[Federal Register Volume 76, Number 189 (Thursday, September 29, 2011)]
[Proposed Rules]
[Pages 60405-60412]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-25034]
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DEPARTMENT OF HOMELAND SECURITY
Coast Guard
46 CFR Part 160
[Docket No. USCG-2011-0076]
RIN 1625-AB60
Inflatable Personal Flotation Devices
AGENCY: Coast Guard, DHS.
ACTION: Notice of proposed rulemaking.
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SUMMARY: On March 30, 2011, the Coast Guard published a direct final
rule that notified the public of the Coast Guard's intent to harmonize
structural and performance standards for inflatable recreational
personal flotation devices (PFDs) with current voluntary industry
consensus standards, and to slightly modify regulatory text in
anticipation of a future rulemaking addressing the population for which
inflatable recreational PFDs are approved (76 FR 17561). As discussed
below, we have received an adverse comment on the direct final rule,
and have withdrawn the direct final rule in a notice of withdrawal
published separately in this issue of the Federal Register. The Coast
Guard seeks comment on the issues raised by the commenters and proposes
to make the same changes to the current regulatory text, as modified
below.
[[Page 60406]]
DATES: Comments and related material must either be submitted to our
online docket via http://www.regulations.gov on or before November 28,
2011 or reach the Docket Management Facility by that date.
ADDRESSES: You may submit comments identified by docket number USCG-
2011-0076 using any one of the following methods:
(1) Federal eRulemaking Portal: http://www.regulations.gov.
(2) Fax: 202-493-2251.
(3) Mail: Docket Management Facility (M-30), U.S. Department of
Transportation, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue, SE., Washington, DC 20590-0001.
(4) Hand delivery: Same as mail address above, between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays. The telephone
number is 202-366-9329.
To avoid duplication, please use only one of these four methods.
See the ``Public Participation and Request for Comments'' portion of
the SUPPLEMENTARY INFORMATION section below for instructions on
submitting comments.
Viewing incorporation by reference material: You may inspect the
material proposed for incorporation by reference at U.S. Coast Guard
Headquarters, 2100 Second Street SW., Washington, DC 20593-0001 between
9 a.m. and 3 p.m. Monday through Friday, except Federal holidays. The
telephone number is 202-372-1394. Copies of the material are available
as indicated in the ``Incorporation by Reference'' section of this
preamble.
FOR FURTHER INFORMATION CONTACT: If you have questions on this proposed
rule, call or e-mail Ms. Brandi Baldwin, Lifesaving and Fire Safety
Division (CG-5214), U.S. Coast Guard, telephone 202-372-1394, e-mail
[email protected]. If you have questions on viewing or
submitting material to the docket, call Renee V. Wright, Program
Manager, Docket Operations, telephone 202-366-9826.
SUPPLEMENTARY INFORMATION:
Table of Contents for Preamble
I. Public Participation and Request for Comments
A. Submitting Comments
B. Viewing Comments and Documents
C. Privacy Act
D. Public Meeting
II. Abbreviations
III. Regulatory History
IV. Background
V. Discussion of the Proposed Rule
A. Incorporations by Reference
B. Conforming Changes
C. Regulatory Text Revisions
VI. Incorporation by Reference
VII. Regulatory Analyses
A. Regulatory Planning and Review
B. Small Entities
C. Assistance for Small Entities
D. Collection of Information
E. Federalism
F. Unfunded Mandates Reform Act
G. Taking of Private Property
H. Civil Justice Reform
I. Protection of Children
J. Indian Tribal Governments
K. Energy Effects
L. Technical Standards
M. Coast Guard Authorization Act Section 608 (46 U.S.C. 2118(a))
N. Environment
I. Public Participation and Request for Comments
We encourage you to participate in this rulemaking by submitting
comments and related materials. All comments received will be posted
without change to http://www.regulations.gov and will include any
personal information you have provided.
A. Submitting Comments
If you submit a comment, please include the docket number for this
rulemaking (USCG-2011-0076), indicate the specific section of this
document to which each comment applies, and provide a reason for each
suggestion or recommendation. You may submit your comments and material
online or by fax, mail, or hand delivery, but please use only one of
these means. We recommend that you include your name and a mailing
address, an e-mail address, or a phone number in the body of your
document so that we can contact you if we have questions regarding your
submission.
To submit your comment online, go to http://www.regulations.gov and
insert ``USCG-2011-0076'' in the ``Keyword'' box. If you submit your
comments by mail or hand delivery, submit them in an unbound format, no
larger than 8\1/2\ by 11 inches, suitable for copying and electronic
filing. If you submit comments by mail and would like to know that they
reached the Facility, please enclose a stamped, self-addressed postcard
or envelope.
We will consider all comments and material received during the
comment period and may change this proposed rule based on your
comments.
B. Viewing Comments and Documents
To view comments, as well as documents mentioned in this preamble
as being available in the docket, go to http://www.regulations.gov,
click on the ``read comments'' box, which will then become highlighted
in blue. In the ``Keyword'' box insert ``USCG-2011-0076'' and click
``Search.'' Click the ``Open Docket Folder'' in the ``Actions'' column.
If you do not have access to the Internet, you may view the docket
online by visiting the Docket Management Facility in Room W12-140 on
the ground floor of the Department of Transportation West Building,
1200 New Jersey Avenue, SE., Washington, DC 20590, between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays. We have an
agreement with the Department of Transportation to use the Docket
Management Facility.
