[Title 33 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2005 Edition]
[From the U.S. Government Printing Office]



[[Page i]]


 
          33


          Parts 125 to 199

                         Revised as of July 1, 2005


          Navigation and Navigable Waters
          
          


________________________

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2005
          With Ancillaries
                    Published by
                    Office of the Federal Register
                    National Archives and Records
                    Administration
                    A Special Edition of the Federal Register

[[Page ii]]

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[[Page iii]]




                            Table of Contents



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

  Title 33:
          Chapter I--Coast Guard, Department of Homeland 
          Security (Continued)                                       3
  Finding Aids:
      Material Approved for Incorporation by Reference........     917
      Table of CFR Titles and Chapters........................     925
      Alphabetical List of Agencies Appearing in the CFR......     943
      List of CFR Sections Affected...........................     953

[[Page iv]]





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

                     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 
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    To determine whether a Code volume has been amended since its 
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Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

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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, 2001, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, 1973-1985, or 1986-2000, published in 11 separate 
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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 
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to materials already published elsewhere. For an incorporation to be 
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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 202-741-6010.

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    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

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

July 1, 2005.

[[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, 2005. The first and 
second volumes, parts 1-124 and 125-199, contain current regulations of 
the Coast Guard, Department of Homeland Security. 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.

    For this volume, Cheryl E. Sirofchuck was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Frances D. McDonald, assisted by Alomha S. Morris.


[[Page 1]]



                TITLE 33--NAVIGATION AND NAVIGABLE WATERS




                  (This book contains parts 125 to 199)

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

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


Abbreviations 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 3]]



   CHAPTER I--COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED)




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

                   SUBCHAPTER L--WATERFRONT FACILITIES
Part                                                                Page
125             Identification credentials for persons 
                    requiring access to waterfront 
                    facilities or vessels...................           7
126             Handling of dangerous cargo at 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          58
135             Offshore oil pollution compensation fund....          60
136             Oil spill liability trust fund; claims 
                    procedures; designation of source; and 
                    advertisement...........................          68
138             Financial responsibility for water pollution 
                    (vessels)...............................          78
                Index to Subchapter M.......................         129
            SUBCHAPTER N--OUTER CONTINENTAL SHELF ACTIVITIES
140             General.....................................         133
141             Personnel...................................         140
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................................         162
                Index to Subchapter N.......................         171
                     SUBCHAPTER NN--DEEPWATER PORTS
148             Deepwater ports: General....................         178

[[Page 4]]

149             Deepwater ports: Design, construction, and 
                    equipment...............................         204
150             Deepwater ports: Operations.................         225
                Index to Subchapter NN......................         253
                         SUBCHAPTER O--POLLUTION
151             Vessels carrying oil, noxious liquid 
                    substances, garbage, municipal or 
                    commercial waste, and ballast water.....         259
153             Control of pollution by oil and hazardous 
                    substances, discharge removal...........         305
154             Facilities transferring oil or hazardous 
                    material in bulk........................         312
155             Oil or hazardous material pollution 
                    prevention regulations for vessels......         387
156             Oil and hazardous material transfer 
                    operations..............................         452
157             Rules for the protection of the marine 
                    environment relating to tank vessels 
                    carrying oil in bulk....................         465
158             Reception facilities for oil, noxious liquid 
                    substances, and garbage.................         525
159             Marine sanitation devices...................         536
                Index to Subchapter O.......................         555
                SUBCHAPTER P--PORTS AND WATERWAYS SAFETY
160             Ports and waterways safety--general.........         567
161             Vessel traffic management...................         577
162             Inland waterways navigation regulations.....         590
163             Towing of barges............................         613
164             Navigation safety regulations...............         613
165             Regulated navigation areas and limited 
                    access areas............................         637
166             Shipping safety fairways....................         796
167             Offshore traffic separation schemes.........         808
168             Escort requirements for certain tankers.....         818
169             Ship reporting systems......................         821
                Index to Subchapter P.......................         825
                       SUBCHAPTERS Q-R [RESERVED]
                      SUBCHAPTER S--BOATING SAFETY
173             Vessel numbering and casualty and accident 
                    reporting...............................         836
174             State numbering and casualty reporting 
                    systems.................................         842
175             Equipment requirements......................         846
177             Correction of especially hazardous 
                    conditions..............................         851
179             Defect notification.........................         856

[[Page 5]]

181             Manufacturer requirements...................         858
183             Boats and associated equipment..............         863
184-186         [Reserved]
187             Vessel identification system................         897
188-199         [Reserved]
                Index to Subchapter S.......................         907

[[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 inchx1\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 rec ords, 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 Sec. Sec. 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 per emptory 
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 DANGEROUS CARGO AT WATERFRONT FACILITIES--Table 
of Contents




Sec.
126.1 What does this part apply to?
126.3 Definitions.
126.5 Incorporation by reference: Where can I get a copy of the 
          publications mentioned in this part?
126.11 Waiver authority based on local or unusual conditions.
126.12 How do I request the use of an alternative method of complying 
          with a requirement in this part?
126.13 Designation of waterfront facilities.
126.15 What conditions must a designated waterfront facility meet?
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.
126.30 What are the conditions for conducting welding and hotwork?
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. 126.1  What does this part apply to?

    This part applies to waterfront facilities handling packaged and 
bulk-solid dangerous cargo and to vessels at those facilities.

[USCG-1998-4302, 68 FR 55440, Sept. 26, 2003]



Sec. 126.3  Definitions.

    As used in this part--
    Break-bulk means packages that are handled individually, palletized, 
or unitized for purposes of transportation, as opposed to materials in 
bulk and containerized freight.
    Bulk means without mark or count and directly loaded or unloaded to 
or from a hold or tank on a vessel without the use of containers or 
break-bulk packaging.
    Captain of the port or COTP means the officer of the Coast Guard, 
under the command of a District Commander, is designated by the 
Commandant for the purpose of giving immediate direction to Coast Guard 
law enforcement activities within an assigned area.
    Cargo of particular hazard means any of the following:
    (1) Division 1.1 and 1.2 explosives, as defined in 49 CFR 173.50, 
for which a permit is required under 33 CFR 126.17.
    (2) Ammonium nitrate products, division 5.1 (oxidizing) materials 
listed in

[[Page 17]]

49 CFR 176.410, for which a permit is required under 49 CFR 176.415.
    (3) Division 4.3 dangerous when wet products as defined in 49 CFR 
173.124, in excess of 60 mt.
    (4) Division 2.3 and 6.1 poison inhalation hazard products as 
defined in 49 CFR 173.115 and 173.132, respectively.
    (5) Class 7 highway route controlled quantity radioactive material 
or fissile material, controlled shipment, as defined in 49 CER 173.403.
    Commandant means the Commandant of the United States Coast Guard.
    Container means a reusable container that has a volume of 1.81 cubic 
meters (64 cubic feet) or more, is designed and constructed to permit 
being lifted with its contents intact, and is intended primarily for 
containment of packages (in unit form) during transportation.
    Dangerous cargo means all hazardous materials listed in 49 CFR parts 
170 through 179, except those materials preceded by an ``A'' in the 
Hazardous Materials Table in 49 CFR 172.101 and all cargo listed in 46 
CFR part 148.
    Designated dangerous cargo means Division 1.1 and 1.2 explosives as 
defined in 49 CFR 173.50.
    Designated waterfront facility means a waterfront facility 
designated under Sec. 126.13 for the handling, storing, loading, and 
discharging of any hazardous material(s) subject to the Dangerous 
Cargoes Regulations (49 CFR parts 170 through 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.
    Facility of particular hazard means a designated waterfront facility 
that is authorized to handle a cargo of particular hazard.
    Facility operator means the person or company who owns, operates, or 
is responsible for the operation of a waterfront facility.
    Net tons means net weight in tons.
    Net weight, in reference to material in a package, tank, or 
container, means the weight of the contents of a package, tank, or 
container and does not include the weight of any packaging material or 
containing devices.
    Transport unit means a transport vehicle or a container.
    Waterfront facility means all piers, wharves, and similar structures 
to which a vessel may be secured; areas of land, water, or land and 
water under and in the immediate proximity to these structures; 
buildings on or contiguous to these structures; and the equipment and 
materials on or in these structures or buildings. The term does not 
include facilities directly operated by the Department of Defense.

[USCG-1998-4302, 68 FR 55440, Sept. 26, 2003]



Sec. 126.5  Incorporation by reference: Where can I get a copy of the 
publications mentioned in this part?

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 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, we must publish a notice of 
change in the Federal Register and the material must be available to the 
public. All approved material is available for inspection at the U.S. 
Coast Guard, Vessel and Facility Operating Standards Division (G-MSO-2), 
room 1210, 2100 Second Street SW., Washington, DC 20593-0001, and at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html. All approved material is available from 
the sources indicated in paragraph (b) of this section.
    (b) The materials approved for incorporation by reference in this 
part, and the sections affected, are as follows:

American Society for Testing and Materials (ASTM), 100 Barr
 Harbor Drive, PO Box C700 West CONSHOHOCKEN, PA 19428-2959:
  ASTM F-1121, Standard Specification for International Shore     126.15
   Connections for Marine Fire Applications, 1987 Edition......
 
National Fire Protection Association (NFPA), One Batterymarch
 Park, P.O. Box 9101, Quincy, MA 02269-9101:

[[Page 18]]

 
  NFPA 10, Standard for Portable Fire Extinguishers, 1998         126.15
   Edition.....................................................
  NFPA 13, Standard for the Installation of Sprinkler Systems,    126.15
   1996 Edition................................................
  NFPA 14, Standard for the Installation of Standpipe and Hose    126.15
   Systems, 1996 Edition.......................................
  NFPA 30, Flammable and Combustible Liquids Code, 1996........   126.15
  NFPA 51B, Standard for Fire Prevention in Use of Cutting and    126.30
   Welding Processes, 1994 Edition.............................
  NFPA 70, National Electrical Code, 1996......................   126.15
  NFPA 307, Standard for the Construction and Fire Protection     126.15
   of Marine Terminals, Piers, and Wharves, 1995 Edition.......
 


[USCG-1998-4302, 68 FR 55441, Sept. 26, 2003, as amended at 69 FR 18803, 
Apr. 9, 2004]



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 
Sec. Sec. 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. 126.12  How do I request the use of an alternative method of 
complying with a requirement in this part?

    (a) An owner or operator of a waterfront facility may request that 
the COTP allow the use of an alternative method of complying with a 
requirement in this part.
    (b) The request must establish, to the COTP's satisfaction--
    (1) That compliance with the requirement is economically or 
physically impractical; and
    (2) That the alternative requested provides an equivalent or greater 
level of safety.
    (c) The COTP examines the request and provides an answer, in 
writing, within 30 days of receipt of the request.

[USCG-1998-4302, 68 FR 55441, Sept. 26, 2003]



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]



Sec. 126.15  What conditions must a designated waterfront facility meet?

    (a) All designated waterfront facilities must meet the following:
    (1) Fire extinguishing equipment. Fire extinguishing equipment, such 
as automatic sprinklers, hydrants, hose connections, and firefighting 
water supplies must be available and maintained in adequate quantities 
and locations. Fire extinguishing equipment must meet State and local 
laws. In the absence of applicable State and local laws, fire 
extinguishing equipment must meet NFPA 10, 13, 14, and 307. 
(Incorporated by reference, see Sec. 126.5.)
    (2) Fire appliances. The location of all fire appliances, such as 
hydrants, standpipes, hose stations, fire extinguishers, and fire alarm 
boxes must be conspicuously marked and readily accessible according to 
NFPA 10, 13, 14, and 307.

[[Page 19]]

    (3) Warning signs. Warning signs must be constructed and installed 
according to NFPA 307, chapter 7-8.7.
    (4) Lighting. If the facility transfers dangerous cargo between 
sunset and sunrise, it must have outdoor lighting that adequately 
illuminates the transfer work area. The lighting must be installed and 
maintained according to NFPA 70 (Incorporated by reference, see Sec. 
126.5.) and must be located or shielded so that it cannot be mistaken 
for an aid to navigation and does not interfere with navigation on 
waterways.
    (5) International shore connection. If the facility conducts cargo 
operations involving foreign-flag vessels, the facility must have an 
international shore connection meeting ASTM F-1121. (Incorporated by 
reference, see Sec. 126.5.)
    (6) Access to the facility. Whenever dangerous cargo is transferred 
or stored on the facility, access to the facility must be limited to--
    (i) Personnel working on the facility or vessel;
    (ii) Delivery and service personnel authorized to conduct their 
business;
    (iii) Coast Guard and other Federal, State, and local officials;
    (iv) Local emergency personnel, such as police officers and firemen; 
and
    (v) Other persons authorized by the owner or operator of the 
facility.
    (7) Security measures. Guards must be stationed, or equivalent 
controls acceptable to the COTP must be used, to deter and detect 
unlawful entrance; to detect and report fire hazards, fires, and 
releases of dangerous cargoes and hazardous materials; to check the 
readiness of protective equipment; and to report other emergency 
situations at the facility.
    (8) Coast Guard personnel. At any time, Coast Guard personnel must 
be allowed to enter the facility to conduct inspections or board vessels 
moored at the facility.
    (9) Material handling equipment, trucks, and other motor vehicles. 
When dangerous cargo is being transferred or stored on the facility, 
material handling equipment, trucks, and other motor vehicles operated 
by internal combustion engines must meet the requirements of NFPA 307, 
chapter 9.
    (10) Smoking. Smoking is allowed on the facility where permitted 
under State or local law. Signs must be posted marking authorized 
smoking areas. ``No Smoking'' signs must be conspicuously posted 
elsewhere on the facility.
    (11) Rubbish and waste material. All rubbish, debris, and waste 
materials must be placed in adequate receptacles.
    (12) Adequacy of equipment, materials, and standards. The COTP may 
determine that any equipment, material, or standard is not reasonably 
adequate under the circumstances. If so, the COTP informs the owner or 
operator in writing and provides an opportunity for the owner or 
operator to have the deficiency corrected.
    (b) All designated waterfront facilities that handle dangerous 
cargo, not in transport units, must also meet the following:
    (1) Arrangement of cargo, freight, merchandise, or material. Cargo, 
freight, merchandise, and other items or material on the facility must 
be arranged to provide access for firefighting and clearance for fire 
prevention according to NFPA 307, chapter 8-5.
    (2) Portable fire extinguishers. Each facility must have and 
maintain, in adequate quantities and locations, portable fire 
extinguishers that meet the requirements of NFPA 10. These extinguishers 
must be inspected and maintained in accordance with NFPA 10.
    (3) Electrical systems. All new electrical equipment and wiring 
installed on the facility must be of the same type and installed as 
specified under NFPA 70. All defective or dangerous electrical equipment 
and wiring must be promptly repaired, replaced, or permanently 
disconnected.
    (4) Heating equipment and other sources of ignition. Open fires and 
open-flame lamps are prohibited on the facility. Heating equipment must 
meet NFPA 307, chapter 9-4.
    (5) Maintenance stores and supplies. Hazardous material(s) used in 
the operation or maintenance of the facility may be stored only in 
amounts necessary for normal operating conditions. These materials must 
be stored in compartments that are remote from combustible material; 
constructed to provide safe storage; and kept clean and

[[Page 20]]

free of scrap materials, empty containers, soiled wiping rags, waste, 
and other debris. Flammable liquids must be stored according to NFPA 30, 
chapter 4. (Incorporated by reference, see Sec. 126.5.)
    (c) All designated waterfront facilities that handle dangerous cargo 
in transport units must also meet the following:
    (1) Terminal yards. Terminal yards must conform to the standards in 
NFPA 307, chapter 5.
    (2) Containers. Containers packed with dangerous cargo that are 
vertically stacked must be stacked no more than four high.

[USCG-1998-4302, 68 FR 55441, Sept. 26, 2003]



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]



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

[[Page 21]]

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 
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) You must notify the COTP before you handle, store, stow, load, 
discharge, or transport, in the net weight amounts specified, the 
following dangerous cargo, except when contained within transport units 
or railroad or highway vehicles being transported across or on the 
waterfront facility solely for transfer to or from a railroad-car ferry, 
highway-vehicle ferry, or carfloat:
    (1) Class 1, Division 1.3 and Division 1.5 (Explosive) materials, 
with a net explosive quantity in excess of 36,400 kg (40 net tons) at 
any one time.
    (2) Class 2, Division 2.1 (Flammable Gas) materials in bulk 
packaging; or Division 2.3 (Poison Gas) materials in excess of 72,800 kg 
(80 net tons) at any one time.
    (3) A Class 7 (Radioactive) material in a highway route controlled 
quantity, as defined in 49 CFR 173.403.
    (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.
    (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) Break-bulk dangerous cargo must be segregated according to 49 
CFR 176.83(a) through (c). No separation is required for break-bulk 
dangerous cargo in limited-quantity packaging.

[[Page 22]]

    (e) Transport units and portable tanks containing dangerous cargo 
must be segregated according to 49 CFR 176.83(a), (b), and (f). The 
requirements for vertical segregation and for on-deck, horizontal 
segregation in 49 CFR 176.83(f) apply. No separation is required for 
transport units containing dangerous cargo only in limited quantity 
packaging.
    (f) Break-bulk dangerous cargo must be segregated from transport 
units containing dangerous cargo according to 49 CFR 176.83(e).
    (g) Solid dangerous bulk cargo must be separated to prevent the 
interaction of incompatible materials in the event of an accident. Cargo 
not required to be segregated, when in break-bulk form, is not required 
to be segregated, when in bulk form. Dangerous cargo in break-bulk form 
must be segregated from solid dangerous cargo in bulk according to 49 
CFR 176.83.
    (h) Materials that are dangerous when wet (Division 4.3), water-
soluble oxidizers (Division 5.1), and corrosive solids (Class 8) must be 
stored in a manner that prevents them from coming into contact with 
water.
    (i) Corrosive liquids (Class 8) and liquid oxidizers (Division 5.1) 
must be handled and stored so that, in the event of a leak from their 
packaging, they would not come in contact with organic materials.
    (j) Dangerous cargo stored on the facility must be arranged in a 
manner that retards the spread of fire, such as by interspersing 
dangerous cargo with inert or fire retardant material.
    (k) Dangerous cargo stored on the facility, but not intended for use 
on the facility, must be packaged, marked, and labeled according to 49 
CFR parts 171 through 180, as if the cargo was in transportation.
    (l) Class 7 (Radioactive) material must be stored as specified in 49 
CFR 173.447.

[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; USCG-1998-4302, 68 FR 55442, Sept. 26, 2003]



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

[[Page 23]]

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]



Sec. 126.30  What are the conditions for conducting welding and hotwork?

    (a) The facility operator must ensure that all welding or hotwork 
conducted at the facility meets the requirements of this section. Each 
operator of a vessel moored to the facility must ensure that all welding 
or hotwork conducted on the vessel meets the requirements of this 
section.
    (b) The COTP may require an operator of a facility or of a vessel 
moored at the facility to notify the COTP before conducting welding or 
hotwork. Regardless of whether or not the COTP required notice, the 
facility operator must notify the COTP before conducting welding or 
hotwork on a vessel when containerized dangerous cargo is located within 
the distances listed in paragraph (f) of this section.
    (c) Before conducting welding or hotwork, flammable vapors, liquids, 
or solids must be completely removed from any container, pipe, or 
transfer line being worked on.
    (d) Before conducting welding or hotwork on tanks, tanks used for 
storage of flammable or combustible substances must be tested and 
certified gas free.
    (e) All welding and hotwork must be conducted according to NFPA 51B. 
(Incorporated by reference, see Sec. 126.5.)
    (f) Welding or hotwork 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, within 30.5 meters (100 feet) of explosives, or 
within 15.25 meters (50 feet) of other hazardous materials.
    (g) If the welding or hotwork is on the boundary of a compartment 
(i.e., bulkhead, wall, or deck), a fire watch, in addition to that 
called for in NFPA 51B, must be stationed in the adjoining compartment.
    (h) Personnel on fire watch must have no other duties except to 
watch for the presence of fire and to prevent the development of 
hazardous conditions.
    (i) All safety precautions in relation to purging, inerting, or 
venting for all hotwork on containers must be followed.

[[Page 24]]

    (j) All local laws and ordinances must be followed.
    (k) If a fire or other hazard occurs, all cutting, welding, or other 
hotwork equipment must be shut down.

[USCG-1998-4302, 68 FR 55442, Sept. 26, 2003]



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.

[[Page 25]]

127.303 Compliance with suspension order.
127.305 Operations Manual.
127.307 Emergency Manual.
127.309 Operations Manual and Emergency Manual: Use.
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; Department of Homeland Security 
Delegation No. 0170.1.

    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 Sec. Sec. 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

[[Page 26]]

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

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 available for 
inspection at the U.S. Coast Guard, (G-MOC), Room 1108, 2100 Second 
Street SW., Washington, DC 20593-0001, and at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html. All approved material 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; 69 FR 18803, Apr. 9, 2004; USCG-2004-18057, 69 FR 
34926, June 23, 2004]

[[Page 27]]



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.
    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

[[Page 28]]

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 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

[[Page 29]]

(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]



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 Sec. Sec. 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--

[[Page 30]]

    (1) Appeal that ruling in writing to the Assistant Commandant for 
Marine Safety, Security 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, Security 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 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; USCG-2002-
12471, 67 FR 41332, June 18, 2002]



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

[[Page 31]]

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]



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

[[Page 32]]

    (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.
    (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--

[[Page 33]]

    (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;
    (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]

[[Page 34]]



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;
    (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--

[[Page 35]]

    (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.
    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.

[[Page 36]]



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:
    (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.

[[Page 37]]

    (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--
    (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 Sec. Sec. 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 U.S. Coast Guard, (G-MSE), 2100 Second Street SW., Washington, 
DC, and at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html. Copies may be obtained 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

[CGD 91-012, 61 FR 37654, July 18, 1996, as amended by USCG-2002-12471, 
67 FR 41332, June 18, 2002; 69 FR 18803, Apr. 9, 2004]

[[Page 49]]



                       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--
    (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]

[[Page 50]]



          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 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

[[Page 51]]

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]



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 Homeland Security, and is revised through July 1, 2005.

                                                                 Section

                                 A

Access to waterfront facilities, and port and harbor areas, 
including vessels and harbor craft therein
                                                                  125.15
Action by the Commandant
                                                                  125.45
Action by the Commandant, after appeal
                                                                  125.49
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
Approval of applicant by Commandant
                                                                  125.31

                                 B

Bulk storage
                                                                 127.313

                                 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........................................126.09
Supervision and control...........................................126.29
Challenges
                                                                  125.41
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

[[Page 54]]

After appeal......................................................125.49
Approval of applicant.............................................125.31
Commandant,.......................................................125.01
Notice by.........................................................125.35
Communications systems
                                                                 127.111

                                 D

Definitions
                                                 126.3, 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

[[Page 55]]

General.........................................................127.1501
Hotwork..........................................................127.617
International shore connection.........................127.611, 127.1511
Portable fire extinguishers............................127.603, 127.1503
Smoking..........................................................127.613
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
Hearing(s)
Boards............................................................125.37
Procedure.........................................................125.43
Notice by.........................................................125.39

                                 I

Identification Cards, Captain of the Port
                                                                  125.13
Identification Credentials
                                                                  125.09
Identification credentials for persons requiring access to 
waterfront facilities or vessels
                                                                Part 125
Incorporation by reference
                                                 126.5, 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

                                 N

Notice by Commandant
                                                                  125.11

                                 O

Operations
Bulk storage.....................................................127.313
Declaration of Inspection........................................127.317
Emergency Manual.......................................127.307, 127.1307
LNG release......................................................127.321

[[Page 56]]

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
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
Port Security Card, form of
                                                                  125.11
Port Security Card, period of validity
                                                                  125.12
Port Security Card, Replacement of lost
                                                                  125.51
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
Standards
                                                                  125.19
Suspension of transfer operations
                                                                 127.013

                                 T

Terminal security officer
                                                                 128.210

[[Page 57]]

                                 U

United States citizens
                                                                  125.23

                                 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
Applicability....................................................127.001
Western Rivers
                                                                  125.06

[[Page 58]]



 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 59]]

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 60]]



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 61]]

    (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 62]]

    (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 63]]

    (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 64]]

    (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 65]]



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 66]]

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 67]]

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 68]]

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 termi nates 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 69]]

                       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 70]]

    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 71]]

    (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 72]]

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 73]]

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 74]]

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 75]]

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 76]]

                      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 77]]



            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 78]]

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 79]]

    (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 80]]

    (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 81]]

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 82]]

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 83]]

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 84]]

    (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 Sec. Sec. 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 85]]

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 86]]

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) Acknowledg ment. 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 87]]

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 88]]



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 89]]

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 90]]

    (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 91]]

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 92]]

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
[GRAPHIC] [TIFF OMITTED] TC18OC91.006


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[GRAPHIC] [TIFF OMITTED] TR01JY94.084


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             Appendix B to Part 138--Insurance Guaranty Form
[GRAPHIC] [TIFF OMITTED] TC18OC91.007


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[GRAPHIC] [TIFF OMITTED] TR07MR96.007


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[GRAPHIC] [TIFF OMITTED] TR07MR96.008


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[GRAPHIC] [TIFF OMITTED] TR07MR96.012


[CGD 91-005, 61 FR 9276, Mar. 7, 1996]

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         Appendix C to Part 138--Master Insurance Guaranty Form
[GRAPHIC] [TIFF OMITTED] TR07MR96.013


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[GRAPHIC] [TIFF OMITTED] TR07MR96.014


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[GRAPHIC] [TIFF OMITTED] TR07MR96.017


[CGD 91-005, 61 FR 9283, Mar. 7, 1996]

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            Appendix D to Part 138--Surety Bond Guaranty Form
[GRAPHIC] [TIFF OMITTED] TC18OC91.009


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[GRAPHIC] [TIFF OMITTED] TR07MR96.019

[GRAPHIC] [TIFF OMITTED] TR07MR96.020


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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
[GRAPHIC] [TIFF OMITTED] TC18OC91.010


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[GRAPHIC] [TIFF OMITTED] TR07MR96.027


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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
[GRAPHIC] [TIFF OMITTED] TC18OC91.011


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[CGD 91-005, 61 FR 9303, Mar. 7, 1996]

[[Page 129]]

                                  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 Homeland Security, and is revised through July 1, 2005.

                                                                 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
Certification
                                                                 135.215
Claims, particular procedures for Government Public Services
Allowable compensation...........................................136.241
Authorized claimants.............................................136.237
Proof............................................................136.239
Claims, particular procedures for Government Revenues

[[Page 130]]

Allowable compensation...........................................136.229
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
Compensation, Other
                                                                 136.113
Conduct of removal actions
                                                                  133.17

                                 D

Dates
                                                                   130.0
Definitions
                                             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

[[Page 131]]

Surety bond as evidence..........................................135.211
Financial responsibility for water pollution (vessels)
                                                                Part 138
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

[[Page 132]]

Oil spill liability trust fund; state access
                                                                Part 133
Order of presentment
                                                                 136.103

                                 P

Purpose
                                                                   133.1

                                 R

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

                                 S

Scope
                                                                  138.10
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 or Minerals 
          Management service 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; Department of Homeland 
Security Delegation No. 0170.1.

    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 available for inspection at U.S. 
Coast Guard, Office of Compliance (G-MOC), 2100 Second Street, SW., 
Washington, DC 20593-0001

[[Page 134]]

and at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html. All approved material 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; 69 FR 18803, Apr. 9, 2004; USCG-2004-18057, 69 FR 
34926, June 23, 2004]



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

[[Page 135]]

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.
    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)).
    Minerals Management Service inspector or MMS inspector means an 
individual employed by the Minerals Management Service who inspects 
fixed OCS facilities on behalf of the Coast Guard to determine whether 
the requirements of this subchapter are met.
    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.

[[Page 136]]

    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 Sec. Sec. 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 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; USCG-2001-
9045, 67 FR 5916, Feb. 7, 2002]



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

[[Page 137]]

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 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

[[Page 138]]

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 or Minerals 
Management Service inspectors.

    (a) Each unit engaged in OCS activities is subject to inspection by 
the Coast Guard.
    (b) On behalf of the Coast Guard, each fixed OCS facility engaged in 
OCS activities is subject to inspection by the Minerals Management 
Service (MMS).
    (c) Under the direction of the Officer in Charge, Marine Inspection, 
Coast Guard marine inspectors may inspect units engaged in OCS 
activities, and MMS inspectors may inspect fixed OCS facilities, 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, or MMS.
    (d) As part of an inspection, a Coast Guard marine inspector or an 
MMS 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 Coast Guard marine inspector or the MMS 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.
    (e) 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.
    (f) Coast Guard marine inspectors conduct an initial inspection of 
each fixed OCS facility 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; USCG-2001-9045, 67 FR 5916, Feb. 7, 2002]



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(f), 
inspections by Coast Guard marine inspectors and Minerals Management 
Service (MMS) inspectors do not meet the requirements for an inspection 
under paragraph (a) of this section.
    (c) Except for initial inspections under Sec. 140.101(f), the 
results of the inspection under paragraph (a) of this section must be 
recorded on form CG-5432. Forms CG-5432 may be obtained from the Officer 
in Charge, Marine Inspection. A copy of the completed form must be kept 
for 2 years after the inspection under paragraph (a) of this section is 
conducted and the form made available to the Coast Guard and MMS on 
request. For manned fixed OCS facilities, the copy of the completed form 
must be kept on the facility. For unmanned fixed OCS facilities, the 
copy of the completed form must be kept either at the nearest manned 
fixed OCS facility or, if there is no manned fixed OCS facility in the 
area, at the nearest field office of the owner or operator. In addition, 
the owner or operator must submit, to the appropriate MMS District 
office, a copy of each completed form CG-5432 that indicates outstanding 
deficiencies or hazards, within 30 days after completion of the 
inspection.

[CGD 84-098a, 53 FR 18980, May 26, 1988, as amended by USCG-2001-9045, 
67 FR 5916, Feb. 7, 2002]



Sec. 140.105  Correction of deficiencies and hazards.

    (a) Lifesaving and fire fighting equipment which is found defective 
during an inspection by a Coast Guard marine inspector or a Minerals 
Management Service (MMS) inspector and which, in

[[Page 139]]

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 or an MMS 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 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 completed. 
Deficiencies and hazards that are not corrected or eliminated by the 
time the form is completed must be indicated on the form as 
``outstanding'' and the form submitted to the appropriate MMS District 
office. Upon receipt of a form CG-5432 indicating outstanding 
deficiencies or hazards, MMS 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) For lifesaving and fire fighting equipment deficiencies on fixed 
OCS facilities that cannot be corrected before the submission of form 
CG-5432, the owner or operator must contact the appropriate MMS District 
Supervisor to request a time period for repair of the item. The owner or 
operator must include a description of the deficiency and the time 
period approved by MMS for correction of the deficiency in the comment 
section of form CG-5432.
    (e) 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 or MMS (for 
deficiencies or hazards discovered by MMS during an inspection of a 
fixed OCS facility), initiates appropriate enforcement measures.

[CGD84-098a, 53 FR 18981, May 26, 1988, as amended by USCG-2001-9045, 67 
FR 5916, Feb. 7, 2002]



                        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.

[[Page 140]]



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.



                  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;

[[Page 141]]

    (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.
    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

[[Page 142]]

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 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

[[Page 143]]

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.
    (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 Sec. Sec. 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 Sec. Sec. 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).

[[Page 144]]


    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.
    (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.

[[Page 145]]



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.



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

[[Page 146]]

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 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.

[[Page 147]]



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 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).

[[Page 148]]

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.



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 Sec. Sec. 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.

[[Page 149]]

    (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 Sec. Sec. 146.140 or 146.210 of this 
chapter to provide rapid evacuation assistance in the event of an 
emergency.



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

[[Page 150]]

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.



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

[[Page 151]]

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 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

[[Page 152]]

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 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

[[Page 153]]

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 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]



Sec. 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

[[Page 154]]

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.
    (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.

[[Page 155]]

 
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]



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.

[[Page 156]]



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 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.

[[Page 157]]

    (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;
    (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 Sec. Sec. 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

[[Page 158]]

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 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]

[[Page 159]]



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.
    (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

[[Page 160]]

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;
    (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;

[[Page 161]]

    (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.



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)

[[Page 162]]



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.
147.815 ExxonMobil Hoover Floating OCS Facility safety zone.
147.817 Sir Douglas Morpeth Tension Leg Platform safety zone.
147.819 Allegheny Tension Leg Platform safety zone.
147.821 Brutus Tension Leg Platform safety zone.
147.823 Enchilada Platform safety zone.
147.825 Chevron Genesis Spar safety zone.
147.827 Marlin Tension Leg Platform safety zone.
147.829 Matterhorn Tension Leg Platform safety zone.
147.831 Holstein Truss Spar safety zone.
147.833 Na Kika FDS safety zone.
147.835 Magnolia TLP safety zone.
147.837 Marco Polo 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.
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

[[Page 163]]

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 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[min]48[sec] N, 90[deg]59[min]48[sec] 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[min]01[sec] N, 90[deg]54[min]04[sec] 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:

[[Page 164]]

    (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[min]14.497[sec] N, 89[deg]06[min]12.790[sec] 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[min]42[sec] N, 89[deg]33[min]05[sec] 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[min]10.29[sec] N, 89[deg]13[min]22.35[sec] W with 
two supply boat mooring buoys at positions 28[deg]10[min]18.12[sec] N, 
89[deg]12[min]52.08[sec] W (Northeast) and 28[deg]09[min]49.62[sec] N, 
89[deg]12[min]57.48[sec] 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[min]52.2[sec] N, 
88[deg]05[min]30[sec] W with two supply boat mooring buoys at positions 
29[deg]03[min]52.2[sec] N, 88[deg]05[min]12.6[sec] W (Northeast) and 
29[deg]03[min]28.2[sec] N, 88[deg]05[min]10.2[sec] 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[min]45.4[sec] N, 92[deg]26[min]35.09[sec] 
W with two supply boat mooring buoys at positions 
27[deg]32[min]38.1[sec] N, 92[deg]26[min]04.8[sec] W (East Buoy) and 
27[deg]32[min]58.14[sec] N, 92[deg]27[min]04.92[sec] 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. 147.815  ExxonMobil Hoover Floating OCS Facility safety zone.

    (a) Description. The ExxonMobil Hoover Floating OCS Facility, 
Alaminos

[[Page 165]]

Canyon Block 25A (AC25A), is located at position 26[deg]56[min]33[sec] 
N, 94[deg]41[min]19.55[sec] 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 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, Eighth Coast Guard 
District

[CGD08-01-025, 68 FR 4102, Jan. 28, 2003]



Sec. 147.817  Sir Douglas Morpeth Tension Leg Platform safety zone.

    (a) Description. The Sir Douglas Morpeth Tension Leg Platform 
(Morpeth TLP), Ewing Bank Block 921A (EW 921A), is located at position 
28[deg]02[min]05.28[sec] N, 90[deg]01[min]22.12[sec] 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 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, Eighth Coast Guard 
District.

[CGD08-01-025, 68 FR 4102, Jan. 28, 2003]



Sec. 147.819  Allegheny Tension Leg Platform safety zone.

    (a) Description. The Allegheny Tension Leg Platform (Allegheny TLP), 
Green Canyon Block 254A (GC 254A), is located at position 
27[deg]41[min]29.65[sec] N, 90[deg]16[min]31.93[sec] 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 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, Eighth Coast Guard 
District.

[CGD08-01-025, 68 FR 4102, Jan. 28, 2003]



Sec. 147.821  Brutus Tension Leg Platform safety zone.

    (a) Description. The Brutus Tension Leg Platform (Brutus TLP), Green 
Canyon Block 158 (GC 158), is located at position 
27[deg]47[min]42.86[sec] N, 90[deg]38[min]51.15[sec] 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 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, Eighth Coast Guard 
District.

[CGD08-01-025, 68 FR 4102, Jan. 28, 2003]



Sec. 147.823  Enchilada Platform safety zone

    (a) Description. The Enchilada Platform, Garden Banks Block 128A (GB 
128A), is located at position 27[deg]52[min]31.31[sec] N, 
91[deg]59[min]11.09[sec] 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 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, Eighth Coast Guard 
District.

[CGD08-01-025, 68 FR 4102, Jan. 28, 2003]



Sec. 147.825  Chevron Genesis Spar safety zone.

    (a) Description. The Chevron Genesis Spar, Green Canyon 205A 
(GC205A), is located at position 27[deg]46[min]46.365[sec] N, 
90[deg]31[min]06.553[sec] 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 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, Eighth Coast Guard 
District.

[CGD08-01-043, 68 FR 4100, Jan. 28, 2003]



Sec. 147.827  Marlin Tension Leg Platform safety zone.

    (a) Description. The Marlin Tension Leg Platform (Marlin TLP), 
Viasca Knoll, Block 915 (VK 915), is located at

[[Page 166]]

position 29[deg]6[min]27.46[sec] N, 87[deg]56[min]37.14[sec] 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 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, Eighth Coast Guard 
District.

[CGD08-02-045, 68 FR 55445, Sept. 26, 2003]



Sec. 147.829  Matterhorn Tension Leg Platform safety zone.

    (a) Description. The Matterhorn Tension Leg Platform A (Matterhorn 
TLP), Mississippi Canyon 243 (MC 243), located at position 
28[deg]44[min]32[sec] N, 88[deg]39[min]32[sec] W. The area within 500 
meters (1640.4 feet) from each point on the structure's outer edge is a 
safety zone. These coordinates are based upon [NAD 83].
    (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, Eighth Coast Guard 
District.

[CGD08-03-017, 68 FR 59118, Oct. 14, 2003]



Sec. 147.831  Holstein Truss Spar safety zone.

