental 
analysis required under Sec. 148.109(t).



Sec. 148.503  Notice of proposed site evaluation activities.

    (a) Any person desiring to conduct site evaluation and 
preconstruction testing at potential deepwater port sites must submit a 
written notice to the Commandant (G-M), U.S. Coast Guard, Washington, DC 
20593, at least 10 days before the commencement of any activities.
    (b) The written notice of proposed site evaluations and 
preconstruction testing at potential deepwater port locations must 
include the following:
    (1) The identification of persons or agencies participating in the 
proposed activities.
    (2) The type of activities and the manner in which they will be 
conducted.
    (3) Chartlets showing the location where the proposed activities are 
to be conducted and locations of all offshore structures, including 
pipelines and cables, in or near the area of proposed activity.
    (4) The specific purpose of the activities.
    (5) The dates on which the activities will be commenced and 
completed.
    (6) Available environmental data on the environmental consequences 
of the activities.
    (7) A preliminary report, based on existing data, of the historic 
and archeological significance of the area where the proposed activities 
are to take place, including a report of each contact made with any 
appropriate State liaison officer for historic preservation.
    (c) For the activities listed below, because they are not usually 
harmful to the environment, the notice need contain only the information 
required in paragraphs (b)(1), (2), and (5) of this section, as well as 
a general indication of the proposed location and purpose of the 
activities:
    (1) Gravity and magnetometric measurements.
    (2) Bottom and sub-bottom acoustic profiling without the use of 
explosives.
    (3) Sediment sampling of a limited nature using either core or grab 
samplers if geological profiles indicate no discontinuities that may 
have archeological significance.
    (4) Water and biotic sampling, if the sampling does not adversely 
affect shellfish beds, marine mammals, or an endangered species, or if 
permitted by another Federal agency.
    (5) Meterological measurements, including the setting of 
instruments.
    (6) Hydrographic and oceanographic measurements, including the 
setting of instruments.
    (7) Small diameter core sampling to determine foundation conditions.
    (d) The Coast Guard advises and coordinates with appropriate Federal 
agencies and States concerning activities under this subpart.
    (e) If necessary, the Coast Guard requires additional information in 
individual cases.

[CGD 75-194, 41 FR 16800, Apr. 22, 1976, as amended by CGD 88-052, 53 FR 
25121, July 1, 1988]



Sec. 148.505  General conditions of performance.

    (a) No person may conduct activities to which this subpart applies 
except in compliance with the regulations in this subpart and all other 
applicable laws and regulations.
    (b) A separate written notice is required for each site.
    (c) Measures must be taken to prevent or minimize the effect of 
those activities that may:
    (1) Adversely affect the environment;
    (2) Interfere with authorized uses of the Outer Continental Shelf or 
navigable waters; or
    (3) Pose a threat to human health and welfare.



Sec. 148.507  Reports.

    Each person conducting site evaluation and preconstruction testing 
at potential deepwater port locations shall:
    (a) Notify the Coast Guard of any evidence of objects of cultural, 
historical, or archeological significance immediately upon their 
discovery;
    (b) Notify the Coast Guard immediately of any:
    (1) Adverse effects on the environment;
    (2) Interference with Authorized uses of the Outer Continental 
Shelf;

[[Page 195]]

    (3) Threat to human health and welfare; and
    (4) Adverse effects on any site, structure, or object of potential 
historical or archeological significance; and
    (c) Submit a preliminary written report to the Coast Guard within 30 
days after the completion of activity that contains, as reasonably 
available at that time:
    (1) A narrative description of the activities performed;
    (2) Charts, maps, or plats for the area where the activities were 
conducted and referencing the narrative description required in 
paragraph (c)(1) of this section;
    (3) The dates on which the activities were performed;
    (4) Information on any adverse effects on the environment, other 
uses of the area where the activities were conducted, human health or 
welfare, or any site, structure, or object of potential historical or 
archeological significance;
    (5) Data on the historical or archeological significance of the area 
where the activities were conducted, including the report of an 
underwater archeologist, if physical data indicate the need for such 
expertise as related to the activities undertaken; and
    (6) Any addtional information that may be required by the Coast 
Guard; and
    (d) Submit to the Coast Guard within 120 days after the completion 
of activity a final detailed report that contains all the data required 
in paragraph (c) of this section that was not included in the 
preliminary report.



Sec. 148.509  Suspension and prohibition of activities.

    (a) The Commandant may order, either in writing or orally with 
written confirmation, the immediate suspension, for a period not to 
exceed 30 days, of any site evaluation activity when, in his judgment, 
such activity threatens immediate, serious, and irreparable harm to 
human life, biota, property, cultural resources, any valuable mineral 
deposits, or the environment. During any suspension the Coast Guard will 
consult with the sponsor of the activity suspended concerning 
appropriate measures to remove the cause for suspension. A suspension 
may be rescinded at any time upon presentation of satisfactory assurance 
by the sponsor that the activity no longer adversely threatens the 
quality of the human environment.
    (b) The Commandant may prohibit those activities that:
    (1) Are suspended under paragraph (a) of this section, if the cause 
for suspension is not or cannot be removed;
    (2) Threaten immediate, serious, and irreparable harm to life, 
including biota, property, cultural resources, any valuable mineral 
deposits, or the environment;
    (3) Violate the requirements of this subpart; or
    (4) Are otherwise inconsistent with the purposes of the Act.



  Subpart F--Procedure for Exemption From Any Requirement in Deepwater 
                            Port Regulations



Sec. 148.601  Applicability.

    This subpart sets forth the procedures governing exemptions from any 
requirement in this part 148, parts 149 and 150.



Sec. 148.603  Petition for exemption.

    (a) Any person required to comply with any specific requirements in 
Part 148, Parts 149 and 150 may submit a petition to the Commandant for 
an exemption.
    (b) A petition for exemption must be submitted in writing. It may be 
in any form, but it must be specific and it must contain all data 
necessary to evaluate its merits.



Sec. 148.605  Coordination with states.

    A petition for exemption under this subchapter that appears to 
involve the interests of an adjacent coastal State will be referred to 
the Governor of that State for consideration and recommendation.



Sec. 148.607  Exemption criteria.

    The Commandant grants an exemption if he determines that:
    (a) Compliance with the regulations would be contrary to the public 
interest;

[[Page 196]]

    (b) Compliance would not enhance safety or the environment;
    (c) Compliance is not practical because of local conditions or 
because the materials or personnel needed for compliance are 
unavailable;
    (d) National defense or national economy justify a departure from 
the rules; or
    (e) The alternative proposed in the petition would:
    (1) Ensure comparable or greater safety; environmental protection; 
and quality of construction, maintenance and operation of a deepwater 
port; and
    (2) Would be consistent with recognized principles of international 
law.



                     Subpart G--Limits of Liability

    Source: CGD 97-023, 62 FR 33363, June 19, 1997, unless otherwise 
noted.



Sec. 148.701  Purpose.

    This subpart sets forth the limits of liability for U.S. deepwater 
ports in accordance with section 1004 of the Oil Pollution Act of 1990 
(33 U.S.C. 2704).



Sec. 148.703  Limits of liability.

    (a) The limits of liability for U.S. deepwater ports will be 
established by the Secretary of Transportation on a port-by-port basis, 
after review of the maximum credible spill and associated costs for 
which the port would be liable. The limit for a deepwater port will not 
be less than $50 million or more than $350 million.
    (1) The limit of liability for the LOOP deepwater port licensed and 
operated by Louisiana Offshore Oil Port, Inc., is $62,000,000.
    (2) [Reserved]
    (b) [Reserved]

  Appendix A to Part 148--Environmental Review Criteria for Deepwater 
                                  Ports

    I. Authority. The Deepwater Port Act of 1974, Pub. L. 93-627 (33 USC 
1501 et seq.), authorizes the Secretary of Transportation to issue, 
transfer, amend, or renew a license for the ownership, construction, and 
operation of a deepwater port. Section 6 of the Act requires the 
Secretary to establish environmental review criteria which shall be used 
to evaluate a deepwater port as proposed in an application for a 
license. By amendment of Part 1 of Title 49, Code of Federal Regulations 
(49 CFR 1.46(t)), dated April 25, 1975, the Secretary delegated to the 
Commandant of the Coast Guard the responsibility to establish such 
criteria (40 FR 20088-20089). (49 CFR 1.46(t) is presently redesignated 
as 49 CFR 1.46(s) (40 FR 43901-43906)).
    Section 6 of the Act reads as follows:
    Sec. 6. (a) The Secretary, in accordance with the recommendations of 
the Administrator of the Environmental Protection Agency and the 
Administrator of the National Oceanic and Atmospheric Administration and 
after consultation with any other Federal departments and agencies 
having jurisdiction over any aspect of the construction or operation of 
a deepwater port, shall establish, as soon as practicable after the date 
of enactment of this Act, environmental review criteria consistent with 
the National Environmental Policy Act. Such criteria shall be used to 
evaluate a deepwater port as proposed in an application, including:
    (1) the effect on the marine environment;
    (2) the effect on oceanographic currents and wave patterns;
    (3) the effect on alternate uses of the oceans and navigable waters, 
such as scientific study, fishing, and exploitation of other living and 
nonliving resources;
    (4) the potential dangers to a deepwater port from waves, winds, 
weather, and geological conditions, and the steps which can be taken to 
protect against or minimize such dangers;
    (5) effects of land-based developments related to deepwater port 
development;
    (6) the effect on human health and welfare; and
    (7) such other considerations as the Secretary deems necessary or 
appropriate.
    (b) The Secretary shall periodically review and, whenever necessary, 
revise in the same manner as originally developed, criteria established 
pursuant to subsection (a) of this section.
    (c) Criteria established pursuant to this section shall be developed 
concurrently with the regulations in section 5(a) of this Act and in 
accordance with the provisions of that subsection.
    II. Purpose. A. Environmental review criteria shall be used to 
evaluate a deepwater port as proposed in an application for a license to 
own, construct and operate a deepwater port. The criteria shall be 
consistent with the National Environmental Policy Act, Pub. L. 91-190 
(42 USC 4321 et seq.), which declares a national environmental policy. 
The Secretary of Transportation may issue a license in accordance with 
the provisions of the Act if, among other things, he determines:
    --that the construction and operation of the deepwater port will be 
in the national interest and consistent with national security

[[Page 197]]

and other national policy goals and objectives, including energy 
sufficiency and environmental quality; and
    --in accordance with the environmental review criteria established 
pursuant to section 6 of the Act, that the applicant has demonstrated 
that the deepwater port will be constructed and operated using the best 
available technology to prevent or minimize adverse impact on the 
environment. (Sections 4(c)(3) & (5) of the Act.)
    These criteria are therefore intended to be used to evaluate the 
environmental soundness of a proposed deepwater port and to serve as 
basic guidelines for determining what environmental impacts could result 
from deepwater port development and the procedures and technology which 
can be used to prevent or minimize adverse impacts.
    B. In accordance with section 5(f) of the Act, these criteria shall 
also be considered in the preparation of a single, detailed 
environmental impact statement for all timely applications covering a 
single application area. Additionally, section 5(i)(3) of the Act 
specifies that, in the event more than one application is submitted for 
an application area, the criteria shall be used, among other factors, in 
determining whether any one proposed deepwater port clearly best serves 
the national interest.
    III. Environmental review criteria. The environmental review of a 
proposed deepwater port consists of two parts. The first part involves 
assessment of the probable negative and positive environmental impacts 
which will result from construction and operation of the port. The 
second part appriases the effort made by the applicant to prevent or 
minimize adverse environmental effects. Guidelines for such an effort 
are set forth and will be closely considered in the review.
    The overall intent of this review is to arrive at a comprehensive 
evaluation of the significance of the discrete and cumulative 
environmental impacts, adverse and beneficial, of the project as 
proposed and to determine whether or not the applicant has demonstrated 
that the deepwater port will be constructed and operated using the best 
available technology, so as to prevent or minimize adverse impact on the 
marine environment.
    A. The proposed deepwater port will be evaluated to assess the 
magnitude and importance of its probable negative and positive 
environmental impacts. This review will include comparison with 
reasonable alternative actions, such as: the no-action case (alternative 
transportation schemes for imported oil); alternative sites, designs, 
and systems; and other deepwater ports. The information necessary for 
such an evaluation will be provided by the Federal Environmental Impact 
Statement and other sources as necessary. A picture of the relative net 
environmental impact of the proposed project should be obtained. Also, 
identification of actions which might be taken with respect to 
procedures and technology to prevent or minimize probable adverse 
effects will be made. The following are the primary areas of concern:
    1. The Effect on the Marine Environment:
    (Note: The term ``marine environment'' includes the navigable waters 
(including the lands therein and thereunder) and the adjacent shorelines 
(including the waters therein and thereunder); transitional and 
intertidal areas, bays, lagoons, salt marshes, estuaries, beaches, 
waters of the contiguous zone, waters of the high seas; the fish, 
wildlife and other living resources thereof; and the recreational and 
scenic values of such lands, waters and resources.)
    a. The potential effects of surface and bottom disturbances and 
increased turbidity both directly on ecological habitats and on the life 
stages of biological populations and indirectly on such habitats and 
populations through modifications of the physical, geological, and/or 
chemical environment.
    b. The potential effects of pollutants, especially oil, on 
ecological habitats and the life stages of biota.
    c. The potential effects on threatened or endangered species and on 
ecosystems.
    2. The Effect on Oceanographic Currents and Wave Patterns:
    a. The potential primary effects of construction and operation on,
    i. surface, midwater and bottom currents,
    ii. waves,
    iii. tides and tidal currents, especially in constricted coastal 
areas and estuaries,
    iv. ice;
    b. The potential secondary impacts of changes to current and wave 
patterns on sand and sediment transport, turbidity, beach processes, 
salinity and sedimentation rates resulting from changes to current, wave 
and tide patterns; and, the resulting impacts on biological systems, on 
shorelines and beaches, and on their alternate uses.
    3. The Effects on Alternate Uses of the Oceans and Navigable Waters:
    a. Scientific study;
    b. Fishing (commercial and recreational);
    c. Exploitation of other living and non-living resources;
    d. Sanctuary maintenance;
    e. Recreation;
    f. Approved costal zone management plans;
    g. Power generation;
    h. Transportation;
    i. Other commercial, industrial or public uses and the national 
defense.
    4. The Potential Environmental Dangers to a Deepwater Port;
    a. From waves, winds, weather, and geological conditions;
    b. The steps which can be taken to minimize such dangers with 
respect to,
    i. siting,

[[Page 198]]

    ii. design,
    iii. construction,
    iv. operations and procedures.
    5. The Effects of Land-Based Developments Related to Deepwater Port 
Development on:
    a. Stream and river flow, ground and surface water quality and 
supplies;
    b. Marine water quality;
    c. Air quality;
    d. Alternate land and water uses,
    i. wetlands,
    ii. habitats,
    iii. nurseries,
    iv. recreation,
    v. wilderness, preserves, and wild and scenic rivers,
    vi. existing and proposed sanctuaries,
    vii. historical and cultural areas,
    viii. open and green space,
    ix. agricultural and grazing,
    x. residential and commercial,
    xi. industrial,
    xii. transportation,
    xiii. power generation and transmission,
    xiv. others.
    6. The Effect on Human Health and Welfare:
    a. Health:
    i. the physiological effects of reduced or altered air and water 
quality or supply, of altered or increased noise levels or quality, of 
altered community density, etc., and the psychological effects of the 
above;
    ii. the risk of human safety and life posed by a proposed project.
    b. Welfare--the ultimate effects of dynamic economic and social 
change inflicted directly or induced upon the relevant communities, 
including but not limited to the projected changes in employment, 
population density, housing and public services, and tax base.
    B. In this second part, the proposed project will be appraised for 
the effort made to prevent or minimize the probable adverse impacts on 
the environment. This appraisal is primarily concerned with the project 
as proposed and alternatives are relevant only insofar as they may 
represent a spectrum of possible actions against which the proposal will 
be judged. Areas of concern are: siting, design, construction, and 
operation; and, land use and coastal zone management. Specifically, the 
review will consider the degree of adherence to the following 
guidelines.
    1. Siting-- A proposed deepwater port should be sited in an optimum 
location in order to prevent or minimize possibly detrimental 
environmental effects. For example:
    a. The deepwater port and all its components, including receiving 
terminals, inline transportation facilities and stations, ancillary and 
service facilities, and pipeline, should occupy the minimum space 
necessary for safe and efficient operation and should be located, as 
much as possible, in areas in which permanent alteration of wetlands is 
not necessary. Buffer zones should be provided to separate onshore 
facilities from incompatible adjacent land uses.
    b. The deepwater port facility and its offshore components should be 
located in areas which have stable sea-bottom characteristics and, its 
onshore components should be located in areas in which a stable 
foundation can be developed and flood protection levees, if appropriate, 
can be constructed.
    c. The deepwater port facility should be located in an area where 
existing offshore structures and activities will not interfere with its 
safe operation, and where the facility or navigation to and from that 
facility, will not interfere with the safe operation of existing 
offshore structures. Water depths and currents in and around the 
deepwater port and its approaches should pose no undue hazard to safe 
navigation. Extensive dredging or removal of natural obstacles such as 
reefs, should be avoided. The siting procedure should select an area 
where projected weather, wave conditions, and seismic activity minimize 
the probability that damage will occur to the deepwater port, tankers, 
pipeline, and component shoreside facilities from storms, earthquakes, 
or other natural hazards.
    d. Selection of sites should maximize the permitted use of existing 
work areas, facilities and access routes for construction and operations 
activities. Where temporary work areas, facilities, or access routes 
must be used, they should be to the fullest extent possible, designed 
and constructed in such a manner to permit restoration to the 
preconstruction environmental conditions or better.
    e. The deepwater port facility, navigational fairway(s) and 
pipelines should be sited where the interactions of facilities' 
requirements and natural environment are optimized to prevent adverse 
impacts or to produce minimal, acceptably low adverse effects. Key 
factors in assessments should include (but not necessarily be limited 
to) projected winds, waves, current, spill size and frequency, cleanup 
capability, shoreline/estuarine/bay sensitivity; biological resources, 
damage potential and recovery rate; facility design; and project 
economics.
    f. The deepwater port, pipeline, and attendant facilities should be 
located as far as practicable from the vicinity of critical habitats for 
biota, including but not limited to commercial and sports fisheries and 
threatened and endangered species.
    g. Sites should reflect negligible displacement of existing or 
potentially important uses such as the following:
    i. fisheries,
    ii. recreation,
    iii. mining,
    iv. oil and gas production,
    v. transportation.

[[Page 199]]

    h. Siting should favor areas already allocated for similar use and 
the implications of density of such uses.
    i. port facilities--existing tanker and barge traffic--existing 
ports which can be used for service vessels.
    ii. pipelines--use of existing corridors.
    iii. secondary facilities--use of (or expansion of) existing 
storage, refinery, and other support facilities.
    iv. construction facilities--use of existing equipment and personnel 
staging yards.
    i. The deepwater port, pipelines and other offshore facilities 
should be sited so as to not permanently interfere with the natural 
littoral process or to alter significantly any tidal pass or other part 
of the physical environment important to natural currents and wave 
patterns.
    j. Pipelines, or other deepwater port components or facilities 
requiring dredging, should not be located where sediments with high 
levels of heavy metals, biocides, oil, or other pollutants or hazardous 
materials exist.
    2. Design, Construction and Operation-- Selection of design and 
procedures for construction and operation of a deepwater port must 
reflect use of best available technology. For example:
    a. All oil transfer, transportation, and storage facilities, systems 
and equipment should include appropriate safeguards and backup systems 
and/or be operated under procedures to minimize both the possibility of 
pollution incidents resulting from personnel and equipment failures, 
natural calamities and casualties, such as tanker collisions or 
groundings, and the adverse effects of those pollution incidents which 
occur. These facilities, systems, and equipment, should be designed to 
permit safe operation, including appropriate safety margins, under 
maximum operating loads and the most adverse operating conditions to 
which each may be subjected.
    b. All facilities should be provided with a safe, environmentally 
sound method for the collection, storage, and disposal of solid and 
liquid wastes generated by such facilities. When prescribed by law or 
regulation, the deepwater port may be required to be fitted with 
additional facilities for the collection and treatment of ship-generated 
liquid and solid wastes, such as oily bilge and oily ballast water, tank 
cleaning residues, sludge wastes, and sewage and garbage.
    c. The proposed project should be designed, constructed and operated 
so as not to interfere permanently with natural littoral processes or 
other significant aspects of currents and wave patterns. Additionally, 
harmful erosion or accretion, both onshore and offshore, should be 
prevented. Groundwater drawdown or saltwater intrusion should not be 
permitted. Moreover, mixing of salt, brackish, and fresh waters should 
be minimized. Designs should not include factors which will disrupt 
natural sheetflow, water flow, and drainage patterns or systems.
    d. The proposed project should not interfere with biotic 
populations. Potential effects on breeding habitats or migration routes 
should receive particular attention.
    e. The proposed project should be designed, constructed and operated 
so as to make maximum feasible use of already existing local facilities 
such as roads, pipelines, docking facilities and communications 
facilities.
    f. Disposal of spoil and refuse material should be effected only at 
disposal sites specifically selected and approved by competent 
authorities. Whenever and wherever possible, the proposal should provide 
for resource recovery, reclamation of affected areas, or enhancing uses 
of spoil and waste.
    g. Personnel trained in oil spill prevention should be present at 
critical points at the deepwater port (as identified in the accident 
analysis). Personnel should also be trained in oil spill control to 
mitigate the effects of any spill which may occur.
    3. Land Use and Coastal Zone Management-- A deepwater port should 
not conflict with existing or planned land use including management of 
the coastal region. A measure of whether or not conflict exists will be 
made by the following means:
    a. The proposed project should adhere closely to approved master 
plans or other plans of competent local or State authorities in 
designated adjacent coastal States or in other States where significant 
effects are likely to occur. A minimum of special exceptions or zoning 
variances should be required. Non-conforming uses should not be 
prolonged where reasonable alternatives are available.
    b. The proposed project should conform with approved or planned 
coastal zone management programs of the relevant adjacent coastal 
States.
    c. The proposed use of floodplains should not entail loss of 
wetlands nor should such use pose an undue risk of exposure of that use 
to flood damage, increase the potential need for Federal expenditures 
for flood protection or flood disaster relief, decrease the unique 
public value of the floodplain as an environmental resource, or provide 
an incentive for other uses of the floodplains having similar ultimate 
results.
    (d) The use of or effect on wetlands should be considered in the 
following manner,
    i. uses permanently altering or adversely affecting wetlands are to 
be avoided, or
    ii. positive action must be taken to minimize adverse effects on 
wetlands.

                                 annex a

    1. The following environmental criteria are expressly referred to in 
the Deepwater Port Act of 1974:

[[Page 200]]

    a. Compliance with the Clean Air Act (4(c)(6)).
    b. Compliance with the Federal Water Pollution Control Act 
(4(c)(6)).
    c. Compliance with the Marine Protection, Research and Sanctuaries 
Act (4(c)(6)).
    d. Effect on the marine environment (6(a)(1)).
    e. Effect on oceanographic currents and wave patterns (6(a)(2)).
    f. Effect on alternate uses of the oceans and navigable water, such 
as scientific study, fishing, and exploitation of other living and 
nonliving resources (6(a)(3)).
    g. The potential dangers to a deepwater port from waves, wind, 
weather and geological conditions, and the steps which can be taken to 
protect against or minimize such dangers (6(a)(4)).
    h. Effects of land-based developments related to deepwater port 
development (6(a)(5)).
    i. Effect on human health and welfare (6(a)(6)).
    j. Consistency with adjacent coastal States' programs relating to 
environmental protection, land and water use, and coastal zone 
management (9(b)).
    k. Development of an approved coastal zone management program 
pursuant to the Coastal Zone Management Act of 1972 in the area to be 
directly and primarily impacted by deepwater port land and water 
development in the coastal zone of that State directly connected by 
pipeline to the proposed deepwater port (9(c)).
    l. Pursuant to section 102(c)(2) of the National Environmental 
Policy Act, prepare a single, detailed environmental impact statement 
for each application area (5(f)).

[CGD 75-002, 40 FR 52553, Nov. 10, 1975; 40 FR 58143, Dec. 15, 1975]



PART 149--DESIGN, CONSTRUCTION, AND EQUIPMENT--Table of Contents




                           Subpart A--General

Sec.
149.101  Purpose.
149.105  Licensee.

                Subpart B--Design and Equipment; General

149.201  Applicability.
149.203  Engineering drawings and specifications.
149.205  Design standards.
149.206  Construction.
149.209  SPM's.
149.211  Emergency equipment.
149.213  Helicopter fueling facilities.
149.215  Interference with helicopter operations.
149.217  First aid station.

                Subpart C--Pollution Prevention Equipment

149.301  Applicability.
149.303  Overflow and relief valve.
149.305  Pipeline end manifold (PLEM) shutoff valve.
149.307  Blank flange and shutoff valve.
149.309  Manually operated shutoff valve.
149.311  Malfunction detection system.
149.313  Oil transfer system alarm.
149.315  Marking of oil transfer system alarm.
149.317  Communications equipment.
149.319  Discharge containment and removal material, and equipment.
149.321  Special requirement for onloading ports.

                       Subpart D--Safety Equipment

149.401  Applicability.
149.402  Equipment not required on a PPC.

                 Curbs, Gutters, Drains, and Reservoirs

149.403  Curbs, gutters, drains, and reservoirs.

                             Emergency Power

149.411  Emergency power.

                             Means of Escape

149.421  Means of escape from platform.
149.423  Means of escape from helicopter landing pad.

                           Personnel Landings

149.431  Personnel landings.
149.433  Personnel landing illumination.

                 Guardrails, Fences, Nets, and Toeboards

149.441  Open sided deck, deck opening, catwalk, and helicopter pad 
          protection.

                    Fixed Fire Main System for Water

149.451  Fixed fire main system for water.
149.453  Fire pumps.
149.455  Fire pump location.
149.457  Fire hydrants.
149.459  Fire hydrant outlet.
149.461  Fire hydrant and control valve shutoff valve.
149.463  Fire hydrant access.
149.465  Spanner.
149.467  Fire hose rack.
149.469  Fire hose size.
149.471  Fire hose coupling.
149.473  Fire hose nozzle.
149.477  Spray applicator.
149.479  International shore connection.

                    Other Fire Extinguishing Systems

149.481  Other fire extinguishing systems.
149.483  Fire fighting system for helicopter pads.

[[Page 201]]

                    Fire Detection and Alarm Systems

149.491  Fire detection and alarm systems.

            Portable and Semiportable Fire Fighting Equipment

149.501  Portable and semiportable fire extinguishers.
149.503  Location of extinguishers.
149.505  Spare charges.
149.507  Marking.
149.511  Landing areas with no fueling facility.
149.513  Landing area with a fueling facility.
149.515  Fire axes.
149.517  Fireman's outfits.

                          Lifesaving Equipment

149.521  Lifeboats and inflatable life rafts: general.
149.522  Lifeboats.
149.523  Inflatable life rafts.
149.524  Launching equipment for lifeboats.
149.525  Launching equipment for inflatable life rafts.
149.526  Approved ring life buoys (Type IV personal flotation devices).
149.527  Portable radio apparatus.
149.529  Type I personal flotation devices (PFD's).
149.533  Litters.
149.535  Markings on lifeboats, life rafts, paddles, and oars.
149.537  Markings for personal flotation devices (PFD's).

                              Miscellaneous

149.539  Portable lights.
149.541  General alarm system.
149.543  Marking of general alarm system.
149.545  Public address system.

            Subpart E--Aids to Navigation at Deepwater Ports

                                 General

149.701  Applicability.
149.703  Effective intensity: Definition.
149.705  Applicability of other regulations.
149.707  Applications for aids to navigation.

                        Specifications For Lights

149.721  Light source.
149.723  Intensity.
149.724  Focus.
149.725  Color.
149.727  Chromaticity.
149.729  Display of information.

                           Obstruction Lights

149.751  Number and location on a platform and SPM.
149.753  Number and location on a floating hose string.
149.755  Characteristics.
149.757  Intensity.
149.759  Leveling.

                                  Buoys

149.771  Number and location.
149.773  Characteristics.
149.775  Intensity of lights.

                              Miscellaneous

149.791  Identification of a platform and SPM.
149.793  Markings for piles and pile clusters.
149.795  Radar beacon.
149.797  Rotating lighted beacon.
149.799  Fog signal.

    Authority: 33 U.S.C. 1504; 49 CFR 1.46.

    Source: CGD 75-002, 40 FR 52565, Nov. 10, 1975, unless otherwise 
noted.



                           Subpart A--General



Sec. 149.101  Purpose.

    This part describes design, construction, and equipment requirements 
for each deepwater port.



Sec. 149.105  Licensee.

    The licensee of a deepwater port shall ensure that the port meets 
the design and construction requirements in this part.



                Subpart B--Design and Equipment; General



Sec. 149.201  Applicability.

    This subpart prescribes requirements for design and equipment that 
apply to each deepwater port.



Sec. 149.203  Enginering drawings and specifications.

    (a) The licensee of a deepwater port must submit to the Commandant 
(G-M) three copies of each construction drawing and specification 
necessary to show compliance with the requirements of the Act and the 
regulations in this subchapter, a list of all drawings, and each 
revision to a construction drawing and specification of each:
    (1) Fixed marine component; and
    (2) Floating marine component.
    (b) Each construction drawing and specification, and each revision 
required to be submitted by paragraph (a) of this section must bear the 
seal, or a facsimile imprint of the seal of the

[[Page 202]]

registered professional engineer responsible for the accuracy and 
adequacy thereof.
    (c) The Coast Guard reviews and evaluates construction drawings and 
specifications to ensure compliance with the Act and Subchapter NN. The 
licensee of a deepwater port may not begin construction, or installation 
of prefabricated components, until the applicable drawings and 
specifications are approved by the Commandant (G-M). The Coast Guard 
makes periodic inspections at the construction site and at component 
construction sites to ensure compliance with approved drawings and 
specifications. As used in this paragraph, the term ``approved'' means 
that each drawing or specification meets the requirements of the Act and 
the regulations in this subchapter.
    (d) When construction or installation of each component is complete, 
the licensee of a deepwater port must submit two complete sets of record 
drawings and specifications on 105 mm negatives to the Commandant (G-M). 
Each negative must be:
    (1) Placed in a separate envelope, and
    (2) Identified and indexed.

[CGD 75-002, 40 FR 52565, Nov. 10, 1975, as amended by CGD 88-052, 53 FR 
25121, July 1, 1988]



Sec. 149.205  Design standards.

    (a) Each fixed marine and floating component of a deepwater port, 
except hoses, mooring lines, and aids to navigation buoys, must be 
designed to withstand at least the combined wind, wave, and current 
forces of the most severe storm that can be expected to occur in any 
period of 100 years at the port.
    Note: ``Recommended Procedure for Developing Deepwater Ports Design 
Criteria'' describes a method to prepare the wind, wave, and current 
criteria for use in determining the forces of the storm described by 
this paragraph. This guide may be obtained from the Commandant (G-M).
    (b) Each platform must be designed in accordance with the American 
Petroleum Institute ``Recommended Practice for Planning, Designing, and 
Constructing Fixed Offshore Platforms'' (API RP 2A), and the codes and 
standards in API RP 2A, to the extent that the recommended practice, 
codes, and standards are consistent with this subchapter.
    (c) Each electrical installation on a platform must be designed, to 
the extent practicable, in accordance with 46 CFR 110-113.
    (d) Each boiler and pressure vessel on a platform must be designed 
in accordance with Sections I, IV, and VIII of the American Society of 
Mechanical Engineers ``ASME Boiler and Pressure Vessel Code'' to the 
extent that the code is consistent with this subchapter.
    (e) Main oil transfer piping on a platform must be designed in 
accordance with the American National Standards Institute (ANSI B 31.4) 
Liquid Petroleum Transportation Piping Systems.

[CGD 75-002, 40 FR 52565, Nov. 10, 1975, as amended by CGD 88-052, 53 FR 
25121, July 1, 1988]



Sec. 149.206  Construction.

    (a) The following walls or decks on a platform must meet the 
requirements in 46 CFR 92.07-5(b) for ``A'' class bulkheads, except that 
each wall or deck must be made of steel:
    (1) Each wall or deck that separates a galley, a paint and lamp 
locker, a space housing emergency power generating equipment, or a 
machinery space from any other space.
    (2) Each wall or deck of an interior stairway connecting enclosed 
spaces on three or more decks.
    (3) Each wall or deck of an elevator shaft, of a dumbwaiter shaft, 
and of any other shaft connecting two or more enclosed spaces.
    (b) The following walls or decks on a platform must meet the 
requirements in 46 CFR 92.07-5 (b) or (c) for ``A'' or ``B'' class 
bulkheads:
    (1) Each corridor wall or deck of a personal accommodation space.
    (2) Each wall or deck of a stairway that connects two decks or each 
wall or deck of a structure enclosing an opening to the stairway.
    (c) A platform wall or deck that is not described in paragraph (a) 
or (b) of this section must meet the requirements in 46 CFR 92.07-5 (b), 
(c), or (d) for ``A'', ``B'', or ``C'' class bulkheads.
    (d) Each deck and stairway on a platform must be made of steel and 
may have a deck covering.

[[Page 203]]

    (e) A space that is described in paragraphs (a)(2) or (a)(3) of this 
section must be enclosed by walls and decks.
    (f) Each interior stairway that connects two enclosed spaces on a 
platform must be enclosed by walls and decks or an opening to the 
stairway must be enclosed by a structure.
    (g) Each interior stairway that connects three or more decks on a 
platform must have access to each deck.
    (h) Each opening in a wall or deck on a platform must have a closure 
that meets the requirements in this section for the wall or deck. Each 
door must:
    (1) Be a self-closing type;
    (2) Not have holdback hooks or other means of permanently holding 
the door open, except for magnetic holdbacks operated from a suitable 
remote control position; and
    (3) Not have a louver or other opening, except that a door to a 
sleeping space may have a louver in the lower half of the door.
    (i) Internal deck coverings, except those in washrooms and toilet 
spaces, must be of a type approved under 46 CFR Subpart 164.006. 
Overlays for leveling or finishing purposes which do not meet the 
requirements in 46 CFR Subpart 164.006 may be used in thicknesses not 
exceeding \3/8\ of an inch.
    (j) Each ceiling, sheathing, furring, and insulation on a platform, 
must be a noncombustible material of a type that is approved under 46 
CFR 164.009.
    (k) The interior finish on each wall and ceiling in a corridor or 
hidden space on a platform must be a type that is approved under 46 CFR 
164.012. Walls within a room may have a combustible veneer not to exceed 
\2/28\ inches in thickness.
    (l) Nitrocellulose or other highly flammable or noxious fume-
producing paints or lacquers may not be used.



Sec. 149.209  SPM's.

    Each SPM must meet the ``Rules for Building and Classing Single 
Point Moorings 1975'' of the American Bureau of Shipping, to the extent 
that these Rules are consistent with this subchapter.



Sec. 149.211  Emergency equipment.

    Each platform must have installed mountings for each item of:
    (a) Lifesaving equipment; and
    (b) Portable and semiportable fire fighting equipment.



Sec. 149.213  Helicopter fueling facilities.

    Helicopter fueling facilities must comply with the requirements of 
the National Fire Protection Association, National Fire Code No. 407, 
Part VI ``Fueling on Elevated Heliports''. For the purpose of this 
section, ``ground level'' as used in the National Fire Code means 
``below the lowest platform working level''.



Sec. 149.215  Interference with helicopter operations.

    Aids to navigation, communication, or radar equipment must be 
installed so as not to interfere with helicopter operations.



Sec. 149.217  First aid station.

    Each PPC must have a first aid station that has an adjoining space 
for two beds.



                Subpart C--Pollution Prevention Equipment



Sec. 149.301  Applicability.

    This subpart prescribes requirements for pollution equipment that 
apply to each deepwater port.



Sec. 149.303  Overflow and relief valve.

    (a) Each oil transfer system must include a relief valve, that, when 
activated, prevents pressure on any components of the OTS from exceeding 
maximum rated pressure.
    (b) No oil transfer system overflow or relief valve may be installed 
so as to allow an oil discharge into the sea.



Sec. 149.305  Pipeline end manifold (PLEM) shutoff valve.

    (a) Each pipeline end manifold (PLEM) at a single point mooring must 
have a shutoff valve.
    (b) Each shutoff valve required by this section must be capable of 
operation from the Cargo Transfer Supervisor's normal place of duty.
    (c) Each shutoff valve required by this section must be capable of 
manual operation.

[[Page 204]]



Sec. 149.307  Blank flange and shutoff valve.

    Each floating hose string must have a blank flange and a shutoff 
valve at the vessel manifold end.



Sec. 149.309  Manually operated shutoff valve.

    Each oil transfer line passing through the SPM buoy must have a 
manual shutoff valve on the buoy.



Sec. 149.311  Malfunction detection system.

    Each oil transfer system must have a system that can:
    (a) Detect and locate all leaks and other malfunctions, between the 
PPC and the shore; and
    (b) Be monitored at the Cargo Transfer Supervisor's normal place of 
duty.



Sec. 149.313  Oil transfer system alarm.

    Each oil transfer system must have an alarm system to signal a 
malfunction or failure of the system that is--
    (a) Capable of being activated at the Cargo Transfer Supervisor's 
normal place of duty;
    (b) Audible in all parts of the PPC except in areas of high ambient 
noise levels where hearing protection is required under Sec. 150.509(d) 
of this subchapter;
    (c) Visible in areas of the PPC where hearing protection is required 
under Sec. 150.509(d) of this subchapter by use of a high intensity 
flashing light; and
    (d) Distinguishable from the general alarm.



Sec. 149.315  Marking of oil transfer system alarm.

    (a) Each oil transfer alarm switch must be identified by the words 
``OIL TRANSFER ALARM'' in red letters at least one inch high on a yellow 
background.
    (b) Each audio and each visual oil transfer alarm signalling device 
under Sec. 149.313 must have a sign with the words ``OIL TRANSFER 
ALARM'' in red letters at least one inch high on a yellow background.



Sec. 149.317  Communications equipment.

    (a) Each deepwater port must have:
    (1) A means that enables two-way voice communication among:
    (i) The Cargo Transfer Supervisor;
    (ii) The vessel's officer in charge of cargo transfer;
    (iii) The Cargo Transfer Assistant;
    (iv) The Port Superintendent;
    (v) The master or person in charge of service craft operating at the 
deepwater port; and
    (vi) The person in charge on the PPC;
    (2) A means, which may be the communications system itself, that 
enables each of the persons listed in paragraph (a)(1) of this section 
to indicate his desire to communicate with another of those persons; and
    (3) Communications equipment and facilities that must meet the 
requirements of 47 CFR 81 and 83.*
---------------------------------------------------------------------------

    *Editorial Note: At 51 FR 31213, Sept. 2, 1986, 47 CFR 81 and 83 
were removed.
---------------------------------------------------------------------------

    (b) Each portable means of communication used to meet the 
requirements of this section must be:
    (1) Certified under 46 CFR 111.80-5 to be operated in a Group D, 
Class 1, Division 1, Atmosphere; and
    (2) Permanently marked with the certification required in paragraph 
(b)(1) of this section.



Sec. 149.319  Discharge containment and removal material, and equipment.

    (a) Each deepwater port must have stored, on the pumping platform or 
a service craft operating at the deepwater port, oil discharge 
containment and removal material and equipment that, to the extent best 
available technology allows, can contain and remove an oil discharge of 
at least 10,000 U.S. gallons for offload-only ports, or 40,000 U.S. 
gallons for ports where onloading operations are permitted pursuant to 
section 4(a)(3) of the Act.
    (b) Each deepwater port must have readily accessible additional 
containment and removal material and equipment for containing and 
removing oil discharges larger than those specified in paragraph (a) of 
this section. For the purpose of this paragraph, access may be by direct 
ownership, joint ownership, cooperative venture, or contractual 
agreement.
    (c) The type of discharge containment and removal material and 
equipment that best meets the requirements

[[Page 205]]

of paragraphs (a) and (b) of this section must be determined on the 
basis of:
    (1) Oil handling rates of the deepwater port;
    (2) Volume of oil susceptible to being spilled;
    (3) Frequency of oil transfer operations at the deepwater port;
    (4) Prevailing wind and sea state condition at the deepwater port;
    (5) Age, capability, arrangement of, and the licensee's experience 
with the oil transfer system equipment at the deepwater port; and
    (6) Whether the discharge containment and removal material and 
equipment is shared, and the expected frequency of use and probability 
of availability.



Sec. 149.321  Special requirement for onloading ports.

    Each deepwater port at which onloading operations are permitted, 
under section 4(a)(3) of the Act, must have a means for receiving oily 
residues from vessels.



                       Subpart D--Safety Equipment



Sec. 149.401  Applicability.

    This subpart prescribes requirements for safety equipment that apply 
to each deepwater port.



Sec. 149.402  Equipment not required on a PPC.

    Each item of lifesaving and fire fighting equipment on a PPC that is 
not required by this subpart must be approved under 46 CFR Part 160 or 
Part 162.

                 Curbs, Gutters, Drains, and Reservoirs



Sec. 149.403  Curbs, gutters, drains, and reservoirs.

    Each platform must have enough curbs, gutters, drains, and 
reservoirs to collect all of the following discharges and wastes in the 
reservoirs:
    (a) All discharges from equipment, maintenance shops, and refueling 
facilities.
    (b) All laboratory, sanitary, galley, and deck cleansing wastes, and 
similar wastes. Sanitary waste includes the waste from baths, showers, 
sinks, wash bowls, laundry, toilets and urinals.

                             Emergency Power



Sec. 149.411  Emergency power.

    (a) Each PPC must have emergency power equipment to provide power to 
operate all of the following simultaneously for a continuous period of 
eight hours:
    (1) Emergency lighting circuits.
    (2) Aids to navigation equipment.
    (3) Communications equipment.
    (4) Radar equipment.
    (5) Alarm systems.
    (6) Electrically operated fire pumps.
    (7) Other electrical equipment designated in the Operations Manual 
by the licensee.
    (b) No emergency power generating equipment may be located in any 
enclosed space on a platform that contains oil transfer pumping 
equipment or other power generating equipment.

                             Means of Escape



Sec. 149.421  Means of escape from platform.

    (a) Each platform must have at least one fixed and one unfixed means 
of escape from the highest working level to the water level with an 
entry at each working level.
    (b) Each platform with living spaces must have at least two fixed 
means of escape from the highest level with living spaces to the water 
with an entry at each level below. If the highest level of the PPC 
contains living spaces, the two fixed means of escape required by this 
paragraph satisfy the requirements in paragraph (a) of this section.
    (c) Each platform must have at least one fixed or unfixed means of 
escape for every ten persons on board the platform, including the means 
of escape required under paragraphs (a) and (b) of this section.
    (d) When two or more fixed means of escape are installed, at least 
two must be as far from each other as practicable.
    (e) Each fixed means of escape required under this section must be a 
steel ladder or steel stairway.
    (f) Each unfixed means of escape required under this section must 
be:
    (1) A portable ladder;

[[Page 206]]

    (2) A flexible ladder; or
    (3) A knotted man rope.
    (g) Two exits must be provided from each space having over 300 
square feet of floor area. Where practicable, the exits must give egress 
to different corridors, rooms, or spaces.
    (h) Exits must provide egress to the external means of escape 
required in this section. Dead end corridors may not be longer than 40 
feet.



Sec. 149.423  Means of escape from helicopter landing pad.

    Each helicopter landing pad on the PPC must have at least two fixed 
means of escape that are independent of those required by Sec. 149.421:
    (a) From the pad to the first working level below the pad or the 
water; and
    (b) As far from each other as practicable.

                           Personnel Landings



Sec. 149.431  Personnel landings.

    Each PPC must have at least two personnel landings for access to the 
platform from the water unless:
    (a) Personnel landings are not possible because of the PPC design; 
and
    (b) The PPC has a personnel basket transfer system.



Sec. 149.433  Personnel landing illumination.

    Each personnel landing must have at least 1 foot-candle of 
artificial illumination on its guard rails or fence and on its deck.

                 Guardrails, Fences, Nets, and Toeboards



Sec. 149.441  Open sided deck, deck opening, catwalk, and helicopter pad protection.

    (a) Each open sided deck, deck opening, and catwalk on each PPC must 
have protection that meets the ``Safety Requirements for Floor and Wall 
Openings, Railings, and Toeboards'' of the American National Standards 
Institute (ANSI A12.1), except each must have toeboards.
    (b) Each open side of each helicopter landing pad on the PPC must 
have:
    (1) Safety net; or
    (2) A lowered walkway that is 48 inches wide, is not more than 42 
inches below the level of the pad, and has guard rails that meet the 
requirements of ANSI A12.1, except each must have toeboards.

                    Fixed Fire Main System for Water



Sec. 149.451  Fixed fire main system for water.

    Each PPC must have a fixed fire main system for water.



Sec. 149.453  Fire pumps.

    (a) Each PPC must have at least two independently driven fire pumps 
that can deliver two streams of water at a continuous pitot tube 
pressure of at least 75 p.s.i. at each fire hose nozzle.
    (b) Each fire pump must have:
    (1) A relief valve on its discharge side that is set to relieve at 
25 p.s.i. in excess of the pressure necessary to meet the requirement in 
paragraph (a) of this section;
    (2) A pressure gauge on its discharge side; and
    (3) Its own water source.
    (c) Fire pumps may only be connected to the fire main system.



Sec. 149.455  Fire pump location.

    The fire pumps required by Sec. 149.453(a) may not be located in the 
same space.



Sec. 149.457  Fire hydrants.

    (a) Each part of the PPC that is accessible to any person, except 
machinery spaces, must have enough fire hydrants so that it can be 
sprayed with at least two spray patterns of water. At least one spray 
pattern of water must be from one length of hose.
    (b) Each PPC must have enough fire hydrants so that each machinery 
space can be sprayed with at least two spray patterns of water from 
separate hydrants. Each spray pattern of water must be from one length 
of hose.
    (c) A single length of fire hose, with nozzle attached, must be 
connected to each fire hydrant at all times.



Sec. 149.459  Fire hydrant outlet.

    The outlet on each fire hydrant must not point above the horizontal.

[[Page 207]]



Sec. 149.461  Fire hydrant and control valve shutoff valve.

    Each fire hydrant and control valve must have a shutoff valve.



Sec. 149.463  Fire hydrant access.

    Any equipment that is in the same space as a fire hydrant must not 
interfere with access to that hydrant.



Sec. 149.465  Spanner.

    Each fire hydrant must have at least one spanner at the fire 
hydrant.



Sec. 149.467  Fire hose rack.

    (a) Each PPC must have a hose rack at each hydrant.
    (b) Each fire hose rack must be visible.
    (c) Each fire hose rack in an exposed location must be protected 
from weather.



Sec. 149.469  Fire hose size.

    Each length of fire hose must be:
    (a) 1\1/2\ or 2\1/2\ inch nominal hose size diameter;
    (b) 50 foot nominal hose size length; and
    (c) Lined commercial fire hose that conforms to Underwriters 
Laboratories, Inc. Standard 19 or Federal specification ZZ-H-451D.



Sec. 149.471  Fire hose coupling.

    Each fire hose coupling must:
    (a) Be made of brass, bronze, or material that has strength and 
corrosion resistant properties at least equal to those of brass or 
bronze; and
    (b) Have 9 threads per inch for 1\1/2\ inch hose or 7\1/2\ threads 
per inch for 2\1/2\ inch hose.



Sec. 149.473  Fire hose nozzle.

    Each fire hose nozzle must be a combination solid stream and water 
spray fire hose nozzle that is approved under 46 CFR 162.027.



Sec. 149.477  Spray applicator.

    Each PPC must have a low velocity spray applicator that is approved 
under 46 CFR 162.027 at each fire hydrant.



Sec. 149.479  International shore connection.