C. Privacy Act
Anyone can search the electronic form of comments received into any
of our dockets by the name of the individual submitting the comment (or
signing the comment, if submitted on behalf of an association,
business, labor union, etc.). You may review a Privacy Act notice
regarding our public dockets in the January 17, 2008 issue of the
Federal Register (73 FR 3316).
D. Public Meeting
We do not now plan to hold a public meeting. But you may submit a
request for one to the docket using one of the methods specified under
ADDRESSES. In your request, explain why you believe a public meeting
would be beneficial. If we determine that one would aid this
rulemaking, we will hold one at a time and place announced by a later
notice in the Federal Register.
II. Abbreviations
ANSI American National Standards Institute
CFR Code of Federal Regulations
DHS Department of Homeland Security
NEPA National Environmental Policy Act of 1969
NPRM Notice of proposed rulemaking
NTTAA National Technology Transfer and Advancement Act
OMB Office of Management and Budget
PFDs Personal Flotation Devices
STP Standards Technical Panel
UL Underwriters Laboratories
USCG United States Coast Guard
III. Regulatory History
On March 30, 2011, we published a direct final rule entitled
``Inflatable Personal Flotation Devices'' in the Federal Register (76
FR 17561). The Coast Guard received three submissions in response to
the direct final rule: One supportive of the rulemaking generally, one
which raised questions about a revision to one of the standards
incorporated by reference, and one adverse comment related to the
deletion of the words ``approved for use by
[[Page 60407]]
adults only'' from the regulations. Because we received an adverse
comment, the Coast Guard is withdrawing the direct final rule in a
notice of withdrawal published separately in this issue of the Federal
Register, and issuing this notice of proposed rulemaking (NPRM)
instead.
This NPRM proposes the same content as the direct final rule with
one change to update a version of an industry standard proposed for
incorporation by reference. The comments received in response to the
direct final rule are discussed below under ``Discussion of the
Proposed Rule.''
IV. Background
The Coast Guard is charged with establishing minimum safety
standards, and procedures and tests required to measure conformance
with those standards, for recreational vessels and associated
equipment. See 46 U.S.C. 4302, and Homeland Security Delegation
0170.1, section II, paragraph (92)(b). Under this authority,
in 1995 the Coast Guard promulgated regulations establishing structural
and performance standards for inflatable recreational PFDs and
procedures and tests necessary for Coast Guard approval of such PFDs
meeting the standards. See 46 CFR part 160, subpart 160.076 (Inflatable
Recreational Personal Floatation Devices); 60 FR 32835 (June 23, 1995).
Subpart 160.076 incorporates by reference three Underwriters
Laboratories (UL) Standards 1180, ``Fully Inflatable Personal Flotation
Devices'' (First Edition); 1191, ``Components for Personal Flotation
Devices'' (Second Edition); and 1123, ``Marine Buoyant Devices'' (Fifth
Edition).
The editions of these UL Standards currently incorporated by
reference into subpart 160.076 were current when the Coast Guard
promulgated subpart 160.076 in 1995. However, UL has since published
newer editions of these Standards that the Coast Guard considers to
contain technological and safety developments since 1995 that are
important to codify in subpart 160.076. In this proposed rule, the
Coast Guard proposes to update the editions of the UL Standards
incorporated by reference in subpart 160.076.
The editions of these UL Standards currently incorporated by
reference in subpart 160.076, as well the editions that will replace
the currently incorporated versions, limit the use of inflatable PFDs
to persons at least 16 years of age and weighing more than 80 pounds.
Therefore, the Coast Guard only approves inflatable PFDs with these age
and weight limitations. When the Coast Guard promulgated subpart
160.076, inflatable PFD-technology was relatively new and the
appropriateness of these devices for children had not yet been
explored. At that time, the Coast Guard stated, ``The Coast Guard
agrees with those comments that suggested that approval of inflatable
PFDs for children is not appropriate at this time. * * * The issue of
inflatable PFDs for children can be revisited after more experience is
gained with the approval of inflatable PFDs for adults.'' 60 FR 32839,
32841. As such, subpart 160.076 currently limits Coast Guard-approved
inflatable PFDs to ``use by adults only.'' 46 CFR 160.076-1(b)(2).
Although the Coast Guard is not yet ready to revisit the issue of
inflatable PFDs for children, the industry has begun considering the
experience it has gained from adults' usage of inflatable PFDs during
the past 15 years, as well as advances in inflatable PFD technology, to
explore the appropriateness of these devices for children and create an
appropriate standard.
In 2009, a member of the PFD industry submitted a proposal to the
UL Standards Technical Panel (STP) proposing new standards for
inflatable PFDs designed for children. The Coast Guard understands that
the UL Standards development effort continues to move forward, and
there may be other standards addressing inflatable PFDs for children in
development. Inflatable PFDs constructed and tested to any new standard
adopted by a consensus body, however, would not be eligible for Coast
Guard approval until that standard is incorporated by reference into
Coast Guard regulations after consideration of the appropriateness of
incorporating such a new standard during a rulemaking that includes an
opportunity for public comment. The Coast Guard plans to initiate such
a rulemaking in the future and is using this rulemaking to prepare for
such a rulemaking as discussed below.