    (a) Description. Holstein, Green Canyon 645 (GC 645), located at 
position 27[deg]19[min]17[sec] N, 90[deg]32[min]08[sec] W. The area 
within 500 meters (1640.4 feet) from each point on the structure's outer 
edge is a safety zone. These coordinates are based upon North American 
Datum 1983.
    (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, Eighth Coast Guard 
District.

[CGD08-03-028, 69 FR 6147, Feb. 10, 2004]



Sec. 147.833  Na Kika FDS safety zone.

    (a) Description. Na Kika FDS, Mississippi Canyon 474 ``A'' (MC 474 
``A''), located at position 28[deg]31[min]14.86[sec] N, 
88[deg]17[min]19.69[sec] W. The area within 500 meters (1640.4 feet) 
from each point on the structure's outer edge is a safety zone. These 
coordinates are based upon [NAD 83].
    (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, Eighth Coast Guard 
District.

[CGD08-03-039, 69 FR 21066, Apr. 20, 2004]



Sec. 147.835  Magnolia TLP safety zone.

    (a) Description. Magnolia TLP, Garden Banks 783 ``A'' (GB 783 
``A''), located at position 27[deg]12[min]13.86[sec] N, 
92[deg]12[min]09.36[sec] W. The area within 500 meters (1640.4 feet) 
from each point on the structure's outer edge is a safety zone. These 
coordinates are based upon [NAD 83].
    (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, Eighth Coast Guard 
District.

[CGD08-03-040, 69 FR 19934, Apr. 15, 2004]



Sec. 147.837  Marco Polo Tension Leg Platform safety zone.

    (a) Description. Marco Polo Tension Leg Platform, Green Canyon 608 
(GC 608), located at position 27[deg]21[min]43.32[sec] N, 
90[deg]10[min]53.01[sec] W. The area within 500 meters (1640.4 feet) 
from each point on the structure's outer edge is a safety zone. These 
coordinates are based upon [NAD 83].
    (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, Eighth Coast Guard 
District.

[CGD08-04-004, 69 FR 33858, June 17, 2004]



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

[[Page 167]]

the center of the structure is 34[deg]-10[min]-47[sec] N, 119[deg]-
28[min]-05[sec] 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[min]-02[sec] N, 119[deg]-16[min]-35[sec] 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[min]-57[sec] N, 118[deg]-07[min]-42[sec] W; 
and Platform Elly, 33[deg]-35[min]-00[sec] N, 118[deg]-07[min]-40[sec] 
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 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[min]-27[sec] N, 120[deg]-07[min]-14[sec] 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[min]-19[sec] N 120[deg]-06[min]00[sec] 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[min]-56[sec] N. 119[deg]-25[min]-07[sec] 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[min]-45[sec] N. 118[deg]-08[min]-27[sec] 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]

[[Page 168]]



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 34-28-09.5 N, 120-40-46.1 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.

[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 33-33-50 N, 118-07-00 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.

[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 34-29-42 N, 120-42-08 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 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[min]-30[sec] N, 119[deg]-24[min]-01[sec] 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[min]-36[sec] N, 120[deg]-10[min]-03[sec] 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[min]-01[sec] N, 120[deg]-16[min]-45[sec] 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

[[Page 169]]

the center of the structure is 34[deg]-36[min]-37.5[sec] N, 120[deg]-
43[min]-46[sec] 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 171]]

                                  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 Homeland Security, and is revised through July 1, 2005.

  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.

                                                                 Section

                                 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
Undocumented MODUs...............................................143.205
Diving casualties
                                                                  146.40

[[Page 172]]

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

                                 G

General alarm system:

[[Page 173]]

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:
Manning of.......................................................146.120
Marking of.......................................................146.135

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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
U.S. and undocumented MODUs......................................146.203

[[Page 175]]

                                 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
Written report of casualty...............................146.35, 146.303

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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
Inspection of..................................................146.20(d)

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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

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                      SUBCHAPTER NN_DEEPWATER PORTS





PART 148_DEEPWATER PORTS: GENERAL--Table of Contents




                            Subpart A_General

Sec.
148.1 What is the purpose of this subchapter?
148.2 Who is responsible for carrying out this subchapter?
148.3 What Federal agencies are responsible for carrying out the 
          Deepwater Port Act?
148.5 How are terms used in this subchapter defined?

                   Subpart B_Application for a License

148.100 What is the purpose of this subpart?
148.105 What must I include in my application?
148.107 What additional information may be required?
148.108 What if a Federal or State agency or other interested party 
          requests additional information?
148.110 How do I prepare my application?
148.115 How many copies of the application must I send and where must I 
          send them?
148.125 What are the application fees?

                    Subpart C_Processing Applications

                                 General

148.200 What is the purpose of this subpart?
148.205 How are documents related to the application maintained?
148.207 How and where can I view docketed documents?
148.209 How is the application processed?
148.211 What must I do if I need to change my application?
148.213 How do I withdraw my application?
148.215 What if a port has plans for a deep draft channel and harbor?
148.217 How can a State be designated as an adjacent coastal State?
148.221 What must I do to make a claim or object to a claim?

                             Public Meetings

148.222 When must public meetings be held?
148.227 How is a public meeting reported?

                             Formal Hearings

148.228 What if a formal evidentiary hearing is necessary?
148.230 How is notice of a formal hearing given?
148.232 What are the rules for a formal hearing?
148.234 What are the limits of an administrative law judge's 
          jurisdiction?
148.236 What authority does an administrative law judge have?
148.238 Who are the parties to a formal hearing?
148.240 How does a State or a person intervene in a formal hearing?
148.242 How does a person who is not a party to a formal hearing present 
          evidence at the hearing?
148.244 Who must represent the parties at a formal hearing?
148.246 When is a document considered filed and where must it be filed?
148.248 What happens when a document does not contain all necessary 
          information?
148.250 Who must be served before a document is filed?
148.252 What is the procedure for having a subpoena served?
148.254 How is a transcript of the hearing prepared?
148.256 What happens at the conclusion of a formal hearing?

                  Approval or Denial of the Application

148.276 When must the application be approved or denied?
148.277 How may Federal agencies and States participate in the 
          application process?
148.279 What are the criteria for approval or denial of an application?
148.281 What happens when more than one application is submitted for an 
          oil deepwater port for the same application area?
148.283 When is the application process stopped before the application 
          is approved or denied?

                           Subpart D_Licenses

148.300 What does this subpart concern?
148.305 What is included in a deepwater port license?
148.307 Who may consult with the Commandant (G-M) on developing the 
          conditions of a license?
148.310 How long does a license last?
148.315 How is a license amended, transferred, or reinstated?
148.320 How is a license enforced, suspended, or revoked?

         Subpart E_Site Evaluation and Pre-Construction Testing

148.400 What does this subpart do?
148.405 What are the procedures for notifying the Commandant (G-M) of 
          proposed site evaluation and pre-construction testing?

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148.410 What are the conditions for conducting site evaluation and pre-
          construction testing?
148.415 When conducting site evaluation and pre-construction testing, 
          what must be reported?
148.420 When may the Commandant (G-M) suspend or prohibit site 
          evaluation or pre-construction testing?

    Subpart F_Exemption From or Adjustments to Requirements in This 
                               Subchapter

148.500 What does this subpart do?
148.505 How do I apply for an exemption?
148.510 What happens when a petition for exemption involves the 
          interests of an adjacent coastal State?
148.515 When is an exemption allowed?
148.600 What is the limit of financial liability?
148.605 How is the limit of liability determined?

       Subpart G_Environmental Review Criteria for Deepwater Ports

148.700 How does the Deepwater Port Act interact with other Federal and 
          State laws?
148.702 How were the environmental review criteria developed?
148.705 What is determined by the environmental evaluation?
148.707 What type of criteria will be used in an environmental review 
          and how will they be applied?
148.708 Must the applicant's proposal reflect potential regulations?
148.709 How are these criteria reviewed and revised?
148.710 What environmental conditions must be satisfied?
148.715 How is an environmental review conducted?
148.720 What are the siting criteria?
148.722 Should the construction plan incorporate best available 
          technology and recommended industry practices?
148.725 What are the design, construction and operational criteria?
148.730 What are the land use and coastal zone management criteria?
148.735 What are other critical criteria that must be evaluated?
148.737 What environmental statutes must an applicant follow?

    Authority: 33 U.S.C. 1504; Department of Homeland Security 
Delegation No. 0170.1 (75).

    Source: USCG-1998-3884, 69 FR 748, Jan. 6, 2004, unless otherwise 
noted.

    Effective Date Note: By USCG-1998-3884, 69 FR 746, Jan. 6, 2004, 
subchapter NN, consisting of parts 148, 149, and 150, was revised, 
effective Jan. 6, 2004 until Oct. 1, 2006.



                            Subpart A_General



Sec. 148.1  What is the purpose of this subchapter?

    This subchapter prescribes regulations for the licensing, 
construction, design, equipment, and operation of deepwater ports under 
the Deepwater Port Act of 1974, as amended (33 U.S.C. 1501-1524) (the 
Act).



Sec. 148.2  Who is responsible for carrying out this subchapter?

    Unless otherwise specified, the owner of a deepwater port must 
ensure that the requirements of this subchapter are carried out at that 
port.



Sec. 148.3  What Federal agencies are responsible for carrying out the 
Deepwater Port Act?

    Under delegations from the Secretary of Homeland Security and the 
Secretary of Transportation, the Coast Guard and the Maritime 
Administration (MARAD) coordinate with each other in processing 
applications for the issuance, transfer, or amendment of a license for 
the construction and operation of a deepwater port. MARAD is responsible 
for issuing, revoking, and reinstating deepwater port licenses. MARAD 
also has authority over the approval of fees charged by adjacent coastal 
States and certain matters relating to international policy, civil 
actions, and suspension or termination of licenses. The Secretary of 
Transportation has delegated authority over pipeline matters to the 
Research and Special Programs Administration (RSPA).



Sec. 148.5  How are terms used in this subchapter defined?

    As used in this subchapter:
    Act means the Deepwater Port Act of 1974, as amended (33 U.S.C. 
1501-1524).
    Adjacent coastal State means any ``coastal State'' that
    (1) Would be directly connected by pipeline to a ``deepwater port'';
    (2) Would be located within 15 miles of a ``deepwater port''; or
    (3) Is designated as an ``adjacent coastal State'' by the 
Administrator of the Maritime Administration under 33 U.S.C. 1508(a)(2).

[[Page 180]]

    Administrator of the Maritime Administration means the Associate 
Administrator, Port, Intermodal and Environmental Activities, Maritime 
Administration, or that individual's authorized representative, at 400 
Seventh Street SW., Washington, DC 20590, telephone 202-366-4721.
    Affiliate means a ``person'':
    (1) That has an ownership interest, direct or indirect, of more than 
3 percent in an ``applicant'';
    (2) That offers to finance, manage, construct, or operate the 
``applicant's'' ``deepwater port'' to any significant degree;
    (3) That owns or ``controls'' an ``applicant'' or an entity under 
paragraphs (1) or (2) of this definition; or
    (4) That is owned or ``controlled'' by, or under common ownership 
with, an ``applicant'' or an entity under paragraphs (1), (2), or (3) of 
this definition.
    Applicant means a ``person'' that is the owner of a proposed 
deepwater port and that is applying for a license under this part for 
that port.
    Application means an application submitted under this part for a 
license to own, construct, and operate a deepwater port.
    Approval series means the first six digits of a number assigned by 
the Coast Guard to approved equipment. Where approval is based on a 
subpart of 46 CFR chapter I, subchapter Q, the approval series 
corresponds to the number of the subpart. A list of approved equipment, 
including all of the approval series, is available at http://
cgmix.uscg.mil/Equipment.
    Approved means approved by the ``Commandant (G-M)''.
    Area to be avoided means a routing measure comprising an area within 
defined limits in which either navigation is particularly hazardous or 
it is exceptionally important to avoid casualties and which should be 
avoided by all ships or certain classes of ships. An area to be avoided 
may be either mandatory, where navigation is prohibited or subject to 
conditions imposed by competent authority, or recommendatory, in which 
ships should navigate with caution in light of the specially hazardous 
conditions presented. In either case, the nature of the area (whether 
mandatory or recommendatory) will be identified to mariners.
    Barrel means 42 U.S. gallons (159 liters) at atmospheric pressure 
and 60 [deg]Fahrenheit (15.56 [deg]Celsius).
    Captain of the Port or COTP means a Coast Guard officer who commands 
a Captain of the Port zone described in part 3 of this chapter and who 
is immediately responsible for enforcing port safety and security and 
marine environmental protection regulations within that area.
    Certified Industrial Hygienist means an industrial hygienist who is 
certified by the American Board of Industrial Hygiene.
    Certified Marine Chemist means a marine chemist who is certified by 
the National Fire Protection Association.
    Citizen of the United States means:
    (1) Any person who is a United States citizen by law, birth, or 
naturalization;
    (2) Any state, any agency of a State or a group of States; or
    (3) Any corporation, partnership, or other association:
    (i) That is organized under the laws of any State;
    (ii) Whose president, and chairman of the board of directors, and 
general partners or their equivalents, are persons described in 
paragraph (1) of this definition; and
    (iii) That has no more of its directors who are not persons 
described in paragraph (1) of this definition than constitute a minority 
of the number required for a quorum to conduct the business of the board 
of directors.
    Coastal environment means the coastal waters (including the lands in 
and under those waters), internal waters, and the adjacent shorelines 
(including waters in and under those shorelines). The term includes, but 
is not limited to, transitional and intertidal areas, bays, lagoons, 
salt marshes, estuaries, and beaches; fish, wildlife, and other living 
resources of those waters and lands; and the recreational and scenic 
values of those lands, waters, and resources.
    Coastal State means a State of the United States in or bordering on 
the Atlantic, Pacific, or Arctic Oceans or the Gulf of Mexico.
    Commandant (G-M) means the Assistant Commandant for Marine Safety,

[[Page 181]]

Security and Environmental Protection, or that individual's authorized 
representative, at Commandant (G-M), U.S. Coast Guard, 2100 Second 
Street SW., Washington, DC 20593-0001.
    Confined space means a space that may contain a dangerous 
atmosphere, including a space that:
    (1) Has poor natural ventilation, such as a space with limited 
openings (e.g., cofferdam, double bottom tank); or
    (2) Is not designed for continuous occupancy by personnel.
    Construction means the supervising, inspection, actual building and 
all other activities incidental to the building, repairing, or expanding 
of a ``deepwater port'' or any of its components. The term includes, but 
is not limited to, fabrication, laying of pipe, pile driving and bulk 
heading and alterations, modifications, or additions to the ``deepwater 
port''.
    Control means the power, directly or indirectly, to determine the 
policy, business practices, or decision-making process of another 
``person'', whether by stock or other ownership interest, by 
representation on a board of directors or similar body, by contract or 
other agreement with stockholders or others, or by other means.
    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.
    Dangerous atmosphere means an atmosphere that may expose personnel 
to the risk of death, incapacitation, injury, or acute illness or may 
impair ability to escape from the atmosphere unaided.
    Deepwater port means any fixed or floating manmade structures other 
than a vessel, or any group of structures, located beyond State seaward 
boundaries and that are used or intended for use as a port or terminal 
for the transportation, storage, or further handling of oil or natural 
gas for transportation to any State, except as otherwise provided in the 
Deepwater Port Act of 1974, as amended, and for other uses not 
inconsistent with the purposes of that Act, including transportation of 
oil or natural gas from the United States outer continental shelf. The 
term includes all components and equipment, including pipelines, pumping 
stations, service platforms, buoys, mooring lines, and similar 
facilities to the extent they are located seaward of the high water 
mark. In the case of natural gas, the term includes all components and 
equipment, including pipelines, pumping or compressor stations, service 
platforms, buoys, mooring lines, and similar facilities which are 
proposed and/or approved for construction and operation as part of the 
deepwater port, to the extent that they are located seaward of the high 
water mark and do not include interconnecting facilities. A deepwater 
port shall be considered a ``new source'' for purposes of the Clean Air 
Act, as amended (42 U.S.C. 7401 et seq.), and the Federal Water 
Pollution Control Act, as amended (33 U.S.C. 1251 et seq.).
    District Commander means an officer who commands a Coast Guard 
District described in part 3 of this chapter or that individual's 
authorized representative.
    Emergency medical technician (EMT) means a person trained and 
certified to appraise and initiate the administration of emergency care 
for victims of trauma or acute illness before or during transportation 
of the victims to a health care facility via ambulance, aircraft or 
vessel.
    Engineering hydrographic survey means a detailed geological analysis 
of seabed soil samples performed to determine the physical composition 
(e.g., mineral content, etc.) and structural integrity for the 
installation of offshore components and structures.
    Governor means the Governor of a ``State'' or the ``person'' 
designated by State law to exercise the powers granted to the Governor 
under the Act.
    Gross under-keel clearance means the distance between the keel of a 
tanker and the ocean bottom when the tanker

[[Page 182]]

is moored or anchored in calm water free of wind, current, or tide 
conditions that would cause the tanker to move.
    Hose string means the part of a ``single point mooring oil or 
natural gas transfer connection'' made out of flexible hose of the 
floating or float/sink type that connects the tanker's manifold to the 
``single point mooring''.
    Hot work means work that produces heat or fire, such as riveting, 
welding, burning, or other fire or spark producing operations.
    Lease block means an area 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 section 3 of the Submerged Lands Act 
(43 U.S.C. 1311).
    License means a license issued under this part to own, construct, 
and operate a deepwater port.
    Licensee means a citizen of the United States holding a valid 
license for the ownership, construction, and operation of a deepwater 
port that was issued, transferred, or renewed under this subchapter.
    Marine environment includes the ``coastal environment,'' waters of 
the contiguous zone, the exclusive economic zone, and the high seas; 
fish, wildlife, and other living resources of those waters; and the 
recreational and scenic values of those waters and resources.
    Marine site means the area in which the deepwater port is located, 
and includes the safety zone, attendant ships' routes, anchorages and 
all areas seaward of the high water mark in which associated components 
and equipment of the deepwater port are located.
    Maritime Administration (or MARAD) means the Administrator of the 
Maritime Administration or that person's designees.
    Metering platform means a manned or unmanned platform consisting of 
either a fixed or floating structure that serves as an interchange site 
for controlling the rate of transfer of natural gas from vessel to 
pipeline.
    Natural gas means either natural gas unmixed, or any mixture of 
natural or artificial gas, including compressed or liquefied natural 
gas.
    Net under-keel clearance means the distance between the keel of a 
tanker and the ocean bottom when the tanker is underway, anchored, or 
moored and subject to actual wind, waves, current, and tide motion.
    No anchoring area means a routing measure comprising an area within 
defined limits where anchoring is unsafe, unstable, or particularly 
hazardous or could result in unacceptable damage to the marine 
environment. Anchoring should be avoided by all ships or certain classes 
of ships in a no anchoring area.
    Officer in Charge, Marine Inspection, or OCMI means an individual 
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 a deepwater port.
    Offshore competent person means an individual trained and designated 
by his or her employer in matters relating to confined-space pre-entry 
testing and certification at a deepwater port, prior to entry. An 
offshore competent person should demonstrate proficiency in the 
following criteria--
    (1) Hazard description and recognition;
    (2) Hazard evaluation and measurement;
    (3) Hazard prevention;
    (4) Control and elimination; and
    (5) Practical application simulation.
    Oil means petroleum, crude oil, and any substance refined from 
petroleum or crude oil.
    Operator means the person who is licensed under 33 U.S.C. 1503 to 
own, construct, and operate a deepwater port, or that person's designee.
    Person means an individual, a public or private corporation, a 
partnership or other association, or a government entity.
    Personnel means individuals who are employed by licensees, 
operators, contractors, or subcontractors and who are on a deepwater 
port by reason of their employment.
    Pipeline end manifold means the pipeline end manifold at a ``single 
point mooring.''
    Platform means a fixed structure that rests on or is embedded in the 
seabed and that has floors or decks where an

[[Page 183]]

activity or specific function may be carried out.
    Pumping platform complex means a ``platform'' or a series of 
interconnected ``platforms'', exclusive of a deepwater port, consisting 
of one or more single point moorings (SPM) or submerged turret loading 
buoys (STL) that can pump oil or natural gas and that has one or more of 
the following features or capabilities:
    (1) Can handle the mooring and loading of small ``vessels'';
    (2) Has berthing and messing facilities; and
    (3) Has a landing area for helicopters.
    Reconnaissance hydrographic survey means a scientific study of fresh 
and salt-water bodies, currents and water content, cultural resources 
and seabed soils. A visual representation of the survey findings is 
normally depicted on a chart of the examined area.
    Routing measures means any system of one or more vessel routes or 
routing schemes aimed at reducing the risk of casualties. It includes 
traffic separation schemes, two-way routes, recommended tracks, areas to 
be avoided, inshore traffic zones, roundabouts, and deepwater routes.
    Safety zone means the safety zone established around a deepwater 
port under part 150, subpart J, of this chapter.
    Single point mooring (SPM) means an offshore berth that links an 
undersea pipeline to a tanker moored to the mooring and allows for the 
transfer of oil or natural gas between the tanker and the pipeline.
    Single point mooring-oil transfer system (SPM-OTS) or single point 
mooring-natural gas transfer system (SPM-NGTS) means the part of the oil 
or natural gas transfer system from the ``pipeline end manifold'' to the 
end of the ``hose string'' that connects to the tanker's manifold.
    State includes each of the States of the United States, the District 
of Columbia, the Commonwealth of Puerto Rico, and the territories and 
possessions of the United States.
    Support vessel means a vessel working for a licensee at a deepwater 
port or cleared by a licensee to service a tanker calling at a deepwater 
port, and includes a:
    (1) Tug;
    (2) Line-handling boat;
    (3) Crew boat;
    (4) Supply vessel;
    (5) Bunkering vessel;
    (6) Barge; or
    (7) Other similar vessel.
    Survival craft means a craft capable of sustaining the lives of 
persons in distress after abandoning a deepwater port. The term includes 
lifeboats, life rafts, buoyant apparatus, and survival capsules. The 
term does not include rescue boats, unless the rescue boats are also 
``approved'' as lifeboats.
    Tanker means a vessel that calls at a ``deepwater port'' to unload 
oil or natural gas.
    Vessel means every description of watercraft or other artificial 
contrivance used, or capable of being used, as a means of transportation 
on or through the water.



                   Subpart B_Application for a License



Sec. 148.100  What is the purpose of this subpart?

    This subpart describes how to apply for a license to own, construct, 
and operate a deepwater port.



Sec. 148.105  What must I include in my application?

    Your application must include the information required by paragraphs 
(a) through (cc) of this section.
    (a) For each applicant, affiliate, and consultant:
    (1) The name, address, telephone number, citizenship, and principal 
business activity of the applicant and its affiliates;
    (2) The name, address, and principal business activity of each 
subsidiary or division of the applicant or its affiliates that 
participated in the decision to apply for a license to build a deepwater 
port;
    (3) A description of how each affiliate is associated with the 
applicant and of the ownership interest each affiliate has in the 
applicant;
    (4) A list of corporate officers and directors of the applicant and 
each affiliate that participated in the decision to apply for a license 
to build a deepwater port;

[[Page 184]]

    (5) A statement on the applicant's and each affiliate's history for 
the last 5 years, including:
    (i) Any bankruptcy filing, their dates, and statuses in the event 
the activity results in reorganization;
    (ii) Any violations of State or Federal laws; and
    (iii) Outstanding litigation that relates to, or could materially 
affect, information in the license application; and
    (6) A declaration regarding lobbying activities on behalf of either 
the applicant or an affiliate under 31 U.S.C. 1352.
    (b) Experience in matters relating to deepwater ports. (1) A 
description of the experience of the applicant, its affiliates, and its 
consultants in offshore operations, particularly operations involving 
the transfer and storage of liquid cargo and the loading and unloading 
of vessels.
    (2) For each affiliate with which the applicant has made 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, 
and seabed foundations and a description of other experiences that would 
bear on the affiliate's qualification to participate in the construction 
of a deepwater port.
    (c) The identity of each engineering firm, if known, that will 
design the deepwater port or a portion of the port. The firm's:
    (1) Name;
    (2) Address;
    (3) Citizenship;
    (4) Telephone number; and
    (5) Qualifications.
    (d) United States citizenship. (1) As used in this paragraph (d) the 
terms ``president,'' ``chairman,'' ``directors,'' and ``board of 
directors'' (or ``board'') refer to those officers and boards or their 
equivalents by whatever means they may be known. References to 
``charters,'' ``certificates,'' or other documents refer to legally 
sufficient documents by those names or their equivalents.
    (2) If the applicant is an individual citizen of the United States 
by law, birth, or naturalization, or a group of such individuals, submit 
an affidavit of U.S. citizenship from each individual.
    (3) If the applicant is a State agency of a State, or a group of 
states, submit the law or laws authorizing the applicant to undertake 
the operations detailed in the application.
    (4) If the applicant is a private corporation, submit its current 
charter or certificate of incorporation; its current by-laws; and 
affidavits of citizenship (U.S. or foreign) from its president, chairman 
of the board of directors and each director.
    (5) If the applicant is a partnership or association not formed or 
owned solely by individual citizens of the United States, submit its 
certificate of formation; its partnership agreement or articles of 
association; its current by-laws; the minutes of its first board 
meeting; and affidavits of citizenship (U.S. or foreign) from the 
president and each director.
    (e) Address for service of documents. The name and address of one 
individual who may be served with documents in case a formal hearing is 
held concerning the application, and the name and address of one 
individual who may receive other documents.
    (f) Location and use. The proposed location and capacity of the 
deepwater port and a general description of the anticipated use of the 
port.
    (g) Financial information. (1) For the applicant and each affiliate 
with an ownership interest in the applicant of greater than 3 percent, 
and affiliates which have a direct contractual relationship with the 
deepwater port:
    (i) Annual financial statements, audited by an independent certified 
public accountant, for the previous 3 years, including, but not limited 
to, an income statement, balance sheet, and cash flow statement with 
footnote disclosures prepared according to U.S. Generally Accepted 
Accounting Principles; provided, however, that the Commandant (G-M), in 
coordination with MARAD, may waive this requirement upon finding that 
the affiliate does not in the normal course of business produce audited 
statements and is part of a larger corporate group whose audited 
statement provides sufficient

[[Page 185]]

information to support an adequate assessment of the affiliate's 
relationship with and impact on the applicant; and
    (ii) Interim income statements and balance sheets for each quarter 
that ends at least 30 days before submission of the application, unless 
it is included in the most recent annual financial statement.
    (2) An estimate of construction costs, including:
    (i) A phase-by-phase breakdown of costs;
    (ii) The estimated completion dates for each phase; and
    (iii) A detailed estimate of the cost of removing all of the marine 
components of the deepwater port, other than pipelines that lie beneath 
the seabed, when operations at the port cease.
    (3) Annualized projections or estimates of each of the following, 
along with the underlying assumptions, for the next 5 years and at 
reasonable intervals throughout the life of the deepwater port:
    (i) Total oil or natural gas throughput and subtotals showing 
throughput owned by the applicant and its affiliates and throughput 
owned by others;
    (ii) Projected financial statements, including a balance sheet and 
income statement; and
    (iii) Annual operating expenses, showing separately any payment made 
to an affiliate for any management duties carried out in connection with 
the operation of the deepwater port.
    (4) A copy of all proposals or agreements concerning the management 
and financing of the deepwater port, including agreements relating to 
throughputs, capital contributions, loans, guarantees, commitments, 
charters, and leases.
    (5) The throughput reports for the calendar year preceding the date 
of the application for the applicant and each of the applicant's 
affiliates engaged in producing, refining, or marketing oil or natural 
gas, along with a copy of each existing or proposed throughput 
agreement. Each throughput report must list the throughput of the 
following products:
    (i) Crude oil. If crude oil is the only product the port is designed 
to transport, the throughput report may be limited to reporting crude 
oil;
    (ii) Gasoline;
    (iii) Jet aviation fuel;
    (iv) Distillate fuel oils;
    (v) Other refinery products; and
    (vi) Natural gas.
    (h) Construction contracts and construction-related studies. (1) A 
copy of each contract that the applicant made for the construction of 
any component of the deepwater port or for the operation of the port.
    (2) A listing and abstract of:
    (i) All completed or ongoing studies on deepwater ports conducted by 
or for the applicant; and
    (ii) All other construction-related studies used by the applicant.
    (3) The identity of each contractor, if known, that will construct 
or install the deepwater port or a portion of the port, including each 
firm's:
    (i) Name;
    (ii) Address;
    (iii) Citizenship;
    (iv) Telephone number; and
    (v) Qualifications.
    (i) Compliance with Federal water pollution requirements. (1) 
Evidence, to the extent available, 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. If complete information is not 
available by the time MARAD must either approve or deny the application 
under 33 U.S.C. 1504(i)(1), the license for the deepwater port is 
conditioned upon the applicant demonstrating 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.
    (2) In those cases where certification under 33 U.S.C. 1341(a)(1) 
must be obtained from the Administrator of the Environmental Protection 
Agency, the request for certification, and pertinent information (e.g., 
plume modeling) related to the certification.
    (j) Coastal zone management. A request for each certification 
required by section 307 of the Coastal Zone Management Act of 1972, as 
amended (16 U.S.C. 1456).
    (k) Identification of lease block. (1) Identification of each lease 
block where any part of the proposed deepwater port or its approaches is 
located. This identification must be made on

[[Page 186]]

Official Outer Continental Shelf Leasing Maps or Protraction diagrams, 
where they are available. For each lease block, provide the following:
    (i) A description of each pipeline, or other right-of-way crossing, 
in enough detail to allow plotting of the rights-of-way to the nearest 
one-tenth of a second in latitude and longitude; and
    (ii) The identity of the lessee of each pipeline or other right-of-
way.
    (2) Detailed information concerning any interest that anyone, 
including the applicant, has in each block.
    (3) Detailed information concerning the present and planned use of 
each block.
    (l) Overall site plan. Single-line drawings showing the location and 
type of each component of the proposed deepwater port and its necessary 
facilities, including:
    (1) Floating structures;
    (2) Fixed structures;
    (3) Aids to navigation;
    (4) Manifold systems; and
    (5) Onshore storage areas, pipelines, and refineries.
    (m) Site plan for marine components. A site plan consisting of the 
following:
    (1) The proposed size and location of all:
    (i) Fixed and floating structures and associated components seaward 
of the high water mark only, if the proposal does not involve a 
connected action (i.e., installation of new pipeline extending in shore 
of the state boundary line);
    (ii) Recommended ships' routing measures and proposed vessel traffic 
patterns in the port area, including aids to navigation;
    (iii) Recommended anchorage areas and, for support vessels, mooring 
areas; and
    (2) A reconnaissance hydrographic survey of the proposed marine 
site. This survey should provide data on the water depth, prevailing 
currents, cultural resources, and a general characterization of the sea 
bottom. A requirement to submit an engineering hydrographic survey of 
the final marine site will be imposed as a condition in the license. The 
latter survey will require more extensive analysis of the soil and 
detailed study to determine its physical composition (i.e., minerals), 
and if the sea bottom can support fixed components comprising a 
deepwater port. The applicant may submit existing data, gathered within 
the previous 2 years, but it must be supplemented by field data for the 
specific locations in which a high degree of variability exists.
    (n) Soil data. An analysis of the general character and condition of 
the ocean bottom, sub-bottom, and upland soils throughout the marine 
site. The applicant may use existing data, so long as it was collected 
within the last 2 years and continues to provide accurate information 
about conditions throughout the site. If not, a new survey must be 
completed to provide supplemental data. The analysis must include 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 lesser forces that occur over 
time, including any history of accretion or erosion of the coastline 
near the marine site.
    (o) Archeological information. An analysis of the information from 
the reconnaissance hydrographic survey by a qualified underwater 
archeologist to determine the historical or other significance of the 
area where the site evaluation and pre-construction testing activities 
were conducted. This analysis must meet standards established by the 
Mineral Management Service for activities on the Outer Continental Shelf 
and include the areas potentially affected by the deepwater port, other 
associated platforms, and its pipeline routes.
    (p) Vessel operational information. Description of information, to 
be provided in the operations manual, pertaining to vessel operations, 
vessel characteristics and weather forecasting.
    (q) Information on floating components. (1) A description and 
preliminary design drawing of each floating component, including the 
hoses, anchoring or securing structure, and navigation

[[Page 187]]

lights if the component is a mooring buoy.
    (2) The design criteria, developed under part 149 of this chapter, 
to which each floating component will 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 safety, fire-fighting, and pollution prevention 
equipment to be used on each floating component.
    (6) A description of lighting to be used on floating hoses for night 
detection.
    (r) Information on fixed offshore components. (1) A description and 
preliminary design drawing for each fixed offshore component.
    (2) The design criteria, developed under part 149 of this chapter, 
to which each fixed offshore component will 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 following equipment to be installed:
    (i) Navigational lighting;
    (ii) Safety equipment;
    (iii) Lifesaving equipment;
    (iv) Firefighting equipment;
    (v) Pollution prevention equipment (response equipment will be 
outlined in the facility response plan); and
    (vi) Waste treatment equipment.
    (6) A description and preliminary design drawing of the following:
    (i) The cargo pumping equipment;
    (ii) The cargo piping system;
    (iii) The control and instrumentation system; and
    (iv) Any associated equipment, including oil or natural gas-
throughput-measuring equipment, leak-detection equipment, emergency-
shutdown equipment, and the alarm system.
    (7) The personnel capacity of each deepwater port pumping platform 
complex.
    (s) Information on offshore pipelines. (1) A description and 
preliminary design drawing of the marine pipeline, including:
    (i) Size;
    (ii) Throughput capacity;
    (iii) Length;
    (iv) Depth of cover; and
    (v) Protective devices.
    (2) The design criteria to which the marine pipeline will 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 how each crossing will be 
made.
    (t) Information on onshore components. The information required by 
paragraphs (t)(1) through (t)(3) must be supplied to the extent known by 
the applicant.
    (1) A description of the location, capacity, and ownership of all 
planned and existing onshore pipelines, storage facilities, refineries, 
petrochemical facilities, and transshipment facilities that will be 
served by the deepwater port. Crude oil or natural gas gathering lines 
and lines wholly within a deepwater port must be included in data on 
onshore components only if specifically required. Entry points and major 
connections between lines and with bulk purchasers must be included.
    (2) A chart showing the location of all planned and existing 
facilities that will be served by the port, including:
    (i) Onshore pipelines;
    (ii) Storage facilities;
    (iii) Refineries;
    (iv) Petrochemical facilities; and
    (v) Transshipment facilities.
    (3) A copy of all proposals or agreements with existing and proposed 
refineries that will receive oil transported through the deepwater port, 
the location and capacity of each such refinery and the anticipated 
volume of such oil to be refined by each such refinery to the extent 
known by the applicant.
    (u) Information on miscellaneous components. (1) A description of 
each radio station or other communications facility to be used during 
construction and operation of the deepwater port and their proposed 
concept of operation.
    (2) A description of the radar navigation system to be used in 
operation of

[[Page 188]]

the deepwater port outlined in the operations manual.
    (3) A description of the method to be used for bunkering vessels 
using the deepwater port.
    (4) A brief description of the type, size, and number of vessels to 
be used in bunkering, mooring, and servicing the vessels using the 
deepwater port.
    (5) A description and location of shore-based support facilities, if 
any, to be provided for vessels described in paragraph (u)(4) of this 
section; or that serve as offices or facilities in support of the 
deepwater port operations.
    (6) A copy of the actual radio station license, or if not available, 
the application sent to the Federal Communications Commission.
    (v) Construction procedures. A description of the method and 
procedures to be used in constructing each component of the deepwater 
port (e.g., shore-side fabrication, assembly and support), including 
anticipated dates of completion for each specific component during each 
phase of construction.
    (w) Operations manual. A draft of the operations manual for the 
proposed port containing the information under Sec. 150.15 of this 
chapter must demonstrate the applicant's ability to operate the port 
safely and effectively. To the extent circumstances are similar, this 
demonstration can be in the form of evidence, appended to the draft 
operations manual, of the applicant's participation in the safe and 
effective management or operation of other offshore facilities (for 
example, evidence of compliance with Mineral Management Service 
requirements for those facilities). If the information required for the 
manual is not available, state why it is not and when it will be 
available.
    (x) Environmental evaluation. An analysis, sufficient to meet the 
requirements of the National Environmental Policy Act, and as outlined 
in subpart G of this part, of the potential for impacts on the natural 
and human environments, including sufficient information to comply with 
all applicable Federal, tribal, and state requirements for the 
protection of the environment.
    (y) 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. Specify latitude and longitude 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 rotating lighted beacon:
    (i) Color;
    (ii) Characteristic;
    (iii) Effective intensity;
    (iv) Height above water; and
    (v) General description of illumination apparatus.
    (3) For each proposed sound signal on a structure, a general 
description of the apparatus.
    (4) For each proposed buoy:
    (i) Shape;
    (ii) Color;
    (iii) Number or letter;
    (iv) Depth of water in which located; and
    (v) General description of any light or sound signal apparatus on 
the buoy.
    (5) For the proposed radar beacon (RACON), height above water and a 
general description of the apparatus.
    (z) National Pollutant Discharge Elimination System (NPDES). To the 
extent available, the information prescribed by, and submitted on, the 
NPDES Application for Permit to Discharge, Short Form D, for applying 
for a discharge permit from the Environmental Protection Agency (EPA). 
If complete information is not available by the time MARAD must either 
approve or deny the application for a designated application area under 
33 U.S.C. 1504(i)(1), the license for the deepwater port is conditioned 
upon the applicant receiving the required discharge permit from the EPA 
before the start of any discharge requiring such a permit. The issuance 
of the permit demonstrates that all potential water discharges have been 
satisfactorily analyzed and water quality control measures implemented 
to mitigate discharges to meet NPDES.
    (aa) Placement of structures and the discharge of dredged or fill 
material. The

[[Page 189]]

information required to obtain a Department of Army permit for placement 
of structures and the discharge of dredged or fill material.
    (bb) Additional Federal authorizations. All other applications for 
Federal authorizations not listed elsewhere in this subpart that are 
required for ownership, construction, and operation of a deepwater port.
    (cc) A statement that the information in the application is true. 
This statement must be placed at the end of the application, sworn to 
before a notary public, and signed by a responsible official of the 
applicant.