    (a) The fixed fire main system of a PPC must have:
    (1) At least two risers;
    (2) A cutoff valve and check valve for each riser; and
    (3) At least two international shore connections that meet the 
requirements in 46 CFR 162.034.
    (b) Each riser must be in an accessible location to vessels 
alongside the PPC, and two of the risers must be on opposite sides of 
the PPC.

                    Other Fire Extinguishing Systems



Sec. 149.481  Other fire extinguishing systems.

    (a) Each PPC must have a manually or automatically operated fire 
extinguishing system in addition to the fire main system required under 
Sec. 149.451 that is approved by the Commandant and meets the National 
Fire Protection Association standards listed in paragraph (e) of this 
section in the following locations:
    (1) Storerooms.
    (2) Workrooms containing flammable liquids.
    (3) Pump rooms.
    (4) Machinery spaces.
    (b) Each halogenated agent or CO2 system in a compartment 
smaller than 6,000 cubic feet, and each sprinkler system, must be 
automatic.
    (c) Each halogenated agent or CO2 system in a compartment 
larger than 6,000 cubic feet, and each foam system, must be manual.
    (d) The systems selected must match the hazard to be protected as 
follows:
    (1) Storerooms must use water sprinklers or CO2.
    (2) Workrooms containing flammable liquids, pumprooms, and machinery 
spaces must use CO2, halogenated agents, or high expansion 
foam.
    (e) Each system required under paragraph (a) of this section must 
meet one of the following performance standards:
    (1) Water sprinkler system--NFPA No. 13.
    (2) Carbon dioxide system--NFPA No. 12.
    (3) Halogenated agent system--NFPA No. 12A.

[[Page 208]]

    (4) Foam system--NFPA No. 11A.
    (f) Arrangement requirements contained in 46 CFR 95.15-10, 15 and 20 
must be complied with.
    (g) Each system required under paragraph (a) of this section must 
activate the general alarm system when it operates.
    (h) Spaces that are protected by a carbon dioxide system or 
halogenated agent system and are normally accessible to persons on board 
must be fitted with an approved audible alarm that sounds automatically 
20 seconds before the extinguishing agent is admitted to the space. The 
alarm must be conspicuously and centrally located.
    (i) To the extent practicable, materials in each item of equipment 
required by paragraph (a) of this section must have resistance to the 
adverse effects of the marine environment.



Sec. 149.483  Fire fighting system for helicopter pads.

    (a) Each PPC helicopter landing pad must have the following:
    (1) A fire extinguishing system designed to:
    (i) Deliver a minimum of 200 g.p.m. of water at the pressure 
required to overcome friction in the piping and hose lines, and produce 
the nozzle discharge requirements in paragraph (a)(2)(ii) of this 
section for 15 minutes; and
    (ii) Not interfere with the simultaneous operation of the fire main.
    (2) Shutoff type nozzles designed:
    (i) For use with a foam concentrate listed or approved by a 
recognized testing agency for fire extinguishing agents;
    (ii) To discharge water-foam concentrate solution or water fog at a 
rate of 100 g.p.m. at a pressure that will provide a foam discharge 
pattern at a 20 foot range with 15 foot width variable to a solid stream 
of foam with a minimum 50 foot range; and
    (iii) To produce foam having a minimum expansion of eight, with a 25 
percent drainage time of at least 5 minutes when protein base foam is 
used.
    (3) Nozzles located so as to provide complete coverage of the 
helicopter landing area.
    (4) A means of activating the general alarm system required by 
Sec. 149.541.
    (b) Aqueous film forming foam (AFFF) may be substituted for protein 
base foam. Generally, the quantity of water may be reduced by 30 percent 
from that specified for use with protein base foam. This reduction will 
be authorized by the Commandant on a case-by-case basis.
    (c) Other extinguishing agents that would provide an equivalent fire 
fighting capability may be substituted with the approval of the 
Commandant.

                    Fire Detection and Alarm Systems



Sec. 149.491  Fire detection and alarm systems.

    (a) Each PPC must have the following fire detection systems that 
activate the general alarm system:
    (1) An ionization type automatic smoke detection system in each 
sleeping space.
    (2) A combination fixed-temperature and rate-of-rise heat detector 
system in each non-sleeping space that does not have an automatic fire 
extinguishing system unless the space is subject to a 15  deg.F or 
greater per minute rate of rise.
    (3) A fixed-temperature detector system in each nonsleeping space 
that does not have an automatic fire extinguishing system and that is 
subject to a 15  deg.F or greater per minute rate of rise.
    (b) To the extent practicable, materials in each item of equipment 
required by this section must have resistance to the adverse effects of 
the marine environment.

            Portable and Semiportable Fire Fighting Equipment



Sec. 149.501  Portable and semiportable fire extinguishers.

    (a) Each PPC must have portable or semiportable fire extinguishers 
that are approved by the Coast Guard under 46 CFR 162.028 or 162.039.
    (b) Each semiportable fire extinguisher must be fitted with hose and 
nozzle or other apparatus so that the entire space in which the 
extinguisher is located may be protected.

[[Page 209]]



Sec. 149.503  Location of extinguishers.

    (a) Fire extinguishers must be installed in accordance with Table 
145.10(a) in Sec. 145.10 of this chapter.
    (b) Each fire extinguisher must be located so it can easily be seen.



Sec. 149.505  Spare charges.

    (a) Spare charges must be carried for at least 50 percent of each 
size and variety of hand portable fire extinguisher required in 
Sec. 149.503. If an extinguisher is of such variety that it cannot be 
readily recharged by PPC personnel, one spare extinguisher of the same 
classification must be carried in lieu of a spare charge.
    (b) Spare charges must be packed to minimize the hazards to 
personnel while recharging extinguishers. Acid must be contained in a 
crown stopper type of bottle.



Sec. 149.507  Marking.

    Each hand portable extinguisher and its station must be numbered in 
accordance with 46 CFR 97.37-23.



Sec. 149.511  Landing area with no fueling facility.

    In addition to the requirements in Sec. 149.483 of this subchapter 
each helicopter landing area on a PPC with no fueling facility must have 
at least two USCG type B:C, size IV dry chemical extinguishers.



Sec. 149.513  Landing area with a fueling facility.

    In addition to the requirements in Sec. 149.483 each helicopter 
landing area on the PPC with a fueling facility must have:
    (a) At least two USCG Type B:C, size II dry chemical extinguishers 
and at least one USCG Type B:C, size V dry chemical extinguisher; and
    (b) A USCG Type B:C, size II dry chemical extinguisher at the 
emergency control station.



Sec. 149.515  Fire axes.

    (a) Each PPC must have at least 8 fire axes.
    (b) Fire axes must be distributed so as to be readily available in 
an emergency.
    (c) Each fire axe must be located:
    (1) In the open;
    (2) Behind glass; or
    (3) In an enclosure with a fire hose.



Sec. 149.517  Fireman's outfits.

    (a) Each platform must have at least 2 fireman's outfits.
    (b) Each fireman's outfit must consist of:
    (1) A self-contained breathing apparatus approved under 49 CFR 
160.011 with a complete recharge.
    (2) A three-cell, intrinsically safe flashlight with the 
Underwriters' Laboratories, Inc., label and a set of spare batteries for 
the flashlight.
    (3) An oxygen and combustible gas indicator with the Underwriters' 
Laboratories, Inc., label, or Factory Mutual Testing Laboratories, Inc., 
label.
    (4) Boots and gloves that are made of rubber or other electrically 
nonconductive material.
    (5) A helmet that meets the requirements in Section 5 of the United 
States of America Standard Safety Code (Z2.1).
    (6) Clothing that protects the skin from scalding steam and the heat 
of fire and that has a water resistant outer surface.
    (c) Equipment must be stowed in a convenient, readily accessible 
location.

                          Lifesaving Equipment



Sec. 149.521  Lifeboats and inflatable life rafts: general.

    (a) Each PPC must have enough lifeboats or inflatable life rafts, or 
a combination of both, for 200% of the maximum number of personnel to be 
quartered or employed on the PPC, except that each PPC must have at 
least two lifeboats. The Commandant may reduce this requirement to a 
minimum of 150% under Sec. 148.607 when it can be shown that the 
specific arrangements and separation of equipment provides sufficient 
redundancy.
    (b) Each lifeboat and launching equipment for an inflatable life 
raft on a platform must be mounted on the outboard side of the platform 
in a location that is easily accessible to persons on board and that is 
as far apart as practicable from each other lifeboat.
    (c) No lifeboat and no launching equipment for an inflatable life 
raft may be mounted next to a discharge

[[Page 210]]

opening on a platform unless the opening has a baffle or a remotely 
controlled device to close the opening.
    (d) Each lifeboat and life raft launching station must be provided 
with emergency lighting to illuminate the entire launching process from 
the stowed position until the craft is waterborne.



Sec. 149.522  Lifeboats.

    (a) Each lifeboat on a platform must be approved under 46 CFR 
160.035 and have the equipment required by 46 CFR 94.20-10 for a 
lifeboat on lakes, bays, sounds, and rivers. Except for boathooks, the 
equipment must be securely attached to the lifeboat.
    (b) Each life boat on a platform must be motor propelled and have an 
installed cover that provides protection from exposure and from fire 
during operation of the lifeboat.



Sec. 149.523  Inflatable life rafts.

    Each inflatable life raft on a platform must be approved under 46 
CFR 160.051 as an inflatable life raft intended for an ocean service 
vessel.



Sec. 149.524  Launching equipment for lifeboats.

    (a) Each PPC must have the following launching equipment for each 
lifeboat required by Sec. 149.521:
    (1) A winch that is approved under 46 CFR 160.015 and that has a 
grooved drum with only one layer of wire.
    (2) Mechanical disengaging apparatus that is approved under 46 CFR 
160.033.
    (3) Davits that are approved under 46 CFR 160.032.
    (4) Load bearing components that meet the requirements in 46 CFR 
94.33-5 (a), (c), (d), and (e) and 46 CFR 94.33-10.
    (b) If a lifeboat is mounted more than 30 feet above mean low water, 
the launching equipment for the lifeboat must be capable of operation 
from the lifeboat and from the PPC.



Sec. 149.525  Launching equipment for inflatable life rafts.

    (a) Each PPC must have enough of the following inflatable life raft 
launching equipment to launch all of the life rafts required by 
Sec. 149.521 within 20 minutes:
    (1) Winches that are approved by the Commandant.
    (2) Mechanical disengaging apparatus that is approved by the 
Commandant.
    (3) Davits that are approved by the Commandant.
    (4) Load bearing components that meet the requirements in 46 CFR 
94.33-5 (a), (c), (d), and (e) and 46 CFR 94.33-10.
    (b) Launching equipment for an inflatable life raft must be capable 
of being operated from the life raft and from the PPC.
    (c) No more than two rafts may be launched from each launching 
station.



Sec. 149.526  Approved ring life buoys (Type IV personal flotation devices).

    (a) Each PPC must have at least 8 approved ring life buoys (Type IV 
PFDs) and mounting racks distributed about the perimeter of the 
platform.
    (b) Each ring life buoy must be constructed in accordance with 46 
CFR Subpart 160.050 except a ring life buoy that was approved under 
former 46 CFR Subpart 160.009 may be used as long as it is in good and 
serviceable condition. Each ring life buoy must be of the 30-inch size, 
international orange, and easily accessible to persons on board.
    (c) At least fifty percent of the ring life buoys required by this 
section must have an electric water light approved under 46 CFR 161.010.
    (d) At least one ring life buoy on each side of the platform must 
have a buoyant line attached to it that is 1\1/2\ times the distance 
from the buoy to the mean low water line of the platform, or 15 fathoms 
in length, whichever is greater.

[CGD 80-155b, 47 FR 10533, Mar. 11, 1982]



Sec. 149.527  Portable radio apparatus.

    Each PPC must have portable radio apparatus that meets the 
requirements in 46 CFR 94.55-1.



Sec. 149.529  Type I personal flotation devices (PFD's).

    (a) Each PPC must have enough adult Type I PFD's for 100 percent of 
the port personnel. Each PFD must be stowed in the living spaces.
    (b) Enough additional Type I PFD's for 50 percent of the port 
personnel must be stowed near working spaces in

[[Page 211]]

well ventilated and accessible lockers marked ``life preservers.''



Sec. 149.533  Litters.

    Each platform must be equipped with at least one Stokes litter that 
is placed in a location that is accessible to persons on board.



Sec. 149.535  Markings on lifeboats, life rafts, paddles, and oars.

    (a) Each lifeboat, and life raft must be marked in letters and 
numbers at least 1\1/2\ inch high with:
    (1) The identification of the deepwater port; and
    (2) The personnel capacity.
    (b) Each inflatable life raft must be marked as required under 46 
CFR 160.051.
    (c) Each paddle and each oar must be marked with the identification 
of the deepwater port.



Sec. 149.537  Markings for personal flotation devices (PFD's).

    Each PFD must be marked with the identification of the deepwater 
port.

                              Miscellaneous



Sec. 149.539  Portable lights.

    (a) Each portable light on a PPC must be listed by Underwriters' 
Laboratories, Inc., as suitable for Class I, Group D hazardous 
locations.
    (b) Each supply cord of the portable lighting units must have 
receptacles with plugs, or receptacles with plugs interlocked with snap 
switches, that are listed by Underwriters' Laboratories, Inc., as 
suitable for Class I, Group D hazardous locations.



Sec. 149.541  General alarm system.

    (a) Each PPC must have a general alarm system.
    (b) Each general alarm system must be:
    (1) Capable of being activated by the automatic fire detection 
systems required under Sec. 149.491 and manually by use of alarm boxes 
located in accordance with the National Fire Protection Association 
Standard No. 72A;
    (2) Audible in all parts of the PPC except in areas of high ambient 
noise levels where hearing protection is required under Sec. 150.509(d) 
of this subchapter; and
    (3) Visible in areas of the PPC where hearing protection is required 
under Sec. 150.509(d) of this subchapter by use of a high intensity 
flashing light.



Sec. 149.543  Marking of general alarm system.

    (a) Each general alarm box must be marked with the words ``GENERAL 
ALARM'' in red letters at least one inch high on a yellow background.
    (b) Each audio and each visual general alarm signalling device under 
Sec. 149.541 must have a sign with the words ``GENERAL ALARM'' in red 
letters at least one inch high on a yellow background.



Sec. 149.545  Public address system.

    Each PPC must have a public address system operable from two 
locations on the PPC to allow an announcement of fires, oil transfer 
system failure or malfunction, and other emergencies.



            Subpart E--Aids to Navigation at Deepwater Ports

                                 General



Sec. 149.701  Applicability.

    This subpart prescribes the minimum requirements for aids to 
navigation at the marine site.



Sec. 149.703  Effective intensity: Definition.

    For the purpose of this subpart, ``effective intensity'' is the 
intensity of a flashing light calculated by using equation [3-27] for 
effective intensity in the Illumination Engineering Society Lighting 
Handbook, p. 3-36.



Sec. 149.705  Applicability of other regulations.

    Sections 66.01-5, 66.01-25 (a) and (c), 66.01-50, and 66.01-55 of 
this chapter also apply to aids to navigation at a deepwater port. For 
the purpose of Sec. 66.01-25 (a) and (c) of this chapter, aids to 
navigation at a deepwater port are Class I aids to navigation.

[[Page 212]]



Sec. 149.707  Applications for aids to navigation.

    (a) 180 days before the installation of any structure at the 
deepwater port site the licensee must submit applications for 
obstruction lights and such other private aids to navigation appropriate 
for the particular construction site.
    (b) 180 days before the commencement of oil transfer operations or 
changing the mooring facilities at the deepwater port the licensee must 
submit applications for private aids to navigation.
    (c) Applications for private aids to navigation for deepwater ports 
must be submitted in accordance with Sec. 66.01-5 of this chapter except 
that the applications must be submitted to the Commandant (G-M).

[CGD 75-002, 40 FR 52565, Nov. 10, 1975, as amended by CGD 88-052, 53 FR 
25121, July 1, 1988]

                        Specifications for Lights



Sec. 149.721  Light source.

    Each light must have a tungsten-incandescent light source.



Sec. 149.723  Intensity.

    (a) Each light on a buoy, hose string, and SPM must:
    (1) Have at least the effective intensity required by this subpart 
for the light at all angles, the origin of which is the focal point of 
the light, that are included within 1 deg. from the focal 
plane of the light; and
    (2) Have at least 50% of the effective intensity required by this 
subpart for the light at all angles, the origin of which is the focal 
point of the light, that are included within 2 deg. from the 
focal plane of the light.
    (b) Each light on a platform, including the rotating lighted beacon, 
must:
    (1) Have at least the effective intensity required by this subpart 
at all angles within 0.5 deg. of the horizontal plane that 
includes the focal point of the lens; and
    (2) Have at least 50% of the effective intensity required by this 
subpart for the light at angles within 1 deg. of the 
horizontal plane that includes the focal point of the lens.



Sec. 149.724  Focus.

    Each light using a lens must have a means to verify that the light 
source is at the focal point of the lens.



Sec. 149.725  Color.

    The transparent cover of each light, including, where applicable, 
the top of the cover, must be uniform in color.



Sec. 149.727  Chromaticity.

    The color emitted by a light at all angles, within the 50% effective 
intensity angle under Sec. 149.723 must have chromaticity coordinates 
lying within the boundary defined by the corner coordinates in Table 
149.727 when plotted on the International Commission on Illumination 
(CIE) Standard Observer Diagram.

                 Table 149.727--Chromaticity Coordinates
------------------------------------------------------------------------
                                                       Chromaticity
                                                        coordinates
                      Color                      -----------------------
                                                    x axis      y axis
------------------------------------------------------------------------
White...........................................       0.285       0.332
                                                        .453        .440
                                                        .500        .440
                                                        .500        .382
                                                        .440        .382
                                                        .285        .264
Green...........................................        .009        .720
                                                        .284        .520
                                                        .207        .397
                                                        .013        .494
Red.............................................        .665        .335
                                                        .645        .335
                                                        .680        .300
                                                        .700        .300
Yellow..........................................        .560        .440
                                                        .555        .435
                                                        .612        .382
                                                        .618        .382
------------------------------------------------------------------------



Sec. 149.729  Display of information.

    (a) The following information must be displayed on each light:
    (1) The manufacturer's name and date of manufacture.
    (2) The model designation.
    (3) The name of the manufacturer of the lamp to be used, and the 
manufacturer's ordering code for the lamp.
    (4) The minimum voltage, measured at the input terminals of the 
lighting apparatus with the lamp burning, needed to operate the light in 
compliance with the intensity requirements of this subpart.

[[Page 213]]

    (b) The following information must be displayed on each rotating 
lighted beacon:
    (1) The information prescribed in paragraph (a) of this section.
    (2) The operating speed of the rotating apparatus.
    (3) The type and level of electrical input required to maintain the 
operating speed.

                           Obstruction Lights



Sec. 149.751  Number and location on a platform and SPM.

    (a) A platform that is 30 feet or less on any side, or in diameter, 
must have at least one obstruction light.
    (b) An SPM must have at least one obstruction light.
    (c) A platform that is more than 30 feet but less than 50 feet on 
any side, or in diameter, must have at least two obstruction lights that 
are installed as far apart from each other on the platform as possible.
    (d) A platform that is more than 50 feet on any one side must have 
one obstruction light installed on each corner.
    (e) A circular platform that has a diameter of more than 50 feet 
must have at least 4 obstruction lights that are installed as far apart 
from each other on the platform as possible.
    (f) At least one of the obstruction lights on each platform and SPM 
must be visible from the water regardless of the angle of approach to 
the structure.
    (g) If a platform or SPM has more than one obstruction light, the 
lights must all be installed in the same horizontal plane.
    (h) Each obstruction light on a platform must be installed at least 
20 feet above mean high water.
    (i) Each obstruction light on an SPM must be installed at least 10 
feet above the water.



Sec. 149.753  Number and location on a floating hose string.

    A floating hose string must have omnidirectional obstruction lights 
that are:
    (a) Installed at equally spaced intervals of not more than 70 feet 
along the length of the hose string, except that the two sections of 
hose furthest from the SPM need not have lights; and
    (b) Installed all at the same height and at no less than 2 nor more 
than 5 feet above the surface of the water.



Sec. 149.755  Characteristics.

    (a) Each obstruction light on a platform or SPM must:
    (1) Be white; and
    (2) Flash 50 to 70 times per minute.
    (b) If a platform or SPM has more than one obstruction light, the 
lights must flash simultaneously.
    (c) Each obstruction light on a hose string must:
    (1) Be yellow; and
    (2) Flash 50 to 70 times per minute.



Sec. 149.757  Intensity.

    (a) Each obstruction light on a platform must have an effective 
intensity of at least 75 candela.
    (b) Each obstruction light on an SPM must have an effective 
intensity of at least 15 candela.
    (c) Each obstruction light on a hose string must have an effective 
intensity of at least 1 candela.



Sec. 149.759  Leveling.

    Each obstruction light installed on a platform must have:
    (a) Mounting hardware incorporating devices that facilitate 
horizontal leveling of the light; and
    (b) A leveling indicator, or indicators, each with an accuracy of 
0.25 degrees, permanently attached to the light.

                                  Buoys



Sec. 149.771  Number and location.

    Each lateral boundary of a traffic lane at a deepwater port must be 
marked with buoys that are no more than 5 miles apart.



Sec. 149.773  Characteristics.

    (a) Each buoy at a deepwater port must:
    (1) Meet the requirements in Sec. 62.25 of this chapter for buoys in 
United States waters; and
    (2) Have:
    (i) A radar reflector; and
    (ii) A light installed at least 8 feet above the water.
    (b) For each traffic lane, the buoy that is furthest from the safety 
zone

[[Page 214]]

must have a fog signal of a type described in Subpart 62.45 of Part 62 
of this chapter.



Sec. 149.775  Intensity of lights.

    (a) Each fixed light on a buoy must have an intensity of at least 75 
candela.
    (b) Each flashing light on a buoy must have an effective intensity 
of at least 75 candela.

                              Miscellaneous



Sec. 149.791  Identification of a platform and SPM.

    (a) Each platform and SPM must display the name of the port, and the 
name or number or both identifying the structure, so that the 
information is visible:
    (1) From the water at all angles of approach to the structure; and
    (2) If the structure is equipped with a helicopter pad, from 
aircraft on approach to the structure.
    (b) The information required in paragraph (a) of this section must 
be displayed in numbers and letters that are:
    (1) At least 12 inches high;
    (2) In vertical block style; and
    (3) Displayed against a contrasting background.



Sec. 149.793  Markings for piles and pile clusters.

    (a) Each pile and pile cluster that is within 100 yards of a 
platform or SPM must be marked with white reflective tape.
    (b) Each pile and pile cluster that is more than 100 yards from a 
platform or SPM must meet the obstruction lighting requirements in this 
subpart for a platform.



Sec. 149.795  Radar beacon.

    The tallest platform must have an FCC type accepted radar beacon 
(RACON) that:
    (a) Transmits in--
    (1) Both the 2900-3100 MHz and 9300-9500 MHz frequency bands, or
    (2) The 9320-9500 MHz frequency band if installed prior to July 8, 
1991.
    (b) Transmits a signal of a least 250 milliwatts radiated power that 
is omnidirectional and polarized in the horizontal plane;
    (c) Transmits a 2 or more element Morse code character, the length 
of which does not exceed 25% of the radar range expected to be used by 
vessels operating in the area;
    (d) If of the frequency agile type, is programmed so that it will 
respond at least 40% of the time but not more than 90% of the time, with 
a response time duration of at least 15 seconds; and
    (e) Is installed at a minimum height of 15 feet above the highest 
deck of the platform and where the structure of the platform, or 
equipment mounted thereon, does not obstruct the signal propagation in 
any direction.

[CGD-90-016, 56 FR 21082, May 7, 1991]



Sec. 149.797  Rotating lighted beacon.

    The tallest platform must have a rotating lighted beacon that:
    (a) Has an effective intensity of at least 15,000 candela;
    (b) Flashes at least once every 20 seconds;
    (c) Has a white light;
    (d) Is installed:
    (1) At least 60 feet above mean high water;
    (2) Where the structure of the platform, or equipment mounted 
thereon, does not obstruct the propagation of the light in any 
direction; and
    (3) So as to be visible all around the horizon;
    (e) Operates in wind up to 100 knots at a speed that is within 6% of 
the operating speed displayed on the beacon.
    (f) [Reserved]
    (g) Has a leveling indicator, or indicators, each with an accuracy 
of 0.25 degrees, permanently attached to the light.



Sec. 149.799  Fog signal.

    (a) Each PPC must have a Coast Guard approved fog signal that has a 
2 mile range.
    Note: A list of Coast Guard approved fog signals may be obtained 
from the Commandant (G-M).
    (b) Each fog signal on a PPC must:
    (1) Be installed at least 10 feet but not more than 150 feet above 
mean high water; and
    (2) Be installed where the structure of the platform, or equipment 
mounted

[[Page 215]]

thereon, does not obstruct the propagation of sound in any direction.

[CGD 75-002, 40 FR 52565, Nov. 10, 1975, as amended by CGD 88-052, 53 FR 
25121, July 1, 1988]



PART 150--OPERATIONS--Table of Contents




                           Subpart A--General

Sec.
150.101  Applicability.
150.103  Licensee.
150.105  Operations Manual: General.
150.106  Operations Manual: Copies.
150.107  Operations Manual: Amendment.
150.109  Compliance with Operations Manual.
150.113  Deviations.
150.115  Emergency deviations.
150.117  Notification to the District Commander.
150.119  Notification to the Commandant.
150.121  ABS classification.
150.123  Weather monitoring.
150.125  Water depth measurements.
150.127  Environmental monitoring.
150.129  Response plans.

                          Subpart B--Personnel

150.201  Applicability.
150.203  General.
150.204  Definitions.
150.205  Port Superintendent.
150.207  Cargo Transfer Supervisor.
150.209  Vessel Traffic Supervisor.
150.211  Mooring Master.
150.213  Cargo Transfer Assistant.
150.215  Assistant Mooring Master.
150.217  Limitation on service.

                      Subpart C--Vessel Navigation

150.301  Applicability.
150.303  Definitions.
150.305  Ships' routing measures.
150.307  Radar surveillance.
150.309  Advisories to tankers.
150.311  Radio listening watch.
150.313  Clearances for tankers.
150.315  Clearances for support vessels.
150.317  Clearances for other vessels.
150.333  Advance notice of arrival.
150.335  Report before entering safety zone.
150.337  Navigation of tankers in the safety zone.
150.338  Navigation of support vessels in the safety zone.
150.339  Navigation of other vessels in the safety zone.
150.341  Mooring Master.
150.342  Assistant Mooring Master.
150.345  Regulated vessel activities.

                   Subpart D--Oil Transfer Operations

150.400  Applicability.
150.403  Definitions.
150.405  Periodic tests and inspections: OTS components.
150.407  Periodic tests and inspections: discharge containment 
          equipment.
150.409  Periodic tests and inspections: removal material and equipment.
150.411  Repair or replacement of equipment.
150.413  Requirements for oil transfer.
150.415  Requirements for connections.
150.417  Declaration of inspection.
150.419  Stopping transfer operations.
150.421  Displacement of oil in an SPM-OTS with water.
150.423  Limitations.
150.425  Suspension of oil transfer operations.

                          Subpart E--Operations

150.500  Applicability.
150.503  Maintenance of equipment.
150.504  Fire main system.
150.505  Fire pump.
150.507  Firehose: Connection and stowage.
150.508  Lifesaving equipment.
150.509  Use of personal protection equipment.
150.511  Maintenance of personal protection equipment.
150.513  Sanitation.
150.515  Refueling for aircraft.
150.516  Aircraft operations.
150.517  Station bill.
150.519  Emergency drills.
150.521  Housekeeping.
150.523  Illumination.
150.525  Emergency Medical Technician.
150.527  First aid station.

            Subpart F--Aids to Navigation at Deepwater Ports

150.601  Applicability.
150.603  Applicability of other regulations.
150.605  Aids to navigation: power supply.
150.607  Lights.
150.611  Fog signals.

                     Subpart G--Reports and Records

150.701  Applicability.

                                 Reports

150.703  Maintenance of ABS classification.
150.705  Aid to navigation discrepancy.
150.707  Oil throughput report.
150.711  Casualty or accident.
150.713  Sabotage or subversive activity.

                                 Records

150.751  General.
150.753  Key personnel: Designations and qualifications.
150.755  Port inspection records.
150.757  Oil throughput log.
150.759  Declaration of inspection.

[[Page 216]]


Appendix A to Part 150--Deepwater Port Safety Zone Boundaries

    Authority: 33 U.S.C. 1231, 1321(j)(1)(C), (j)(5), (j)(6) and (m)(2), 
1509; sec. 2, E.O. 12777, 56 FR 54757; 49 CFR 1.46.

    Source: CGD 75-002, 40 FR 52572, Nov. 10, 1975, unless otherwise 
noted.



                           Subpart A--General



Sec. 150.101  Applicability.

    The rules in this part apply to the operation of each deepwater 
port.



Sec. 150.103  Licensee.

    (a) No licensee of a deepwater port may cause or authorize 
operations contrary to the rules in this part.
    (b) The licensee shall ensure that the port meets the equipment 
requirements in Part 149 of this chapter.



Sec. 150.105  Operations Manual: General.

    (a) The licensee of a deepwater port may not operate the port unless 
the port has an Operations Manual that:
    (1) Is prepared in accordance with the ``Guidelines for Preparation 
of a Deepwater Port Operations Manual''; and
    (2) Has been approved by the Commandant.
    (b) For the purpose of this section, ``approved'' means only that 
the Operations Manual meets the requirements of the Act and the 
regulations in this subchapter.
    Note: The ``Guidelines for Preparation of a Deepwater Port 
Operations Manual'' may be obtained from the Commandant (G-M).

[CGD 75-002, 40 FR 52572, Nov. 10, 1975, as amended by CGD 88-052, 53 FR 
25121, July 1, 1988]



Sec. 150.106  Operations Manual: Copies.

    The licensee shall furnish 25 copies of the approved Operations 
Manual and each subsequent amendment to Commandant (G-M).
    Note: The Commandant will distribute copies of the approved 
Operations Manual and subsequent amendments within the Coast Guard and 
to the Governor of the adjacent coastal State connected directly by 
pipeline to the deepwater port.

[CGD 75-002, 40 FR 52572, Nov. 10, 1975, as amended by CGD 88-052, 53 FR 
25121, July 1, 1988]



Sec. 150.107  Operations Manual: Amendment.

    (a) The Captain of the Port may require the licensee to amend the 
Operations Manual if he finds that the Operations Manual does not comply 
with Sec. 150.105.
    (b) When the Captain of the Port determines that an amendment to an 
operations manual is necessary, he notifies the licensee in writing of a 
date not less than 14 days from the date of the notice, on or before 
which the licensee may submit written information, views, and arguments 
on the amendment. After considering all relevant material presented, the 
Captain of the Port notifies the licensee of any amendment required or 
he rescinds the notice. The amendment becomes effective not less than 30 
days after the licensee receives the notice unless the licensee 
petitions the Commandant to reconsider the amendment, in which case its 
effective date is stayed pending a decision by the Commandant. Petitions 
to the Commandant must be submitted in writing to the Captain of the 
Port.
    (c) If the Captain of the Port finds a situation that requires 
immediate action to prevent the discharge or risk of discharge of oil or 
to protect the safety of life and property that makes the procedure in 
paragraphs (a) and (b) of this section impracticable or contrary to the 
public interest, he may issue an amendment effective, without stay, on 
the date the licensee receives notice of it. In such a case, the Captain 
of the Port includes a brief statement of the reasons for his finding in 
the notice, and the licensee may petition the District Commander, in any 
manner, to reconsider the amendment.
    (d) Adjacent coastal States connected by pipeline to the deepwater 
port and licensees may petition the Captain of the Port to amend the 
Operations Manual. The Captain of the Port, when in receipt of a 
proposed amendment, will solicit comments on the proposed amendment. The 
petition and comment should include sufficient relevant information to 
enable the Captain of the Port to reach a decision to adopt or reject 
the proposed amendment. The Captain of the Port may approve amendments 
to the Operations Manual if he

[[Page 217]]

finds that the proposed alternative procedure, method, or equipment will 
ensure equivalent or improved protection, safety, or quality level and 
is in compliance with this subchapter.



Sec. 150.109  Compliance with Operations Manual.

    Each licensee shall use and require his personnel to use the 
procedures in the Operations Manual.



Sec. 150.113  Deviations.

    The Captain of the Port may authorize a deviation in writing upon 
request, if he finds that the proposed alternative procedure, method or 
equipment would ensure equivalent protection, safety, or quality level.



Sec. 150.115  Emergency deviations.

    In an emergency, for the protection of life or property, or to avoid 
danger to the environment, any person may deviate from the Operations 
Manual or any requirement of deepwater port regulations. As soon as 
practicable, the person shall report the nature, extent, and duration of 
each deviation orally or in writing to the Captain of the Port.



Sec. 150.117  Notification to the District Commander.

    (a) At least 30 days before construction of a pipeline, platform, or 
SPM at a deepwater port begins, the licensee shall give notice of 
construction in writing to the District Commander.
    (b) On the date construction of a pipeline, platform or SPM at a 
deepwater port begins, the licensee shall give written notice to the 
District Commander within 24 hours of the lights and fog signals in use 
at the construction site.
    (c) Whenever lights or fog signals are changed during construction 
of a pipeline, platform, or SPM at a deepwater port, the licensee shall 
give written notice of such change to the District Commander within 24 
hours.
    (d) When lights or fog signals used during construction of a 
platform, buoy, or SPM at a deepwater port are replaced with lights or 
fog signals required by Part 149 of this subchapter, the licensee shall 
give written notice of replacement to the District Commander within 24 
hours.
    (e) At least 60 days before the first oil transfer operation begins 
at a deepwater port, the licensee shall give written notice of the 
operation to the District Commander.

[CDG 75-002, 40 FR 52572, Nov. 10, 1975; 40 FR 58143, Dec. 15, 1975]



Sec. 150.119  Notification to the Commandant.

    The licensee shall give notice, in writing, to the Commandant upon 
receipt of the American Bureau of Shipping:
    (a) ``Interim Class Certificate''; and
    (b) ``Classification Certificate'' for an SPM at a deepwater port.



Sec. 150.121  ABS classification.

    (a) No licensee may operate an SPM unless he has an American Bureau 
of Shipping (ABS) ``Interim Class Certificate'' or a ``Classification 
Certificate'' for the SPM.
    (b) A certificate must classify the SPM and attached hoses.
    (c) The licensee shall maintain in class each SPM having a 
Classification Certificate.



Sec. 150.123  Weather monitoring.

    The terminal supervisor shall continuously monitor the wind, wave, 
current, and visibility conditions at the port.



Sec. 150.125  Water depth measurements.

    (a) The licensee shall measure water depth in the marine site if the 
Captain of the Port notifies the licensee that:
    (1) A severe storm may have significantly altered water depths;
    (2) Gradual natural or man-induced processes may have significantly 
altered water depths; or
    (3) User experience indicates that charted water depths may no 
longer be accurate.
    (b) The accuracy and adequacy of water depth measurements must be 
sufficient for nautical chart maintenance purposes.



Sec. 150.127  Environmental monitoring.

    The licensee shall monitor the environment in accordance with the 
environmental monitoring program set

[[Page 218]]

forth in the approved Operations Manual for the port.



Sec. 150.129  Response plans.

    (a) The owner or operator of a deepwater port shall prepare and 
submit a response plan meeting the requirements of subpart F of part 154 
for review and approval by the cognizant Captain of the Port (COTP).
    (b) A response plan must be submitted to the cognizant COTP by 
February 18, 1993 or not less than 60 days before the port begins 
operation, which ever is later.

[CGD 91-036, 58 FR 7352, Feb. 5, 1993]



                          Subpart B--Personnel



Sec. 150.201  Applicability.

    This subpart prescribes personnel qualifications that apply to each 
deepwater port.



Sec. 150.203  General.

    No person may serve and the licensee may not use the services of a 
person in the following capacities unless that person reads, writes and 
speaks English.
    (a) Port Superintendent.
    (b) Cargo Transfer Supervisor.
    (c) Cargo Transfer Assistant.
    (d) Vessel Traffic Supervisor.
    (e) Mooring Master.
    (f) Assistant Mooring Master.



Sec. 150.204  Definitions.

    As used in this subpart:
    (a) License means a Coast Guard license issued under 46 CFR part 10; 
and
    (b) Licensee means the licensee of a deepwater port.



Sec. 150.205  Port Superintendent.

    No person may serve, and the licensee may not use the services of a 
person, as a Port Superintendent at a deepwater port unless:
    (a) That person has enough experience at an oil transfer facility to 
enable the licensee to determine that that person is capable of managing 
the deepwater port;
    (b) The licensee determines that that person knows:
    (1) The hazards of each product to be transferred; and
    (2) The port operating procedures described in the Operations 
Manual; and
    (c) The licensee designates that person as Port Superintendent and 
advises the Captain of the Port in writing of that designation.



Sec. 150.207  Cargo Transfer Supervisor.

    No person may serve, and the licensee may not use the services of a 
person, as a Cargo Transfer Supervisor at a deepwater port unless:
    (a) That person has enough experience in operating oil transfer 
equipment to enable the licensee to determine that that person is 
capable of operating the oil transfer equipment of the deepwater port;
    (b) That person has:
    (1) Had continuous employment for at least one year as supervisor at 
an oil transfer facility in charge of offloading tank vessels of 70,000 
deadweight tons or larger;
    (2) Supervised at least 25 cargo transfer evolutions from tankers of 
70,000 deadweight tons or larger; or
    (3) Served in a training capacity for Cargo Transfer Supervisor at a 
United States deepwater port for at least one year;
    (c) The licensee determines that that person knows:
    (1) The rules in Subpart D of this part;
    (2) The oil transfer procedures and transfer control systems, in 
general, of tankers serviced at the facility;
    (3) The special handling characteristics of each product to be 
transferred; and
    (4) The procedures described in the Operations Manual for:
    (i) Oil transfer;
    (ii) Spill prevention, containment, and cleanup;
    (iii) Accidents and emergencies;
    (iv) Voice radiotelecommunications; and
    (d) The licensee designates that person as Cargo Transfer Supervisor 
and advises the Captain of the Port in writing of that designation.

[CGD 75-002, 40 FR 52572, Nov. 10, 1975; 40 FR 58143, 58144, Dec. 15, 
1975]



Sec. 150.209  Vessel Traffic Supervisor.

    No person may serve, and the licensee may not use the services of a

[[Page 219]]

person, as a Vessel Traffic Supervisor at a deepwater port unless:
    (a) That person presents evidence of:
    (1) Having performed for one year within the last five years in a 
capacity requiring radar plotting and analysis of vessel movement; or
    (2) Satisfactory completion of a marine radar operators school 
acceptable to the Commandant;
    (b) The licensee determines that that person knows:
    (1) The procedures for utilizing the port's radar equipment; and
    (2) The procedures described in the Operations Manual for:
    (i) Vessel control; and
    (ii) Voice radiotelecommunications; and
    (c) The licensee designates that person as Vessel Traffic Supervisor 
and advises the Captain of the Port in writing of that designation.



Sec. 150.211  Mooring Master.

    No person may serve, and the licensee may not use the services of a 
person, as a Mooring Master at a deepwater port unless:
    (a) That person holds a current United States Coast Guard issued 
license as:
    (1) Master of ocean steam or motor vessels of any gross tons, 
endorsed as radar observer, and has one year experience as:
    (i) Master on tankers of 70,000 DWT or larger and satisfactory 
completion of a very large crude carrier (VLCC) shiphandling course 
acceptable to the Commandant; or
    (ii) A Mooring Master at any deepwater port servicing tankers of 
70,000 DWT or larger; or
    (2) Master of ocean steam or motor vessels of limited tonnage, 
endorsed as radar observer, and endorsed as first-class pilot of vessels 
of any gross tons for at least one port in the area of the deepwater 
port, and has one year experience:
    (i) Piloting ocean going vessels, including tankers of 70,000 DWT or 
larger; or
    (ii) As assistant mooring master at the facility and satisfactory 
completion of a very large crude carrier (VLCC) shiphandling course 
acceptable to the Commandant;
    (b) The licensee determines that the person knows the procedures 
described in the Operations Manual for:
    (1) Vessel control;
    (2) Vessel responsibilities;
    (3) Spill prevention, containment, and cleanup;
    (4) Accidents and emergencies; and
    (5) Voice radiotelecommunications;
    (c) The licensee designates that person as Mooring Master and 
advises the Captain of the Port, in writing, of the designation; and
    (d) In addition to the foregoing requirements, after two years of 
operation of the facility, the licensee shall require new applicants for 
Mooring Master to have observed 20 mooring evolutions at that facility.



Sec. 150.213  Cargo Transfer Assistant.

    No person may serve, and the licensee may not use the services of a 
person, as a Cargo Transfer Assistant at a deepwater port unless:
    (a) That person presents evidence that he has one year experience, 
or performed 15 cargo transfer evolutions at an oil transfer facility 
servicing tankers of 70,000 deadweight tons or larger in a capacity 
involving connection and disconnection of the tankers to a single point 
mooring floating hose string;
    (b) The licensee determines that that person knows:
    (1) The rules in subpart D of this part;
    (2) The oil transfer procedures and transfer control systems, in 
general, of tankers serviced at the port;
    (3) The special handling characteristics of each product to be 
transferred;
    (4) The procedures described in the Operations Manual for:
    (i) Oil transfer;
    (ii) Spill prevention, containment, and cleanup;
    (iii) Accidents and emergencies; and
    (iv) Voice radiotelecommunications; and
    (c) The licensee designates that person as Cargo Transfer Assistant 
and retains written evidence of that designation at the deepwater port.



Sec. 150.215  Assistant Mooring Master.

    No person may serve, and the licensee may not use the services of a

[[Page 220]]

person, as an Assistant Mooring Master at a deepwater port unless:
    (a) That person holds a current United States Coast Guard issued 
license as:
    (1) Master of ocean steam or motor vessels of any gross tons, 
endorsed as radar observer, and has six months experience as master or 
chief mate on tankers of 70,000 DWT or larger; or
    (2) Master of ocean steam or motor vessels of limited tons, endorsed 
as radar observer, and endorsed as first-class pilot of vessels of any 
gross tons for at least one port in the area of the deepwater port;
    (b) The licensee determines that that person knows the procedures 
described in the Operations Manual for:
    (1) Vessel control;
    (2) Vessel responsibilities;
    (3) Spill prevention, containment, and cleanup;
    (4) Accidents and emergencies; and
    (5) Voice radiotelecommunications; and
    (c) The licensee designates that person as Assistant Mooring Master 
and advises the Captain of the Port, in writing, of the designation.



Sec. 150.217  Limitation on service.

    No person may perform in more than one of the following capacities 
at any one time:
    (a) Port Superintendent.
    (b) Cargo Transfer Supervisor.
    (c) Cargo Transfer Assistant.
    (d) Vessel Traffic Supervisor.
    (e) Mooring Master.
    (f) Assistant Mooring Master.



                      Subpart C--Vessel Navigation

    Authority: Sec. 10(a)(b)(d), 88 Stat. 2137-38 (33 U.S.C. 
1509(a)(b)(d)); sec. 4, 92 Stat. 1473-74 (33 U.S.C 1223); 49 CFR 1.46.

    Source: CGD 76-096, 45 FR 85647, Dec. 29, 1980, unless otherwise 
noted.



Sec. 150.301  Applicability.

    This subpart prescribes rules that:
    (a) Apply to the navigation of all vessels at or near a deepwater 
port; and
    (b) Describe vessel activities permitted and prohibited in a 
deepwater port safety zone.
    Note. Appendix A to this part describes the designated boundaries of 
U.S. deepwater port safety zones. Included within the safety zones are 
specific areas to be avoided, anchorages, and other ship's routing 
measures associated with particular safety zones. (Shipping safety 
fairways associated with deepwater ports are described in Part 166 of 
this Title.)

[CGD 76-096, 45 FR 85647, Dec. 29, 1980, as amended by CGD 85-044, 50 FR 
26990, July 1, 1985]



Sec. 150.303  Definitions.

    Support vessel means a tug, linehandling boat, crewboat, workboat, 
supply vessel, bunkering vessel, barge, or other similar vessel working 
for a licensee in connection with the operation of a deepwater port or 
cleared by a licensee to service a tanker calling at a deepwater port.
    Tanker means a vessel that calls at a deepwater port to load or 
unload oil at a SPM.



Sec. 150.305  Ships' routing measures.

    No licensee may operate a deepwater port unless the port has such 
ships' routing measures as prescribed or approved by the Coast Guard to 
provide for safe navigation at or near the deepwater port.



Sec. 150.307  Radar surveillance.

    The Vessel Traffic Supervisor shall maintain radar surveillance of 
the safety zone whenever:
    (a) A tanker is proceeding to the safety zone after submitting the 
report required in Sec. 150.335; or
    (b) A tanker or support vessel is underway in the safety zone; or
    (c) A vessel other than a tanker or support vessel is about to enter 
or is underway in the safety zone.



Sec. 150.309  Advisories to tankers.

    (a) The Vessel Traffic Supervisor shall advise the master of each 
tanker underway in the safety zone of the tanker's position by range and 
bearing from the PPC at intervals not to exceed 10 minutes.
    (b) Whenever the Vessel Traffic Supervisor determines that a vessel 
may potentially interfere with the movement of a tanker in the safety 
zone, the Vessel Traffic Supervisor shall keep the master of the tanker 
informed of the position and estimated course

[[Page 221]]

and speed of the vessel as necessary to assist the tanker in navigation 
within the safety zone.
    (c) Whenever a tanker enters the safety zone, the Vessel Traffic 
Supervisor shall advise the tanker of the position of each other vessel 
moored, anchored, or underway in the safety zone.



Sec. 150.311  Radio listening watch.

    Whenever a tanker is in the safety zone, the Vessel Traffic 
Supervisor and the master of the tanker shall each continuously monitor 
the radio frequency designated in the Operation Manuals for use by 
tankers and support vessels underway at the port, except when 
transmitting on that frequency.



Sec. 150.313  Clearances for tankers.

    (a) The Vessel Traffic Supervisor may not clear a tanker to enter 
the safety zone unless:
    (1) Each other tanker underway in the safety zone is at least 5 
miles from the tanker requesting clearance to enter the safety zone; and
    (2) A Mooring Master is on board or ready to board at a position in 
the designated safety fairway that will permit completion of boarding 
before the tanker enters the safety zone.
    (b) The Vessel Traffic Supervisor may not clear a tanker to moor at 
a SPM unless:
    (1) There is a SPM berth available and the Vessel Traffic Supervisor 
has assigned that berth to the tanker;
    (2) The visibility in the safety zone is at least two miles;
    (3) All operating conditions prescribed in the Operation Manuals for 
mooring to a SPM have been met; and
    (4) A Mooring Master and an Assistant Mooring Master are on board.
    (c) The Vessel Traffic Supervisor may not clear a tanker to depart 
from a SPM unless the visibility in the safety zone is at least two 
miles and a Mooring Master is on board.
    (d) No tanker may enter the safety zone or moor at or depart from a 
SPM, unless the master of the tanker has obtained clearance from the 
Vessel Traffic Supervisor, except as permitted by paragraph (e) of this 
section.
    (e) A tanker may, in an emergency, for the protection of life or 
property, depart from a SPM without clearance from the Vessel Traffic 
Supervisor if the master advises the Vessel Traffic Supervisor of the 
circumstances, by radio, at the earliest possible moment.



Sec. 150.315  Clearances for support vessels.

    (a) The Vessel Traffic Supervisor shall direct support vessel 
movements within the safety zone.
    (b) The Vessel Traffic Supervisor may clear support vessels to enter 
or depart the safety zone at any point.



Sec. 150.317  Clearances for other vessels.

