[Title 33 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 1997 Edition]
[From the U.S. Government Publishing Office]
[[Page i]]
33
Navigation and Navigable Waters
PARTS 125 TO 199
Revised as of July 1, 1997
CONTAINING
A CODIFICATION OF DOCUMENTS
OF GENERAL APPLICABILITY
AND FUTURE EFFECT
AS OF JULY 1, 1997
With Ancillaries
Published by
the Office of the Federal Register
National Archives and Records
Administration
as a Special Edition of
the Federal Register
[[Page ii]]
U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON : 1997
For sale by U.S. Government Printing Office
Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328
[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 33:
Chapter I--Coast Guard, Department of Transportation
(Continued)........................................... 3
Finding Aids:
Material Approved for Incorporation by Reference.......... 739
Table of CFR Titles and Chapters.......................... 745
Alphabetical List of Agencies Appearing in the CFR........ 761
List of CFR Sections Affected............................. 771
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Cite this Code: CFR
To cite the regulations in this volume use title, part
and section number. Thus, 33 CFR 125.01 refers to title
33, part 125, section 01.
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[[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
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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
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To determine whether a Code volume has been amended since its
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EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
Register since the last revision of that volume of the Code. Source
citations for the regulations are referred to by volume number and page
number of the Federal Register and date of publication. Publication
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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
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requirements.
OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
the cover of each volume are not carried. Code users may find the text
of provisions in effect on a given date in the past by using the
appropriate numerical list of sections affected. For the period before
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For
the period beginning January 1, 1986, a ``List of CFR Sections
Affected'' is published at the end of each CFR volume.
INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was
established by statute and allows Federal agencies to meet the
requirement to publish regulations in the Federal Register by referring
to materials already published elsewhere. For an incorporation to be
valid, the Director of the Federal Register must approve it. The legal
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if it were published in full in the Federal Register (5 U.S.C. 552(a)).
This material, like any other properly issued regulation, has the force
of law.
What is a proper incorporation by reference? The Director of the
Federal Register will approve an incorporation by reference only when
the requirements of 1 CFR part 51 are met. Some of the elements on which
approval is based are:
(a) The incorporation will substantially reduce the volume of
material published in the Federal Register.
(b) The matter incorporated is in fact available to the extent
necessary to afford fairness and uniformity in the administrative
process.
(c) The incorporating document is drafted and submitted for
publication in accordance with 1 CFR part 51.
Properly approved incorporations by reference in this volume are
listed in the Finding Aids at the end of this volume.
What if the material incorporated by reference cannot be found? If
you have any problem locating or obtaining a copy of material listed in
the Finding Aids of this volume as an approved incorporation by
reference, please contact the agency that issued the regulation
containing that incorporation. If, after contacting the agency, you find
the material is not available, please notify the Director of the Federal
Register, National Archives and Records Administration, Washington DC
20408, or call (202) 523-4534.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
separate volume, revised annually as of January 1, entitled CFR Index
and Finding Aids. This volume contains the Parallel Table of Statutory
Authorities and Agency Rules (Table I), and Acts Requiring Publication
in the Federal Register (Table II). A list of CFR titles, chapters, and
parts and an alphabetical list of agencies publishing in the CFR are
also included in this volume.
An index to the text of ``Title 3--The President'' is carried within
that volume.
The Federal Register Index is issued monthly in cumulative form.
This index is based on a consolidation of the ``Contents'' entries in
the daily Federal Register.
[[Page vii]]
A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing
in the Code of Federal Regulations.
INQUIRIES
For a legal interpretation or explanation of any regulation in this
volume, contact the issuing agency. The issuing agency's name appears at
the top of odd-numbered pages.
For inquiries concerning CFR reference assistance, call 202-523-5227
or write to the Director, Office of the Federal Register, National
Archives and Records Administration, Washington, DC 20408.
SALES
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Raymond A. Mosley,
Director,
Office of the Federal Register.
July 1, 1997.
[[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, 1997. The first and
second volumes, parts 1-124 and 125-199, contain current regulations of
the Coast Guard, Department of Transportation. The third volume, part
200 to End, contains current regulations of the Corps of Engineers,
Department of the Army, and the Saint Lawrence Seaway Development
Corporation, Department of Transportation.
In the second volume a subject index for Subchapter N--Outer
Continental Shelf Activities follows the subchapter in parts 140-147. A
redesignation table also appears in the Finding Aids section of the
first volume.
For this volume, Ruth Reedy Green was Chief Editor. The Code of
Federal Regulations publication program is under the direction of
Frances D. McDonald, assisted by Alomha S. Morris.