Sec. 148.107  What additional information may be required?

    (a) The Commandant (G-M), in coordination with MARAD, may require 
the applicant or the applicant's affiliates to file, as a supplement to 
the application, any analysis, explanation, or detailing of information 
in the application or any other information the Commandant (G-M) deems 
necessary.
    (b) The Commandant (G-M) may require the applicant or the 
applicant's affiliates to make available for Coast Guard examination, 
under oath or for interview, persons having, or believed to have, 
necessary information.
    (c) The Commandant (G-M) may set a deadline for receiving the 
information. If the applicant states that the required information is 
not yet available but will be at a later date, the Commandant (G-M) may 
specify a later deadline. If a requirement is not met by a deadline 
fixed under this paragraph, the Commandant (G-M), in coordination with 
MARAD, may determine whether compliance with the requirement is 
important to processing the application within the time prescribed by 
the Act. If the requirement is important to processing the application 
within the time limit set by the Act, the Commandant (G-M) may recommend 
to the Administrator of the Maritime Administration that the 
Administrator either not approve the application or suspend it 
indefinitely. The deadline for the Administrator's review under the Act 
is extended for a period of time equal to the time of the suspension.



Sec. 148.108  What if a Federal or State agency or other interested 
party requests additional information?

    (a) Any Federal or State agency or other interested person may 
recommend that the applicant provide information in addition to that 
required to be in the application.
    (b) Recommendations must include a brief statement of why the 
information is needed.
    (c) The Commandant (G-M) must receive the request within 30 days 
after publication of the notice of application in the Federal Register. 
The request is considered before any final determination is made.
    (d) Commandant (G-M) will consider whether:
    (1) The information requested is essential for processing the 
license application; and
    (2) The time and effort required by the applicant in gathering the 
information will result in an undue delay in the application process.
    (e) Commandant (G-M) may consult with the applicant prior to issuing 
a determination on the request for additional information.



Sec. 148.110  How do I prepare my application?

    (a) Any person may confer with the Commandant (G-M) concerning 
requirements contained in this rule for the preparation of an 
application or the requirements of this subchapter.
    (b) The applicant may incorporate, by clear and specific reference 
in the application, the following:
    (1) Standard reference material that the applicant relied on and 
that is readily available to Federal and State agencies;
    (2) Current information contained in previous applications or 
reports that the applicant has submitted to the application staff; or
    (3) Current information contained in a tariff, report, or other 
document previously filed for public record with the Surface 
Transportation Board or the Securities and Exchange Commission, if:
    (i) A certified true and complete copy of the document is attached 
to each copy of the application required by Sec. 148.115(a);

[[Page 190]]

    (ii) The date of filing and the document number or other locator are 
on the cover of the document; and
    (iii) Any verification or certification required for the original 
filing (other than from auditors or other independent persons) is dated 
no earlier than 30 days before the date of the application.



Sec. 148.115  How many copies of the application must I send and where 
must I send them?

    Send copies of the application as described in paragraphs (a) 
through (c).
    (a) Six printed copies (and an electronic version), to the 
Commandant (G-MSO), U.S. Coast Guard, 2100 Second Street SW., 
Washington, DC 20593-0001.
    (b) One copy to the U.S. Army Corps of Engineers District Office 
having jurisdiction over the proposed port. For the address, see http://
www.usace.army.mil/.
    (c) The Commandant (G-MSO) may require the applicant to supply 
additional printed copies for distribution to Federal, tribal, and state 
regulatory agencies involved in reviewing the application.



Sec. 148.125  What are the application fees?

    (a) The applicant must submit to the Commandant (G-M) a 
nonrefundable application fee of $350,000 with each application for a 
license. If additional information is necessary to make an application 
complete, no additional application fee is required.
    (b) The costs incurred by the Federal Government in processing an 
application will be charged to the application fee until it is 
exhausted. If the fee is exhausted and the Federal Government incurs 
further processing costs, the applicant will be charged the additional 
costs. Commandant (G-M) will periodically advise the applicant of the 
status of expenses incurred during the application process.
    (c) Additional costs attributable to efforts to process a deepwater 
port license application will be paid by the applicant. These additional 
costs must be submitted to the Commandant (G-M) when they are assessed.
    (d) Application fees and additional costs assessed under this 
section must be made payable to the ``United States Treasury.''



                    Subpart C_Processing Applications

                                 General



Sec. 148.200  What is the purpose of this subpart?

    This subpart prescribes the requirements for processing an 
application for a deepwater port license. It includes the procedures for 
maintaining the docket, designating adjacent coastal States, holding 
informal and formal public hearings, and approving or denying an 
application.



Sec. 148.205  How are documents related to the application maintained?

    (a) The Commandant (G-M) maintains the docket for each application.
    (b) The docket contains a copy of all documents filed or issued as 
part of the application process.
    (c) Recommendations submitted by Federal departments and agencies 
under 33 U.S.C. 1504(e)(2) are docketed when they are received. Copies 
of applicable NEPA documents prepared under 33 U.S.C. 1504(f) are 
docketed when they are sent to the Environmental Protection Agency.
    (d) For a document designated as protected from disclosure under 33 
U.S.C. 1513(b), the Commandant (G-M):
    (1) Prevents the information in the document from being disclosed, 
unless the Commandant (G-M) states that the disclosure is not 
inconsistent with 33 U.S.C. 1513(b); and
    (2) Keeps a record of all individuals who have a copy of the 
document.



Sec. 148.207  How and where can I view docketed documents?

    (a) All material in a docket under Sec. 148.205 is available to the 
public for inspection and copying at Commandant (G-M) at the address 
under ``Commandant (G-M)'' in Sec. 148.5, except for:
    (1) Contracts under 33 U.S.C. 1504(c)(2)(B) for the construction or 
operation of a deepwater port; and

[[Page 191]]

    (2) Material designated under paragraph (b) of this section as a 
trade secret or commercial or financial information that is claimed to 
be privileged or confidential.
    (b) A person submitting material that contains either a trade secret 
or commercial or financial information under paragraph (a)(2) of this 
section must designate those portions of the material that are 
privileged or confidential. Section 148.221 contains procedures for 
objecting to these claims.



Sec. 148.209  How is the application processed?

    The Commandant (G-M) processes each application and publishes the 
notice of application under 33 U.S.C. 1504(c) in the Federal Register. 
Upon publication of a notice of application, the Commandant (G-M) 
delivers copies of the application to:
    (a) Each Federal agency with jurisdiction over any aspect of 
ownership, construction, or operation of deepwater ports. These include 
the Environmental Protection Agency, the Departments of Commerce, 
Defense, Energy, Interior and State, and relevant State environmental 
and natural resources protection agencies.
    (b) Each adjacent coastal State.



Sec. 148.211  What must I do if I need to change my application?

    If at any time before the Secretary approves or denies an 
application, the information in it changes or becomes incomplete, the 
applicant must promptly submit the changes or additional information in 
the manner set forth in 148.115 of this part.



Sec. 148.213  How do I withdraw my application?

    The applicant may withdraw an application at any time before the 
proceeding is terminated by delivering or mailing notice of withdrawal 
to the Commandant (G-M) for docketing.



Sec. 148.215  What if a port has plans for a deep draft channel and 
harbor?

    If a port of a State that will be directly connected by pipeline 
with a proposed deepwater port has existing plans for a deep draft 
channel and harbor, a representative of the port may request a 
determination under 33 U.S.C. 1503(d). The request must be sent, in 
writing, to Commandant (G-M) within 30 days after the date that the 
notice of application for the deepwater port is published in the Federal 
Register. The request must contain the information required in 
paragraphs (a) through (e) of this section.
    (a) Signature of the highest official of the port submitting the 
request;
    (b) A copy of the existing plans for the construction of a deep 
draft channel and harbor;
    (c) Certification 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 33 U.S.C. 
403 for the construction;
    (d) Any available documentation on:
    (1) Initial costs (by phases, if development is staged) for the 
proposed onshore project, including dredging, ship terminal, and 
attendant facilities;
    (2) Estimated annual operating expenses (by phases, if development 
is staged), including labor, for 30 years for all elements of the 
project;
    (3) Estimated time of completion of all elements of the project;
    (4) Estimated volume of ship traffic and volume and variety of the 
tonnage;
    (5) Potential traffic congestion conditions in the port and the 
port's capability to control vessel traffic as a result of the proposed 
dredging project;
    (6) Estimated economic benefits of the project, including:
    (i) Economic contribution to the local and regional area;
    (ii) Induced industrial development;
    (iii) Increased employment; and
    (iv) Increases in tax revenues;
    (7) Environmental and social impact of the project on elements of 
the local and regional community; and
    (8) An estimate of the economic impact that granting a deepwater 
port license will have on the proposed project.
    (e) A statement whether the port seeks a determination that the port 
best serves the national interest.

[[Page 192]]



Sec. 148.217  How can a State be designated as an adjacent coastal State?

    (a) Adjacent coastal States are named in the notice of application 
published in the Federal Register. However, a State not named as an 
adjacent coastal State in the notice may request to be designated as one 
if the environmental risks to it are equal to or greater than the risks 
posed to a State directly connected by pipeline to the proposed 
deepwater port.
    (b) The request must:
    (1) Be submitted in writing to the Commandant (G-M) 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) List the facts and any available documentation or analyses 
concerning the risk of damage to the coastal environment of the State; 
and
    (4) State why the State believes the risk of damage to its coastal 
environment is equal to or greater than the risk to a State connected by 
a pipeline to the proposed deepwater port.
    (c) Upon receipt of a request, the Commandant (G-M) sends a copy of 
the State's request to the Administrator of the National Oceanic and 
Atmospheric Administration (NOAA) and asks for the Administrator's 
recommendations within an amount of time that will allow the Commandant 
(G-M) 45 days from receipt of the request to determine the matter.
    (d) If after receiving NOAA's recommendations, the Commandant (G-M) 
determines that the State should be considered as an adjacent coastal 
State, the Commandant (G-M) designates it as an adjacent coastal State. 
If the Commandant (G-M) denies the request, the Commandant (G-M) 
notifies the Governor of the requesting State of the denial.



Sec. 148.221  What must I do to make a claim or object to a claim?

    (a) Persons required to furnish information under this part may 
assert a claim of privilege or immunity as grounds for relief from the 
requirement. The claim must be submitted in writing to the Commandant 
(G-M).
    (b) If the claim concerns a document protected from disclosure under 
33 U.S.C. 1513(b), the document must be placed in a sealed envelope with 
the name of the person claiming the protection, the applicant's name, 
the date or anticipated date of the application, and a brief statement 
of the basis of the claim. If a number of documents are involved, they 
must be grouped according to the nature of the claim and both the 
documents and their envelopes must be numbered using a self-explanatory 
numbering system.
    (c) If the claim concerns the attorney-client privilege, the claim 
must identify the communication by date, type, persons making and 
receiving it, 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 identified the same way as the 
communication. The identification must be filed with the Commandant (G-
M).
    (d) A Federal or State agency, the applicant, an affiliate of the 
applicant, or other interested person may object to a claim. The 
objection must be in writing, must include a brief statement of the 
basis for the objection, and must identify the document to which the 
claim applies.
    (e) Commandant (G-M) determines issues raised by claims filed under 
this section and may specify procedures to be used to resolve the 
issues. Any person may submit recommendations to the Commandant (G-M) as 
to the procedures to be used.
    (f) The presiding officer at any formal or informal hearing may 
allow claims or objections that could be filed under this section to be 
made and may issue a decision or refer the matter to the Commandant (G-
M).
    (g) The filing of a claim under this section, other than a claim 
under paragraph (b) of this section, stays the time for meeting any 
deadline for submitting information related to an issue raised in a 
claim or objection. However, the filing of a claim does not stay the 
periods for processing and reviewing applications, unless the Commandant 
(G-M) determines that compliance with the requirement is material to the 
processing of the application

[[Page 193]]

within the required time. If the Commandant (G-M) determines that the 
information is material, the Commandant (G-M) may suspend the processing 
of the application. The period of suspension is not counted toward the 
time limits in 33 U.S.C. 1503(c)(6), 1504(d)(3), (e)(2), and (g), and 
1508(b)(1).

                             Public Meetings



Sec. 148.222  When must public meetings be held?

    (a) Before a license is issued, at least one public meeting under 33 
U.S.C. 1504(g) must be held in each adjacent coastal State.
    (b) The Commandant (G-M), in coordination with the Administrator of 
the Maritime Administration, shall publish a notice of public meetings 
in the Federal Register and mails or delivers a copy of the notice to 
the applicant, to each adjacent coastal State, and to all who request a 
copy.
    (c) Anyone may attend the public meeting(s) and provide oral or 
written information. The presiding officer may limit the time for 
providing oral information.



Sec. 148.227  How is a public meeting reported?

    (a) After completion of a meeting, the presiding officer forwards a 
report on the hearing to the Commandant (G-M) for docketing.
    (b) The report contains at least:
    (1) An overview of the factual issues addressed;
    (2) A transcript or recording of the meeting; and
    (3) A copy of all material submitted to the presiding officer.
    (c) During the hearing, the presiding officer announces the 
information that the report must contain.

                             Formal Hearings



Sec. 148.228  What if a formal evidentiary hearing is necessary?

    (a) After all public meetings under 148.222 are concluded, the 
Commandant (G-MSO), in coordination with the Administrator of the 
Maritime Administration, considers whether there are one or more 
specific and material factual issues that may be resolved by a formal 
evidentiary hearing.
    (b) If the Commandant (G-M), in coordination with the Administrator 
of the Maritime Administration, determines that one or more issues under 
paragraph (a) of this section exist, the Coast Guard will hold at least 
one formal evidentiary hearing under 5 U.S.C. 554 in the District of 
Columbia.
    (c) The Commandant (G-MSO) files a request for assignment of an 
administrative law judge (ALJ) with the ALJ Docketing Center. The Chief 
Administrative Law Judge designates an ALJ or other person to conduct 
the hearing.
    (d) The recommended findings and the record developed in a hearing 
under paragraph (b) of this section are considered by the Administrator 
of the Maritime Administration in deciding whether to approve or deny a 
license.



Sec. 148.230  How is notice of a formal hearing given?

    (a) The Commandant (G-M) publishes a notice of the hearing in the 
Federal Register and sends a notice of the hearing to the applicant, to 
each adjacent coastal State, and to each person who requests such a 
notice.
    (b) The notice of the hearing includes the applicant's name, the 
name of the ALJ assigned to conduct the hearing, a list of the factual 
issues to be resolved, the address of the place where documents are to 
be filed, and the address where a copy of the rules of practice, 
procedure, and evidence to be used at the hearing is available.



Sec. 148.232  What are the rules for a formal hearing?

    (a) The Commandant (G-M) determines the rules for each formal 
hearing. Unless otherwise specified in this part, the Commandant (G-M) 
applies the rules of practice, procedure, and evidence in part 20 of 
this chapter.
    (b) The Commandant (G-M) sends a written copy of the procedure to 
the applicant, each person intervening in the proceedings, and each 
person who requests a copy.



Sec. 148.234  What are the limits of an administrative law judge's 
jurisdiction?

    (a) An ALJ's jurisdiction begins upon assignment to a proceeding.

[[Page 194]]

    (b) An ALJ's jurisdiction ends after the recommended findings are 
filed with the Commandant (G-M) or immediately after the ALJ issues a 
notice of withdrawal from the proceeding.



Sec. 148.236  What authority does an administrative law judge have?

    When assigned to a formal hearing, an ALJ may:
    (a) Administer oaths and affirmations;
    (b) Issue subpoenas;
    (c) Issue rules of procedure for written evidence;
    (d) Rule on offers of proof and receive evidence;
    (e) Examine witnesses;
    (f) Rule on motions of the parties;
    (g) Suspend or bar an attorney from representing a person in the 
proceeding for unsuitable conduct;
    (h) Exclude any person for disruptive behavior during the hearing;
    (i) Set the hearing schedule;
    (j) Certify questions to the Commandant (G-M);
    (k) Proceed with a scheduled session of the hearing in the absence 
of a party who has failed to appear;
    (l) Extend or shorten a non-statutorily imposed deadline under this 
subpart within the 240 day time limit for the completion of public 
hearings in 33 U.S.C. 1504(g);
    (m) Set deadlines not specified in this subpart or the Act; and
    (n) Take any other action authorized by or consistent with this 
subpart, the Act, or 5 U.S.C. 551-559.



Sec. 148.238  Who are the parties to a formal hearing?

    The parties to a formal hearing are:
    (a) The applicant;
    (b) The Commandant (G-M); and
    (c) Any person intervening in the proceedings.



Sec. 148.240  How does a State or a person intervene in a formal hearing?

    (a) Any person or adjacent coastal State may intervene in a formal 
hearing.
    (b) A person must file a petition of intervention within 10 days 
after notice of the formal hearing is issued. The petition must:
    (1) Be addressed to the ALJ Docketing Center;
    (2) Identify the issues and the petitioner's interest in those 
issues; and
    (3) Designate the name and address of a person who can be served if 
the petition is granted.
    (c) An adjacent coastal State need only file a notice of 
intervention with the ALJ Docketing Center.
    (d) The ALJ has the authority to limit the scope and period of 
intervention during the proceeding.
    (e) If the ALJ denies a petition of intervention, the petitioner may 
file a notice of appeal with the ALJ Docketing Center within 7 days of 
the denial. A brief may be submitted with the notice of appeal. Parties 
who wish to file a brief in support of or against the notice of appeal 
may do so within 7 days of the filing of the notice.
    (f) The Commandant (G-M) will rule on the appeal. The ALJ does not 
have to delay the proceedings for intervention appeals.



Sec. 148.242  How does a person who is not a party to a formal hearing 
present evidence at the hearing?

    (a) For a person who is not a party to a formal hearing to present 
evidence at the hearing, the person must send a petition to present 
evidence to the ALJ Docketing Center before the beginning of the formal 
hearing. The petition must describe the evidence that the person will 
present and show its relevance to the issues listed in the notice of 
formal hearing.
    (b) If a petition is granted, the ruling will specify which evidence 
is approved to be presented at the hearing.



Sec. 148.244  Who must represent the parties at a formal hearing?

    (a) All organizations that are parties to the proceeding must be 
represented by an attorney. Individuals may represent themselves.
    (b) Any attorney representing a party to the proceeding must file a 
notice of appearance according to Sec. 20.301(b) of this chapter.
    (c) Each attorney must be in good standing and licensed to practice 
before a court of the United States or the highest court of any State, 
territory, or possession of the United States.

[[Page 195]]



Sec. 148.246  When is a document considered filed and where must it be 
filed?

    (a) If a document to be filed is submitted by mail, it is considered 
filed on the date it is postmarked. If a document is submitted by hand 
delivery or electronically, it is considered filed on the date received 
by the clerk.
    (b) File all documents and other materials related to an 
administrative proceeding at the U.S. Coast Guard Administrative Law 
Center, Attention: Hearing Docket Clerk, room 412, 40 South Gay Street, 
Baltimore, MD, 21201-4022.



Sec. 148.248  What happens when a document does not contain all 
necessary information?

    Any document that does not satisfy the requirements in 
Sec. Sec. 20.303 and 20.304 of this chapter will be returned to the 
person who submitted it with a statement of the reasons for denial.



Sec. 148.250  Who must be served before a document is filed?

    Before a document may be filed by any party, it first must be served 
upon:
    (a) All other parties; and
    (b) The Commandant (G-M).



Sec. 148.252  What is the procedure for having a subpoena served?

    (a) A party may submit a request for a subpoena to the ALJ. The 
request must show the relevance and scope of the evidence sought.
    (b) Requests should be submitted sufficiently in advance of the 
hearing so that exhibits and witnesses can be included in the lists 
required by Sec. 20.601 of this chapter but may be submitted later 
before the end of the hearing if good cause is shown for the late 
submission.
    (c) A request for a subpoena must be submitted to the ALJ.
    (d) A proposed subpoena, such as the form in http://
cgweb.comdt.uscg.mil/g-cj/subpoena.doc, must be submitted with the 
request. If you do not use this form, the proposed subpoena must 
contain:
    (1) The docket number of the proceedings;
    (2) The captions ``Department of Homeland Security,'' ``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 the address of the office of the ALJ;
    (4) For a subpoena to give testimony, a statement commanding the 
person to whom the subpoena is directed to attend the formal hearing and 
give testimony;
    (5) For a subpoena to produce documentary evidence, a statement 
commanding the person to produce designated documents, books, papers, or 
other tangible things at a designated time or place; and
    (6) An explanation of the procedure in Sec. 20.309(d) of this 
chapter and paragraph (h) of this section for quashing a subpoena.
    (e) The procedure for serving a subpoena must follow rule 45 of the 
Federal Rules of Civil Procedure, unless the ALJ authorizes another 
procedure.
    (f) The witness fees for a subpoenaed witness are the same as the 
fees for witnesses subpoenaed in U.S. District Courts. The person 
requesting the subpoena must pay these fees.
    (g) When serving a subpoena, a party must include witness fees in 
the form of a check to the individual or organization for one day plus 
mileage or, in the case of a government-issued subpoena, a form SF-1157 
for reimbursement for witness fees and mileage.
    (h) Any person served with a subpoena has 10 days from the time of 
service to move to quash the subpoena.
    (i) If a person does not comply with a subpoena, the ALJ decides 
whether judicial enforcement of the subpoena is necessary. If the ALJ 
decides it is, the Commandant (G-M) reviews this decision.



Sec. 148.254  How is a transcript of the hearing prepared?

    (a) Under the supervision of the ALJ, the reporter prepares a 
verbatim transcript of the hearing. Nothing may be deleted from the 
transcript, unless ordered by the ALJ and noted in the transcript.
    (b) After a formal hearing is completed, the ALJ certifies and 
forwards

[[Page 196]]

the record, including the transcript, to the clerk to be placed into the 
docket.
    (c) At any time within the 20 days after the record is docketed, the 
ALJ may make corrections to the certified transcript. When corrections 
are filed, they are attached as appendices.
    (d) Any motion to correct the record must be submitted within 10 
days after the record is docketed.



Sec. 148.256  What happens at the conclusion of a formal hearing?

    After closing the record of a formal hearing, the ALJ prepares a 
recommended finding on the issues that were the subject of the hearing. 
The ALJ submits that finding to the Commandant (G-M).

                  Approval or Denial of the Application



Sec. 148.276  When must the application be approved or denied?

    (a) In 33 U.S.C. 1504, the Deepwater Port Act provides strict 
timelines for action on a license application, which if closely observed 
can lead to action in just under 1 year. The Coast Guard can recommend 
that MARAD suspend the process if an applicant fails to provide timely 
information or requests additional time to comply with a request.
    (b) The Coast Guard must conduct public hearings in each adjacent 
Coastal State within 240 days of publication of the notice of receipt of 
a deepwater port application.
    (c) An application must be approved or denied within 90 days after 
the close of the public hearing period specified in paragraph (b) of 
this section.



Sec. 148.277  How may Federal agencies and States participate in the 
application process?

    (a) Under Sec. 148.209, Federal agencies and adjacent coastal 
States are sent copies of the application. The agencies and States are 
encouraged to begin submitting their comments at that time.
    (b) To be considered, comments from Federal agencies and adjacent 
coastal States must be received by the Commandant (G-M) within 45 days 
after the close of the public hearing period specified in Sec. 
148.276(b). Separate comment periods will apply to the review of 
documents created during the NEPA process. Both Commandant (G-M) and 
MARAD review the comments received.
    (c) Comments should identify problems, if any, and suggest possible 
solutions.



Sec. 148.279  What are the criteria for approval or denial of an 
application?

    The criteria for approving or denying a license application appear 
in 33 U.S.C. 1503.



Sec. 148.281  What happens when more than one application is submitted 
for an oil deepwater port for the same application area?

    (a) When more than one application is submitted for an oil deepwater 
port for the same application area under 33 U.S.C. 1504(d), only one 
application is approved. Except as provided in paragraph (b) of this 
section, applicants receive priority in the following order:
    (1) An adjacent coastal State (or combination of States), political 
subdivision of the State, or an agency or instrumentality, including a 
wholly owned corporation of the State;
    (2) A person that is:
    (i) Not engaged in producing, refining, or marketing oil;
    (ii) Not an affiliate of a person engaged in producing, refining, or 
marketing oil; or
    (iii) Not an affiliate of an affiliate of a person engaged in 
producing, refining, or marketing oil; and then
    (3) Any other applicant.
    (b) MARAD may also approve one of the proposed deepwater ports if it 
determines that that port will best serve the national interest. In 
making this determination, MARAD considers:
    (1) The degree to which each deepwater port will affect the 
environment, as determined under the review criteria in subpart G to 
this part;
    (2) The differences between the anticipated completion dates of the 
deepwater ports; and
    (3) The differences in costs for construction and operation of the 
ports that would be passed on to consumers of oil.
    (c) This section does not apply to applications for natural gas 
deepwater ports.

[[Page 197]]



Sec. 148.283  When is the application process stopped before the 
application is approved or denied?

    The Commandant (G-M) recommends to MARAD that the application 
process be suspended before the application is approved or denied if:
    (a) All applications are withdrawn before MARAD approves one of 
them; or
    (b) There is only one application; it is incomplete, and the 
applicant does not respond to a request by the Commandant (G-M) for 
further information, as per Sec. 148.107.



                           Subpart D_Licenses



Sec. 148.300  What does this subpart concern?

    This subpart concerns the license for a deepwater port and the 
procedures for transferring, amending, suspending, reinstating, 
revoking, and enforcing a license.



Sec. 148.305  What is included in a deepwater port license?

    A deepwater port license contains information about the licensee and 
the port, and conditions of operation that are set by MARAD. Licenses 
are issued in conformance with the Deepwater Ports Act of 1974, as 
amended, and with rules and policies of MARAD that implement that Act.



Sec. 148.307  Who may consult with the Commandant (G-M) on developing 
the conditions of a license?

    Federal agencies, the adjacent coastal States, and the owner of the 
deepwater port may consult with the Commandant (G-M) on the conditions 
of the license being developed under 33 U.S.C. 1503(e).



Sec. 148.310  How long does a license last?

    Each license remains in effect indefinitely unless:
    (a) It is suspended or revoked by MARAD; or
    (b) It is surrendered by the owner.



Sec. 148.315  How is a license amended, transferred, or reinstated?

    (a) MARAD may amend, transfer, or reinstate a license if it finds 
that the amendment, transfer, or reinstatement is consistent with the 
requirements of the Act and this subchapter.
    (b) The owner must submit a request for an amendment, transfer, or 
reinstatement to the Commandant (G-M).



Sec. 148.320  How is a license enforced, suspended, or revoked?

    MARAD may enforce, suspend, or revoke a license under 33 U.S.C. 
1507(c).



         Subpart E_Site Evaluation and Pre-Construction Testing



Sec. 148.400  What does this subpart do?

    (a) This subpart prescribes requirements under 33 U.S.C. 1504(b) for 
the activities that are involved in site evaluation and pre-construction 
testing at potential locations for deepwater ports and that may:
    (1) Adversely affect the environment;
    (2) Interfere with authorized uses of the Outer Continental Shelf; 
or
    (3) Pose a threat to human health and welfare.
    (b) For the purpose of this subpart, ``site evaluation and pre-
construction testing'' means studies performed at potential deepwater 
port locations, including:
    (1) Preliminary studies to determine the feasibility of a site;
    (2) Detailed studies of the topographic and geologic structure of 
the ocean bottom to determine its ability to support offshore structures 
and other equipment; and
    (3) Studies done for the preparation of the environmental analysis 
required under Sec. 148.105.



Sec. 148.405  What are the procedures for notifying the Commandant 
(G-M) of proposed site evaluation and pre-construction testing?

    (a) Any person who wants to conduct site evaluation and pre-
construction testing at a potential site for a deepwater port must 
submit a written notice to the Commandant (G-M) at least 30 days before 
the beginning of the evaluation or testing. The Commandant (G-M) advises 
and coordinates with appropriate Federal agencies and the States 
concerning activities covered by this subpart.
    (b) The written notice must include the following:

[[Page 198]]

    (1) The names of all parties participating in the site evaluation 
and pre-construction testing;
    (2) The type of activities and the way they will be conducted;
    (3) Charts showing where the activities will be conducted and the 
locations of all offshore structures, including pipelines and cables, in 
or near the proposed area;
    (4) The specific purpose for the activities;
    (5) The dates when the activities will begin and end;
    (6) The available 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. A report of each contact made with any appropriate 
State liaison officer for historic preservation must be included; and
    (8) Additional information, if necessary, in individual cases.
    (c) For the following activities, the notice need have only the 
information required in paragraphs (b)(1), (b)(2), and (b)(5) of this 
section, as well as a general indication of the proposed location and 
purpose of the activities:
    (1) Gravity and magneto-metric 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 
the sampling is permitted by another Federal agency;
    (5) Meteorological measurements, including the setting of 
instruments;
    (6) Hydrographic and oceanographic measurements, including the 
setting of instruments; and
    (7) Small diameter core sampling to determine foundation conditions.
    (d) A separate written notice is required for each site.



Sec. 148.410  What are the conditions for conducting site evaluation 
and pre-construction testing?

    (a) No persons may conduct site evaluation and pre-construction 
testing unless they comply with this subpart and other applicable laws.
    (b) Measures must be taken to prevent or minimize the effect of 
activities under 148.400(a).



Sec. 148.415  When conducting site evaluation and pre-construction 
testing, what must be reported?

    (a) When conducting site evaluation or pre-construction testing, the 
following must be immediately reported by any means to the Commandant 
(G-M):
    (1) Any evidence of objects of cultural, historical, or 
archeological significance;
    (2) Any adverse effect on the environment;
    (3) Any interference with authorized uses of the Outer Continental 
Shelf;
    (4) Any threat to human health and welfare; and
    (5) Any adverse effect on an object of cultural, historical, or 
archeological significance.
    (b) Within 120 days after the site evaluation or pre-construction 
testing, a final written report must be submitted to the Commandant (G-
M) that contains:
    (1) A narrative description of the activities performed;
    (2) A chart, map, or plat of the area where the activities occurred;
    (3) The dates that the activities were performed;
    (4) Information on the adverse effects of items reported under 
paragraph (a) of this section;
    (5) Data on the historical or archeological significance of the area 
where the activities were conducted, including a report by an underwater 
archeologist; and
    (6) Any additional information required by the Commandant (G-M) on a 
case-by-case basis.



Sec. 148.420  When may the Commandant (G-M) suspend or prohibit site 
evaluation or pre-construction testing?

    (a) The Commandant (G-M) may order, either in writing or orally with

[[Page 199]]

written confirmation, the prohibition or immediate suspension of any 
activity related to site evaluation or pre-construction testing, when 
the activity threatens harm to:
    (1) Human life;
    (2) Biota;
    (3) Property;
    (4) Cultural resources;
    (5) Any valuable mineral deposits; or
    (6) The environment.
    (b) The Commandant (G-M) will consult with the applicant on measures 
to remove the cause for suspension.
    (c) The Commandant (G-M) may lift a suspension after the applicant 
assures the Commandant (G-M) that the activity will no longer cause the 
threat on which the suspension was based.



    Subpart F_Exemption From or Adjustments to Requirements in This 
                               Subchapter



Sec. 148.500  What does this subpart do?

    This subpart provides procedures for requesting an exemption from a 
requirement in this subchapter. Commandant (G-M) and MARAD coordinate in 
evaluating requests for exemption from the requirements in this 
subchapter.



Sec. 148.505  How do I apply for an exemption?

    (a) Any person required to comply with a requirement in this 
subchapter may submit a petition for exemption from that requirement.
    (b) The petition must be submitted in writing to the Commandant (G-
M).
    (c) The Commandant (G-M) may require the petition to provide an 
alternative to the requirement.



Sec. 148.510  What happens when a petition for exemption involves the 
interests of an adjacent coastal State?

    If the petition for exemption concerns an adjacent coastal State, 
the Commandant (G-M) forwards the petition to the Governor of the State 
for the Governor's recommendation.



Sec. 148.515  When is an exemption allowed?

    The Commandant (G-M) may recommend that MARAD allow an exemption if 
he or she determines that:
    (a) Compliance with the requirement would be contrary to public 
interest;
    (b) Compliance with the requirement would not enhance safety or the 
health of the environment;
    (c) Compliance with the requirement is not practical because of 
local conditions or because the materials or personnel needed for 
compliance are unavailable;
    (d) National security or national economy justifies a departure from 
the rules; or
    (e) The alternative, if any, proposed in the petition would:
    (1) Ensure comparable or greater safety, protection of the 
environment, and quality of construction, maintenance, and operation of 
the deepwater port; and
    (2) Be consistent with recognized principles of international law.



Sec. 148.600  What is the limit of financial liability?

    The financial limit for liability for deepwater ports is set in 
accordance with section 1004 of the Oil Pollution Act of 1990 (33 U.S.C. 
2704).



Sec. 148.605  How is the limit of liability determined?

    (a) The Coast Guard may lower the $350,000,000 limit of liability 
for deepwater ports set by 33 U.S.C. 2704(a)(4), pursuant to paragraph 
(d) of that section.
    (b) Requests to adjust the limit of liability for a deepwater port 
must be submitted to Commandant (G-M). Adjustments are established by a 
rulemaking that may take place concurrently with the processing of the 
deepwater port license application.

[[Page 200]]



       Subpart G_Environmental Review Criteria for Deepwater Ports



Sec. 148.700  How does the Deepwater Port Act interact with other 
Federal and State laws?

    Nothing in this subpart supersedes any Federal, tribal, or State 
requirements for the protection of the environment. The applicant must 
prepare and submit applications to each respective agency that requires 
a permit or license to operate the port. A list of Federal and State 
agencies that require certification includes but is not limited to the 
Environmental Protection Agency (for clean air and clean water permits), 
the Research and Special Programs Administration (Office of Pipeline 
Safety) or the Mineral Management Service (or both) for pipeline 
approvals, and the appropriate state environmental agency.



Sec. 148.702  How were the environmental review criteria developed?

    Under 33 U.S.C. 1505, the Commandant (G-M) must establish 
environmental review criteria for use in evaluating a proposed deepwater 
port. In developing these criteria, the Coast Guard considered the 
requirements for compliance with Federal and state mandates for the 
protection of the environment contained in, but not limited to, such 
guidance as published by:
    (a) The Council on Environmental Quality (40 CFR parts 1500-1508);
    (b) Department of Transportation (DOT) Order 5610.10C (Procedures 
for Considering Environmental Impacts); and
    (c) U.S. Coast Guard Instruction M16475.1D (National Environmental 
Policy Act Implementing Procedures and Policy for Considering 
Environmental Impacts).



Sec. 148.705  What is determined by the environmental evaluation?

    (a) The environmental criteria to be used in evaluating a license 
application are established by general consensus of expertise, 
scientific opinion, public interest, and institutional requirements, 
such as laws and regulations established for the protection of the 
environment. Criteria that may be established in future environmental 
regulations or other requirements to protect the environment will also 
be used.
    (b) The environmental criteria to be used in evaluating a license 
application are applied to all relevant aspects of:
    (1) The fabrication, construction, operation, and decommissioning 
phases of a deepwater port;
    (2) The operations of the vessels that serve the port;
    (3) The port's servicing and support activities;
    (4) Shore based construction and fabrication sites;
    (5) Shore side supporting facilities (if appropriate) for the 
proposed location; and
    (6) The No Action alternative and other reasonable alternatives.
    (c) The criteria are also applied in a manner that takes into 
account the cumulative effects of other reasonably foreseeable actions 
as outlined in Sec. 148.708.



Sec. 148.707  What type of criteria will be used in an environmental 
review and how will they be applied?

    The license application will be reviewed for the deepwater port's 
effects on the environment and for the environment's effects on the port 
and any of its shore side support facilities. The environmental 
evaluation will be applied to the phases of construction, operation, and 
decommissioning of the proposed location and at least one alternative 
site. The evaluation will determine:
    (a) The effect on the environment including but not limited to 
impacts on endangered species; essential fish habitat; marine 
sanctuaries; archaeological, cultural and historic sites; water; air; 
coastal zone management; coastal barrier resources; wetlands; and 
floodplains;
    (b) The effect on oceanographic currents and wave patterns;
    (c) The potential risks to a deepwater port from waves, winds, 
weather, and geological conditions and the steps that can be taken to 
protect against or minimize these dangers; and
    (d) The effect on human health and welfare, including socioeconomic 
impacts, environmental justice and protection of children from 
environmental health and safety risks.

[[Page 201]]



Sec. 148.708  Must the applicant's proposal reflect potential regulations?

    Although a regulation is of no effect until it has been officially 
promulgated, to minimize the subsequent impact that potential 
regulations may have on a licensee, an applicant can and should reflect 
reasonably foreseeable environmental regulations in planning, operating, 
and decommissioning a deepwater port.



Sec. 148.709  How are these criteria reviewed and revised?

    The Commandant (G-M) periodically reviews and may revise these 
criteria. Reviews and revisions are conducted in accordance with 148.700 
of this subpart. The criteria established are consistent with the 
National Environmental Policy Act (42 U.S.C. 4321-4347).



Sec. 148.710  What environmental conditions must be satisfied?