    (a) When requested by the master of a vessel other than a tanker or 
support vessel, the Vessel Traffic Supervisor shall furnish information 
concerning other vessels underway or moored in the safety zone.
    (b) If the Vessel Traffic Supervisor determines that a vessel other 
than a tanker or support vessel may be standing into danger with respect 
to any vessel or part of the deepwater port installation in the safety 
zone, the Vessel Traffic Supervisor shall attempt to inform the master 
of that vessel by radio or other means.
    (c) Except in situations involving force majeure, the Vessel Traffic 
Supervisor shall not clear a vessel other than a tanker or support 
vessel to enter the safety zone of a deepwater port for any purpose that 
would interfere with the purpose of the deepwater port; endanger the 
safety of life, property, or the environment; or otherwise be prohibited 
by regulation.



Sec. 150.333  Advance notice of arrival.

    (a) The master of a tanker bound for a deepwater port shall report 
the following information to the Captain of the Port and the Vessel 
Traffic Supervisor of the port at least 24 hours before entering the 
safety zone at the port:
    (1) The name, gross tonnage, and draft of the tanker.
    (2) The type and amount of cargo on board.
    (3) Any conditions on the vessel that may impair the navigation of 
the vessel, such as fire, malfunctioning propulsion machinery or 
steering equipment, or limitations on navigational or

[[Page 222]]

radiotelephone capabilities because of equipment or material 
malfunctions.
    (4) Any leaks, structural damage, or machinery malfunctions that may 
impair cargo transfer operations or cause a discharge of oil.
    (5) The estimated time of arrival at the deepwater port safety zone.
    (b) If the information reported in paragraph (a)(3), (a)(4), or 
(a)(5) of this section changes at any time before entering the safety 
zone, or while the tanker is in the safety zone, the master of the 
tanker shall report the changes to the Captain of the Port and Vessel 
Traffic Supervisor as soon as possible.



Sec. 150.335  Report before entering safety zone.

    The master of a tanker bound for a deepwater port shall notify the 
Vessel Traffic Supervisor of the port when the tanker is 20 miles from 
the entrance to the safety zone.



Sec. 150.337  Navigation of tankers in the safety zone.

    (a) A tanker must not enter or depart a safety zone except via a 
designated safety fairway, unless under force majeure.
    (b) A tanker must not anchor in the safety zone except in a 
designated anchorage area unless under force majeure.
    (c) A tanker underway in a safety zone must keep at least 5 miles 
behind any other tanker underway ahead of it in the safety zone.
    (d) A tanker must not operate, anchor, or be moored in any area of 
the safety zone in which the net underkeel clearance would be less than 
5 feet.



Sec. 150.338  Navigation of support vessels in the safety zone.

    (a) A support vessel must not enter or move within the safety zone 
unless the movement is cleared by the Vessel Traffic Supervisor.
    (b) A support vessel must not anchor in the safety zone, except in 
an anchorage area or for support vessel maintenance operations cleared 
by the Vessel Traffic Supervisor.



Sec. 150.339  Navigation of other vessels in the safety zone.

    Vessels other than tankers or support vessels should not enter the 
safety zone of a deepwater port unless clearance has been obtained from 
the Vessel Traffic Supervisor.



Sec. 150.341  Mooring Master.

    A tanker must not be underway in the safety zone unless a Mooring 
Master is on board.
    Note: The Mooring Master advises the master of the tanker on 
operational and ship control matters that are peculiar to the specific 
deepwater port, such as navigational aids, depth and current 
characteristics of the manuevering area, mooring equipment and 
procedures, and the port's vessel traffic control procedures.



Sec. 150.342  Assistant Mooring Master.

    A tanker must not moor at a SPM unless an Assistant Mooring Master 
is on board.
    Note: The Assistant Mooring Master is stationed on the forecastle of 
the tanker during mooring operations to assist the Mooring Master by 
reporting position approach data relative to the SPM and to advise the 
tanker personnel in handling of mooring equipment peculiar to the 
deepwater port.



Sec. 150.345  Regulated vessel activities.

    (a) Vessel activities permitted and prohibited at deepwater ports, 
controls on those activities, and the specific safety zone areas in 
which the controls apply are listed in Table 150.345(a).

    Table 150.345(a)--Regulated Vessel Activities at Deepwater Ports
------------------------------------------------------------------------
                                                Safety zone
                                  --------------------------------------
                                   Areas to be
   Regulated vessel activities       avoided                  Remaining
                                   around each   Anchorage    portion of
                                   PPC and SPM      area     safety zone
                                       \1\
------------------------------------------------------------------------
Tankers calling at port..........            C            C            C
Support vessel movements.........            C            C            C
Transit by vessels other than                N            P            P
 tankers or support vessels......
Mooring to SPM by vessels other              F  ...........
 than tankers or support vessels.
Anchoring by vessels other than              N       F or P            N
 tankers or support vessels......

[[Page 223]]

 
Fishing, including bottom trawl              N            P            P
 (shrimping).....................
Mobile drilling operations of                N            N            N
 erection of structures \2\......
Lightering/transshipment \3\.....            N            N            N
------------------------------------------------------------------------
\1\ The radius of areas to be avoided around each PPC is 600 meters and
  around each SPM is 500 meters.
\2\ Not part of Port Installation.
\3\ Exception, 33 CFR 150.423(e).
 
Note: The person in charge of any vessel planning to enter a safety zone
  should contact the port Vessel Traffic Supervisor on Ch. 10 VHF-FM
  before entry and comply with that person's instructions.
 
Key to regulated activities: F--Force majeure. N--Not permitted. C--
  Tankers calling at port and support vessel movements: Permitted when
  cleared by vessel traffic supervisor. P--Vessels other than tankers or
  support vessels: Permitted when not in immediate area in tanker,
  clearance by vessel traffic supervisor required. Communications with
  vessel traffic supervisor required. For transiting foreign flag
  vessels, the requirement for clearance to enter the safety zone is
  advisory in nature.

    (b) A deepwater port licensee shall obtain the permission of the 
Captain of the Port having jurisdiction over that licensee's port before 
allowing any vessel activity at the port which is not listed in Table 
150.345(a) or otherwise provided for in this subpart.



                   Subpart D--Oil Transfer Operations



Sec. 150.400  Applicability.

    This subpart prescribes rules that apply to the transfer of oil at a 
deepwater port.



Sec. 150.403  Definitions.

    As used in this subpart:
    Hose string, both floating and float/sink type, means that portion 
of an SPM-OTS consisting of flexible hose which connects the vessel's 
manifold to the SPM.
    OTS means an oil transfer system of a deepwater port and includes 
the SPM-OTS and the undersea pipeline running from the PLEM to the 
onshore terminal.
    PLEM means pipeline and manifold at the SPM.
    Single Point Mooring (SPM) means an offshore berth which provides a 
link between the undersea pipeline and a moored vessel for the transfer 
of oil and to which the vessel can be secured and can weathervane during 
the oil transfer.
    SPM-OTS means that portion of an OTS from the PLEM to the end of the 
hose string that connects to the manifold on the vessel.



Sec. 150.405  Periodic tests and inspections: OTS components.

    No person may transfer oil through an OTS at a deepwater port 
unless:
    (a) The SPM-OTS of the OTS has been tested and inspected as required 
for maintenance of class in accordance with the Rules for Building and 
Classing Single Point Moorings published by the American Bureau of 
Shipping;
    (b) Each oil transfer hose in the SPM-OTS of the OTS in which the 
maximum pressure rating of the manufacturer has been exceeded, except 
when exceeded for testing required by this section, has, since the 
pressure was exceeded, been:
    (1) Removed;
    (2) Hydrostatically tested to 1.5 times its maximum working 
pressure; and
    (3) Visually examined externally and internally for evidence of 
leakage, loose covers, kinks, bulges, soft spots, and gouges, cuts, or 
slashes that penetrate the hose reinforcement;
    (c) Within the 23 months immediately preceding the month during 
which oil transfer operations are to be conducted, each submarine hose 
in the SPM-OTS of the OTS has been removed from the ends of each 
submarine coupling, surfaced, and visually examined externally and 
internally for evidence of flaws as described in paragraph (b)(3) of 
this section and hydrostatically tested to 1.5 times its maximum working 
pressure; and

[[Page 224]]

    (d) Each submarine hose in the SPM-OTS of that OTS has been visually 
examined in place for evidence of external flaws as described in 
paragraph (b)(3) of this section since the last time sea conditions at 
the deepwater port required shutdown of oil transfer operations.



Sec. 150.407  Periodic tests and inspections: discharge containment equipment.

    No person may transfer oil at a deepwater port unless the discharge 
containment equipment required by Part 149 of this chapter is tested and 
inspected as follows:
    (a) Within the five months immediately preceding the month during 
which oil transfer operations are to be conducted at a deepwater port, a 
visual examination must have been performed to determine whether there 
existed any conditions that might impair the effectiveness of the 
equipment in performing its intended function. This visual examination 
must include the condition of such items as fabric and fabric coatings, 
seams and bonding points, metal hardware parts, shackles, fittings, 
towing and other lines, cables, flotation devices, inflation mechanisms, 
and any other components integral to the equipment.
    (b) Within the 11 months immediately preceding the month during 
which oil transfer operations are to be conducted at a deepwater port, 
representative pieces or sections of the containment equipment must:
    (1) Have been deployed under simulated discharge conditions and the 
integrity of equipment strength members, containment skirt, flotation 
devices, and any other design performance factors of the equipment 
tested; or
    (2) Have been deployed under actual discharge conditions.



Sec. 150.409  Periodic tests and inspections: removal material and equipment.

    No person may transfer oil at a deepwater port unless the removal 
material and equipment required by Part 149 of this chapter is tested 
and inspected as follows:
    (a) Within the two months immediately preceding the month during 
which oil transfer operations are to be conducted at a deepwater port, 
any machinery, pumps, hydraulic parts, and other operating features of 
removal equipment must have been visually examined and operated in 
accordance with the instructions of the manufacturer.
    (b) Within the 11 months immediately preceding the month during 
which oil transfer operations are to be conducted at a deepwater port, 
the removal equipment must have been tested in conjunction with the 
containment equipment deployment required by Sec. 150.407(b).



Sec. 150.411  Repair or replacement of equipment.

    (a) Whenever any component of a deepwater port that affects the 
safety or integrity of the oil transfer operation is found to be 
inoperative or otherwise defective, the licensee shall replace or repair 
the component before further oil transfer operations are undertaken 
using the affected OTS. The repaired or replaced component must meet or 
exceed the original specifications.
    (b) Whenever an item of discharge containment and removal material 
or equipment required by Sec. 149.319 of this chapter is found to be 
inoperative or otherwise defective, the licensee shall replace or repair 
the item before further oil transfer operations are undertaken. The 
repaired or replaced item must meet or exceed the original 
specifications.



Sec. 150.413  Requirements for oil transfer.

    No person may transfer oil through an OTS unless:
    (a) Before connecting the hose string to the vessel manifold at the 
start of each oil transfer operation, it is determined by in-place 
visual examination that the hose string in use for that transfer 
operation has no leakage, loose covers, kinks, bulges, soft spots, and 
no gouges, cuts, or slashes that penetrate the hose reinforcement;

[[Page 225]]

    (b) During each oil transfer operation, it is determined by visual 
examination that the hose string in use for that transfer operation has 
no leakage;
    (c) The vessel's mooring attachment to the SPM is strong enough to 
hold in all expected conditions of surge, current, and weather;
    (d) Oil transfer hoses are long enough to allow the vessel to move 
to the limits of its mooring attachment to the SPM without placing 
strain on the hoses;
    (e) Each oil transfer hose is supported in a manner that prevents 
strain on its coupling;
    (f) Each part of the OTS necessary to allow the flow of oil is lined 
up for the transfer;
    (g) Each part of the OTS not necessary for the transfer operation is 
securely blanked or shut off;
    (h) Except when used to receive or discharge ballast, each overboard 
discharge or sea suction valve that is connected to the vessel's oil 
transfer, ballast, or cargo tank systems is sealed, lashed, or locked in 
the closed position;
    (i) Each connection in the OTS meets the requirements of 
Sec. 150.415;
    (j) The discharge containment and removal material and equipment 
required by Sec. 149.319 of this chapter is in place;
    (k) Each scupper and overboard drain on the vessel is closed;
    (l) Any continuing loss of oil from the coupling at the vessel 
manifold does not overflow the drip pan under the manifold;
    (m) The communications equipment required by Sec. 149.317 of this 
chapter is operative for the transfer operation;
    (n) The emergency means of shutdown required by Part 149 of this 
chapter is in position and operative;
    (o) The Cargo Transfer Supervisor, Cargo Transfer Assistant, and any 
other designated personnel are on duty and present to conduct the 
transfer operations in accordance with the Operations Manual and with 
the oil transfer procedures that apply to the vessel during the transfer 
operation;
    (p) The vessel's officer in charge of cargo transfer and the Cargo 
Transfer Assistant have held a conference and each understands the 
following details of the transfer operations:
    (1) The identity of the product to be transferred.
    (2) The sequence of transfer operations.
    (3) The transfer rate.
    (4) The name or title and location of each person participating in 
the transfer operation.
    (5) Particulars of the transferring and receiving systems.
    (6) Critical stages of the transfer operation.
    (7) Federal regulations that apply to the transfer of oil.
    (8) Emergency procedures.
    (9) Discharge containment procedures.
    (10) Discharge reporting procedures.
    (11) Watch or shift arrangement.
    (12) Transfer shutdown procedures;
    (q) The vessel's officer in charge of cargo transfer and the Cargo 
Transfer Assistant agree to begin the transfer operation;
    (r) Flame screens are structurally sound and securely fastened in 
place in all cargo tank vents and ullage holes on the vessel; and
    (s) The declaration of inspection required by Sec. 150.417 is 
executed.



Sec. 150.415  Requirements for connections.

    (a) The licensee shall provide suitable adaptors, to allow 
connection of the hose string to a vessel manifold, that meet any one of 
the following flange standards:
    (1) American National Standards Institute (ANSI).
    (2) British Standard (BS).
    (3) German Standard (DIN).
    (4) Japanese Industrial Standard (JIS).
    (5) Universal Metric Standard.
    (b) Each temporary connection between the hose string and a vessel 
manifold must:
    (1) Be made using either:
    (i) A bolted coupling; or
    (ii) A quick-connect coupling approved under Sec. 156.130(c)(2) of 
this chapter;
    (2) Have suitable materials in joints and couplings to make a tight 
seal;
    (3) If using an American National Standards Institute (ANSI) 
standard bolted flange coupling, have a bolt in

[[Page 226]]

at least every other hole of the coupling and in no case less than four 
bolts;
    (4) If using a bolted coupling other than an ANSI standard bolted 
flange coupling, have a bolt in each hole of the coupling;
    (5) Have bolts in each bolted coupling that are all:
    (i) The same size;
    (ii) Tightened so as to uniformly distribute the load around the 
coupling; and
    (iii) Free of any signs of strain, elongation or deterioration; and
    (6) Be made and broken in the presence of and under the direct 
supervision of the Cargo Transfer Assistant.



Sec. 150.417  Declaration of inspection.

    (a) No person may transfer oil at a deepwater port unless a 
declaration of inspection has been executed before the start of each oil 
transfer operation by the Cargo Transfer Assistant and the vessel's 
officer in charge of cargo transfer.
    (b) The declaration of inspection required by paragraph (a) of this 
section may be in any form but must contain:
    (1) The name of the tanker and berth to which moored;
    (2) The date the oil transfer operation will start;
    (3) Certification by the Cargo Transfer Assistant and the vessel's 
officer in charge of cargo transfer that the requirements for oil 
transfer specified in Sec. 150.413, and the pre-transfer procedures 
described in the Operations Manual, have been followed; and
    (4) The signatures of the Cargo Transfer Assistant and the vessel's 
officer in charge of cargo transfer.



Sec. 150.419  Stopping transfer operations.

    (a) Before stopping the flow of oil during an offloading operation 
at a deepwater port, the Cargo Transfer Supervisor shall advise the 
vessel's officer in charge of oil transfer of the intent to do so.
    (b) Before stopping the flow of oil during an onloading operation at 
a deepwater port, the vessel's officer in charge of oil transfer shall 
advise the Cargo Transfer Supervisor of the intent to do so.
    (c) Before disconnecting the hose string from the vessel manifold, 
the Cargo Transfer Assistant shall ensure that the shut-off valve 
described in Sec. 149.307 of this chapter is secured in the closed 
position.
    (d) Before returning the hose string to the water after 
disconnection, the Cargo Transfer Assistant shall ensure that the blank 
flange described in Sec. 149.307 of this chapter is secured in place and 
has:
    (1) Suitable material in the coupling to make a tight seal;
    (2) A bolt in each hole of the coupling; and
    (3) Bolts in the coupling that are all:
    (i) The same size;
    (ii) Tightened so as to uniformly distribute the load around the 
coupling; and
    (iii) Free of any signs of strain, elongation, or deterioration.



Sec. 150.421  Displacement of oil in an SPM-OTS with water.

    The Port Superintendent shall ensure that the oil in an SPM-OTS is 
displaced with water, and the valve at the PLEM closed, whenever:
    (a) A storm warning has been received forecasting weather conditions 
that will exceed the design operating criteria listed in the Operations 
Manual for the SPM-OTS;
    (b) A vessel is about to depart the SPM because of storm conditions; 
or
    (c) The SPM is not scheduled for use in an oil transfer operation 
within the next 7 days.



Sec. 150.423  Limitations.

    No person may transfer oil at a deepwater port:
    (a) Unless a Port Superintendent is on duty at the port;
    (b) During a severe electrical storm in the vicinity of the 
deepwater port;
    (c) During a fire at the deepwater port, receiving terminal on 
shore, or aboard a vessel berthed at the deepwater port, unless it is 
determined by the Port Superintendent that an oil transfer should be 
resumed as a safety measure;
    (d) Unless there are personnel and equipment at the port, not 
presently engaged in discharge containment and

[[Page 227]]

removal operations, sufficient to contain and remove the discharges 
specified in Sec. 149.319(a);
    (e) By lighterage, except in bunkering operations, unless otherwise 
authorized by the Captain of the Port; or
    (f) Unless the weather conditions at the port meet the minimum 
operating conditions prescribed in the Operations Manual for 
transferring oil at the port.



Sec. 150.425  Suspension of oil transfer operations.

    (a) The Captain of the Port may order the licensee to suspend oil 
transfer operations if the Captain of the Port finds that there is a 
condition requiring immediate action to prevent the discharge or threat 
of discharge of oil or to protect the safety of life and property.
    (b) An order of suspension may be made effective immediately.
    (c) The order of suspension states each condition requiring 
immediate action.
    (d) The licensee may petition the District Commander, in writing or 
in any manner if the order of suspension is effective immediately, to 
reconsider the order of suspension. The decision of the District 
Commander is final agency action.

[CGD 75-002, 40 FR 52572, Nov. 10, 1975; 40 FR 58144, Dec. 15, 1975]



                          Subpart E--Operations



Sec. 150.500  Applicability.

    The rules in this subpart apply to operations at a deepwater port.



Sec. 150.503  Maintenance of equipment.

    (a) The licensee shall maintain each item of equipment required 
under this subchapter in operative condition or shall replace it with an 
item in good condition.
    (b) The licensee shall maintain each excess item of equipment 
required under this subchapter in operative condition or shall remove it 
from serv- ice.



Sec. 150.504  Fire main system.

    The licensee may use the fire main system only for firefighting and 
deckwashing.



Sec. 150.505  Fire pump.

    The licensee shall keep at least one of the fire pumps required by 
this subchapter ready for use on the fire main system at all times.



Sec. 150.507  Firehose: Connection and stowage.

    (a) Except as otherwise provided in paragraph (c) of this section, 
the licensee shall keep at least one length of firehose with a 
combination nozzle connected to each fire hydrant at all times.
    (b) The licensee shall stow each firehose connected to a fire 
hydrant on a hose rack when not in use.
    (c) A firehose in an exposed location may temporarily be removed 
from an exposed location to protect the firehose from damage during 
heavy weather.
    (d) If the edge of a platform deck is in an exposed location, the 
licensee shall keep enough lengths of fire hose connected to the hydrant 
nearest the edge to allow 10 feet of hose, when pressurized, to curve 
over the edge.



Sec. 150.508  Lifesaving equipment.

    (a) The licensee shall stow each inflatable life raft required by 
Sec. 149.521 of this subchapter as near as practicable to launching 
equipment for the life raft.
    (b) The licensee shall test lifeboat launching equipment required by 
Sec. 149.524 of this subchapter immediately after installation in 
accordance with 46 CFR 94.35-5.



Sec. 150.509  Use of personal protection equipment.

    (a) When any person is in a work area, the licensee shall ensure 
that such person wears:
    (1) Safety shoes that meet the specifications prescribed by the 
American National Standard Institute (ANSI) Requirements for Men's 
Safety-Toe Footware, Z41.1; and
    (2) Protective hats that meet the specifications prescribed by the 
ANSI Safety Requirements for Industrial Head Protection, Z89.1.
    (b) When an eye hazard from flying particles or heavy dust exists, 
the licensee shall ensure that each person in the area of the hazard is 
wearing eye protection equipment that meets the

[[Page 228]]

specifications prescribed by the ANSI Practice for Occupational and 
Educational Eye and Face Protection, Z87.1.
    (c) When hazardous work is being performed, the licensee shall 
ensure that any person who wears corrective eye glasses wear eye 
protection equipment that can be worn over eye glasses, or prescription 
ground safety lenses that meet the specifications prescribed by the ANSI 
Practice for Occupational and Educational Eye and Face Protection, 
Z87.1, if these lenses provide protection against the hazard involved.
    (d) When handling hazardous materials the licensee shall ensure that 
all personnel in the area are wearing suitable protective clothing and 
equipment.
    (e) When any person is exposed to combinations of sound levels and 
durations exceeding those listed in Table 150.509(e) the licensee shall 
ensure that the person is wearing ear protection equipment that reduces 
sound levels to or below the listed levels.
    (f) When any person is working over or near the water, the licensee 
shall ensure that the person wears either a unicellular plastic foam 
work vest that meets the requirements of 46 CFR 160.053 or a life 
preserver that meets the requirements of 46 CFR 160.002, 160.005, or 
160.055.

          Table 150.509 Maximum Permissible Noise Exposures \1\
------------------------------------------------------------------------
                                                                 Sound
                                                               level \2\
                   Duration per day/hours                      dBA slow
                                                               response
------------------------------------------------------------------------
8...........................................................          90
6...........................................................          92
4...........................................................          95
3...........................................................          97
2...........................................................         100
1\1/2\......................................................         102
1...........................................................         105
\1/2\.......................................................         110
\1/4\.......................................................         115
------------------------------------------------------------------------
\1\ When the daily noise exposure is composed of two or more periods of
  noise exposure of different levels, their combined effect must be
  considered rather than the individual effect of each. If the sum of
  the fractions


                                       (C1         +        C2        + . . .        Cn)
                                   -----------          ----------               -----------
                                        T1     ........     T2     .............     Tn
 
is more than one, then, the mixed exposure exceeds the limit value. (Cn) is the total time of exposure at a
  specified noise level. (Tn) is the total time of exposure permitted at that level.
Exposure to impulsive or impact noise should not exceed 140 dB peak sound pressure level.
\2\ Measured on the A scale of a standard sound level meter at slow response.


[CGD 75-002, 40 FR 52572, Nov. 10, 1975; 40 FR 58144, Dec. 15, 1975]



Sec. 150.511  Maintenance of personal protection equipment.

    (a) The licensee shall clean and disinfect eye protection equipment 
that has been used before it is reissued.
    (b) The licensee shall clean and disinfect protective hats that have 
been worn before they are reissued.



Sec. 150.513  Sanitation.

    The licensee shall ensure that garbage is covered and that no person 
is working in the vicinity of uncovered garbage or of overboard 
discharges from sanitary lines that are not protected by a baffle or 
splash boards.



Sec. 150.515  Refueling for aircraft.

    If the PPC is not equipped with a permanent fueling facility for 
aircraft, no person may fuel or cause or authorize the fueling of 
aircraft unless he has received the permission of the Captain of the 
Port.



Sec. 150.516  Aircraft operations.

    The licensee shall ensure that appropriately clothed and 
sufficiently qualified fire fighting and rescue personnel to man 
equipment and effect a rescue are present during aircraft operations.



Sec. 150.517  Station bill.

    (a) The licensee shall post copies of a station bill on each PPC.
    (b) The licensee shall designate in writing on the station bill, by 
title and in order of succession, each person on the PPC who is a person 
in charge of the PPC for purposes of supervision in an emergency.
    (c) The station bill must set forth:
    (1) The special duties and duty stations of each person, by name, on 
the PPC for each emergency listed in the Operations Manual that involves 
the use or application of equipment required by Part 149 of this 
chapter; and
    (2) The signals for calling persons to their emergency stations and 
for abandoning the PPC.

[[Page 229]]



Sec. 150.519  Emergency drills.

    The licensee shall conduct each emergency drill specified in the 
Operations Manual at least once every 30 days.



Sec. 150.521  Housekeeping.

    (a) The licensee shall keep walking and working areas clear of all 
loose hazards that could cause tripping or stumbling.
    (b) The licensee shall store portable equipment when it is not in 
use.
    (c) The licensee shall eliminate slippery conditions on the platform 
as soon as practicable.
    (d) No person may suspend a portable light by its cord unless the 
means of attachment of the cord to the light prevents the light from 
being suspended by the electrical connections.
    (e) The licensee shall keep each area near a lifeboat, inflatable 
life raft, or means of escape described in Secs. 149.421 and 149.423 of 
this chapter clear of obstructions that would interfere with immediate 
use of the lifeboat, life raft, or means of escape.



Sec. 150.523  Illumination.

    (a) The licensee shall illuminate each walking and working area.
    (b) No person may enter any dark place that does not have installed 
illumination unless he has a flashlight or other suitable portable 
light.
    (c) No person may use matches or open flame lights as illumination.



Sec. 150.525  Emergency Medical Technician.

    The licensee shall ensure that at least one person who holds a 
certificate of completion of the Department of Transportation, National 
Highway Traffic Safety Administration Basic Training Course (81 hours), 
from a state or from the National Registry of Emergency Medical 
Technicians, is on the PPC at all times.



Sec. 150.527  First aid station.

    (a) The licensee shall ensure each first aid station on a PPC has 
enough medical supplies and equipment for the Emergency Medical 
Technician to provide emergency medical care.
    (b) The first aid station may not be used for any purpose that 
prevents its immediate use as a first aid station.



            Subpart F--Aids to Navigation at Deepwater Ports



Sec. 150.601  Applicability.

    The rules in this subpart apply to the operation of aids to 
navigation at a deepwater port.



Sec. 150.603  Applicability of other regulations.

    Section 66.01-20 of this chapter also applies to aids to navigation 
at a deepwater port.



Sec. 150.605  Aids to navigation: power supply.

    The licensee shall maintain:
    (a) Voltage at every operating lamp of each light at or above the 
operating voltage listed on the light; and
    (b) The input power to the fog signal at or above the minimum input 
power listed on the fog signal.



Sec. 150.607  Lights.

    (a) The licensee shall display each light required in Part 149 of 
this subchapter between sunset and sunrise local time.
    (b) During construction of a platform or SPM, the licensee shall 
mark the structure with at least one of the following:
    (1) The obstruction lights required in Part 149 of this chapter for 
the structure.
    (2) The fixed lights of a vessel attending the structure.
    (3) General illumination lights on the structure that meet or exceed 
the intensity requirements for the obstruction lights required in Part 
149 of this subchapter for the structure.
    (c) The licensee shall ensure that each light using a lens is 
operated with the light source at the focal point of the lens as 
determined by the means required in Sec. 149.724 of this subchapter.
    (d) The licensee shall ensure that the focal plane of each platform 
obstruction light when operated, and of the rotating lighted beacon when 
operated, is always coincident with the horizontal plane passing through 
the light source.

[[Page 230]]



Sec. 150.611  Fog signals.

    (a) The licensee shall operate the fog signal on each PPC whenever 
the visibility in any horizontal direction from the structure is less 
than 5 miles.
    (b) During construction of a platform, compliance with paragraph (a) 
of this section is not required if the PPC is attended by a vessel 
moored alongside the platform and the vessel sounds a 2 second whistle 
blast every 20 seconds whenever the visibility in any horizontal 
direction from the vessel is less than 5 miles.



                     Subpart G--Reports and Records



Sec. 150.701  Applicability.

    This subpart prescribes reports to be submitted by the licensee and 
records and other information to be maintained by the licensee.

                                 Reports



Sec. 150.703  Maintenance of ABS classification.

    Whenever the licensee submits a report to the American Bureau of 
Shipping (ABS) that is required for maintenance of SPM class in 
accordance with ABS Rules for Building and Classing Single Point 
Moorings, he shall submit a copy of the report to the Commandant, U.S. 
Coast Guard.



Sec. 150.705  Aid to navigation discrepancy.

    The licensee shall report promptly to the District Commander, by the 
fastest means of communications available, any discrepancy affecting the 
proper operation or characteristics of any aid to navigation at the 
deepwater port, whenever a discrepancy exists. Correction of the 
discrepancy shall also be reported promptly. The initial discrepancy 
report must include:
    (a) Name or designation of aid;
    (b) Location of aid;
    (c) Nature of discrepancy; and
    (d) Estimated time of correction.



Sec. 150.707  Oil throughput report.

    (a) Each deepwater port licensee shall mail or deliver to the 
Administrator of the Deepwater Port Liability Fund, at the address 
listed in Sec. 137.105 of this chapter, on a monthly basis, beginning 
the fifteenth day of the month immediately following the commencement of 
oil transfer operations, and the fifteenth of each month thereafter, a 
report on the oil throughput of the deepwater port.
    (b) The oil throughput report required by paragraph (a) of this 
section may be submitted in any format but must contain the volume of 
oil cargo, measured in barrels, loaded or unloaded at the deepwater port 
during the previous month.

(Secs. 10(a), 18(j)(1), 88 Stat. 2137, 2144 (33 U.S.C. 1509(a), 
1517(j)(1)); 49 CFR 1.46)

[CGD 79-158, 47 FR 27488, June 24, 1982]



Sec. 150.711  Casualty or accident.

    (a) The licensee shall submit to the Officer-in-Charge, Marine 
Inspection, a report of casualty or accident whenever any of the 
following occur:
    (1) Any component of a deepwater port which is hit by a vessel and 
total damage to all property is in excess of $25,000. Damage cost 
includes the cost of labor and material to restore the property to the 
service condition which existed prior to the casualty, but does not 
include the cost of salvage, cleaning, gas freeing, drydocking or 
demurrage.
    (2) Damage to the deepwater port in excess of $25,000.
    (3) Material damage affecting the usefulness of lifesaving or fire 
fighting equipment.
    (4) Loss of life.
    (5) Injury causing any person to remain incapacitated for more than 
72 hours, arising from or directly connected with the use or employment 
of any emergency equipment described in Part 149 of this chapter.
    (6) Loss of life or injury causing any person to be incapacitated 
for a period in excess of 72 hours as a result of diving using 
underwater breathing apparatus.
    (b) The deepwater port casualty or accident report, written in 
narrative form, must contain the following information:
    (1) Name, number, or other designation of the deepwater port.
    (2) Names and addresses of the owner, his agent, operator and the 
person in charge.

[[Page 231]]

    (3) Nature and probable cause of the casualty or accident.
    (4) Date and time the casualty or accident occurred, if known, 
otherwise approximately when it occurred.
    (5) Details of damage, especially with respect to lifesaving and 
fire fighting equipment.
    (6) Nature and extent of injury to any person.
    (7) Names and addresses of persons involved.
    (8) Other comments, especially with respect to use or need for 
emergency equipment.
    (9) The vessel casualty reporting requirements relating to alcohol 
or drug involvement as specified in the vessel casualty reporting 
requirements of 46 CFR 4.05-12.
    (c) In the investigations of casualties and accidents occurring at 
deepwater ports, the procedures in 46 CFR Part 4 for marine casualties 
apply.

[CGD 75-002, 40 FR 52572, Nov. 10, 1975, as amended by CGD 76-170a, 45 
FR 77434, Nov. 24, 1980; CGD 82-069a, 50 FR 14216, Apr. 11, 1985; CDG 
84-099, 52 FR 47533, Dec. 14, 1987]



Sec. 150.713  Sabotage or subersive activity.

    The licensee shall report to the Captain of the Port any evidence of 
sabotage or subversive activity involving or endangering any vessel at 
the deep-water port, or the deepwater port, immediately, by the fastest 
possible means of communication upon discovery. Written confirmation 
must follow.

                                 Records



Sec. 150.751  General.

    (a) The licensee shall maintain copies of all reports, records, test 
and inspection results, and operating data required by these rules in a 
manner suitable for Coast Guard inspection at the deepwater port or an 
adjacent onshore facility.
    (b) Except as specified in Secs. 150.753 through 150.759, these 
copies must be maintained for three years.



Sec. 150.753  Key personnel: Designations and qualifications.

    The licensee shall retain documentation of the designation and 
qualifications of key port personnel for the duration of each 
individual's employment at the port. The documentation must include:
    (a) Designations required by Secs. 150.205 through 150.215; and
    (b) Qualifications of personnel required by Secs. 150.205 through 
150.215.



Sec. 150.755  Port inspection records.

    (a) The licensee shall maintain a record of all machinery, both 
fixed and portable, such as generators, cargo pumps, fire pumps, and 
discharge containment and removal systems. This record must contain, for 
each piece of machinery:
    (1) Nameplate and general descriptive data;
    (2) Serial number;
    (3) Location and purpose; and
    (4) Record of tests and inspections.
    (b) The licensee shall maintain a record of all fire fighting, 
lifesaving, and other emergency equipment, such as fire hoses, nozzles, 
applicators, fire extinguishers, life rafts, life preservers, and alarm 
systems. This record must contain, for each piece of emergency 
equipment:
    (1) Nameplate and general descriptive data;
    (2) Serial number;
    (3) Location and purpose; and
    (4) Record of tests and inspections.
    (c) The licensee shall retain for one year a record of each monthly 
emergency drill required by Sec. 150.519. The record must contain the 
date, time, and signature of the person in charge at the time of the 
drill.
    (d) The licensee shall retain for three years a record of each test 
and inspection performed by port personnel. The record must contain the 
date and results of the test or inspection and the signature of the 
person conducting the test or inspection. These tests and inspections 
include, but are not limited to, those required in Secs. 150.405 through 
150.409 for oil transfer systems, discharge containment equipment, and 
discharge removal material and equipment, and those required for 
maintenance of ABS Classification, as specified in the ``Rules for 
Building and Classing of Single Point Moorings,'' published by the 
American Bureau of Shipping.

[[Page 232]]



Sec. 150.757  Oil throughput log.

    The licensee shall maintain an oil throughput log, from which the 
report of oil throughput required by Sec. 150.707 is prepared. Records 
in this log must be retained for three years, and must specify for each 
oil transfer operation:
    (a) Vessel name, nationality, owner, and date of arrival;
    (b) Country of origin of crude oil; and
    (c) Total quantity in barrels of oil transferred.



Sec. 150.759  Declaration of inspection.

    The licensee shall retain signed copies of the declaration of 
inspection forms required by Sec. 150.417 for one month from date of 
signature.

      Appendix A to Part 150--Deepwater Port Safety Zone Boundaries

    I. Purpose. This appendix contains a general description of the 
deepwater port safety zone designated and developed during the license 
application review process for each deepwater port that has been 
authorized for contruction and operation off the United States 
coastline. Annexes show, to the nearest second of latitude and 
longitude, the geographical boundaries of each resultant safety zone. 
(Shipping safety fairways associated with the Deepwater Ports are 
descibed in Part 166 of this Title.)
    The regulations in Subpart C of this part concerning vessel 
navigation and activities permitted and prohibited at U.S. deepwater 
ports apply only in the safety zone areas and adjacent waters and 
supplement the International Regulations for Preventing Collisions at 
Sea.
    II. Authority. Section 10(d) of the Deepwater Port Act of 1974 (88 
Stat. 2138 (33 U.S.C. 1509(d))) and Section 4(c) of the Ports and 
Waterways Safety Act, as amended (33 U.S.C. 1223(c)); 49 CFR 1.46.
    III. General. Deepwater port safety zones are established to promote 
safety of life and property, marine environmental protection and 
navigational safety at any deepwater port and adjacent waters. In a 
deepwater port safety zone no installations, structures, or uses that 
are incompatible with port operations are permitted. The configuration 
of each designated safety zone is depicted on current editions of the 
navigational charts that cover the deepwater port area.
    IV. Modifications. Safety zone boundaries are subject to 
modification as experience is gained in U.S. deepwaters port operations. 
Modifications will be made only after due notification and consideration 
of the views of interested persons.
    V. Geographic coordinates expressed in terms of latitude or 
longitude, or both, are not intended for plotting on maps or charts 
whose referenced horizontal datum is the North American Datum of 1983 
(NAD 83), unless such geographic coordinates are expressly labeled NAD 
83. Geographic coordinates without the NAD 83 reference may be plotted 
on maps or charts referenced to NAD 83 only after application of the 
appropriate corrections that are published on the particular map or 
chart being used.

           Annex A--LOOP, Inc. Deepwater Port, Gulf of Mexico
                    [(a) Deepwater Port Safety Zone]
------------------------------------------------------------------------
                                                               Longitude
                         Latitude N.                              W.
------------------------------------------------------------------------
                      (1) Starting at:
 
28 deg.55'23"...............................................  90 deg.00'
                                                                     37"
 
                     (2) A rhumb line to
 
28 deg.53'50"...............................................  90 deg.04'
                                                                     07"
 
   (3) Then an arc with a 4,465 meter (4,883 yard) radius
    centered at the port pumping platform complex (PPC),
 
28 deg.53'06"...............................................  90 deg.01'
                                                                     30"
 
                       (4) to a point
 
28 deg.51'07"...............................................  90 deg.03'
                                                                     06"
 
                  (5) Then a rhumb line to
 
28 deg.50'09"...............................................  90 deg.02'
                                                                     24"
 
                  (6) Then a rhumb line to
 
28 deg.49'05"...............................................  89 deg.55'
                                                                     54"
 
                  (7) Then a rhumb line to
 
28 deg.48'36"...............................................  89 deg.55'
                                                                     00"
 
                  (8) Then a rhumb line to
 
28 deg.52'04"...............................................  89 deg.52'
                                                                     42"
 
                  (9) Then a rhumb line to
 
28 deg.53'10"...............................................  89 deg.53'
                                                                     42"
 
                  (10) Then a rhumb line to
 
28 deg.54'52"...............................................  89 deg.57'
                                                                     00"
 
                  (11) Then a rhumb line to
 
28 deg.54'52"...............................................  89 deg.59'
                                                                     36"
 
   (12) Then an arc with a 4,465 meter (4,883 yard) radius
               centered again at the port PPC,
 
               (13) To the point of starting,
 
28 deg.55'23"...............................................  90 deg.00'
                                                                     37"
------------------------------------------------------------------------

    (b) Areas to be Avoided. The seven areas within the safety zone to 
be avoided are as follows:

(1) The area encompassed within a circle having a 600 meter radius 
around the port PPC and centered at:
Latitude N.      Longitude W.
      28 deg.53'06"        90 deg.01'30"
(2) The six areas encompassed within a circle having a 500 meter radius 
around each single point mooring (SPM) at the port and centered at:

[[Page 233]]

Latitude N.      Longitude W.
      28 deg.54'12"        90 deg.00'37"
      28 deg.53'16"        89 deg.59'59"
      28 deg.52'15"        90 deg.00'19"
      28 deg.51'45"        90 deg.01'25"
      28 deg.52'08"        90 deg.02'33"
      28 deg.53'07"        90 deg.03'02"
    (c) Anchorage Area. The area within the safety zone enclosed by 
rhumb lines joining points at:

Latitude N.      Longitude W.
      28 deg.52'21"        89 deg.57'47"
      28 deg.54'05"        89 deg.56'38"
      28 deg.52'04"        89 deg.52'42"
      28 deg.50'20"        89 deg.53'51"
      28 deg.52'21"        89 deg.57'47"

(Sec. 10(a)(b)(d), 88 Stat. 2137-38 (33 U.S.C. 1509(a)(b)(d)); Sec. 4, 
92 Stat. 1473-74 (33 U.S.C. 1223); 49 CFR 1.46)

[CGD 76-096, 45 FR 85649, Dec. 29, 1980, as amended by CGD 85-044, 50 FR 
26990, July 1, 1985; CGD 86-082, 52 FR 33811, Sept. 8, 1987; CGD 93-080, 
59 FR 17482, Apr. 13, 1994]

[[Page 235]]

                                  INDEX

                       SUBCHAPTER NN--DEEPWATER PORTS

  EDITORIAL NOTE: This listing is provided for informational purposes 
only. It is compiled and kept up-to-date by the Coast Guard, Department 
of Transportation.

                                                                 Section

                                 A

Administrative Law Judge
                                                                Part 148
Assignment of administrative law judge...........................148.253
Authority of the administrative law judge........................148.257
Jurisdiction of the administrative law judge.....................148.255
Aids to Navigation at Deepwater Ports
Applicability...........................................149.701, 150.601
Applicability of other regulations......................149.705, 150.603
Applications for ATON
                                                                 149.707
Fog signals......................................................150.611
Lights...........................................................150.607
Power supply.....................................................150.605
Application Proceeding
                                                               Subpart C
Applicability....................................................148.203
Applications
                                                               Subpart B
Changes to.......................................................148.213
Processing.......................................................148.211
Withdrawal.......................................................148.215
Approval or Denial of an Application
                                                               Subpart C
Criteria and consideration.......................................148.323
Decision process.................................................148.321
Multiple applications............................................148.325
Termination of proceeding before approval or denial..............148.327
Availability of documents in the record
                                                                 148.207

                                 B

Buoys
                                                                        
Characteristics..................................................149.773
Light intensity..................................................149.775
Number and location..............................................149.771

                                 C

Claims and objection
                                                                 148.219
Clearances for
Definitions......................................................150.303
Mooring Master...................................................150.341
Other vessels....................................................150.317
Support vessels..................................................150.315
Tankers..........................................................150.313
Clerk; docket; record
                                                                 148.205

[[Page 236]]

                                 D

Design, construction, and equipment
                                                                Part 149
Designation of adjacent Coastal States
                                                                 148.217
Deepwater Ports Regulations
                                                               Subpart F
Applicability....................................................148.601
Coordination with States.........................................148.605
Environmental review criteria.....................Appendix A to Part 148
Exemption criteria...............................................148.607
Petition for exemption...........................................148.603
Deepwater Port Safety Zone Boundaries
                                                  Appendix A to Part 150
Loop, Inc.; Gulf of Mexico; geographic coordinates...Annex A to Appendix 
                                                           A of Part 150
Design and Equipment
Applicability....................................................149.201
Construction.....................................................149.206
Design standards.................................................149.205
Emergency equipment..............................................149.211
Engineering drawings and specifications (Fixed marine and Floating 
marine components)...............................................149.203
First aid station................................................149.217

                                 F

Fire Extinguishing Systems, other
                                                                 149.481
Fire Fighting Equipment
Axes.............................................................149.515
Extinguishers
Landing areas with fueling facility..............................149.513
Landing areas with no fueling facility...........................149.511
Location.........................................................149.503
Marking..........................................................149.507
Portable and semiportable........................................149.501
Spare charges....................................................149.505
Fire detection and alarm systems.................................149.491
Fire hose
Coupling.........................................................149.471
Nozzle...........................................................149.473
Rack.............................................................149.467
Size.............................................................149.469
Fire hydrants....................................................149.457
Access...........................................................149.463
Fire hydrant and control valve shutoff valve.....................149.461
Outlet...........................................................149.459
Fireman's outfits
                                                                 149.517
Fire pumps
                                                                 149.453
Fire pump locations
                                                                 149.455
Fire fighting systems for helicopter pads
                                                                 149.483
Fixed fire main system for water
                                                                 149.451
Fog Signal
                                                                 149.779
Formal Hearings
                                                               Subpart C
A person not a party.............................................148.265
Appearance and practice..........................................148.267
Assignment of administrative law judge...........................148.253
Authority of the administrative law judge........................148.257
Conferences......................................................148.277
Determination to hold formal hearing; notice of..................148.251
Evidence.........................................................148.289

[[Page 237]]

Ex parte communications..........................................148.259
Filing...........................................................148.273
Hearing date.....................................................148.283
Intervention.....................................................148.263
Jurisdiction of the administrative law judge.....................148.255
Motions..........................................................148.279
Order of procedure...............................................148.287
Parties..........................................................148.261
Reporter; transcript; correction.................................148.285
Requirements for documents.......................................148.269
Rulings referred or appealed to the Commandant...................148.291
Service of document; other transmittal...........................148.275
Subpoenas........................................................148.281
Subscription.....................................................148.271

                                 G

General
ABS classification...............................................150.121
Applicability....................................................150.101
Deviations.......................................................150.113
Emergency deviations.............................................150.115
Environmental monitoring.........................................150.127
License..........................................................149.105
Licensee.........................................................150.103
Purpose..........................................................149.101

                                 H

Helicopter
                                                                        
Fueling facilities...............................................149.213
Operations, interference with....................................149.215

                                 I

Identification of a platform and Single Point Mooring (SPM)
                                                                 149.791
Informal Public Hearing
                                                               Subpart C
Notice of public hearing.........................................148.231
Report of public hearing.........................................148.235
Testimony and argument...........................................148.233
Issuance of a License
                                                                 148.403
Applicability....................................................148.400
Consultation with adjacent coastal States........................148.407
Issuance of a license............................................148.403

                                 L

Lifesaving Equipment
General alarm system.............................................149.541
Inflatable life rafts............................................149.523
Launching equipment for inflatable life rafts....................149.525
Launching equipment for lifeboats................................149.524
Lifeboats........................................................149.522
Lifeboats and inflatable life rafts: General.....................149.521
Lights, portable.................................................149.539
Litters..........................................................149.533
Markings
For personal flotation devices (PFD's)...........................149.537
Of general alarm system..........................................149.543
On lifeboats, life rafts, paddles, and oars......................149.535

[[Page 238]]

Personal flotation devices, Type I...............................149.529
Public address system............................................149.545
Radio apparatus, portable........................................149.527
Ring life buoys, approved (Type IV PFD's)........................149.526
Lights
                                                                        
Characteristics of obstruction lights............................149.755
Chromaticity.....................................................149.727
Color............................................................149.725
Display of information...........................................149.729
Focus............................................................149.724
Intensity of obstruction lights..................................149.757
Intensity of lights, general.....................................149.723
Leveling.........................................................149.759
Light source.....................................................149.721
Markings for piles and pile clusters.............................149.793
Obstruction lights, number and location on a platform and SPM....149.751
Obstruction lights, number and location on a floating hose string 
                                                                 149.753
Radar beacon.....................................................149.795
Rotating lighted beason..........................................149.797
Limits of Liability
                                                               Subpart G
Limits of liability..............................................148.703
Purpose..........................................................148.701

                                 N

National Fire Protection Association (NFPA)
                                                                 149.213
Navigation of
Other vessels in the safety zone.................................150.339
Radar surveillance...............................................150.307
Radio listening watch............................................150.311
Regulated vessel activities......................................150.345
Report before entering safety zone...............................150.335
Ship's routing measures..........................................150.305
Support vessels in the safety zone...............................150.338
Tankers in the safety zone.......................................150.337
Notification
                                                                        
To the Commandant................................................150.119
To the District Commander........................................150.117

                                 O

Operations
                                                                Part 150
Aircraft operations..............................................150.516
Aircraft, refueling for..........................................150.515
Applicability....................................................150.500
Emergency drills.................................................150.519
Emergency Medical Technician.....................................150.525
Firehose: Connection and stowage.................................150.507
Fire main system.................................................150.504
Fire pump........................................................150.505
First aid station................................................150.527
Housekeeping.....................................................150.521
Illumination.....................................................150.523
Lifesaving equipment.............................................150.508
Maintenance of equipment.........................................150.503
Maintenance of personal protection equipment.....................150.511
Personal protection equipment, use of............................150.509
Sanitation.......................................................150.513

[[Page 239]]

Station bill.....................................................150.517
Operations Manual:
Amendment........................................................150.107
Compliance with..................................................150.109
Copies...........................................................150.106
General..........................................................150.105
Response Plans...................................................150.129
Water depth measurements.........................................150.125
Weather monitoring...............................................150.127
Oil Transfer Operations
Applicability....................................................150.400
Declaration of Inspection........................................150.417
Definitions......................................................150.403
Displacement of oil in an SPM-Oil Transfer System (OTS) with water
                                                                 150.421
Limitations......................................................150.423
Periodic tests and inspections: discharge containment equipment 
                                                                 150.407
Periodic tests and inspections: OTS components...................150.405
Periodic tests and inspections: removal material and equipment...150.409
Repair or replacement of equipment...............................150.411
Requirements for connections.....................................150.415
Requirements for oil transfer....................................150.413
Stopping transfer operations.....................................150.419
Suspension of oil transfer operations............................150.425

                                 P

Pollution Prevention Equipment
Applicability....................................................149.301
Blank flange and shutoff valve...................................149.307
Communication equipment..........................................149.317
Discharge containment and removal material, and equipment........149.319
Malfunction detection system.....................................149.311
Manually operated shutoff valve..................................149.309
Oil transfer system alarm........................................149.313
Marking of oil transfer system alarm.............................149.315
Overflow and relief valve........................................149.303
Pipeline and manifold (PLEM) shutoff valve.......................149.305
Special requirement for onloading ports..........................149.321

                                 R

Reports and Records
Aid to navigation discrepancy....................................150.705
Casualty or accident (46 CFR Part 4).............................150.711
Declaration of Inspection........................................150.759
General..........................................................150.751
Key personnel: Designations and qualifications...................150.753
Maintenance of ABS classification................................150.703
Oil throughput log...............................................150.757
Oil throughput report............................................150.707
Sabotage or subversive activity..................................150.713
Request by Port for determination
                                                                 148.216

                                 S

Safety Equipment
Applicability....................................................149.401
Curbs, gutters, drains, and reservoirs...........................149.403

[[Page 240]]

Emergency power..................................................149.411
Equipment not required on a Pumping Platform
Complex (PPC)....................................................149.402
Means of escape from helicopter landing pad......................149.423
Means of escape from platform....................................149.421
Open sided deck, deck opening, catwalk, and helicopter pad 
protection.......................................................149.441
Personal landings................................................149.431
Site Evaluation
                                                               Subpart E
General conditions of performance................................148.505
Notice of proposed site evaluation...............................148.503
Purpose..........................................................148.501
Reports..........................................................148.507
Suspension and prohibition of activities.........................148.509
Personal landing illumination....................................149.433
SPM's
                                                                 149.209

                                 V

Vessel Navigation
Advance notice of arrival........................................150.333
Advisories to tankers............................................150.309
Applicability....................................................150.301
Assistant Mooring Master.........................................150.342

[[Page 241]]





                         SUBCHAPTER O--POLLUTION


PART 151--VESSELS CARRYING OIL, NOXIOUS LIQUID SUBSTANCES, GARBAGE, MUNICIPAL OR COMMERCIAL WASTE, AND BALLAST WATER--Table of Contents




     Subpart A--Implementation of MARPOL 73/78 and the Protocol on 
   Environmental Protection to the Antarctic Treaty as it Pertains to 
                          Pollution from Ships

                                 General

Sec.
151.01  Purpose.
151.03  Applicability.
151.04  Penalties for violation.
151.05  Definitions.
151.06  Special areas.
151.07  Delegations.
151.08  Denial of entry.