This rulemaking does not constitute approval of the use of
inflatable PFDs for users under 16 years of age or a proposal for such
approval. The newer editions of the UL Standards proposed to be
incorporated by reference in this rule retain requirements for
inflatable PFDs for adult wearers only. While there are still
outstanding concerns relative to the considerations for designing an
inflatable PFD intended for use by wearers under the age of 16, the
Coast Guard recognizes that these matters are being addressed by UL's
STP through the American National Standards Institute (ANSI)-accredited
standards development process. The Coast Guard actively participates in
the STP and continues to work cooperatively with the PFD industry to
develop appropriate design, testing, and marking requirements for
inflatable PFDs for use by children. This rule would facilitate and
encourage the continuation of this process, but is not intended to
resolve any technical issues.
V. Discussion of the Proposed Rule
The Coast Guard proposes to revise 46 CFR part 160, subpart 160.076
to update the editions of the UL Standards incorporated by reference
and to make necessary conforming changes resulting from incorporating
the updated standards. The conforming changes would include removing
test methods, acceptance criteria, and other standards currently
contained in subpart 160.076 that are made redundant by the newer
editions of the UL Standards. The Coast Guard also proposes to make
minor regulatory text revisions to subpart 160.076 that have a non-
substantive effect.
In response to the direct final rule, which included the same
content as proposed below, one commenter expressed support, citing the
removal of barriers to the development of innovative PFDs as leading to
an expected improvement in the quality and variety of inflatable
lifejackets available to the public. The Coast Guard appreciates the
support and seeks public comment on the proposed rule.
A. Incorporations by Reference
The proposal to update the standards incorporated by reference in
46 CFR 160.076-11 is intended to harmonize the requirements for Coast
Guard approval of recreational inflatable PFDs with voluntary industry
consensus standards.
The updated UL Standards proposed for incorporate by reference are
as follows:
UL 1180, ``UL Standard for Safety for Fully Inflatable
Recreational Personal Flotation Devices,'' is updated from the May 1995
version (First Edition) to the February 2009 version (Second Edition);
UL 1191, ``UL Standard for Safety for Components for
Personal Flotation Devices'' is updated from the May 1995 version
(Second Edition) to the August 2011 version (Fourth Edition); and
UL 1123, ``UL Standard for Safety for Marine Buoyant
Devices,'' is updated from the February 1995 version (Fifth Edition) to
the October 2008 version (Seventh Edition).
These updated versions of the UL Standards include revisions that
have
[[Page 60408]]
been evaluated and adopted by UL's STP, the ANSI-accredited Standards
Development Organization for these standards, and reflect the industry-
wide consensus standard for design, manufacturing, and testing of
inflatable PFDs and PFD components. As discussed above in the
``Background'' section, the Coast Guard participated fully in the
development of these standards through its representation on the STP.
1. UL 1180
UL 1180, ``UL Standard for Safety for Fully Inflatable Recreational
Personal Flotation Devices,'' contains the design, construction,
testing, and performance requirements for fully inflatable recreational
PFDs for users over 16 years of age and weighing at least 80 pounds.
Significant revisions in the Second Edition of UL 1180 from the First
Edition include a revision to the temperature cycling test and the
addition of testing requirements for an optional buddy line. The
revision to the temperature cycle narrows the range of temperature
extremes to harmonize with international test methods in the
International Organization for Standardization's ISO 12402-9 ``Personal
flotation devices--Part 9: Test methods.'' The additional testing
requirements for an optional buddy line provides the test procedures
and acceptance criteria for an inflatable PFD equipped with a buddy
line. This addition only impacts manufacturers who choose to equip
inflatable PFDs with the optional buddy line.
In a response to industry seeking approval for inflatable PFD
designs not covered by UL 1180 First Edition, the Second Edition also
includes four new supplements containing requirements for user-assisted
inflatable PFDs, user-convertible manual/automatic inflatable PFDs,
manual inflators without cylinder seal indication, and inflatable work
vests. The supplements address design innovations that manufacturers
developed after publication of the First Edition.
By incorporating by reference UL 1180 Second Edition with these
four new supplements, user-assisted inflatable PFDs, user-convertible
manual/automatic inflatable PFDs, manual inflators without cylinder
seal indication, and inflatable work vests would be able to be approved
under proposed 46 CFR part 160, subpart 160.076 setting forth design
and performance standards for these types of inflatable PFDs.
Currently, in order to review these design innovations for Coast Guard
approval, the Coast Guard has been evaluating each submitted design
innovation in accordance with 46 CFR 160.076-16(g)(2) for an equivalent
measure of safety to the specific standards in subpart 160.076. Section
160.076-13(g)(2) provides for Coast Guard approval of an inflatable PFD
that does not meet the specific standards in subpart 160.076 if the PFD
``provides at least the same degree of safety provided by other PFDs
that meet the requirements of this subpart.'' See also 46 CFR 159.005-
7(e) (providing for similar ``equivalent'' approval, not specific to
PFDs, for lifesaving equipment that ``has equivalent performance
characteristics'' and ``is at least as effective as [equipment] that
meets the requirements [in relevant Coast Guard regulations]''). The
Coast Guard has been evaluating and approving user-assisted inflatable
PFDs, user-convertible manual/automatic inflatable PFDs, manual
inflators without cylinder seal indication, and inflatable work vests
under 46 CFR 160.076-13(g)(2) because the Coast Guard has determined
that they provide at least the same degree of safety that is provided
by inflatable PFDs meeting the standards in subpart 160.076. This
rulemaking would make this extra evaluation under 46 CFR 160.076-
13(g)(2) unnecessary for user-assisted inflatable PFDs, user-
convertible manual/automatic inflatable PFDs, manual inflators without
cylinder seal indication, and inflatable work vests; these types of
PFDs would be reviewed for compliance with the specific standards set
forth in the proposed subpart 160.076.