    (a) MARAD may issue a license to construct a deepwater port under 
the Act, with or without conditions, if certain specified conditions are 
met. The relevant environmental considerations include, but are not 
limited to the following:
    (1) 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, 
environmental quality, and protection from the threat of terrorist 
attack and other subversive activity against persons and property on the 
port and the vessels and crews calling at the port; and
    (2) Under the environmental review criteria in Sec. 148.707 of this 
subpart, the applicant has demonstrated that the deepwater port will be 
fabricated, constructed, operated, and decommissioned using the best 
available technology to prevent or minimize adverse impact on the 
environment (33 U.S.C. 1503(c)(3) and 1504).
    (b) Under 33 U.S.C. 1504(f), these criteria must be considered in 
the preparation of a single, detailed environmental impact statement or 
environmental assessment for all timely applications covering a single 
application area. Additionally, 33 U.S.C. 1504(i)(3) specifies that, if 
more than one application is submitted for an ``application area'' (as 
defined in 33 U.S.C. 1504(d)(2)), the criteria must be used, among other 
factors, in determining whether any one proposed deepwater port clearly 
best serves the national interest.



Sec. 148.715  How is an environmental review conducted?

    The environmental review of a proposed deepwater port and reasonable 
alternatives consists of Federal, tribal, state, and public review of 
the following two parts:
    (a) An evaluation of the proposal's completeness of environmental 
information and quality of assessment, probable environmental impacts, 
and identification of procedures or technology that might prevent or 
minimize probable adverse environmental impacts; and
    (b) An evaluation of the effort made under the proposal to prevent 
or minimize its probable environmental impacts. This evaluation will 
assess the applicant's consideration of the criteria in Sec. Sec. 
148.720 through 148.740 of this subpart.



Sec. 148.720  What are the siting criteria?

    In accordance with Sec. 148.715(b), the proposed and alternative 
sites for the deepwater port will be evaluated on the basis of how well 
each:
    (a) Optimizes location to prevent or minimize detrimental 
environmental effects;
    (b) Minimizes the space needed for safe and efficient operation;
    (c) Locates offshore components in areas with stable sea-bottom 
characteristics;
    (d) Locates onshore components where stable foundations can be 
developed;
    (e) Minimizes the potential for interference with its safe operation 
from existing offshore structures and activities;
    (f) Minimizes the danger posed to safe navigation by surrounding 
water depths and currents;
    (g) Avoids extensive dredging or removal of natural obstacles such 
as reefs;
    (h) Minimizes the danger to the port, its components, and tankers 
calling at

[[Page 202]]

the port from storms, earthquakes, or other natural hazards;
    (i) Maximizes the permitted use of existing work areas, facilities, 
and access routes;
    (j) Minimizes the environmental impact of temporary work areas, 
facilities, and access routes;
    (k) Maximizes the distance between the port and its components and 
critical habitats including commercial and sport fisheries, threatened 
or endangered species habitats, wetlands, floodplains, coastal 
resources, marine management areas, and essential fish habitats;
    (l) Minimizes the displacement of existing or potential mining, oil 
or gas production or transportation uses;
    (m) Takes advantage of areas already allocated for similar use, 
without overusing such areas;
    (n) Avoids permanent interference with natural processes or features 
that are important to natural currents and wave patterns; and
    (o) Avoids dredging in areas where sediments contain high levels of 
heavy metals, biocides, oil or other pollutants or hazardous materials 
and in areas designated wetlands or other protected coastal resources.



Sec. 148.722  Should the construction plan incorporate best available 
technology and recommended industry practices?

    Each applicant must submit a proposed construction plan. It must 
incorporate best available technology and recommended industry practices 
as directed in 148.730.



Sec. 148.725  What are the design, construction and operational criteria?

    In accordance with 148.720(b), the deepwater port proposal and 
reasonable alternatives will be evaluated on the basis of how well they:
    (a) Reflect the use of best available technology in design, 
construction procedures, operations, and decommissioning;
    (b) Include safeguards, backup systems, procedures, and response 
plans to minimize the possibility and consequences of pollution 
incidents such as spills and discharges, while permitting safe operation 
with appropriate safety margins under maximum operating loads and the 
most adverse operating conditions;
    (c) Provide for safe, legal, and environmentally sound waste 
disposal, resource recovery, affected area reclamation, and enhanced use 
of spoil and waste;
    (d) Avoid permanent interference with natural processes or features 
that are important to natural currents and wave patterns;
    (e) Avoid groundwater drawdown or saltwater intrusion, and minimizes 
mixing salt, fresh, and brackish waters;
    (f) Avoid disrupting natural sheet flow, water flow, and drainage 
patterns or systems;
    (g) Avoid interference with biotic populations, especially breeding 
habitats or migration routes;
    (h) Maximize use of existing facilities;
    (i) Provide personnel trained in oil spill prevention at critical 
locations identified in the accident analysis;
    (j) Provide personnel trained in oil spill mitigation; and
    (k) Plan for safe and effective removal of the deepwater port in the 
event of its decommissioning.



Sec. 148.730  What are the land use and coastal zone management criteria?

    In accordance with Sec. 148.715(b), the deepwater port proposal and 
reasonable alternatives will be evaluated on the basis of how well they:
    (a) Accord with existing and planned land use, including management 
of the coastal region, for which purpose the proposal must be 
accompanied by a consistency determination from appropriate state 
agencies;
    (b) Adhere to proposed local and State master plans;
    (c) Minimize the need for special exceptions, zoning variances, or 
non-conforming uses;
    (d) Plan floodplain uses in ways that will minimize wetlands loss, 
flood damage, the need for Federally-funded flood protection or flood 
relief, or any decrease in the public value of the floodplain as an 
environmental resource; and
    (e) Avoid permanent alteration or harm to wetlands and take positive 
steps to minimize adverse effects on wetlands.

[[Page 203]]



Sec. 148.735  What are other critical criteria that must be evaluated?

    In accordance with Sec. 148.715(b), the deepwater port proposal and 
reasonable alternatives will be evaluated on the basis of how well they:
    (a) Avoid detrimental effects on human health and safety;
    (b) Pose no compromise to national security;
    (c) Account for the historic, archeological, and cultural 
significance of the area, including any potential requirements for 
historical preservation;
    (d) Minimize harmful impacts to minorities and children; and
    (e) Plan for serious consideration of the proposal that offers the 
least potential for environmental harm to the region or potential 
mitigation actions, when conflict exists between two or more proposed 
uses for a site.



Sec. 148.737  What environmental statutes must an applicant follow?

    (a) In constructing and operating a deepwater port, the port must 
comply with all applicable Federal, State, and tribal environmental 
statutes. A list of the applicable Federal statutes includes but is not 
limited to: Abandoned Shipwreck Act (ASA), 43 U.S.C. 2102, et seq.; 
American Indian Religious Freedom Act (AIRFA), 42 U.S.C. 1996, et seq.; 
Antiquities Act, 16 U.S.C. 433, et seq.; Archeological and Historic 
Preservation Act (AHPA), 16 U.S.C. 469; Archeological Resources 
Protection Act (AHPA), 16 U.S.C. 470 aa-ll, et seq.; Architectural 
Barriers Act, 42 U.S.C. 4151, et seq.; Clean Air Act (CAA), Pub.L. 95-
95, 42 U.S.C. 7401, et seq.; Clean Water Act of 1977 (CWA), Pub.L. 95-
217, 33 U.S.C. 1251, et seq.; Coastal Barrier Resources Act (CBRA), 
Pub.L. 97-348, 16 U.S.C. 3510, et seq.; Coastal Zone Management Act 
(CZMA), Pub.L. 92-583, 16 U.S.C. 1451, et seq.; Community Environmental 
Response Facilitation Act (CERFA), 42 U.S.C. 9620, et seq.; 
Comprehensive Environmental Response, Compensation, and Liability Act of 
1980 (CERCLA), also commonly referred to as SUPERFUND, Pub.L. 96-510, 26 
U.S.C. 4611, et seq.; Consultation and Coordination With Indian Tribal 
Governments, E.O. 13175, 65 FR 67249; Coral Reef Protection, E.O. 13089, 
63 FR 32701; Department of Transportation Act, Section 4(f), Pub.L. 89-
670, 49 U.S.C. 303, Section 4(f), et seq.; Emergency Planning and 
Community Right-to-Know Act, 42 U.S.C. 11001-11050, et seq.; Endangered 
Species Act of 1973 (ESA), Pub.L. 93-205, 16 U.S.C. 1531, et seq.; 
Energy Efficiency and Water Conservation at Federal Facilities, E.O. 
12902, 59 FR 11463; Environmental Effects Abroad of Major Federal 
Agencies, E.O. 12114, 44 FR 1957; Environmental Quality Improvement Act, 
Pub.L. 98-581, 42 U.S.C. 4371, et seq.; Farmlands Protection Policy Act, 
Pub.L. 97-98, 7 U.S.C. 4201, et seq.; Federal Actions to Address 
Environmental Justice in Minority Populations and Low-Income 
Populations, E.O. 12898, 59 FR 7629; Federal Compliance with Pollution 
Control Standards, E.O. 12088, 43 FR 47707; Federal Insecticide, 
Fungicide, and Rodenticide Act, Pub.L. 86-139, 7 U.S.C. 135, et seq.; 
Federal Records Act (FRA), 44 U.S.C. 2101-3324, et seq.; Federalism, 
E.O. 13083, Fish and Wildlife Act of 1956, Pub.L. 85-888, 16 U.S.C. 742, 
et seq.; Fish and Wildlife Coordination Act, Pub.L. 85-624, 16 U.S.C. 
661, et seq.; Fisheries Conservation and Recovery Act of 1976, Pub.L. 
94-265, 16 U.S.C. 1801, et seq.; Flood Disaster Protection Act, 42 
U.S.C. 4001, et seq.; Floodplain Management and Protection, E.O. 11988, 
42 FR 26951; Greening the Government Through Leadership in Environmental 
Management, E.O. 13148, 65 FR 24595; Greening the Government Through 
Waste Prevention, Recycling, and Federal Acquisition, E.O. 13101, 63 FR 
49643; Historic Sites Act, 16 U.S.C. 46, et seq.; Indian Sacred Sites, 
E.O. 13007, 61 FR 26771; Intergovernmental Review of Federal Programs, 
E.O. 12372, 47 FR 30959; Invasive Species, E.O. 13112, 64 FR 6183; 
Locating Federal Facilities on Historic Properties in our Nation's 
Central Cities, E.O. 13006, 61 FR 26071; Magnuson-Stevens Fishery 
Conservation and Management Act as amended through October 11, 1996, 16 
U.S.C. 1801, et seq.; Marine Mammal Protection Act of 1972 (MMPA), 
Pub.L. 92-522, 16 U.S.C. 1361; Marine Protected Areas, E.O. 13158, 65 FR 
24909; Marine Protection, Research, and Sanctuaries Act of 1972, Pub.L. 
92-532, 16 U.S.C. 1431, et seq. and 33 U.S.C. 1401, et seq.; Migratory 
Bird Treaty Act, 16 U.S.C. 703-712, et seq.; National Environmental

[[Page 204]]

Policy Act of 1969 (NEPA), Pub.L. 91-190, 42 U.S.C. 4321, et seq.; 
National Historic Preservation Act of 1996 (NHPA), Pub.L. 89-665, 16 
U.S.C. 470, et seq.; Native American Graves Protection and Repatriation 
Act (NAGPRA), 25 U.S.C. 3001, et seq.; Noise Control Act of 1972, Pub.L. 
92-574, 42 U.S.C. 4901, et seq.; Pollution Prevention Act of 1990 (PPA), 
42 U.S.C. 13101-13109, et seq.; Protection and Enhancement of Cultural 
Environmental Quality, E.O. 11593, 36 FR 8921; Protection and 
Enhancement of Environmental Quality, E.O. 11514, 35 FR 4247; Protection 
of Children from Environmental Health and Safety Risks, E.O. 13045, 62 
FR 19885; Protection of Wetlands, E.O. 11990, 42 FR 26961; Recreational 
Fisheries, E.O. 12962, 60 FR 307695; Requiring Agencies to Purchase 
Energy Efficient Computer Equipment, E.O. 12845, 58 FR 21887; Resource 
Conservation and Recovery Act of 1976 (RCRA), Pub.L. 94-580, 42 U.S.C. 
6901, et seq.; Responsibilities of Federal Agencies to Protect Migratory 
Birds, E.O. 13186, 66 FR 3853; Safe Drinking Water Act (SDWA), Pub.L. 
93-523, 42, U.S.C. 201, et seq.; Toxic Substances Control Act (TSCA), 7 
U.S.C. 136, et seq.; and Wild and Scenic Rivers Act, Pub.L. 90-542, 16 
U.S.C. 1271, et seq.
    (b) In addition, the port must comply with the applicable NEPA 
requirements for preparation of a single, detailed environmental study.



PART 149_DEEPWATER PORTS: DESIGN, CONSTRUCTION, AND EQUIPMENT--Table 
of Contents




                            Subpart A_General

Sec.
149.1 What does this part do?
149.5 What definitions apply to this part?
149.10 Where can I obtain a list of Coast Guard approved equipment?
149.15 What is the process for submitting alterations and modifications 
          affecting the design and construction of a deepwater port?

                Subpart B_Pollution Prevention Equipment

149.100 What does this subpart do?
149.103 What are the requirements for discharge containment and removal 
          material and equipment?
149.105 What are the requirements for the overflow and relief valves?
149.110 What are the requirements for pipeline end manifold shutoff 
          valves?
149.115 What are the requirements for blank flange and shutoff valves?
149.120 What are the requirements for manually operated shutoff valves?
149.125 What are the requirements for the malfunction detection system?
149.130 What are the requirements for the cargo transfer system alarm?
149.135 What should be marked on the cargo transfer system alarm switch?
149.140 What communications equipment must be on a deepwater port?
149.145 What are the requirements for curbs, gutters, drains, and 
          reservoirs?

                     Subpart C_Lifesaving Equipment

149.300 What does this subpart do?

                   Manned Deepwater Port Requirements

149.301 What are the requirements for lifesaving equipment?
149.302 What are the requirements when lifesaving equipment is repaired 
          or replaced?
149.303 What survival craft and rescue boats may be used on a manned 
          deepwater port?
149.304 What type and how many survival craft and rescue boats must a 
          manned deepwater port have?
149.305 What are the survival craft requirements for temporary 
          personnel?
149.306 What are the requirements for lifeboats?
149.307 What are the requirements for free-fall lifeboats?
149.308 What are the requirements for liferafts?
149.309 What are the requirements for marine evacuation systems?
149.310 What are muster and embarkation requirements for survival 
          crafts?
149.311 What are the launching and recovery requirements for lifeboats?
149.312 What are the launching equipment requirements for inflatable 
          liferafts?
149.313 How must survival craft be arranged?
149.314 What are the approval and stowage requirements for rescue boats?
149.315 What embarkation, launching, and recovery arrangements must 
          rescue boats meet?
149.316 What are the requirements for lifejackets?
149.317 How and where must lifejackets be stowed?
149.318 Must every person on the port have a lifejacket?
149.319 What additional lifejackets must I have?
149.320 What are the requirements for ring lifebuoys?

[[Page 205]]

149.321 How many ring lifebuoys must be on each deepwater port?
149.322 Where must ring lifebuoys be located and how must they be 
          stowed?
149.323 What are the requirements for first aid kits?
149.324 What are the requirements for litters?
149.325 What emergency communications equipment must be on a manned 
          deepwater port?
149.326 What are the immersion suit requirements?
149.327 What are the approval requirements for work vests and anti-
          exposure suits?
149.328 How must work vests and anti-exposure (deck) suits be stowed?
149.329 How must work vests and deck suits be marked?
149.330 When may a work vest or deck suit be substituted for a 
          lifejacket?
149.331 What are the requirements for hybrid personal flotation devices?
149.332 What are the requirements for inflatable lifejackets?
149.333 What are the marking requirements for lifesaving equipment?

                  Unmanned Deepwater Port Requirements

149.334 Who must ensure compliance with the requirements for unmanned 
          deepwater ports?
149.335 When are people prohibited from being on a unmanned deepwater 
          port?
149.336 What are the requirements for lifejackets?
149.337 What are the requirements for ring lifebuoys?
149.338 What are the requirements for immersion suits?
149.339 What is the requirement for a previously approved lifesaving 
          equipment on a deepwater port?
149.340 What are the requirements for lifesaving equipment that is not 
          required by this subchapter?

          Subpart D_Firefighting and Fire-Protection Equipment

149.400 What does this subpart apply to?
149.401 What are the general requirements for firefighting and fire-
          protection equipment?
149.402 What equipment must be approved by the Coast Guard?
149.403 Use of alternate firefighting, fire prevention equipment, or 
          procedures.

                        Firefighting Requirements

149.404 Can I use firefighting equipment for which there is no Coast 
          Guard standard?
149.405 How are fire extinguishers classified?
149.406 What are the approval requirements for a fire extinguisher?
149.407 Must fire extinguishers be on the deepwater port at all times?
149.408 What are the maintenance requirements for a fire extinguisher?
149.409 How many fire extinguishers are needed?
149.410 Where must a portable or semi-portable fire extinguisher be 
          located?
149.411 What are the requirements for fireman's outfits?
149.412 How many fire axes are needed?
149.413 On a manned deepwater port, what spaces require a fixed fire-
          extinguishing system?
149.414 What are the requirements for a fire-detection and alarm system?
149.415 What are the requirements for a fire-main on a manned deepwater 
          port?
149.416 What are the requirements for fire pumps?
149.417 What are the requirements for fire hydrants?
149.418 What are the requirements for fire hoses and fire nozzles?
149.419 What are the requirements for a dry chemical fire-suppression 
          system?
149.420 What firefighting equipment must a helicopter landing deck on a 
          manned deepwater port have?
149.421 What fire-protection system must a helicopter fueling facility 
          have?
149.422 Can the water supply for the helicopter deck fire-protection 
          system be part of a firewater system?
149.423 What are the fire-protection requirements for escape routes?
149.424 What is the requirement for a previously approved fire-detection 
          and alarm system on a deepwater port?

                      Subpart E_Aids to Navigation

                                 General

149.500 What does this subpart do?
149.505 What are the general requirements for aids to navigation?
149.510 Permission to establish an aid to navigation.

                                 Lights

149.520 What are the general lighting requirements?

                           Lights on Platforms

149.535 What are the requirements for rotating beacons on platforms?

                  Lights on Single Point Moorings (SPM)

149.540 What are the requirements for obstruction lights on an SPM?

                     Lights on Floating Hose Strings

149.550 What are the requirements for lights on a floating hose string?

[[Page 206]]

              Lights on Buoys Used To Define Traffic Lanes

149.560 How must buoys used to define traffic lanes be marked and 
          lighted?
149.565 What are the required characteristics and intensity of lights on 
          buoys used to define traffic lanes?

                              Miscellaneous

149.570 How is a platform, SPM, or STL identified?
149.575 How must objects protruding from the water, other than platforms 
          and SPMs, be marked?
149.580 What are the requirements for a radar beacon?
149.585 What are the requirements for sound signals?

                     Subpart F_Design and Equipment

                                 General

149.600 What does this subpart do?
149.610 What must the District Commander be notified of and when?
149.615 What construction drawings and specifications are required?
149.620 What happens when the Commandant (G-M) reviews and evaluates the 
          construction drawings and specifications?
149.625 What are the design standards?

                       Structural Fire-Protection

149.640 What are the requirements for systems fire-protection?
149.641 What are the requirements for structural fire-protection for 
          deepwater ports in accommodation spaces and modules?

                          Single Point Moorings

149.650 What are the requirements for single point moorings and their 
          attached hoses?

                      Helicopter Fueling Facilities

149.655 What are the requirements for helicopter fueling facilities?

                             Emergency Power

149.660 What are the requirements for emergency power?

                          General Alarm System

149.665 What are the requirements for a general alarm system?
149.670 What are the requirements for marking a general alarm system?

                          Public Address System

149.675 What are the requirements for the public address system?

                         Medical Treatment Rooms

149.680 What are the requirements for medical treatment rooms?
149.685 May a medical treatment room be used for other purposes?

                              Miscellaneous

149.690 What are the requirements for means of escape, personnel 
          landings, guardrails, and similar devices and for noise 
          limits?

                             Means of Escape

149.691 What means of escape are required?
149.692 Where must they be located?

                           Personnel Landings

149.693 What are the requirements for personnel landings on manned 
          deepwater ports?

                     Guardrails and Similar Devices

149.694 What are the requirements for catwalks, floors, and openings?
149.695 What are the requirements for stairways?
149.696 What are the requirements for a helicopter landing deck safety 
          net?

                              Noise Limits

149.697 What are the requirements for a noise level survey?

                             Portable Lights

149.700 What kind of portable lights may be used on a deepwater port?

    Authority: 33 U.S.C. 1504; Department of Homeland Security 
Delegation No. 0170.1 (75).

    Source: USCG-1998-3884, 69 FR 748, Jan. 6, 2004; 69 FR 3836, Jan. 
27, 2004, unless otherwise noted.

    Effective Date Note: By USCG-1998-3884, 69 FR 746, Jan. 6, 2004, 
subchapter NN, consisting of parts 148, 149, and 150, was revised, 
effective Jan. 6, 2004 until Oct. 1, 2006.



                            Subpart A_General



Sec. 149.1  What does this part do?

    This part provides requirements for the design and construction of 
deepwater ports. It also provides the requirements for equipment for 
deepwater ports.



Sec. 149.5  What definitions apply to this part?

    Definitions applicable to this part appear in 33 CFR 148.5. In 
addition, the

[[Page 207]]

following terms are used in this part and have the indicated meanings:
    Accommodation module means a module with one or more accommodation 
spaces that is individually contracted for and may be used on one or 
more facilities.
    Major conversion means a conversion, as determined by the Commandant 
(G-M), that substantially changes the dimensions of a facility, 
substantially changes the water depth capability of a fixed facility, 
substantially changes the carrying capacity of a floating facility, 
changes the type of a facility, substantially prolongs the life of a 
facility, or otherwise so changes the facility that it is essentially a 
new facility.
    Service space means a space used for a galley, pantry containing 
cooking appliances, storeroom, or workshop other than those in 
industrial areas and trunks to those spaces.
    Sleeping space means a space provided with bunks for sleeping.



Sec. 149.10  Where can I obtain a list of Coast Guard approved equipment?

    Where equipment in this subchapter must be of an approved type, the 
equipment must be specifically approved by the Commandant (G-M), and the 
Marine Safety Center for engineering equipment. A list of approved 
equipment, including all of the approval series, is available at: http:/
/cgmix.uscg.mil/Equipment.



Sec. 149.15  What is the process for submitting alterations and 
modifications affecting the design and construction of a deepwater port?

    (a) Alterations and modifications affecting the design and 
construction of a deepwater port must be submitted to Commandant (G-M) 
for review and approval if:
    (1) A license has not yet been issued; or,
    (2) A license has been issued but the port has not commenced 
operations; or,
    (3) The alteration and modification are deemed a major conversion; 
or,
    (4) The alteration or modification substantially changes the manner 
in which the port operates or is not in accordance with a condition of 
the license.
    (b) All other alterations and modifications to the deepwater port 
must be submitted to the OCMI for review and approval.
    (c) Approval for alterations and modifications proposed after a 
license has been issued will be contingent upon whether the proposed 
changes will affect the way the port operates or any conditions imposed 
in the license.
    (d) The licensee is not authorized to proceed with alterations prior 
to approval by Commandant (G-M) for the conditions outlined in paragraph 
(a) and approval by the cognizant OCMI as required in paragraph (b) of 
this section.
    (e) Commandant (G-M), during the review and approval process of a 
proposed alteration or modification, may consult with the Marine Safety 
Center and cooperating federal agencies possessing relevant technical 
expertise.



                Subpart B_Pollution Prevention Equipment



Sec. 149.100  What does this subpart do?

    This subpart provides requirements for pollution equipment on 
deepwater ports.



Sec. 149.103  What are the requirements for discharge containment and 
removal material and equipment?

    (a) Each deepwater port must have a facility response plan that 
meets the requirements outlined in subpart F of part 154 of this chapter 
and be approved by the cognizant COTP.
    (b) The facility response plan must identify adequate spill 
containment and removal equipment for port-specific spill scenarios.
    (c) Response equipment and material must be pre-positioned for ready 
access and use onboard the deepwater port.



Sec. 149.105  What are the requirements for the overflow and relief 
valves?

    (a) Each oil and natural gas transfer system (OTS/NGTS) must include 
a relief valve that, when activated, prevents pressure on any component 
of the OTS/NGTS from exceeding its maximum rated pressure.
    (b) The transfer system overflow or relief valve must not allow a 
discharge into the sea.

[[Page 208]]



Sec. 149.110  What are the requirements for pipeline end manifold 
shutoff valves?

    Each pipeline end manifold must have a shutoff valve capable of 
operating both manually and from the pumping platform complex.



Sec. 149.115  What are the requirements for blank flange and shutoff 
valves?

    Each floating hose string must have a blank flange and a shutoff 
valve at the vessel's manifold end.



Sec. 149.120  What are the requirements for manually operated shutoff 
valves?

    Each oil and natural gas transfer line, passing through an SPM buoy, 
must have a manual shutoff valve on the buoy.



Sec. 149.125  What are the requirements for the malfunction detection 
system?

    (a) Each oil and natural gas system, between a pumping platform 
complex and the shore, must have a system that can detect and locate 
leaks and other malfunctions, particularly in high-risk areas.
    (b) The marine transfer area on an oil deepwater port must be 
equipped with a monitoring system in accordance with 154.525 of this 
chapter.
    (c) A natural gas deepwater port must be equipped with gas detection 
equipment adequate for the type of transfer system (including storage 
and re-gasification) used. Commandant (G-M) will evaluate proposed leak 
detection systems for natural gas on an individual basis.



Sec. 149.130  What are the requirements for the cargo transfer system 
alarm?

    (a) Each cargo transfer system must have an alarm to signal a 
malfunction or failure in the system.
    (b) The alarm must sound automatically in the control room and:
    (1) Be capable of being activated at the pumping platform complex;
    (2) Have a signal audible in all areas of the pumping platform 
complex, except in areas under paragraph (b)(3) of this section;
    (3) Have a high intensity flashing light in areas of high ambient 
noise levels where hearing protection is required under 150.615 of this 
chapter; and
    (4) Be distinguishable from the general alarm.
    (c) Tankers calling on unmanned deepwater ports must be equipped 
with a transfer system alarm described in this section.



Sec. 149.135  What should be marked on the cargo transfer system alarm 
switch?

    Each switch for activating an alarm, and each audio or visual device 
for signaling an alarm, under 149.130, must be identified by the words 
``OIL TRANSFER ALARM'' or ``NATURAL GAS TRANSFER ALARM'' in red letters 
at least 1 inch high on a yellow background.



Sec. 149.140  What communications equipment must be on a deepwater port?

    (a) Each deepwater port must have the following communications 
equipment:
    (1) A means of continuous two-way voice communication among the 
deepwater port and the tankers, support vessels, and other vessels 
operating at the port. The means must be usable and effective in all 
phases of a transfer and in all conditions of weather at the port;
    (2) A means to effectively indicate the need to use the 
communication system required by paragraph (a) of this section, even if 
the means is the communication system itself; and
    (3) Equipment that, for each portable means of communication used to 
meet the requirements of this section, is:
    (i) Certified under 46 CFR 111.105-11 to be operated in Group D, 
Class 1, Division 1 Atmosphere; and,
    (ii) Permanently marked with the certification required in paragraph 
(a)(3)(i) of this section. As an alternative to this marking 
requirement, a document certifying that the portable radio devices in 
use are in compliance with this section may be kept at the deepwater 
port.
    (b) The communication system of the tank ship mooring at an unmanned 
port will be deemed the primary means

[[Page 209]]

of communicating with support vessels, shore side, etc.



Sec. 149.145  What are the requirements for curbs, gutters, drains, 
and reservoirs?

    Each pumping platform complex must have enough curbs, gutters, 
drains, and reservoirs to collect, in the reservoirs, all oil and 
contaminants not authorized for discharge into the ocean according to 
the port's National Pollution Discharge Elimination System (NPDES) 
permit.



                     Subpart C_Lifesaving Equipment



Sec. 149.300  What does this subpart do?

    This subpart provides requirements for lifesaving equipment on 
deepwater ports.

                   Manned Deepwater Port Requirements



Sec. 149.301  What are the requirements for lifesaving equipment?

    (a) Each deepwater port on which at least one person occupies an 
accommodation space for more than 30 consecutive days, in any successive 
12-month period, must comply with the requirements for lifesaving 
equipment in this subpart.
    (b) Each deepwater port, not under paragraph (a) of this section, 
must comply with the requirements for lifesaving equipment for unmanned 
deepwater ports in this subpart.



Sec. 149.302  What are the requirements when lifesaving equipment is 
repaired or replaced?

    When lifesaving equipment is replaced or when the deepwater port 
undergoes a repair, alteration, or modification that involves replacing 
or adding to the lifesaving equipment complement, the new lifesaving 
equipment must meet the requirements of this subpart.



Sec. 149.303  What survival craft and rescue boats may be used on a 
manned deepwater port?

    (a) Each survival craft on a manned deepwater port must be one of 
the following:
    (1) A lifeboat meeting the requirements of 149.306 to this subpart; 
or
    (2) A liferaft meeting the requirements of 149.308 to this subpart.
    (b) Each rescue boat on a manned deepwater port must be a rescue 
boat meeting the requirements of Sec. 149.314 to this part.



Sec. 149.304  What type and how many survival craft and rescue boats 
must a manned deepwater port have?

    (a) Except as specified under Sec. 149.305 to this subpart, each 
manned deepwater port must have at least the type and number of survival 
craft and the number of rescue boats indicated for the deepwater port in 
paragraphs (a)(1) through (a)(5) of this section.
    (1) For a deepwater port with 30 or fewer persons onboard:
    (i) One or more lifeboats with a total capacity of 100 percent of 
the personnel onboard;
    (ii) One or more liferafts with a total capacity of 100 percent of 
the personnel onboard; and
    (iii) One rescue boat, except that the rescue boat is not required 
for deepwater ports with 8 or fewer persons onboard.
    (2) For a deepwater port with 31 or more persons onboard:
    (i) At least two lifeboats with a total capacity of 100 percent of 
the personnel onboard;
    (ii) One or more liferafts with a total capacity so that, if the 
survival craft at any one location are rendered unusable, there will be 
craft remaining with 100 percent capacity; and
    (iii) One rescue boat.
    (3) Lifeboats may be substituted for liferafts.
    (4) Capacity refers to the total number of persons on the deepwater 
port at any one time, not including temporary personnel. Temporary 
personnel include: contract workers, official visitors, and any other 
persons who are not permanent employees. See Sec. 149.305 in this 
subpart for additional survival craft requirements when temporary 
personnel are onboard.
    (5) The required lifeboats may be used as rescue boats if the 
lifeboats also meet the requirements for rescue boats in Sec. 149.314 
to this subpart.

[[Page 210]]

    (b) Deepwater ports consisting of novel structures or a combination 
of fixed and/or floating structures may require additional survival 
craft as deemed necessary by Commandant (G-M). In these cases, the type 
and number of survival craft must be specified in the operations manual.



Sec. 149.305  What are the survival craft requirements for temporary 
personnel?

    (a) When temporary personnel are onboard a manned deepwater port and 
the complement exceeds the capacity of the survival craft required under 
149.304 to this subpart, the port must have additional liferafts to 
ensure that the total capacity of the survival craft is not less than 
200 percent of the personnel on board at any time.
    (b) The liferafts required in paragraph (a) of this section need not 
meet the launching requirements of paragraph (b) to Sec. 149.308 of 
this subpart, but must comply with the stowage requirements of 46 CFR 
108.530(c).



Sec. 149.306  What are the requirements for lifeboats?

    (a) Lifeboats must be:
    (1) Totally enclosed and Coast Guard-approved fire-protected 
lifeboats; and
    (2) If the hull or canopy is of aluminum, it must be protected in 
its stowage position by a water-spray system meeting 46 CFR 34.25.
    (b) Each lifeboat must have at least the provisions and survival 
equipment required by 46 CFR 108.575(b).
    (c) Except for boathooks, the equipment under paragraph (b) of this 
section must be securely stowed in the lifeboat.
    (d) Each lifeboat must have a list of the equipment it is required 
to carry under paragraph (c) of this section. The list must be posted in 
the lifeboat.
    (e) The manufacturer's instructions for maintenance and repair of 
the lifeboat, required under paragraph (a) to Sec. 150.502 of this 
chapter, must be in the lifeboat or on a deepwater port.



Sec. 149.307  What are the requirements for free-fall lifeboats?

    All free-fall lifeboats must be approved under approval series 46 
CFR 160.135.



Sec. 149.308  What are the requirements for liferafts?

    (a) All liferafts must be an inflatable liferaft--approved under 
approval series 46 CFR 160.151, or a rigid liferaft--approved under 
approval series 46 CFR 160.118.
    (b) Except as under paragraph (b) to 149.305 of this subpart, each 
inflatable or rigid liferaft, boarded from a deck that is more than 14 
feet 9 inches above the water, must be davit launched or served by a 
marine evacuation system complying with 149.309 to this subpart.



Sec. 149.309  What are the requirements for marine evacuation systems?

    All marine evacuation systems must be Coast Guard-approved, and 
comply with the launching arrangement requirements for MODU in 46 CFR 
108.545.



Sec. 149.310  What are the muster and embarkation requirements for 
survival craft?

    Muster and embarkation arrangements for survival craft must comply 
with 46 CFR 108.540.



Sec. 149.311  What are the launching and recovery requirements for 
lifeboats?

    (a) Each lifeboat launched by falls, must have a launching and 
recovery system that complies with 46 CFR 108.555.
    (b) Each free-fall lifeboat must have a launching and recovery 
system that complies with 46 CFR 108.557.



Sec. 149.312  What are the launching equipment requirements for 
inflatable liferafts?

    (a) Each inflatable liferaft, not intended for davit launching, must 
be capable of rapid deployment.
    (b) Each davit-launchable liferaft must have the following launching 
equipment at each launching station:
    (1) A launching device approved under approval series 46 CFR 
160.163; and
    (2) A mechanical disengaging apparatus approved under the approval 
series 46 CFR 160.170.
    (c) The launching equipment must be operative, both from the 
liferaft and from the deepwater port.

[[Page 211]]

    (d) Winch controls must be located so that the operator can observe 
the liferaft launching.
    (e) The launching equipment must be arranged so that a loaded 
liferaft does not have to be lifted before it is lowered.
    (f) Not more than two liferafts may be launched from the same set of 
launching equipment.



Sec. 149.313  How must survival craft be arranged?

    The operator must arrange survival craft so that they meet the 
requirements of 46 CFR 108.525 (a) and 108.530 and:
    (a) Are readily accessible in an emergency;
    (b) Are accessible for inspection, maintenance, and testing;
    (c) Are in locations clear of overboard discharge piping (or 
openings) and obstructions below; and
    (d) Have the aggregate capacity to accommodate the total number of 
persons authorized to be berthed and are located so as to provide ready 
access to the personnel berthing area.



Sec. 149.314  What are the approval and stowage requirements for rescue 
boats?

    (a) Rescue boats must be approved under approval series 46 CFR 
160.156. A lifeboat is acceptable as a rescue boat if it also meets the 
requirements for a rescue boat under approval series 46 CFR 160.156.
    (b) The stowage of rescue boats must comply with 46 CFR 108.565.



Sec. 149.315  What embarkation, launching, and recovery arrangements 
must rescue boats meet?

    (a) Each rescue boat must be capable of being launched in a current 
of up to 5 knots. A painter may be used to meet this requirement.
    (b) Each rescue boat embarkation and launching arrangement must 
permit the rescue boat to be boarded and launched in the shortest 
possible time.
    (c) If the rescue boat is one of the deepwater port's survival 
craft, the rescue boat must comply with the muster and embarkation 
arrangement requirements of 149.310.
    (d) The rescue boat must comply with the embarkation arrangement 
requirements of 46 CFR 108.555.
    (e) If the launching arrangement uses a single fall, the rescue boat 
may have an automatic disengaging apparatus, approved under approval 
series 46 CFR 160.170, instead of a lifeboat release mechanism.
    (f) The rescue boat must be capable of being recovered rapidly when 
loaded with its full complement of persons and equipment. If a lifeboat 
is being used as a rescue boat, rapid recovery must be possible when 
loaded with its lifeboat equipment and a rescue boat's complement of at 
least six persons.
    (g) Each rescue boat-launching appliance must be fitted with a 
powered winch motor.
    (h) Each rescue boat-launching appliance must be capable of hoisting 
the rescue boat, when loaded with a rescue boat's full complement of 
persons and equipment, at a rate of not less than 59 feet per minute.
    (i) The operator may use an onboard crane to launch a rescue boat if 
the crane's launching system meets the requirements of this section.



Sec. 149.316  What are the requirements for lifejackets?

    (a) Each lifejacket must be approved under approval series 46 CFR 
160.002, 160.005, 160.055, 160.077, or 160.176.
    (b) Each lifejacket must have a lifejacket light--approved under 
approval series 46 CFR 161.012. Each light must be securely attached to 
the front shoulder area of the lifejacket.
    (c) Each lifejacket must have a whistle permanently attached to the 
lifejacket by a cord.
    (d) Each lifejacket must be marked with Type I retro-reflective 
material--approved under approval series 46 CFR 164.018.



Sec. 149.317  How and where must lifejackets be stowed?

    (a) The operator must ensure that lifejackets are stowed, in readily 
accessible places, in, or adjacent to, accommodation spaces.
    (b) Lifejacket stowage containers, and the spaces housing the 
containers, must not be capable of being locked.

[[Page 212]]

    (c) The operator must mark each lifejacket container, or lifejacket 
stowage location, with the words ``LIFEJACKETS'' in block letters and 
the quantity, identity, and size of the lifejackets stowed inside the 
containers or stowed at the location.



Sec. 149.318  Must every person on the port have a lifejacket?

    The operator must provide a lifejacket that complies with 149.316 to 
this subpart, for each person on a manned deepwater port.



Sec. 149.319  What additional lifejackets must I have?

    For each person on duty in a location where the lifejacket required 
by 149.317 of this subpart is not readily accessible, an additional 
lifejacket must be stowed so as to be readily accessible to that 
location.