                              Oil Pollution

151.09  Applicability.
151.10  Control of discharge of oil.
151.11  Exceptions for emergencies.
151.13  Special areas for Annex I of MARPOL 73/78.
151.15  Reporting requirements.
151.17  Surveys.
151.19  International Oil Pollution Prevention (IOPP) Certificates.
151.21  Ships of countries not party to MARPOL 73/78.
151.23  Inspection for compliance and enforcement.
151.25  Oil Record Book.
151.26  Shipboard oil pollution emergency plans.
151.27  Plan submission and approval.
151.28  Plan review and revision.
151.29  Foreign ships.

                   Noxious Liquid Substance Pollution

151.30  Applicability.
151.31  Where to find requirements applying to oceangoing ships carrying 
          Category A, B, C, and D NLS.
151.32  Special areas for the purpose of Annex II.
151.33  Certificates needed to carry Category C Oil-like NLS.
151.35  Certificates needed to carry Category D NLS and Category D Oil-
          like NLS.
151.37  Obtaining an Attachment for NLSs to the IOPP Certificate and 
          obtaining an NLS Certificate.
151.39  Operating requirements: Category D NLS.
151.41  Operating requirements for oceangoing ships with IOPP 
          Certificates: Category C and D Oil-like NLSs.
151.43  Control of discharge of NLS residues.
151.45  Reporting spills of NLS: Category A, B, C, and D.
151.47  Category D NLSs other than oil-like Category D NLSs that may be 
          carried under this part.
151.49  Category C and D Oil-like NLSs allowed for carriage.

                      Garbage Pollution and Sewage

151.51  Applicability.
151.53  Special areas for Annex V of MARPOL 73/78.
151.55  Recordkeeping requirements.
151.57  Waste management plans.
151.59  Placards.
151.61  Inspection for compliance and enforcement.
151.63  Shipboard control of garbage.
151.65  Reporting requirements.
151.66  Operating requirements: Discharge of garbage in the navigable 
          waters prohibited.
151.67  Operating requirements: Discharge of plastic prohibited.
151.69  Operating requirements: Discharge of garbage outside special 
          areas.
151.71  Operating requirements: Discharge of garbage within special 
          areas.
151.73  Operating requirements: Discharge of garbage from fixed or 
          floating platforms.
151.75  Grinders or comminuters.
151.77  Exceptions for emergencies.
151.79  Operating requirements: Discharge of sewage within Antarctica.

Appendix A to Secs. 151.51 through 151.77--Summary of Garbage Discharge 
          Restrictions

       Subpart B--Transportation of Municipal and Commercial Waste

151.1000  Purpose.
151.1003  Applicability.
151.1006  Definitions.
151.1009  Transportation of municipal or commercial waste.
151.1012  Applying for a conditional permit.
151.1015  Issuing or denying the issuance of a conditional permit.
151.1018  Withdrawal of a conditional permit.
151.1021  Appeals.
151.1024  Display of number.

Subpart C--Ballast Water Management for Control of Nonindigenous Species 
                   in the Great Lakes and Hudson River

151.1500  Purpose.
151.1502  Applicability.

[[Page 242]]

151.1504  Definitions.
151.1506  Restriction of operation.
151.1508  Revocation of clearance.
151.1510  Ballast water management.
151.1512  Vessel safety.
151.1514  Ballast water management alternatives under extraordinary 
          conditions.
151.1516  Compliance monitoring.

Subpart D--Ballast Water Management for Control of Nonindigenous Species 
                     in waters of the United States

151.2000  What is the purpose of this subpart?
151.2005  To which vessels does this subpart apply?
151.2010  Which vessels are exempt from the mandatory requirements?
151.2015  Is a vessel in innocent passage exempt from the mandatory 
          requirements?
151.2020  To what ballast water does this subpart apply?
151.2025  What definitions apply to this subpart?
151.2030  Who is responsible for determining when to use the safety 
          exemption?
151.2035  What are the voluntary ballast water management guidelines?
151.2040  What are the mandatory requirements for vessels carrying 
          ballast water into the waters of the United States after 
          operating beyond the Exclusive Economic Zone (EEZ)?
151.2045  What are the mandatory recordkeeping requirements?
151.2050  What methods are used to monitor compliance with this subpart?
151.2055  Where are the alternate exchange zones located? [Reserved]
151.2060  What must each application for approval of an alternative 
          compliance technology contain? [Reserved]
151.2065  What is the standard of adequate compliance determined by the 
          ANSTF for this subpart? [Reserved]

Appendix to Subpart D of Part 151--Ballast Water Reporting Form and 
          Instructions for Ballast Water Reporting Form



     Subpart A--Implementation of MARPOL 73/78 and the Protocol on 
   Environmental Protection to the Antarctic Treaty as it Pertains to 
                          Pollution from Ships

                                 General

    Authority: 33 U.S.C. 1321 and 1903; Pub. L. 104-227 (110 Stat. 
3034), E.O. 12777, 3 CFR, 1991 Comp. p. 351; 49 CFR 1.46.

    Source: CGD 75-124a, 48 FR 45709, Oct. 6, 1983, unless otherwise 
noted.



Sec. 151.01  Purpose.

    The purpose of this subpart is to implement the Act to Prevent 
Pollution from Ships, 1980, as amended (33 U.S.C. 1901-1911) and Annexes 
I, II and V of the International Convention for the Prevention of 
Pollution from Ships, 1973, as modified by the Protocol of 1978 relating 
thereto (MARPOL 73/78), done at London on February 17, 1978. This 
subpart also implements the Antarctic Science, Tourism, and Conservation 
Act of 1996, and the Protocol on Environmental Protection to the 
Antarctic Treaty done at Madrid on October 4, 1991.
    Note: MARPOL 73/78 is available from the National Technical 
Information Service, 5285 Port Royal Road, Springfield, VA 22161. Please 
include reference number ``ADA 168 505'' in your request.

[CGD 88-002, 54 FR 18403, Apr. 28, 1989, as amended by CGD 88-002A, 55 
FR 18582, May 2, 1990; CGD 97-015, 62 FR 18045, Apr. 14, 1997]



Sec. 151.03  Applicability.

    This subpart applies to each ship that must comply with Annex I, II 
or V of MARPOL 73/78 unless otherwise indicated.

[CGD 88-002, 54 FR 18403, Apr. 28, 1989, as amended by CGD 88-002A, 55 
FR 18582, May 2, 1990; CGD 97-015, 62 FR 18045, Apr. 14, 1997]



Sec. 151.04  Penalties for violation.

    (a) A person who violates MARPOL 73/78, the Act, or the regulations 
of this subpart is liable for a civil penalty for each violation, as 
provided by 33 U.S.C. 1908(b)(1). Each day of a continuing violation 
constitutes a separate violation.
    (b) A person who makes a false, fictitious statement or fraudulent 
representation in any matter in which a statement or representation is 
required to be made to the Coast Guard under MARPOL 73/78, the Act, or 
the regulations of this subpart, is liable for a civil penalty for each 
statement or representation, as provided by 33 U.S.C. 1908(b)(2).
    (c) A person who knowingly violates MARPOL 73/78, the Act, or the 
regulations of this subpart commits a class D felony, as described in 18 
U.S.C. 3551 et seq. In the discretion of the Court, an amount equal to 
not more than one-

[[Page 243]]

half of the fine may be paid to the person giving information leading to 
conviction.
    (d) A ship operated in violation of MARPOL 73/78, the Act, or the 
regulations of this subpart is liable in rem for any civil penalty 
covered by paragraph (a) or (b) of this section, or any fine covered by 
paragraph (c) of this section, and may be proceeded against in the 
United States District Court of any district in which the ship may be 
found.

[CGD 88-002, 54 FR 18403, Apr. 28, 1989, as amended by CGD 88-002A, 55 
FR 18582, May 2, 1990; CGD 92-007, 57 FR 33261, July 27, 1992; CGD 96-
052, 62 FR 16703, Apr. 8, 1997; USCG-1999-5832, 64 FR 34714, June 29, 
1999]



Sec. 151.05  Definitions.

    As used in this subpart--
    Act means the Act to Prevent Pollution from Ships, as amended (33 
U.S.C. 1901-1911).
    Antarctica means the area south of 60 degrees south latitude.
    Cargo associated wastes means all materials which have become wastes 
as a result of use on board a ship for cargo stowage and handling. Cargo 
associated wastes include, but are not limited to dunnage, shoring, 
pallets, lining and packing materials, plywood, paper, cardboard, wire, 
and steel strapping.
    Clean ballast means the ballast in a tank which, since oil was last 
carried therein, has been so cleaned that effluent therefrom, if it were 
discharged from a ship that is stationary into clean calm water on a 
clear day would not produce visible traces of oil on the surface of the 
water or adjoining shorelines or cause a sludge or emulsion to be 
deposited beneath the surface of the water or upon adjoining shorelines. 
If the ballast is discharged through an oil discharge monitoring and 
control system approved by the government of the country under whose 
authority the ship is operating, evidence based on such a system, to the 
effect that the oil content of the effluent does not exceed 15 parts per 
million (ppm) is determinative that the ballast is clean.
    Commandant means Commandant, U.S. Coast Guard.
    Discharge means any release, however caused, from a ship and 
includes any escape, disposal, spilling, leaking, pumping, emitting or 
emptying. It does not include--
    (1) Dumping within the meaning of the Convention on the Prevention 
of Marine Pollution by Dumping of Wastes and Other Matter, done at 
London on 13 November 1972; or
    (2) Release of oil or oily mixtures directly arising from the 
exploration, exploitation and associated off-shore processing of sea-bed 
mineral resources.
    Discharge, as defined by MARPOL 73/78 in relation to harmful 
substances or effluent containing such substances, means any release 
however caused from a ship, and includes any escape, disposal, spilling, 
leaking, pumping, emitting or emptying. It does not include--
    (1) Dumping within the meaning of the Convention on the Prevention 
of Marine Pollution by Dumping of Wastes and Other Matter, done at 
London on November 13, 1972; or
    (2) The release of harmful substances directly arising from the 
exploration, exploitation, and associated offshore processing of seabed 
mineral resources; or
    (3) The release of harmful substances for purposes of legitimate 
scientific research relating to pollution abatement or control.
    Dishwater means the liquid residue from the manual or automatic 
washing of dishes and cooking utensils which have been pre-cleaned to 
the extent that any food particles adhering to them would not normally 
interfere with the operation of automatic dishwashers.
    Domestic wastes means all types of wastes generated in the living 
spaces on board a ship, except victual wastes.
    Existing ship means a ship that is not a new ship.
    Garbage means all kinds of victual, domestic, and operational waste, 
excluding fresh fish and parts thereof, generated during the normal 
operation of the ship and liable to be disposed of continuously or 
periodically, except dishwater, graywater, and those substances that are 
defined or listed in other Annexes to MARPOL 73/78.
    Graywater means drainage from dishwasher, shower, laundry, bath, and 
washbasin drains and does not include

[[Page 244]]

drainage from toilets, urinals, hospitals, and cargo spaces.
    Great Lakes means the Great Lakes of North America and the St. 
Lawrence River west of a rhumb line drawn from Cap des Rosiers to West 
Point, Anticosti Island, and, on the north side of Anticosti Island, the 
meridian of longitude 63 degrees west.
    Harmful substance means any substance which, if introduced into the 
sea, is liable to create hazards to human health, harm living resources 
and marine life, damage amenities, or interfere with other legitimate 
uses of the sea, and includes any substance subject to control by MARPOL 
73/78.
    High viscosity Category B NLS means any Category B NLS having a 
viscosity of at least 25 mPa.s at 20  deg.C and at least 25 mPa.s at the 
time it is unloaded.
    High viscosity Category C NLS means any Category C NLS having a 
viscosity of at least 60 mPa.s at 20  deg.C and at least 60 mPa.s at the 
time it is unloaded.
    High viscosity NLS includes Category A NLSs having a viscosity of at 
least 25 mPa.s at 20  deg.C and at least 25 mPa.s at the time they are 
unloaded, high viscosity Category B NLSs, and high viscosity Category C 
NLSs.
    Instantaneous rate of discharge of oil content means the rate of 
discharge of oil in liters per hour at any instant divided by the speed 
of the ship in knots at the same instant.
    Length means the horizontal distance between the foremost part of a 
ship's stem to the aftermost part of its stern, excluding fittings and 
attachments.
    Maintenance waste means materials collected while maintaining and 
operating the ship, including, but not limited to, soot, machinery 
deposits, scraped paint, deck sweepings, wiping wastes, and rags.
    Major conversion means a conversion of an existing ship--
    (1) That substantially alters the dimensions or carrying capacity of 
the ship; or
    (2) That changes the type of the ship; or
    (3) The intent of which, in the opinion of the government of the 
country under whose authority the ship is operating, is substantially to 
prolong its life; or
    (4) Which otherwise so alters the ship that, if it were a new ship, 
it would become subject to relevant provisions of MARPOL 73/78 not 
applicable to it as an existing ship.
    MARPOL 73/78 means the International Convention for the Prevention 
of Pollution from Ships, 1973, as modified by the Protocol of 1978 
relating thereto.
    Medical waste means isolation wastes, infectious agents, human blood 
and blood products, pathological wastes, sharps, body parts, 
contaminated bedding, surgical wastes and potentially contaminated 
laboratory wastes, dialysis wastes, and such additional medical items as 
prescribed by the Administrator of the EPA by regulation.
    Nearest land. The term ``from the nearest land'' means from the 
baseline from which the territorial sea of the territory in question is 
established in accordance with international law, except that, for the 
purposes of these regulations, ``from the nearest land'' off the north 
eastern coast of Australia shall mean from a line drawn from a point on 
the coast of Australia in--

latitude 11 deg.00' South, longitude 142 deg.08' East to a point in--
latitude 10 deg.35' South, longitude 141 deg.55' East, thence to a 
point--latitude 10 deg.00' South, longitude 142 deg.00' East, thence to 
a point--latitude 9 deg.10' South, longitude 143 deg.52' East, thence to 
a point--latitude 9 deg.00' South, longitude 144 deg.30' East, thence to 
a point--latitude 13 deg.00' South, longitude 144 deg.00' East, thence 
to a point--latitude 15 deg.00' South, longitude 146 deg.00' East, 
thence to a point--latitude 18 deg.00' South, longitude 147 deg.00' 
East, thence to a point--latitude 21 deg.00' South, longitude 
153 deg.00' East, thence to a point on the coast of Australia in 
latitude 24 deg.42' South, longitude 153 deg.15' East.

    New ship means a ship--
    (1) For which the building contract is placed after December 31, 
1975; or
    (2) In the absence of a building contract, the keel of which is laid 
or which is at a similar stage of construction after June 30, 1976; or
    (3) The delivery of which is after December 31, 1979; or
    (4) That has undergone a major conversion--
    (i) For which the contract is placed after December 31, 1975;

[[Page 245]]

    (ii) In the absence of a contract, the construction work of which is 
begun after June 30, 1976; or
    (iii) That is completed after December 31, 1979.
    (5) For the purposes of Secs. 151.26 through 151.28, which is 
delivered on or after April 4, 1993.
    NLS means Noxious Liquid Substance.
    NLS Certificate means an International Pollution Prevention 
Certificate for the Carriage of Noxious Liquid Substances in Bulk issued 
under MARPOL 73/78.
    Noxious liquid substance (NLS) means--
    (1) Each substance listed in Sec. 151.47 or Sec. 151.49;
    (2) Each substance having an ``A'', ``B'', ``C'', or ``D'' beside 
it's name in the column headed ``Pollution Category'' in Table 1 of 46 
CFR Part 153; and
    (3) Each substance that is identified as an NLS in a written 
permission issued under 46 CFR 153.900 (d).
    Oceangoing ship means a ship that--
    (1) Is operated under the authority of the United States and engages 
in international voyages;
    (2) Is operated under the authority of the United States and is 
certificated for ocean service;
    (3) Is operated under the authority of the United States and is 
certificated for coastwise service beyond three miles from land;
    (4) Is operated under the authority of the United States and 
operates at any time seaward of the outermost boundary of the 
territorial sea of the United States as defined in Sec. 2.05 of this 
chapter; or
    (5) Is operated under the authority of a country other than the 
United States.
    Note: A Canadian or U.S. ship being operated exclusively on the 
Great Lakes of North America or their connecting and tributary waters, 
or exclusively on the internal waters of the United States and Canada; 
is not an ``oceangoing'' ship.
    Oil means petroleum in any form including crude oil, fuel oil, 
sludge, oil refuse, and refined products. ``Oil'' does not include 
animal or vegetable based oil nor does it include noxious liquid 
substances designated under Annex II of MARPOL 73/78.
    Oil-like NLS means each cargo listed in Sec. 151.49.
    Oil tanker means a ship constructed or adapted primarily to carry 
oil in bulk in its cargo spaces and includes combination carriers and 
any ``chemical tanker'' as defined in Annex II of MARPOL 73/78 when it 
is carrying a cargo or part cargo of oil in bulk.
    Oily mixture means a mixture with any oil content, including bilge 
slops, oily wastes, oil residues (sludge), oily ballast water, and 
washings from cargo oil tanks.
    Operational waste means all cargo associated waste, maintenance 
waste, cargo residues, and ashes and clinkers from shipboard 
incinerators and coal burning boilers
    Person means an individual, firm, public or private corporation, 
partnership, association, State, municipality, commission, political 
subdivision of a State, or any interstate body.
    Plastic means any garbage that is solid material, that contains as 
an essential ingredient one or more synthetic organic high polymers, and 
that is formed or shaped either during the manufacture of the polymer or 
polymers or during fabrication into a finished product by heat or 
pressure or both. ``Degradable'' plastics, which are composed of 
combinations of degradable starches and are either (a) synthetically 
produced or (b) naturally produced but harvested and adapted for use, 
are plastics under this part. Naturally produced plastics such as 
crabshells and other types of shells, which appear normally in the 
marine environment, are not plastics under this part.
    Note: Plastics possess material properties ranging from hard and 
brittle to soft and elastic. Plastics are used for a variety of marine 
applications including, but not limited to: food wrappings, products for 
personal hygiene, packaging (vaporproof barriers, bottles, containers, 
and liners), ship construction (fiberglass and laminated structures, 
siding, piping insulation, flooring, carpets, fabrics, adhesives, and 
electrical and electronic components), disposable eating-utensils and 
cups (including styrene products), bags, sheeting, floats, synthetic 
fishing nets, monofilament fishing line, strapping bands, hardhats, and 
synthetic ropes and lines.
    Port means--

[[Page 246]]

    (1) A group of terminals that combines to act as a unit and be 
considered a port for the purposes of this subpart;
    (2) A port authority or other organization that chooses to be 
considered a port for the purposes of this subpart; or
    (3) A place or facility that has been specifically designated as a 
port by the COTP.
    Prewash means a tank washing operation that meets the procedure in 
46 CFR 153.1120.
    Recognized Classification Society means a classification society 
that is a participating member of the International Association of 
Classification Societies (IACS).
    Residues and mixtures containing NLSs (NLS residue) means--
    (1) Any Category A, B, C, or D NLS cargo retained on the ship 
because it fails to meet consignee specifications;
    (2) Any part of a Category A, B, C, or D NLS cargo remaining on the 
ship after the NLS is discharged to the consignee, including but not 
limited to puddles on the tank bottom and in sumps, clingage in the 
tanks, and substance remaining in the pipes; or
    (3) Any material contaminated with Category A, B, C, or D NLS cargo, 
including but not limited to bilge slops, ballast, hose drip pan 
contents, and tank wash water.
    Segregated ballast means the ballast water introduced into a tank 
that is completely separated from the cargo oil and fuel oil system and 
that is permanently allocated to the carriage of ballast or to the 
carriage of ballast or cargoes other than oil or noxious substances as 
variously defined in the Annexes of MARPOL 73/78.
    Ship means a vessel of any type whatsoever, operating in the marine 
environment. This includes hydrofoils, air-cushion vehicles, 
submersibles, floating craft whether self-propelled or not, and fixed or 
floating drilling rigs and other platforms.
    Shipboard oil pollution emergency plan means a plan prepared, 
submitted, and maintained according to the provisions of Secs. 151.26 
through 151.28 of this subpart for United States ships or maintained 
according to the provisions of Sec. 151.29(a) of this subpart for 
foreign ships operated under the authority of a country that is party to 
MARPOL 73/78 or carried on board foreign ships operated under the 
authority of a country that is not a party to MARPOL 73/78, while in the 
navigable waters of the United States, as evidence of compliance with 
Sec. 151.21 of this subpart.
    Solidifying NLS means a Category A, B, or C NLS that has a melting 
point--
    (1) Greater than 0  deg.C but less than 15  deg.C and a temperature, 
measured under the procedure in 46 CFR 153.908(d), that is less than 5 
deg.C above its melting point at the time it is unloaded; or
    (2) 15  deg.C or greater and a temperature, measured under the 
procedure in 46 CFR 153.908(d), that is less than 10  deg.C above its 
melting point at the time it is unloaded.
    Special area means a sea area, where for recognized technical 
reasons in relation to its oceanographical and ecological condition and 
to the particular character of the traffic, the adoption of special 
mandatory methods for the prevention of sea pollution by oil, NLSs, or 
garbage is required.
    Terminal means an onshore facility or an offshore structure located 
in the navigable waters of the United States or subject to the 
jurisdiction of the United States and used, or intended to be used, as a 
port or facility for the transfer or other handling of a harmful 
substance.
    Note: The Coast Guard interprets commercial fishing facilities, 
recreational boating facilities, and mineral and oil industry shorebases 
to be terminals for the purposes of Annex V of MARPOL 73/78, since these 
facilities normally provide wharfage and other services, including 
garbage handling, for ships.
    U.S. inspected ships means those ship required to be inspected and 
certificated under 46 CFR 2.01-7.
    Victual waste means any spoiled or unspoiled food waste.

[CGD 75-124a, 48 FR 45709, Oct. 6, 1983; 48 FR 54977, Dec. 8, 1983, as 
amended by CGD 85-010, 52 FR 7758, Mar. 12, 1987; CGD 88-002, 54 FR 
18403, Apr. 28, 1989; CGD 88-002A, 55 FR 18582, May 2, 1990; CGD 88-002, 
55 FR 35988, Sept. 4, 1990; CGD 88-002A, 56 FR 8880, Mar. 1, 1991; CGD 
93-030, 59 FR 51338, Oct. 7, 1994; CGD 94-056, 60 FR 43377, Aug. 21, 
1995; CGD 97-015, 62 FR 18045, Apr. 14, 1997; USCG 2000-7079, 65 FR 
67155, Nov. 8, 2000]

[[Page 247]]



Sec. 151.06  Special areas.

    (a) For the purposes of this part, the navigational descriptions of 
the special areas are as follows:
    (1) The Mediterranean Sea area means the Mediterranean Sea proper 
including the gulfs and seas therein, with the boundary between the 
Mediterranean and the Black Sea constituted by the 41 deg. N parallel 
and bounded to the west by the Straits of Gibraltar at the meridian of 
5 deg.36' W.
    (2) The Baltic Sea means the Baltic Sea proper with the Gulf of 
Bothnia, the Gulf of Finland, and the entrance to the Baltic Sea bounded 
by the parallel of the Skaw in the Skagerrak at 57 deg.44.8' N.
    (3) The Black Sea area means the Black Sea proper with the boundary 
between the Mediterranean Sea and the Black Sea constituted by the 
parallel 41 deg. N.
    (4) The Red Sea area means the Red Sea proper including the Gulfs of 
Suez and Aqaba bounded at the south by the rhumb line between Ras si Ane 
(12 deg.8.5' N, 43 deg.19.6' E) and Husn Murad (12 deg.40.4' N, 
43 deg.30.2' E).
    (5) The Gulfs areas means the sea area located northwest of the 
rhumb line between Ras al Hadd (22 deg.30' N, 59 deg.48' E) and Ras al 
Fasteh (25 deg.04' N, 61 deg.25' E).
    (6) The Gulf of Aden areas means the part of the Gulf of Aden 
between the Red Sea and the Arabian Sea bounded to the west by the rhumb 
line between Ras si Ane (12 deg.28.5' N, 43 deg.19.6' E) and Husn Murad 
(12 deg.40.4' N, 43 deg.30.2' E) and to the east by the rhumb line 
between Ras Asir (11 deg.50' N, 51 deg.16.9' E) and the Ras Fartak 
(15 deg.35' N, 52 deg.13.8' E).
    (7) The Antarctic areas means the sea south of 60 deg. south 
latitude.
    (8) The North Sea area means the North Sea proper, including seas 
within the North Sea southwards of latitude 62 deg. N and eastwards of 
longitude 4 deg. W; the Skagerrak, the southern limit of which is 
determined east of the Skaw by latitude 57 deg.44.8' N; and the English 
Channel and its approaches eastwards of longitude 5 deg. W.
    (9) The Wider Caribbean region means the Gulf of Mexico and 
Caribbean Sea proper, including the bays and seas therein and that 
portion of the Atlantic Ocean within the boundary constituted by the 
30 deg. N parallel from Florida eastward to 77 deg.30' W meridian, 
thence a rhumb line to the intersection of 20 deg. N parallel and 
59 deg. W meridian, thence a rhumb line to the intersection of 7 deg.20' 
N parallel and 50 deg. W meridian, thence a rhumb line drawn 
southwesterly to the eastern boundary of French Guiana.
    (b) Special areas for the purpose of Annex I of MARPOL 73/78 include 
those referenced in Sec. 151.13. Special areas for the purposes of Annex 
II of MARPOL 73/78 include those referenced in Sec. 151.32. Special 
areas for the purpose of Annex V of MARPOL 73/78 include those 
referenced in Sec. 151.53.

[CGD 94-056, 60 FR 43377, Aug. 21, 1995]



Sec. 151.07  Delegations.

    Each Coast Guard official designated as a Captain of the Port (COTP) 
or Officer in Charge, Marine Inspection (OCMI) or Commanding Officer, 
Marine Safety Office (MSO), is delegated the authority to--
    (a) Issue International Oil Pollution Prevention (IOPP) 
Certificates;
    (b) Detain or deny entry to ships not in substantial compliance with 
MARPOL 73/78 or not having an IOPP Certificate or evidence of compliance 
with MARPOL 73/78 on board;
    (c) Receive and investigate reports under Sec. 151.15; and
    (d) Issue subpoenas to require the attendance of any witness and the 
production of documents and other evidence, in the course of 
investigations of potential violations of the Act to Prevent Pollution 
from Ships, as amended (33 U.S.C. 1901-1911), this subpart, or MARPOL 
73/78.

[CGD 88-002, 54 FR 18404, Apr. 28, 1989, as amended by CGD 88-002A, 55 
FR 18582, May 2, 1990]



Sec. 151.08  Denial of entry.

    (a) Unless a ship is entering under force majeure, no oceangoing 
tanker or any other oceangoing ship of 400 gross tons or more required 
by Sec. 151.10 to retain oil or oily residues and mixtures on board 
while at sea, and no oceangoing ship carrying a Category A, B, or C NLS 
cargo or NLS residue in cargo tanks that are required to be prewashed 
under 46 CFR Part 153, may

[[Page 248]]

enter any port or terminal under Sec. 158.110(a) of this chapter unless 
the port or terminal has a Certificate of Adequacy, as defined in 
Sec. 158.120 of this chapter.
    (b) A COTP may deny the entry of a ship to a port or terminal under 
Sec. 158.110(b) if--
    (1) The port or terminal does not have a Certificate of Adequacy, as 
required in Sec. 158.135 of this chapter; or
    (2) The port or terminal is not in compliance with the requirements 
of Subpart D of Part 158.

[CGD 88-002, 54 FR 18404, Apr. 28, 1989]

                              Oil Pollution

    Source: Sections 151.09--151.25 appear by CGD 75-124a, 48 FR 45709, 
Oct. 6, 1983, unless otherwise noted.



Sec. 151.09  Applicability.

    (a) Except as provided in paragraph (b) of this section, 
Secs. 151.09 through 151.25 apply to each ship that--
    (1) Is operated under the authority of the United States and engages 
in international voyages;
    (2) Is operated under the authority of the United States and is 
certificated for ocean service;
    (3) Is operated under the authority of the United States and is 
certificated for coastwise service beyond three nautical miles from 
land;
    (4) Is operated under the authority of the United States and 
operates at any time seaward of the outermost boundary of the 
territorial sea of the United States as defined in Sec. 2.05-10 of this 
chapter; or
    (5) Is operated under the authority of a country other than the 
United States while in the navigable waters of the United States, or 
while at a port or terminal under the jurisdiction of the United States.
    (b) Sections 151.09 through 151.25 do not apply to--
    (1) A warship, naval auxiliary, or other ship owned or operated by a 
country when engaged in noncommercial service;
    (2) A Canadian or U.S. ship being operated exclusively on the Great 
Lakes of North America or their connecting and tributary waters;
    (3) A Canadian or U.S. ship being operated exclusively on the 
internal waters of the United States and Canada; or
    (4) Any other ship specifically excluded by MARPOL 73/78.

    (c) Sections 151.26 through 151.28 apply to each United States 
oceangoing ship specified in paragraphs (a)(1) through (a)(4) of this 
section which is--
    (1) An oil tanker of 150 gross tons and above or other ship of 400 
gross tons and above; or
    (2) A fixed or floating drilling rig or other platform, when not 
engaged in the exploration, exploitation, or associated offshore 
processing of seabed mineral resources.
    (d) Sections 151.26 through 151.28 do not apply to--
    (1) The ships specified in paragraph (b) of this section;
    (2) Any barge or other ship which is constructed or operated in such 
a manner that no oil in any form can be carried aboard.
    Note: The term ``internal waters'' is defined in Sec. 2.05-20 of 
this chapter.
    (e) Section 151.26(b)(5) applies to all vessels subject to the 
jurisdiction of the United States and operating in Antarctica.

[CGD 88-002, 54 FR 18404, Apr. 28, 1989, as amended by CGD 88-002A, 55 
FR 18582, May 2, 1990; CGD 93-030, 59 FR 51338, Oct. 7, 1994; CGD 97-
015, 62 FR 18045, Apr. 14, 1997]



Sec. 151.10  Control of discharge of oil.

    (a) When more than 12 nautical miles from the nearest land, any 
discharge of oil or oily mixtures into the sea from a ship other than an 
oil tanker or from machinery space bilges of an oil tanker is prohibited 
except when all of the following conditions are satisfied--
    (1) The oil or oily mixture does not originate from cargo pump room 
bilges;
    (2) The oil or oily mixture is not mixed with oil cargo residues;
    (3) The ship is not within a special area;
    (4) The ship is proceeding enroute;
    (5) The oil content of the effluent without dilution is less than 
100 parts per million (ppm); and
    (6) The ship has in operation oily-water separating equipment, a 
bilge monitor, bilge alarm, or combination

[[Page 249]]

thereof as required by Part 155 Subpart B of this chapter.
    (b) When within 12 nautical miles of the nearest land, any discharge 
of oil or oily mixtures into the sea from a ship other than an oil 
tanker or from machinery space bilges of an oil tanker is prohibited 
except when all of the following conditions are satisfied--
    (1) The oil or oily mixture does not originate from cargo pump room 
bilges;
    (2) The oil or oily mixture is not mixed with oil cargo residues;
    (3) The oil content of the effluent without dilution does not exceed 
15 ppm;
    (4) The ship has in operation oily-water separating equipment, a 
bilge monitor, bilge alarm, or combination thereof as required by Part 
155 Subpart B of this chapter; and
    (5) The oily-water separating equipment is equipped with a 15 ppm 
bilge alarm; for U.S. inspected ships, approved under 46 CFR 162.050 and 
for U.S. uninspected ships and foreign ships, either approved under 46 
CFR 162.050 or listed in the current International Maritime Organization 
(IMO) Marine Environment Protection Committee (MEPC) Circular summary of 
MARPOL 73/78 approved equipment.
    Note: In the navigable waters of the United States, the Federal 
Water Pollution Control Act (FWPCA), section 311(b)(3) and 40 CFR Part 
110 govern all discharges of oil or oily-mixtures.
    (c) The cargo related oil residues of an oil tanker, including 
residues from cargo pump room bilges and all oil residues mixed with oil 
cargo residues shall not be discharged overboard except as provided for 
in Part 157 of this chapter.
    (d) When more than 12 nautical miles from the nearest land, any 
discharge of oil or oily mixtures into the sea from a ship other than an 
oil tanker or from machinery space bilges of an oil tanker; that is not 
proceeding enroute; shall be in accordance with paragraphs (b)(1), 
(b)(2), (b)(3), (b)(4), and (b)(5) of this section.
    (e) The provisions of paragraphs (a), (b), (c) and (d) of this 
section do not apply to the discharge of clean or segregated ballast.
    (f) The person who is in charge of an oceangoing ship that cannot 
discharge oil residues into the sea in compliance with paragraphs (a), 
(b), (c) or (d) of this section shall ensure that those residues are--
    (1) Retained on board; or
    (2) Discharged to a reception facility. If the reception facility is 
in a port or terminal in the United States, each person who is in charge 
of each oceangoing tanker or any other oceangoing ship of 400 gross tons 
or more shall notify the port or terminal, at least 24 hours before 
entering the port or terminal, of--
    (i) The estimated time of day the ship could discharge residues and 
mixtures containing oil;
    (ii) The type of residues and mixtures containing oil to be 
discharged; and
    (iii) The volume of residues and mixtures containing oil to be 
discharged.
    Note: There are Federal, state, or local laws or regulations that 
could require a written description of the residues and mixtures 
containing oil to be discharged. For example, a residue or mixture 
containing oil might have a flashpoint less than 60  deg.C (140  deg.F) 
and thus have the characteristic of ignitability under 40 CFR 261.21, 
which might require a description of the waste for a manifest under 40 
CFR Part 262, Subpart B. Occupational safety and health concerns may be 
covered, as well as environmental ones.
    The notice required in this section is in addition to those required 
by other Federal, state, and local laws and regulations. Affected 
persons should contact the appropriate Federal, state, or local agency 
to determine whether other notice and information requirements, 
including 40 CFR Parts 262 and 263, apply to them.
    (g) No discharge into the sea shall contain chemicals or other 
substances introduced for the purpose of circumventing the conditions of 
discharge specified in this regulation.
    (h) This section does not apply to a fixed or floating drilling rig 
or other platform that is operating under a National Pollutant Discharge 
Elimination System (NPDES) permit.

[CGD 75-124a, 48 FR 45709, Oct. 6, 1983, as amended by CGD 78-035, 50 FR 
36793, Sept. 9, 1985. Redesignated by CGD 88-002, 54 FR 18404, Apr. 28, 
1989; USCG-1998-3799, 63 FR 35530, June 30, 1998]



Sec. 151.11  Exceptions for emergencies.

    (a) Sections 151.10 and 151.13 do not apply to--

[[Page 250]]

    (1) The discharge into the sea of oil or oily mixture necessary for 
the purpose of securing the safety of a ship or saving life at sea.
    (2) The discharge into the sea of oil or oily mixture resulting from 
damage to a ship or its equipment--
    (i) Provided that all reasonable precautions have been taken after 
the occurrence of the damage or discovery of the discharge for the 
purpose of preventing or minimizing the discharge; and
    (ii) Except if the owner or the master acted either with intent to 
cause damage, or recklessly and with knowledge that damage would 
probably result.
    (b) [Reserved]

[CGD 75-134a, 48 FR 45709, Oct. 6, 1983, as amended by CGD 88-002, 54 FR 
18404, Apr. 28, 1989]



Sec. 151.13  Special areas for Annex I of MARPOL 73/78.

    (a) For the purposes of Secs. 151.09 through 151.25, the special 
areas are the Mediterranean Sea area, the Baltic Sea area, the Black Sea 
area, the Red Sea area, the Gulfs area, the Gulf of Aden, and the 
Antarctic area which are described in Sec. 151.06. The discharge 
restrictions are effective in the Mediterranean Sea, Baltic Sea, Black 
Sea, and the Antarctic area.
    (b) Subject to the provisions of Sec. 151.11--
    (1) A ship of 400 gross tons or over and any oil tanker may not 
discharge oil or oily mixture within a special area. In the Antarctic 
area, discharge into the sea of oil or oily mixture from any ship is 
prohibited.
    (2) A ship of less than 400 gross tons other than an oil tanker may 
not discharge oil or oily mixture within a special area, unless the oil 
content of the effluent without dilution does not exceed 15 parts per 
million (ppm).
    (3) For the Antarctic area, all ships must be fitted with a tank or 
tanks of sufficient capacity on board for the retention of all sludge, 
dirty ballast, tank washing water, and other oily residues and mixtures 
while operating in the area and must have concluded arrangements to 
discharge such oily residues at a reception facility after leaving the 
area.
    (c) The provisions of paragraph (b) of this section do not apply to 
the discharge of clean or segregated ballast.
    (d) The provisions of paragraph (b)(1) of this section do not apply 
to the discharge of processed bilge water from machinery space bilges, 
provided that all of the following conditions are satisfied--
    (1) The bilge water does not originate from cargo pump room bilges;
    (2) The bilge water is not mixed with oil cargo residues;
    (3) The ship is proceeding enroute;
    (4) The oil content of the effluent without dilution does not exceed 
15 ppm;
    (5) The ship has in operation oily-water separating equipment 
complying with Part 155 of this chapter; and
    (6) The oily-water separating equipment is equipped with a device 
that stops the discharge automatically when the oil content of the 
effluent exceeds 15 ppm.
    (e) No discharge into the sea shall contain chemicals or other 
substances introduced for the purpose of circumventing the conditions of 
discharge specified in this section.
    (f) The oil residues that cannot be discharged into the sea in 
compliance with paragraphs (b), (c), or (d) of this section shall be 
retained on board or discharged to reception facilities.
    (g) Nothing in this section prohibits a ship on a voyage, only part 
of which is in a special area, from discharging outside the special area 
in accordance with Sec. 151.10.
    (h) In accordance with paragraph (7)(b)(iii) of Regulation 10 of 
Annex I of MARPOL 73/78, the discharge restrictions in Sec. 151.13 for 
the Red Sea area, Gulfs area, and the Gulf of Aden area will enter into 
effect when each party to MARPOL 73/78 whose coastline borders the 
special area has certified that reception facilities are available and 
the IMO has established an effective date for each special area. Notice 
of the effective dates for the discharge requirements in these special 
areas will

[[Page 251]]

be published in the Federal Register and reflected in this section.

[CGD 75-124a, 48 FR 45709, Oct. 6, 1983; 48 FR 54977, Dec. 8, 1983, as 
amended by CGD 88-002, 54 FR 18404, Apr. 28, 1989; CGD 88-002A, 55 FR 
18582, May 2, 1990; CGD 94-056, 60 FR 43377, Aug. 21, 1995]



Sec. 151.15  Reporting requirements.

    (a) The Master or other person having charge of a ship involved in 
an incident referred to in paragraph (e) of this section, shall report 
the particulars of such incident without delay and to the fullest extent 
possible in accordance with the provisions of this section.
    (b) In the event of the ship referred to in paragraph (a) of this 
section being abandoned, or in the event of a report from such ship 
being incomplete or unobtainable, the owner, charterer, manager or 
operator of the ship, or their agents shall, to the fullest extent 
possible assume the obligations placed upon the Master or other person 
having charge of the ship under the provisions of this section.
    (c) Each report shall be made by radio whenever possible, but in any 
case by the fastest available means at the time the report is made.
    (d) Reports shall be directed to the appropriate officer or agency 
of the government of the country in whose waters the incident occurs. 
Additionally, for incidents involving U.S. ships, the reports shall be 
directed to either the nearest Coast Guard Captain of the Port (COTP) or 
to the National Response Center (NRC), toll free telephone number 800-
424-8802, telex number 892427.
    (e) The report shall be made whenever an incident involves--
    (1) A discharge other than as permitted under this part; or
    (2) A discharge permitted under this part by virtue of the fact 
that--
    (i) It is for the purpose of securing the safety of a ship or saving 
life at sea; or
    (ii) It results from damage to the ship or its equipment; or
    (3) The probability of a discharge referred to in paragraphs (e)(1) 
or (e)(2) of this section.
    (f) Each report shall contain--
    (1) The identity of the ship;
    (2) The time and date of the occurrence of the incident;
    (3) The geographic position of the ship when the incident occurred;
    (4) The wind and sea condition prevailing at the time of the 
incident;
    (5) Relevant details respecting the condition of the ship; and
    (6) A statement or estimate of the quantity of oil or oily mixtures 
discharged or likely to be discharged into the sea.
    (g) Each person who is obligated under the provisions of this 
section to send a report shall--
    (1) Supplement the initial report, as necessary, with information 
concerning further developments; and
    (2) Comply as fully as possible with requests from affected 
countries for additional information concerning the incident.
    (h) A report made under this section will satisfy the reporting 
requirement of Sec. 153.203 of this chapter.



Sec. 151.17  Surveys.

    (a) Every U.S. oil tanker of 150 gross tons and above, and every 
other U.S. ship of 400 gross tons and above; that is required to have an 
International Oil Pollution Prevention (IOPP) Certificate on board and 
to which this part applies, except as provided for in paragraphs (b) and 
(d) of this section; is subject to the following surveys conducted by 
the Coast Guard--
    (1) An initial survey, conducted before the ship is put in service 
or before an IOPP Certificate required under Sec. 151.19 is issued for 
the first time; this survey includes a complete examination of its 
structure, equipment, systems, fittings, arrangements and material in so 
far as the ship is covered by this chapter.
    (2) Periodic renewal surveys conducted at intervals corresponding 
with the renewal of the IOPP Certificates. The purpose of the survey is 
to determine whether the structure, equipment, systems, fittings, 
arrangements, and material comply with the requirements of Parts 155 and 
157 of this chapter.
    (3) Annual surveys for inspected ships conducted as close as 
practicable to twelve (12) and thirty-six (36) months from the date of 
issuance of the IOPP

[[Page 252]]

Certificate, and not more than two months prior to or later than these 
twelve and thirty-six month dates; this survey is to determine that the 
oily-water separating equipment and associated pumps and piping systems 
remain satisfactory for the service intended, and that no unauthorized 
alterations have been made, and is to be endorsed on the IOPP 
Certificate.
    (4) Intermediate surveys for inspected ships conducted as close as 
practicable to twenty-four (24) months from the date of issuance of the 
IOPP Certificates, and not more than six months prior to or later than 
that twenty-four month date; this survey is to determine whether the 
equipment and associated pump and piping systems, including oil 
discharge monitoring and control systems, and oily-water separating 
equipment comply with the requirements of Parts 155 and 157 of this 
chapter, and are in good working order, and is to be endorsed on the 
IOPP Certificate.
    (5) Intermediate surveys for uninspected ships conducted as close as 
practicable to thirty (30) months from the date of issuance of the IOPP 
Certificate, and not more than six months prior to or later than that 
thirty month date; this survey is to determine whether the equipment and 
associated pump and piping systems, including oil discharge monitoring 
and control systems, and oily-water separating equipment comply with the 
requirements of Parts 155 and 157 of this chapter, and are in good 
working order, and is to be endorsed on the IOPP Certificate.
    (b) Every U.S. inspected oil tanker of 150 gross tons and above, and 
every other U.S. inspected ship of 400 gross tons and above; that is not 
required to have an IOPP Certificate on board is subject to the 
following surveys to be conducted by the Coast Guard--
    (1) An initial survey conducted before the ship is put into service.
    (2) All other surveys are conducted concurrently with either 
inspections for certification or required reinspections.
    (c) After any survey of a ship under this section has been 
completed, no significant change may be made in the construction, 
equipment, fittings, arrangements or material covered by the survey 
without the sanction of the COTP or OCMI except for the direct 
replacement of such equipment or fittings.
    (d) Fixed and floating drilling rigs and other platforms, barges, 
and uninspected ships; that are not required to have an IOPP Certificate 
on board are not required to be surveyed under this section.

[CGD 75-124a, 48 FR 45709, Oct. 6, 1983, as amended by USCG-1998-3799, 
63 FR 35530, June 30, 1998]



Sec. 151.19  International Oil Pollution Prevention (IOPP) Certificates.