UL 1180 Second Edition also includes the option for the laboratory
conducting required performance tests to use youth subjects who fit the
necessary size requirements (e.g., weight and chest circumference) in
the testing of adult-sized PFDs, where appropriately sized adult
subjects are not available. This new option, however, would not affect
the Coast Guard approval of inflatable PFDs for use by adults only. Use
of youth subjects is limited to performance testing only.
UL 1180 Second Edition also includes editorial changes to correct
typos and erroneous internal references. These editorial changes
clarify the requirements for the body, primary closure, collar,
shoulder, and secondary closure strength tests; revise the format of
the labels required by 46 CFR 160.076-39, but do not change the
required information; add a definition of ``white-water paddling'';
move component and material tests from UL 1180 to UL 1191; and renumber
the paragraphs in UL 1180. These changes would have no substantive
effect on Coast Guard approval of inflatable PFDs.
2. UL 1191
UL 1191, ``UL Standard for Safety for Components for Personal
Flotation Devices,'' contains the construction, testing, and
performance requirements for the materials and components used in the
construction of PFDs generally. Several revisions in the Fourth Edition
of UL 1191 from the Second Edition are not relevant to this rulemaking
because the revisions address only inherently buoyant and hybrid PFDs,
not inflatable PFDs. This rulemaking only addresses inflatable PFDs,
and incorporating by reference the Fourth Edition into 46 CFR part 160,
subpart1 160.076 only incorporates the portions of UL 1191 pertaining
to inflatable PFDs.
In the direct final rule, the Coast Guard intended to incorporate
the December 2008 version of the Fourth Edition of UL 1911 (including
changes through February 27, 2009). One commenter expressed
disagreement with a specific revision made to that version of UL 1191,
which increased the tolerance for the minimum gross weight of inflation
gas cylinders from 10% to 15%. Following publication of the direct
final rule, UL 1191 was revised in August 2011 to return this value to
10%. No other changes were made in the August 2011 revision. The Coast
Guard proposes to incorporate the most current version of the Fourth
Edition of UL 1991, which includes changes through August 2011, and
which contains the revision to the tolerance on the minimum gross
weight of inflation gas cylinders.
The other most notable substantive changes in UL 1191 Fourth
Edition specific to inflatable PFDs are the addition of testing and
performance standards for automatic and convertible manual/automatic
inflation systems. When the Coast Guard first promulgated 46 CFR part
160, subpart 160.076 in 1995, the only design for an inflatable PFD
involved manual activation of the inflation mechanism. Since then,
automatic and convertible manual/automatic inflation systems have been
developed, and nearly half of the inflatable PFD designs available in
the U.S. market utilize automatic inflation. The addition of testing
and performance standards for automatic and convertible manual/
automatic inflation systems covers the innovative designs created by
manufacturers since the Second Edition. As discussed above, the Coast
Guard has been approving inflatable PFDs using automatic or convertible
manual/automatic inflation systems under 46 CFR 160.076-13(g)(2)
because they
[[Page 60409]]
provide at least the same degree of safety provided by inflatable PFDs
meeting the standards in 46 CFR part 160, subpart 160.076. By
incorporating UL 1191 Fourth Edition, inflatable PFDs using automatic
or convertible manual/automatic inflation systems would be approved
under the specific standards set forth in proposed subpart 160.076,
rather than as equivalent safety devices.
UL 1191 Fourth Edition includes minor substantive changes from the
Second Edition that provide greater flexibility to manufacturers in
performing required tests or clarify existing requirements. The Fourth
Edition eliminates the perchloroethylene exposures during the
Operability/Discharge Test because this test was determined not to be
representative of the user environment of an inflatable PFD and
therefore inapplicable as a safety test. The Fourth Edition also adds
Xenon exposure as an optional accelerated weathering method to provide
manufacturers another option to choose from for the required weathering
tests. The Fourth Edition includes, for the first time, specifications
for the water hardness and liquid detergent used for conditioning PFD
components and materials to clarify certain test requirements and
ensure repeatable test results. The Fourth Edition adds clarifying
language to the test procedure for evaluating torsional stiffness of
tie tapes.
The Fourth Edition also includes one substantive change to
incorporate directly in UL 1191 a portion of the requirements currently
contained in subpart 160.076. The Fourth Edition contains the
additional marking requirements for inflation systems currently
required by 46 CFR 160.067-39(e). Because the Fourth Edition includes
the additional marking requirements, these requirements would be
deleted from the regulatory text in section 160.067-39(e), as discussed
below in the ``Conforming Changes'' section.
The Fourth Edition also includes editorial changes to correct typos
and references to clarify the inflation system discharge test procedure
and the maximum crack pressure for the operability test.
3. UL 1123
UL 1123, ``UL Standard for Safety for Marine Buoyant Devices,''
contains the design, construction, testing, and performance
requirements for inherently buoyant recreational PFDs. The Coast Guard
uses this standard in 46 CFR part 160, subpart 160.076 only to define
the format and content of the informational pamphlet required by 46 CFR
160.076-35. The only revision in UL 1123 Seventh Edition relevant to
inflatable PFDs is the removal of the statement in the standard
erroneously indicating a sole publisher of the pamphlet. As such, this
revision would have no impact on Coast Guard approval of inflatable
PFDs.
B. Conforming Changes
Because of the aforementioned proposed updates to the UL Standards
incorporated by reference, the Coast Guard proposes to make several
conforming changes to the regulatory text to account for the revisions
in the newer editions of the UL Standards.