Sec. 149.320  What are the requirements for ring lifebuoys?

    (a) Ring lifebuoys must be approved under approval series 46 CFR 
160.050 or 160.150 (for SOLAS-approved equipment).
    (b) Each ring lifebuoy must have a floating, electric water light--
approved under approval series 46 CFR 161.010. The operator must ensure 
that the light to the ring lifebuoy is attached by a lanyard of 12-
thread manila, or a synthetic rope of equivalent strength, not less than 
3 feet nor more than 6 feet in length. The light must be mounted on a 
bracket near the ring lifebuoy so that, when the ring lifebuoy is cast 
loose, the light will be pulled free of the bracket.
    (c) To each ring lifebuoy, there must be attached a buoyant line of 
100 feet in length, with a breaking strength of at least 5 KiloNewtons 
force. The end of the line must not be secured to the deepwater port.
    (d) Each ring lifebuoy must be marked with Type II retro-reflective 
material--approved under approval series 46 CFR 164.018.



Sec. 149.321  How many ring lifebuoys must be on each deepwater port?

    There must be at least four approved ring lifebuoys on each manned 
deepwater port.



Sec. 149.322  Where must ring lifebuoys be located and how must they 
be stowed?

    (a) The operator must locate one ring lifebuoy on each side of the 
port and one near each external stairway leading to the water. One buoy 
may be used to satisfy both these requirements.
    (b) Each ring lifebuoy must be stowed on or in a rack that is 
readily accessible in an emergency. The ring lifebuoy must not be 
permanently secured in any way to the rack or the deepwater port.



Sec. 149.323  What are the requirements for first aid kits?

    (a) Each manned deepwater port must have an industrial first aid kit 
approved by an appropriate organization (e.g., American Red Cross) for 
the maximum number of persons on the deepwater port.
    (b) The first aid kit must be maintained in a space designated as a 
medical treatment room or, if there is no medical treatment room, under 
the custody of the person in charge.
    (c) The operator must ensure that each first aid kit is accompanied 
by a copy of DHHS Publication No. (PHS) 84-2024: ``The Ship's Medicine 
Chest and Medical Aid at Sea''--available from the Superintendent of 
Documents, U.S. Government Printing Office, Washington, DC 20402, or the 
``American Red Cross First Aid and Safety Handbook''--available from 
Little Brown and Company, 3 Center Plaza, Boston, MA 02018.



Sec. 149.324  What are the requirements for litters?

    Each manned deepwater port must have at least one Stokes litter, or 
other suitable litter, capable of being safely hoisted with an injured 
person. The litter must be readily accessible in an emergency.



Sec. 149.325  What emergency communications equipment must be on a 
manned deepwater port?

    Each manned deepwater port must have a radio, telephone, or other 
means of emergency communication with the shore, vessels, and facilities 
in the vicinity in the event the primary communications system outlined 
in

[[Page 213]]

Sec. 149.140 fails. This communication equipment must have an emergency 
power source.



Sec. 149.326  What are the immersion suit requirements?

    Each manned deepwater port, located North of 32 degrees North 
latitude, must comply with the immersion suit requirements in 46 CFR 
part 108.



Sec. 149.327  What are the approval requirements for work vests and 
anti-exposure suits?

    All work vests and anti-exposure (deck) suits, on a manned deepwater 
port, must be of a buoyant type approved under:
    (a) Approval series 46 CFR 160.053 as a work vest;
    (b) Approval series 46 CFR 160.053 or 160.153 as an anti-exposure 
suit; or
    (c) Approval series 46 CFR 160.077 as a commercial hybrid personal 
flotation device.



Sec. 149.328  How must work vests and anti-exposure (deck) suits be 
stowed?

    All work vests and deck suits must be stowed separately from 
lifejackets and in a location that is not easily confused with a storage 
area for lifejackets.



Sec. 149.329  How must work vests and deck suits be marked?

    All work vests and deck suits must be marked with Type II retro-
reflective material--approved under approval series 46 CFR 164.018.



Sec. 149.330  When may a work vest or deck suit be substituted for a 
lifejacket?

    (a) A work vest or deck suit meeting Sec. 149.326 of this subpart 
may be used instead of a lifejacket, when personnel are working near or 
over water.
    (b) Work vests or deck suits may not be substituted for any portion 
of the number of approved lifejackets required to be on the deepwater 
port or an attending vessel for use during drills and emergencies.



Sec. 149.331  What are the requirements for hybrid personal flotation 
devices?

    (a) The operator must ensure use and stowage of all commercial 
hybrid personal flotation devices (PFDs) used as work vests under:
    (1) The procedures in the manual required for these devices in 46 
CFR 160.077-29; and
    (2) All limitations, if any, marked on them.
    (b) All commercial hybrid PFDs on the deepwater port must be of the 
same or similar design and must have the same method of operation.



Sec. 149.332  What are the requirements for inflatable lifejackets?

    (a) Each inflatable lifejacket must be approved under approval 
series 46 CFR 160.176.
    (b) All inflatable lifejackets on a deepwater port must:
    (1) Be used and stowed under the procedures in the manual required 
for these lifejackets under 46 CFR 160.176-21;
    (2) Be marked with all limitations, if any; and
    (3) Be of the same or similar design and must have the same method 
of operation.



Sec. 149.333  What are the marking requirements for lifesaving equipment?

    (a) Each lifeboat, rigid liferaft, and survival capsule must be 
marked on two opposite outboard sides with the name, number, or other 
inscription identifying the deepwater port on which placed and the 
number of persons permitted on the craft. Each paddle or oar for these 
crafts must be marked with an inscription identifying the deepwater 
port. The letters and numbers must be at least 100 millimeters (3.94 
inches) high on a contrasting background.
    (b) Each inflatable liferaft must be marked to meet 46 CFR 160.151-
33, and after each servicing, 46 CFR 160.151-57(m).
    (c) All lifejackets and ring lifebuoys must be conspicuously marked 
with the name, number, or other inscription identifying the deepwater 
port on which placed. The letters and numbers

[[Page 214]]

must be at least 1.5 inches high on a contrasting background. 
Lifejackets and ring lifebuoys that accompany mobile crews to unmanned 
deepwater ports may be marked with the operator's name and field 
designation.

                  Unmanned Deepwater Port Requirements



Sec. 149.334  Who must ensure compliance with the requirements for 
unmanned deepwater ports?

    The owner or operator of an unmanned deepwater port must ensure that 
applicable requirements are complied with on their deepwater port.



Sec. 149.335  When are people prohibited from being on a unmanned 
deepwater port?

    No person may be on a unmanned deepwater port unless all 
requirements of this part are met.



Sec. 149.336  What are the requirements for lifejackets?

    (a) Except as under paragraph (b) of this section, each unmanned 
deepwater port must have at least one lifejacket complying with 149.316 
to this subpart, for each person on the deepwater port. The lifejackets 
need to be available for use on the port only when persons are onboard.
    (b) During helicopter visits, personnel who have aircraft type 
lifejackets may use them as an alternative to the requirements of 
paragraph (a) of this section.



Sec. 149.337  What are the requirements for ring lifebuoys?

    (a) Each unmanned deepwater port must have at least one ring 
lifebuoy complying with 149.320 to this subpart.
    (b) If there is no space on the deepwater port for the ring 
lifebuoys, they must be on a manned vessel located alongside of the 
deepwater port while the persons are on the port.



Sec. 149.338  What are the requirements for immersion suits?

    (a) Each unmanned deepwater port, located North of 32 degrees North 
latitude, must comply with the immersion suit requirements applicable to 
MODU under 46 CFR 108.580-- approval series 46 CFR 160.171. Except as 
under paragraph (b) of this section, the immersion suits need be on the 
deepwater port only when persons are onboard.
    (b) If an attending vessel is moored to the unmanned deepwater port, 
the suits may be stowed on the vessel, instead of on the deepwater port.



Sec. 149.339  What is the requirement for a previously approved 
lifesaving equipment on a deepwater port?

    Lifesaving equipment (e.g., lifeboats, life rafts, PFDs) on a 
deepwater port on January 1, 2004, need not meet the requirements in 
this subpart until the equipment needs replacing, provided it is 
periodically tested and maintained in good operational condition.



Sec. 149.340  What are the requirements for lifesaving equipment that 
is not required by this subchapter?

    Each item of lifesaving equipment on a deepwater port that is not 
required by this subchapter must be approved by the Commandant (G-M).



          Subpart D_Firefighting and Fire-Protection Equipment



Sec. 149.400  What does this subpart apply to?

    This subpart applies to all deepwater ports with the exception of an 
unmanned port consisting of a submerged turret loading (STL) or 
comparable configuration in which cargo transfer operations are 
conducted solely aboard the tank vessel by the vessel crew.



Sec. 149.401  What are the general requirements for firefighting and 
fire-protection equipment?

    Each deepwater port must comply with the requirements for 
firefighting and fire-protection equipment in this subpart.



Sec. 149.402  What equipment must be approved by the Coast Guard?

    Except as permitted under 149.403, 149.415 (c) or (d), 149.421 (a), 
or 149.422, all required firefighting and fire-protection equipment on a 
deepwater port must be approved by the Commandant (G-MSE). Firefighting 
and fire-protection equipment that supplements required equipment must 
also be approved by the Commandant (G-MSE)

[[Page 215]]

unless approval by the OCMI is requested and granted pursuant to 149.403 
of this subpart.



Sec. 149.403  Use of alternate firefighting, fire prevention equipment, 
or procedures.

    (a) The operator may request the use of alternate equipment or 
procedures for those required in this subchapter.
    (b) Upon request, the OCMI may allow the use of alternate equipment 
or procedures if they will:
    (1) Accomplish the purposes for the requirement; and
    (2) Provide a degree of safety equivalent to, or greater than, that 
provided by the requirement.
    (c) The OCMI may require that the requesting party:
    (1) Explain why applying the requirement would be unreasonable or 
impracticable; or
    (2) Submit engineering calculations, tests, or other data to 
demonstrate how the requested alternative would comply with paragraph 
(b) of this section.
    (d) The OCMI may determine, on a case-by-case basis, that Commandant 
(G-MSE) must approve the use of the alternate equipment or procedure.

                        Firefighting Requirements



Sec. 149.404  Can I use firefighting equipment for which there is no 
Coast Guard standard?

    A deepwater port may use firefighting equipment for which there is 
no Coast Guard standard, as excess equipment, if the equipment does not 
endanger the port or the persons aboard in any way. This equipment must 
be listed and labeled by a nationally recognized testing laboratory and 
it must be maintained in good working condition.



Sec. 149.405  How are fire extinguishers classified?

    (a) Portable and semi-portable extinguishers on a manned deepwater 
port must be classified using the Coast Guard's marine rating system of 
combination letter and number symbol. The letter indicates the type of 
fire that the extinguisher is designed to extinguish, and the number 
indicates the relative size of the extinguisher.
    (b) The letter designations are 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, or other thick 
flammable substances, where a blanketing effect is essential; and
    (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 range from ``I'' for the 
smallest extinguisher to ``V'' for the largest. Sizes I and II are 
portable extinguishers. Sizes III, IV, and V are semi-portable 
extinguishers which must 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 149.405.

                             Table 149.405--Portable and Semi-portable Extinguishers
----------------------------------------------------------------------------------------------------------------
                                                                   Carbon dioxide        Dry chemical kilograms
      Classification type-size         Foam liters (gallons)     kilograms (pounds)             (pounds)
----------------------------------------------------------------------------------------------------------------
A-II................................  9.5 (2.5)..............  ......................  2.25(5) \1\
B-II................................  9.5 (2.5)..............  6.7 (15)..............  4.5 (10)
C-II................................  .......................  6.7 (15)..............  4.5 (10)
B-IV................................  7.6 (20)...............  22.5 (50).............  13.5 (30)
B-V.................................  15.2 (40)..............  45 (100) \2\..........  22.5 (50) \2\
----------------------------------------------------------------------------------------------------------------
Notes:
\1\ Must be specifically approved as a type ``A,'' ``B,'' or ``C'' extinguisher.
\2\ For outside use, double the quantity of agent that must be carried.


[[Page 216]]



Sec. 149.406  What are the approval requirements for a fire extinguisher?

    All portable and semi-portable fire extinguishers must be of an 
approved type under 46 CFR part 162, subparts 162.028 and 162.039, 
respectively.



Sec. 149.407  Must fire extinguishers be on the deepwater port at all 
times?

    (a) On a manned deepwater port, the fire extinguishers required by 
149.409 to this subpart must be on the deepwater port at all times.
    (b) On an unmanned deepwater port, the fire extinguishers required 
by 149.409 to this part need be on the deepwater port only when 
personnel are working on the deepwater port during cargo transfer 
operations or performing maintenance duties.



Sec. 149.408  What are the maintenance requirements for a fire 
extinguisher?

    All fire extinguishers must be maintained in good working order and 
serviced annually in accordance with 46 CFR 107.235.



Sec. 149.409  How many fire extinguishers are needed?

    Each particular location must have the number of fire extinguishers 
required by table 149.409.

    Table 149.409--Portable and Semi-Portable Extinguishers, Minimum
                          Quantity and Location
------------------------------------------------------------------------
                                                       Minimum quantity
              Space                 Classification       and location
------------------------------------------------------------------------
(a) Safety Areas:
    (1) Communicating corridors.  A-II..............  One in each main
                                                       corridor or
                                                       stairway not more
                                                       than 150 feet
                                                       apart.
    (2) Radio room..............  C-II..............  One outside of or
                                                       near each radio
                                                       room exit.
(b) Accommodation Spaces: (1)     A-II..............  One in each
 Sleeping quarters.                                    sleeping space
                                                       for more than
                                                       four persons.
(c) Service Spaces:
    (1) Galleys.................  B-II or CII.......  One for each 2,500
                                                       square feet or
                                                       fraction thereof
                                                       for hazards
                                                       involved.
    (2) Storerooms..............  A-II..............  One for each 2,500
                                                       square feet or
                                                       fraction thereof
                                                       located near each
                                                       exit, either
                                                       inside or outside
                                                       of the space.
    (3) Paint room..............  B-II..............  One outside each
                                                       paint room exit.
(d) Machinery Spaces:
    (1) Gas-fired boilers.......  B-II OR C-II......  Two.
    (2) Gas-fired boilers.......  B-V...............  One.\1\
    (3) Oil-fired boilers.......  B-II..............  Two.
    (4) Oil-fired boilers.......  B-V...............  Two.\1\
    (5) Internal combustion or    B-II..............  One for each
     gas turbine engines.                              engine.\2\
    (6) Electric motors and       C-II..............  One for each two
     generators, both of the                           motors or
     open type.                                        generators.\3\
(e) Helicopter Areas:
    (1) Helicopter landing decks  B-V...............  One at each access
                                                       route.
    (2) Helicopter fueling        B-V...............  One at each fuel
     facility.                                         transfer
                                                       facility.\4\
------------------------------------------------------------------------
\1\ Not required if a fixed system is installed.
\2\ If the engine is installed on a weather deck or is open to the
  atmosphere at all times, one B-II may be used for every three engines.
\3\ Small electrical appliances, such as fans, are exempt.
\4\ Not required if a fixed foam system is installed in accordance with
  paragraph of this part.



Sec. 149.410  Where must a portable or semi-portable fire extinguisher 
be located?

    All portable and semi-portable fire extinguishers under table 
149.409 must be located in the open so as to be readily seen.



Sec. 149.411  What are the requirements for fireman's outfits?

    (a) Each manned deepwater port with nine or more persons must have 
at least two fireman's outfits complying with 46 CFR 108.497.
    (b) The person in charge of safety must ensure that:
    (1) At least two people trained in the use of fireman's outfits are 
on the deepwater port at all times;

[[Page 217]]

    (2) Each fireman's outfit and its spare equipment are stowed 
together in a readily accessible container or locker; that no more than 
one outfit is stowed in the same container or locker and that the two 
containers or lockers are located in separate areas to ensure that at 
least one is available at all times in the event of a fire; and
    (3) Fireman's outfits are not used for any purpose other than 
firefighting.



Sec. 149.412  How many fire axes are needed?

    Each manned deepwater port must have at least two fire axes per 46 
CFR 108.499.



Sec. 149.413  On a manned deepwater port, what spaces require a fixed 
fire-extinguishing system?

    The manned deepwater port spaces or systems listed in paragraphs (a) 
through (c) of this section must be protected by an approved fixed-
gaseous, or other approved fixed-type, extinguishing system.
    (a) Paint lockers of capacity in excess of 200 cubic feet and 
similar spaces containing flammable liquids.
    (b) Galley range or deep fat fryer.
    (c) Each enclosed space containing internal combustion or gas 
turbine machinery, with an aggregate power of more than 1,000 B.H.P., 
and any associated fuel oil units, purifiers, valves, or manifolds.



Sec. 149.414  What are the requirements for a fire-detection and alarm 
system?

    (a) All accommodation and service spaces, on a manned deepwater 
port, and all spaces or systems of a deepwater port that process, store, 
transfer, and re-gasify liquefied natural gas, must have an automatic 
fire-detection and alarm system. The system must either comply with 46 
CFR 108.405 or be designed and installed in compliance with a national 
consensus standard, as that term is defined in 29 CFR 1910.2, for fire-
detection and fire alarm systems, and that complies with standards set 
by a nationally recognized testing laboratory, as that term is defined 
in 29 CFR 1910.7, for such systems or hardware.
    (b) Sleeping quarters must be fitted with smoke detectors that have 
local alarms and that may, or may not, be connected to the central alarm 
panel.
    (c) Each fire-detection and fire alarm system must have a visual 
alarm and an audible alarm at a normally manned area.
    (d) Each fire-detection and fire alarm system must be divided into 
zones to limit the area covered by a particular alarm signal.



Sec. 149.415  What are the requirements for a fire-main system on a 
manned deepwater port?

    (a) Each pumping platform complex must have a fixed fire-main 
system. The system must either:
    (1) Comply with 46 CFR 108.415 through 108.429; or
    (2) Comply with a national consensus standard, as that term is 
defined in 29 CFR 1910.2, for such systems and hardware and comply with 
the standards set by a nationally recognized testing laboratory, as that 
term is defined in 29 CFR 1910.7, for such systems and hardware.
    (b) If the fire-main system meets the requirements outlined in 
paragraph (a)(2) of this section, it must provide, at a minimum, 
protection to:
    (1) Accommodation spaces;
    (2) Accommodation modules;
    (3) Control spaces; and
    (4) Other areas frequented by port personnel. The hose system must 
be capable of reaching all parts of these spaces without difficulty.
    (c) The fire-main system, under paragraph (a)(2) of this section, 
may be part of a firewater system in accordance with 30 CFR 250.803.
    (d) A fire-main system for a natural gas deepwater port must also 
comply with 33 CFR 127.607.

[USCG-1998-3884, 69 FR 746, Jan. 6, 2004; 69 FR 3836, Jan. 27, 2004]



Sec. 149.416  What are the requirements for fire pumps?

    (a) Each manned deepwater port must have at least two independently 
driven fire pumps. Each pump must be able to simultaneously deliver two 
streams of water at a pitot tube pressure of at least 50 p.s.i/345 k.p.a 
(75

[[Page 218]]

p.s.i./520 k.p.a. for a natural gas deepwater port)--measured at the two 
most remote nozzles.
    (b) Each fire pump must have:
    (1) A relief valve on its discharge side that is set to relieve at 
25 p.s.i/173 k.p.a 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 sea connection.
    (c) Fire pumps may only be connected to the fire-main system.
    (d) The fire pumps required by paragraph (a) of this section must be 
located in separate spaces and the arrangement of pumps, sea 
connections, controls, and sources of power must be such as to ensure 
that a fire, in any one space, will not put all of the fire pumps out of 
service.
    (e) The fire pumps must be capable of being started and stopped from 
outside the spaces in which they are located.



Sec. 149.417  What are the requirements for fire hydrants?

    (a) Fire hydrants must comply with 46 CFR 108.423.
    (b) A single length of fire hose, with an attached nozzle, must be 
connected to each fire hydrant at all times. If the hose is exposed to 
freezing weather, it may be removed from the location during freezing 
weather.
    (c) Each fire hydrant must have a shutoff valve.
    (d) Any equipment that is located in the same space as the fire 
hydrant must not impede access to the hydrant.
    (e) Each fire hydrant must have at least one spanner wrench at the 
fire hydrant.



Sec. 149.418  What are the requirements for fire hoses and fire nozzles?

    (a) Fire hoses must comply with 46 CFR 108.425 and be:
    (1) Prominently marked in accordance with 46 CFR 97.37-15; and
    (2) If in an exposed location, protected from freezing weather.
    (b) Each fire hose and nozzle must comply with 46 CFR 108.425 or a 
national consensus standard, as that term is defined in 29 CFR 1910.2, 
for such hose and nozzle and the standards set by a nationally 
recognized testing laboratory, as that term is defined in 29 CFR 1910.7, 
for such hose.



Sec. 149.419  What are the requirements for a dry chemical 
fire-suppression system?

    Each natural gas deepwater port must be equipped with a dry chemical 
system that meets the requirements of Sec. 127.609 to this chapter.



Sec. 149.420  What firefighting equipment must a helicopter landing 
deck on a manned deepwater port have?

    Each helicopter landing deck on a manned deepwater port must have 
the following:
    (a) A fire hydrant and hose located near each stairway access to the 
landing deck. If the landing deck has more than two stairway accesses, 
only two stairway accesses need to have a fire hydrant and hose. The 
fire hydrants must be part of the fire-main system; and
    (b) Portable fire extinguishers in the quantity and location as 
required in table 149.409.



Sec. 149.421  What fire-protection system must a helicopter fueling 
facility have?

    In addition to the portable fire extinguishers required under table 
149.409, each helicopter fueling facility must have a fire-protection 
system complying with 46 CFR 108.489.



Sec. 149.422  Can the water supply for the helicopter deck 
fire-protection system be part of a firewater system?

    (a) The water supply for the helicopter deck fire-protection system 
required under Sec. Sec. 149.420 or 149.421 may be part of:
    (1) The firewater system (installed in accordance with MMS 
regulations under 30 CFR 250.803); or
    (2) The fire-main system under Sec. 149.415.
    (b) If the water supply for the helicopter deck fire-protection 
system is part of an independent accommodation fire-main system, the 
piping design and hardware must be compatible with the system and must 
comply with the requirements for fire-mains in 46 CFR 108.415 through 
108.429.

[[Page 219]]



Sec. 149.423  What are the fire-protection requirements for escape routes?

    At least one escape route from an accommodation space or module to a 
survival craft or other means of evacuation, must provide adequate 
protection, in accordance with 46 CFR 108.133, for escaping personnel 
from fires and explosions. Additional requirements for escape routes are 
in subpart F of this part.



Sec. 149.424  What is the requirement for a previously approved 
fire-detection and alarm system on a deepwater port?

    An existing fire-detection and alarm system on a deepwater port need 
not meet the requirements in this subpart until the system needs 
replacing, provided it is periodically tested and maintained in good 
operational condition.



                      Subpart E_Aids to Navigation

                                 General



Sec. 149.500  What does this subpart do?

    This subpart provides requirements for aids to navigation on 
deepwater ports.



Sec. 149.505  What are the general requirements for aids to navigation?

    The following requirements apply to aids to navigation under this 
subpart:
    (a) Section 66.01-5 of this chapter on application to establish, 
maintain, discontinue, change, or transfer ownership of an aid, except 
as under 149.510;
    (b) Section 66.01-25(a) and (c) of this chapter on discontinuing or 
removing an aid. For the purposes of Sec. 66.01-25(a) and (c) of this 
chapter, aids to navigation at a deepwater port are considered Class I 
aids under Sec. 66.01-15 of this chapter;
    (c) Section 66.01-50 of this chapter on protection of an aid from 
interference and obstruction; and
    (d) Section 66.01-55 of this chapter on transfer of ownership of an 
aid.



Sec. 149.510  Permission to establish an aid to navigation.

    (a) To establish an aid to navigation on a deepwater port, the 
licensee must submit an application under Sec. 66.01-5 of this chapter, 
except the application must be sent to the Commandant (G-M).
    (b) At least 180 days before the installation of any structure at 
the site of a deepwater port, the licensee must submit an application 
for obstruction lights and other private aids to navigation for the 
particular construction site.
    (c) At least 180 days before beginning cargo transfer operations or 
changing the mooring facilities at the deepwater port, the licensee must 
submit an application for private aids to navigation.

                                 Lights



Sec. 149.520  What are the general lighting requirements?

    All deepwater ports must meet the general requirements for 
obstruction lights in part 67 of this chapter.

                           Lights on Platforms



Sec. 149.535  What are the requirements for rotating beacons on platforms?

    In addition to obstruction lights, the tallest platform of a 
deepwater port must have a rotating lighted beacon that distinguishes 
the deepwater port from other surrounding offshore structures. The 
beacon must:
    (a) Have an effective intensity of at least 15,000 candela;
    (b) Flash at least once every 20 seconds;
    (c) Provide a white light signal;
    (d) Operate in wind speeds up to 100 knots at a rotation rate that 
is within 6 percent of the operating speed displayed on the beacon;
    (e) Have one or more leveling indicators permanently attached to the 
light, each with an accuracy of 0.25, or better; and
    (f) Be located:
    (1) At least 60 feet above mean high water;
    (2) Where the structure of the platform, or equipment mounted on the 
platform, does not obstruct the light in any direction; and
    (3) So that it is visible all around the horizon.

[[Page 220]]

                  Lights on Single Point Moorings (SPM)



Sec. 149.540  What are the requirements for obstruction lights on an SPM?

    (a) The lights for a single point mooring (SPM) must meet the 
requirements for obstruction lights in part 67 of this chapter, except 
that the lights must be located at least 10 feet above mean high water.
    (b) A submerged turret loading (STL) deepwater port is not required 
to meet the requirements for obstruction lights, provided it maintains 
at least a five-foot clearance beneath the net under-keel clearance for 
all vessels, at the mean low water condition, transiting the area.
    (c) An STL deepwater port that utilizes a marker buoy must be 
lighted in accordance with paragraph (a) of this section.

                     Lights on Floating Hose Strings



Sec. 149.550  What are the requirements for lights on a floating hose 
string?

    Hose strings that are floating or supported on trestles shall 
display the following lights at night and in periods of restricted 
visibility.
    (a) One row of yellow lights. The lights must be:
    (1) Flashing 50 to 70 times per minute;
    (2) Visible all around the horizon;
    (3) Visible for at least 2 miles on a clear, dark night;
    (4) Not less than 1 and not more than 3.5 meters above the water;
    (5) Approximately equally spaced; and
    (6) Not more than 10 meters apart where the hose string crosses a 
navigable channel, and, also, where the hose string does not cross a 
navigable channel, the lights must be sufficient in number to clearly 
show the hose string's length and course.
    (b) Two red lights at each end of the hose string, including the 
ends in a channel where the hose string is separated to allow vessels to 
pass, whether open or closed. The lights must be:
    (1) Visible all around the horizon;
    (2) Visible for at least 2 miles on a clear, dark night; and
    (3) One meter apart in a vertical line with the lower light at the 
same height above the water as the flashing yellow light.

              Lights on Buoys Used To Define Traffic Lanes



Sec. 149.560  How must buoys used to define traffic lanes be marked 
and lighted?

    (a) Each buoy that is used to define the lateral boundaries of a 
traffic lane at a deepwater port must meet 62.25 of this chapter.
    (b) The buoy must have an omni-directional light located at least 8 
feet above the water.
    (c) The buoy light must be located so that the structure of the 
buoy, or any other device mounted on the buoy, does not obstruct the 
light in any direction.



Sec. 149.565  What are the required characteristics and intensity of 
lights on buoys used to define traffic lanes?

    (a) The color of the light on a buoy that is used to define the 
lateral boundaries of a traffic lane must correspond with the color 
schemes for buoys in Sec. 62.25 of this chapter.
    (b) The buoy light may be fixed or flashing. If it is flashing, it 
must flash at intervals of not more than 6 seconds.
    (c) Buoy lights must have an effective intensity of at least 25 
candela.

                              Miscellaneous



Sec. 149.570  How is a platform, SPM, or STL identified?

    (a) Each platform, SPM, or STL (protruding above the water/marked by 
a buoy) must display the name of the deepwater port and the name or 
number 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.
    (c) If a STL protrudes from the water, it must be properly 
illuminated in accordance with Sec. 149.540.

[[Page 221]]



Sec. 149.575  How must objects protruding from the water, other than 
platforms and SPMs, be marked?

    (a) Each object protruding from the water that is within 100 yards 
of a platform or SPM must be marked with white reflective tape.
    (b) Each object protruding from the water that is more than 100 
yards from a platform or SPM must meet the obstruction lighting 
requirements in this subpart for a platform.



Sec. 149.580  What are the requirements for a radar beacon?

    (a) A radar beacon must be located on the tallest platform of a 
pumping platform complex or other fixed structure of the deepwater port.
    (b) The beacon must meet the following:
    (1) Be an FCC-type-accepted radar beacon (RACON);
    (2) Transmit:
    (i) In both the 2900-3100 MHz and 9300-9500 MHz frequency bands; or
    (ii) If installed before July 8, 1991, in the 9320-9500 MHz 
frequency band;
    (3) Transmit a signal of at least 250 milliwatts radiated power that 
is omni-directional and polarized in the horizontal plane;
    (4) Transmit a two or more element Morse code character, the length 
of which does not exceed 25 percent of the radar range expected to be 
used by vessels operating in the area;
    (5) If of the frequency agile type, be programmed so that it will 
respond, at least 40 percent of the time, but not more than 90 percent 
of the time, with a response time duration of at least 24 seconds; and
    (6) Be located at a minimum height of 15 feet above the highest deck 
of the platform and where the structure of the platform, or equipment 
mounted on the platform, does not obstruct the signal propagation in any 
direction.



Sec. 149.585  What are the requirements for sound signals?

    (a) Each pumping platform complex must have a sound signal, approved 
under subpart 67.10 of this chapter, that has a 2-mile (3-kilometer) 
range. A list of Coast Guard approved sound signals is available from 
any District Commander.
    (b) Each sound signal must be:
    (1) Located at least 10 feet but not more than 150 feet above mean 
high water; and
    (2) Located where the structure of the platform, or equipment 
mounted on it, does not obstruct the sound of the signal in any 
direction.



                     Subpart F_Design and Equipment

                                 General



Sec. 149.600  What does this subpart do?

    This subpart provides general requirements for equipment and design 
on deepwater ports.



Sec. 149.610  What must the District Commander be notified of and when?

    The District Commander must be notified of the following:

------------------------------------------------------------------------
                                             The District Commander must
                  When--                            be notified--
------------------------------------------------------------------------
(a) Construction of a pipeline, platform,   At least 30 days before
 or SPM is planned.                          construction begins.
(b) Construction of a pipeline, platform,   Within 24 hours, from the
 or SPM begins.                              date construction begins,
                                             that the lights and sound
                                             signals are in use at the
                                             construction site.
(c) A light or sound signal is changed      Within 24 hours of the
 during construction.                        change.
(d) Lights or sound signals used during     Within 24 hours of the
 construction of a platform, buoy, or SPM    replacement.
 are replaced by permanent fixtures to
 meet the requirements of this part.
(e) The first cargo transfer operation      At least 60 days before the
 begins.                                     operation.
------------------------------------------------------------------------



Sec. 149.615  What construction drawings and specifications are required?

    (a) To show compliance with the Act and this subchapter, the 
licensee must submit to the Commandant (G-M) three copies of:
    (1) Each construction drawing and specification; and
    (2) Each revision to a drawing and specification.
    (b) Each drawing, specification, and revision under paragraph (a) of 
this section must bear the seal, or a facsimile imprint of the seal, of 
the registered professional engineer responsible for the accuracy and 
adequacy of the material.

[[Page 222]]



Sec. 149.620  What happens when the Commandant (G-M) reviews and 
evaluates the construction drawings and specifications?

    (a) The Commandant (G-M) may concurrently review and evaluate 
construction drawings and specifications with the Marine Safety Center 
and other federal agencies having technical expertise (such as RSPA and 
FERC) in order to ensure compliance with the Act and this subchapter.
    (b) Construction may not begin until the drawings and specifications 
are approved by the Commandant (G-M).
    (c) Once construction begins, the Coast Guard periodically inspects 
the construction site to ensure that the construction complies with the 
drawings and specifications approved under paragraph (b) of this 
section.
    (d) When construction is complete, the licensee must submit two 
complete sets of as-built drawings and specifications to the Commandant 
(G-M).



Sec. 149.625  What are the design standards?

    (a) Each component, except for 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 at the deepwater port in any 100-year period. 
Component design must be appropriate for the protection of human life on 
the port or on vessels calling on or servicing the port from death or 
serious injury, and to protect the environment.
    (b) Heliports on floating deepwater ports must be designed in 
compliance with the regulations at 46 CFR part 108.

                       Structural Fire-Protection



Sec. 149.640  What are the requirements for systems fire-protection?

    Manned deepwater ports built after January 1, 2004 and manned 
deepwater ports that undergo major conversions must comply with the 
requirements for structural fire-protection outlined in this subpart.



Sec. 149.641  What are the requirements for structural fire-protection 
for deepwater ports in accommodation spaces and modules?

    (a) Accommodations spaces and modules must be designed, located, and 
constructed so as to minimize the effects of flame, excess heat, or 
blast effects caused by fires and explosions; and to provide safe refuge 
from fires and explosions for personnel for the minimum time needed to 
evacuate the space.
    (b) This requirement may be met by complying with the applicable 
portions of 46 CFR part 108, provided that:
    (1) The exterior boundaries of superstructures and deckhouses 
enclosing these spaces and modules, including any overhanging deck that 
supports these spaces and modules, are constructed to the A-60 standard 
defined in 46 CFR 108.131(b)(2) for any portion that faces, and is 
within 100 feet of, the platform hydrocarbon source; and
    (2) The ventilation system must have a means of shutting down the 
system and an alarm at a manned location that sounds when any hazardous 
or toxic substance enters the system.
    (c) As an alternative to paragraph (b) of this section, the 
requirement imposed by this section may be met by complying with a 
national consensus standard, as that term is defined in 29 CFR 1910.2, 
for the structural fire-protection of accommodation spaces and modules, 
and that complies with the standards set by a nationally recognized 
testing laboratory, as that term is defined by 29 CFR 1910.7, for such 
protection, provided that:
    (1) All such spaces and modules on manned ports are provided with 
automatic fire-detection and alarm systems. The alarm system must signal 
a normally manned area both visually and audibly, and be divided into 
zones to limit the area covered by a particular alarm signal;
    (2) Sleeping quarters are fitted with smoke detectors that have 
local alarms that may, or may not, be connected with the central alarm 
panel; and
    (3) Independent fire walls are constructed and installed so as to be 
of size and orientation sufficient to protect the exterior surfaces of 
the spaces or modules from extreme radiant heat

[[Page 223]]

flux levels and provide the A-60 standard defined in 46 CFR 
108.131(b)(2).

                          Single Point Moorings



Sec. 149.650  What are the requirements for single point moorings and 
their attached hoses?

    Each SPM and its attached hose must be designed appropriately for 
the protection of the environment and for durability under combined 
wind, wave, and current forces of the most severe storm that can be 
expected to occur at the port in any 100-year period. The 
appropriateness of a design may be shown by its compliance with 
standards generally used within the offshore industry that are at least 
equivalent, in protecting the environment, to the standards in use on 
January 1, 2003, by the American Bureau of Shipping or another 
recognized classification society.

                      Helicopter Fueling Facilities



Sec. 149.655  What are the requirements for helicopter fueling facilities?

    Helicopter fueling facilities must comply with 46 CFR 108.489 or an 
equivalent standard.

                             Emergency Power



Sec. 149.660  What are the requirements for emergency power?

    (a) Each pumping platform complex must have emergency power 
equipment to provide power to operate simultaneously all of the 
following for a continuous period of 18 hours:
    (1) Emergency lighting circuits;
    (2) Aids to navigation equipment;
    (3) Communications equipment;
    (4) Radar equipment;
    (5) Alarm systems;
    (6) Electrically operated fire pumps; and
    (7) Other electrical equipment identified as emergency equipment in 
the operations manual for the deepwater port.
    (b) No emergency power generating equipment may be located in any 
enclosed space on a platform that contains oil or natural gas transfer 
pumping equipment or other power generating equipment.

                          General Alarm System



Sec. 149.665  What are the requirements for a general alarm system?

    Each pumping platform complex must have a general alarm system that 
meets the following:
    (a) Is capable of being activated manually by the use of alarm 
boxes;
    (b) Is audible in all parts of the pumping platform complex, except 
in areas of high ambient noise levels where hearing protection is 
required under Sec. 150.613 of this chapter; and
    (c) Has a high intensity flashing light in areas where hearing 
protection is used.



Sec. 149.670  What are the requirements for marking a general alarm 
system?

    Each of the following must be marked with the words ``GENERAL 
ALARM'' in yellow letters at least 1-inch high on a red background:
    (a) Each general alarm box; and
    (b) Each audio or visual device under Sec. 149.665 for signaling 
the general alarm.

                          Public Address System



Sec. 149.675  What are the requirements for the public address system?

    Each pumping platform complex must have a public address system 
operable from two locations on the complex.

                         Medical Treatment Rooms



Sec. 149.680  What are the requirements for medical treatment rooms?

    Each deepwater port with sleeping spaces for 12 or more persons, 
including persons in accommodation modules, must have a medical 
treatment room that has:
    (a) A sign at the entrance designating it as a medical treatment 
room;
    (b) An entrance that is wide enough and arranged to readily admit a 
person on a stretcher;
    (c) A single berth or examination table that is accessible from both 
sides; and
    (d) A washbasin located in the room.

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Sec. 149.685  May a medical treatment room be used for other purposes?