    (a) Each U.S. oil tanker of 150 gross tons and above and each other 
U.S. ship of 400 gross tons and above; that engages in voyages to ports 
or off-shore terminals under the jurisdiction of other parties to MARPOL 
73/78 must have on board a valid International Oil Pollution Prevention 
(IOPP) Certificate.
    (b) Each oil tanker of 150 gross tons and above and each other ship 
of 400 gross tons and above, operated under the authority of a country 
other than the United States that is party to MARPOL 73/78, must have on 
board a valid IOPP Certificate.
    (c) An IOPP Certificate is issued by a COTP, OCMI, or a 
classification society authorized under 46 CFR part 8, after a 
satisfactory survey in accordance with the provisions of Sec. 151.17.
    (d) The Supplement to the IOPP Certificate is a part of the IOPP 
Certificate and must remain attached to that Certificate. If the 
Supplement to the Certificate is changed, a new IOPP Certificate will be 
required.
    (e) The IOPP Certificate for each U.S. inspected ship is valid for a 
period not to exceed five years from the date of issue, and for each 
U.S. uninspected ship the IOPP Certificate is valid for a period not to 
exceed five years from the date of issue, except as follows--
    (1) A Certificate ceases to be valid if significant alterations have 
taken place in the construction, equipment, fittings, or arrangements 
required by the pollution prevention requirements of parts 155 or 157 of 
this chapter without the approval of the COTP or the OCMI.

[[Page 253]]

    (2) A Certificate Ceases to be valid if intermediate surveys as 
required by Sec. 151.17 of this part are not carried out.
    (3) A Certificate issued to a ship ceases to be valid upon transfer 
of the ship to the flag of another country.

(Approved by the Office of Management and Budget under control number 
2115-0526)

[CGD 75-124a, 48 FR 45709, Oct. 6, 1983, as amended by CGD 95-010, 62 FR 
67531, Dec. 24, 1997; USCG-1998-3799, 63 FR 35530, June 30, 1998; USCG-
2000-7223, 65 FR 40057, June 29, 2000]



Sec. 151.21  Ships of countries not party to MARPOL 73/78.

    (a) Each oil tanker of 150 gross tons and above and each other ship 
of 400 gross tons and above, operated under the authority of a country 
not a party to MARPOL 73/78, must have on board valid documentation 
showing that the ship has been surveyed in accordance with and complies 
with the requirements of MARPOL 73/78. Evidence of compliance may be 
issued by either the government of a country that is party to MARPOL 73/
78 or a recognized classification society.
    (b) Evidence of compliance must contain all of the information in, 
and have substantially the same format as, the IOPP Certificate.

(Approved by the Office of Management and Budget under control number 
2115-0526)

[CGD 75-124a, 48 FR 45709, Oct. 6, 1983, as amended by CGD 93-030, 59 FR 
51338, Oct. 7, 1994]



Sec. 151.23  Inspection for compliance and enforcement.

    (a) While at a port or terminal under the jurisdiction of the United 
States, a ship is subject to inspection by the Coast Guard--
    (1) To determine that a valid IOPP Certificate is on board and that 
the condition of the ship and its equipment corresponds substantially 
with the particulars of the IOPP Certificate;
    (2) To determine that evidence of compliance with MARPOL 73/78, as 
required by Sec. 151.21 is on board and that the condition of the ship 
and its equipment corresponds substantially with the particulars of this 
evidence of compliance;
    (3) To determine whether a ship has been operating in accordance 
with and has not discharged any oil or oily mixtures in violation of the 
provisions of MARPOL 73/78 or this subchapter;
    (4) To determine whether a ship has discharged oil or oily mixtures 
anywhere in violation of MARPOL 73/78, upon request from a party to 
MARPOL 73/78 for an investigation when the requesting party has 
furnished sufficient evidence to support a reasonable belief that a 
discharge has occurred.
    (b) A ship that does not comply with the requirements of Parts 151, 
155 and 157 of this chapter, or where the condition of the ship or its 
equipment does not substantially agree with the particulars of the IOPP 
Certificate or other required documentation, may be detained by order of 
the COTP or OCMI, at the port or terminal where the violation is 
discovered until, in the opinion of the detaining authority, the ship 
can proceed to sea without presenting an unreasonable threat of harm to 
the marine environment. The detention order may authorize the ship to 
proceed to the nearest appropriate available shipyard rather than 
remaining at the place where the violation was discovered.
    (c) An inspection under this section may include an examination of 
the Oil Record Book, the oil content meter continuous records, and a 
general examination of the ship. A copy of any entry in the Oil Record 
Book may be made and the Master of the ship may be required to certify 
that the copy is a true copy of such entry.

[CGD 75-124a, 48 FR 45709, Oct. 6, 1983, as amended by CGD 88-002A, 55 
FR 18582, May 2, 1990]



Sec. 151.25  Oil Record Book.

    (a) Each oil tanker of 150 gross tons and above, ship of 400 gross 
tons and above other than an oil tanker, and manned fixed or floating 
drilling rig or other platform shall maintain an Oil Record Book Part I 
(Machinery Space Operations). An oil tanker of 150 gross tons and above 
or a non oil tanker that carries 200 cubic meters or more of oil in 
bulk, shall also maintain an Oil Record Book Part II (Cargo/Ballast 
Operations).
    (b) An Oil Record Book printed by the U.S. Government is available 
to the masters or operators of all U.S.

[[Page 254]]

ships subject to this section, from any Coast Guard Marine Safety 
Office, Marine Inspection Office, or Captain of the Port Office.
    (c) The ownership of the Oil Record Book of all U.S. ships remains 
with the U.S. Government.
    (d) Entries shall be made in the Oil Record Book on each occasion, 
on a tank to tank basis if appropriate, whenever any of the following 
machinery space operations take place on any ship to which this section 
applies--
    (1) Ballasting or cleaning of fuel oil tanks;
    (2) Discharge of dirty ballast or cleaning water from fuel oil 
tanks;
    (3) Disposal of oily residues (sludge); and
    (4) Discharge overboard or disposal otherwise of bilge water that 
has accumulated in machinery spaces.
    (e) Entries shall be made in the Oil Record Book on each occasion, 
on a tank to tank basis if appropriate, whenever any of the following 
cargo/ballast operations take place on any oil tanker to which this 
section applies--
    (1) Loading of oil cargo;
    (2) Internal transfer of oil cargo during voyage;
    (3) Unloading of oil cargo;
    (4) Ballasting of cargo tanks and dedicated clean ballast tanks;
    (5) Cleaning of cargo tanks including crude oil washing;
    (6) Discharge of ballast except from segregated ballast tanks;
    (7) Discharge of water from slop tanks;
    (8) Closing of all applicable valves or similar devices after slop 
tank discharge operations;
    (9) Closing of valves necessary for isolation of dedicated clean 
ballast tanks from cargo and stripping lines after slop tank discharge 
operations; and
    (10) Disposal of residues.
    (f) Entries shall be made in the Oil Record Book on each occasion, 
on a tank-to-tank basis if appropriate, whenever any of the following 
operations take place on a fixed or floating drilling rig or other 
platform to which this section applies--
    (1) Discharge of ballast or cleaning water from fuel oil tanks; and
    (2) Discharge overboard of platform machinery space bilge water.
    (g) In the event of an emergency, accidental or other exceptional 
discharge of oil or oily mixture, a statement shall be made in the Oil 
Record Book of the circumstances of, and the reasons for, the discharge.
    (h) Each operation described in paragraphs (d), (e) and (f) of this 
section shall be fully recorded without delay in the Oil Record Book so 
that all the entries in the book appropriate to that operation are 
completed. Each completed operation shall be signed by the person or 
persons in charge of the operations concerned and each completed page 
shall be signed by the master or other person having charge of the ship.
    (i) The Oil Record Book shall be kept in such a place as to be 
readily available for inspection at all reasonable times and shall be 
kept on board the ship.
    (j) The master or other person having charge of a ship required to 
keep an Oil Record Book shall be responsible for the maintenance of such 
record.
    (k) The Oil Record Book for a U.S. ship shall be maintained on board 
for not less than three years.
    (l) This section does not apply to a barge or a fixed or floating 
drilling rig or other platform that is not equipped to discharge 
overboard any oil or oily mixture.
    (m) This section does not apply to a fixed or floating drilling rig 
or other platform that is operating in compliance with a valid National 
Pollutant Discharge Elimination System (NPDES) permit.

(Approved by the Office of Management and Budget under control number 
2115-0025)

[CGD 75-124a, 48 FR 45709, Oct. 6, 1983; 48 FR 54977, Dec. 8, 1983, as 
amended by CGD 88-002A, 55 FR 18582, May 2, 1990]



Sec. 151.26  Shipboard oil pollution emergency plans.

    (a) Language of the plan. The shipboard oil pollution emergency plan 
must be available on board in English and in the working language of the 
master and the officers of the ship, if other than English.

[[Page 255]]

    (b) Plan format. The plan must contain the following six sections. A 
seventh non-mandatory section may be included at the shipowner's 
discretion:
    (1) Introduction. This section must contain the following:
    (i) Introductory text. The introductory text of the plan must 
contain the following language (For ships operating in Antarctica, the 
introductory text of the plan must contain the following language and 
explain that they are in accordance with the Protocol on Environmental 
Protection to the Antarctic Treaty):

    This plan is written in accordance with the requirements of 
Regulation 26 of Annex I of the International Convention for the 
Prevention of Pollution from Ships, 1973, as modified by the Protocol of 
1978 relating thereto (MARPOL 73/78).
    The purpose of the plan is to provide guidance to the master and 
officers on board the ship with respect to the steps to be taken when a 
pollution incident has occurred or is likely to occur.
    The plan contains all information and operational instructions 
required by the guidelines (Resolution MEPC.54(32)). The appendices 
contain names, telephone numbers, telex numbers, etc. of all contacts 
referenced in the plan, as well as other reference material.
    This plan has been approved by the Coast Guard and, except as 
provided below, no alteration or revision may be made to any part of it 
without the prior approval of the Coast Guard.
    Changes to the seventh section of the plan and the appendices do not 
require approval by the Coast Guard. The appendices must be maintained 
up-to-date by the owners, operators, and managers.

    (ii) General information.
    (A) The ship's name, call sign, official number, International 
Maritime Organization (IMO) international number, and principal 
characteristics.
    (B) [Reserved]
    (2) Preamble. This section must contain an explanation of the 
purpose and use of the plan and indicate how the shipboard plan relates 
to other shore-based plans.
    (3) Reporting Requirements. This section of the plan must include 
information relating to the following:
    (i) When to report. A report shall be made whenever an incident 
involves--
    (A) A discharge of oil resulting from damage to the ship or its 
equipment, or for the purpose of securing the safety of a ship or saving 
life at sea;
    (B) A discharge of oil during the operation of the ship in excess of 
the quantities or instantaneous rate permitted in Sec. 151.10 of this 
subpart or in Sec. 157.37 of this subchapter; or
    (C) A probable discharge. Factors to be considered in determining 
whether a discharge is probable include, but are not limited to: ship 
location and proximity to land or other navigational hazards, weather, 
tide, current, sea state, and traffic density. The master must make a 
report in cases of collision, grounding, fire, explosion, structural 
failure, flooding or cargo shifting, or an incident resulting in failure 
or breakdown of steering gear, propulsion, electrical generating system, 
or essential shipborne navigational aids.
    (ii) Information required. This section of the plan must include a 
notification form, such as that depicted in Table 151.26(b)(3)(ii)(A), 
that contains information to be provided in the initial and follow-up 
notifications. The initial notification should include as much of the 
information on the form as possible, and supplemental information, as 
appropriate. However, the initial notification must not be delayed 
pending collection of all information. Copies of the form must be placed 
at the location(s) on the ship from which notification may be made.

[[Page 256]]

[GRAPHIC] [TIFF OMITTED] TR07OC94.020


[[Page 257]]


[GRAPHIC] [TIFF OMITTED] TR07OC94.021

    (iii) Whom to contact. (A) This section of the plan must make 
reference to the appendices listing coastal state contacts, port 
contacts, and ship interest contacts.
    (B) For actual or probable discharges of oil, the reports must 
comply with the procedures described in MARPOL Protocol I. The reports 
shall be directed to either the nearest Captain of the Port (COTP) or to 
the National Response Center (NRC), toll free number 800-424-8802.
    (C) For Antarctica, in addition to compliance with paragraph 
(b)(3)(iii)(B) of this section, reports shall also be directed to any 
Antarctic station that may be affected.
    (4) Steps to control a discharge. This section of the plan must 
contain a discussion of procedures to address the following scenarios:
    (i) Operational spills: The plan must outline procedures for removal 
of oil spilled and contained on deck. The plan must also provide 
guidance to ensure proper disposal of recovered oil and cleanup 
materials;
    (A) Pipe leakage: The plan must provide specific guidance for 
dealing with pipe leakage;
    (B) Tank overflow: The plan must include procedures for dealing with 
tank overflows. It must provide alternatives such as transferring cargo 
or bunkers

[[Page 258]]

to empty or slack tanks, or readying pumps to transfer the excess 
ashore;
    (C) Hull leakage: The plan must outline procedures for responding to 
spills due to suspected hull leakage, including guidance on measures to 
be taken to reduce the head of oil in the tank involved either by 
internal transfer or discharge ashore. Procedures to handle situations 
where it is not possible to identify the specific tank from which 
leakage is occurring must also be provided. Procedures for dealing with 
suspected hull fractures must be included. These procedures must take 
into account the effect of corrective actions on hull stress and 
stability.
    (ii) Spills resulting from casualties: Each of the casualties listed 
below must be treated in the plan as a separate section comprised of 
various checklists or other means which will ensure that the master 
considers all appropriate factors when addressing the specific casualty. 
These checklists must be tailored to the specific ship. In addition to 
the checklists, specific personnel assignments for anticipated tasks 
must be identified. Reference to existing fire control plans and muster 
lists is sufficient to identify personnel responsibilities in the 
following situations:
    (A) Grounding;
    (B) Fire or explosion;
    (C) Collision;
    (D) Hull failure; and
    (E) Excessive list.
    (iii) In addition to the checklist and personnel duty assignments 
required by paragraph (b)(4)(ii) of this section, the plan must 
include--
    (A) Priority actions to ensure the safety of personnel and the ship, 
assess the damage to the ship, and take appropriate further action;
    (B) Information for making damage stability and longitudinal 
strength assessments, or contacting classification societies to acquire 
such information. Nothing in this section shall be construed as creating 
a requirement for damage stability plans or calculations beyond those 
required by law or regulation; and
    (C) Lightening procedures to be followed in cases of extensive 
structural damage. The plan must contain information on procedures to be 
followed for ship-to-ship transfer of cargo. Reference may be made in 
the plan to existing company guides. A copy of such company procedures 
for ship-to-ship transfer operations must be kept in the plan. The plan 
must address the coordination of this activity with the coastal or port 
state, as appropriate.
    (5) National and Local Coordination. (i) This section of the plan 
must contain information to assist the master in initiating action by 
the coastal State, local government, or other involved parties. This 
information must include guidance to assist the master with organizing a 
response to the incident should a response not be organized by the shore 
authorities. Detailed information for specific areas may be included as 
appendices to the plan.
    (ii) For Antarctica, a vessel owner or operator must include a plan 
for prompt and effective response action to such emergencies as might 
arise in the performance of its vessel's activities.
    (iii) To comply with paragraph (b)(5)(ii) of this section, an agency 
of the United States government may promulgate a directive providing for 
prompt and effective response by the agency's public vessels operating 
in Antarctica.
    (6) Appendices. Appendices must include the following information:
    (i) Twenty-four hour contact information and alternates to the 
designated contacts. These details must be routinely updated to account 
for personnel changes and changes in telephone, telex, and telefacsimile 
numbers. Clear guidance must also be provided regarding the preferred 
means of communication.
    (ii) The following lists, each identified as a separate appendix:
    (A) A list of agencies or officials of coastal state administrations 
responsible for receiving and processing incident reports;
    (B) A list of agencies or officials in regularly visited ports. When 
this is not feasible, the master must obtain details concerning local 
reporting procedures upon arrival in port; and
    (C) A list of all parties with a financial interest in the ship such 
as ship and cargo owners, insurers, and salvage interests.

[[Page 259]]

    (D) A list which specifies who will be responsible for informing the 
parties listed and the priority in which they must be notified.
    (iii) A record of annual reviews and changes.
    (7) Non-mandatory provisions. If this section is included by the 
shipowner, it should include the following types of information or any 
other information that may be appropriate:
    (i) Diagrams;
    (ii) Response equipment or oil spill removal organizations;
    (iii) Public affairs practices;
    (iv) Recordkeeping;
    (v) Plan exercising; and
    (vi) Individuals qualified to respond.
    (8) Index of sections. The plan must be organized as depicted in 
Table 151.26(b)(8).

          Table 151.26(b)(8)--Index of Sections--Sample Format

                                Mandatory

Section 1: Introduction
Section 2: Preamble
Section 3: Reporting requirements
Section 4: Steps to control a discharge
Section 5: National and local coordination
Section 6: Appendices

                                Voluntary

Section 7: Non-mandatory provisions

[CGD 93-030, 59 FR 51338, Oct. 7, 1994, as amended by CGD 97-015, 62 FR 
18045, Apr. 14, 1997]



Sec. 151.27  Plan submission and approval.

    (a) No manned ship subject to this part may operate unless it 
carries on board a shipboard oil pollution emergency plan approved by 
the Coast Guard. An unmanned ship subject to this regulation must carry 
the notification list required in Sec. 151.26(b)(3) on board in the 
documentation container; remaining sections of the plan must be 
maintained on file at the home office. For new ships, plans must be 
submitted at least 90 days before the ship intends to begin operations.
    (b) An owner or operator of a ship to which this part applies shall 
prepare and submit one English language copy of the shipboard oil 
pollution emergency plan to Commandant (G-MOR), U.S. Coast Guard, 2100 
Second Street SW., Washington, DC 20593-0001.
    (c) An owner or operator with multiple ships to which this part 
applies may submit one plan for each type of ship with a separate ship-
specific appendix for each vessel covered by the plan.
    (d) Combined shipboard oil pollution emergency plans and response 
plans meeting the requirements of subparts D and E of part 155 of this 
chapter must be prepared according to Sec. 155.1030(j) of this chapter.
    (e) If the Coast Guard determines that the plan meets all 
requirements of this section, the Coast Guard will notify the owner or 
operator of the ship and return a copy of the approved plan along with 
an approval letter. The approval period for a plan expires 5 years after 
the plan approval date.
    (f) If the Coast Guard determines that the plan does not meet all of 
the requirements, the Coast Guard will notify the owner or operator of 
the plan's deficiencies. The owner or operator must then resubmit two 
copies of the revised plan, or corrected portions of the plan, within 
time period specified in the written notice provided by the Coast Guard.

[CGD 93-030, 59 FR 51342, Oct. 7, 1994, as amended by CGD 96-026, 61 FR 
33665, June 28, 1996; USCG-1998-3799, 63 FR 35530, June 30, 1998]



Sec. 151.28  Plan review and revision.

    (a) An owner or operator of a ship to which this subpart applies 
must review the shipboard oil pollution emergency plan annually and 
submit a letter to Commandant (G-MOR) certifying that the review has 
been completed. This review must occur within 1 month of the anniversary 
date of Coast Guard approval of the plan.
    (b) The owner or operator shall submit any plan amendments to 
Commandant (G-MOR) for information or approval.
    (c) The entire plan must be resubmitted to Commandant (G-MOR) for 
reapproval 6 months before the end of the Coast Guard approval period 
identified in Sec. 151.27(e) of this subpart.

[[Page 260]]

    (d) A record of annual review and changes to the plan must be 
maintained in the last appendix of section six of the plan.
    (e) Except as provided in paragraph (f) of this section, revisions 
must receive prior approval by the Coast Guard before they can be 
incorporated into the plan.
    (f) Revisions to the seventh section of the plan and the appendices 
do not require approval by the Coast Guard. The Coast Guard shall be 
advised and provided a copy of the revisions as they occur.

[CGD 93-030, 59 FR 51342, Oct. 7, 1994, as amended by CGD 96-026, 61 FR 
33665, June 28, 1996]



Sec. 151.29  Foreign ships.

    (a) Each oil tanker of 150 gross tons and above and each other ship 
of 400 gross tons and above, operated under the authority of a country 
other than the United States that is party to MARPOL 73/78, shall, while 
in the navigable waters of the United States or while at a port or 
terminal under the jurisdiction of the United States, carry on board a 
shipboard oil pollution emergency plan approved by its flag state.
    (b) Each oil tanker of 150 gross tons and above and each other ship 
of 400 gross tons and above, operated under the authority of a country 
that is not a party to MARPOL 73/78, must comply with Sec. 151.21 of 
this subpart while in the navigable waters of the United States.

[CGD 93-030, 59 FR 51342, Oct. 7, 1994]

                   Noxious Liquid Substance Pollution

    Source: Sections 151.30--151.49 appear by CGD 85-010, 52 FR 7759, 
Mar. 12, 1987, unless otherwise noted.



Sec. 151.30  Applicability.

    (a) Except as provided in paragraph (b) of this section, 
Secs. 151.30 through 151.49 apply to each ship that--
    (1) Is operated under the authority of the United States and engages 
in international voyages;
    (2) Is operated under the authority of the United States and is 
certificated for ocean service;
    (3) Is operated under the authority of the United States and is 
certificated for coastwise service beyond three nautical miles from 
land;
    (4) Is operated under the authority of the United States and 
operates at any time seaward of the outermost boundary of the 
territorial sea of the United States as defined in Sec. 2.05-10 of this 
chapter; or
    (5) Is operated under the authority of a country other than the 
United States while in the navigable waters of the United States, or 
while at a port or terminal under the jurisdiction of the United States.
    (b) Sections 151.30 through 151.49 do not apply to--
    (1) A tank barge whose certificate is endorsed by the Coast Guard 
for a limited short protected coastwise route if the barge is 
constructed and certificated primarily for service on an inland route;
    (2) A warship, naval auxiliary, or other ship owned or operated by a 
country when engaged in noncommercial service;
    (3) A Canadian or U.S. ship being operated exclusively on the Great 
Lakes of North America or their connecting and tributary waters;
    (4) A Canadian or U.S. ship being operated exclusively on the 
internal waters of the United States and Canada; or
    (5) Any other ship specifically excluded by MARPOL 73/78.
    Note: The term ``internal waters'' is defined in Sec. 2.05-20 of 
this chapter.

[CGD 88-002, 54 FR 18405, Apr. 28, 1989, as amended by CGD 88-002A, 55 
FR 18582, May 2, 1990]



Sec. 151.31  Where to find requirements applying to oceangoing ships carrying Category A, B, C, and D NLS.

    (a) The requirements for oceangoing ships carrying NLSs listed in 
Secs. 151.47 and 151.49 are in Secs. 151.33 through 151.45.
    (b) The requirements for oceangoing ships carrying NLSs listed in 
Table 151.05 of 46 CFR part 151 and Table 1 of 46 CFR part 153, which 
are not listed in Sec. 151.47 or Sec. 151.49, are in 46 CFR parts 98, 
151, and 153.
    (c) Alternatives to the requirements in this part for oceangoing 
ships carrying NLSs are in 46 CFR part 153.
    (d) Procedures for obtaining permission to carry an NLS not listed 
in

[[Page 261]]

Sec. 151.47, Sec. 151.49, Table 151.05 of 46 CFR part 151, or Table 1 of 
46 CFR part 153 are in 46 CFR 153.900(c).



Sec. 151.32  Special areas for the purpose of Annex II.

    (a) For the purposes of Secs. 151.30 through 151.49, the special 
areas are the Baltic Sea area, the Black Sea area, and the Antarctic 
area which are described in Sec. 151.06. Discharges into the sea of NLSs 
or mixtures containing such substances are prohibited in the Antarctic 
area.
    (b) In accordance with paragraph (13)(a) of Regulation 5 of Annex II 
of MARPOL 73/78, the discharge restrictions in Sec. 151.32 for the 
Baltic Sea area and the Black Sea area will enter into effect when each 
Party to MARPOL 73/78 whose coastline borders the special area has 
certified that reception facilities are available and the IMO has 
established an effective date for each special area. Notice of the 
effective date for discharge requirements in these areas will be 
published in the Federal Register and reflected in this section.

[CGD 94-056, 60 FR 43378, Aug. 21, 1995]



Sec. 151.33  Certificates needed to carry Category C Oil-like NLS.

    (a) A U.S. oceangoing ship may not carry a Category C oil-like NLS 
listed in Sec. 151.49 in a cargo tank unless the ship has a Certificate 
of Inspection endorsed to allow the NLS to be carried in that cargo 
tank, and if the ship engages in a foreign voyage--
    (1) An Attachment for NLSs to the IOPP Certificate, issued under 
Sec. 151.37(a), that allows the NLS to be carried in that cargo tank; or
    (2) A Certificate of Fitness issued under 46 CFR part 153 that 
allows the NLS to be carried in that cargo tank.
    (b) A foreign oceangoing ship operating in the navigable waters of 
the U.S. may not carry a Category C oil-like NLS listed in Sec. 151.49 
in a cargo tank unless the ship has--
    (1) An Attachment for NLSs to the IOPP Certificate that allows the 
NLS to be carried in that cargo tank; or
    (2) A Certificate of Compliance issued under 46 CFR Part 153 to 
allow the NLS to be carried in that cargo tank.
    (c) A U.S. oceangoing ship authorized to carry certain dangerous 
cargoes in bulk under 46 CFR Part 98 may not carry a Category C oil-like 
NLS listed in Sec. 151.49 in a cargo tank unless the ship has a 
Certificate of Inspection endorsed to allow the NLS to be carried in 
that cargo tank, and if the ship engages in a foreign voyage, an NLS 
Certificate issued under Sec. 151.37(b) that allows the NLS to be 
carried in that cargo tank.



Sec. 151.35  Certificates needed to carry Category D NLS and Category D Oil-like NLS.

    (a) A U.S. oceangoing ship may not carry a Category D NLS listed in 
Sec. 151.47 in a cargo tank unless the ship has a Certificate of 
Inspection endorsed to allow the NLS to be carried in that cargo tank, 
and if the ship engages if a foreign voyage--
    (1) An NLS Certificate issued under Sec. 151.37(b) to allow the NLS 
to be carried in that cargo tank; or
    (2) A Certificate of Fitness issued under 46 CFR part 153 to allow 
the NLS to be carried in that cargo tank.
    (b) A U.S. oceangoing ship may not carry a Category D oil-like NLS 
listed in Sec. 151.49 in a cargo tank unless the ship has a Certificate 
of Inspection endorsed to allow the NLS to be carried in that cargo 
tank, and if the ship engages if a foreign voyage--
    (1) An Attachment for NLSs to the IOPP Certificate, issued under 
Sec. 151.37(a), to allow the NLS to be carried in that cargo tank; or
    (2) An NLS Certificate issued under Sec. 151.37(b) to allow the NLS 
to be carried in that cargo tank, or
    (3) A Certificate of Fitness issued under 46 CFR part 153 to allow 
the NLS to be carried in that cargo tank.
    (c) A foreign oceangoing ship in the navigable waters of the U.S. 
may not carry a Category D NLS listed in Sec. 151.47 in a cargo tank 
unless the ship has one of the following:
    (1) An NLS Certificate endorsed to allow the NLS to be carried in 
that cargo tank; or
    (2) A Certificate of Compliance issued under 46 CFR part 153 to 
allow the NLS to be carried in that cargo tank.
    (d) A foreign oceangoing ship in the navigable waters of the U.S. 
may not carry a Category D oil-like NLS listed

[[Page 262]]

in Sec. 151.49 in a cargo tank unless the ship has one of the following:
    (1) An Attachment for NLSs to the IOPP Certificate to allow the NLS 
to be carried in that cargo tank; or
    (2) An NLS Certificate endorsed to allow the NLS to be carried in 
the cargo tank; or
    (3) A Certificate of Compliance issued under 46 CFR part 153 to 
allow the NLS to be carried in the cargo tank.
    (e) A U.S. oceangoing ship authorized to carry certain dangerous 
cargoes in bulk under 46 CFR part 98 may not carry a Category D NLS 
listed in Sec. 151.47 or a Category D oil-like NLS listed in Sec. 151.49 
in a cargo tank unless the ship has a Certificate of Inspection endorsed 
to allow the NLS to be carried in that cargo tank, and if the ship 
engages in a foreign voyage, an NLS Certificate issued under 
Sec. 151.37(b) that allows the NLS to be carried in that cargo tank.



Sec. 151.37  Obtaining an Attachment for NLSs to the IOPP Certificate and obtaining an NLS Certificate.

    (a) The Coast Guard or a classification society authorized under 46 
CFR part 8 issues an Attachment for NLSs to the IOPP Certificate to an 
oceangoing ship to allow the carriage of a Category C oil-like NLS or a 
Category D oil-like NLS if the following requirements are met:
    (1) Except for ships that are not configured and are not equipped to 
ballast or wash cargo tanks while proceeding en route, the ship must 
have a Coast Guard approved monitor under Sec. 157.12 that is approved 
for the cargoes that are desired to be carried.
    (2) Except as required by paragraph (a)(3), ships of 150 meters or 
less in length carrying a Category C oil-like NLS must meet the damage 
stability requirements applying to a Type III hull as provided by 
Regulation 14 (c) of Annex II.
    (3) A U.S. self propelled ship of 150 meters or less in length on a 
coastwise voyage carrying a Category C oil-like NLS must meet the damage 
stability requirements applying to a Type III hull as provided by 46 CFR 
part 172, subpart F except Secs. 172.130 and 172.133.
    (b) Except as allowed in paragraph (c) of this section, the Coast 
Guard or a classification society authorized under 46 CFR part 8 issues 
an NLS Certificate endorsed to allow the oceangoing ship engaged in a 
foreign voyage to carry a Category D NLS listed in Sec. 151.47 if the 
ship has--
    (1) An approved Procedures and Arrangements Manual and Cargo Record 
Book, both meeting the requirements in 46 CFR 153.490; and
    (2) A residue discharge system meeting 46 CFR 153.470, unless the 
approved Procedures and Arrangements Manual limits discharge of Category 
D NLS residue to the alternative provided by 46 CFR 153.1128(b).
    (c) The Coast Guard or a classification society authorized under 46 
CFR part 8 issues a NLS Certificate with the statement that the vessel 
is prohibited from discharging NLS residues to the sea if the vessel 
does not meet 46 CFR 153.470 and 153.490 but meets 46 CFR subpart 98.31.

[CGD 75-124a, 48 FR 45709, Oct. 6, 1983, as amended by CGD 95-010, 62 FR 
67532, Dec. 24, 1997]



Sec. 151.39  Operating requirements: Category D NLS.

    The master or person in charge of an oceangoing ship that carries a 
Category D NLS listed in Sec. 151.47 shall ensure that the ship is 
operated as prescribed for the operation of oceangoing ships carrying 
Category D NLSs in 46 CFR 153.901, 153.906, 153.909, 153.1100, 153.1104, 
153.1106, 153.1124, 153.1126, and 153.1128.



Sec. 151.41  Operating requirements for oceangoing ships with IOPP Certificates: Category C and D Oil-like NLSs.

    The master or person in charge of an oceangoing ship certificated 
under Sec. 151.37(a) shall ensure that--
    (a) The carriage and discharge of the oil-like NLS meets 
Secs. 157.29, 157.31, 157.35, 157.37, 157.41, 157.45, 157.47, and 157.49 
of this chapter; and
    (b) The oil-like NLS is not discharged unless--
    (1) The monitor required by Sec. 151.37(a)(1) is set to detect the 
oil-like NLS; and
    (2) A statement that the monitor has been set to detect the oil-like 
NLS is entered in the Oil Record Book Part

[[Page 263]]

II(Cargo/Ballast Operations), required by Sec. 151.25.



Sec. 151.43  Control of discharge of NLS residues.

    (a) Unless the ship is a fixed or floating drilling rig or other 
platform operating under an National Pollution Discharge Elimination 
System (NPDES) permit, the master or person in charge of an oceangoing 
ship that cannot discharge NLS residue into the sea in accordance with 
46 CFR 153.1126 or 153.1128 shall ensure that the NLS residue is--
    (1) Retained on board; or
    (2) Discharged to a reception facility.
    (b) If Category A, B, or C NLS cargo or NLS residue is to be 
transfered at a port or terminal in the United States, the master or 
person in charge of each oceangoing ship carrying NLS cargo or NLS 
residue shall notify the port or terminal at least 24 hours before 
entering the port or terminal of--
    (1) The name of the ship;
    (2) The name, category and volume of NLS cargo to be unloaded;
    (3) If the cargo is a Category B or C high viscosity NLS cargo or 
solidifying NLS cargo listed in Table 1 of 46 CFR Part 153 with a 
reference to ``Sec. 153.908(a)'' or ``Sec. 153.908(b)'' in the ``Special 
Requirements'' column of that table, the time of day the ship is 
estimated to be ready to discharge NLS residue to a reception facility;
    (4) If the cargo is any Category B or C NLS cargo not under 
paragraph (b)(3) of this section, whether or not the ship meets the 
stripping requirements under 46 CFR 153.480, 153.481, or 153.482;
    (5) The name and the estimated volume of NLS in the NLS residue to 
be discharged;
    (6) The total volume of NLS residue to be discharged; and
    (7) The name and amount of any cleaning agents to be used during the 
prewash required by 46 CFR 153.1120.
    (c) The master or person in charge of a U.S. ship in a special area 
shall operate the ship in accordance with 46 CFR 153.903.
    Note: The master or person in charge of a ship carrying Category A 
NLS that is required to prewash tanks under the procedures in 46 CFR 
Part 153.1120 is required under 46 CFR 153.1101 to notify the COTP at 
least 24 hours before a prewash surveyor is needed.



Sec. 151.45  Reporting spills of NLS: Category A, B, C, and D.

    (a) The master or person in charge of an oceangoing ship involved in 
any incident described in paragraph (d) of this section, shall report 
the particulars of each incident without delay and to the fullest extent 
possible in accordance with the requirements of this section.
    (b) If a ship involved in an incident is abandoned, or if a report 
from that ship is incomplete or unobtainable, the owner, charterer, 
manager, or operator of that ship or their agents shall, to the fullest 
extent possible, assume the obligations placed upon the master or person 
in charge under the requirements of this section.
    (c) Each report must be made by radio or the fastest means available 
at the time the report is made to--
    (1) The appropriate officer or agency of the government of a country 
in whose waters the incident occurs; and
    (2) For incidents involving U.S. ships, the nearest Coast Guard 
Captain of the Port (COTP) or the National Response Center (NRC), toll 
free telephone number 800-424-8802, telex number 892427.
    (d) The report must be made whenever an incident involves a 
discharge or the probability of a discharge--
    (1) Other than as allowed by Secs. 151.30 through 151.49; or
    (2) Allowed by Secs. 151.30 through 151.49 because it--
    (i) Secures the safety of the ship or saves lives at sea; or
    (ii) It results from damage to the ship or its equipment.
    (e) Each report must contain--
    (1) The identity of the ship;
    (2) The name of the NLS discharged;
    (3) The time and date of the occurrence of the incident;
    (4) The geographic position of the ship when the incident occurred;
    (5) The wind and sea condition prevailing at the time of the 
incident;
    (6) Relevant details respecting the condition of the ship; and
    (7) A statement or estimate of the quantity of the NLS cargo or NLS 
residue discharged or likely to be discharged into the sea.

[[Page 264]]

    (f) Each person who is obligated under the provisions of this 
section to send a report shall--
    (1) Supplement the initial report, as necessary, with information 
concerning further developments; and
    (2) Comply as fully as possible with requests from affected 
countries for additional information concerning the incident.
    (g) A report made under this section satisfies the reporting 
requirement of Sec. 153.203 of this chapter.

[CGD 85-010, 52 FR 7759, Mar. 12, 1987, as amended by CGD 88-002A, 55 FR 
18582, May 2, 1990]



Sec. 151.47  Category D NLSs other than oil-like Category D NLSs that may be carried under this part.

    The following is a list of Category D NLSs other than Oil-like 
Category D NLSs that the Coast Guard allows to be carried:

Acetophenone
Acrylonitrile-Styrene copolymer dispersion in Polyether polyol
iso- & cyclo-Alkane (C10-C11)
Alkenyl(C11+)amine
Alkyl(C8+)amine, Alkenyl (C12+) acid ester mixture
Alkyl dithiothiadiazole (C6-C24)
Alkyl ester copolymer (C4-C20)
Alkyl(C8-C40) phenol sulfide
Aluminum sulfate solution
Ammonium hydrogen phosphate solution
Ammonium nitrate solution (45% or less)
Ammonium nitrate, Urea solution (2% or less NH 3)
Ammonium phosphate, Urea solution
Ammonium polyphosphate solution
Ammonium sulfate solution (20% or less)
Amyl alcohol (iso-, n-, sec-, primary)
Animal and Fish oils, n.o.s. (see also Oil, edible)
Animal and Fish acid oils and distillates, n.o.s.
Aryl polyolefin (C11-C50)
Brake fluid base mixtures
Butylene glycol
iso-Butyl formate
n-Butyl formate
gamma-Butyrolactone
Calcium hydroxide slurry
Calcium long chain alkyl sulfonate (C11-C50)
Calcium long chain alkyl(C11-C40) phenate
Calcium long chain alkyl phenate sulfide (C8-C40)
Caprolactam solutions
Chlorine chloride solution
Citric acid (70% or less)
Coconut oil fatty acid methyl ester
Copper salt of long chain (C17+) alkanoic acid
Cyclohexanol
Decahydronaphthalene
Diacetone alcohol
Dialkyl(C8-C9) diphenylamines
Dialkyl(C7-C13) phthalates
Diethylene glycol
Diethylene glycol butyl ether acetate, see Poly(2-8) alkylene glycol 
monoalkyl(C1-C6) ether acetate
Diethylene glycol dibutyl ether
Diethylene glycol ethyl ether, see Poly(2-8)alkylene glycol 
monoalkyl(C1-C6) ether
Diethylene glycol ethyl ether acetate, see Poly(2-8)alkylene glycol 
monoalkyl(C1-C6) ether acetate
Diethylene glycol methyl ether acetate, see Poly(2-8)alkylene glycol 
monoalkyl(C1-C6) ether acetate
Diethylene glycol phenyl ether
Diethylene glycol phthalate
Di-(2-ethylhexyl)adipate
1,4-Dihydro-9,10-dihydroxy anthracene, disodium salt solution
Diisobutyl ketone
Diisodecyl phthalate, see Dialkyl(C7-C13) phthalates
Diisononyl adipate
Diisononyl phthalate, see Dialkyl(C7-C13) phthalates
2,2-Dimethylpropane-1,3-diol
Dinonyl phthalate, see Dialkyl(C7-C13) phthalates
Dipropylene glycol dibenzoate
Dipropylene glycol methyl ether, see Poly(2-8)alkylene glycol 
monoalkyl(C1-C6) ether
Ditridecyl phthalate, see Dialkyl(C7-C13) phthalates
Diundecyl phthalate, see Dialkyl(C7-C13) phthalates
Dodecenylsuccinic acid, dipotassium salt solution
Ethoxylated long chain (C16+) alkyloxyalkanamine
Ethoxy triglycol (crude)
2-Ethyl-2-(hydroxymethyl)propane-1,3-diol, C8-C10 ester
Ethyl acetate
Ethyl acetoacetate
Ethyl butanol
Ethylenediaminetetraacetic acid, tetrasodium salt solution
Ethylene glycol
Ethylene glycol acetate
Ethylene glycol dibutyl ether
Ethylene glycol methyl butyl ether
Ethylene glycol phenyl ether
Ethylene glycol phenyl ether, Diethylene glycol phenyl ether mixture
2-Ethylhexanoic acid, see Octanoic acid
Ethyl propionate
Ferric hydroxyethylethylene diamine triacetic acid, trisodium salt 
solution
Formamide
Glycerine (83%), Dioxanedimethanol (17%) mixture

[[Page 265]]

Glycerol monooleate
Glyoxal solution (40% or less)
Glyphosate solution (not containing surfactant)
Heptanoic acid
Hexamethylenediamine adipate
Hexamethylenetetramine solutions
Hexanoic acid
Hexanol
N-(Hydroxyethyl)ethylenediamine triacetic acid, trisodium salt solution
Isophorone
Lactic acid
Latex (ammonia (1% or less) inhibited)
Long chain alkaryl sulfonic acid (C16-C60)
Magnesium long chain alkaryl sulfonate (C11-C50)
Magnesium long chain alkyl phenate sulfide (C8-C20)
3-Methoxybutyl acetate
Methyl acetoacetate
Methyl alcohol
Methyl amyl ketone
Methyl butenol
Methyl butyl ketone
Methyl isobutyl ketone
Methyl tert-butyl ether
Methyl butynol
Methyl propyl ketone
N-Methyl-2-pyrrolidone
Myrcene
Naphthalene sulfonic acid-formaldehyde copolymer, sodium salt solution
Nonanoic acid (all isomers)
Nonanoic, Tridecanoic acid mixture
Nonyl methacrylate
Noxious Liquid Substance, (17) n.o.s.
Octadecenoamide solution
Octanoic acid
    Oil, edible:
    Babassu
    Beechnut
    Castor
    Cocoa butter
    Coconut
    Cod liver
    Corn
    Cottonseed
    Fish
    Groundnut
    Hazelnut
    Nutmeg butter
    Olive
    Palm
    Palm kernel
    Peanut
    Poppy
    Raisin seed
    Rapeseed
    Rice bran
    Safflower
    Salad
    Sesame
    Soya bean
    Sunflower seed
    Tucum
    Vegetable
    Walnut
Oil, misc:
    Animal, n.o.s.
    Coconut oil, esterified
    Coconut oil, fatty acid methyl ester
    Lanolin
    Linseed
    Neatsfoot
    Oiticica
    Palm oil, fatty acid methyl ester
    Palm oil, methyl ester
    Perilla
    Pilchard
    Soya bean (epoxidized)
    Sperm
    Tung
    Whale
Olefin/Alkyl ester copolymer (molecular weight 2000+)
Oleic acid
Palm kernel acid oil, methyl ester
Palm stearin
Pentaethylenehexamine
Pentanoic acid
Poly(2-8)alkylene glycol monoalkyl(C1-C6) ether, Including:
    Diethylene glycol butyl ether
    Diethylene glycol ethyl ether
    Diethylene glycol n-hexyl ether
    Diethylene glycol methyl ether
    Diethylene glycol n-propyl ether
    Dipropylene glycol butyl ether
    Dipropylene glycol methyl ether
    Polypropylene glycol methyl ether
    Triethylene glycol butyl ether
    Triethylene glycol ethyl ether
    Triethylene glycol methyl ether
    Tripropylene glycol methyl ether
Poly(2-8)alkylene glycol monoalkyl(C1-C6) ether acetate, Including:
    Diethylene glycol butyl ether acetate
    Diethylene glycol ethyl ether acetate
    Diethylene glycol methyl ether acetate
Polyalkylene glycols, Polyalkylene glycol monoalkyl ethers mixtures
Polypropylene glycol methyl ether, see Poly(2-8)alkylene glycol 
monoalkyl(C1-C6) ether
Polyalkyl(C10-C20) methacrylate
Polybutenyl succinimide
Polyether (molecular weight 2000+)
Polyethylene glycol monoalkyl ether
Polyolefin amide alkeneamine (C17+)
Polyolefin amide alkeneamine (C28+)
Polyolefin amide alkeneamine borate (C28-C250)
Polyolefin amide alkeneamine polyol
Polyolefin anhydride
Polyolefin ester (C28-C250)
Polyolefin phenolic amine (C28-C250)
Polyolefin phosphorosulfide, barium derivative
Polypropylene glycol
n-Propyl acetate
Propylene glycol monoalkyl ether, Including:
    n-Propoxypropanol

[[Page 266]]

    Propylene glycol n-butyl ether
    Propylene glycol ethyl ether
    Propylene glycol methyl ether
Propylene glycol ethyl ether, see Propylene glycol monoalkyl ether
Propylene glycol methyl ether, see Propylene glycol monoalkyl ether
Propylene glycol methyl ether acetate
Propylene glycol phenyl ether
Sodium acetate solution
Sodium benzoate solution
Sodium carbonate solution
Soybean oil (epoxidized)
Sulfohydrocarbon (C3-C88)
Sulfonated polyacrylate solution
Sulfolane
Sulfurized fat (C14-C20)
Sulfurized polyolefinamide alkene(C28-C250)amine
Tallow
Tallow fatty acid
Tetrasodium salt of Ethylenediaminetetraacetic acid solution
Triethylene glycol butyl ether, see Poly(2-8)alkylene glycol 
monoalkyl(C1-C6) ether
Triethylene glycol ethyl ether, see Poly(2-8)alkylene glycol 
monoalkyl(C1-C6) ether
Triethylene glycol methyl ether, see Poly(2-8)alkylene glycol 
monoalkyl(C1-C6) ether
Triethyl phosphate
Trimethylol propane polyethoxylate
Tripropylene glycol methyl ether, see Poly(2-8)alkylene glycol 
monoalkyl(C1-C6) ether
Trisodium salt of N-(Hydroxyethyl)-ethylenediamine triacetic acid 
solution
Urea, Ammonium mono- and di-hydrogen phosphate, Potassium chloride 
solution
Urea, Ammonium nitrate solution (2% or less NH 3)
Urea, Ammonium phosphate solution
Vegetable oils, n.o.s. (see also Oil, edible)
Vegetable acid oils and distillates, n.o.s.
Waxes:
    Candelilla
    Carnauba

[CGD 85-010, 52 FR 7759, Mar. 12, 1987, as amended by CGD 88-100a, 54 FR 
40000, Sept. 29, 1989; 55 FR 17269, Apr. 24, 1990; CGD 92-100a, 59 FR 
16986, Apr. 11, 1994; CGD 94-901, 59 FR 45147, Aug. 31, 1994; CGD 95-
901, 60 FR 34039, June 29, 1995; USCG 2000-7079, 65 FR 67155, Nov. 8, 
2000]



Sec. 151.49  Category C and D Oil-like NLSs allowed for carriage.

    The following is a list of Category C and D Oil-like NLSs that the 
Coast Guard allows to be carried:
    (a) The following Category C oil-like NLSs may be carried:

Aviation alkylates
Cycloheptane
Cyclohexane
Cyclopentane
p-Cymene
Ethylcyclohexane
Heptane (all isomers)
Heptene (all isomers)
Hexane (all isomers)
Hexene (all isomers)
Isopropylcyclohexane
iso-Propylcyclohexane
Methyl cyclohexane
2-Methyl-1-pentene, see Hexene (all isomers)
Nonane (all isomers)
Octane (all isomers)
Olefin mixtures (C5-C7)
Pentane (all isomers)
Pentene (all isomers)
1-Phenyl-1-xylylethane
Propylene dimer
Tetrahydronaphthalene
Toluene
Xylenes
    (b) [Reserved]

[CGD 85-010, 52 FR 7759, Mar. 12, 1987, as amended by CGD 88-100a, 54 FR 
40001, Sept. 29, 1989; 55 FR 17269, Apr. 24, 1990; CGD 92-100a, 59 FR 
16987, Apr. 11, 1994; CGD 94-901, 59 FR 45148, Aug. 31, 1994; CGD 95-
901, 60 FR 34039, June 29, 1995; USCG 2000-7079, 65 FR 67157, Nov. 8, 
2000]

                      Garbage Pollution and Sewage

    Source: Sections 151.51--151.77 and Appendix A appear by CGD 88-002, 
54 FR 18405, Apr. 28, 1989, unless otherwise noted.



Sec. 151.51  Applicability.

    (a) Except as provided by paragraph (b) of this section, 
Secs. 151.51 through 151.77 apply to--
    (1) Each ship that is of United States registry or nationality, or 
one operated under the authority of the United States, including 
recreational vessels defined in 46 U.S.C. 2101(25) and uninspected 
vessels defined in 46 U.S.C. 2101(43), wherever located; and
    (2) Each ship, other than a ship referred to in paragraph (a)(1) of 
this section, while in the navigable waters or the Exclusive Economic 
Zone of the United States.
    (b) Sections 151.51 through 151.77 do not apply to--
    (1) A warship, naval auxiliary, or other ship owned or operated by 
the United States when engaged in noncommercial service; or
    (2) Any other ship specifically excluded by MARPOL 73/78.
    Note: The Exclusive Economic Zone extends from the baseline of the 
territorial sea

[[Page 267]]

seaward 200 miles as defined in the Presidential Proclamation 5030 of 
March 10, 1983 (3 CFR, 1983 Comp. p. 22).