[[Page x]]
[[Page 1]]
TITLE 33--NAVIGATION AND NAVIGABLE WATERS
(This book contains parts 125 to 199)
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Part
Chapter i--Coast Guard, Department of Transportation
(Continued)............................................... 125
[[Page 3]]
CHAPTER I--COAST GUARD, DEPARTMENT OF TRANSPORTATION (CONTINUED)
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SUBCHAPTER L--WATERFRONT FACILITIES
Part Page
125 Identification credentials for persons
requiring access to waterfront
facilities or vessels................... 7
126 Handling of Class 1 (explosive) materials or
other dangerous cargoes within or
contiguous to waterfront facilities..... 16
127 Waterfront facilities handling liquefied
natural gas and liquefied hazardous gas. 24
128 Security of passenger terminals............. 48
SUBCHAPTER M--MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION
130 Financial responsibility for water pollution 51
133 Oil spill liability trust fund; state access 71
135 Offshore oil pollution compensation fund.... 73
136 Oil spill liability trust fund; claims
procedures; designation of source; and
advertisement........................... 81
138 Financial Responsibility for water pollution
(vessels)............................... 91
SUBCHAPTER N--OUTER CONTINENTAL SHELF ACTIVITIES
140 General..................................... 143
141 Personnel................................... 149
142 Workplace safety and health................. 153
143 Design and equipment........................ 156
144 Lifesaving appliances....................... 159
145 Fire-fighting equipment..................... 163
146 Operations.................................. 164
147 Safety zones................................ 171
[[Page 4]]
Index....................................... 177
SUBCHAPTER NN--DEEPWATER PORTS
148 General..................................... 184
149 Design, construction, and equipment......... 210
150 Operations.................................. 225
SUBCHAPTER O--POLLUTION
151 Vessels carrying oil, noxious liquid
substances, garbage, municipal or
commercial waste, and ballast water..... 244
153 Control of pollution by oil and hazardous
substances, discharge removal........... 279
154 Facilities transferring oil or hazardous
material in bulk........................ 286
155 Oil or hazardous material pollution
prevention regulations for vessels...... 359
156 Oil and hazardous material transfer
operations.............................. 423
157 Rules for the protection of the marine
environment relating to tank vessels
carrying oil in bulk.................... 435
158 Reception facilities for oil, noxious liquid
substances, and garbage................. 496
159 Marine sanitation devices................... 507
SUBCHAPTER P--PORTS AND WATERWAYS SAFETY
160 Ports and waterways safety--general......... 520
161 Vessel traffic management................... 527
162 Inland waterways navigation regulations..... 545
163 Towing of barges............................ 567
164 Navigation safety regulations............... 568
165 Regulated navigation areas and limited
access areas............................ 590
166 Shipping safety fairways.................... 650
167 Offshore traffic separation schemes......... 661
168 Escort requirements for certain tankers..... 665
SUBCHAPTERS Q--R--[RESERVED]
SUBCHAPTER S--BOATING SAFETY
173 Vessel numbering and casualty and accident
reporting............................... 669
174 State numbering and casualty reporting
systems................................. 675
175 Equipment requirements...................... 679
177 Correction of especially hazardous
conditions.............................. 684
[[Page 5]]
179 Defect notification......................... 688
181 Manufacturer requirements................... 690
183 Boats and associated equipment.............. 695
184--186 [Reserved]
187 Vessel identification system................ 729
188--199 [Reserved]
Cross References: United States Customs Service, Department of the
Treasury: 19 CFR Chapter I.
Coast Guard regulations relating to shipping: 46 CFR Chapter I.
Federal Communications Commission: Stations on shipboard in the maritime
services: 47 CFR, Part 80.
Maritime Administration, Department of Transportation: 46 CFR Chapter
II.
Federal Maritime Commission: 46 CFR Chapter IV.
Note: Other regulations issued by the Department of Transportation
appear in Titles 14, I; 23, I, II; 33, I, IV; 44, IV; 46, I, II, III;
48, Chapter 12, and 49 Subtitle A, I, II, III, IV, V, and VI.
Abbreviations: The following abbreviations are used in this chapter:
BMC=Chief Boatswains Mate. CGFR=Coast Guard Federal Register
document number. CG=Coast Guard. EM=Electrician's Mate.
LS=Lightship. NC=Flag hoist meaning, ``I am in distress and require
immediate assistance.'' NCG=Call letters for any Coast Guard Shore
Radio Station. OAN=Aids to Navigation Division. PTP=Training and
Procurement. U.S.C.G.=United States Coast Guard.
[[Page 7]]
SUBCHAPTER L--WATERFRONT FACILITIES
PART 125--IDENTIFICATION CREDENTIALS FOR PERSONS REQUIRING ACCESS TO WATERFRONT FACILITIES OR VESSELS--Table of Contents
Sec.
125.01 Commandant.
125.03 District Commander.
125.05 Captain of the Port.
125.06 Western rivers.
125.07 Waterfront facility.
125.08 Great Lakes.
125.09 Identification credentials.
125.11 Form of Coast Guard Port Security Card.
125.12 Period of validity of Coast Guard Port Security Cards.
125.13 Captain of the Port Identification Cards.
125.15 Access to waterfront facilities, and port and harbor areas,
including vessels and harbor craft therein.