    A medical treatment room may be used as a sleeping space if the room 
meets the requirements of this subpart for both medical treatment rooms 
and sleeping spaces. It may also be used as an office. However, when 
used for medical purposes, the room may not be used as a sleeping space 
or office.

                              Miscellaneous



Sec. 149.690  What are the requirements for means of escape, personnel 
landings, guardrails, and similar devices and for noise limits?

    Each deepwater port must comply with the requirements for means of 
escape, personnel landings, guardrails and similar devices, and noise 
limits as outlined in Sec. Sec. 149.691 through 149.699.

                             Means of Escape



Sec. 149.691  What means of escape are required?

    (a) Each deepwater port must have the primary and secondary means of 
escape complying with 46 CFR 108.151 for use in evacuating the port.
    (b) A primary means of escape consists of a fixed stairway, or a 
fixed ladder, constructed of steel.
    (c) A secondary means of escape consists of a marine evacuation 
system, a portable flexible ladder, a knotted manrope, or a similar 
device determined by the OCMI to provide an equivalent or better means 
of escape.
    (d) Where a secondary means of escape is required, a primary means 
of escape may be substituted.



Sec. 149.692  Where must they be located?

    (a) Each means of escape must be easily accessible to personnel for 
rapidly evacuating the deepwater port.
    (b) When two or more means of escape are installed, at least two 
must be located as nearly diagonally opposite each other as practicable.
    (c) The following spaces, with a floor area of 300 square feet or 
more, must have at least two exits as widely spaced as possible:
    (1) Each accommodation space; and
    (2) Each space that is used on a regular basis, such as a control 
room, machinery room, storeroom, or other space where personnel could be 
trapped in an emergency.
    (d) Structural appendages to the deepwater port that do not have 
living quarters, workshops, offices, or other manned spaces and that 
personnel do not occupy continuously (i.e., pumping platform complex) 
must have at least one primary means of escape and, as determined 
necessary by the OCMI, one or more secondary means of escape.
    (e) When personnel are on an unmanned deepwater port, the port must 
have, in addition to the one primary means of escape, either:
    (1) Another primary means of escape; or
    (2) One or more secondary means of escape for every 10 persons 
onboard at any one time--located in the work areas.
    (f) Structural appendages to an unmanned deepwater port do not 
require a primary or a secondary means of escape, unless the OCMI 
determines that one or more are necessary.
    (g) Each means of escape must extend from the deepwater port's 
uppermost working level, to each successively lower working level, and 
so on to the water surface.

                           Personnel Landings



Sec. 149.693  What are the requirements for personnel landings on manned 
deepwater ports?

    (a) On manned deepwater ports, sufficient personnel landings must be 
provided to assure safe access and egress.
    (b) The personnel landings must be provided with satisfactory 
illumination. The minimum is one foot candle of artificial illumination 
as measured at the landing floor and guards and rails.

                     Guardrails and Similar Devices



Sec. 149.694  What are the requirements for catwalks, floors, and 
openings?

    (a) The configuration and installation of catwalks, floors, and 
openings must comply with 143.110 of this chapter.
    (b) This section does not apply to catwalks, floor or deck areas, 
and openings:
    (1) In areas not normally occupied by personnel; or

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    (2) On helicopter landing decks.



Sec. 149.695  What are the requirements for stairways?

    Stairways must have at least two courses of rails. The top course 
must serve as a handrail and be at least 34 inches above the tread.



Sec. 149.696  What are the requirements for a helicopter landing deck 
safety net?

    A helicopter landing deck safety net must comply with 46 CFR 
108.235.

                              Noise Limits



Sec. 149.697  What are the requirements for a noise level survey?

    (a) A survey to determine the maximum noise level during normal 
operations must be conducted in each accommodation space, working space, 
or other space routinely used by personnel. The recognized methodology 
used to conduct the survey must be specified in the survey results. 
Survey results must be kept on the deepwater port or, for an unmanned 
deepwater port, in the owner's principal office.
    (b) The noise level must be measured over 12 hours to derive a time-
weighted-average (TWA) using a sound level meter and an A-weighted 
filter or equivalent device.
    (c) If the noise level throughout a space is determined to exceed 85 
db(A), then signs must be posted with the legend: ``NOISE HAZARD--
HEARING PROTECTORS REQUIRED.'' Signs must be posted at eye level--at 
each entrance to the space.
    (d) If the noise level is determined to exceed 85 db(A) only in a 
portion of a space, the sign described in paragraph (c) of this section 
must be posted within that portion in a location visible from each 
direction of access.
    (e) Working spaces and other areas routinely used by personnel, 
other than accommodation spaces, must be designed to limit the noise 
level in those areas so that personnel wearing hearing protectors may 
hear warning and emergency alarms. If this is not practicable and 
warning and emergency alarms cannot be heard, visual alarms in addition 
to the audible alarms must be installed.

                             Portable Lights



Sec. 149.700  What kind of portable lights may be used on a deepwater 
port?

    Each portable light and its supply cord on a deepwater port must be 
designed for the environment where it is used.



PART 150_DEEPWATER PORTS: OPERATIONS--Table of Contents




                            Subpart A_General

Sec.
150.1 What does this part do?
150.5 Definitions.
150.10 What are the general requirements for operations manuals?
150.15 What must the operations manual include?
150.20 How many copies of the operations manual must be given to the 
          Coast Guard?
150.25 Amending the operations manual.
150.30 Proposing an amendment to the operations manual.
150.35 How may an adjacent coastal State request an amendment to the 
          operations manual?
150.40 Deviating from the operations manual.
150.45 Emergency deviation from this subchapter or the operations 
          manual.
150.50 What are the requirements for a facility spill response plan?

                          Subpart B_Inspections

150.101 What are the requirements for inspecting deepwater ports?
150.105 What are the requirements for annual self-inspection?
150.110 What are the notification requirements upon receipt of 
          classification society certifications?

                           Subpart C_Personnel

150.200 Who must ensure that port personnel are qualified?
150.205 What are the language requirements for port personnel?
150.210 What are the restrictions on serving in more than one position?
150.250 What training and instruction are required?

                       Subpart D_Vessel Navigation

150.300 What does this subpart do?
150.305 How does this subpart apply to unmanned deepwater ports?
150.310 When is radar surveillance required?
150.320 What advisories are given to tankers?

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150.325 What is the first notice required before a tanker enters the 
          safety zone or area to be avoided?
150.330 What is the second notice required before a tanker enters the 
          safety zone or area to be avoided?
150.340 What are the rules of navigation for tankers in the safety zone 
          or area to be avoided?
150.345 How are support vessels cleared to move within the safety zone 
          or area to be avoided?
150.350 What are the rules of navigation for support vessels in the 
          safety zone or area to be avoided?
150.355 How are other vessels cleared to move within the safety zone?
150.380 Under what circumstances may vessels operate within the safety 
          zone or area to be avoided?
150.385 What is required in an emergency?

                   Subpart E_Cargo Transfer Operations

150.400 What does this subpart do?
150.405 How must a Cargo Transfer System (CTS) be tested and inspected?
150.420 What actions must be taken when cargo transfer equipment is 
          defective?
150.425 What are the requirements for transferring cargo?
150.430 What are the requirements for a declaration of inspection?
150.435 When are cargo transfers not allowed?
150.440 How may the COTP order suspension of cargo transfers?
150.445 When is oil in an SPM-OTS displaced with water?

          Subpart F_Emergency Equipment and Specialty Equipment

150.500 What does this subpart do?

                         Maintenance and Repair

150.501 How must emergency equipment be maintained and repaired?

                     Lifesaving Equipment (General)

150.502 What are the maintenance and repair requirements for lifesaving 
          equipment?

                          Launching Appliances

150.503 What are the time interval requirements for maintenance on 
          survival craft falls?
150.504 When must the operator service and examine lifeboat and rescue 
          boat launching appliances?
150.505 When must the operator service and examine lifeboat and rescue 
          boat release gear?

                    Inflatable Lifesaving Appliances

150.506 When must the operator service inflatable lifesaving appliances 
          and marine evacuation systems?
150.507 How must the operator service inflatable lifesaving appliances?
150.508 What are the maintenance and repair requirements for inflatable 
          rescue boats?

               Operational Tests and Inspections (General)

150.509 How must emergency equipment be tested and inspected?
150.510 How must emergency equipment being tested be operated?
150.511 What are the operational testing requirements for lifeboat and 
          rescue boat release gear?

                   Frequency of Tests and Inspections

150.512 What are the weekly tests and inspections?
150.513 What are the monthly tests and inspections?
150.514 What are the annual tests and inspections?

                             Weight Testing

150.515 What are the requirements for weight-testing of newly installed 
          or relocated craft?
150.516 What are the periodic requirements for weight-testing?
150.517 How are weight tests supervised?

                          Personal Safety Gear

150.518 What are the inspection requirements for work vests and 
          immersion suits?

                  Emergency Lighting and Power Systems

150.519 What are the requirements for emergency lighting and power 
          systems?

                      Fire Extinguishing Equipment

150.520 When must fire extinguishing equipment be tested and inspected?
150.521 What records are required?

                        Miscellaneous Operations

150.530 What may the fire-main system be used for?
150.531 How many fire pumps must be kept ready for use at all times?
150.532 What are the requirements for connection and stowage of fire 
          hoses?
150.540 What are the restrictions on fueling aircraft?
150.550 What are the requirements for the muster list?
150.555 How must cranes be maintained?

[[Page 227]]

                  Subpart G_Workplace Safety and Health

150.600 What does this subpart do?

                       Safety and Health (General)

150.601 What are the requirements for workplace safety and health on a 
          deepwater port?
150.602 What occupational awareness training is required?
150.603 What emergency response training is required?
150.604 Who controls access to medical monitoring and exposure records?
150.605 What are the procedures for reporting a possible workplace 
          safety or health violation at a deepwater port?
150.606 After learning of a possible violation, what does the OCMI do?

                      General Workplace Conditions

150.607 What are the general safe working requirements?

                      Personal Protective Equipment

150.608 Who is responsible for ensuring that personnel use or wear 
          protective equipment and are trained in its use?

                              Eyes and Face

150.609 When is eye and face protection required?
150.610 Where must eyewash equipment be located?

                                  Head

150.611 What head protection is required?

                                  Feet

150.612 What footwear is required?

                      Noise and Hearing Protection

150.613 What are the requirements for a noise monitoring and hearing 
          protection survey?

                                Clothing

150.614 When is protective clothing required?

                               Electrical

150.615 What safe practices are required?

                             Lockout/Tagout

150.616 What are the requirements for lockout?
150.617 What are the requirements for tagout?

                         Respiratory Protection

150.618 What are the requirements for respiratory protection?

                               Fall Arrest

150.619 What are the fall arrest system requirements?

                             Machine Guards

150.620 What are the requirements for protecting personnel from 
          machinery?

                                 Slings

150.621 What are the requirements for slings?

                              Warning Signs

150.622 What are the warning sign requirements?

                          Confined Space Safety

150.623 What are the requirements for protecting personnel from hazards 
          associated with confined spaces?

                          Blood-Borne Pathogens

150.624 What are the requirements for protecting personnel from blood-
          borne pathogens?

                      Hazard Communication Program

150.625 What must the hazard communication program contain?
150.626 What is the hazard communication program used for?
150.627 Must material safety data sheets be available to all personnel?
150.628 How must the operator label, tag, and mark a container of 
          hazardous material?

                      Subpart H_Aids to Navigation

150.700 What does this subpart do?
150.705 What are the requirements for maintaining and inspecting aids to 
          navigation?
150.710 What are the requirements for supplying power to aids to 
          navigation?
150.715 What are the requirements for lights used as aids to navigation?
150.720 What are the requirements for sound signals?

                      Subpart I_Reports and Records

150.800 What does this subpart do?

                                 Reports

150.805 What reports must be sent both to a classification society and 
          to the Coast Guard?
150.810 Reporting a problem with an aid to navigation.
150.815 How must casualties be reported?
150.820 When must a written report of casualty be submitted and what 
          must it contain?
150.825 Reporting a diving-related casualty.

[[Page 228]]

150.830 Reporting a pollution incident.
150.835 Reporting sabotage or a subversive activity.

                                 Records

150.840 What records must be kept?
150.845 Personnel records.
150.850 How long must a declaration of inspection form be kept?

   Subpart J_Safety Zones, No Anchoring Areas, and Areas To Be Avoided

150.900 What does this subpart do?
150.905 Why are safety zones, no anchoring areas, and areas to be 
          avoided established?
150.910 What installations, structures, or activities are prohibited in 
          a safety zone and area to be avoided?
150.915 How are safety zones, no anchoring areas, and areas to be 
          avoided established and modified?
150.920 How is notice given of new or proposed safety zones, no 
          anchoring areas, and areas to be avoided?
150.925 How long may a safety zone, no anchoring area, and area to be 
          avoided last?
150.930 What datum is used for the geographic coordinates in this 
          subpart?
150.940 Safety zones for specific deepwater ports.

    Authority: 33 U.S.C. 1231, 1321(j)(1)(C), (j)(5), (j)(6), (m)(2); 33 
U.S.C. 1509(a); E.O. 12777, sec. 2; E.O. 13286, sec. 34, 68 FR 10619; 
Department of Homeland Security Delegation No. 0170.1(70), (73), (75), 
(80).

    Source: USCG-1998-3884, 69 FR 748, Jan. 6, 2004, unless otherwise 
noted.

    Effective Date Note: By USCG-1998-3884, 69 FR 746, Jan. 6, 2004, 
subchapter NN, consisting of parts 148, 149, and 150, was revised, 
effective Jan. 6, 2004 until Oct. 1, 2006.



                            Subpart A_General



Sec. 150.1  What does this part do?

    This part provides requirements for the operation of deepwater 
ports.



Sec. 150.5  Definitions.

    See Sec. 148.5 of this chapter for the definition of certain terms 
used in this part.



Sec. 150.10  What are the general requirements for operations manuals?

    (a) Each deepwater port must have an operations manual that 
addresses policies and procedures for normal and emergency operations 
conducted at the port. The operations manual must, at a minimum, include 
the requirements outlined in Sec. 150.15.
    (b) The operations manual is reviewed and approved by the Commandant 
(G-M), who may consult with the local OCMI, as meeting the requirements 
of the Act and this subchapter. The original manual is approved as part 
of the application process in part 148 of this chapter.
    (c) The OCMI may approve subsequent changes to the operations 
manual, provided Commandant (G-M) is notified and consulted regarding 
any significant modifications.
    (d) The manual must be readily available on the deepwater port for 
use by personnel.
    (e) The licensee must ensure that all personnel are trained and 
follow the procedures in the manual while at the deepwater port.



Sec. 150.15  What must the operations manual include?

    The operations manual required by Sec. 150.10 must identify the 
deepwater port and include the information required in this section.
    (a) General information. A description of the geographic location of 
the deepwater port.
    (b) A physical description of the port.
    (c) Engineering and construction information, including all defined 
codes and standards used for the port structure and systems. The 
operator must also include schematics of all applicable systems. 
Schematics must show the location of valves, gauges, system working 
pressure, relief settings, monitoring systems, and other pertinent 
information.
    (d) Communications system. A description of a comprehensive 
communications plan, including:
    (1) Dedicated frequencies;
    (2) Communication alerts/notices between deepwater port and arriving 
and departing vessels; and
    (3) Mandatory time intervals (communication schedules) for 
maintaining a live radio watch and monitoring frequencies for 
communication with vessels and aircraft.
    (e) Facility plan. A plan of the layout of the mooring areas, aids 
to navigation, cargo transfer locations, and control stations.

[[Page 229]]

    (f) The hours of operation.
    (g) The size, type, number, and simultaneous operations of tankers 
that the port can handle.
    (h) Calculations, with supporting data or other documentation, to 
show that the charted water depth at each proposed mooring location is 
sufficient to provide at least a net under-keel clearance of 5 feet, at 
the mean low water condition.
    (i) Tanker navigation procedures. The procedures for the navigation 
of tankers, including the information required in paragraphs (i)(1) 
through (i)(9) of this section.
    (1) The operating limits, maneuvering capability, draft, net under-
keel clearance, tonnage and dimensions (i.e., length, width and breadth) 
of the tanker to be accommodated at each designated mooring.
    (2) The speed limits proposed for tankers in the safety zone and 
navigation area to be avoided around the port.
    (3) Any special navigation or communication equipment that may be 
required for operating in the safety zone and area to be avoided.
    (4) The measures for routing vessels, including a description of the 
radar navigation system to be used in operation of the deepwater port:
    (i) Type of radar;
    (ii) Characteristics of the radar;
    (iii) Antenna location;
    (iv) Procedures for surveillance of vessels approaching, departing, 
and transiting the safety zone and navigation area to be avoided;
    (v) Advisories to each tanker underway in the safety zone regarding 
the vessel's position, port conditions, and status of adjacent vessel 
traffic;
    (vi) Notices that must be made, as outlined in Sec. 150.325, by the 
tanker master regarding the vessel's characteristics and status; and
    (vii) Rules for navigating, mooring, and anchoring in a safety zone, 
area to be avoided, and anchorage area.
    (5) Any mooring equipment needed to make up to the SPM.
    (6) The procedures for clearing tankers, support vessels, and other 
vessels and aircraft during emergency and routine conditions.
    (7) Weather limits for tankers, including a detailed description of 
the manner of forecasting the wind, wave, and current conditions for:
    (i) Shutdown of cargo transfer operations;
    (ii) Departure of the tanker from the mooring;
    (iii) Prohibition on mooring at the DWP or SPM; and
    (iv) Shutdown of all port operations and evacuation of the port.
    (8) Any special illumination requirements for vessel arrival, 
discharge, and departure operations.
    (9) Any special watch standing requirements for vessel transiting, 
mooring, or while at anchor.
    (j) Personnel. The duties, title, qualifications, and training of 
all port personnel responsible for managing and carrying out the 
following port activities and functions:
    (1) Vessel traffic management;
    (2) Cargo transfer operations;
    (3) Safety and fire-protection;
    (4) Maintenance and repair operations;
    (5) Emergency procedures; and
    (6) Port security.
    (k) The personnel assigned to supervisory positions must be 
designated, in writing, by the licensee and have the appropriate 
experience and training to satisfactorily perform their duties. 
Commandant (G-M) will review and approve the qualifications for all 
proposed supervisory positions.
    (l) Cargo transfer procedures. The procedures for transferring cargo 
must comply with the applicable requirements of parts 154 and 156 for 
oil and subpart B to part 127 for natural gas, respectively, of this 
chapter including the requirements specified in paragraphs (l)(1) 
through (l)(10) of this section.
    (1) The requirements for oil transfers in accordance with subpart A 
to part 156 of this chapter regarding:
    (i) Pre-transfer conference;
    (ii) Inspection of transfer site and equipment (i.e., hoses, 
connectors, closure devices, monitoring devices, and containment);
    (iii) Connecting and disconnecting of transfer equipment, including 
to a floating hose string for a single-point mooring;

[[Page 230]]

    (iv) Preparation of the Declaration of Inspection (DOI); and
    (v) Supervision by a Person in Charge (PIC).
    (2) The requirements for natural gas transfers in accordance with 
subpart B to part 127 of this chapter regarding:
    (i) Pre-transfer conference;
    (ii) Inspection of transfer site and equipment (i.e., hoses, 
connectors, closure devices, leak monitoring devices, and containment);
    (iii) Connecting and disconnecting of transfer equipment, including 
to a floating hose string for a SPM;
    (iv) Purging of line to test for leaks and in preparation for cool 
down or heat up phases as appropriate;
    (v) Preparation of the Declaration of Inspection (DOI); and
    (vi) Supervision by a port PIC.
    (3) The shipping name of, and Material Safety Data Sheet on, the 
product(s) transferred.
    (4) The duties, title, qualifications, and training of personnel of 
the port designated as the PIC and responsible for managing cargo 
transfers (including ballasting operations if applicable to the port), 
in accordance with subpart D of part 154 for oil and subpart B 
(Operations) of part 127 for natural gas, respectively of this chapter.
    (5) Minimum requirements for watch personnel onboard the vessel 
during transfer operations (i.e., personnel necessary for checking 
mooring gear, monitoring communications and having propulsion/steering 
on standby).
    (6) The start-up and completion of pumping.
    (7) Emergency shutdown.
    (8) The maximum relief valve settings, the maximum available working 
pressure and hydraulic shock to the system without relief valves, or 
both.
    (9) Equipment necessary to discharge cargo to the port complex 
without harm to the environment or to persons involved in the cargo 
transfer, including piping, adapters, bolted flanges and quick 
disconnect coupling.
    (10) Describing the method to be used to water and de-water the SPM 
hoses when required.
    (m) Unusual arrangements that may be applicable, including:
    (1) A list and description of any extraordinary equipment or 
assistance available to vessels with inadequate pumping capacity, small 
cargoes, small diameter piping, or inadequate crane capacity; and
    (2) A description of special storage or delivery arrangements for 
unusual cargoes (i.e., cool down requirements for transfer system 
components prior to transfer of LNG).
    (n) Maintenance procedures. A maintenance program to document 
service and repair of:
    (1) Cargo transfer equipment;
    (2) Firefighting and Fire protection equipment;
    (3) Safety equipment; and
    (4) Cranes.
    (o) Occupational health and safety training procedures. Policy and 
procedures to address occupational health and safety requirements 
outlined in Sec. Sec. 150.600 to 150.632 of this subpart, including:
    (1) Employee training in safety and hazard awareness and proper use 
of personnel protective equipment;
    (2) Physical safety measures in the workplace (i.e., housekeeping 
and illumination of walking and working areas);
    (3) Fall arrest;
    (4) Personnel transfer nets;
    (5) Hazard communication (Right to Know);
    (6) Permissible exposure limits (PEL);
    (7) Machine guarding;
    (8) Electrical safety;
    (9) Lockout/Tagout;
    (10) Crane safety;
    (11) Sling usage;
    (12) Hearing conservation;
    (13) Hot work;
    (14) Warning signs;
    (15) Confined space safety; and
    (16) Initial and periodic training and certification will be 
documented for each port employee and for visitors where appropriate 
(e.g., safety orientation training).
    (p) Emergency procedures. Emergency internal and external 
notification procedures:
    (1) Names and numbers of key port personnel; and
    (2) Names and numbers of law enforcement and response agencies.

[[Page 231]]

    (q) Quantity, type, location, and use of safety and fire-protection 
equipment, including fire plan.
    (r) Aerial operations (helicopter landing pad procedures).
    (s) Port response procedures for:
    (1) Fire;
    (2) Reportable product spill;
    (3) Personnel injury (including confined space rescue); and
    (4) Terrorist activity (see Port Security Plan).
    (t) Designation of and assignment of port personnel to response 
teams for specific contingencies.
    (u) Individual and team training for incident response (in 
accordance with 46 CFR 109.213) as specified in paragraphs (u)(1) 
through (u)(3) of this section.
    (1) Care and use of equipment.
    (2) Emergency drills and response:
    (i) Types;
    (ii) Frequency (at least annually); and
    (iii) Documentation (records, reports and dissemination of ``lessons 
learned'').
    (3) Documentation of minimum training requirements for response team 
members:
    (i) Marine firefighting training;
    (ii) First Aid/CPR;
    (iii) Water survival;
    (iv) Spill response and clean-up;
    (v) Identification of at least one employee trained and certified at 
the level of an Emergency Medical Technician-Basic; and
    (vi) Identification of at least two employees trained and certified 
as offshore competent persons in prevention of inadvertent entry into 
hazardous confined spaces.
    (v) Deepwater port security procedures. A deepwater port security 
plan that addresses security issues, including, but not limited to:
    (1) Controlling access of personnel and the introduction of goods 
and material into the port;
    (2) Monitoring and alerting vessels that approach or enter the 
port's security zone;
    (3) Identifying risks and procedures for increasing the probability 
of detecting and deterring terrorist or subversive activity (such as 
using security lighting and designating restricted areas within the port 
and remotely alarming them, as appropriate);
    (4) Notification requirements (both internally and externally) and 
response requirements in the event of a perceived threat or an attack on 
the port;
    (5) Designating the Port Security Officer, providing positive and 
verifiable identification of personnel with access to the port;
    (6) The training (including drills) required for all personnel 
regarding security issues; and
    (7) The scalability of actions and procedures for the various levels 
of threat. Deepwater port operators should ensure that security plans 
address or are comparable to the key security plan elements provided in 
33 CFR part 106.
    (w) Procedures for any special operations, including:
    (1) Evacuation and re-manning procedures;
    (2) Refueling operations;
    (3) Diving operations;
    (4) Support vessel operations; and
    (5) Providing logistical services.
    (x) Recordkeeping of maintenance procedures, tests, and emergency 
drills outlined elsewhere in the operations manual.
    (y) Environmental monitoring procedures. A program for monitoring 
the environmental effects of the port and its operations in order to 
maintain compliance with the environmental conditions in the license and 
applicable environmental laws.
    (1) Routine periodic re-examination of the physical, chemical, and 
biological factors contained in the port's environmental impact analysis 
and baseline study submitted with the license application. The 
examination process must include water and air monitoring in accordance 
with appropriate Federal and State statutes.
    (2) A more detailed study may be required in the wake of an event 
such as an inadvertent release.



Sec. 150.20  How many copies of the operations manual must be given 
to the Coast Guard?

    The draft operations manual will be included as part of the 
application submission. After a license has been issued and approval of 
the final operations manual is granted, the licensee must

[[Page 232]]

give the Commandant (G-M) at least five copies and five copies of each 
subsequent amendment to the manual.



Sec. 150.25  Amending the operations manual.

    (a) Whenever the cognizant COTP finds that the operations manual 
does not meet the requirements of this part, the COTP notifies the 
licensee, in writing, of the inadequacies in the manual.
    (b) Within 45 days after the notice under paragraph (a) of this 
section is sent, the licensee must submit written proposed amendments to 
eliminate the inadequacies.
    (c) The cognizant COTP reviews the amendments and makes a 
determination as to the adequacy of the amendments and notifies the 
licensee of the determination.
    (d) If the COTP decides that an amendment is necessary, the 
amendment goes into effect 60 days after the COTP notifies the licensee 
of the amendment.
    (e) The licensee may petition the Commandant (G-M), via the 
appropriate district office, to review the decision of the COTP. In this 
case, the effective date of the amendment is delayed pending the 
Commandant's decision. Petitions must be made (in writing) and presented 
to the COTP for forwarding to the Commandant (G-M).
    (f) If the COTP finds that a particular situation requires immediate 
action to prevent a spill or discharge, or to protect the safety of life 
and property, the COTP may issue an amendment effective on the date that 
the licensee receives it. The COTP must include a brief statement of the 
reasons for the immediate amendment. The licensee may petition the 
District Commander for review, but the petition does not delay the 
effective date of the amendment.



Sec. 150.30  Proposing an amendment to the operations manual.

    (a) The licensee may propose an amendment to the operations manual:
    (1) By submitting (in writing) the amendment and reasons for the 
amendments to the COTP not less than 30 days before the requested 
effective date of the amendment; or
    (2) If the amendment is needed immediately, by submitting the 
amendment, and reasons why the amendment is needed immediately, to the 
COTP in writing.
    (b) The COTP responds to a proposed amendment by notifying the 
licensee, in writing, before the requested date of the amendment whether 
the request is approved. If the request is disapproved, the COTP 
includes the reasons for disapproval in the notice. If the request is 
for an immediate amendment, the COTP responds as soon as possible.



Sec. 150.35  How may an adjacent coastal State request an amendment to 
the operations manual?

    (a) An adjacent coastal State connected by pipeline to the deepwater 
port may petition the cognizant COTP to amend the operations manual. The 
petition must include sufficient information to allow the COTP to reach 
a decision concerning the proposed amendment.
    (b) After the COTP receives a petition, the COTP requests comments 
from the licensee.
    (c) After reviewing the petition and comments, and considering the 
costs and benefits involved, the COTP may approve the petition if the 
proposed amendment will provide equivalent or improved protection and 
safety. The adjacent coastal State may petition the Commandant (G-M) to 
review the decision of the COTP. Petitions must be made in writing and 
presented to the COTP for forwarding to the Commandant (G-M) via the 
District Commander.



Sec. 150.40  Deviating from the operations manual.

    If, because of a particular situation, the licensee needs to deviate 
from the operations manual, the licensee must submit a written request 
to the COTP explaining why the deviation is necessary and what 
alternative is proposed. If the COTP determines that the deviation would 
ensure equivalent or greater protection and safety, the COTP authorizes 
the deviation and notifies the licensee in writing.

[[Page 233]]



Sec. 150.45  Emergency deviation from this subchapter or the operations 
manual.

    In an emergency, any person may deviate from any requirement in this 
subchapter, or any procedure in the operations manual, to ensure the 
safety of life, property, or the environment. Each deviation must be 
reported to the COTP at the earliest possible time.



Sec. 150.50  What are the requirements for a facility spill response plan?

    (a) Each deepwater port, which meets the applicability requirements 
of part 154, subpart F, of this chapter must have a Facility Response 
Plan and be approved by the COTP.
    (b) Each natural gas deepwater port must have a natural gas facility 
emergency plan that meets part 127, subpart B of this chapter.
    (c) The response plan must be submitted to the COTP, in writing, not 
less than 60 days before the deepwater port begins operation.



                          Subpart B_Inspections



Sec. 150.100  What are the requirements for inspecting deepwater ports?

    Under the direction of the OCMI, marine inspectors may inspect 
deepwater ports to determine whether the requirements of this subchapter 
are met. A marine inspector may conduct an inspection, with or without 
advance notice, at any time the COTP deems necessary, and may coincide 
with receipt of the annual self-inspection report from the operator to 
ensure stated conditions are accurate.



Sec. 150.105  What are the requirements for annual self-inspection?

    (a) The owner or operator of each manned deepwater port must ensure 
that the port is inspected, at intervals of no more than 12 months, to 
determine whether the facility is in compliance with the requirements of 
this subchapter. The inspection may be conducted within 2 months after 
the date the inspection is due. However, the inspection is credited as 
of 12 months after the previous due date.
    (b) The owner or operator must record and submit the results of the 
annual self-inspection to the COTP within 30 days after completion of 
the inspection. The report must include a description of any failure and 
scope of repairs made to components or equipment, in accordance with the 
requirements in Subpart I to this part, other than the primary 
lifesaving or firefighting or transfer equipment.



Sec. 150.110  What are the notification requirements upon receipt of 
classification society certifications?

    The licensee must notify the COTP, in writing, upon receipt of a 
classification society certification, interim class certificate, or SPM 
classification certificate.



                           Subpart C_Personnel



Sec. 150.200  Who must ensure that port personnel are qualified?

    The licensee must ensure that the individual filling a position 
meets the qualifications for that position as outlined in the operations 
manual.



Sec. 150.205  What are the language requirements for port personnel?

    Only persons who read, write, and speak English may occupy the 
essential management positions outlined in the operations manual.



Sec. 150.210  What are the restrictions on serving in more than one 
position?

    No person may serve in more than one of the essential management 
positions outlined in the operations manual at any one time.



Sec. 150.225  What training and instruction are required?

    Personnel must receive training and instruction commensurate with 
the position they hold. Procedures for documenting employee training 
must be outlined in the operations manual.



                       Subpart D_Vessel Navigation



Sec. 150.300  What does this subpart do?

    This subpart supplements the international navigation rules in 
subchapter D of this chapter, and prescribes requirements that:
    (a) Apply to the navigation of all vessels at or near a deepwater 
port; and

[[Page 234]]

    (b) Apply to all vessels while in a safety zone, area to be avoided, 
or no anchoring area.



Sec. 150.305  How does this subpart apply to unmanned deepwater ports?

    The master of any tanker calling at an unmanned deepwater port is 
responsible for the safe navigation of the vessel to and from the port 
and for the required notifications in Sec. 150.325. Once the tanker is 
connected to the unmanned deepwater port, the master must maintain radar 
surveillance in compliance with the requirements of Sec. 150.310.



Sec. 150.310  When is radar surveillance required?

    A manned deepwater port's person in charge of vessel operations must 
maintain radar surveillance of the safety zone or area to be avoided 
when:
    (a) A tanker is proceeding to the safety zone after submitting the 
report required in Sec. 150.325;
    (b) A tanker or support vessel is underway in the safety zone or 
area to be avoided;
    (c) A vessel other than a tanker or support vessel is about to enter 
or is underway in the safety zone or area to be avoided; or
    (d) As described in the port security plan.



Sec. 150.320  What advisories are given to tankers?

    A manned deepwater port's person in charge of vessel operations must 
advise the master of each tanker underway in the safety zone or area to 
be avoided of the following:
    (a) At intervals not exceeding 10 minutes, the vessel's position by 
range and bearing from the pumping platform complex; and
    (b) The position and the estimated course and speed, if moving, of 
all other vessels that may interfere with the movement of the tanker 
within the safety zone or area to be avoided.



Sec. 150.325  What is the first notice required before a tanker enters 
the safety zone or area to be avoided?

    (a) The owner, master, agent, or person in charge of a tanker bound 
for a manned deepwater port must comply with the notice of arrival (NOA) 
requirements in subpart C of part 160 of this chapter. The NOA will be 
submitted to the National Vessel Movement Center (NVMC) that was 
established in October 2001 to track arrival information from vessels 
entering U.S. waters.
    (b) The owner, master, agent, or person in charge of a tanker bound 
for a manned deepwater port must report the pertinent information 
required in Sec. 150.15(i)(4)(vi) for the vessel including:
    (1) The name, gross tonnage, and draft of the tanker;
    (2) The type and amount of cargo in the tanker;
    (3) The location of the tanker at the time of the report;
    (4) Any conditions on the tanker that may impair its navigation, 
such as fire or malfunctioning propulsion, steering, navigational, or 
radiotelephone equipment. The testing requirements in Sec. 164.25 of 
this chapter are applicable to vessels arriving at a deepwater port;
    (5) Any leaks, structural damage, or machinery malfunctions that may 
impair cargo transfer operations or cause a product discharge; and
    (6) The operational condition of the equipment listed under Sec. 
164.35 of this chapter on the tanker.
    (c) If the estimated time of arrival changes by more than 6 hours 
from the last reported time, the NVMC and the port's person in charge of 
vessel operations must be notified of the correction as soon as the 
change is known.
    (d) If the information reported in paragraphs (b)(4) or (b)(5) of 
this section changes at any time before the tanker enters the safety 
zone or area to be avoided at the deepwater port, or while the tanker is 
in the safety zone or area to be avoided, the master of the tanker must 
report the changes to the NVMC and port's person in charge of vessel 
operations as soon as possible.



Sec. 150.330  What is the second notice required before a tanker enters 
the safety zone or area to be avoided?

    When a tanker bound for a manned deepwater port is 20 miles from 
entering the port's safety zone or area to be avoided, the master of the 
tanker must notify the port's person in charge of

[[Page 235]]

vessel operations of the tanker's name and location.



Sec. 150.340  What are the rules of navigation for tankers in the safety 
zone or area to be avoided?

    (a) A tanker must enter or depart the port's safety zone or area to 
be avoided in accordance with the navigation procedures in the port's 
approved operations manual as described in Sec. 150.15(i).
    (b) A tanker must not anchor in the safety zone or area to be 
avoided, except in a designated anchorage area.
    (c) A tanker may not enter a safety zone or area to be avoided in 
which another tanker is present, unless it has been cleared by the 
person in charge of the port and no other tankers are underway.
    (d) A tanker must not operate, anchor, or moor in any area of the 
safety zone or area to be avoided in which the net under-keel clearance 
would be less than 5 feet.



Sec. 150.345  How are support vessels cleared to move within the safety 
zone or area to be avoided?

    All movements of support vessels within a manned deepwater port's 
safety zone or area to be avoided must be cleared in advance by the 
port's person in charge of vessel operations.



Sec. 150.350  What are the rules of navigation for support vessels in 
the safety zone or area to be avoided?

    A support vessel must not anchor in the safety zone or area to be 
avoided, except:
    (a) In an anchorage area; or
    (b) For vessel maintenance, which, in the case of a manned deepwater 
port, must be cleared by the port's person in charge of vessel 
operations.



Sec. 150.355  How are other vessels cleared to move within the safety 
zone?

    (a) Clearance by a manned deepwater port's person in charge of 
vessel operations is required before a vessel, other than a tanker or 
support vessel, enters the safety zone.
    (b) The port's person in charge of vessel operations may clear a 
vessel under paragraph (a) of this section only if its entry into the 
safety zone would not:
    (1) Interfere with the purpose of the deepwater port;
    (2) Endanger the safety of life or property or the environment; or
    (3) Be prohibited by regulation.
    (c) At an unmanned deepwater port, such as a submerged turret 
landing (STL) system, paragraphs (a) and (b) of this section would apply 
once a tanker connects to the STL buoy.



Sec. 150.380  Under what circumstances may vessels operate within the 
safety zone or area to be avoided?

    (a) Table 150.380(a) of this section lists the areas within a safety 
zone and area to be avoided where a vessel may operate and the clearance 
needed for that location.

[[Page 236]]

[GRAPHIC] [TIFF OMITTED] TR06JA04.010

    (b) If the activity is not listed in table 150.380(a) of this 
section, or is not otherwise provided for in this subpart, the COTP's 
permission is required first.



Sec. 150.385  What is required in an emergency?

    In an emergency, for the protection of life or property, a vessel 
may deviate from a vessel movement requirement in this subpart without 
clearance from a manned deepwater port's person in charge of vessel 
operations if the master advises the port PIC of the reasons for the 
deviation at the earliest possible moment.



                   Subpart E_Cargo Transfer Operations



Sec. 150.400  What does this subpart do?

    This subpart prescribes rules that apply to the transfer of oil or 
natural gas at a deepwater port.



Sec. 150.405  How must a Cargo Transfer System (CTS) be tested and 
inspected?