[CGD 88-002, 54 FR 18405, Apr. 28, 1989, as amended by CGD 88-002A, 55 
FR 18582, May 2, 1990]



Sec. 151.53  Special areas for Annex V of MARPOL 73/78.

    (a) For the purposes of Secs. 151.51 through 151.77, the special 
areas are the Mediterranean Sea area, the Baltic Sea area, the Black Sea 
area, the Red Sea area, the Gulf areas, the North Sea area, the 
Antarctic area, and the Wider Caribbean region, including the Gulf of 
Mexico and the Caribbean Sea which are described in Sec. 151.06. The 
discharge restrictions are effective in the Baltic Sea, the North Sea, 
and the Antarctic area.
    (b) In accordance with paragraph (4)(b) of Regulation 5 of Annex V 
of MARPOL 73/78, the discharge restrictions in Sec. 151.71 for special 
areas will enter into effect when each party to MARPOL 73/78 whose 
coastline borders the special area has certified that reception 
facilities are available and the IMO has established an effective date 
for each special area. Notice of the effective dates for the discharge 
requirements in each special area will be published in the Federal 
Register and reflected in this section.

[CGD 94-056, 60 FR 43378, Aug. 21, 1995]



Sec. 151.55  Recordkeeping requirements.

    (a) This section applies to the following:
    (1) Each manned oceangoing ship (other than a fixed or floating 
platform) of 12.2 meters (approximately 40 feet) or more in length that 
is engaged in commerce and that is documented under the laws of the 
United States or numbered by a State.
    (2) Each manned fixed or floating platform subject to the 
jurisdiction of the United States.
    (b) The master or person in charge of each ship under paragraph 
(a)(1) or (a)(2) of this section shall ensure that a written record is 
maintained on the ship of each of the following garbage discharge or 
disposal operations:
    (1) Discharge overboard.
    (2) Discharge to another ship.
    (3) Discharge to a reception facility.
    (4) Incineration on the ship.
    (c) The record under paragraph (b) of this section must contain the 
following information on each discharge or disposal operation:
    (1) The type of operation as described under paragraphs (b)(1) 
through (b)(4) of this section.
    (2) The date and time of the operation.
    (3) If the operation was conducted at a port, the name of the port.
    (4) If the operation was not conducted at a port, the latitude and 
longitude of the location where the operation was conducted and the 
estimated distance of that location from shore. If the operation 
involved off-loading to another ship, the identity of the receiving ship 
by name and official number.
    (5) The amount of garbage involved, described by volume in cubic 
meters.
    (6) For discharges into the sea, a description of the contents of 
the garbage, described by the following categories:
    (i) Plastic material.
    (ii) Floating dunnage, lining, or packing material.
    (iii) Ground paper products, rags, glass, metal, bottles, crockery, 
or other similar garbage.
    (iv) Unground paper products, rags, glass, metal, bottles, crockery, 
or other similar garbage.
    (v) Victual wastes.
    (vi) Incinerated ash.
    (vii) Incinerated plastic residue.
    (d) The record under paragraph (b) of this section must be prepared 
at the time of the operation, certified as correct by the master or 
person in charge of the ship, maintained on the ship for two years 
following the operation, and made available for inspection by the Coast 
Guard.

[CGD 92-71, 59 FR 18703, Apr. 19, 1994]



Sec. 151.57  Waste management plans.

    (a) This section applies to the following:
    (1) Each manned oceangoing ship (other than a fixed or floating 
platform) of 40 feet or more in length that is documented under the laws 
of the United States or numbered by a state and that either is engaged 
in commerce or is equipped with a galley and berthing.

[[Page 268]]

    (2) Each manned fixed or floating platform that is--
    (i) Documented under the laws of the United States; or
    (ii) Operating under the authority of the United States, including, 
but not limited to, a lease or permit issued by an agency of the United 
States.
    (b) The master or person in charge of a ship under paragraphs (a)(1) 
and (a)(2) of this section shall ensure that the ship is not operated 
unless a waste management plan meeting paragraph (c) of this section is 
on the ship and that each person handling garbage follows the plan.
    (c) Each waste management plan under paragraph (b) of this section 
must be in writing and--
    (1) Provide for the discharge of garbage by means that meet Annex V 
of MARPOL 73/78, the Act, and Secs. 151.51 through 151.77;
    (2) Describe procedures for collecting, processing, storing, and 
discharging garbage; and
    (3) Designate the person who is in charge of carrying out the plan.

(Approved by the Office of Management and Budget under control number 
2115-0120)

[CGD 88-002A, 55 FR 18582, May 2, 1990]



Sec. 151.59  Placards.

    (a) This section applies to the following:
    (1) Each manned U.S. ship (other than a fixed or floating platform) 
that is 26 feet or more in length.
    (2) Each manned floating platform in transit that is--
    (i) Documented under the laws of the United States; or
    (ii) Operating under the authority of the United States, including, 
but not limited to, a lease or permit issued by an agency of the United 
States.
    (b) The master or person in charge of each ship under paragraph 
(a)(1) or (a)(2) of this section shall ensure that one or more placards 
meeting the requirements of this section are displayed in prominent 
locations and in sufficient numbers so that they can be read by the crew 
and passengers. These locations must be readily accessible to the 
intended reader and may include embarkation points, food service 
facilities, garbage handling spaces, and common spaces on deck. If the 
Captain of the Port determines that the number or location of the 
placards is insufficient to adequately inform crew and passengers, the 
Captain of the Port may require additional placards and may specify 
their locations.
    (c) Each placard must be at least nine inches wide by four inches 
high, made of a durable material, and lettered with letters at least \1/
8\ inch high.
    (d) Except as under paragraph (e) of this section, the placard must 
notify the reader of the following:
    (1) The discharge of plastic or garbage mixed with plastic into any 
waters is prohibited.
    (2) The discharge of all garbage is prohibited in the navigable 
waters of the United States and, in all other waters, within three 
nautical miles of the nearest land.
    (3) The discharge of dunnage, lining, and packing materials that 
float is prohibited within 25 nautical miles of the nearest land.
    (4) Other unground garbage may be discharged beyond 12 nautical 
miles from the nearest land.
    (5) Other garbage ground to less than one inch may be discharged 
beyond three nautical miles of the nearest land.
    (6) A person who violates the above requirements is liable for a 
civil penalty for each violation, and the criminal penalties of a class 
D felony. Placards installed on vessels before May 7, 1997, need not be 
replaced; and existing stocks of placards, containing previous language, 
may be used. When language on a placard is inconsistent with the 
language in the Code of Federal Regulations (CFR) due to use of a 
placard containing previous language penalty amounts contained in the 
CFR are controlling.
    (7) Regional, State, and local restrictions on garbage discharges 
also may apply.
    (e) For ships while operating on the Great Lakes or their connecting 
or tributary waters, the placard must--
    (1) Notify the reader of the information in paragraph (d) of this 
section; or
    (2) Notify the reader of the following:
    (i) The discharge of all garbage into the Great Lakes or their 
connecting or tributary waters is prohibited.

[[Page 269]]

    (ii) A person who violates the above requirements is liable for a 
civil penalty for each violation, and the criminal penalties of a class 
D felony. Placards installed on vessels before May 7, 1997, need not be 
replaced; and existing stocks of placards, containing previous language, 
may be used. When language on a placard is inconsistent with the 
language in the Code of Federal Regulations (CFR) due to use of a 
placard containing previous language, penalty amounts contained in the 
CFR are controlling.

[CGD 88-002A, 56 FR 8880, Mar. 1, 1991, as amended by CGD 96-052, 62 FR 
16703, Apr. 8, 1997; 62 FR 31340, June 9, 1997]



Sec. 151.61  Inspection for compliance and enforcement.

    While within the navigable waters of the United States or the 
Exclusive Economic Zone, a ship is subject to inspection by the Coast 
Guard or other authorized federal agency to determine if--
    (a) The ship has been operating in accordance with these regulations 
and has not discharged plastics or other garbage in violation of the 
provisions of the Act or Annex V of MARPOL 73/78;
    (b) Grinders or comminuters used for the discharge of garbage 
between 3 and 12 nautical miles from nearest land are capable of 
reducing the size of garbage so that it will pass through a screen with 
openings no greater than 25 millimeters (one inch);
    (c) Information for recordkeeping requirements, when required under 
Sec. 151.55, is properly and accurately logged;
    (d) A waste management plan, when required under Sec. 151.57, is on 
board and that the condition of the ship, equipment and operational 
procedures of the ship meet the plan; and
    (e) Placards, when required by Sec. 151.59, are posted on board.

[CGD 88-002, 54 FR 18405, Apr. 28, 1989, as amended by CGD 88-002A, 55 
FR 18583, May 2, 1990]



Sec. 151.63  Shipboard control of garbage.

    (a) The master, operator, or person who is in charge of a ship shall 
ensure that all garbage is discharged ashore or in accordance with 
Secs. 151.66-151.73.
    (b) The following factors, among others, may be considered by 
enforcement personnel in evaluating compliance with Secs. 151.51 through 
151.77:
    (1) Records, including receipts, of garbage discharges at port 
reception facilities.
    (2) Records under Sec. 151.55 or log entries of garbage discharges.
    (3) The presence and operability of equipment to treat ship-
generated garbage, including, but not limited to, incinerators, 
grinders, or comminuters.
    (4) The presence of and adherence to a written shipboard waste 
management plan.
    (5) The absence of plastics in ship stores.
    (6) Ongoing educational programs to train shipboard personnel of 
garbage handling procedures and the need for these.
    (7) The presence of shipboard spaces used for collecting, 
processing, storing and discharging ship-generated garbage.
    (c) The master, operator, or person who is in charge of a ship shall 
ensure that if garbage is transported from a ship by shipboard 
personnel, it is properly deposited into a port or terminal's reception 
facility.

[CGD 88-002, 54 FR 18405, Apr. 28, 1989, as amended by CGD 88-002A, 55 
FR 18583, May 2, 1990; CGD 92-71, 59 FR 18703, Apr. 19, 1994]



Sec. 151.65  Reporting requirements.

    The master or person who is in charge of each oceangoing ship shall 
notify the port or terminal, at least 24 hours before entering the port 
or terminal, of the name of the ship and the estimated volume of garbage 
requiring disposal, if any of the following types of garbage are to be 
discharged:
    (a) Garbage regulated by the Animal and Plant Health Inspection 
Service (APHIS) of the U.S. Department of Agriculture under 7 CFR 
330.400 or 9 CFR 94.5.
    (b) Medical wastes.
    (c) Hazardous wastes defined in 40 CFR 261.3.

[[Page 270]]



Sec. 151.66  Operating requirements: Discharge of garbage in the navigable waters prohibited.

    No person on board any ship may discharge garbage into the navigable 
waters of the United States.
    Note: The navigable waters are defined in Sec. 2.05-25 of this 
chapter.

[CGD 88-002, 54 FR 18405, Apr. 28, 1989, as amended by CGD 88-002A, 55 
FR 18583, May 2, 1990]



Sec. 151.67  Operating requirements: Discharge of plastic prohibited.

    No person on board any ship may discharge into the sea, or into the 
navigable waters of the United States, plastic or garbage mixed with 
plastic, including, but not limited to, synthetic ropes, synthetic 
fishing nets, and plastic garbage bags. All garbage containing plastics 
requiring disposal must be discharged ashore or incinerated.

[CGD 88-002, 54 FR 18405, Apr. 28, 1989, as amended by CGD 88-002A, 55 
FR 18583, May 2, 1990]



Sec. 151.69  Operating requirements: Discharge of garbage outside special areas.

    (a) When operating outside of a special area specified in 
Sec. 151.53, no person may discharge, into the sea, garbage that is 
separated from plastic, if the distance from nearest land is less than--
    (1) 25 nautical miles for dunnage, lining and packing materials that 
float; or
    (2) 12 nautical miles for victual wastes and all other garbage 
including paper products, rags, glass, metal, bottles, crockery and 
similar refuse, except that, such garbage may be discharged outside of 
three nautical miles from nearest land after it has been passed through 
a grinder or comminuter specified in Sec. 151.75.
    (b) Mixtures of garbage having different discharge requirements 
under paragraph (a)(1) or (a)(2) of this section must be--
    (1) Retained on board for later disposal ashore; or
    (2) Discharged in accordance with the more stringent requirement 
prescribed by paragraph (a)(1) or (a)(2) of this section.



Sec. 151.71  Operating requirements: Discharge of garbage within special areas.

    (a) When a ship is located in a special area referenced in 
Sec. 151.53 of this part, no person may discharge garbage from the ship, 
except as allowed in paragraph (b) or (c) in this section.
    (b) Except as provided in paragraph (c) of this section, disposal 
into the sea of victual waste must be made as far as practicable from 
land but, in any case, not less than 12 nautical miles from the nearest 
land.
    (c) Disposal into the Wider Caribbean region of victual wastes which 
have been passed through a comminuter or grinder shall be made as far as 
practicable from land but, in any case, not less than 3 nautical miles 
from the nearest land. Such comminuted or ground food wastes shall be 
capable of passing through a screen with opening no greater than 25 
millimeters.

[CGD 94-056, 60 FR 43378, Aug. 21, 1995]



Sec. 151.73  Operating requirements: Discharge of garbage from fixed or floating platforms.

    (a) Except as allowed in paragraph (b) of this section, no person 
may discharge garbage from--
    (1) A fixed or floating platform engaged in the exploration, 
exploitation or associated offshore processing of seabed mineral 
resources; or
    (2) Any ship within 500 meters (1650 feet) of such platforms.
    (b) Victual waste may be discharged into the sea from a ship or 
fixed or floating platform regulated by paragraph (a) of this section 
if--
    (1) It passes through a comminuter or grinder meeting Sec. 151.75; 
and
    (2) That ship or fixed or floating platform is beyond 12 nautical 
miles from nearest land.



Sec. 151.75  Grinders or comminuters.

    Each grinder or comminuter used to discharge garbage in accordance 
with Sec. 151.69(a)(2) or Sec. 151.73(b)(1), must be capable of 
processing garbage so that it passes through a screen with openings no 
greater than 25 millimeters (one inch).

[[Page 271]]



Sec. 151.77  Exceptions for emergencies.

    Sections 151.67, 151.69 and 151.71 do not apply to the following:
    (a) Discharges of garbage from a ship for the purpose of securing 
the safety of the ship and those on board or saving life at sea.
    (b) The escape of garbage resulting from damage to a ship or its 
equipment, if all reasonable precautions have been taken before and 
after the occurrence of the damage, to prevent or minimize the escape.
    (c) The accidental loss of synthetic fishing nets, provided all 
reasonable precautions have been taken to prevent such loss.

[CGD 88-002, 54 FR 18405, Apr. 28, 1989, as amended by CGD 88-002A, 55 
FR 18583, May 2, 1990; CGD 90-054, 56 FR 19578, Apr. 29, 1991]



Sec. 151.79  Operating requirements: Discharge of sewage within Antarctica.

    (a) A vessel certified to carry more than 10 persons must not 
discharge untreated sewage into the sea within 12 nautical miles of 
Antarctic land or ice shelves; beyond such distance, sewage stored in a 
holding tank must not be discharged instantaneously but at a moderate 
rate and, where practicable, while the ship is en route at a speed of no 
less than 4 knots. For purposes of this section, ``sewage'' means:
    (1) Drainage and other wastes from any form of toilets, urinals, and 
WC scuppers;
    (2) Drainage from medical premises (dispensary, sick bay, etc.) via 
wash basins, wash tubs, and scuppers located in such premises;
    (3) Drainage from spaces containing living animals; or
    (4) Other waste waters when mixed with the drainages defined above.
    (b) Paragraph (a) of this section does not apply to a warship, naval 
auxiliary, or other ship owned or operated by the United States and used 
only in government non-commercial service.
    (c) Paragraph (a) of this section does not apply in cases of an 
emergency relating to the safety of a ship and those on board or saving 
life at sea. Notice of an activity, otherwise prohibited under paragraph 
(a) of this section, undertaken in case of an emergency shall be 
reported immediately to the National Response Center (NRC) toll free 
number 800-424-8802.

[CGD 97-015, 62 FR 18045, Apr. 14, 1997]
         Appendix A to Secs. 151.51 through 151.77--Summary of 
                    Garbage Discharge Restrictions

------------------------------------------------------------------------
                       All Vessels Except Fixed or
                    Floating Platforms and Associated       Fixed or
                                 Vessels                    Floating
   Garbage Type   -------------------------------------    Platforms &
                    Outside special   In special areas   Assoc. Vessels
                     areas (33 CFR       \2\ (33 CFR       \3\ (33 CFR
                        151.69)            151.71)           151.73)
------------------------------------------------------------------------
Plastics--include  Disposal           Disposal          Disposal
 s synthetic        prohibited         prohibited        prohibited
 ropes and         (33 CFR 151.67).   (33 CFR 151.67).  (33 CFR 151.67).
 fishing nets and
 plastic bags.
Dunnage, lining    Disposal           Disposal          Disposal
 and packing        prohibited less    prohibited        prohibited.
 materials that     than 25 miles     (33 CFR 151.71).
 float.             from nearest
                    land and in the
                    navigable waters
                    of the U.S.
Paper, rags,       Disposal           Disposal          Disposal
 glass, metal       prohibited less    prohibited        prohibited.
 bottles,           than 12 miles     (33 CFR 151.71).
 crockery and       from nearest
 similar refuse.    land and in the
                    navigable waters
                    of the U.S.
Paper, rags,       Disposal           Disposal          Disposal
 glass, etc.        prohibited less    prohibited        prohibited.
 comminuted or      than 3 miles      (33 CFR 151.71).
 ground.\1\         from nearest
                    land and in the
                    navigable waters
                    of the U.S.
Victual waste not  Disposal           Disposal          Disposal
 comminuted or      prohibited less    prohibited less   prohibited.
 ground.            than 12 miles      than 12 miles
                    from nearest       from nearest
                    land and in the    land.
                    navigable waters
                    of the U.S.
Victual waste      Disposal           Disposal          Disposal
 comminuted or      prohibited less    prohibited less   prohibited less
 ground.\1\         than 3 miles       than 12 miles     than 12 miles
                    from nearest       from nearest      from nearest
                    land and in the    land.             land and in the
                    navigable waters                     navigable
                    of the U.S.                          waters of the
                                                         U.S.

[[Page 272]]

 
Mixed garbage         See Note 4.        See Note 4.       See Note 4.
 types.\4\
------------------------------------------------------------------------
Note 1: Comminuted or ground garbage must be able to pass through a
  screen with a mesh size no larger than 25 mm. (1 inch) (33 CFR 151.75)
Note 2: Special areas under Annex V are the Mediterranean, Baltic,
  Black, Red, and North Seas areas and the Gulfs area. (33 CFR 151.53)
Note 3: Fixed or floating platforms and associated vessels includes all
  fixed or floating platforms engaged in exploration, exploitation or
  associated offshore processing of seabed mineral resources, and all
  ships within 500m of such platforms.
Note 4: When garbage is mixed with other harmful substances having
  different disposal or discharge requirements, the more stringent
  disposal restrictions shall apply.

[CGD 88-002, 54 FR 18405, Apr. 28, 1989, as amended by CGD 90-054, 56 FR 
19578, Apr. 29, 1991]



       Subpart B--Transportation of Municipal and Commercial Waste

    Authority: 33 U.S.C. 2602; 49 CFR 1.46.

    Source: CGD 89-014, 54 FR 22548, May 24, 1989, unless otherwise 
noted.



Sec. 151.1000  Purpose.

    The purpose of this subpart is to implement the permit provisions of 
the Shore Protection Act of 1988, (33 U.S.C. 2601 et seq.).

[CGD 89-014, 54 FR 22548, May 24, 1989, as amended by USCG-2001-9286, 66 
FR 33641, June 25, 2001]



Sec. 151.1003  Applicability.

    (a) Except as provided by paragraph (b) of this section, this 
subpart applies to each vessel whose purpose is the transportation of 
municipal or commercial waste in coastal waters.
    (b) This subpart does not apply to public vessels.



Sec. 151.1006  Definitions.

    As used in this subpart--
    Coastal waters means--
    (1) The territorial sea of the United States;
    (2) The Great Lakes and their connecting waters;
    (3) The marine and estuarine waters of the United States up to the 
head of tidal influence; and
    (4) The Exclusive Economic Zone as established by Presidential 
Proclamation Number 5030, dated March 10, 1983.
    Note: The Exclusive Economic Zone extends from the baseline of the 
territorial sea of the United States seaward 200 miles.
    Municipal and commercial waste means solid waste as defined in 
section 1004 of the Solid Waste Disposal Act (42 U.S.C. 6903) except-
    (1) Solid waste identified and listed under section 3001 of the 
Solid Waste Disposal Act (42 U.S.C. 6921);
    (2) Waste generated by a vessel during normal operations;
    (3) Debris solely from construction activities;
    (4) Sewage sludge subject to regulation under title I of the Marine 
Protection, Research, and Sanctuaries Act of 1972 (33 U.S.C. 1401 et 
seq.); and
    (5) Dredge or fill material subject to regulation under title I of 
the Marine Protection, Research and Sanctuaries Act of 1972 (33 U.S.C. 
1401 et seq.), the Federal Water Pollution Control Act (33 U.S.C. 1251 
et seq.), or the Rivers and Harbors Appropriation Act of 1899 (33 U.S.C. 
401 et seq.).
    Public vessel means a vessel that--
    (1) Is owned, or demise chartered, and operated by the United States 
Government or a government of a foreign country; and
    (2) Is not engaged in commercial service.
    Vessel means every description of watercraft or other artifical 
contrivance used, or capable of being used, as a means of transportation 
on water.

[CGD 89-014, 54 FR 22548, May 24, 1989, as amended by USCG-2001-9286, 66 
FR 33641, June 25, 2001]



Sec. 151.1009  Transportation of municipal or commercial waste.

    A vessel may not transport municipal or commercial waste in coastal 
waters without--
    (a) A conditional permit to transport municpal or commercial waste 
issued under this subpart; and

[[Page 273]]

    (b) Displaying a number in accordance with Sec. 151.1024.

[CGD 89-014, 54 FR 22548, May 24, 1989; CGD 89-014, 54 FR 24078, June 5, 
1989]



Sec. 151.1012  Applying for a conditional permit.

    (a) The owner or operator of each vessel to which this subpart 
applies shall apply by letter for a conditional permit required by 
Sec. 151.1009. Applications must be submitted to Commandant (G-MOC), 
U.S. Coast Guard Headquarters, 2100 Second Street SW., Washington, DC 
20593-0001, Attn: Shore Protection Act Desk and include the following:
    (1) The name, address, and telephone number of the vessel owner and 
operator.
    (2) The vessel's name and official number, if any.
    (3) The vessel's area of operation.
    (4) The vessel's transport capacity.
    (5) A history of the types of cargo transported by the vessel during 
the previous year, including identifying the type of municipal or 
commercial waste transported as--
    (i) Municipal waste;
    (ii) Commercial waste;
    (iii) Medical waste; or
    (iv) Waste of another character.
    (6) The types of cargo to be transported by the vessel during the 
effective period of the conditional permit, including identifying the 
type of municipal or commercial waste as it is identified in paragraphs 
(a)(5)(i) through (iv) of this section.
    (7) A statement of whether the application for a conditional permit 
is for a single voyage, a short term operation or a continuing 
operation. If the application is for a single voyage or a short term 
operation, the statement must include the duration of the voyage or 
operation.
    (8) An acknowledgment that certifies as to the truthfulness and 
accuracy of the information provided.
    (b) The owner or operator under paragraph (a) of this section shall 
provide any additional information the Coast Guard may require.

[CGD 89-014, 54 FR 22548, May 24, 1989, as amended by CGD 96-026, 61 FR 
33665, June 28, 1996]



Sec. 151.1015  Issuing or denying the issuance of a conditional permit.

    (a) After reviewing the application made under Sec. 151.1012, the 
Coast Guard either--
    (1) Issues the conditional permit for a vessel under this section; 
or
    (2) Denies the issuance of the conditional permit to the vessel in 
accordance with paragraph (c) of this section. On denying the issuance 
of the permit, the Coast Guard notifies the applicant of the--
    (i) Denial and the reason for the denial; and
    (ii) Procedures under Sec. 151.1021 for appealing the denial.
    (b) Each conditional permit issued under this section is effective--
    (1) On the date it is issued; and
    (2) Until the expiration date stated on the conditional permit 
unless it is--
    (i) Withdrawn under Sec. 151.1018;
    (ii) Terminated because--
    (A) The vessel is sold; or
    (B) This subpart no longer applies to the vessel.
    (c) The Coast Guard may deny the issuance of a conditional permit 
if--
    (i) The application does not contain the information required under 
Sec. 151.1012; or
    (ii) There is reason to believe that the information contained on 
the application is not true and correct.



Sec. 151.1018  Withdrawal of a conditional permit.

    (a) The Coast Guard may withdraw a conditional permit if the 
Administrator of the EPA requests withdrawal because the Administrator 
has determined that the owner or operator of the vessel has a record or 
a pattern of serious violations of--
    (1) Subtitle A of the Shore Protection Act of 1988 (33 U.S.C. 2601 
et seq.);
    (2) The Solid Waste Disposal Act (42 U.S.C. 6901 et seq.);
    (3) The Marine Protection, Research, and Sanctuaries Act of 1972 (33 
U.S.C. 1401 et seq.);
    (4) The Rivers and Harbors Appropriations Act of 1899 (33 U.S.C. 
1401 et seq.); or
    (5) The Federal Water Pollution Control Act (33 U.S.C. 1251 et 
seq.).
    (b) Upon reaching a determination to withdraw a conditional permit, 
the

[[Page 274]]

Coast Guard notifies the owner or operator of--
    (1) The withdrawal and the reason for the withdrawal;
    (2) The procedures for appealing the withdrawal.
    (c) After receiving the notice under paragraph (b) of this section, 
the owner or operator shall ensure that--
    (1) The vessel immediately ceases transporting municipal or 
commercial waste and the marking required by Sec. 151.1024 is removed; 
and
    (2) The conditional permit is returned to the Coast Guard within 5 
days after receiving the notice.



Sec. 151.1021  Appeals.

    (a) Any person directly affected by an action taken under this 
subpart may request reconsideration by the Coast Guard officer 
responsible for that action.
    (b) The person affected who is not satisfied with a ruling after 
having it reconsidered under paragraph (a) of this section may--
    (1) Appeal that ruling in writing within 30 days after the ruling to 
the Assistant Commandant for Marine Safety and Environmental Protection, 
U.S. Coast Guard, Washington, DC 20593-0001; and
    (2) Supply supporting documentation and evidence that the appellant 
wishes to have considered.
    (c) After reviewing the appeal submitted under paragraph (b) of this 
section, the Assistant Commandant for Marine Safety and Environmental 
Protection issues a ruling which is final agency action.
    (d) If the delay in presenting a written appeal has an adverse 
impact on the operations of the appellent, the appeal under paragraph 
(b) of this section--
    (1) May be presented orally; and
    (2) Must be submitted in writing within five days after the oral 
presentation--
    (i) With the basis for the appeal and a summary of the material 
presented orally; and
    (ii) To the same Coast Guard official who heard the oral 
presentation.

[CGD 89-014, 54 FR 22548, May 24, 1989, as amended by CGD 96-026, 61 FR 
33665, June 28, 1996; CGD 97-023, 62 FR 33363, June 19, 1997]



Sec. 151.1024  Display of number.

    (a) The owner or operator of each vessel under this subpart must 
ensure that the vessel number stated on the conditional permit issued 
under Sec. 151.1015 is displayed so that it--
    (1) Is clearly legible;
    (2) Has a contrasting background;
    (3) Is readily visible from either side of the vessel; and
    (4) Is in block figures that are at least 18 inches in height.
    (b) No person may tamper with or falsify a number required under 
this section.



Subpart C--Ballast Water Management for Control of Nonindigenous Species 
                   in the Great Lakes and Hudson River

    Authority: 16 U.S.C. 4711; 49 CFR 1.46.

    Source: CGD 91-066, 58 FR 18334, Apr. 8, 1993, unless otherwise 
noted.



Sec. 151.1500  Purpose.

    The purpose of this subpart is to implement the provisions of the 
Nonindigenous Aquatic Nuisance Prevention and Control Act of 1990 (16 
U.S.C. 4701 et seq.).



Sec. 151.1502  Applicability.

    This subpart applies to each vessel that carries ballast water and 
that after operating on the waters beyond the Exclusive Economic Zone 
during any part of its voyage enters the Snell Lock at Massena, New 
York, or navigates north of the George Washington Bridge on the Hudson 
River, regardless of other port calls in the United States or Canada 
during that voyage.

[CGD 94-003, 59 FR 67634, Dec. 30, 1994]



Sec. 151.1504  Definitions.

    The following terms are defined as used in this subpart.
    Ballast water means any water and suspended matter taken on board a 
vessel to control or maintain, trim, draught, stability, or stresses of 
the vessel, regardless of how it is carried.
    Ballast tank means any tank or hold on a vessel used for carrying 
ballast water, whether or not the tank or hold was designed for that 
purpose.

[[Page 275]]

    Captain of the Port (COTP) means the Coast Guard officer designated 
as COTP of either the Buffalo, NY, Marine Inspection Zone and Captain of 
the Port Zone or the New York, NY, Captain of the Port Zone described in 
part 3 of this chapter or an official designated by the COTP.
    Commandant means the Commandant of the Coast Guard or an authorized 
representative.
    Exclusive Economic Zone (EEZ) means the area established by 
Presidential Proclamation Number 5030, dated March 10, 1983, (48 FR 
10605, 3 CFR, 1983 Comp., p. 22), which extends from the base line of 
the territorial sea of the United States seaward 200 miles, and the 
equivalent zone of Canada.
    Environmentally sound method means methods, efforts, actions, or 
programs, either to prevent introductions or to control infestations of 
aquatic nuisance species, that minimize adverse impacts to the structure 
and function of an ecosystem, minimize adverse effects on non-target 
organisms and ecosystems, and that emphasize integrated pest management 
techniques and non-chemical measures.
    Great Lakes means Lake Ontario, Lake Erie, Lake Huron (including 
Lake Saint Clair), Lake Michigan, Lake Superior, and the connecting 
channels (Saint Mary's River, Saint Clair River, Detroit River, Niagara 
River, and Saint Lawrence River to the Canadian border), and includes 
all other bodies of water within the drainage basin of such lakes and 
connecting channels.
    Port means a terminal or group of terminals or any place or facility 
that has been designated as a port by the COTP.
    Sediments means any matter settled out of ballast water within a 
vessel.
    Voyage means any transit by a vessel destined for the Great Lakes or 
the Hudson River, north of the George Washington Bridge, from a port or 
place outside of the EEZ, including intermediate stops at a port or 
place within the EEZ.

[CGD 91-066, 58 FR 18334, Apr. 8, 1993, as amended by CGD 94-003, 59 FR 
67634, Dec. 30, 1994; USCG-1998-3423, 64 FR 26682, May 17, 1999]



Sec. 151.1506  Restriction of operation.

    No vessel subject to the requirements of this subpart may be 
operated in the Great Lakes or the Hudson River, north of the George 
Washington Bridge, unless the master of the vessel has certified, in 
accordance with Sec. 151.1516, that the requirements of this subpart 
have been met.

[CGD 94-003, 59 FR 67634, Dec. 30, 1994]



Sec. 151.1508  Revocation of clearance.

    A COTP may request the District Director of Customs to withhold or 
revoke the clearance required by 46 U.S.C. app. 91 for a vessel subject 
to this subpart, the owner or operator of which is not in compliance 
with the requirements of this subpart.



Sec. 151.1510  Ballast water management.

    (a) The master of each vessel subject to this subpart shall employ 
one of the following ballast water management practices:
    (1) Carry out an exchange of ballast water on the waters beyond the 
EEZ, in a depth exceeding 2000 meters, prior to entry into the Snell 
Lock, at Massena, New York, or prior to navigating on the Hudson River, 
north of the George Washington Bridge, such that, at the conclusion of 
the exchange, any tank from which ballast water will be discharged 
contains water with a minimum salinity level of 30 parts per thousand.
    (2) Retain the vessel's ballast water on board the vessel. If this 
method of ballast water management is employed, the COTP may seal any 
tank or hold containing ballast water on board the vessel for the 
duration of the voyage within the waters of the Great Lakes or the 
Hudson River, north of the George Washington Bridge.
    (3) Use an alternative environmentally sound method of ballast water 
management that has been submitted to, and approved by, the Commandant 
prior to the vessel's voyage. Requests for approval of alternative 
ballast water management methods must be submitted to the Commandant (G-
M), U.S. Coast Guard Headquarters, 2100 Second Street SW., Washington, 
DC 20593-0001.

[[Page 276]]

    (b) No master of a vessel subject to this subpart shall separately 
discharge sediment from tanks or holds containing ballast water unless 
it is disposed of ashore in accordance with local requirements.
    (c) Nothing in this subpart authorizes the discharge of oil or 
noxious liquid substances (NLSs) in a manner prohibited by United States 
or international laws or regulations. Ballast water carried in any tank 
containing a residue of oil, NLSs, or any other pollutant must be 
discharged in accordance with the applicable regulations. Nothing in 
this subpart affects or supersedes any requirement or prohibitions 
pertaining to the discharge of ballast water into the waters of the 
United States under the Federal Water Pollution Control Act (33 U.S.C. 
1251 et seq.).

[CGD 91-066, 58 FR 18334, Apr. 8, 1993, as amended by CGD 94-003, 59 FR 
67634, Dec. 30, 1994]



Sec. 151.1512  Vessel safety.

    Nothing in this subpart relieves the master of the responsibility 
for ensuring the safety and stability of the vessel or the safety of the 
crew and passengers, or any other responsibility.



Sec. 151.1514  Ballast water management alternatives under extraordinary conditions.

    The master of any vessel subject to this subpart who, due to 
weather, equipment failure, or other extraordinary conditions, is unable 
to effect a ballast water exchange before entering the EEZ, must employ 
another method of ballast water management listed in Sec. 151.1510, or 
request from the COTP permission to exchange the vessel's ballast water 
within an area agreed to by the COTP at the time of the request and must 
discharge the vessel's ballast water within that designated area.



Sec. 151.1516  Compliance monitoring.

    (a) The master of each vessel subject to this subpart shall provide, 
upon request, the following information, in written form, to the COTP:
    (1) The vessel's name, port of registry, and official number or call 
sign.
    (2) The name of the vessel's owner(s).
    (3) Whether ballast water is being carried.
    (4) The original location and salinity, if known, of ballast water 
taken on, before an exchange.
    (5) The location, date, and time of any ballast water exchange.
    (6) The salinity of any ballast water to be discharged into the 
territorial waters of the United States.
    (7) The intended discharge port for ballast water and location for 
disposal of sediment carried upon entry into the territorial waters of 
the United States, if ballast water or sediment are to be discharged.
    (8) The signature of the master attesting to the accuracy of the 
information provided and certifying compliance with the requirements of 
this subpart.
    (b) The COTP may take samples of ballast water to assess the 
compliance with, and the effectiveness of, this subpart.



Subpart D--Ballast Water Management for Control of Nonindigenous Species 
                     in Waters of the United States

    Authority: 16 U.S.C. 4711; 49 CFR 1.46.

    Source: USCG-1998-3423, 64 FR 26682, May 17, 1999, unless otherwise 
noted.



Sec. 151.2000  What is the purpose of this subpart?

    This subpart implements the provisions of the Nonindigenous Aquatic 
Nuisance Prevention and Control Act of 1990 (NANPCA) (16 U.S.C. 4701-
4751), as amended by the National Invasive Species Act of 1996 (NISA).



Sec. 151.2005  To which vessels does this subpart apply?

    (a) Sections 151.2000 through 151.2035(a) of this subpart apply to 
all vessels, U.S. and foreign, equipped with ballast tanks that operate 
in the waters of the United States.
    (b) Sections 151.2035(b) through 151.2065 apply to all vessels, U.S. 
and foreign, carrying ballast water into the waters of the United States 
after operating beyond the exclusive economic zone, except those vessels 
exempted in Secs. 151.2010 and 151.2015.

[[Page 277]]



Sec. 151.2010  Which vessels are exempt from the mandatory requirements?

    Four types of vessels are exempt from the requirements in 
Secs. 151.2040 and 151.2045:
    (a) A crude oil tanker engaged in the coastwise trade.
    (b) A passenger vessel equipped with a functioning treatment system 
designed to kill aquatic organisms in the ballast water. The treatment 
system must operate as designed.
    (c) A Department of Defense or Coast Guard vessel subject to the 
requirements of section 1103 of the Act, or any vessel of the Armed 
Forces, as defined in the Federal Water Pollution Control Act (33 U.S.C. 
1322(a)) that is subject to the ``Uniform National Discharge Standards 
for Vessels of the Armed Forces'' (33 U.S.C. 1322(n)).
    (d) A vessel that will discharge ballast water or sediments only at 
the same location where the ballast water or sediments originated. The 
ballast water or sediments must not mix with ballast water or sediments 
from areas other than the high seas.



Sec. 151.2015  Is a vessel in innocent passage exempt from the mandatory requirements?

    A foreign vessel merely traversing the territorial sea of the United 
States (i.e., not entering or departing a U.S. port, or not navigating 
the internal waters of the U.S.) is exempt from the requirements of 
Secs. 151.2040 and 151.2045, however such vessels are requested not to 
discharge ballast water into the waters of the United States unless they 
have followed the voluntary guidelines of Sec. 151.2035.



Sec. 151.2020  To what ballast water does this subpart apply?

    This subpart applies to all ballast water and associated sediments 
taken on a vessel in areas--
    (a) Less than 200 nautical miles from any shore, or
    (b) With water that is less than 2,000 meters (6,560 feet,1,093 
fathoms) deep.



Sec. 151.2025  What definitions apply to this subpart?

    (a) Unless otherwise stated in this section, the definitions in 33 
CFR 151.1504, 33 CFR 160.203, and the United Nations Convention on the 
Law of the Sea apply to this part.
    (b) As used in this part--
    ANSTF means the Aquatic Nuisance Species Task Force mandated under 
the Nonindigenous Aquatic Nuisance Prevention and Control Act of 1990 
(NANPCA).
    Captain of the Port (COTP) means the Coast Guard officer designated 
as the COTP, or a person designated by that officer, for the COTP zone 
covering the first U.S. port of destination. These COTP zones are listed 
in 33 CFR part 3.
    Exchange means to replace the water in a ballast tank using one of 
the following methods:
    (a) Flow through exchange means to flush out ballast water by 
pumping in mid-ocean water at the bottom of the tank and continuously 
overflowing the tank from the top until three full volumes of water has 
been changed--to minimize the number of original organisms remaining in 
the tank.
    (2) Empty/refill exchange means to pump out the ballast water taken 
on in ports, estuarine, or territorial waters until the tank is empty, 
then refilling it with mid-ocean water; masters/operators should pump 
out as close to 100 percent of the ballast water as is safe to do so.
    IMO guidelines mean the Guidelines for the Control and Management of 
Ships' Ballast Water to Minimize the Transfer of Harmful Aquatic 
Organisms and Pathogens (IMO Resolution A.868 (20), adopted November 
1997).
    NANCPA means the Nonindigenous Aquatic Nuisance Prevention and 
Control Act of 1990.
    NBIC means the National Ballast Water Information Clearinghouse 
operated by the Coast Guard and the Smithsonian Environmental Research 
Center as mandated under NISA.
    NISA means the National Invasive Species Act of 1996, which 
reauthorized and amended NANCPA.
    United States means the States, the District of Columbia, the 
Commonwealth of Puerto Rico, Guam, American Samoa, the Virgin Islands, 
and the Trust Territory of the Pacific Islands.
    Voyage means any transit by a vessel destined for any United States 
port from a port or place outside of the EEZ, including intermediate 
stops at a

[[Page 278]]

port or place within the EEZ. For the purpose of this rule, a transit by 
a vessel from a United States port to any other United States port, if 
at any time the vessel operates outside the EEZ or equivalent zone of 
Canada, is also considered a voyage.
    Waters of the United States means waters subject to the jurisdiction 
of the United States as defined in 33 CFR Sec. 2.05-30, including the 
navigable waters of the United States. For this regulation, the 
navigable waters include the territorial sea as extended to 12 nautical 
miles from the baseline, pursuant to Presidential Proclamation No. 5928 
of December 27, 1988.



Sec. 151.2030  Who is responsible for determining when to use the safety exemption?

    (a) The master, operator, or person-in-charge of a vessel is 
responsible for the safety of the vessel, its crew, and its passengers.
    (b) The master, operator, or person-in-charge of a vessel is not 
required to conduct a ballast water management practice (including 
exchange), if the master decides that the practice would threaten the 
safety of the vessel, its crew, or its passengers because of adverse 
weather, vessel design limitations, equipment failure, or any other 
extraordinary conditions. If the master uses this section, and the--
    (1) Vessel is on a voyage to the Great Lakes or Hudson River, the 
vessel must comply with the requirements of Sec. 151.1514 of subpart C 
of this part (Ballast water management alternatives under extraordinary 
conditions); or
    (2) Vessel is on a voyage to any port other than the Great Lakes or 
Hudson River, the vessel shall not be required to perform a ballast 
water management practice which the master has found to threaten the 
safety of the vessel, its crew, or its passengers because of adverse 
weather, vessel design limitations, equipment failure, or any other 
extraordinary conditions.
    (c) Nothing in this subpart relieves the master, operator, or 
person-in-charge of a vessel, of the responsibility for ensuring the 
safety and stability of the vessel or the safety of the crew and 
passengers, or any other responsibility.



Sec. 151.2035  What are the voluntary ballast water management guidelines?

    (a) Masters, owners, operators, or persons-in-charge of all vessels 
equipped with ballast water tanks that operate in the waters of the 
United States are requested to take the following voluntary precautions 
to minimize the uptake and the release of harmful aquatic organisms, 
pathogens, and sediments:
    (1) Avoid the discharge or uptake of ballast water in areas within 
or that may directly affect marine sanctuaries, marine preserves, marine 
parks, or coral reefs.
    (2) Minimize or avoid uptake of ballast water in the following areas 
and situations:
    (i) Areas known to have infestations or populations of harmful 
organisms and pathogens (e.g., toxic algal blooms).
    (ii) Areas near sewage outfalls.
    (iii) Areas near dredging operations.
    (iv) Areas where tidal flushing is known to be poor or times when a 
tidal stream is known to be more turbid.
    (v) In darkness when bottom-dwelling organisms may rise up in the 
water column.
    (vi) Where propellers may stir up the sediment.
    (3) Clean the ballast tanks regularly to remove sediments. Clean the 
tanks in mid-ocean or under controlled arrangements in port, or at dry 
dock. Dispose of your sediments in accordance with local, State, and 
Federal regulations.
    (4) Discharge only the minimal amount of ballast water essential for 
vessel operations while in the waters of the United States.
    (5) Rinse anchors and anchor chains when you retrieve the anchor to 
remove organisms and sediments at their place of origin.
    (6) Remove fouling organisms from hull, piping, and tanks on a 
regular basis and dispose of any removed substances in accordance with 
local, State and Federal regulations.
    (7) Maintain a ballast water management plan that was developed 
specifically for the vessel.
    (8) Train the master, operator, person-in-charge, and crew, on the 
application of ballast water and sediment

[[Page 279]]

management and treatment procedures.
    (b) In addition to the provisions of Sec. 151.2035(a), you (the 
master, operator, or person-in-charge of a vessel) are requested to 
employ at least one of the following ballast water management practices, 
if you carry ballast water into the waters of the United States after 
operating beyond the EEZ:
    (1) Exchange ballast water beyond the EEZ, from an area no less than 
200 nautical miles from any shore, and in waters more than 2,000 meters 
(6,560 feet, 1,093 fathoms) deep, before entering waters of the United 
States.
    (2) Retain the ballast water on board the vessel.
    (3) Use an alternative environmentally sound method of ballast water 
management that has been approved by the Coast Guard before the vessel 
begins the voyage. Submit the requests for approval of alternative 
ballast water management methods to the Commandant (G-MSO-4), U.S. Coast 
Guard Headquarters, 2100 Second Street SW., Washington, DC 20593-0001. 
The phone number is 202-267-0500.
    (4) Discharge ballast water to an approved reception facility.
    (5) Under extraordinary conditions, conduct a ballast water exchange 
within an area agreed to by the COTP at the time of the request.



Sec. 151.2040  What are the mandatory requirements for vessels carrying ballast water into the waters of the United States after operating beyond the Exclusive 
          Economic Zone (EEZ)?

    (a) The master, owner, operator, person-in-charge of a vessel bound 
for the Great Lakes or Hudson River, which has operated beyond the EEZ 
during any part of its voyage, regardless of intermediate ports of calls 
within the waters of the United States or Canada, must comply with 
paragraphs (c) through (f) of this section, all of Sec. 151.2045, and 
with the provisions of this part 151 subpart C.
    (b) A vessel engaged in the foreign export of Alaskan North Slope 
Crude Oil must comply with paragraphs (c) through (f) of this section, 
all of Sec. 151.2045, and with the provisions of 15 CFR 
754.2(j)(1)(iii). That section (15 CFR 754.2(j)(iii)) requires a 
mandatory program of deep water ballast exchange (i.e., at least 2,000 
meters water depth and recordkeeping), unless doing so would endanger 
the safety of the vessel or crew.
    (c) The master, owner, operator, agent, or person-in-charge of a 
vessel carrying ballast water into the waters of the United States after 
operating beyond the EEZ, unless specifically exempted by Sec. 151.2010 
or Sec. 151.2015, must provide the information required by Sec. 151.2045 
in electronic or written form to the Commandant, U.S. Coast Guard or the 
appropriate COTP as follows:
    (1) For a United States or Canadian Flag vessel bound for the Great 
Lakes. You must fax the required information to the COTP Buffalo 315-
764-3283 at least 24 hours before the vessel arrives in Montreal, 
Quebec.
    (2) For a foreign flagged vessel bound for the Great Lakes. You 
must--
    (i) Fax the required information to the COTP Buffalo 315-764-3283 at 
least 24 hours before the vessel arrives in Montreal, Quebec; or
    (ii) Complete the ballast water information section of the St. 
Lawrence Seaway required ``Pre-entry Information from Foreign Flagged 
Vessels Form'' and submit it in accordance with the applicable Seaway 
notice.
    (3) For a vessel bound for the Hudson River north of the George 
Washington Bridge. You must telefax the information to the COTP New York 
at 718-354-4249 before the vessel enters the waters of the United States 
(12 miles from the baseline).
    (4) For a vessel not addressed in paragraphs (c)(1), (c)(2), and 
(c)(3) of this section. Before the vessel departs from the first port of 
call in the waters of the United States, you must--
    (i) Mail the information to U.S. Coast Guard, c/o Smithsonian 
Environmental Research Center (SERC), P.O. Box 28, Edgewater, MD 21037-
0028; or
    (ii) Transmit the information electronically to the NBIC at 
www.serc.si.edu/invasions/ballast.htm; or
    (iii) Fax the information to the Commandant, U.S. Coast Guard, c/o 
the NBIC at 301-261-4319.
    (d) If the information submitted in accordance with paragraph (c) of 
this section changes, you must submit an

[[Page 280]]

amended form before the vessel departs the waters of the United States.
    (e) This subpart does not authorize the discharge of oil or noxious 
liquid substances (NLS) in a manner prohibited by United States or 
international laws or regulations. Ballast water carried in any tank 
containing a residue of oil, NLS, or any other pollutant must be 
discharged in accordance with the applicable regulations.
    (f) This subpart does not affect or supersede any requirement or 
prohibition pertaining to the discharge of ballast water into the waters 
of the United States under the Federal Water Pollution Control Act (33 
U.S.C. 1251 to 1376).