The Coast Guard proposes to remove regulatory text that addresses
requirements for inflatable PFDs that are contained in the UL 1180
Second Edition or UL 1191 Fourth Edition. Specifically, the Coast Guard
proposes to delete from 46 CFR 160.076-21(b)-(c) and 160.076-
25(d)(2)(i)-(iv) the requirements and acceptance criteria for the grab
breaking strength, tear strength, seam strength, and permeability tests
for inflation chamber materials, which are included in the UL 1191
Fourth Edition. The Coast Guard also proposes to delete the repacking
and rearming test from 45 CFR 160.076-25(c) and the requirements for
marking inflation mechanisms from 46 CFR 160.076-21(d) and 160.076-
39(e) because these provisions are included in the UL 1180 Second
Edition. The deletion of this regulatory text would have no substantive
effect on the requirements for Coast Guard approval of recreational
inflatable PFDs, because the requirements are retained in the updated
UL Standards incorporated by reference in revised 46 CFR 160.076-11.
Because incorporating a standard by reference is treated as if the
requirements of the standards are published in the CFR, retaining this
regulatory text would be redundant.
The Coast Guard also proposes to remove standards currently
incorporated by reference in subpart 160.076 that would apply through
the newer edition of UL 1191. Because these standards would still apply
to inflatable PFDs through the UL 1191 Fourth Edition incorporated by
reference in subpart 160.076, it would be redundant to retain the
standards in subpart 160.076 text. Specifically, the Coast Guard
proposes to remove Federal Test Method Standard No. 191A (Federal
Standard for Textile Test Methods), American Society for Testing and
Materials' ASTM D 751-95 (Standard Test Methods for Coated Fabrics),
and ASTM D 1434-82 (Standard Test Method for Determining Gas
Permeability Characteristics of Plastic Film and Sheeting), because
those standards, or equivalent test methods, are referenced in UL 1191
Fourth Edition.
Finally, for the updated standards, the Coast Guard proposes
editorial changes throughout the subpart to resolve references to
deleted paragraphs, to update or remove cross-references to specific
sections of the UL Standards, and to conform the formatting of
incorporated references to current Federal Register requirements.
C. Regulatory Text Revisions
To prepare for a future rulemaking addressing inflatable PFDs for
use by children, the Coast Guard proposes to remove from Sec. 160.076-
1 (Scope) the words ``approved for use by adults only.'' This removal,
however, would have no substantive effect on Coast Guard approval of
inflatable PFDs because the editions of the UL Standards that would
replace the editions currently incorporated by reference in subpart
160.076 still limit the use of inflatable PFDs to persons who are at
least 16 years of age and weigh more than 80 pounds. Removing these
words would prepare subpart 160.076 for a future rulemaking because, if
the Coast Guard decides as part of that future rulemaking to extend the
use of inflatable PFDs to children, the Coast Guard anticipates it will
do so by again updating the standards incorporated by reference, which
would be the only place in subpart 160.076 that contains age and weight
limitations after the effective date of this proposed rulemaking.
In response to the direct final rule, one commenter expressed
concern that deleting the words ``approved for use by adults only''
would create a perception that inflatable PFDs for youth would be
available on the date the rule went into effect, would facilitate teens
using existing inflatable PFDs, and would enable marketing of existing
inflatable PFDs to youth. The commenter also expressed concern that
this rulemaking is premature in light of work that still needs to be
done to evaluate sizing requirements for infant or child PFDs. The
Coast Guard seeks comment on this issue.
The Coast Guard also proposes revising Sec. 160.076-19 (Recognized
laboratories) to replace the reference to Underwriters Laboratories
(UL) as the sole recognized laboratory for testing of inflatable PFDs
and PFD components with a reference to the Coast Guard's Marine
Information Exchange (CGMIX) Web site, where all Coast Guard-
[[Page 60410]]
recognized laboratories are listed. When subpart 160.076 was initially
published in 1995, UL was, and currently continues to be, the only
laboratory recognized by the Coast Guard for approval testing and
production oversight of Coast Guard-approved inflatable PFDs under this
subpart. However, additional laboratories may be recognized by the
Coast Guard to perform these functions. In order to maintain a listing
of recognized laboratories outside of the regulatory text consistent
with such listings and information for other types of lifesaving
equipment, the Coast Guard proposes to replace the list in subpart
160.076 with the reference to where to find the list on the CGMIX.
VI. Incorporation by Reference
Material proposed for incorporation by reference appears in
proposed 46 CFR 160.076-11. You may inspect this material at U.S. Coast
Guard Headquarters where indicated under ADDRESSES. Copies of the
material are available from the sources listed in paragraph (b) of
Sec. 160.076-11.
Before publishing a binding rule, the Coast Guard will submit this
material to the Director of the Federal Register for approval of the
incorporation by reference.
VII. Regulatory Analyses
We developed this rule after considering numerous statutes and
executive orders related to rulemaking. Below we summarize our analyses
based on 14 of these statutes or executive orders.
A. Regulatory Planning and Review
Executive Orders 12866 (``Regulatory Planning and Review'') and
13563 (``Improving Regulation and Regulatory Review'') direct agencies
to assess the costs and benefits of available regulatory alternatives
and, if regulation is necessary, to select regulatory approaches that
maximize net benefits (including potential economic, environmental,
public health and safety effects, distributive impacts, and equity).