    (a) No person may transfer oil or natural gas through a CTS at a 
deepwater port unless it has been inspected and tested according to this 
section.
    (b) The SPM-CTS must be maintained as required by the design 
standards used to comply with Sec. 149.650 of this chapter.
    (c) If the manufacturer's maximum pressure rating for any cargo 
transfer hose in a SPM-CTS has been exceeded

[[Page 237]]

(unless it was exceeded for testing required by this section), the hose 
must be:
    (1) Removed;
    (2) Hydrostatically tested to 1.5 times its maximum working pressure 
for oil or 1.1 times its maximum working pressure for natural gas; and
    (3) Visually examined externally and internally for evidence of:
    (i) Leakage;
    (ii) Loose covers;
    (iii) Kinks;
    (iv) Bulges;
    (v) Soft spots; and
    (vi) Gouges, cuts, or slashes that penetrate the hose reinforcement.
    (d) Each submarine hose used in cargo transfer operations in a SPM-
CTS must have been removed from its coupling, surfaced, and examined as 
described in paragraphs (c)(2) and (c)(3) of this section within the 
preceding 2 years for oil or 15 months for natural gas; and
    (e) Before resuming cargo transfer operations, each submarine hose 
in a SPM-CTS must be visually examined in place as described in 
paragraph (c)(3) of this section after cargo transfer operations are 
shut down due to sea conditions at the deepwater port.



Sec. 150.420  What actions must be taken when cargo transfer equipment 
is defective?

    When any piece of equipment involved in cargo transfer operations 
(oil or natural gas) is defective:
    (a) The piece of equipment must be replaced or repaired before 
making any further cargo transfers; and
    (b) The repaired or replaced piece must meet or exceed its original 
specifications. Repairs must be conducted in accordance with the port-
specific maintenance program outlined in the operations manual, and that 
program must provide for the repair of natural gas transfer hoses in 
accordance with Sec. 127.405 of this chapter.



Sec. 150.425  What are the requirements for transferring cargo?

    Cargo transfer procedures must be outlined in the port operations 
manual and must provide:
    (a) Oil transfer procedures that accord with Sec. 156.120 of this 
chapter; and
    (b) Natural gas transfer procedures that accord with Sec. Sec. 
127.315, 127.317 and 127.319 of this chapter.



Sec. 150.430  What are the requirements for a declaration of inspection?

    (a) No person may transfer cargo from a tanker to a manned deepwater 
port unless a declaration of inspection complying with Sec. 156.150(c) 
(for oil) or Sec. 127.317 (for natural gas) of this chapter has been 
filled out and signed by the vessel's officer in charge of cargo 
transfer and the person in charge of cargo transfer for the deepwater 
port.
    (b) Before signing a declaration of inspection, the vessel's officer 
in charge of cargo transfer must inspect the tanker; the person in 
charge of cargo transfer for the deepwater port must inspect the 
deepwater port. They must indicate, by initialing each item on the 
declaration of inspection form, that the tanker and deepwater port 
comply with Sec. 156.150 (for oil) or Sec. 127.317 (for natural gas) 
of this chapter.



Sec. 150.435  When are cargo transfers not allowed?

    No person may transfer cargo at a deepwater port:
    (a) When the person in charge of cargo transfer is not on duty at 
the port;
    (b) During an electrical storm in the port's vicinity;
    (c) During a fire at the port, at the onshore receiving terminal, or 
aboard a vessel berthed at the port, unless the person in charge of 
cargo transfer determines that a cargo transfer should be resumed as a 
safety measure;
    (d) When a leak develops of a sufficient quantity for product to 
accumulate in the cargo containment underneath the manifold or piping;
    (e) When there are not enough personnel and equipment at the port 
dedicated to contain and remove the discharges or perform the emergency 
response functions as required in the port's response plan under part 
154 (for oil), or emergency plan under part 127 (for natural gas) of 
this chapter;
    (f) Whenever the emergency shutdown system should have activated but 
failed to do;

[[Page 238]]

    (g) By lighterage, except in bunkering operations, unless otherwise 
authorized by the COTP;
    (h) When the weather at the port does not meet the minimum operating 
conditions for cargo transfers as defined in the port's operations 
manual; or
    (i) When prescribed by the Port Security Plan under heightened 
security conditions at the port or its adjacent areas, or on vessels 
calling on or serving the port.



Sec. 150.440  How may the COTP order suspension of cargo transfers?

    (a) In case of emergency, the COTP may order the suspension of cargo 
transfers at a port to prevent the discharge, or threat of discharge, of 
oil or natural gas or to protect the safety of life and property.
    (b) An order of suspension may be made effective immediately.
    (c) The order of suspension must state the reasons for the 
suspension.
    (d) The licensee may petition the District Commander, in writing, or 
by any means if the suspension is effective immediately, to reconsider 
the order of suspension. The decision of the District Commander is 
considered final agency action.



Sec. 150.445  When is oil in an SPM-OTS displaced with water?

    (a) The Port Superintendent must ensure that the oil in an SPM-OTS 
is displaced with water and that the valve at the pipeline end manifold 
is closed whenever:
    (1) A storm warning is received forecasting weather conditions that 
will exceed the design operating criteria listed in the operations 
manual for the SPM-OTS;
    (2) A vessel is about to depart the SPM because of storm conditions; 
or
    (3) The SPM is not scheduled for use in an oil transfer operation 
within the next 7 days.
    (b) The Port Engineer will not be required to perform this 
requirement, provided it can be demonstrated to the OCMI, that a 
satisfactory alternative means of safely securing all cargo transfer 
hoses can be implemented in the event of severe weather conditions.



               Subpart F_Emergency and Specialty Equipment



Sec. 150.500  What does this subpart do?

    This subpart concerns requirements for maintenance, repair, and 
operational testing of emergency and specialty equipment at a deepwater 
port.

                         Maintenance and Repair



Sec. 150.501  How must emergency equipment be maintained and repaired?

    All lifesaving, firefighting, and other emergency equipment at a 
deepwater port, including additional equipment not required to be 
onboard the deepwater port, must be maintained in good working order and 
repaired according to the port's planned maintenance program and the 
requirements outlined in this subpart.

                     Lifesaving Equipment (General)



Sec. 150.502  What are the maintenance and repair requirements for 
lifesaving equipment?

    (a) Each deepwater port must have onboard, or in the operator's 
principal office in the case of an unmanned port, the manufacturer's 
instructions for performing onboard maintenance and repair of the port's 
lifesaving equipment. The instructions must include the following for 
each item of equipment, as applicable:
    (1) Instructions for maintenance and repair;
    (2) A checklist for use when carrying out the monthly inspections 
required under Sec. 150.513;
    (3) A schedule of periodic maintenance;
    (4) A diagram of lubrication points with the recommended lubricants;
    (5) A list of replaceable parts;
    (6) A list of sources of spare parts; and
    (7) A log for records of inspections and maintenance.
    (b) In lieu of the manufacturer's instructions required under 
paragraph (a) of this section, the deepwater port may have its own 
onboard planned maintenance program for maintenance and repair that is 
equivalent to the procedures recommended by the equipment manufacturer.

[[Page 239]]

    (c) The deepwater port must have designated a person in charge of 
ensuring that maintenance and repair is carried out in accordance with 
the instructions required in paragraph (a) of this section.
    (d) If deficiencies in the maintenance or condition of lifesaving 
equipment are identified, the OCMI may review the instructions under 
paragraph (a) of this section and require appropriate changes to the 
instructions or operations to provide for adequate maintenance and 
readiness of the equipment.
    (e) When lifeboats, rescue boats, and liferafts are not fully 
operational because of ongoing maintenance or repairs, there must be a 
sufficient number of fully operational lifeboats and liferafts available 
for use to accommodate all persons on the deepwater port.
    (f) Except in an emergency, repairs or alterations affecting the 
performance of lifesaving equipment must not be made without notifying 
the OCMI in advance. The person in charge must report emergency repairs 
or alterations to lifesaving equipment to the OCMI, as soon as 
practicable.
    (g) The person in charge must ensure that spare parts and repair 
equipment are provided for each lifesaving appliance and component 
subject to excessive wear or consumption.

                          Launching Appliances



Sec. 150.503  What are the time interval requirements for maintenance 
on survival craft falls?

    (a) Each fall used in a launching device for survival craft or 
rescue boats must be turned end-for-end at intervals of not more than 30 
months.
    (b) Each fall must be replaced by a new fall when deteriorated or at 
intervals of not more than 5 years, whichever is earlier.
    (c) A fall that cannot be turned end-for-end under paragraph (a) of 
this section must be carefully inspected between 24 and 30 months after 
its installation. If the inspection shows that the fall is faultless, 
the fall may be continued in service up to 4 years after its 
installation. It must be replaced by a new fall 4 years after 
installation.



Sec. 150.504  When must the operator service and examine lifeboat and 
rescue boat launching appliances?

    (a) The operator must service launching appliances for lifeboats and 
rescue boats at intervals recommended in the manufacturer's instructions 
under Sec. 150.502(a), or deepwater port's planned maintenance program 
under Sec. 150.502(b).
    (b) The operator must thoroughly examine launching appliances for 
lifeboats and rescue boats at intervals not to exceed 5 years. Upon 
completion of the examination, the operator must subject the winch 
brakes of the launching appliance to a dynamic test.



Sec. 150.505  When must the operator service and examine lifeboat and 
rescue boat release gear?

    (a) The operator must service lifeboat and rescue boat release gear 
at intervals recommended in the manufacturer's instructions under Sec. 
150.502(a), or deepwater port's planned maintenance program under Sec. 
150.502(b).
    (b) The operator must subject lifeboat and rescue boat release gear 
to a thorough examination at each inspection for certification by 
personnel trained in examining the gear.

                    Inflatable Lifesaving Appliances



Sec. 150.506  When must the operator service inflatable lifesaving 
appliances and marine evacuation systems?

    (a) The operator must service each inflatable lifejacket, hybrid 
inflatable lifejacket, and marine evacuation system at intervals of 1-
year after its initial packing. The operator may delay the servicing up 
to 5 months to meet the next scheduled inspection of the deepwater port.
    (b) The operator must service each inflatable liferaft no later than 
the month and year on its servicing sticker under 46 CFR 160.151-
57(m)(3)(ii), except that the operator may delay servicing up to 5 
months to meet the next scheduled inspection of the deepwater port. The 
operator must also service each inflatable liferaft:
    (1) Whenever the container of the raft is damaged; or
    (2) Whenever the container straps or seals are broken.

[[Page 240]]



Sec. 150.507  How must the operator service inflatable lifesaving 
appliances?

    (a) The operator must service each inflatable life raft according to 
46 CFR part 160, subpart 160.151.
    (b) The operator must service each inflatable lifejacket according 
to 46 CFR part 160, subpart 160.176.
    (c) The operator must service each hybrid inflatable lifejacket 
according to the owner's manual and the procedures in 46 CFR part 160, 
subpart 160.077.



Sec. 150.508  What are the maintenance and repair requirements for 
inflatable rescue boats?

    The operator must perform the maintenance and repair of inflatable 
rescue boats according to the manufacturer's instructions.

               Operational Tests and Inspections (General)



Sec. 150.509  How must emergency equipment be tested and inspected?

    All lifesaving, firefighting, and other emergency equipment at a 
deepwater port must be tested and inspected per this subpart.



Sec. 150.510  How must emergency equipment being tested be operated?

    The equipment must be operated under the operating instructions of 
the equipment's manufacturer when tests or inspections include 
operational testing of emergency equipment.



Sec. 150.511  What are the operational testing requirements for 
lifeboat and rescue boat release gear?

    (a) Lifeboat and rescue boat release gear must be operationally 
tested under a load of 1.1 times the total mass of the lifeboat or 
rescue boat when loaded with its full complement of persons and 
equipment.
    (b) The test must be conducted whenever the lifeboat, rescue boat, 
or their release gear is overhauled or at least once every 5 years.
    (c) The OCMI may consider alternate operational test procedures to 
those under paragraph (a) of this section.

                   Frequency of Tests and Inspections



Sec. 150.512  What are the weekly tests and inspections?

    The required weekly tests and inspections of lifesaving equipment 
are as follows:
    (a) The operator must visually inspect each survival craft, rescue 
boat, and launching device to ensure its readiness for use;
    (b) The operator must test the general alarm system; and
    (c) The operator must test for readiness of the engine, starting 
device, and communications equipment of each lifeboat and rescue boat 
according to the manufacturer's instructions.



Sec. 150.513  What are the monthly tests and inspections?

    (a) The operator must inspect monthly each item of lifesaving 
equipment under Sec. 150.502(b) to this subpart, to ensure that the 
equipment is complete and in good order. The operator must keep on the 
deepwater port (or in the operator's principal office, in the case of an 
unmanned deepwater port) a report of the inspection that includes a 
statement as to the condition of the equipment, and make the report 
available for review by the Coast Guard.
    (b) The operator must test monthly each Emergency Position 
Indicating Radio Beacon (EPIRB) and each Search and Rescue Transponder 
(SART), other than an EPIRB or SART in an inflatable liferaft. The 
operator must test the EPIRB using the integrated test circuit and 
output indicator to determine whether the EPIRB is operational.



Sec. 150.514  What are the annual tests and inspections?

    At least annually the operator must:
    (a) Strip, clean, thoroughly inspect, and, if needed, repair each 
lifeboat, rescue boat, and liferaft. At that time, the operator must 
empty, clean, and refill with fresh fuel each fuel tank;
    (b) Thoroughly inspect and, if needed, repair each davit, winch, 
fall, and other launching device;
    (c) Check each item of lifesaving equipment and replace any item 
that is marked with an expiration date that has passed;

[[Page 241]]

    (d) Check each battery used in an item of lifesaving equipment and 
replace any battery that is marked with an expiration date that has 
passed; and
    (e) Replace any battery that is not marked with an expiration date 
if that battery is used in an item of lifesaving equipment, except for a 
storage battery used in a lifeboat or rescue boat.
    (f) The requirements in this section do not relieve the person in 
charge of the requirement to keep the equipment ready for immediate use.

                             Weight-Testing



Sec. 150.515  What are the requirements for weight-testing of newly 
installed or relocated craft?

    (a) The operator must perform installation weight-testing according 
to 46 CFR 199.45(a)(1) on each new lifeboat, rescue boat, and davit-
launched liferaft system.
    (b) The operator must conduct installation weight-tests, according 
to paragraph (a) of this section, when survival crafts are relocated to 
another deepwater port.



Sec. 150.516  What are the periodic requirements for weight-testing?

    The operator must weight-test, according to 46 CFR 199.45(a)(1), 
each lifeboat, davit-launched liferaft, and rescue boat every time a 
fall is replaced or turned end-for-end.



Sec. 150.517  How are weight tests supervised?

    (a) The installation and periodic tests required by 150.515 and 
150.516 of this subpart must be supervised by a person familiar with 
lifeboats, davit-launched liferafts, rescue boats, and with the test 
procedures under those sections.
    (b) The person supervising the tests must attest, in writing, that 
the tests have been performed according to Coast Guard regulations. The 
operator must keep a copy of the supervisor's attesting statement 
onboard the deepwater port (or in the operator's principal office, in 
the case of an unmanned deepwater port) and make it available to the 
OCMI.

                          Personal Safety Gear



Sec. 150.518  What are the inspection requirements for work vests and 
immersion suits?

    (a) All work vests and immersion suits must be inspected by the 
owner or operator pursuant to Sec. 150.105 of this part, to determine 
whether they are in serviceable condition.
    (b) If a work vest or immersion suit is inspected and is in 
serviceable condition, then it may be continued in service. If not, then 
it must be removed from the deepwater port.

                  Emergency Lighting and Power Systems



Sec. 150.519  What are the requirements for emergency lighting and power 
systems?

    (a) The operator must test and inspect the emergency lighting and 
power systems at least once each week to determine if they are in proper 
operating condition. If they are not in proper operating condition, then 
the operator must repair or replace their defective parts.
    (b) The operator must test under load each emergency generator 
driven by an internal combustion engine that is used for an emergency 
lighting and power system at least once in each month for a minimum of 2 
hours.
    (c) The operator must test each storage battery for the emergency 
lighting and power systems, at least once in each 6 months, to 
demonstrate the ability of the batteries to supply the emergency loads 
for an 8-hour period. The operator must follow the manufacturer's 
instructions in performing the battery test to ensure the batteries are 
not damaged during testing.

                      Fire Extinguishing Equipment



Sec. 150.520  When must fire extinguishing equipment be tested and 
inspected?

    The operations manual must specify how and when the operator will 
test and inspect each hand-portable fire extinguisher, semi-portable 
fire extinguisher, and fixed fire-extinguishing system. These 
specifications must accord with 46 CFR 31.10-18.

[[Page 242]]



Sec. 150.521  What records are required?

    (a) The operator must maintain a record of each test and inspection 
under Sec. 150.520 on the deepwater port (or in the operator's 
principal office, in the case of an unmanned deepwater port) for at 
least 2 years.
    (b) The record must show:
    (1) The date of each test and inspection;
    (2) The number or other identification of each fire extinguisher or 
system tested or inspected; and
    (3) The name of the person who conducted the test or inspection and 
the name of the company that person represents.

                        Miscellaneous Operations



Sec. 150.530  What may the fire-main system be used for?

    The fire-main system may be used only for firefighting and for deck 
washing, unless it is capable of being isolated and can provide the 
applicable minimum pressures required outlined in Sec. 149.416 of this 
chapter.



Sec. 150.531  How many fire pumps must be kept ready for use at all times?

    At least one of the fire pumps required by this subchapter must be 
kept ready for use at all times.



Sec. 150.532  What are the requirements for connection and stowage of 
fire hoses?

    (a) At least one length of fire-hose, with a combination nozzle, 
must be connected to each fire hydrant at all times. If in a location 
exposed to the weather, the fire-hose may be removed from the hydrant 
during freezing weather.
    (b) When not in use, fire-hose connected to a fire hydrant must be 
stowed on a hose rack.
    (c) The hydrant nearest the edge of a deck must have enough lengths 
of fire-hose connected to it to allow 10 feet of hose, when pressurized, 
to curve over the edge.



Sec. 150.540  What are the restrictions on fueling aircraft?

    If the deepwater port is not equipped with a permanent fueling 
facility, the COTP's approval is necessary before aircraft may be fueled 
at the port.



Sec. 150.550  What are the requirements for the muster list?

    (a) A muster list must be posted on each pumping platform complex.
    (b) The muster list must:
    (1) List the name and title of each person, in order of succession, 
who is the person in charge of the pumping platform complex for purposes 
of supervision during an emergency;
    (2) List the special duties and duty stations for each person on the 
pumping platform complex in the event of an emergency that requires the 
use of equipment covered by part 149 of this chapter; and
    (3) Identify the signals for calling persons to their emergency 
stations and for abandoning the pumping platform complex.



Sec. 150.555  How must cranes be maintained?

    Cranes must be operated, maintained, and tested in accordance with 
subpart F to 46 CFR part 109.



                  Subpart G_Workplace Safety and Health



Sec. 150.600  What does this subpart do?

    This subpart concerns requirements for workplace safety and health 
on a deepwater port.

                       Safety and Health (General)



Sec. 150.601  What are the requirements for workplace safety and 
health on a deepwater port?

    (a) Each operator of a deepwater port must ensure compliance, on 
that port, with the requirements of this subpart, and must ensure that 
all places of employment within the port are:
    (1) Maintained in compliance with workplace safety and health 
regulations of this subpart; and
    (2) Free from recognized hazardous conditions.
    (b) Persons responsible for actual operations, including owners, 
operators, contractors, and subcontractors must ensure that those 
operations subject to their control are:

[[Page 243]]

    (1) Conducted in compliance with workplace safety and health 
regulations of this subpart; and
    (2) Free from recognized hazardous conditions.
    (c) The term ``recognized hazardous conditions,'' as used in this 
subpart, means conditions that 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. 150.602  What occupational awareness training is required?

    (a) Each deepwater port operator must ensure that all port personnel 
are provided with information and training on recognized hazardous 
conditions in their workplace, including, but not limited to, 
electrical, mechanical, and chemical hazards. Specific required training 
topics are outlined in Sec. 150.15(u).
    (b) As an alternative to compliance with the specific provisions of 
this subpart, an operator may provide, for workplace safety and health, 
the implementation of an approved, port-specific safety and 
environmental management program (SEMP). Operators should consult with 
the Commandant (G-M) in preparing a SEMP. Five copies of a proposed SEMP 
must be submitted to the Commandant for evaluation. The Commandant may 
consult with the local OCMI, and will approve the SEMP if he or she 
finds that the SEMP provides at least as much protection of workplace 
safety and health as do the specific provisions of this subpart.



Sec. 150.603  What emergency response training is required?

    The requirements for emergency response training must be outlined in 
the port operations manual.



Sec. 150.604  Who controls access to medical monitoring and exposure 
records?

    If medical monitoring is performed or exposure records are 
maintained by an employer, the owner, operator, or person in charge must 
establish procedures for access to these records by personnel.



Sec. 150.605  What are the procedures for reporting a possible workplace 
safety or health violation at a deepwater port?

    Any person may notify the OCMI verbally or in writing of:
    (a) A possible violation of a regulation in this part; or
    (b) A hazardous or unsafe working condition on any deepwater port.



Sec. 150.606  After learning of a possible violation, what does the 
OCMI do?

    After reviewing the information received under Sec. 150.605 to this 
part and conducting any necessary investigation, the OCMI notifies the 
owner or operator of any deficiency or hazard and initiates enforcement 
measures as the circumstances warrant. The identity of any person making 
a report of a violation will remain confidential, except to the extent 
necessary for the performance of official duties or as agreed to by the 
person.

                      General Workplace Conditions



Sec. 150.607  What are the general safe working requirements?

    (a) All equipment, including machinery, cranes, derricks, portable 
power tools, and most importantly safety gear must be used in a safe 
manner and in accordance with the manufacturer's recommended practice, 
unless otherwise stated in this subchapter.
    (b) All machinery and equipment must be maintained in proper working 
order or removed.

                      Personal Protective Equipment



Sec. 150.608  Who is responsible for ensuring that personnel use or 
wear protective equipment and are trained in its use?

    (a) Each deepwater port operator must ensure that all personnel who 
are required by this subpart to use or wear personal protective 
equipment do so when within designated work areas at the port.
    (b) Each deepwater port operator must ensure that:
    (1) All personnel engaged in the operation are trained in the proper 
use,

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limitations, and maintenance of the personal protective equipment 
specified by this subpart;
    (2) The equipment is maintained and used or worn as required by this 
subpart; and
    (3) The equipment is made available and on hand for all personnel 
engaged in the operation.

                              Eyes and Face



Sec. 150.609  When is eye and face protection required?

    The operator must provide eye and face protectors for the use of 
persons engaged in or observing activities where damage to the eye is 
possible, such as welding, grinding, machining, chipping, handling 
hazardous materials, or acetylene burning or cutting. These eye and face 
protectors must be:
    (a) Properly marked and in compliance with the requirements of 29 
CFR 1910.133; and
    (b) Maintained in good condition or replaced when necessary.



Sec. 150.610  Where must eyewash equipment be located?

    Portable or fixed eyewash equipment providing emergency relief must 
be immediately available near any area where there is a reasonable 
probability that eye injury may occur.

                                  Head



Sec. 150.611  What head protection is required?

    The deepwater port operator must ensure that where there is a 
reasonable probability of injury from falling objects or contact with 
electrical conductors, personnel working or visiting such an area wear 
head protectors designed to protect them against such injury and 
complying with 29 CFR 1910.151.

                                  Feet



Sec. 150.612  What footwear is required?

    The deepwater port operator must ensure that while personnel are 
working in an area, or engaged in activities, where there is a 
reasonable probability for foot injury to occur, they wear footwear that 
complies with 29 CFR 1910.136, except when environmental conditions 
exist that present a hazard greater than that against which the footwear 
is designed to protect.

                      Noise and Hearing Protection



Sec. 150.613  What are the requirements for a noise monitoring and 
hearing protection survey?

    (a) The deepwater port operator must measure noise and provide 
hearing protection in accordance with 29 CFR 1910.95.
    (b) The initial noise survey for a deepwater port must be completed 
no later than January 1, 2005, or within one year of beginning 
operations, whichever is later.

                                Clothing



Sec. 150.614  When is protective clothing required?

    The deepwater port operator must ensure that personnel exposed to 
flying particles, radiant energy, heavy dust, or hazardous materials 
wear clothing and gloves that protect against the hazard involved.

                               Electrical



Sec. 150.615  What safe practices are required?

    (a) The deepwater port operator must ensure that before personnel 
begin work that might expose them to an electrical charge, they turn off 
the electricity, unless doing so is not feasible.
    (b) The deepwater port operator must ensure that personnel turning 
off equipment pursuant to paragraph (a) of this section follow the 
lockout or tagging procedures specified in 29 CFR 1910.147, and in 
Sec. Sec. 150.616 and 150.617.
    (c) The deepwater port operator must ensure that, to prevent 
electrical shock, personnel receive training in electrical, safety-
related work practices in the area of the work they perform, including 
the use of electrical personal protective equipment appropriate to 
protect against potential electrical hazards.

[[Page 245]]

                             Lockout/Tagout



Sec. 150.616  What are the requirements for lockout?

    The deepwater port operator must ensure that, if equipment 
(electrical, hydraulic, mechanical, and pneumatic) does not need to be 
powered during the work described in Sec. 150.615(a), and has a lockout 
or other device to prevent the equipment from being turned on 
unintentionally, that lockout or other device is activated.



Sec. 150.617  What are the requirements for tagout?

    (a) The deepwater port operator must ensure that, before work takes 
place on equipment that is disconnected from the power source, a tag 
complying with this section is placed at the location where the power is 
disconnected. The operator must ensure that, if there is a control panel 
for the equipment in line between the equipment and the location where 
the power is disconnected, a tag complying with this section is also 
placed on the control panel.
    (b) Each tag or sign must have words stating:
    (1) That equipment is being worked on;
    (2) That power must not be restored or the equipment activated; and
    (3) The name of the person who placed the tag.
    (c) Only the person who placed the tag, that person's immediate 
supervisor, or the relief person of either, is authorized to remove the 
tag.

                         Respiratory Protection



Sec. 150.618  What are the requirements for respiratory protection?

    (a) The deepwater port operator must ensure that respiratory 
protection measures are taken in compliance with 29 CFR 1910.134 
including establishment of a formal respiratory protection program.
    (b) The deepwater port operator must ensure that measures for 
protection from exposure to asbestos are taken in compliance with 29 CFR 
1910.1001.
    (c) The deepwater port operator must ensure that measures for 
protection from exposure to inorganic lead are taken in compliance with 
29 CFR 1910.1025.

                               Fall Arrest



Sec. 150.619  What are the fall arrest system requirements?

    The deepwater port operator must ensure that all personnel who are 
exposed to the risk of falling more than 6 feet, or who are at risk of 
falling any distance onto equipment with irregular surfaces, exposed 
moving components, electrically energized cables or connectors, or 
water, are protected against such a fall either by guardrails or other 
measures that comply with 29 CFR 1910.23 or 1910.28, or by the use of 
suitable lifesaving equipment that complies with 46 CFR part 160. In 
addition, the operator must take measures to control the risk of 
falling, tripping, or slipping in work areas and walkways due to the 
presence of loose material or wet conditions including spills.

                             Machine Guards



Sec. 150.620  What are the requirements for protecting personnel from 
machinery?

    The deepwater port operator must ensure that all personnel are 
protected from the risks created by operating machinery through the use 
of guard devices or other measures that comply with 29 CFR 1910.212, or 
through the use of conspicuously posted warning signs that comply with 
150.626 of this part.

                                 Slings



Sec. 150.621  What are the requirements for slings?

    The use of slings for material handling must comply with the 
requirements of 29 CFR 1910.184.

                              Warning Signs



Sec. 150.622  What are the warning sign requirements?

    The construction and use of warning signs must be in compliance with 
29 CFR 1910.144 and 1910.145.

[[Page 246]]

                          Confined Space Safety



Sec. 150.623  What are the requirements for protecting personnel from 
hazards associated with confined spaces?

    (a) All personnel must be protected by suitable measures from 
inadvertently entering a confined space containing a hazardous 
atmosphere that can cause death or serious injury.
    (b) Each deepwater port operator shall evaluate the port-specific 
hazards associated with confined space entry and develop a confined 
space safe entry program that complies with:
    (1) 29 CFR 1910.146 for permit-required confined spaces, where 
applicable; and
    (2) A national consensus standard, as that term is defined in 29 CFR 
1910.2, or that is set by a nationally recognized testing laboratory as 
defined in 29 CFR 1910.7 and that provides levels of personnel 
protection at least equivalent to those provided for shipyard personnel 
by 29 CFR part 1915, subpart B.
    (c) To implement the confined space safe entry program, the 
deepwater port operator must determine the education, training and 
experience needed by the designated competent persons to safely conduct 
their duties, including:
    (1) Identification, testing, and certification of confined spaces; 
and
    (2) Training of personnel regarding dangers, etc.
    (d) These measures must be specified in the port operations manual, 
along with a list of all confined spaces on the port, describing the 
specific hazards associated with each such space.

                          Blood-Borne Pathogens



Sec. 150.624  What are the requirements for protecting personnel from 
blood-borne pathogens?

    Measures for protection from the dangers of blood-borne pathogens 
must be taken in compliance with 29 CFR 1910.1030.

                      Hazard Communication Program



Sec. 150.625  What must the hazard communication program contain?

    (a) Each deepwater port must have a hazard communication program 
(HCP) available for the training of, and review by, all personnel on the 
deepwater port.
    (b) The program must be in writing and describe or include:
    (1) An inventory of each hazardous material on the deepwater port;
    (2) The potential hazards of the material;
    (3) The material's intended use on the deepwater port;
    (4) The methods for handling and storing the material;
    (5) The protective measures and equipment to be used to avoid 
hazardous exposure;
    (6) The labeling, marking, or tagging of the material;
    (7) The special precautions, such as lockout and tagout under 
Sec. Sec. 150.616-150.617, that should be emphasized when working 
around the material;
    (8) Information and training required for personnel onboard the 
deepwater port; and
    (9) A material safety data sheet (MSDS) for the material.
    (c) The information on a material safety data sheet on the material 
may be used as a substitute for items in paragraph (b) of this section 
that are addressed in the sheet.
    (d) The program must be supplemented as necessary to address each 
hazardous material newly introduced on the deepwater port.



Sec. 150.626  What is the hazard communication program used for?

    (a) The hazard communication program must ensure that all deepwater 
port employees, when required by their duties, work safely and 
responsibly with hazardous materials.
    (b) The person in charge for safety must ensure that, before a 
person is allowed to work at the deepwater port:
    (1) A copy of the hazard communication program is made available to 
the person; and
    (2) The person is trained in the information contained in the 
program.
    (c) The training must be supplemented to address each hazardous 
material newly introduced on the deepwater port.

[[Page 247]]



Sec. 150.627  Must material safety data sheets be available to all 
personnel?

    (a) The person in charge must ensure that a material safety data 
sheet (MSDS) for each hazardous material on the fixed or floating 
deepwater port is made available to all personnel on the port.
    (b) Each MSDS must contain at least information on the use, proper 
storage, potential hazards, and appropriate protective and response 
measures to be taken when exposed to or handling the material.



Sec. 150.628  How must the operator label, tag, and mark a container 
of hazardous material?

    The operator must label, tag, or mark each container of hazardous 
material with the identity of the hazardous material and the appropriate 
physical, health, reactivity and other special condition hazard 
warnings. The only exception is for portable containers for transferring 
a hazardous material from a labeled container to the work site for 
immediate use by the person who performs the transfer.



                      Subpart H_Aids to Navigation



Sec. 150.700  What does this subpart do?

    This subpart provides requirements for the operation of aids to 
navigation at a deepwater port.



Sec. 150.705  What are the requirements for maintaining and inspecting 
aids to navigation?

    (a) All aids to navigation must be maintained in proper operating 
condition at all times.
    (b) The Coast Guard may inspect all aids to navigation at any time 
without notice.



Sec. 150.710  What are the requirements for supplying power to aids 
to navigation?

    The power to all aids to navigation must be maintained, at all 
times, at or above the level recommended by the equipment's 
manufacturer.



Sec. 150.715  What are the requirements for lights used as aids to 
navigation?

    (a) Each light under part 149, subpart E of this chapter, used as an 
aid to navigation at a deepwater port, must be lit continuously from 
sunset to sunrise.
    (b) During construction, a platform or SPM (if positioned on the 
surface or within the net under-keel depth for tankers transiting within 
the safety zone) must be marked with at least one of the following:
    (1) The obstruction lights required for the structure in part 149, 
subpart E, of this chapter;
    (2) The fixed lights of a vessel attending the structure; or
    (3) The general illumination lights on the structure, if they meet 
or exceed the intensity required for obstruction lights required for the 
structure.
    (c) The focal plane of each obstruction light and rotating lighted 
beacon must always coincide with the horizontal plane that passes 
through the light source.



Sec. 150.720  What are the requirements for sound signals?

    The sound signal on each pumping platform complex must be operated 
whenever the visibility in any horizontal direction from the structure 
is less than 5 miles. If the platform is under construction, this 
requirement may be met by the use of a 2-second whistle blast, made 
every 20 seconds by a vessel moored at the platform.



                      Subpart I_Reports and Records



Sec. 150.800  What does this subpart do?

    This subpart concerns reports that must be submitted, and records 
that must be kept, by the licensee.

                                 Reports



Sec. 150.805  What reports must be sent both to a classification society 
and to the Coast Guard?

    A copy of each report submitted to an authorized classification 
society, as defined in 46 CFR 8.100 for maintenance of an SPM's class 
under the rules of that society, must also be submitted to the OCMI.

[[Page 248]]



Sec. 150.810  Reporting a problem with an aid to navigation.

    (a) Any problem affecting the operation or characteristics of an aid 
to navigation at the deepwater port must be reported, by the fastest 
means available, to the District Commander. The report must identify:
    (1) The aid to navigation affected;
    (2) The location of that aid;
    (3) The nature of the problem; and
    (4) The estimated time of repair.
    (b) When the problem is corrected, the District Commander must be 
notified.




Sec. 150.815  How must casualties be reported?

    (a) Immediately after aiding the injured and stabilizing the 
situation, the owner, operator, or person in charge of a deepwater port 
must notify the nearest Marine Safety Office, Coast Guard Activity, or 
Coast Guard Group Office of each event on, or involving, the deepwater 
port that results in one or more of the following:
    (1) Loss of life;
    (2) An injury that requires professional medical treatment 
(treatment beyond first aid) and, if the person is engaged or employed 
on the deepwater port, that renders the individual unfit to perform his 
or her routine duties;
    (3) Impairment to the operation of any of the port's primary 
lifesaving or fire-fighting equipment; or
    (4) Property damage in excess of $100,000, including damage 
resulting from a vessel or aircraft striking the port. This amount 
includes the cost of labor and material to restore all affected items, 
including, but not limited to, the port and the vessel or aircraft to 
their condition before the damage. This amount does not include the cost 
of salvage, cleaning, gas freeing, dry-docking, or demurrage of the 
port, vessel, or aircraft.
    (b) The notice under paragraph (a) of this section must identify the 
following:
    (1) The deepwater port involved;
    (2) The owner, operator, or person in charge of the port;
    (3) The nature and circumstances of the event; and
    (4) The nature and extent of the injury and damage resulting from 
the event.



Sec. 150.820  When must a written report of casualty be submitted and 
what must it contain?

    (a) In addition to the notice of casualty under Sec. 150.815, the 
owner, operator, or person in charge of a deepwater port must submit a 
written report of the event to the nearest OCMI within 5 days after the 
notice of casualty. The report may be on Form 2692 (Report of Marine 
Accident, Injury, or Death) or in narrative form if it contains all of 
the applicable information requested in Form 2692. Copies of Form 2692 
are available from the OCMI.
    (b) The written report must also include the information relating to 
alcohol and drug involvement specified by 46 CFR 4.05-12.
    (c) If filed immediately after the event, the written report 
required by paragraph (a) of this section serves as the notice required 
under Sec. 150.815.



Sec. 150.825  Reporting a diving-related casualty.

    Diving-related deaths and injuries within the safety zone of a 
deepwater port must be reported according to 46 CFR 197.484 and 197.486, 
rather than to Sec. Sec. 150.815 and 150.820.



Sec. 150.830  Reporting a pollution incident.

    Oil pollution incidents involving a deepwater port are reported 
according to Sec. 135.305 and 135.307 of this chapter.



Sec. 150.835  Reporting sabotage or a subversive activity.

    The owner, operator, or person in charge of a deepwater port must 
immediately report to the COTP, by the fastest possible means, any 
evidence of sabotage or subversive activity against any vessel at the 
deepwater port or against the deepwater port itself.

                                 Records



Sec. 150.840  What records must be kept?

    (a) The licensee must keep copies at the deepwater port of the 
reports, records, test results, and operating data required by this 
part. In the case

[[Page 249]]

of unmanned deepwater ports, these copies must be kept at the operator's 
principal office rather than on the port.
    (b) The copies must be readily available to Coast Guard inspectors.
    (c) Except for personnel records under Sec. 150.845, the copies 
must be kept for 3 years.



Sec. 150.845  Personnel records.

    The licensee must keep documentation on the designation and 
qualification of the supervisory positions, outlined in the port 
operations manual, that are responsible for the management of the 
deepwater port. These records must be kept for the life of the deepwater 
port.



Sec. 150.850  How long must a declaration of inspection form be kept?

    The licensee must keep signed copies of the declaration of 
inspection forms required by Sec. 150.430 for one month from the date 
of signature.



   Subpart J_Safety Zones, No Anchoring Areas, and Areas To Be Avoided



Sec. 150.900  What does this subpart do?