Sec. 151.2045  What are the mandatory recordkeeping requirements?

    (a) The master, owner, operator, or person in charge of a vessel 
carrying ballast water into the waters of the United States after 
operating beyond the EEZ, unless specifically exempted by Sec. 151.2010 
or Sec. 151.2015 shall keep in written form, records that include the 
following information (Note: Ballast tank is any tank or hold that 
carries ballast water regardless of design):
    (1) Vessel information. Include the--
    (i) Name;
    (ii) International Maritime Organization (IMO) Number (official 
number if IMO number not issued);
    (iii) Vessel type;
    (iv) Owner or operator;
    (v) Gross tonnage;
    (vi) Call sign; and
    (vii) Port of Registry (Flag).
    (2) Voyage information. Include the date and port of arrival, vessel 
agent, last port and country of call, and next port and country of call.
    (3) Total ballast water information. Include the total ballast water 
capacity, total volume of ballast water on board, total number of 
ballast water tanks, and total number of ballast water tanks in ballast. 
Use units of measurements such as metric tons (MT), cubic meters (m3), 
long tons (LT), and short tons (ST).
    (4) Ballast Water Management. Include the total number of ballast 
tanks/holds that are to be discharged into the waters of the United 
States or to a reception facility. If an alternative ballast water 
management method is used, please note the number of tanks that were 
managed using an alternative method, as well as the type of method used. 
Indicate whether the vessel has a ballast water management plan and IMO 
guidelines on board, and whether the ballast water management plan is 
used.
    (5) Information on ballast water tanks that are to be discharged 
into the waters of the United States or to a reception facility. Include 
the following:
    (i) The origin of ballast water. This includes date(s), location(s), 
volume(s) and temperature(s) (If a tank has been exchanged, list the 
loading port of the ballast water that was discharged during the 
exchange.).
    (ii) The date(s), location(s), volume(s), method, thoroughness 
(percentage exchanged if exchange conducted), sea height at time of 
exchange if exchange conducted, of any ballast water exchanged or 
otherwise managed.
    (iii) The expected date, location, volume, and salinity of any 
ballast water to be discharged into the waters of the United States or a 
reception facility.
    (6) Discharge of sediment. If sediment is to be discharged within 
the jurisdiction of the United States include the location of the 
facility where the disposal will take place.
    (7) Certification of accurate information. Include the master, 
owner, operator, person in charge, or responsible officer's printed 
name, title, and signature attesting to the accuracy of the information 
provided and certifying compliance with the requirements of this 
subpart.
    (8) Change to previously submitted information.
    (i) Indicate whether the information is a change to information 
previously submitted for this voyage.
    (ii) The master, owner, operator, or person in charge of a vessel 
subject to this section, must retain a signed copy of this information 
on board the vessel for 2 years.
    (iii) The information required of this subpart may be used to 
satisfy the ballast water recordkeeping requirements for vessels subject 
to Sec. 151.2040(a) and (b).
    (iv) A sample form and the instructions for completing the form are 
in the appendix to this subpart. If you

[[Page 281]]

complete the ``Ballast Water Reporting Form'' contained in the IMO 
Guidelines or complete the ballast water information section of the St. 
Lawrence Seaway required ``Pre-entry Information Flagged Vessels Form,'' 
then you have met the requirements of this section.



Sec. 151.2050  What methods are used to monitor compliance with this subpart?

    (a) The COTP may take samples of ballast water and sediment, examine 
documents, and make other appropriate inquiries to assess the compliance 
of any vessel subject to this subpart.
    (b) The master, owner, operator, or person in charge of a vessel 
subject to this section, shall make available to the COTP the records 
required by Sec. 151.2045 upon request.
    (c) The NBIC will compile the data obtained from submitted reports. 
This data will be used, in conjunction with existing databases on the 
number of vessel arrivals, to assess vessel reporting rates.



Sec. 151.2055  Where are the alternate exchange zones located? [Reserved]



Sec. 151.2060  What must each application for approval of an alternative compliance technology contain? [Reserved]



Sec. 151.2065  What is the standard of adequate compliance determined by the ANSTF for this subpart? [Reserved]

  Appendix to Subpart D of Part 151--Ballast Water Reporting Form and 
              Instructions for Ballast Water Reporting Form

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[GRAPHIC] [TIFF OMITTED] TR17MY99.001


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PART 153--CONTROL OF POLLUTION BY OIL AND HAZARDOUS SUBSTANCES, DISCHARGE REMOVAL--Table of Contents




                           Subpart A--General

Sec.
153.101  Purpose.
153.103  Definitions.
153.105  FWPCA delegations and redelegation.
153.107  [Reserved]
153.109  CERCLA delegations.

   Subpart B--Notice of the Discharge of Oil or a Hazardous Substance

153.201  Purpose.
153.203  Procedure for the notice of discharge.
153.205  Fines.

                  Subpart C--Removal of Discharged Oil

153.301  Purpose.
153.303  Applicability.
153.305  Methods and procedures for the removal of discharged oil.
153.307  Penalties.

             Subpart D--Administration of the Pollution Fund

153.401  Purpose.
153.403  Applicability.
153.405  Liability to the pollution fund.
153.407  Payments or reimbursement from the pollution fund.
153.411  Procedures for payment of judgments.
153.413  Deposit of money into the fund.
153.415  Cost summary reports.
153.417  Reimbursement for actions under section 311(c) or 311(d) of the 
          Act of the Intervention on the High Seas Act.

    Authority: 14 U.S.C. 633; 33 U.S.C. 1321; 42 U.S.C. 9615; E.O. 
12580, 3 CFR, 1987 Comp., p. 193; E.O. 12777, 3 CFR, 1991 Comp., p. 351; 
49 CFR 1.45 and 1.46.

    Source: CGD 73-185, 41 FR 12630, Mar. 25, 1976, unless otherwise 
noted.



                           Subpart A--General



Sec. 153.101  Purpose.

    The purpose of this part is to prescribe regulations concerning 
notification to the Coast Guard of the discharge of oil or hazardous 
substances as required by the Federal Water Pollution Control Act, as 
amended (FWPCA); the procedures for the removal of a discharge of oil; 
and the costs that may be imposed or reimbursed for the removal of a 
discharge of oil or hazardous substances under the FWPCA.

[CGD 84-067, 51 FR 17965, May 16, 1986]



Sec. 153.103  Definitions.

    As used in this part:
    (a) Act means the Federal Water Pollution Control Act, as amended 
(33 U.S.C. 1251 et seq.).
    (b) CERCLA means the Comprehensive Environmental Response, 
Compensation, and Liability Act of 1980 (42 U.S.C. 9601 et seq.).
    (c) Chemical agents means those elements, compounds, or mixtures 
that coagulate, disperse, dissolve, emulsify, foam, neutralize, 
precipitate, reduce, solubilize, oxidize, concentrate, congeal, entrap, 
fix, make the pollutant mass more rigid or viscous, or otherwise 
facilitate the mitigation of deleterious effects or removal of the 
pollutant from the water. The term ``chemical agents'' as used in this 
part includes dispersants, surface collecting agents, biological 
additives, burning agents, and sinking agents as defined in Subpart H of 
the National Contingency Plan.
    (d) Assistant Commandant for Marine Safety and Environmental 
Protection means the Coast Guard Officer designated by the Commandant to 
assist and advise the Commandant on matters related to marine 
environmental response, port and environmental safety, and waterways 
management.
    (e) Coastal waters means all U.S. waters subject to the tide, U.S. 
waters of the Great Lakes, specified ports and harbors on the inland 
rivers, waters of the contiguous zone, or other waters of the high seas 
subject to discharges in connection with activities under the Outer 
Continental Shelf Lands Act (43 U.S.C. 1331 et seq.) or the Deepwater 
Port Act of 1974 (33 U.S.C. 1501 et seq.), or which may affect natural 
resources belonging to, appertaining to, or under the exclusive 
management authority of the United States (including resources under the 
Magnuson Fishery Conservation and Management Act (16 U.S.C. 1801 et 
seq.)). These waters include those contained within the Exclusive

[[Page 287]]

Economic Zone declared by Presidential Proclamation 5030 on March 10, 
1983 (43 FR 10605).
    Note: Coastal waters are those waters where the Coast Guard has the 
responsibility for providing On-Scene Coordinators under the National 
Contingency Plan. Specific dividing lines between coastal and inland 
waters, and the identification of specified ports and harbors on inland 
rivers, are contained in Regional Contingency Plans prepared pursuant to 
the National Contingency Plan.
    (f) Contiguous zone means the entire zone established by the United 
States under Article 24 of the Convention on the Territorial Sea and the 
Contiguous Zone, as published in the June 1, 1972 issue of the Federal 
Register (37 FR 11906).
    (g) Discharge includes, but is not limited to, any spilling, 
leaking, pumping, pouring, emitting, emptying, or dumping, but excludes 
(A) discharges in compliance with a permit under Section 402 of the Act, 
(B) discharges resulting from circumstances identified and reviewed and 
made part of the public record with respect to a permit issued or 
modified under Section 402 of the Act, and subject to a condition in 
such permit, and (C) continuous or anticipated intermittent discharges 
from a point source, identified in a permit or permit application under 
section 402 of the Act, which are caused by events occurring within the 
scope of relevant operating or treatment systems.
    (h) Hazardous substance means any substance designated by the 
Administrator of the Environmental Protection Agency pursuant to section 
311(b)(2) of the Act.
    (i) Inland waters means all other waters of the U.S. not included in 
the definition of coastal waters.
    Note: Inland waters are those waters where the Environmental 
Protection Agency has the responsibility for providing On-Scene 
Coordinators under the National Contingency Plan. Specific dividing 
lines between coastal and inland waters are contained in Regional 
Contingency Plans prepared pursuant to the National Contingency Plan.
    (j) Mechanical removal means the use of pumps, skimmers, booms, 
earthmoving equipment, and other mechanical devices to contain the 
discharge of oil and to recover the discharge from the water or 
adjoining shorelines.
    (k) Navigable waters means the waters of the United States as 
defined in paragraph 2.05-25(b) of this Chapter.
    (l) Offshore facility means any facility of any kind located in, on, 
or under, any of the navigable waters of the United States, and any 
facility of any kind which is subject to the jurisdiction of the United 
States and is located in, on, or under any other waters, other than a 
vessel or a public vessel.
    (m) Oil means oil of any kind or in any form, including but not 
limited to petroleum, fuel oil, sludge, oil refuse, and oil mixed with 
wastes other than dredged spoil.
    (n) On-Scene Coordinator or OSC is the Federal official 
predesignated by the Environmental Protection Agency (EPA) or Coast 
Guard to coordinate and direct Federal removal efforts at the scene of 
an oil or hazardous substance discharge as prescribed in the National 
Oil and Hazardous Substances Pollution Contingency Plan (National 
Contingency Plan) as published in 40 CFR Part 300.
    (o) Onshore facility means any facility (including, but not limited 
to, motor vehicles and rolling stock) of any kind located in, on, or 
under, any land within the United States other than submerged land.
    (p) Person includes an individual, firm, corporation, association, 
and a partnership.
    (q) Pollution Fund and Fund means the revolving fund established in 
the Treasury under the authority in section 311(k) of the Act to carry 
out the provisions of section 311 (c), (d), (i), and (l) of the Act.
    (r) Public vessel means a vessel owned or bare-boat chartered and 
operated by the United States, or by a State or political subdivision 
thereof, or by a foreign nation, except when such vessel is engaged in 
commerce.
    (s) Remove or Removal refers to removal of oil or hazardous 
substances from the waters and shorelines or the taking of such other 
actions as may be necessary to minimize or mitigate damage to the public 
health or welfare, including, but not limited to, fish, shellfish, 
wildlife, and public and private property, shorelines, and beaches.

[[Page 288]]

    (t) Sorbent means materials essentially inert and insoluble used to 
remove oil from water through a variety of sorption mechanisms. Examples 
include straw, expanded perlite, polyurethane foam, reclaimed paper 
fibers, and peat moss.
    (u) Such quantities as may be harmful means those quantities of oil 
and any hazardous substances determined in accordance with the 
provisions of section 311(b)(4) of the Act.
    Note: Regulations that relate to such quantities as may be harmful 
of oil are published in 40 CFR Part 110. Regulations that relate to such 
quantities as may be harmful (reportable quantities) of hazardous 
substances are published in 40 CFR Part 117 and also listed in 40 CFR 
Part 302.
    (v) United States means the States, the District of Columbia, the 
Commonwealth of Puerto Rico, Guam, American Samoa, the Virgin Islands, 
and the Trust Territory of the Pacific Islands.
    (w) Vessel means every description of watercraft or other artificial 
contrivance used, or capable of being used, as a means of transportation 
on water other than a public vessel.

[CGD 84-067, 51 FR 17965, May 16, 1986, as amended by CGD 88-052, 53 FR 
25121, July 1, 1988; CGD 96-026, 61 FR 33665, June 28, 1996; CGD 97-023, 
62 FR 33363, June 19, 1997]



Sec. 153.105  FWPCA delegations and redelegation.

    The delegations and redelegations under the Federal Water Pollution 
Control Act (FWPCA) [33 U.S.C. 1321 et seq.] are published in Sec. 1.01-
80 and Sec. 1.01-85, respectively, of this chapter.

[CGD 91-225, 59 FR 66485, Dec. 27, 1994]



Sec. 153.107  [Reserved]



Sec. 153.109  CERCLA delegations.

    The delegations under the Comprehensive Environmental Response, 
Compensation, and Liability Act of 1980 (CERCLA) are published in 
Sec. 1.01-70 of this chapter.

[CGD 83-009, 49 FR 575, Jan. 5, 1984]



   Subpart B--Notice of the Discharge of Oil or a Hazardous Substance



Sec. 153.201  Purpose.

    The purpose of this subpart is to prescribe the manner in which the 
notice required in section 311(b)(5) of the Act is to be given and to 
list the government officials to receive that notice.



Sec. 153.203  Procedure for the notice of discharge.

    Any person in charge of a vessel or of an onshore or offshore 
facility shall, as soon as they have knowledge of any discharge of oil 
or a hazardous substance from such vessel or facility in violation of 
section 311(b)(3) of the Act, immediately notify the National Response 
Center (NRC), U.S. Coast Guard, 2100 Second Street, SW., Washington, DC 
20593, toll free telephone number 800-424-8802 (in Washington, DC 
metropolitan area, (202) 267-2675). If direct reporting to the NRC is 
not practicable, reports may be made to the Coast Guard or EPA 
predesignated OSC for the geographic area where the discharge occurs. 
All such reports shall be promptly relayed to the NRC. If it is not 
possible to notify the NRC or the predesignated OSC immediately, reports 
may be made immediately to the nearest Coast Guard unit, provided that 
the person in charge of the vessel or onshore or offshore facility 
notifies the NRC as soon as possible.
    Note: Geographical jurisdiction of Coast Guard and EPA OSC's are 
specified in the applicable Regional Contingency Plan. Regional 
Contingency Plans are available at Coast Guard District Offices and EPA 
Regional Offices as indicated in Table 2. Addresses and telephone 
numbers for these offices are listed in Table 1.

[CGD 84-067, 51 FR 17966, May 16, 1986, as amended by CGD 88-052, 53 FR 
25121, July 1, 1988]



Sec. 153.205  Fines.

    Section 311(b)(5) of the Act prescribes that any person who fails to 
notify the appropriate agency of the United States Government 
immediately of a

[[Page 289]]

discharge is, upon conviction, fined in accordance with Title 18, U.S. 
Code, or imprisoned for not more than 5 years, or both.

    Table 1.--Addresses and Telephone Numbers of Coast Guard District
                    Offices and EPA Regional Offices
------------------------------------------------------------------------
                                       Address             Telephone
------------------------------------------------------------------------
                          EPA Regional Offices
------------------------------------------------------------------------
Region:
    1.........................  1 Congress St., Suite       617-918-1111
                                 1100, Boston, MA
                                 02114-2023.
    2.........................  290 Broadway, New           212-637-3000
                                 York, NY 10007-1866.
    3.........................  1650 Arch St.,              215-814-5000
                                 Philadelphia, PA
                                 19103-2029.
    4.........................  Atlanta Federal             404-562-9900
                                 Center, 61 Forsyth
                                 St., SW, Atlanta, GA
                                 30303-3104.
    5.........................  77 West Jackson             312-353-2000
                                 Boulevard, Chicago,
                                 IL 60604-3507.
    6.........................  Fountain Place 12th         214-665-2200
                                 Floor, Suite 1200,
                                 1445 Ross Avenue,
                                 Dallas, TX 75202-
                                 2733.
    7.........................  901 North 5th St.,          913-551-7003
                                 Kansas City, KS
                                 66101.
    8.........................  999 18th St., Suite         303-312-6312
                                 500, Denver, CO
                                 80202-2466.
    9.........................  75 Hawthorne St., San       415-744-1305
                                 Francisco, CA 94105.
    10........................  1200 Sixth Avenue,          206-553-1200
                                 Seattle, WA 98101.
------------------------------------------------------------------------
                      Coast Guard District Offices
------------------------------------------------------------------------
District:
    1st.......................  408 Atlantic Avenue,        617-223-8480
                                 Boston, MA 02210-
                                 3350.
    5th.......................  Federal Building, 431       757-398-6638
                                 Crawford St.,
                                 Portsmouth, VA 23704-
                                 5004.
    7th.......................  909 S.E. First              305-536-5651
                                 Avenue, Miami, FL
                                 33131-3050.
    8th.......................  Hale Boggs Federal          504-589-6901
                                 Bldg., 500 Camp
                                 Street, New Orleans,
                                 LA 70130-3396.
    9th.......................  1240 E. 9th St.,            216-902-6045
                                 Cleveland, OH 44199-
                                 2060.
    11th......................  Coast Guard Island,         510-437-2940
                                 Building 50-6,
                                 Alameda, CA 94501-
                                 5100.
    13th......................  Jackson Federal             206-220-7090
                                 Bldg., 915 Second
                                 Avenue, Seattle, WA
                                 98174-1067.
    14th......................  Prince PJKK Federal         808-541-2114
                                 Bldg., Room 9212,
                                 300 Ala Moana Blvd.,
                                 Honolulu, HI 96850-
                                 4982.
    17th......................  P.O. Box 25517,             907-463-2199
                                 Juneau, AK 99802-
                                 5517.
------------------------------------------------------------------------


  Table 2--Standard Administrative Regions of States and Corresponding
                  Coast Guard Districts and EPA Regions
------------------------------------------------------------------------
            States and EPA region                 Coast Guard district
------------------------------------------------------------------------
Region I:
    Maine....................................  1st
    New Hampshire............................  1st
    Vermont:
        All except Northwestern portion......  1st
        Northwestern portion.................  1st
    Massachusetts............................  1st
    Connecticut..............................  1st
    Rhode Island.............................  1st
Region II:
    New York:
        Coastal area and Eastern portion.....  1st
        Great Lakes area and other portions..  9th
    New Jersey:
        Upper portion........................  1st
        Lower portion........................  5th
    Puerto Rico..............................  7th
    Virgin Islands...........................  7th
Region III:
    Pennsylvania:
        Eastern portion......................  5th
        Great Lakes area.....................  9th
        Southwestern portion.................  8th
    Maryland.................................  5th
    Delaware.................................  5th
    West Virginia............................  8th
    Virginia.................................  5th
    District of Columbia.....................  5th
Region IV:
    Kentucky.................................  8th
    Tennessee................................  8th
    North Carolina...........................  5th
    South Carolina...........................  7th
    Georgia..................................  7th
    Florida:
        Atlantic and Gulf coasts.............  7th
        Panhandle area.......................  8th
    Alabama                                    8th
    Mississippi                                8th
Region V:
    Minnesota:
        Great Lakes area.....................  9th
        Inland rivers area...................  8th
    Wisconsin:
        Great Lakes area.....................  9th
        Inland rivers area...................  8th
    Michigan.................................  9th
    Illinois:
        Great Lakes area.....................  9th
        Inland rivers area...................  8th
    Indiana:
        Great Lakes area.....................  9th
        Inland rivers area...................  8th
    Ohio:
        Great Lakes area.....................  9th

[[Page 290]]

 
        Inland rivers area...................  8th
Region VI:
    New Mexico...............................  8th
    Texas....................................  8th
    Oklahoma.................................  8th
    Arkansas.................................  8th
    Louisiana................................  8th
Region VII:
    Nebraska.................................  8th
    Iowa.....................................  8th
    Kansas...................................  8th
    Missouri.................................  8th
Region VIII:
    Montana..................................  13th
    Wyoming..................................  8th
    Utah.....................................  11th
    Colorado.................................  8th
    North Dakota.............................  8th
    South Dakota.............................  8th
Region IX:
    California...............................  11th
    Nevada...................................  11th
    Arizona..................................  11th
    Hawaii...................................  14th
    Guam.....................................  14th
    American Samoa...........................  14th
    Trust Territory of the Pacific Islands...  14th
    Northern Mariana Islands.................  14th
Region X:
    Washington...............................  13th
    Oregon...................................  13th
    Idaho....................................  13th
    Alaska...................................  17th
------------------------------------------------------------------------


[CGD 84-067, 51 FR 17967, May 16, 1986, as amended by CGD 88-052, 53 FR 
25121, July 1, 1988; CGD 97-023, 62 FR 33364, June 19, 1997; USCG-1998-
3799, 63 FR 35530, June 30, 1998; USCG-2000-7223, 65 FR 40057, June 29, 
2000]



                  Subpart C--Removal of Discharged Oil



Sec. 153.301  Purpose.

    The purpose of this subpart is to prescribe methods and procedures 
to be used to remove discharges of oil from coastal waters.



Sec. 153.303  Applicability.

    The provisions of this subpart apply to any owner or operator of a 
vessel or onshore or offshore facility from which a discharge of oil 
into coastal waters occurs who acts to remove or arranges for the 
removal of such discharges.



Sec. 153.305  Methods and procedures for the removal of discharged oil.

    Each person who removes or arranges for the removal of a discharge 
of oil from coastal waters shall:
    (a) Use to the maximum extent possible mechanical methods and 
sorbents that:
    (1) Most effectively expedite removal of the discharged oil; and
    (2) Minimize secondary pollution from the removal operations;
    Note: The Federal OSC is authorized by the provisions of the 
National Contingency Plan to require or deny the use of specific 
mechanical methods and sorbents. Sorbent selection considerations of the 
OSC include hydrographic and meteorological conditions, characteristics 
of the sorbent, and availability of a mechanical method for containment 
and recovery.
    (b) Control the source of discharge, prevent further discharges, and 
halt or slow the spread of the discharge by mechanical methods or 
sorbents or both to the maximum extent possible;
    (c) Recover the discharged oil from the water or adjoining 
shorelines by mechanical or manual methods or both to the maximum extent 
possible;
    (d) Use chemical agents only in accordance with the provisions of 
Subpart H of the National Contingency Plan and with the prior approval 
of the Federal OSC; and
    (e) Dispose of recovered oil and oil contaminated materials in 
accordance with applicable State and local government procedures.

[CGD 73-185, 41 FR 12630, Mar. 25, 1976, as amended by CGD 84-067, 51 FR 
17966, May 16, 1986]



Sec. 153.307  Penalties.

    Any person who fails or refuses to comply with the provisions of 
this part, or to comply with an order issued by the Federal On-Scene 
Coordinator under 33 U.S.C. Secs. 1321(c) or (e)(1)(B), is liable for a 
civil penalty per day of violation or an amount equal to three times the 
costs incurred by the Oil Spill Liability Trust Fund as a result of such 
failure.

[USCG-1998-3799, 63 FR 35531, June 30, 1998]

[[Page 291]]



             Subpart D--Administration of the Pollution Fund



Sec. 153.401  Purpose.

    This subpart prescribes policies, procedures, and reporting 
requirements for the payment from and deposit into the Fund established 
pursuant to section 311(k) of the Act.



Sec. 153.403  Applicability.

    The provisions of this subpart apply to:
    (a) Each Federal and State agency that desires reimbursement from 
the Fund for costs incurred during a removal activity; and
    (b) The owner or operator of the vessel or onshore or offshore 
facility from which a discharge occurs that requires Federal removal 
activity.



Sec. 153.405  Liability to the pollution fund.

    The owner or operator of the vessel or onshore or offshore facility 
from which a discharge occurs that requires Federal removal activity is 
liable to the pollution fund for the actual costs of Federal and State 
agencies, including the employment and use of personnel and equipment, 
not to exceed the limits established by sections 311(f) and (g) of the 
Act.



Sec. 153.407  Payments or reimbursements from the pollution fund.

    (a) The following costs incurred during performance of a Phase III 
activity as defined in Subpart E of the National Contingency Plan, or a 
removal action as defined in Subpart F of the National Contingency Plan, 
are reimbursable to Federal and State agencies when authorized by the 
appropriate OSC under the authority of section 311(c) of the Act, and 
are reimbursable to Federal agencies when authorized by the appropriate 
Coast Guard or EPA official in the case of the summary removal or 
destruction of a vessel, other ``intervention'' (as defined in 
Sec. 153.105(e) of this Part), or any other action under the authority 
of section 311(d) of the Act or the Intervention on the High Seas Act 
(33 U.S.C. 1471 et seq.):
    (1) Costs found to be reasonable by the Coast Guard incurred by 
government industrial type facilities, including charges for overhead in 
accordance with the agency's industrial accounting system.
    (2) Actual costs for which an agency is required or authorized by 
any law to obtain full reimbursement.
    (3) Costs found to be reasonable by the Coast Guard incurred as a 
result of removal activity that are not ordinarily funded by an agency's 
regular appropriations and that are not incurred during normal 
operations. These costs include, but are not limited to, the following:
    (i) Travel (transportation and per diem) specifically requested of 
the agency by the On-Scene Coordinator.
    (ii) Overtime for civilian personnel specifically requested of the 
agency by the On-Scene Coordinator.
    (iii) Incremental operating costs for vessels, aircraft, vehicles, 
and equipment incurred in connection with the removal activity.
    (iv) Supplies, materials, and equipment procured for the specific 
removal activity and fully expended during the removal activity.
    (v) Lease or rental of equipment for the specific removal activity.
    (vi) Contract costs for the specific removal activity.
    (4) Claims payable under Part 25, Subpart H of this title.
    (b) The District Commander may authorize the direct payment of the 
costs found to be reasonable under paragraph (a)(3) of this section. 
Direct payment may only be made to Federal or State agencies, or to 
Federal contractors or suppliers. Direct payments to State or local 
agency contractors or suppliers will not be authorized.
    (c) The Pollution Fund is not available to pay any foreign, Federal, 
State or local government or agency for the payment or reimbursement of 
its costs incurred in the removal of oil or hazardous substances 
discharged from a vessel or facility that it owns or operates.
    Note: Federal procurement procedures governing contracts to purchase 
property and services apply to costs incurred as a result of removal 
activity. Where the public exigency will not permit the delay incident 
to advertising, purchases and contracts are

[[Page 292]]

negotiated pursuant to 10 U.S.C. 2304(a)(2) or 41 U.S.C. 252(c)(2), as 
applicable.

[CGD 73-185, 41 FR 12630, Mar. 25, 1976, as amended by CGD 84-067, 51 FR 
17967, May 16, 1986]



Sec. 153.411  Procedures for payment of judgments.

    An owner or operator of a vessel or an onshore or offshore facility 
who obtains a judgment against the United States under section 311(i) of 
the Act may have the judgment satisfied by requesting payment of the 
judgment in writing from the Commandant (G-L), 2100 Second Street SW., 
Washington, D.C. 20593. This request must be accompanied by a copy of 
the judgment and must designate to whom payment should be made.



Sec. 153.413  Deposit of money into the fund.

    Any person liable for the payment of the following shall remit 
payment by check or postal money order, payable to the U.S. Coast Guard, 
to the cognizant District Commander, or to the Commandant for deposit 
into the Pollution Fund as prescribed in section 311(k) of the Act:
    (a) A fine or penalty imposed, assessed, or compromised under 
section 311 of the Act, including the proceeds of a bond or other surety 
obtained pursuant to section 311(b)(6).
    (b) A claim asserted by the cognizant District Commander for costs 
recoverable under sections 311 (f) and (g) of the Act.
    (c) A judgment obtained by the United States for costs recoverable 
under sections 311 (f) and (g) of the Act.



Sec. 153.415  Cost summary reports.

    As soon as practicable after completion of an action authorized 
under section 311 (c) or (d) of the Act or the Intervention on the High 
Seas Act, the OSC submits a cost summary report to the cognizant 
District Commander that includes:
    (a) Names of agencies and contractors authorized to participate in 
the action;
    (b) A general description of the function performed by each 
participating agency and contractor;
    (c) An estimate of the cost of each function performed by each 
participating agency and contractor; and
    (d) A copy of contracts, memoranda, or other documents pertaining to 
the functions performed by the participating agencies and contractors.

[CGD 73-185, 41 FR 12630, Mar. 25, 1976, as amended by CGD 84-067, 51 FR 
17967, May 16, 1986]



Sec. 153.417  Reimbursement for actions under section 311(c) or 311(d) of the Act of the Intervention on the High Seas Act.

    (a) Each Federal or State agency requesting reimbursement for an 
action authorized under section 311(c) or 311(d) of the Act or under the 
Intervention on the High Seas Act must, within 60 days after completion 
of the action, submit to the cognizant District Commander, through the 
OSC for review and certification required in paragraph (b) of this 
section, lists accompanied by supporting accounting data, itemizing 
actual costs incurred.
    (b) Requests for reimbursement submitted by Federal and State 
agencies are reviewed by the OSC to ensure that the costs for which 
reimbursement is being sought were authorized as Phase III removal 
actions for oil discharges, or removal actions as defined in Subpart F 
for hazardous substance discharges, and must have one of the following 
certifications by the OSC, as appropriate:
    (1) I certify that the actions for which reimbursement is being 
requested in the attached statements were authorized by me as [(Phase 
III oil removal actions) or (hazardous substance removal actions)], and 
reasonable costs related thereto are proper for payment from the 
Pollution Fund.

_______________________________________________________________________
(OSC signature)
_______________________________________________________________________
(Incident title)
_______________________________________________________________________
(Pollution incident project number)

    (2) I certify that, except as noted below, the actions for which 
reimbursement is being requested in the attached statements were 
authorized by me as [(Phase III oil removal actions) or (hazardous 
substance removal actions)], and reasonable costs related thereto

[[Page 293]]

are proper for payment from the Pollution Fund. The following actions 
were not authorized by me and are not subject to reimbursement from the 
Pollution Fund:

_______________________________________________________________________
(OSC Signature)
_______________________________________________________________________
(Incident title)
_______________________________________________________________________
(Pollution incident project number)

[CGD 84-067, 51 FR 17967, May 16, 1986]



PART 154--FACILITIES TRANSFERRING OIL OR HAZARDOUS MATERIAL IN BULK--Table of Contents




                           Subpart A--General

Sec.
154.100  Applicability.
154.105  Definitions.
154.106  Incorporation by reference.
154.107  Alternatives.
154.108  Exemptions.
154.110  Letter of intent.
154.120  Facility examinations.

                      Subpart B--Operations Manual

154.300  Operations manual: General.
154.310  Operations manual: Contents.
154.320  Operations manual: Amendment.
154.325  Operations manual: Procedures for examination.

                    Subpart C--Equipment Requirements

154.500  Hose assemblies.
154.510  Loading arms.
154.520  Closure devices.
154.525  Monitoring devices.
154.530  Small discharge containment.
154.540  Discharge removal.
154.545  Discharge containment equipment.
154.550  Emergency shutdown.
154.560  Communications.
154.570  Lighting.

                     Subpart D--Facility Operations

154.700  General.
154.710  Persons in charge: Designation and qualification.
154.730  Persons in charge: Evidence of designation.
154.735  Safety requirements.
154.740  Records.
154.750  Compliance with operations manual.

                    Subpart E--Vapor Control Systems

154.800  Applicability.
154.802  Definitions.
154.804  Review, certification, and initial inspection.
154.806  Application for acceptance as a certifying entity.
154.808  Vapor control system, general.
154.810  Vapor line connections.
154.812  Facility requirements for vessel liquid overfill protection.
154.814  Facility requirements for vessel vapor overpressure and vacuum 
          protection.
154.820  Fire, explosion, and detonation protection.
154.822  Detonation arresters, flame arresters, and flame screens.
154.824  Inerting, enriching, and diluting systems.
154.826  Vapor compressors and blowers.
154.828  Vapor recovery and vapor destruction units.
154.840  Personnel training.
154.850  Operational requirements.

              Subpart F--Response Plans for Oil Facilities

154.1010  Purpose.
154.1015  Applicability.
154.1016  Facility classification by COTP.
154.1017  Response plan submission requirements.
154.1020  Definitions.
154.1025  Operating restrictions and interim operating authorization.
154.1026  Qualified individual and alternate qualified individual.
154.1028  Methods of ensuring the availability of response resources by 
          contract or other approved means.
154.1029  Worst case discharge.
154.1030  General response plan contents.
154.1035  Specific requirements for facilities that could reasonably be 
          expected to cause significant and substantial harm to the 
          environment.
154.1040  Specific requirements for facilities that could reasonably be 
          expected to cause substantial harm to the environment.
154.1041  Specific response information to be maintained on mobile MTR 
          facilities.
154.1045  Response plan development and evaluation criteria for 
          facilities that handle, store, or transport Group I through 
          Group IV petroleum oils.
154.1047  Response plan development and evaluation criteria for 
          facilities that handle, store, or transport Group V petroleum 
          oils.
154.1050  Training.
154.1055  Exercises.
154.1057  Inspection and maintenance of response resources.
154.1060  Submission and approval procedures.
154.1065  Plan review and revision procedures.
154.1070  Deficiencies.

[[Page 294]]

154.1075  Appeal process.

  Subpart G--Additional Response Plan Requirements for a Trans-Alaska 
Pipeline Authorization Act (TAPAA) Facility Operating in Prince William 
                              Sound, Alaska

154.1110  Purpose and applicability.
154.1115  Definitions.
154.1120  Operating restrictions and interim operating authorization.
154.1125  Additional response plan requirements.
154.1130  Requirements for prepositioned response equipment.
154.1135  Response plan development and evaluation criteria.
154.1140  TAPAA facility contracting with a vessel.

 Subpart H--Response Plans for Animal Fats and Vegetable Oils Facilities

154.1210  Purpose and applicability.
154.1216  Facility classification.
154.1220  Response plan submission requirements.
154.1225  Specific response plan development and evaluation criteria and 
          other requirements for fixed facilities that handle, store, or 
          transport animal fats or vegetable oils.
154.1228  Methods of ensuring the availability of response resources by 
          contract or other approved means.
154.1240  Specific requirements for animal fats and vegetable oils 
          facilities that could reasonably be expected to cause 
          substantial harm to the environment.

    Subpart I--Response Plans for Other Non-Petroleum Oil Facilities

154.1310  Purpose and applicability.
154.1320  Response plan submission requirements.
154.1325  Response plan development and evaluation criteria for 
          facilities that handle, store, or transport other non-
          petroleum oils.

Appendix A to Part 154--Guidelines for Detonation Flame Arresters
Appendix B to Part 154--Standard Specification for Tank Vent Flame 
          Arresters
Appendix C to Part 154--Guidelines for Determining and Evaluating 
          Required Response Resources for Facility Response Plans
Appendix D to Part 154--Training Elements for Oil Spill Response Plans

    Authority: 33 U.S.C. 1231, 1321(j)(1)(C), (j)(5), (j)(6), and 
(m)(2); sec. 2, E.O. 12777, 56 FR 54757; 49 CFR 1.46. Subpart F is also 
issued under 33 U.S.C. 2735.



                           Subpart A--General



Sec. 154.100  Applicability.

    (a) This part applies to each facility that is capable of 
transferring oil or hazardous materials, in bulk, to or from a vessel, 
where the vessel has a total capacity, from a combination of all bulk 
products carried, of 39.75 cubic meters (250 barrels) or more. This part 
does not apply to the facility when it is in a caretaker status. This 
part does not apply to any offshore facility operating under the 
jurisdiction of the Secretary of the Department of Interior.
    (b) Upon written notice to the facility operator, the COTP may 
apply, as necessary for the safety of the facility, its personnel, or 
the public, all or portions of Sec. 154.735 to each facility that is 
capable of transferring oil or hazardous material, in bulk, only to or 
from a vessel with a capacity of less than 250 barrels. If the facility 
is in caretaker status, the COTP may not apply the provisions of 
Sec. 154.735 to the facility if its storage tanks and piping are gas 
free.
    (c) Upon a determination by the COTP under Sec. 154.1016 that an MTR 
facility, as defined in subpart F, could reasonably be expected to cause 
substantial harm to the environment by discharging oil into or on the 
navigable waters, adjoining shorelines, or exclusive economic zone, 
subpart F of this part is applicable to the facility.
    (d) The following sections of this part apply to mobile facilities:
    (1) Section 154.105 Definitions.
    (2) Section 154.107 Alternatives.
    (3) Section 154.108 Exemptions.
    (4) Section 154.110 Letter of Intent.
    (5) Section 154.120 Facility examinations.
    (6) Section 154.300 Operations Manual: General.
    (7) Section 154.310 Operations Manual: Contents. Paragraphs (a)(2), 
(a)(3), (a)(5) through (a)(7), (a)(9), (a)(12), (a)(14), (a)(16), 
(a)(17)(ii) through (a)(17)(iv), (a)(18), (a)(20) through (23), (c) and 
(d).
    (8) Section 154.320 Operations Manual: Amendment.
    (9) Section 154.325 Operations Manual: Procedures for examination.

[[Page 295]]

    (10) Section 154.500 Hose assemblies. Paragraphs (a), (b), (c), 
(d)(1) through (3) and (e)(1) through (3).
    (11) Section 154.520 Closure devices.
    (12) Section 154.530 Small discharge containment. Paragraphs (a)(1) 
through (3) and (d).
    (13) Section 154.545 Discharge containment equipment.
    (14) Section 154.550 Emergency shutdown.
    (15) Section 154.560 Communications.
    (16) Section 154.570 Lighting. Paragraphs (c) and (d).
    (17) Section 154.700 General.
    (18) Section 154.710 Persons in charge: Designation and 
qualification. Paragraphs (a) through (c), (d)(1) through (3), (d)(7) 
and (e).
    (19) Section 154.730 Persons in charge: Evidence of designation.
    (20) Section 154.735 Safety requirements. Paragraphs (d), (f), (g), 
(j)(1) through (2), (k)(1) through (2), (m), (o) through (q), (r)(1) 
through (3), (s) and (v).
    (21) Section 154.740 Records. Paragraphs (a) through (f) and (j).
    (22) Section 154.750 Compliance with Operations Manual.

[CGD 86-034, 55 FR 36252, Sept. 4, 1990, as amended by CGD 91-036, 58 FR 
7352, Feb. 5, 1993; CGD 93-056, 61 FR 41457, Aug. 8, 1996]



Sec. 154.105  Definitions.

    As used in this part:
    Barrel means a quantity of liquid equal to 42 U.S. gallons.
    Boundary Line means any of the lines described in 46 CFR part 7.
    Captain of the Port (COTP) means the U.S. Coast Guard officer 
commanding a Captain of the Port Zone described in Part 3 of this 
chapter, or that person's authorized representative.
    Caretaker Status denotes a facility where all piping, hoses, loading 
arms, storage tanks, and related equipment in the marine transfer area 
are completely free of oil or hazardous materials, where these 
components have been certified as being gas free, where piping, hoses, 
and loading arms terminating near any body of water have been blanked, 
and where the facility operator has notified the COTP that the facility 
will be in caretaker status.
    Commandant means the Commandant of the Coast Guard or an authorized 
representative.
    Contiguous Zone means the entire zone established by the United 
States under Article 24 of the Convention on the Territorial Sea and the 
Contiguous Zone, but not extending beyond 12 miles from the baseline 
from which the breadth of the territorial sea is measured.
    District Commander means the officer of the Coast Guard designated 
by the Commandant to command a Coast Guard District, as described in 
Part 3 of this chapter or an authorized representative.
    Facility means either an onshore or offshore facility, except for an 
offshore facility operating under the jurisdiction of the Secretary of 
the Department of Interior, and includes, but is not limited to, 
structure, equipment, and appurtenances thereto, used or capable of 
being used to transfer oil or hazardous materials to or from a vessel or 
public vessel. Also included are facilities that tank clean or strip and 
any floating structure that is used to support an integral part of the 
facility's operation. A facility includes federal, state, municipal, and 
private facilities.
    Facility operator means the person who owns, operates, or is 
responsible for the operation of the facility.
    Hazardous material means a liquid material or substance, other than 
oil or liquefied gases, listed under 46 CFR 153.40 (a), (b), (c), or 
(e).
    Marine transfer area means that part of a waterfront facility 
handling oil or hazardous materials in bulk between the vessel, or where 
the vessel moors, and the first manifold or shutoff valve on the 
pipeline encountered after the pipeline enters the secondary containment 
required under 40 CFR 112.7 or 49 CFR 195.264 inland of the terminal 
manifold or loading arm, or, in the absence of secondary containment, to 
the valve or manifold adjacent to the bulk storage tank, including the 
entire pier or wharf to which a vessel transferring oil or hazardous 
materials is moored.
    MARPOL 73/78 means the International Convention for the Prevention 
of Pollution from Ships, 1973 (done at London, November 2, 1973) as 
modified

[[Page 296]]

by the Protocol of 1978 relating to the International Convention for the 
Prevention of Pollution from Ships, 1973 (done at London, February 17, 
1978).
    Mobile facility means any facility that can readily change location, 
such as a tank truck or tank car, other than a vessel or public vessel.
    Monitoring device means any fixed or portable sensing device used to 
monitor for a discharge of oil or hazardous material onto the water, 
within or around a facility, and designed to notify operating personnel 
of a discharge of oil or hazardous material.
    Officer in Charge, Marine Inspection (OCMI) means the U.S. Coast 
Guard officer commanding a Marine Inspection Zone described in Part 3 of 
this chapter, or an authorized representative.
    Offshore facility means any facility of any kind located in, on, or 
under, any of the navigable waters of the United States, and any 
facility of any kind which is subject to the jurisdiction of the United 
States and is located in, on, or under any other waters, other than a 
vessel or a public vessel.
    Oil means oil of any kind or in any form, including but not limited 
to, petroleum, fuel oil, sludge, oil refuse, and oil mixed with wastes 
other than dredged spoil.
    Onshore facility means any facility (including, but not limited to, 
motor vehicles and rolling stock) of any kind located in, on, or under 
any land within the United States other than submerged land.
    Person in charge means an individual designated as a person in 
charge of transfer operations under Sec. 154.710 (for facilities) or 
Sec. 155.700 (for vessels) of this chapter.
    STCW means the International Convention on Standards of Training, 
Certification, and Watchkeeping for Seafarers, 1978.
    Self-propelled tank vessel means a self-propelled tank vessel other 
than a tankship.
    Tank barge means a non-self-propelled tank vessel.
    Tankship means a self-propelled tank vessel constructed or adapted 
primarily to carry oil or hazardous material in bulk in the cargo 
spaces.
    Tank vessel means a vessel that is constructed or adapted to carry, 
or that carries, oil or hazardous material in bulk as cargo or cargo 
residue, and that--
    (a) Is a vessel of the United States;
    (b) Operates on the navigable waters of the United States; or
    (c) Transfers oil or hazardous material in a port or place subject 
to the jurisdiction of the United States.
    Transfer means any movement of oil or hazardous material to, from, 
or within a vessel by means of pumping, gravitation, or displacement. A 
transfer is considered to begin when the person in charge on the 
transferring vessel or facility and the person in charge on the 
receiving facility or vessel first meet to begin completing the 
declaration of inspection as required by Sec. 156.150 of this chapter. A 
transfer is considered to be complete when all the connections for the 
transfer have been uncoupled and secured with blanks or other closure 
devices and both of the persons in charge have completed the declaration 
of inspection to include the date and time the transfer was complete.
    Vessel operator means a person who owns, operates, or is responsible 
for the operation of a vessel.

[CGD 75-124, 45 FR 7169, Jan. 31, 1980, as amended by CGD 86-034, 55 FR 
36252, Sept. 4, 1990; CGD 79-116, 60 FR 17141, Apr. 4, 1995; CGD 93-056, 
61 FR 41458, Aug. 8, 1996; 62 FR 3610, Jan. 24, 1997; CGD 79-116, 62 FR 
25125, May 8, 1997]



Sec. 154.106  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in paragraph (b) of this section, the Coast Guard 
must publish notice of change in the Federal Register and make the 
material available to the public. All approved material is on file at 
the Office of the Federal Register, 800 North Capitol Street NW., suite 
700, Washington, DC and at the U.S. Coast Guard, Office of the 
Compliance (G-MOC), Room 1116, 2100 Second Street SW., Washington, DC 
20593-0001, and is available from the sources indicated in paragraph (b) 
of this section.

[[Page 297]]

    (b) The material approved for incorporation by reference in this 
part and the sections affected are:

                   American Petroleum Institute (API)

2101 L Street NW., Washington, DC 20037
API Standard 2000, Venting Atmospheric and Low-Pressure Storage Tanks 
(Nonrefrigerated and Refrigerated), Third Edition, January 1982 
(reaffirmed December 1987).......................................154.814
API Recommended Practice 550, Manual on Installation of Refinery 
Instruments and Control Systems, Part II--Process Stream Analyzers, 
Section 1--Oxygen Analyzers, Fourth Edition, February 1985.......154.824

              American National Standards Institute (ANSI)

11 West 42nd Street, New York, NY 10036
ANSI B16.5, Steel Pipe Flanges and Flanged Fittings, 1988.......154.500; 
                                                        154.808; 154.810
ANSI B16.24, Bronze Pipe Flanges and Flange Fittings Class 150 and 300, 
1979....................................................154.500; 154.808
ANSI B31.3, Chemical Plant and Petroleum Refinery Piping, 1987 
(including B31.3a-1988, B31.3b-1988, and B31.3c-1989 addenda)...154.510; 
                                                                 154.808

            American Society for Testing and Materials (ASTM)

100 Barr Harbor Drive, West Conshohocken, PA 19428-2959.
ASTM F 631-93, Standard Guide for Collecting Skimmer Performance Data in 
Controlled Environments.......................................Appendix C
ASTM F 715-95, Standard Test Methods for Coated Fabrics Used for Oil 
Spill Control and Storage.....................................Appendix C
ASTM F 722-82 (1993), Standard Specification for Welded Joints for 
Shipboard Piping Systems..........................Appendix A; Appendix B
ASTM F 1122-87 (1992), Standard Specification for Quick Disconnect 
Couplings........................................................154.500
ASTM F 1155-98, Standard Practice for Selection and Application of 
Piping System Materials...........................Appendix A; Appendix B

             International Electrotechnical Commission (IEC)

Bureau Central de la Commission Electrotechnique Internationale, 1 rue 
          de Varembe, Geneva, Switzerland
IEC 309-1--Plugs, Socket-Outlets and Couplers for Industrial Purposes: 
Part 1, General Requirements, 1979...............................154.812
IEC 309-2--Plugs, Socket-Outlets and Couplers for Industrial Purposes; 
Part 2, Dimensional Interchangeability Requirements for Pin and Contact-
tube Accessories, 1981...........................................154.812

          National Electrical Manufacturers Association (NEMA)

2101 L Street NW., Washington, DC 20036
ANSI NEMA WD-6--Wiring Devices, Dimensional Requirements, 1988...154.812

               National Fire Protection Association (NFPA)

1 Batterymarch Park, Quincy, MA 02269-9101
NFPA 51B, Standard for Fire Prevention in Use of Cutting and Welding 
Processes, 1994..................................................154.735

            Oil Companies International Marine Forum (OCIMF)

96 Victoria Street, 15th Floor, London SW1E 5JW, England
International Safety Guide for Oil Tankers and Terminals, Section 6.10, 
Fourth Ed., 1996.................................................154.810
International Safety Guide for Oil Tankers and Terminals, Sections 9.1, 
9.2, 9.3 and 9.5, Fourth Ed., 1996...............................154.735

[CGD 88-032, 56 FR 35819, July 29, 1991, as amended by CGD 91-036, 58 FR 
7352, Feb. 5, 1993; CGD 96-026, 61 FR 33665, June 28, 1996; CGD 93-056, 
61 FR 41458, Aug. 8, 1996; 61 FR 42462, Aug. 15, 1996; USCG-1999-5151, 
64 FR 67175, Dec. 1, 1999]



Sec. 154.107  Alternatives.