Executive Order 13563 emphasizes the importance of quantifying both
costs and benefits, of reducing costs, of harmonizing rules, and of
promoting flexibility. This NPRM has not been designated a
``significant regulatory action'' under section 3(f) of Executive Order
12866. Accordingly, the NPRM has not been reviewed by the Office of
Management and Budget. A draft regulatory assessment follows:
The Coast Guard does not expect this rulemaking to result in
additional costs to industry, as manufacturers of Coast Guard-approved
inflatable PFDs already follow the editions of the UL Standards being
incorporated by reference into 46 CFR part 160, subpart 160.076 by this
rulemaking. The Coast Guard requires approval tests to be performed by
an independent laboratory recognized by the Coast Guard under 46 CFR
part 159, subpart 159.010. Currently, UL is the only recognized
independent laboratory for inflatable PFDs, and UL requires
manufacturers to conform to its most current standards, which are the
editions being incorporated by reference into subpart 160.076.
Additionally, UL offers a certification for recreational inflatable
PFDs that conform to UL's most current standards. The UL certification
provides a product liability benefit to manufacturers, and obtaining
the UL certification has become an industry custom for manufacturers of
commercially-sold recreational inflatable PFDs.
As described above, industry is currently following the editions of
the UL Standards incorporated by reference into subpart 160.076 in this
rulemaking, and PFD manufacturers will adhere to these standards
regardless of whether this rule is promulgated. Therefore, this
modification to 46 CFR part 160, subpart 160.076 is not expected to
impose a burden on industry.
In addition, the Coast Guard does not expect removing the language
``approved for use by adults only'' in 46 CFR 160.076-1 to have a
substantive impact because the Coast Guard will continue approving
recreational inflatable PFDs with the current age and weight
limitations. As discussed above in the ``Discussion of the Rule''
section, the age and weight limitations are found in current editions
of the UL Standards incorporated in subpart 160.076 and are retained in
the newer editions of the UL Standards proposed to be incorporated by
reference into subpart 160.076 in this rulemaking. The remaining
changes to subpart 160.076 are minor editorial updates. Please see the
``Discussion of the Rule'' section above for additional details.
The primary benefit of this rulemaking would be the increase in
regulatory efficiencies in the maritime community by harmonizing Coast
Guard regulations in 46 CFR part 160, subpart 160.076 with current
voluntary industry consensus standards. This rulemaking would result in
greater consistency between Coast Guard regulations and consensus
standards and would reduce burdens on manufacturers who currently have
to maintain multiple editions of the UL Standards to comply with Coast
Guard regulations, to use UL as an independent laboratory to perform
required tests, and to obtain the UL certification. This rulemaking
would also result in better compliance with the National Technology
Transfer and Advancement Act (NTTAA), which directs agencies to use
voluntary consensus standards in their regulatory activities.
Because the rulemaking would harmonize subpart 160.076 with
existing UL Standards, any ambiguity associated with inflatable PFD
standards would be reduced. Harmonization of these standards is
important to fulfill the Coast Guard's mission of establishing minimum
safety standards, and procedures and tests required to measure
conformance with those standards, for recreational vessels and
associated equipment.
B. Small Entities
Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have
considered whether this rulemaking would have a significant economic
impact on a substantial number of small entities. The term ``small
entities'' comprises small businesses, not-for-profit organizations
that are independently owned and operated and are not dominant in their
fields, and governmental jurisdictions with populations of fewer than
50,000 people.
The Coast Guard expects that this rule would not have an impact on
small entities. As described in the ``Regulatory Planning and Review''
section, we do not expect this rule would result in additional costs to
industry. However, this rule would improve efficiency by providing
consistency between Coast Guard regulations and UL Standards.
Therefore, the Coast Guard certifies that under 5 U.S.C. 605(b), this
proposed rule, if promulgated, will not have a significant economic
impact on a substantial number of small entities.
If you think that your business, organization, or governmental
jurisdiction qualifies as a small entity and that this rule would have
a significant economic impact on it, please submit a comment to the
Docket Management Facility at the address under ADDRESSES. In your
comment, explain why you think your business or organization qualifies,
as well as how and to what degree this rule will economically affect
it.
C. Assistance for Small Entities
Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we offer to assist small
entities in understanding the rule so that they can
[[Page 60411]]
better evaluate its effects on them and participate in the rulemaking
process.
Small businesses may send comments on the actions of Federal
employees who enforce, or otherwise determine compliance with, Federal
regulations to the Small Business and Agriculture Regulatory
Enforcement Ombudsman and the Regional Small Business Regulatory
Fairness Boards. The Ombudsman evaluates these actions annually and
rates each agency's responsiveness to small business. If you wish to
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR
(1-888-734-3247). The Coast Guard will not retaliate against small
entities that question or complain about this rule or any policy or
action of the Coast Guard.
D. Collection of Information
This rule calls for no new collection of information under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).
E. Federalism
A rule has implications for federalism under Executive Order 13132,
Federalism, if the rule has a substantial direct effect on State or
local governments and would either preempt State law or impose a
substantial direct cost of compliance on them. We have analyzed this
rule under that Order and have determined that it does not have
implications for federalism.
F. Unfunded Mandates Reform Act
The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 (adjusted for
inflation) or more in any one year. Though this rule would not result
in such an expenditure, we do discuss the effects of this rule
elsewhere in this preamble.
G. Taking of Private Property
This rule would not cause a taking of private property or otherwise
have taking implications under Executive Order 12630, Governmental
Actions and Interference with Constitutionally Protected Property
Rights.