    (a) This subpart provides requirements for the establishment, 
restrictions, and location of safety zones, no anchoring areas, and 
areas to be avoided around deepwater ports.
    (b) Subpart D of this part, concerning vessel navigation and 
activities permitted and prohibited at deepwater ports, applies within 
safety zones, no anchoring areas, and areas to be avoided and their 
adjacent waters and supplements the International Regulations for 
Preventing Collisions at Sea.
    (c) Recommended shipping safety fairways, associated with deepwater 
ports, are described in part 166 of this chapter.



Sec. 150.905  Why are safety zones, no anchoring areas, and areas to 
be avoided established?

    Safety zones, no anchoring areas, and areas to be avoided under this 
subchapter are established to promote safety of life and property, 
marine environmental protection, and navigational safety at deepwater 
ports and adjacent waters. Safety zones, no anchoring areas, and areas 
to be avoided accomplish these objectives by preventing or controlling 
specific activities, limiting access by vessels or persons, and by 
protecting the living resources of the sea from harmful agents.



Sec. 150.910  What installations, structures, or activities are 
prohibited in a safety zone and area to be avoided?

    No installations, structures, or activities that are incompatible 
with port operations are allowed in the safety zone and area to be 
avoided of a deepwater port.



Sec. 150.915  How are safety zones, no anchoring areas, and areas to 
be avoided established and modified?

    (a) Safety zones, no anchoring areas, and areas to be avoided are 
developed and designated during the application process for a deepwater 
port license and may be modified according to this section.
    (b) Before a safety zone, no anchoring area, and area to be avoided 
is established, all factors detrimental to safety, including the 
congestion of vessels, the presence of unusually harmful or hazardous 
substances, and the presence of obstructions around the site of the 
deepwater port, are considered.
    (c) Commandant (G-M) shall establish safety zones and develop no 
anchoring areas and areas to be avoided for presentation to the 
International Maritime Organization (IMO) for approval. Commandant (G-M) 
may consult with the District Commander prior to establishing safety 
zones. Once established, the District Commander may request that 
Commandant (G-M) modify an existing safety zone. The Commandant (G-M) 
may then publish a final rule modifying the zone and area in its 
regulations. Routing measures requiring approval by the International 
Maritime Organization in order to be effective will be effective only 
after such approval is granted and such approval is announced by 
subsequent notice in the Federal Register.
    (d) When there is an imminent threat to the safety of life and 
property within the zone and area, the District Commander may modify the 
safety zone and its regulations in an interim rule

[[Page 250]]

without first requesting that Commandant (G-M) publish a notice of 
proposed rulemaking. The interim rule makes the safety zone, no 
anchoring area, and area to be avoided and the regulations thereto 
effective on publication in the Federal Register, provided those routing 
measures requiring approval at the International Maritime Organization 
have received that approval, and requests public comments. After 
considering the comments received, the Commandant (G-M), after 
consulting with the District Commander, shall publish a final rule, 
which may adopt the interim rule with or without changes or remove it.
    (e) If required by circumstances, safety zones and areas to be 
avoided may be placed into effect immediately but must be followed 
promptly by the procedures in paragraph (d) of this section.



Sec. 150.920  How is notice given of new or proposed safety zones, no 
anchoring areas, and areas to be avoided?

    In addition to documents published in the Federal Register under 
Sec. 150.915, the District Commander may provide public notice of new 
or proposed safety zones, no anchoring areas, and areas to be avoided by 
Broadcast Notices to Mariners, Notices to Mariners, Local Notices to 
Mariners, newspapers, broadcast stations, or other means.



Sec. 150.925  How long may a safety zone, no anchoring area, and area 
to be avoided last?

    A safety zone, no anchoring area, and area to be avoided and 
applicable regulations may go into effect as early as when equipment and 
materials for construction of the deepwater port arrive at the site and 
may remain in effect until the deepwater port is removed.



Sec. 150.930  What datum is used for the geographic coordinates in this 
subpart?

    The geographic coordinates used in this subpart are not intended for 
plotting on charts or maps using coordinates based on the North American 
Datum of 1983 (NAD 83). If you use the geographic coordinates in this 
subpart to plot on a chart or map referencing NAD 83, you must make 
corrections as shown on the chart or map.



Sec. 150.940  Safety zones for specific deepwater ports.

    (a) Louisiana Offshore Oil Port (LOOP): (1) The location of the 
safety zone for LOOP is as described in Table 150.940(A):

         Table 150.940(A).--Safety Zone for Loop, Gulf of Mexico
------------------------------------------------------------------------
               Latitude N                           Longitude W
------------------------------------------------------------------------
(i) Starting at:
    28[deg]55[min]23[sec]...............  90[deg]00[min]37[sec]
(ii) A rhumb line to:
    28[deg]53[min]50[sec]...............  90[deg]04[min]07[sec]
(iii) Then an arc with a 4,465 meter
 (4,883 yard) radius centered at the
 port's pumping platform complex:
    28[deg]53[min]06[sec]...............  90[deg]01[min]30[sec]
(iv) To a point:
    28[deg]51[min]07[sec]...............  90[deg]03[min]06[sec]
(v) Then a rhumb line to:
    28[deg]50[min]09[sec]...............  90[deg]02[min]24[sec]
(vi) Then a rhumb line to:
    28[deg]49[min]05[sec]...............  89[deg]55[min]54[sec]
(vii) Then a rhumb line to:
    28[deg]48[min]36[sec]...............  89[deg]55[min]00[sec]
(viii) Then a rhumb line to:
    28[deg]52[min]04[sec]...............  89[deg]52[min]42[sec]
(ix) Then a rhumb line to:
    28[deg]53[min]10[sec]...............  89[deg]53[min]42[sec]
(x) Then a rhumb line to:
    28[deg]54[min]52[sec]...............  89[deg]57[min]00[sec]
(xi) Then a rhumb line to:
    28[deg]54[min]52[sec]...............  89[deg]59[min]36[sec]
(xii) Then an arc with a 4,465 meter
 (4,883 yard) radius centered again at
 the port's pumping platform complex;
(xiii) To the point of starting:
    28[deg]55[min]23[sec]...............  90[deg]00[min]37[sec]
------------------------------------------------------------------------


[[Page 251]]

    (2) The areas to be avoided within the safety zone are:
    (i) The area encompassed within a circle having a 600 meter radius 
around the port's pumping platform complex and centered at:

------------------------------------------------------------------------
               Latitude N                           Longitude W
------------------------------------------------------------------------
28[deg]53[min]06[sec]..................  90[deg]-1[min]30[sec]
------------------------------------------------------------------------

    (ii) The six areas encompassed within a circle having a 500 meter 
radius around each single point mooring (SPM) at the port and centered 
at:

------------------------------------------------------------------------
               Latitude N                          Longitude W
------------------------------------------------------------------------
28[deg]54[min]12[sec]..................  90[deg]00[min]37[sec]
28[deg]53[min]16[sec]..................  89[deg]59[min]59[sec]
28[deg]52[min]15[sec]..................  90[deg]00[min]19[sec]
28[deg]51[min]45[sec]..................  90[deg]01[min]25[sec]
28[deg]52[min]08[sec]..................  90[deg]02[min]33[sec]
28[deg]53[min]07[sec]..................  90[deg]03[min]02[sec]
------------------------------------------------------------------------

    (3) The anchorage area within the safety zone is an area enclosed by 
the rhumb lines joining points at:

------------------------------------------------------------------------
               Latitude N                          Longitude W
------------------------------------------------------------------------
28[deg]52[min]21[sec]..................  89[deg]57[min]47[sec]
28[deg]54[min]05[sec]..................  89[deg]56[min]38[sec]
28[deg]52[min]04[sec]..................  89[deg]52[min]42[sec]
28[deg]50[min]20[sec]..................  89[deg]53[min]51[sec]
28[deg]52[min]21[sec]..................  89[deg]57[min]47[sec]
------------------------------------------------------------------------

    (b) The Gulf Gateway Deepwater Port (GGDWP)--(1) Description. The 
GGDWP safety zone is centered at the following coordinates: 
28[deg]05[min]16[sec] N, 093[deg]03[min]07[sec] W. This safety zone, 
encompassed within a circle having a 500 meter radius around the primary 
component of the Gulf Gateway Deepwater Port, the submerged loading 
turret (buoy) and the pipeline end manifold (STL/PLEM), is located 
approximately 116 miles off the Louisiana coast at West Cameron Area, 
South Addition Block 603 ``A''.
    (2) Regulations. Deepwater port support vessels desiring to enter 
the safety zone must contact and obtain permission from the LNG 
Regasification Vessel (LNGRV) stationed at the deepwater port. The LNGRV 
can be contacted on VHF-FM Channel 13.

[USCG-1998-3884, 69 FR 52830, Aug. 30, 2004, as amended by USCG-2005-
21111, 70 FR 24709, May 11, 2005]

[[Page 253]]

                                  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 Homeland Security, and is revised through July 1, 2005.

                                                                 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
Applicability
                                               148.101, 148.400, 148.601
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
Contents of......................................................148.109
Processing.......................................................148.211
Withdrawal, of...................................................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

[[Page 254]]

Clerk; docket; record
                                                                 148.205

                                 D

Definitions
                                                                   148.3
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

                                 E

Evidence
                                                                 148.289
Ex Parte communications
                                                                 148.250
Emergency equipment
                                                                 149.211

                                 F

Fees, copies
                                                                 148.107
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

[[Page 255]]

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
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

Hearing date
                                                                 148.283
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

Liability, limits
                                                                 148.703
Lifesaving Equipment
General alarm system.............................................149.541

[[Page 256]]

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
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 beacon..........................................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
Notice of public hearing
                                                                 148.231
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

[[Page 257]]

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
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

Pipeline end manifold shut off valve
                                                                 149.305
Pollution Prevention Equipment
                                                               Subpart C
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

[[Page 258]]

Key personnel: Designations and qualifications...................150.753
Maintenance of ABS classification................................150.703
Oil throughput log...............................................150.757
Oil throughput report............................................150.707
Public hearing...................................................148.235
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
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 landing illumination....................................149.433
Personal landings................................................149.431
Safety Zones for specific deepwater ports
                                                                 150.940
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
SPM's
                                                                 149.209
Subpoenas
                                                                 148.281

                                 V

Vessel Navigation
Advance notice of arrival........................................150.333
Advisories to tankers............................................150.309
Applicability....................................................150.301
Assistant Mooring Master.........................................150.342

[[Page 259]]



                         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 oil discharges.
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.

Appendix A to Sec. Sec. 151.51 through 151.77--Summary of Garbage 
          Discharge Restrictions
151.79 Operating requirements: Discharge of sewage within Antarctica.

       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 260]]

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.
151.1518 Penalties for failure to conduct ballast water management.

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?
151.2007 What are the penalties for violations of the mandatory 
          provisions of this subpart?
151.2010 Which vessels are exempt from the mandatory requirements?
151.2015 Is a vessel in innocent passage exempt from the mandatory 
          requirements?
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 required ballast water management practices for my 
          vessel?
151.2036 If my voyage does not take me into waters 200 nautical miles or 
          greater from any shore, must I divert to conduct a ballast 
          water exchange?
151.2037 If my vessel cannot conduct ballast water management practices 
          because of its voyage and/or safety concerns, will I be 
          prohibited from discharging ballast water?
151.2040 What are the mandatory ballast water management requirements 
          for vessels equipped with ballast tanks that operate in the 
          waters of the United States and are bound for ports or places 
          in the United States?
151.2041 What are the mandatory ballast water reporting requirements for 
          all vessels equipped with ballast tanks bound for ports or 
          places of the United States?
151.2043 Equivalent Reporting Methods for vessels other than those 
          entering the Great Lakes or Hudson River after operating 
          outside the EEZ or Canadian equivalent.
151.2045 What are the mandatory recordkeeping requirements for vessels 
          equipped with ballast tanks that are bound for a port or place 
          in the United States?
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

    Authority: 33 U.S.C. 1321 and 1903; Pub. L. 104-227 (110 Stat. 
3034), E.O. 12777, 3 CFR, 1991 Comp. p. 351.



      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.

[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; USCG-
2000-7641, 66 FR 55570, Nov. 2, 2001]



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]

[[Page 261]]



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-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

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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.
    Fuel oil means any oil used to fuel the propulsion and auxiliary 
machinery of the ship carrying the fuel. The term ``fuel oil'' is also 
known as ``oil fuel.''
    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 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 to that Convention. A copy of MARPOL 73/78 is available from 
the International Maritime Organization, 4 Albert Embankment, London, 
SE1, SR7, England.
    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

[[Page 263]]

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[min] South, longitude 142[deg]08[min] East to a point 
in--latitude 10[deg]35[min] South, longitude 141[deg]55[min] East, 
thence to a point--latitude 10[deg]00[min] South, longitude 
142[deg]00[min] East, thence to a point--latitude 9[deg]10[min] South, 
longitude 143[deg]52[min] East, thence to a point--latitude 
9[deg]00[min] South, longitude 144[deg]30[min] East, thence to a point--
latitude 13[deg]00[min] South, longitude 144[deg]00[min] East, thence to 
a point--latitude 15[deg]00[min] South, longitude 146[deg]00[min] East, 
thence to a point--latitude 18[deg]00[min] South, longitude 
147[deg]00[min] East, thence to a point--latitude 21[deg]00[min] South, 
longitude 153[deg]00[min] East, thence to a point on the coast of 
Australia in latitude 24[deg]42[min] South, longitude 153[deg]15[min] 
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;
    (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 Sec. Sec. 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 whether in solid, semi-solid, emulsified, or 
liquid form, including but not limited to, crude oil, fuel oil, sludge, 
oil refuse, oil residue, and refined products, and, without limiting the 
generality of the foregoing, includes the substances listed in Appendix 
I of Annex I of MARPOL 73/78. ``Oil'' does not include animal and 
vegetable based oil or noxious liquid substances (NLS) designated under 
Annex II of MARPOL 73/78.
    Oil cargo residue means any residue of oil cargo whether in solid, 
semi-solid, emulsified, or liquid form from cargo tanks and cargo pump 
room bilges, including but not limited to, drainages, leakages, 
exhausted oil, muck, clingage, sludge, bottoms, paraffin (wax), and any 
constituent component of oil. The term ``oil cargo residue'' is also 
known as ``cargo oil residue.''
    Oil residue means--
    (1) Oil cargo residue; and
    (2) Other residue of oil whether in solid, semi-solid, emulsified, 
or liquid form, resulting from drainages, leakages, exhausted oil, and 
other similar occurrences from machinery spaces.
    Oily mixture means a mixture, in any form, with any oil content. 
``Oily mixture'' includes, but is not limited to--
    (1) Slops from bilges;

[[Page 264]]

    (2) Slops from oil cargoes (such as cargo tank washings, oily waste, 
and oily refuse);
    (3) Oil residue; and
    (4) Oily ballast water from cargo or fuel oil tanks.
    Oily rags means rags soaked with oil.
    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, and cargo residues other than oil residues and NLS cargo 
residues. ``Operational wastes'' includes ashes and clinkers (i.e., a 
mass of incombustible matter fused together by heat) from shipboard 
incinerators and coal-burning boilers but does not include plastic 
clinkers, which are treated as an Annex V waste, or oily rags, which are 
treated as an Annex I waste.
    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--
    (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-

[[Page 265]]

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 Sec. Sec. 
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; USCG-2000-7641, 66 FR 55570, Nov. 2, 2001]



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[min] 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[min] 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[min] N, 43[deg]19.6[min] E) and Husn Murad (12[deg]40.4[min] 
N, 43[deg]30.2[min] E).
    (5) The Gulfs areas means the sea area located northwest of the 
rhumb line between Ras al Hadd (22[deg]30[min] N, 59[deg]48[min] E) and 
Ras al Fasteh (25[deg]04[min] N, 61[deg]25[min] 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[min] N, 43[deg]19.6[min] E) and 
Husn Murad (12[deg]40.4[min] N, 43[deg]30.2[min] E) and to the east by 
the rhumb line between Ras Asir (11[deg]50[min] N, 51[deg]16.9[min] E) 
and the Ras Fartak (15[deg]35[min] N, 52[deg]13.8[min] E).
    (7) The Antarctic areas means the sea south of 60[deg] south 
latitude.

[[Page 266]]

    (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[min] 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[min] 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[min] 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, oil residue, or oily 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 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, as amended by USCG-2000-7641, 
66 FR 55570, Nov. 2, 2001]

                              Oil Pollution

    Source: Sections 151.09 through 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, Sec. Sec. 
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

[[Page 267]]

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 oil discharges.

    (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 15 
parts per million (ppm); and
    (6) 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.
    (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 overboard discharge of any oil cargo residues and oily 
mixtures that include oil cargo residues from an oil

[[Page 268]]

tanker is prohibited, unless discharged in compliance with 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 in charge of an oceangoing ship that cannot discharge 
oily mixtures into the sea in compliance with paragraphs (a), (b), (c), 
or (d) of this section must ensure that those oily mixtures 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 will discharge oily mixtures;
    (ii) The type of oily mixtures to be discharged; and
    (iii) The volume of oily mixtures to be discharged.
    Note: There are Federal, state, or local laws or regulations that 
could require a written description of the oil residues and oily 
mixtures 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; USCG-2000-7641, 66 FR 
55571, Nov. 2, 2001]



Sec. 151.11  Exceptions for emergencies.

    (a) Sections 151.10 and 151.13 do not apply to--
    (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 Sec. Sec. 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.

[[Page 269]]

    (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) All ships operating in the Antarctic area must have on board a 
tank or tanks of sufficient capacity to retain all oily mixtures while 
operating in the area and arrangements made to discharge oily mixtures 
at a reception facility outside the Antarctic 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 oily mixtures 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 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; USCG-2000-
7641, 66 FR 55571, Nov. 2, 2001]



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

[[Page 270]]

    (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 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.

[[Page 271]]

    (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 inspected or uninspected ship is 
valid for a maximum period of 5 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.
    (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; USCG-2000-7641, 66 FR 55571, Nov. 
2, 2001]



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

[[Page 272]]

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. 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 ballast containing an oily mixture or cleaning 
water from fuel oil tanks;
    (3) Disposal of oil residue; 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 oil residue.
    (f) Entries shall be made in the Oil Record Book on each occasion, 
on a tank-to-tank basis if appropriate,

[[Page 273]]

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; USCG-2000-7641, 66 FR 
55571, Nov. 2, 2001]



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.
    (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:

[[Page 274]]

    (i) When to report. A report shall be made whenever an incident 
involves--
    (A) A discharge of oil or oily mixture 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 or oily mixture 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 Table151.26(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 275]]

[GRAPHIC] [TIFF OMITTED] TR07OC94.020


[[Page 276]]


[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, or oily mixtures 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 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

[[Page 277]]

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.
    (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;

[[Page 278]]

    (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; USCG-2000-7641, 66 FR 55571, Nov. 2, 2001]



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.
    (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

[[Page 279]]

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 through 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, Sec. Sec. 
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 
Sec. Sec. 151.47 and 151.49 are in Sec. Sec. 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 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 Sec. Sec. 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

[[Page 280]]

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 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.

[[Page 281]]

    (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 Sec. Sec. 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 Sec. Sec. 
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 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

[[Page 282]]

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 Sec. Sec. 151.30 through 151.49; or
    (2) Allowed by Sec. Sec. 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.
    (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.

[[Page 283]]

    (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 NH3)
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
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

[[Page 284]]

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
    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

[[Page 285]]

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 through 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, Sec. Sec. 
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 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 Sec. Sec. 151.51 through 151.77, the 
special areas are the Mediterranean Sea area, the Baltic Sea

[[Page 286]]

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) Every manned oceangoing ship (other than a fixed or floating 
platform) of 400 gross tons and above that is engaged in commerce and 
that is documented under the laws of the United States or numbered by a 
State.
    (2) Every manned fixed or floating platform subject to the 
jurisdiction of the United States.
    (3) Every manned ship that is certified to carry 15 passengers or 
more engaged in international voyages.
    (b) The master or person in charge of each ship under paragraph 
(a)(1), (a)(2), or (a)(3) 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, as amended by USCG-2000-7641, 66 
FR 55571, Nov. 2, 2001]



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.
    (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.

[[Page 287]]

    (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 Sec. Sec. 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.
    (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

[[Page 288]]

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 
Sec. Sec. 151.66-151.73.
    (b) The following factors, among others, may be considered by 
enforcement personnel in evaluating compliance with Sec. Sec. 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.



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]

[[Page 289]]



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).



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.

[[Page 290]]

    (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]

   Appendix A to Sec. Sec. 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.
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]



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

[[Page 291]]

reported immediately to the National Response Center (NRC) toll free 
number 800-424-8802.

[CGD 97-015, 62 FR 18045, Apr. 14, 1997]



       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
    (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.

[[Page 292]]

    (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 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.

[[Page 293]]

    (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, Security 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, Security 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; USCG-2002-
12471, 67 FR 41332, June 18, 2002]



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; Department of Homeland Security 
Delegation No. 0170.1.

    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.
    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

[[Page 294]]

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, from an area more than 200 nautical miles from any shore, and in 
waters more than 2,000 meters (6,560 feet, 1,093 fathoms) deep, 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.
    (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

[[Page 295]]

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; USCG-1998-3423, 66 FR 58390, Nov. 21, 2001]



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 equipped with ballast tanks shall 
provide, as detailed in Sec. 151.2040, 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.

[CGD 91-066, 58 FR 18334, Apr. 8, 1993, as amended by USCG-1998-3423, 66 
FR 58391, Nov. 21, 2001; USCG-2002-13147, 69 FR 32869, June 14, 2004]



Sec. 151.1518  Penalties for failure to conduct ballast water management.

    (a) A person who violates this subpart is liable for a civil penalty 
in an amount not to exceed $27,500. Each day of a continuing violation 
constitutes a separate violation. A vessel operated in violation of the 
regulations is liable in rem for any civil penalty assessed under this 
subpart for that violation.
    (b) A person who knowingly violates the regulations of this subpart 
is guilty of a class C felony.

[USCG-2002-13147, 69 FR 32869, June 14, 2004]



Subpart D_Ballast Water Management for Control of Nonindigenous Species 
                     in Waters of the United States

    Authority: 16 U.S.C. 4711; Department of Homeland Security 
Delegation No. 0170.1.

    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?

    Unless exempted in Sec. 151.2010 or Sec. 151.2015, this subpart 
applies to all vessels, U.S. and foreign, equipped with ballast tanks, 
that operate in the waters of the United States and are bound

[[Page 296]]

for ports or places in the United States.

[USCG-2002-13147, 69 FR 32869, June 14, 2004]



Sec. 151.2007  What are the penalties for violations of the mandatory 
provisions of this subpart?

    (a) A person who violates this subpart is liable for a civil penalty 
not to exceed $ 27,500. Each day of a continuing violation constitutes a 
separate violation. A vessel operated in violation of the regulations is 
liable in rem for any civil penalty assessed under this subpart for that 
violation.
    (b) A person who knowingly violates the regulations of this subpart 
is guilty of a class C felony.

[USCG-2002-13147, 69 FR 32869, June 14, 2004]



Sec. 151.2010  Which vessels are exempt from the mandatory requirements?

    Three types of vessels are exempt from the requirements in 
Sec. Sec. 151.2040 and 151.2045:
    (a) A crude oil tanker engaged in the coastwise trade.
    (b) 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)).
    (c) A vessel that operates exclusively within one Captain of the 
Port (COTP) Zone.

[USCG-1998-3423, 64 FR 26682, May 17, 1999, as amended at 66 FR 58391, 
Nov. 21, 2001; USCG-2002-13147, 69 FR 32869, June 14, 2004]



Sec. 151.2015  Is a vessel in innocent passage exempt from the mandatory 
requirements?

    A foreign vessel merely traversing the territorial sea of the U.S. 
(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 this 
subpart.

[USCG-2003-14273, 69 FR 44961, July 28, 2004]



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).
    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.
    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 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:
    (1) 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.
    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.
    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).
    NANPCA 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

[[Page 297]]

Smithsonian Environmental Research Center as mandated under NISA.
    NISA means the National Invasive Species Act of 1996, which 
reauthorized and amended NANPCA.
    Port or place of departure means any port or place in which a vessel 
is anchored or moored.
    Port or place of destination means any port or place to which a 
vessel is bound to anchor or moor.
    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 or place.
    Waters of the United States means waters subject to the jurisdiction 
of the United States as defined in 33 CFR Sec. 2.38, 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.

[USCG-1998-3423, 64 FR 26682, May 17, 1999, as amended by USCG-2003-
15404, 68 FR 37741, June 25, 2003; USCG-2002-13147, 69 FR 32869, June 
14, 2004; USCG-2003-14273, 69 FR 44961, July 28, 2004]



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 required ballast water management 
practices for my vessel?

    (a) Masters, owners, operators, or persons-in-charge of all vessels 
equipped with ballast water tanks that operate in the waters of the U.S. 
must:
    (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.
    (vii) Areas with pods of whales, convergence zones, and boundaries 
of major currents.
    (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

[[Page 298]]

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 has been developed 
specifically for the vessel that will allow those responsible for the 
plan's implementation to understand and follow the vessel's ballast 
water management strategy.
    (8) Train the master, operator, person-in-charge, and crew, on the 
application of ballast water and sediment management and treatment 
procedures.
    (b) In addition to the provisions of paragraph (a) of this section, 
if the vessel carries ballast water that was taken on in areas less than 
200 nautical miles from any shore into the waters of the U.S. after 
operating beyond the Exclusive Economic Zone, you (the master, operator, 
or person-in-charge of a vessel) must employ at least one of the 
following ballast water management practices:
    (1) Perform complete ballast water exchange in an area no less than 
200 nautical miles from any shore prior to discharging ballast water in 
U.S. waters;
    (2) Retain ballast water onboard the vessel; or
    (3) Prior to the vessel entering U.S. waters, use an alternative 
environmentally sound method of ballast water management that has been 
approved by the Coast Guard.

[USCG-1998-3423, 64 FR 26682, May 17, 1999, as amended at 66 FR 58391, 
Nov. 21, 2001; USCG-2003-14273, 69 FR 44961, July 28, 2004; USCG-2002-
14273, 69 FR 60309, Oct. 8, 2004]



Sec. 151.2036  If my voyage does not take me into waters 200 nautical 

miles or greater from any shore, must I divert to conduct a ballast 
water exchange?

    A vessel will not be required to deviate from its voyage, or delay 
the voyage, in order to conduct a ballast water exchange.

[USCG-2003-14273, 69 FR 44961, July 28, 2004]



Sec. 151.2037  If my vessel cannot conduct ballast water management 

practices because of its voyage and/or safety concerns, will I be 
prohibited from 
          discharging ballast water?

    (a) A vessel that cannot practicably meet the requirements of Sec. 
151.2035(b)(1) because its voyage does not take it into waters 200 
nautical miles or greater from any shore for a sufficient length of time 
and elects to retain ballast water on board, or because of the safety 
concerns contained in Sec. 151.2030, will not be prohibited from the 
discharge of ballast water in areas other than the Great Lakes and the 
Hudson River. However, the vessel must discharge only that amount of 
ballast water operationally necessary to ensure the safety of the 
vessels for cargo operations and make ballast water records available to 
the local Captain of the Port upon request.
    (b) A vessel that cannot practicably meet the requirements of Sec. 
151.2035(b)(3) because its alternative environmentally sound ballast 
water management method is inoperable must employ one of the other 
ballast water management practices stated in Sec. 151.2035(b). If the 
vessel cannot employ other ballast water management practices due to 
voyage or safety concerns, the vessel will not be prohibited from the 
discharge of ballast water in areas other than the Great Lakes and the 
Hudson River. However, the vessel must discharge only that amount of 
ballast water operationally necessary to ensure the safety of the 
vessels for cargo operations and make ballast water records available to 
the local Captain of the Port upon request.

[USCG-2003-14273, 69 FR 44961, July 28, 2004]



Sec. 151.2040  What are the mandatory ballast water management 

requirements for vessels equipped with ballast tanks that operate in 
the waters of the United 
          States and are bound for ports or places in the United States?

    (a) A vessel bound for the Great Lakes or Hudson River, which has 
operated beyond the EEZ (which includes

[[Page 299]]

the equivalent zone of Canada) during any part of its voyage regardless 
of intermediate ports of call within the waters of the United States or 
Canada, must comply with Sec. Sec. 151.2041 and 151.2045 of this 
subpart, as well as with the provisions of subpart C of this part.
    (b) A vessel engaged in the foreign export of Alaskan North Slope 
Crude Oil must comply with Sec. Sec. 151.2041 and 151.2045 of this 
subpart, as well as with the provisions of 15 CFR 754.2(j)(1)(iii). 
Section 15 CFR 754.2(j)(1)(iii) requires a mandatory program of deep 
water ballast exchange unless doing so would endanger the safety of the 
vessel or crew.
    (c) A vessel not covered by paragraphs (a) or (b) of this section 
and is bound for ports or places in the United States must comply with 
Sec. Sec. 151.2041 and 151.2045 of this subpart.
    (d) 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 applicable regulations.
    (e) This subpart does not affect or supercede 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).

[USCG-2002-13147, 69 FR 32869, June 14, 2004]



Sec. 151.2041  What are the mandatory ballast water reporting requirements 

for all vessels equipped with ballast tanks bound for ports or places of 
the United 
          States?

    (a) Ballast water reporting requirements exist for each vessel bound 
for ports or places of the United States regardless of whether a vessel 
operated outside of the EEZ (which includes the equivalent zone of 
Canada), unless exempted in Sec. Sec. 151.2010 or 151.2015.
    (b) The master, owner, operator, agent, or person-in-charge of a 
vessel to whom this section applies must provide the information 
required by Sec. 151.2045 in electronic or written form (OMB form 
Control No. 1625-0069) to the Commandant, U.S. Coast Guard or the 
appropriate COTP as follows:
    (1) For any vessel bound for the Great Lakes from outside the EEZ 
(which includes the equivalent zone of Canada).
    (i) You must fax the required information at least 24 hours before 
the vessel arrives in Montreal, Quebec to either the USCG COTP Buffalo, 
Massena Detachment (315-769-5032), or the St. Lawrence Seaway 
Development Corporation (315-764-3250); or
    (ii) If you are not a U.S. or Canadian Flag vessel, you may 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 in lieu of 
this requirement.
    (2) For any vessel bound for the Hudson River north of the George 
Washington Bridge entering from outside the EEZ (which includes the 
equivalent zone of Canada). You must fax the information to the COTP New 
York (718-354-4249) at least 24 hours before the vessel enters New York, 
New York.
    (3) For any vessel not addressed in paragraphs (b)(1) and (b)(2) of 
this section, which is equipped with ballast water tanks and bound for 
ports or places in the United States. If your voyage is less than 24 
hours, you must report before departing your port or place of departure. 
If your voyage exceeds 24 hours, you must report at least 24 hours 
before arrival at your port or place of destination. All required 
information is to be sent to the National Ballast Information 
Clearinghouse (NBIC) using only one of the following means:
    (i) Internet at: http://invasions.si.edu/NBIC/bwform.html;
    (ii) E-mail to NBIC@BALLASTREPORT.ORG;
    (iii) Fax to 301-261-4319; or
    (iv) Mail to U.S. Coast Guard, c/o SERC (Smithsonian Environmental 
Research Center), P.O. Box 28, Edgewater, MD 21037-0028.
    (c) If the information submitted in accordance with this section 
changes, you must submit an amended form before the vessel departs the 
waters of the United States.

[USCG-2002-13147, 69 FR 32870, June 14, 2004; 69 FR 40767, July 7, 2004]

[[Page 300]]



Sec. 151.2043  Equivalent Reporting Methods for vessels other than those 

entering the Great Lakes or Hudson River after operating outside the EEZ 
or Canadian 
          equivalent.

    (a) For ships required to report under Sec. 151.2041 the Chief, 
Environmental Standards Division (G-MSO-4), acting for the Assistant 
Commandant for Marine Safety, Security and Environmental Protection (G-
M) may, upon receipt of a written request, consider and approve 
alternative methods of reporting if:
    (1) Such methods are at least as effective as that required by Sec. 
151.2041; and
    (2) Compliance with the requirement is economically or physically 
impractical.
    (i) The Chief, Environmental Standards Division (G-MSO-4) will take 
approval or disapproval action on the request submitted in accordance 
with paragraph (a) of this section within 30 days of receipt of the 
request.
    (ii) [Reserved]

[USCG-1998-3423, 66 FR 58391, Nov. 21, 2001, as amended by USCG-2002-
12471, 67 FR 41332, June 18, 2002. Redesignated and amended by USCG-
2002-13147, 69 FR 32870, June 14, 2004]



Sec. 151.2045  What are the mandatory recordkeeping requirements for 

vessels equipped with ballast tanks that are bound for a port or place 
in the United 
          States?

    (a) The master, owner, operator, or person in charge of a vessel 
bound for a port or place in the United States, unless specifically 
exempted by Sec. Sec. 151.2010 or 151.2015 must keep written, 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.

[[Page 301]]

    (8) Change to previously submitted information. Indicate whether the 
information is a change to information previously submitted for this 
voyage.
    (9) 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.
    (10) 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).
    (11) A sample form and the instructions for completing the form are 
in the appendix to this subpart. If you 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.

[USCG-1998-3423, 64 FR 26682, May 17, 1999, as amended at 66 FR 58391, 
Nov. 21, 2001; USCG-2002-13147, 69 FR 32870, June 14, 2004]



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]

[[Page 302]]

  Appendix to Subpart D of Part 151--Ballast Water Reporting Form and 
              Instructions for Ballast Water Reporting Form
[GRAPHIC] [TIFF OMITTED] TR17MY99.001


[[Page 303]]


[GRAPHIC] [TIFF OMITTED] TR17MY99.002


[[Page 304]]


[GRAPHIC] [TIFF OMITTED] TR17MY99.003

    Where to send this form.

[[Page 305]]



------------------------------------------------------------------------
 Vessels equipped with ballast water tanks bound for all ports or places
 within the waters of the United States after operating outside the EEZ
             (which includes the equivalent zone of Canada).
-------------------------------------------------------------------------
                                       You must submit your report as
             Bound for                         detailed below.
------------------------------------------------------------------------
The Great Lakes...................  Fax the information at least 24
                                     hours before the vessel arrives in
                                     Montreal, Quebec, to the USCG COTP
                                     Buffalo, Massena Detachment (315-
                                     769-5032) or to the Saint Lawrence
                                     Seaway Development Corporation (315-
                                     764-3250).
                                    In lieu of faxing, vessels that are
                                     not U.S. or Canadian flagged may
                                     complete the ballast water
                                     information section of the St.
                                     Lawrence Seaway ``Pre-entry
                                     Information from Foreign Flagged
                                     Vessel Form''.
Hudson River north of the George    Fax the information to the COTP New
 Washington Bridge.                  York at (718-354-4249) at least 24
                                     hours before the vessel arrives at
                                     New York, New York.
                                    *Note: Vessels entering COTP New
                                     York Zone which are not bound up
                                     the Hudson River north of George
                                     Washington Bridge should submit the
                                     form in accordance with the
                                     instructions in the following
                                     block.
All other U.S. Ports..............  Report before departing the port or
                                     place of departure if voyage is
                                     less than 24 hours, or at least 24
                                     hours before arrival at the port or
                                     place of destination if the voyage
                                     exceeds 24 hours; and submit the
                                     required information to the
                                     National Ballast Information
                                     Clearinghouse (NBIC) by one of the
                                     following means:
                                    Via the Internet at http://
                                     invasions.si.edu/NBIC/bwform.html;
                                     E-mail to NBIC@BALLASTREPORT.ORG;
                                     Fax to 301-261-4319; orMail the
                                     information to U.S. Coast Guard, c/
                                     o SERC. P.O. Box 28, Edgewater, MD
                                     21037-0028.
------------------------------------------------------------------------


------------------------------------------------------------------------
 Vessels that have not operated outside the EEZ, which are equipped with
  ballast water tanks and are bound for all ports or places within the
                      waters of the United States.
-------------------------------------------------------------------------
                                       You must submit your report as
             Bound for                         detailed below:
------------------------------------------------------------------------
All U.S. ports including the Great  Report before departing the port or
 Lakes and Hudson River North of     place of departure if voyage is
 George Washington Bridge.           less than 24 hours, or at least 24
                                     hours before arrival at the port or
                                     place of destination if the voyage
                                     exceeds 24 hours; and submit the
                                     required information to the
                                     National Ballast Information
                                     Clearinghouse (NBIC) by one of the
                                     following means:
                                    Via the Internet at http://
                                     invasions.si.edu/NBIC/bwform.html;
                                     E-mail to NBIC@BALLASTREPORT.ORG;
                                     Fax to 301-261-4319; orMail to U.S.
                                     Coast Guard, c/o SERC, P.O. Box 28,
                                     Edgewater, MD 21037-0028.
------------------------------------------------------------------------

    If any information changes, send an amended form before the vessel 
departs the waters of the United States.
    An agency may not conduct or sponsor, and a person is not required 
to respond to a collection of information unless it displays a valid OMB 
control number. The Coast Guard estimates that the average burden for 
this report is 35 minutes. You may submit any comments concerning the 
accuracy of this burden estimate or any suggestions for reducing the 
burden to: Commandant (G-MSO), U.S. Coast Guard, 2100 Second St. SW, 
Washington, DC 20593-0001, or Office of Management and Budget, Paperwork 
Reduction Project (1625-0069), Washington, DC 20503.

[USCG-1998-3423, 64 FR 26682, May 17, 1999, as amended at 66 FR 58391, 
Nov. 21, 2001; USCG-2002-13147, 69 FR 32870, June 14, 2004; USCG-2005-
21531, 70 FR 36349, June 23, 2005]



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.

[[Page 306]]

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, Security 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 
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

[[Page 307]]

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.
    (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; USCG-2002-12471, 67 FR 41333, June 18, 2002]

[[Page 308]]



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 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.

[[Page 309]]

 
    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
        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]

[[Page 310]]



                   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. Sec. Sec. 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]



             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

[[Page 311]]

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 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

[[Page 312]]

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 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