    (a) The COTP may consider and approve alternative procedures, 
methods, or equipment standards to be used by a facility operator in 
lieu of any requirement in this part if:
    (1) Compliance with the requirement is economically or physically 
impractical;
    (2) The alternative provides an equivalent level of safety and 
protection from pollution by oil or hazardous material, which is 
documented in the request; and
    (3) The facility operator submits a written request for the 
alternative.
    (b) The COTP takes final approval or disapproval action on the 
request, submitted in accordance with paragraph (a) of this section, in 
writing within 30 days of receipt of the request.

[CGD 75-124, 45 FR 7169, Jan. 31, 1980, as amended by CGD 86-034, 55 FR 
36252, Sept. 4, 1990; CGD 93-056, 61 FR 41458, Aug. 8, 1996]

[[Page 298]]



Sec. 154.108  Exemptions.

    (a) The Assistant Commandant for Marine Safety and Environmental 
Protection, acting for the Commandant, grants an exemption or partial 
exemption from compliance with any requirement in this part if:
    (1) A facility operator submits an application for the exemption via 
the COTP; and
    (2) It is determined, from the application, that:
    (i) Compliance with the requirement is economically or physically 
impractical;
    (ii) No alternative procedures, methods, or equipment standards 
exist that would provide an equivalent level of safety and protection 
from pollution by oil or hazardous material; and
    (iii) The likelihood of oil or hazardous material being discharged 
is not substantially increased as a result of the exemption.
    (b) If requested, the applicant must submit any appropriate 
information, including an environmental and economic assessment of the 
effects of and reasons for the exemption, and proposed procedures, 
methods or equipment standards.
    (c) The exemption may specify the procedures, methods, or equipment 
standards that will apply.
    (d) An exemption is granted or denied in writing. The decision of 
the Assistant Commandant for Marine Safety and Environmental Protection 
is a final agency action.

[CGD 75-124, 45 FR 7169, Jan. 31, 1980, as amended by CGD 88-052, 53 FR 
25122, July 1, 1988; CGD 86-034, 55 FR 36252, Sept. 4, 1990; 55 FR 
49997, Dec. 4, 1990; CGD 96-026, 61 FR 33666, June 28, 1996; CGD 93-056, 
61 FR 41458, Aug. 8, 1996; CGD 97-023, 62 FR 33364, June 19, 1997]



Sec. 154.110  Letter of intent.

    (a) The facility operator of any facility to which this part applies 
must submit a letter of intent to operate a facility or to conduct 
mobile facility operations to the COTP not less than 60 days before the 
intended operations unless a shorter period is allowed by the COTP. 
Previously submitted letters of intent need not be resubmitted.
    (b) The letter of intent required by paragraph (a) of this section 
may be in any form but must contain:
    (1) The names, addresses, and telephone numbers of the facility 
operator and the facility owner;
    (2) The name, address, and telephone number of the facility or, in 
the case of a mobile facility, the dispatching office; and
    (3) Except for a mobile facility, the geographical location of the 
facility in relation to the associated body of navigable waters.
    (c) The facility operator of any facility for which a letter of 
intent has been submitted, shall within five (5) days advise the COTP in 
writing of any changes of information and shall cancel, in writing, the 
letter for any facility at which transfer operations are no longer 
conducted.

[CGD 75-124, 45 FR 7169, Jan. 31, 1980, as amended by CGD 86-034, 55 FR 
36252, Sept. 4, 1990; CGD 93-056, 61 FR 41458, Aug. 8, 1996]



Sec. 154.120  Facility examinations.

    (a) The facility operator shall allow the Coast Guard, at any time, 
to make any examination and shall perform, upon request, any test to 
determine compliance with this part and part 156, as applicable. The 
facility operator shall conduct all required testing of facility 
equipment in a manner acceptable to the Coast Guard.
    (b) The COTP shall provide the facility operator with a written 
report of the results of the examination for the record required by 
Sec. 154.740(e) and shall list the deficiencies in the report when the 
facility is not in compliance with the requirements in this part and 
Part 156 of this chapter.

[CGD 75-124, 45 FR 7169, Jan. 31, 1980]



                      Subpart B--Operations Manual



Sec. 154.300  Operations manual: General.

    (a) The facility operator of each facility to which this part 
applies shall submit, with the letter of intent, two copies of an 
Operations Manual that:
    (1) Describes how the applicant meets the operating rules and 
equipment requirements prescribed by this part and Part 156 of this 
chapter;

[[Page 299]]

    (2) Describes the responsibilities of personnel under this part and 
Part 156 of this chapter in conducting transfer operations; and
    (3) Includes translations into a language or languages understood by 
all designated persons in charge of transfer operations employed by the 
facility.
    (b) The facility operator shall maintain the operations manual so 
that it is:
    (1) Current; and
    (2) Readily available for examination by the COTP.
    (c) The COTP shall examine the Operations Manual when submitted, 
after any substantial amendment, and as otherwise required by the COTP.
    (d) In determining whether the manual meets the requirements of this 
part and Part 156 of this chapter the COTP shall consider the size, 
complexity, and capability of the facility.
    (e) If the manual meets the requirements of this part and part 156 
of this chapter, the COTP will return one copy of the manual marked 
``Examined by the Coast Guard'' as described in Sec. 154.325.
    (f) The facility operator shall ensure that a sufficient number of 
copies of the examined Operations Manual, including a sufficient number 
of the translations required by paragraph (a)(3) of this section, are 
readily available for each facility person in charge while conducting a 
transfer operation.
    Note: The facility operator may request that the contents of the 
operations manual or portions thereof be considered commercial or 
financial information that is privileged or confidential. Under the 
Freedom of Information Act, the Coast Guard would withhold any part of 
the contents of the operations manual from public disclosure upon 
determining that it is commercial or financial information that is 
privileged or confidential.

[CGD 75-124, 45 FR 7169, Jan. 31, 1980, as amended by CGD 86-034, 55 FR 
36253, Sept. 4, 1990; CGD 93-056, 61 FR 41458, Aug. 8, 1996]



Sec. 154.310  Operations manual: Contents.

    (a) Each operations manual required by Sec. 154.300 must contain:
    (1) The geographic location of the facility;
    (2) A physical description of the facility including a plan and/or 
plans, maps, drawings, aerial photographs or diagrams, showing the 
boundaries of the facility subject to Coast Guard jurisdiction, mooring 
areas, transfer locations, control stations, wharfs, the extent and 
scope of the piping subject to the tests required by Sec. 156.170(c)(4) 
of this chapter, and the locations of safety equipment. For mobile 
facilities, a physical description of the facility;
    (3) The hours of operation of the facility;
    (4) The sizes, types, and number of vessels that the facility can 
transfer oil or hazardous material to or from simultaneously;
    (5) For each product transferred at the facility:
    (i) Generic or chemical name; and
    (ii) The following cargo information:
    (a) The name of the cargo as listed under appendix II of annex II of 
MARPOL 73/78, Table 30.25-1 of 46 CFR 30.25-1, Table 151.05 of 46 CFR 
151.05-1, or Table 1 of 46 CFR part 153.
    (b) A description of the appearance of the cargo;
    (c) A description of the odor of the cargo;
    (d) The hazards involved in handling the cargo;
    (e) Instructions for safe handling of the cargo;
    (f) The procedures to be followed if the cargo spills or leaks, or 
if a person is exposed to the cargo; and
    (g) A list of fire fighting procedures and extinguishing agents 
effective with fires involving the cargo.
    (6) The minimum number of persons on duty during transfer operations 
and their duties;
    (7) The name and telephone number of the qualified individual 
identified under Sec. 154.1026 of this part and the title and/or 
position and telephone number of the Coast Guard, State, local, and 
other personnel who may be called by the employees of the facility in an 
emergency;
    (8) The duties of watchmen, required by Sec. 155.810 of this chapter 
and 46 CFR 35.05-15, for unmanned vessels moored at the facility;
    (9) A description of each communication system required by this 
part;
    (10) The location and facilities of each personnel shelter, if any;

[[Page 300]]

    (11) A description and instructions for the use of drip and 
discharge collection and vessel slop reception facilities, if any;
    (12) A description and the location of each emergency shutdown 
system;
    (13) Quantity, types, locations, and instructions for use of 
monitoring devices if required by Sec. 154.525;
    (14) Quantity, type, location, instructions for use, and time limits 
for gaining access to the containment equipment required by 
Sec. 154.545;
    (15) Quantity, type, location, and instructions for use of fire 
extinguishing equipment required by Sec. 154.735(d) of this part;
    (16) The maximum allowable working pressure (MAWP) of each loading 
arm, transfer pipe system, and hose assembly required to be tested by 
Sec. 156.170 of this chapter, including the maximum relief valve setting 
(or maximum system pressure when relief valves are not provided) for 
each transfer system;
    (17) Procedures for:
    (i) Operating each loading arm including the limitations of each 
loading arm;
    (ii) Transferring oil or hazardous material;
    (iii) Completion of pumping; and
    (iv) Emergencies;
    (18) Procedures for reporting and initial containment of oil or 
hazardous material discharges;
    (19) A brief summary of applicable Federal, state, and local oil or 
hazardous material pollution laws and regulations;
    (20) Procedures for shielding portable lighting authorized by the 
COTP under Sec. 154.570(c); and
    (21) A description of the training and qualification program for 
persons in charge.
    (22) Statements explaining that each hazardous materials transfer 
hose is marked with either the name of each product which may be 
transferred through the hose or with letters, numbers, symbols, color 
codes or other system acceptable to the COTP representing all such 
products and the location in the Operations Manual where a chart or list 
of symbols utilized is located and a list of the compatible products 
which may be transferred through the hose can be found for consultation 
before each transfer; and
    (23) For facilities that conduct tank cleaning or stripping 
operations, a description of their procedures.
    (b) lf a facility collects vapors emitted from vessel cargo tanks 
for recovery, destruction, or dispersion, the operations manual must 
contain a description of the vapor collection system at the facility 
which includes:
    (1) A line diagram or simplified piping and instrumentation diagram 
(P&ID) of the facility's vapor control system piping, including the 
location of each valve, control device, pressure-vacuum relief valve, 
pressure indicator, flame arrester, and detonation arrester; and
    (2) A description of the vapor control system's design and operation 
including the:
    (i) Vapor line connection;
    (ii) Startup and shutdown procedures;
    (iii) Steady state operating procedures;
    (iv) Provisions for dealing with pyrophoric sulfide (for facilities 
which handle inerted vapors of cargoes containing sulfur);
    (v) Alarms and shutdown devices; and
    (vi) Pre-transfer equipment inspection requirements.
    (c) The facility operator shall incorporate a copy of each amendment 
to the operations manual under Sec. 154.320 in each copy of the manual 
with the related existing requirement, or add the amendment at the end 
of each manual if not related to an existing requirement.
    (d) The operations manual must be written in the order specified in 
paragraph (a) of this section, or contain a cross-referenced index page 
in that order.

(Approved by the Office of Management and Budget under control number 
2115-0078)

[CGD 75-124, 45 FR 7171, Jan. 31, 1980, as amended by CGD 88-102, 55 FR 
25428, June 21, 1990; CGD 86-034, 55 FR 36253, Sept. 4, 1990; CGD 92-
027, 58 FR 39662, July 26, 1993; CGD 93-056, 61 FR 41459, Aug. 8, 1996]

[[Page 301]]



Sec. 154.320  Operations manual: Amendment.

    (a) Using the following procedures, the COTP may require the 
facility operator to amend the operations manual if the COTP finds that 
the operations manual does not meet the requirements in this part:
    (1) The COTP will notify the facility operator in writing of any 
inadequacies in the Operations Manual. The facility operator may submit 
written information, views, and arguments regarding the inadequacies 
identified, and proposals for amending the Manual, within 45 days from 
the date of the COTP notice. After considering all relevant material 
presented, the COTP shall notify the facility operator of any amendment 
required or adopted, or the COTP shall rescind the notice. The amendment 
becomes effective 60 days after the facility operator receives the 
notice, unless the facility operator petitions the Commandant to review 
the COTP's notice, in which case its effective date is delayed pending a 
decision by the Commandant. Petitions to the Commandant must be 
submitted in writing via the COTP who issued the requirement to amend 
the Operations Manual.
    (2) If the COTP finds that there is a condition requiring immediate 
action to prevent the discharge or risk of discharge of oil or hazardous 
material that makes the procedure in paragraph (a)(1) of this section 
impractical or contrary to the public interest, the COTP may issue an 
amendment effective on the date the facility operator receives notice of 
it. In such a case, the COTP shall include a brief statement of the 
reasons for the findings in the notice. The owner or operator may 
petition the Commandant to review the amendment, but the petition does 
not delay the amendment.
    (b) The facility operator may propose amendments to the operations 
manual by:
    (1) Submitting any proposed amendment and reasons for the amendment 
to the COTP not less than 30 days before the requested effective date of 
the proposed amendment; or
    (2) If an immediate amendment is needed, requesting the COTP to 
approve the amendment immediately.
    (c) The COTP shall respond to proposed amendments submitted under 
paragraph (b) of this section by:
    (1) Approving or disapproving the proposed amendments;
    (2) Advising the facility operator whether the request is approved, 
in writing, before the requested date of the amendments;
    (3) Including any reasons in the written response if the request is 
disapproved; and
    (4) If the request is made under paragraph (b)(2) of this section 
immediately approving or rejecting the request.
    (d) Amendments to personnel and telephone number lists required by 
Sec. 154.310(a)(7) of this part do not require examination by the COTP, 
but the COTP must be advised of such amendments as they occur.

[CGD 75-124, 45 FR 7171, Jan. 31, 1980, as amended by CGD 86-034, 55 FR 
36253, Sept. 4, 1990; CGD 93-056, 61 FR 41459, Aug. 8, 1996]



Sec. 154.325  Operations manual: Procedures for examination.

    (a) The operator of a facility shall submit two copies of the 
Operations Manual to the Captain of the Port of the zone in which the 
facility is located.
    (b) Not less than 60 days prior to any transfer operation, the 
operator of a new facility shall submit, with the letter of intent, two 
copies of the Operations Manual to the Captain of the Port of the zone 
in which the facility is located.
    (c) After a facility is removed from caretaker status, not less than 
30 days prior to any transfer operation the operator of that facility 
shall submit two copies of the Operations Manual to the COTP of the zone 
in which the facility is located unless the manual has been previously 
examined and no changes have been made since the examination.
    (d) If the COTP finds that the Operations Manual meets the 
requirements of this part and part 156 of this chapter, the COTP will 
return one copy of the manual to the operator marked ``Examined by the 
Coast Guard''.
    (e) If the COTP finds that the Operations Manual does not meet the 
requirements of this part and/or part 156 of this chapter, the COTP will 
return the manuals with an explanation of

[[Page 302]]

why it does not meet the requirements of this chapter.
    (f) No person may use any Operations Manual for transfer operations 
as required by this chapter unless the Operations Manual has been 
examined by the COTP.
    (g) The Operations Manual is voided if the facility operator--
    (1) Amends the Operations Manual without following the procedures in 
Sec. 154.320 of this part;
    (2) Fails to amend the Operations Manual when required by the COTP; 
or
    (3) Notifies the COTP in writing that the facility will be placed in 
caretaker status.

[CGD 93-056, 61 FR 41459, Aug. 8, 1996]



                    Subpart C--Equipment Requirements



Sec. 154.500  Hose assemblies.

    Each hose assembly used for transferring oil or hazardous material 
must meet the following requirements:
    (a) The minimum design burst pressure for each hose assembly must be 
at least four times the sum of the pressure of the relief valve setting 
(or four times the maximum pump pressure when no relief valve is 
installed) plus the static head pressure of the transfer system, at the 
point where the hose is installed.
    (b) The maximum allowable working pressure (MAWP) for each hose 
assembly must be more than the sum of the pressure of the relief valve 
setting (or the maximum pump pressure when no relief valve is installed) 
plus the static head pressure of the transfer system, at the point where 
the hose is installed.
    (c) Each nonmetallic hose must be usable for oil or hazardous 
material service.
    (d) Each hose assembly must either have:
    (1) Full threaded connections;
    (2) Flanges that meet standard B16.5, Steel Pipe Flanges and Flang 
Fittings, or standard B.16.24, Brass or Bronze Pipe Flanges, of the 
American National Standards Institute (ANSI); or
    (3) Quick-disconnect couplings that meet ASTM F 1122 (incorporated 
by reference, see Sec. 154.106).
    (e) Each hose must be marked with one of the following:
    (1) The name of each product for which the hose may be used; or
    (2) For oil products, the words ``OIL SERVICE''; or
    (3) For hazardous materials, the words ``HAZMAT SERVICE--SEE LIST'' 
followed immediately by a letter, number or other symbol that 
corresponds to a list or chart contained in the facility's operations 
manual or the vessel's transfer procedure documents which identifies the 
products that may be transferred through a hose bearing that symbol.
    (f) Each hose also must be marked with the following, except that 
the information required by paragraphs (f)(2) and (3) of this section 
need not be marked on the hose if it is recorded in the hose records of 
the vessel or facility, and the hose is marked to identify it with that 
information:
    (1) Maximum allowable working pressure;
    (2) Date of manufacture; and
    (3) Date of the latest test required by Sec. 156.170.
    (g) The hose burst pressure and the pressure used for the test 
required by Sec. 156.170 of this chapter must not be marked on the hose 
and must be recorded elsewhere at the facility as described in paragraph 
(f) of this section.
    (h) Each hose used to transfer fuel to a vessel that has a fill pipe 
for which containment can not practically be provided must be equipped 
with an automatic back pressure shutoff nozzle.

[CGD 75-124, 45 FR 7172, Jan. 31, 1980, as amended by CGD 86-034, 55 FR 
36253, Sept. 4, 1990; CGD 88-032, 56 FR 35820, July 29, 1991; CGD 92-
027, 58 FR 39662, July 26, 1993; CGD 93-056, 61 FR 41459, Aug. 8, 1996; 
USCG-2000-7223, 65 FR 40057, June 29, 2000]



Sec. 154.510  Loading arms.

    (a) Each mechanical loading arm used for transferring oil or 
hazardous material and placed into service after June 30, 1973, must 
meet the design, fabrication, material, inspection, and testing 
requirements in ANSI B31.3.
    (b) The manufacturer's certification that the standard in paragraph 
(a) of this section has been met must be permanently marked on the 
loading arm

[[Page 303]]

or recorded elsewhere at the facility with the loading arm marked to 
identify it with that information.
    (c) Each mechanical loading arm used for transferring oil or 
hazardous material must have a means of being drained or closed before 
being disconnected after transfer operations are completed.

[CGD 75-124, 45 FR 7172, Jan. 31, 1980, as amended by CGD 86-034, 55 FR 
36253, Sept. 4, 1990]



Sec. 154.520  Closure devices.

    (a) Except as provided in paragraph (b) of this section, each 
facility to which this part applies must have enough butterfly valves, 
wafer-type resilient seated valves, blank flanges, or other means 
acceptable to the COTP to blank off the ends of each hose or loading arm 
that is not connected for the transfer of oil or hazardous material. 
Such hoses and/or loading arms must be blanked off during the transfer 
of oil or hazardous material. A suitable material in the joints and 
couplings shall be installed on each end of the hose assembly or loading 
arm not being used for transfer to ensure a leak-free seal.
    (b) A new, unused hose, and a hose that has been cleaned and is gas 
free, is exempt from the requirements of paragraph (a) of this section.

[CGD 93-056, 61 FR 41459, Aug. 8, 1996]



Sec. 154.525  Monitoring devices.

    The COTP may require the facility to install monitoring devices if 
the installation of monitoring devices at the facility would 
significantly limit the size of a discharge of oil or hazardous material 
and either:
    (a) The environmental sensitivity of the area requires added 
protection;
    (b) The products transferred at the facility pose a significant 
threat to the environment; or
    (c) The size or complexity of the transfer operation poses a 
significant potential for a discharge of oil or hazardous material.

[CGD 75-124, 45 FR 7172, Jan. 31, 1980, as amended by CGD 86-034, 55 FR 
36253, Sept. 4, 1990]



Sec. 154.530  Small discharge containment.

    (a) Except as provided in paragraphs (c), (d), and (e) of this 
section, each facility to which this part applies must have fixed 
catchments, curbing, or other fixed means to contain oil or hazardous 
material discharged in at least--
    (1) Each hose handling and loading arm area (that area on the 
facility that is within the area traversed by the free end of the hose 
or loading arm when moved from its normal stowed or idle position into a 
position for connection);
    (2) Each hose connection manifold area; and
    (3) Under each hose connection that will be coupled or uncoupled as 
part of the transfer operation during coupling, uncoupling, and 
transfer.
    (b) The discharge containment means required by paragraph (a) of 
this section must have a capacity of at least:
    (1) Two barrels if it serves one or more hoses of 6-inch inside 
diameter or smaller, or loading arms of 6-inch nominal pipe size 
diameter or smaller;
    (2) Three barrels if it serves one or more hoses with an inside 
diameter of more than 6-inches, but less than 12 inches, or loading arms 
with a nominal pipe size diameter of more than 6 inches, but less than 
12 inches; or
    (3) Four barrels if it serves one or more hoses of 12-inch inside 
diameter or larger, or loading arms of 12-inch nominal pipe size 
diameter or larger.
    (c) The facility may use portable means of not less than \1/2\ 
barrel capacity each to meet the requirements of paragraph (a) of this 
section for part or all of the facility if the COTP finds that fixed 
means to contain oil or hazardous material discharges are not feasible.
    (d) A mobile facility may have portable means of not less than five 
gallons capacity to meet the requirements of paragraph (a) of this 
section.
    (e) Fixed or portable containment may be used to meet the 
requirements of paragraph (a)(3) of this section.

[CGD 75-124, 45 FR 7172, Jan. 31, 1980, as amended by CGD 86-034, 55 FR 
36253, Sept. 4, 1990; CGD 93-056, 61 FR 41460, Aug. 8, 1996]

[[Page 304]]



Sec. 154.540  Discharge removal.

    Each facility to which this part applies must have a means to safely 
remove discharged oil or hazardous material, within one hour of 
completion of the transfer, from the containment required by 
Sec. 154.530 of this part without discharging the oil or hazardous 
material into the water.

[CGD 93-056, 61 FR 41460, Aug. 8, 1996]



Sec. 154.545  Discharge containment equipment.

    (a) Each facility must have ready access to enough containment 
material and equipment to contain any oil or hazardous material 
discharged on the water from operations at that facility.
    (b) For the purpose of this section, ``access'' may be by direct 
ownership, joint ownership, cooperative venture, or contractual 
agreement.
    (c) Each facility must establish time limits, subject to approval by 
the COTP, for deployment of the containment material and equipment 
required by paragraph (a) of this section considering:
    (1) Oil or hazardous material handling rates;
    (2) Oil or hazardous material capacity susceptible to being spilled;
    (3) Frequency of facility operations;
    (4) Tidal and current conditions;
    (5) Facility age and configuration; and
    (6) Past record of discharges.
    (d) The COTP may require a facility to surround each vessel 
conducting an oil or hazardous material transfer operation with 
containment material before commencing a transfer operation if--
    (1) The environmental sensitivity of the area requires the added 
protection;
    (2) The products transferred at the facility pose a significant 
threat to the environment;
    (3) The past record of discharges at the facility is poor; or
    (4) The size or complexity of the transfer operation poses a 
significant potential for a discharge of oil or hazardous material; and
    (5) The use of vessel containment provides the only practical means 
to reduce the extent of environmental damage.
    (e) Equipment and procedures maintained to satisfy the provisions of 
this chapter may be utilized in the planning requirements of subpart F 
and subpart H of this part.

[CGD 75-124, 45 FR 7172, Jan. 31, 1980, as amended by CGD 86-034, 55 FR 
36253, Sept. 4, 1990; CGD 93-056, 61 FR 41460, Aug. 8, 1996; USCG-1999-
5149, 65 FR 40825, June 30, 2000]



Sec. 154.550  Emergency shutdown.

    (a) The facility must have an emergency means to enable the person 
in charge of the transfer on board the vessel, at that person's usual 
operating station, to stop the flow of oil or hazardous material from 
the facility to the vessel. The means must be--
    (1) An electrical, pneumatic, or mechanical linkage to the facility; 
or
    (2) An electronic voice communications system continuously operated 
by a person on the facility who can stop the flow of oil or hazardous 
material immediately.
    (b) The point in the transfer system at which the emergency means 
stops the flow of oil or hazardous material on the facility must be 
located near the dock manifold connection to minimize the loss of oil or 
hazardous material in the event of the rupture or failure of the hose, 
loading arm, or manifold valve.
    (c) For oil transfers, the means used to stop the flow under 
paragraph (a) of this section must stop that flow within--
    (1) 60 seconds on any facility or portion of a facility that first 
transferred oil on or before November 1, 1980; and
    (2) 30 seconds on any facility that first transfers oil after 
November 1, 1980.
    (d) For hazardous material transfers, the means used to stop the 
flow under paragraph (a) of this section must stop that flow within--
    (1) 60 seconds on any facility or portion of a facility that first 
transferred hazardous material before October 4, 1990; and
    (2) 30 seconds on any facility that first transfers hazardous 
material on or after October 4, 1990.

[CGD 86-034, 55 FR 36253, Sept. 4, 1990]

[[Page 305]]



Sec. 154.560  Communications.

    (a) Each facility must have a means that enables continuous two-way 
voice communication between the person in charge of the vessel transfer 
operation and the person in charge of the facility transfer operation.
    (b) Each facility must have a means, which may be the communications 
system itself, that enables a person on board a vessel or on the 
facility to effectively indicate the desire to use the means of 
communication required by paragraph (a) of this section.
    (c) The means required by paragraph (a) of this section must be 
usable and effective in all phases of the transfer operation and all 
conditions of weather at the facility.
    (d) A facility may use the system in Sec. 154.550(a)(2) to meet the 
requirement of paragraph (a) of this section.
    (e) Portable radio devices used to comply with paragraph (a) of this 
section during the transfer of flammable or combustible liquids must be 
marked as intrinsically safe by the manufacturer of the device and 
certified as intrinsically safe by a national testing laboratory or 
other certification organization approved by the Commandant as defined 
in 46 CFR 111.105-11. As an alternative to the marking requirement, 
facility operators may maintain documentation at the facility certifying 
that the portable radio devices in use at the facility are in compliance 
with this section.

[CGD 75-124, 45 FR 7172, Jan. 31, 1980; 45 FR 43705, June 30, 1980, as 
amended by CGD 93-056, 61 FR 41460, Aug. 8, 1996]



Sec. 154.570  Lighting.

    (a) Except as provided in paragraph (c) of this section, for 
operations between sunset and sunrise, a facility must have fixed 
lighting that adequately illuminates:
    (1) Each transfer connection point on the facility;
    (2) Each transfer connection point in use on any barge moored at the 
facility to or from which oil or hazardous material is being 
transferred;
    (3) Each transfer operations work area on the facility; and
    (4) Each transfer operation work area on any barge moored at the 
facility to or from which oil or hazardous material is being 
transferred.
    (b) Where the illumination is apparently inadequate, the COTP may 
require verification by instrument of the levels of illumination. On a 
horizontal plane 3 feet above the barge deck or walking surface, 
illumination must measure at least:
    (1) 5.0 foot candles at transfer connection points; and
    (2) 1.0 foot candle in transfer operations work areas.
    (c) For small or remote facilities, the COTP may authorize 
operations with an adequate level of illumination provided by the vessel 
or by portable means.
    (d) Lighting must be located or shielded so as not to mislead or 
otherwise interfere with navigation on the adjacent waterways.

[CGD 75-124, 45 FR 7172, Jan. 31, 1980, as amended by CGD 86-034, 55 FR 
36253, Sept. 4, 1990]



                     Subpart D--Facility Operations



Sec. 154.700  General.

    No person may operate a facility unless the equipment, personnel, 
and operating procedures of that facility meet the requirements of this 
part.

[CGD 75-124, 45 FR 7173, Jan. 31, 1980]



Sec. 154.710  Persons in charge: Designation and qualification.

    No person may serve, and the facility operator may not use the 
services of a person, as person in charge of facility transfer 
operations unless:
    (a) The facility operator has designated that person as a person in 
charge;
    (b) The person has had at least 48 hours of experience in transfer 
operations at a facility in operations to which this part applies. The 
person also has enough experience at the facility for which 
qualification is desired to enable the facility operator to determine 
that the person's experience is adequate;

[[Page 306]]

    (c) The person has completed a training and qualification program 
established by the facility operator and described in the Operations 
Manual in accordance with Sec. 154.310(a)(21), that provides the person 
with the knowledge and training necessary to properly operate the 
transfer equipment at the facility, perform the duties described in 
paragraph (d) of this section, follow the procedures required by this 
part, and fulfill the duties required of a person in charge during an 
emergency, except that the COTP may approve alternative experience and 
training requirements for new facilities; and
    (d) The facility operator must certify that each person in charge 
has the knowledge of, and skills necessary to--
    (1) The hazards of each product to be transferred;
    (2) The rules in this part and in Part 156 of this chapter;
    (3) The facility operating procedures as described in the operations 
manual;
    (4) Vessel transfer systems, in general;
    (5) Vessel transfer control systems, in general;
    (6) Each facility transfer control system to be used;
    (7) Follow local discharge reporting procedures; and
    (8) Carry out the facility's response plan for discharge reporting 
and containment.
    (e) Training conducted to comply with the hazard communication 
programs required by the Occupational Safety and Health Administration 
(OSHA) of the Department of Labor (DOL) (29 CFR 1910.1200) or the 
Environmental Protection Agency (EPA) (40 CFR 311.1), or to meet the 
requirements of subpart F of this part may be used to satisfy the 
requirements in paragraphs (c) and (d) of this section, as long as the 
training addresses the requirements in paragraphs (c) and (d) of this 
section.

(Sec. 311(j)(1)(C) of the Federal Water Pollution Control Act (86 Stat. 
816, 868); 33 U.S.C. 1161(j)(1)(C); EO 11548, 3 CFR, 1966-1970 Comp., p. 
949; 49 CFR 1.46(m))

[CGD 71-160R, 37 FR 28253, Dec. 21, 1972, as amended by CGD 86-034, 55 
FR 36253, Sept. 4, 1990; CGD 93-056, 61 FR 41460, Aug. 8, 1996]



Sec. 154.730  Persons in charge: Evidence of designation.

    Each person in charge shall carry evidence of his designation as a 
person in charge when he is engaged in transfer operations unless such 
evidence is immediately available at the facility.

(Sec. 311(j)(1)(C) of the Federal Water Pollution Control Act (86 Stat. 
816, 868); 33 U.S.C. 1161(j)(1)(C); EO 11548, 3 CFR, 1966-1970 Comp., p. 
949; 49 CFR 1.46(m))

[CGD 71-160R, 37 FR 28253, Dec. 21, 1972]



Sec. 154.735  Safety requirements.

    Each operator of a facility to which this part applies shall ensure 
that the following safety requirements are met at the facility:
    (a) Access to the facility by firefighting personnel, fire trucks, 
or other emergency personnel is not impeded.
    (b) Materials which are classified as hazardous under 49 CFR parts 
170 through 179 are kept only in the quantities needed for the operation 
or maintenance of the facility and are stored in storage compartments.
    (c) Gasoline or other fuel is not stored on a pier, wharf, or other 
similar structure.
    (d) A sufficient number of fire extinguishers approved by an 
independent laboratory listed in 46 CFR 162.028-5 for fighting small, 
localized fires are in place throughout the facility and maintained in a 
ready condition.
    (e) The location of each hydrant, standpipe, hose station, fire 
extinguisher, and fire alarm box is conspicuously marked and readily 
accessible.
    (f) Each piece of protective equipment is ready to operate.
    (g) Signs indicating that smoking is prohibited are posted in areas 
where smoking is not permitted.
    (h) Trucks and other motor vehicles are operated or parked only in 
designated locations.
    (i) All rubbish is kept in receptacles.
    (j) All equipment with internal combustion engines used on the 
facility--
    (1) Does not constitute a fire hazard; and
    (2) Has a fire extinguisher attached that is approved by an 
independent laboratory listed in 46 CFR 162.028-5, unless such a fire 
extinguisher is readily accessible nearby on the facility.

[[Page 307]]

    (k) Spark arresters are provided on chimneys or appliances which--
    (1) Use solid fuel; or
    (2) Are located where sparks constitute a hazard to nearby 
combustible material.
    (l) All welding or hot work conducted on or at the facility is the 
responsibility of the facility operator. The COTP may require that the 
operator of the facility notify the COTP before any welding or hot work 
operations are conducted. Any welding or hot work operations conducted 
on or at the facility must be conducted in accordance with NFPA 51B. The 
facility operator shall ensure that the following additional conditions 
or criteria are met:
    (1) Welding or hot work is prohibited during gas freeing operations, 
within 30.5 meters (100 feet) of bulk cargo operations involving 
flammable or combustible materials, within 30.5 meters (100 feet) of 
fueling operations, or within 30.5 meters (100 feet) of explosives or 
15.25 meters (50 feet) of other hazardous materials.
    (2) If the welding or hot work is on the boundary of a compartment 
(i.e., bulkhead, wall or deck) an additional fire watch shall be 
stationed in the adjoining compartment.
    (3) Personnel on fire watch shall have no other duties except to 
watch for the presence of fire and to prevent the development of 
hazardous conditions.
    (4) Flammable vapors, liquids or solids must first be completely 
removed from any container, pipe or transfer line subject to welding or 
hot work.
    (5) Tanks used for storage of flammable or combustible substances 
must be tested and certified gas free prior to starting hot work.
    (6) Proper safety precautions in relation to purging, inserting, or 
venting shall be followed for hot work on containers;
    (7) All local laws and ordinances shall be observed;
    (8) In case of fire or other hazard, all cutting, welding or other 
hot work equipment shall be completely secured.
    (m) Heating equipment has sufficient clearance to prevent unsafe 
heating of nearby combustible material.
    (n) Automotive equipment having an internal combustion engine is not 
refueled on a pier, wharf, or other similar structure.
    (o) There are no open fires or open flame lamps.
    (p) Electric wiring and equipment is maintained in a safe condition 
so as to prevent fires.
    (q) Electrical wiring and electrical equipment installed after 
October 4, 1990, meet NFPA 70.
    (r) Electrical equipment, fittings, and devices installed after 
October 4, 1990, show approval for that use by--
    (1) Underwriters Laboratories;
    (2) Factory Mutual Research Corporation; or
    (3) Canadian Standards Association.
    (s) Tank cleaning or gas freeing operations conducted by the 
facility on vessels carrying oil residues or mixtures shall be conducted 
in accordance with sections 9.1, 9.2, 9.3, and 9.5 of the OCIMF 
International Safety Guide for Oil Tankers and Terminals (ISGOTT), 
except that--
    (1) Prohibitions in ISGOTT against the use of recirculated wash 
water do not apply if the wash water is first processed to remove 
product residues;
    (2) The provision in ISGOTT section 9.2.10 concerning flushing the 
bottom of tanks after every discharge of leaded gasoline does not apply;
    (3) The provision in ISGOTT section 9.2.11 concerning that removal 
of sludge, scale, and sediment does not apply if personnel use breathing 
apparatus which protect them from the tank atmosphere; and
    (4) Upon the request of the facility owner or operator in accordance 
with Sec. 154.107, the COTP may approve the use of alternative standards 
to ISGOTT if the COTP determines that the alternative standards provide 
an equal level of protection to the ISGOTT standards.
    (t) Guards are stationed, or equivalent controls acceptable to the 
COTP are used to detect fires, report emergency conditions, and ensure 
that access to the marine transfer area is limited to--
    (1) Personnel who work at the facility including persons assigned 
for transfer operations, vessel personnel, and delivery and service 
personnel in the course of their business;
    (2) Coast Guard personnel;

[[Page 308]]

    (3) Other Federal, State, or local governmental officials; and
    (4) Other persons authorized by the operator.
    (u) Smoking shall be prohibited at the facility except that facility 
owners or operators may authorize smoking in designated areas if--
    (1) Smoking areas are designated in accordance with local ordinances 
and regulations;
    (2) Signs are conspicuously posted marking such authorized smoking 
areas; and
    (3) ``No Smoking'' signs are conspicuously posted elsewhere on the 
facility.
    (v) Warning signs shall be displayed on the facility at each 
shoreside entry to the dock or berth, without obstruction, at all times 
for fixed facilities and for mobile facilities during coupling, transfer 
operation, and uncoupling. The warning signs shall conform to 46 CFR 
151.45-2(e)(1) or 46 CFR 153.955.

[CGD 86-034, 55 FR 36253, Sept. 4, 1990, as amended by CGD 93-056, 61 FR 
41460, Aug. 8, 1996]



Sec. 154.740  Records.

    Each facility operator shall maintain at the facility and make 
available for examination by the COTP:
    (a) A copy of the letter of intent for the facility;
    (b) The name of each person designated as a person in charge of 
transfer operations at the facility and certification that each person 
in charge has completed the training requirements of Sec. 154.710 of 
this part;
    (c) The date and result of the most recent test or examination of 
each item tested or examined under Sec. 156.170 of this chapter;
    (d) The hose information required by Sec. 154.500 (e) and (g) except 
that marked on the hose;
    (e) The record of all examinations of the facility by the COTP 
within the last 3 years;
    (f) The Declaration of Inspection required by Sec. 156.150(f) of 
this chapter;
    (g) A record of all repairs made within the last three years 
involving any component of the facility's vapor control system required 
by subpart E of this part;
    (h) A record of all automatic shut downs of the facility's vapor 
control system within the last 3 years; and
    (i) Plans, calculations, and specifications of the facility's vapor 
control system certified under Sec. 154.804 of this part.
    (j) If they are not marked as such, documentation that the portable 
radio devices in use at the facility under Sec. 154.560 of this part are 
intrinsically safe.

(Approved by the Office of Management and Budget under control number 
2115-0096)

[CGD 75-124, 45 FR 7173, Jan. 31, 1980, as amended by CGD 88-102, 55 FR 
25429, June 21, 1990; CGD 86-034, 55 FR 36254, Sept. 4, 1990; CGD 93-
056, 61 FR 41461, Aug. 8, 1996]



Sec. 154.750  Compliance with operations manual.

    The facility operator shall require facility personnel to use the 
procedures in the operations manual prescribed by Sec. 154.300 for 
operations under this part.

[CGD 75-124, 45 FR 7174, Jan. 31, 1980]



                    Subpart E--Vapor Control Systems

    Source: CGD 88-102, 55 FR 25429, June 21, 1990, unless otherwise 
noted.



Sec. 154.800  Applicability.

    (a) Except as specified by paragraph (c) of this section, this 
subpart applies to:
    (1) Each facility which collects vapors of crude oil, gasoline 
blends, or benzene emitted from vessel cargo tanks;
    (2) A vessel which is not a tank vessel that has a vapor processing 
unit located on board for recovery, destruction, or dispersion of crude 
oil, gasoline blends, or benzene vapors from a tank vessel; and
    (3) Certifying entities which review, inspect, test, and certify 
facility vapor control systems.
    (b) A facility which collects vapors of flammable or combustible 
cargoes other than crude oil, gasoline blends, or benzene, must meet the 
requirements prescribed by the Commandant (G-MSO).
    (c) A facility with an existing Coast Guard approved vapor control 
system which was operating prior to July 23,

[[Page 309]]

1990 is subject only to Sec. 154.850 of this subpart as long as it 
receives cargo vapor only from the specific vessels for which it was 
approved.
    (d) This subpart does not apply to the collection of vapors of 
liquefied flammable gases as defined in 46 CFR 30.10-39.
    (e) When a facility vapor control system which receives cargo vapor 
from a vessel is connected to a facility vapor control system that 
serves tank storage areas and other refinery processes, the specific 
requirements of this subpart apply between the vessel vapor connection 
and the point where the vapor control system connects to the facility's 
main vapor control system.

[CGD 88-102, 55 FR 25429, June 21, 1990, as amended by CGD 96-026, 61 FR 
33666, June 28, 1996]



Sec. 154.802  Definitions.

    As used in this subpart:
    Certifying entity means an individual or organization accepted by 
the Commandant (G-MSO) to review plans and calculations for vapor 
control system designs, and to conduct initial inspections and witness 
tests of vapor control system installations.
    Existing vapor control system means a vapor control system which was 
operating prior to July 23, 1990.
    Facility vapor connection means the point in a facility's vapor 
collection system where it connects to a vapor collection hose or the 
base of a vapor collection arm.
    Inerted means the oxygen content of the vapor space in a tank 
vessel's cargo tank is reduced to 8 percent by volume or less in 
accordance with the inert gas requirements of 46 CFR 32.53 or 46 CFR 
153.500.
    Liquid knockout vessel means a device to separate liquid from vapor.
    Maximum allowable transfer rate means the maximum volumetric rate at 
which a vessel may receive cargo or ballast.
    New vapor control system means a vapor control system which is not 
an existing vapor control system.
    Vapor balancing means the transfer of vapor displaced by incoming 
cargo from the tank of a vessel receiving cargo into a tank of the 
vessel or facility delivering cargo via a vapor collection system.
    Vapor collection system means an arrangement of piping and hoses 
used to collect vapor emitted from a vessel's cargo tanks and transport 
the vapor to a vapor processing unit.
    Vapor control system means an arrangement of piping and equipment 
used to control vapor emissions collected from a vessel, and includes 
the vapor collection system and the vapor processing unit.
    Vapor destruction unit means a vapor processing unit that destroys 
cargo vapor by a means such as incineration.
    Vapor dispersion system means a vapor processing unit which releases 
cargo vapor to the atmosphere through a venting system not located on 
the vessel being loaded or ballasted.
    Vapor processing unit means the components of a vapor control system 
that recovers, destroys, or disperses vapor collected from a vessel.
    Vapor recovery unit means a vapor processing unit that recovers 
cargo vapor by a non-destructive means such as lean oil absorbtion, 
carbon bed adsorption, or refrigeration.
    Vessel vapor connection means the point in a vessel's fixed vapor 
collection system where it connects to a vapor collection hose or arm.

[CGD 88-102, 55 FR 25429, June 21, 1990, as amended by CGD 96-026, 61 FR 
33666, June 28, 1996]



Sec. 154.804  Review, certification, and initial inspection.

    (a) A new vapor control system installation must be certified by a 
certifying entity as meeting the requirements of this subpart prior to 
operating.
    (b) [Reserved]
    (c) An existing vapor control system installation that has been 
Coast Guard approved for operation with specific vessels must be 
certified by a certifying entity prior to receiving vapors from other 
vessels.
    (d) Plans and information submitted to the certifying entity must 
include a qualitative failure analysis. The analysis must demonstrate 
the following:

[[Page 310]]

    (1) The vapor control system is designed to permit the system to 
continuously operate safely when receiving cargo vapors from tankships 
and barges over the full range of transfer rates expected at the 
facility;
    (2) The vapor control system is provided with the proper alarms and 
automatic control systems to prevent unsafe operation;
    (3) The vapor control system is equipped with sufficient automatic 
or passive devices to minimize damage to personnel, property, and the 
environment if an accident were to occur; and
    (4) If a quantitative failure analysis is also conducted, the level 
of safety attained is at least one order of magnitude greater than that 
calculated for operating without a vapor control system.
    Note: The American Institute of Chemical Engineers publication, 
``Guidelines for Hazard Evaluation Procedures'' may be used as guidance 
when preparing a qualitative failure analysis. Military Standard MIL-
STD-882B may be used as guidance when preparing a quantitative failure 
analysis.
    (e) The certifying entity must conduct all initial inspections and 
witness all tests required to demonstrate that the facility:
    (1) Conforms to certified plans and specifications;
    (2) Meets the requirements of this subpart; and
    (3) Is operating properly.
    (f) Upon receipt of written certification from the certifying entity 
that a facility's vapor control system complies with the requirements of 
this part the COTP shall endorse the letter of adequacy required by 
Sec. 154.325 of this part to indicate that the facility is acceptable 
for collecting vapors of crude oil, gasoline blends, benzene, or any 
other vapors for which it is certified.
    (g) Any design or configuration alteration involving a certified 
vapor control system must be reviewed by a certifying entity. After 
conducting any inspections and witnessing tests necessary to verify that 
the modified vapor control system meets the requirements of this 
subpart, the certifying entity must recertify the installation.
    (h) Certifications issued in accordance with this section and a copy 
of the plans, calculations, and specifications for the vapor control 
system must be maintained at the facility.
    (i) A certifying entity accepted under Sec. 154.806 of this subpart 
may not certify a facility vapor control system if it was involved in 
the design or installation of the system.

(Approved by the Office of Management and Budget under control number 
2115-0581)

[CGD 88-102, 55 FR 25429, June 21, 1990, as amended by USCG-1998-3799, 
63 FR 35531, June 30, 1998]



Sec. 154.806  Application for acceptance as a certifying entity.

    (a) An individual or organization seeking acceptance as a certifying 
entity must apply in writing to the Commandant (G-MSO). Each application 
must be signed and certified to be correct by the applicant or, if the 
applicant is an organization, by an authorized officer or official 
representative of the organization, and must include a letter of intent 
from a facility owner or operator to use the services of the individual 
or organization to certify a vapor control system installation. Any 
false statement or misrepresentation, or the knowing and willful 
concealment of a material fact may subject the applicant to prosecution 
under the provisions of 18 U.S.C. 1001, and denial or termination of 
acceptance as a certifying entity.
    (b) The applicant must possess the following minimum qualifications, 
and be able to demonstrate these qualifications to the satisfaction of 
the Commandant (G-MSO):
    (1) The ability to review and evaluate design drawings and failure 
analyses;
    (2) A knowledge of the applicable regulations of this subpart, 
including the standards incorporated by reference in these regulations;
    (3) The ability to monitor and evaluate test procedures and results;
    (4) The ability to perform inspections and witness tests of bulk 
liquid cargo handling systems;
    (5) That it is not controlled by an owner or operator of a vessel or 
facility engaged in controlling vapor emissions; and
    (6) That it is not dependent upon Coast Guard acceptance under this 
section to remain in business.

[[Page 311]]

    (c) Each application for acceptance must contain the following:
    (1) The name and address of the applicant, including subsidiaries 
and divisions if applicable;
    (2) A statement that the applicant is not controlled by an owner or 
operator of a vessel or facility engaged in controlling vapor emissions, 
or a full disclosure of any ownership or controlling interest held by 
such owners or operators;
    (3) A description of the experience and qualifications of the 
person(s) who would be reviewing or testing the systems;
    (4) A statement that the person(s) who would be reviewing or testing 
the systems is/are familiar with the regulations in this subpart; and
    (5) A statement that the Coast Guard may verify the information 
submitted in the application and may examine the person(s) who would be 
reviewing or testing the systems to determine their qualifications.
    (d) The acceptance of a certifying entity may be terminated by the 
Commandant (G-MSO) if the entity fails to properly review, inspect, or 
test a system in accordance with this subpart.
    Note: A list of entities accepted to certify facility vapor control 
system installations is available from the Commandant (G-MSO).

(Approved by the Office of Management and Budget under control number 
2115-0581)


[CGD 88-102, 55 FR 25429, June 21, 1990, as amended by CGD 96-026, 61 FR 
33666, June 28, 1996]



Sec. 154.808  Vapor control system, general.

    (a) A vapor control system design and installation must eliminate 
potential overfill hazards, overpressure and vacuum hazards, and sources 
of ignition to the maximum practical extent. Each remaining hazard 
source which is not eliminated must be specifically addressed in the 
protection system design and operational re