H. Civil Justice Reform
This rule meets the applicable standards in sections 3(a) and
3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize
litigation, eliminate ambiguity, and reduce burden.
I. Protection of Children
We have analyzed this rule under Executive Order 13045, Protection
of Children from Environmental Health Risks and Safety Risks. This rule
is not an economically significant rule and would not create an
environmental risk to health or risk to safety that may
disproportionately affect children.
J. Indian Tribal Governments
This rule does not have tribal implications under Executive Order
13175, Consultation and Coordination with Indian Tribal Governments,
because it would not have a substantial direct effect on one or more
Indian tribes, on the relationship between the Federal Government and
Indian tribes, or on the distribution of power and responsibilities
between the Federal Government and Indian tribes.
K. Energy Effects
We have analyzed this rule under Executive Order 13211, Actions
Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use. We have determined that it is not a ``significant
energy action'' under that order because it is not a ``significant
regulatory action'' under Executive Order 12866 and is not likely to
have a significant adverse effect on the supply, distribution, or use
of energy. The Administrator of the Office of Information and
Regulatory Affairs has not designated it as a significant energy
action. Therefore, it does not require a Statement of Energy Effects
under Executive Order 13211.
L. Technical Standards
The National Technology Transfer and Advancement Act (NTTAA) (15
U.S.C. 272 note) directs agencies to use voluntary consensus standards
in their regulatory activities unless the agency provides Congress,
through the Office of Management and Budget, with an explanation of why
using these standards would be inconsistent with applicable law or
otherwise impractical. Voluntary consensus standards are technical
standards (e.g., specifications of materials, performance, design, or
operation; test methods; sampling procedures; and related management
systems practices) that are developed or adopted by voluntary consensus
standards bodies.
This rule uses the following voluntary consensus standards: UL
1123, ``UL Standard for Safety for Marine Buoyant Devices''; UL 1180,
``UL Standard for Safety for Fully Inflatable Recreational Personal
Flotation Devices''; and UL 1191, ``UL Standard for Safety for
Components for Personal Flotation Devices.''
M. Coast Guard Authorization Act Sec. 608 (46 U.S.C. 2118(a))
Section 608 of the Coast Guard Authorization Act of 2010 (Pub. L.
111-281) adds new section 2118 to 46 U.S.C. Subtitle II (Vessels and
Seamen), Chapter 21 (General). New section 2118(a) sets forth
requirements for standards established for approved equipment required
on vessels subject to 46 U.S.C. Subtitle II (Vessels and Seamen), Part
B (Inspection and Regulation of Vessels). Those standards must be ``(1)
based on performance using the best available technology that is
economically achievable; and (2) operationally practical.'' See 46
U.S.C. 2118(a). This rulemaking addresses inflatable recreational PFDs
for Coast Guard approval that are required on vessels subject to 46
U.S.C. Subtitle II, Part B, and the Coast Guard has ensured this rule
satisfies the requirements of 46 U.S.C. 2118(a), as necessary.
N. Environment
We have analyzed this rule under Department of Homeland Security
Management Directive 023-01 and Commandant Instruction M16475.lD, which
guide the Coast Guard in complying with the National Environmental
Policy Act of 1969 (NEPA)(42 U.S.C. 4321-4370f), and have made a
preliminary determination that this action is one of a category of
actions that does not individually or cumulatively have a significant
effect on the human environment. A preliminary environmental analysis
checklist supporting this determination is available in the docket
where indicated under the ``Public Participation and Request for
Comments'' section of this preamble. This rule involves personal
flotation device standards and falls under regulations concerning
safety equipment described in section 6(a) of the ``Appendix to
National Environmental Policy Act: Coast Guard Procedures for
Categorical Exclusions, Notice of Final Agency Policy'' (67 FR 48244,
July 23, 2002). We seek any comments or information that may lead to
the discovery of a significant environmental impact from this proposed
rule.
List of Subjects in 46 CFR Part 160
Marine safety, Incorporation by reference, Reporting and
recordkeeping requirements.
For the reasons discussed in the preamble, the Coast Guard proposes
to amend 46 CFR part 160 as follows:
[[Page 60412]]
PART 160--LIFESAVING EQUIPMENT
1. The authority citation for part 160 is revised to read as
follows:
Authority: 46 U.S.C. 2103, 3306, 3703 and 4302; E.O. 12234; 45
FR 58801; 3 CFR, 1980 Comp., p. 277; 49 CFR 1.46; and Department of
Homeland Security Delegation No. 0170.1.
2. Revise Sec. 160.076-1 to read as follows:
Sec. 160.076-1 Scope.
* * * * *
(b) Inflatable PFDs approved under this subpart rely entirely upon
inflation for buoyancy.
Sec. 160.076-7 [Amended]
3. Amend Sec. 160.076-7(b) by adding the words ``(incorporated by
reference, see 160.076-11)'' after the words ``UL 1180''.
Sec. 160.076-9 [Amended]
4. Amend Sec. 160.076-9(b) by adding the words ``(incorporated by
reference, see 160.076-11)'' after the words ``UL 1180''.
5. Amend Sec. 160.076-11 as follows:
a. In paragraph (a), remove the first occurrence of the words
``paragraph (b) of'', which appears after the words ``one listed in''.
b. Revise paragraph (b) to read as follows:
Sec. 160.076-11 Incorporation by reference.
* * * * *
(b) Underwriters Laboratories (UL) Underwriters Laboratories, Inc.,
333 Pfingsten Road, Northbrook, IL 60062-2096 (Phone (847) 272-8800;
Facsimile: (847) 272-8129).
(1) UL Standard for Safety for Marine Buoyant Devices, UL 1123,
Seventh Edition including revisions through February 14, 2011, October
1, 2008, (``UL 1123''), incorporation by reference approved for Sec.
160.076-35.
(2) UL Standard for Safety for Fully Inflatable Recreational
Personal Flotation Devices, UL 1180, Second Edition including revisions
through December 3, 2010, February 13, 2009, (``UL 1180''),
incorporation by reference approved for Sec. Sec. 160.076-7; 160-076-
9; 160.076-21; 160.076-23; 160.076-25; 160.076-31; 160.076-37; and
160.076-39.
(3) UL Standard for Safety for Components for Personal Flotation
Devices, UL1191, Fourth Edition including revisions through August 24,
2011, December 12, 2008, (``UL 1191''), incorporation by reference
approved for Sec. Sec. 160.076-21; 160.076-25; 160.076-29; and
160.076-31.
6. Revise Sec. 160.076-19 to read as follows:
Sec. 160.076-19 Recognized laboratories.
The approval and production oversight functions that this subpart
requires to be conducted by a recognized laboratory must be conducted
by an independent laboratory recognized by the Coast Guard under
subpart 159.010 of part 159 of this chapter to perform such functions.
A list of recognized independent laboratories is available from the
Commandant and online at http://cgmix.uscg.mil.
7. Revise Sec. 160.076-21 to read as follows:
Sec. 160.076-21 Component materials.
Each component material used in the manufacture of an inflatable
PFD must--
(a) Meet the applicable requirements of subpart 164.019 of this
chapter, UL 1191 and UL 1180 (incorporated by reference, see Sec.
160.076-11), and this section; and
(b) Be of good quality and suitable for the purpose intended.
Sec. 160.076-23 [Amended]
8. Amend Sec. 160.076-23 by adding the words ``(incorporated by
reference, see Sec. 160.076-11)'' after the words ``UL 1180''.
9. Amend Sec. 160.076-25 as follows:
a. In paragraph (a), after the words ``UL 1180'', add the words
``(incorporated by reference, see Sec. 160.076-11)'';
b. Remove and reserve paragraph (c); and
c. Revise paragraph (d) to read as follows.
Sec. 160.076-25 Approval Testing.
* * * * *
(d) Each PFD design must be visually examined for compliance with
the construction and performance requirements of Sec. Sec. 160.076-21
and 160.076-23 and UL 1180 and UL 1191 (incorporated by reference, see
Sec. 160.076-11).
* * * * *
10. Amend Sec. 160.076-29 as follows:
a. In paragraph (d), remove the words ``in accordance with UL
1180''; and
b. Revise paragraph (e)(4)(i) to read as follows:
Sec. 160.076-29 Production oversight.
* * * * *
(e) * * *
(4) * * *
(i) Samples must be selected from each lot of incoming material.
Unless otherwise specified, Table 29.1 of UL 1191 (incorporated by
reference, see Sec. 160.076-11) prescribes the number of samples to
select.
* * * * *
Sec. 160.076-31 [Amended]
11. Amend Sec. 160.076-31 as follows:
a. In paragraph (c)(1), remove the words ``The average and
individual results of testing the minimum number of samples prescribed
by Sec. 160.076-25(d)(2)'' and add, in their place, the words ``The
materials in each inflatable chamber''; and remove the words ``Sec.
160.076-21(b) and (c)'' and add, in their place, the words ``Table 29.1
of UL 1191 (incorporated by reference, see Sec. 160.076-11)'';
b. In paragraph (c)(2), remove the words ``Sec. 160.076-
21(d)(2)(iv). The results for each inflation chamber must be at least
90% of the results obtained in approval testing'' and add, in their
place, the words ``Table 29.1 of UL 1191.'';
c. In paragraph (c)(3), after the words ``UL 1180'', add the words
``(incorporated by reference, see Sec. 160.076-11)'', and remove the
number ``7.15'', and add, in its place, the number ``41'';
d. In paragraph (c)(4), after the words ``UL 1180'', remove the
number ``7.16'', and add, in its place, the number ``42'';
e. In paragraph (c)(5), after the words ``UL 1180'', remove the
words ``7.2.2, 7.2.10, except 7.2.5'' and add, in their place, the
number ``29''; and
f. In paragraph (c)(6), after the words ``UL 1180'', remove the
words ``7.4.1 and .2'' and add, in their place, the number ``31''.
Sec. 160.076-35 [Amended]
12. Amend Sec. 160.076-35 by adding the words ``(incorporated by
reference, see Sec. 160.076-11)'' after the words ``UL 1123''.
Sec. 160.076-37 [Amended]
13. Amend Sec. 160.076-37(b) by removing the words ``section 11 of
'' after the words ``specified in'' and by adding the words
``(incorporated by reference, see Sec. 160.076-11)'' after the words
``UL 1180''.
Sec. 160.076-39 [Amended]
14. Amend Sec. 160.076-39 as follows:
a. In Sec. 160.076-39(a), remove the words ``section 10'' after
the words ``UL 1180'' and add, in their place, the words
``(incorporated by reference, see Sec. 160.076-11)''; and
b. Remove paragraph (e).
Dated: September 23, 2011.
J.G. Lantz,
Director of Commercial Regulations and Standards, U.S. Coast Guard.
[FR Doc. 2011-25034 Filed 9-28-11; 8:45 am]
BILLING CODE 9110-04-P