125.17 Persons eligible for Coast Guard Port Security Cards.
125.19 Standards.
125.21 Applications.
125.23 United States citizens.
125.25 Aliens.
125.27 Sponsorship of applicant.
125.29 Insufficient information.
125.31 Approval of applicant by Commandant.
125.33 Holders of Coast Guard Port Security Cards.
125.35 Notice by Commandant.
125.37 Hearing Boards.
125.39 Notice by Hearing Board.
125.41 Challenges.
125.43 Hearing procedure.
125.45 Action by Commandant.
125.47 Appeals.
125.49 Action by Commandant after appeal.
125.51 Replacement of lost Coast Guard Port Security Card.
125.53 Requirements for credentials; certain vessels operating on
navigable waters of the United States (including the Great
Lakes and Western Rivers).
125.55 Outstanding Port Security Card Applications.
125.57 Applications previously denied.
Authority: R.S. 4517, 4518, secs. 19, 2, 23 Stat. 58, 118, sec. 7,
49 Stat. 1936, sec. 1, 40 Stat. 220; 46 U.S.C. 570-572, 2, 689, 50
U.S.C. 191, EO 10173, EO 10277, EO 10352, 3 CFR, 1949-1953 Comp. pp.
356, 778, 873.
Source: CGFR 56-15, 21 FR 2940, May 3, 1956, unless otherwise noted.
Sec. 125.01 Commandant.
The term Commandant means Commandant of the Coast Guard.
Sec. 125.03 District Commander.
The term District Commander means the officer of the Coast Guard
designated by the Commandant to command a Coast Guard District.
Sec. 125.05 Captain of the Port.
The term Captain of the Port means the officer of the Coast Guard,
under the command of a District Commander, so designated by the
Commandant for the purpose of giving immediate direction to Coast Guard
law enforcement activities within the general proximity of the port in
which he is situated.
Sec. 125.06 Western rivers.
The term western rivers as used in the regulations in this
subchapter shall include only the Red River of the North, the
Mississippi River and its tributaries above the Huey P. Long Bridge, and
that part of the Atchafalaya River above its junction with the
Plaquemine-Morgan City alternate waterway.
[CGFR 57-52, 22 FR 10301, Dec. 20, 1957]
Sec. 125.07 Waterfront facility.
The term waterfront facility as used in this subchapter, means all
piers, wharves, docks, and similar structures to which vessels may be
secured, buildings on such structures or contiguous to them, and
equipment and materials on such structures or in such buildings.
Sec. 125.08 Great Lakes.
The term Great Lakes as used in the regulations in this subchapter
shall include the Great Lakes and their connecting and tributary waters.
[CGFR 57-52, 22 FR 10301, Dec. 20, 1957]
Sec. 125.09 Identification credentials.
The term Identification credentials as used in this subchapter,
means any of the following:
(a) Coast Guard Port Security Card (Form CG 2514).
[[Page 8]]
(b) Merchant Mariner's Document.
(c) Armed Forces Identification Card.
(d) Identification credentials issued by Federal Law enforcement and
intelligence agencies to their officers and employees (e. g., Department
of the Treasury, Department of Justice, Federal Communications
Commission).
(e) Identification credentials issued to public safety officials (e.
g., police, firemen) when acting within the scope of their employment.
(f) Such other identification as may be approved by the Commandant
from time to time.
[CGD 56-15, 21 FR 2940, May 3, 1956, as amended by CGD 77-228, 43 FR
53427, Nov. 16, 1978]
Sec. 125.11 Form of Coast Guard Port Security Card.
The Coast Guard Port Security Card issued by the Coast Guard under
the provisions of this subchapter shall be a laminated card bearing
photograph, signature, fingerprint, and personal description of the
holder, and other pertinent data.
Sec. 125.12 Period of validity of Coast Guard Port Security Cards.
(a) The Coast Guard Port Security Card (Form CG-2514) shall be valid
for a period of eight years from the date of issuance thereof unless
sooner suspended or revoked by proper authority. On the first day after
eight years from the date of issuance, the Coast Guard Port Security
Card (Form CG-2514) is hereby declared invalid and shall be considered
null and void for all purposes.
(b) The holder of a Coast Guard Port Security Card, which is about
to expire or has expired, may apply for a new Coast Guard Port Security
Card in accordance with the procedures set forth in Sec. 125.21. In the
event the applicant's Coast Guard Port Security Card has expired, such
card shall accompany the application for a new Coast Guard Port Security
Card. In the event the applicant is holding a valid Coast Guard Port
Security Card at the time he submits his application for a new card,
such person shall surrender the old or expired Coast Guard Port Security
Card at the time he is issued a new Coast Guard Port Security Card. In
the event the old Coast Guard Port Security Card was lost, stolen, or
destroyed, then the applicant shall comply with the provisions in
Sec. 125.51, regarding the replacement of a lost Coast Guard Port
Security Card and the new card issued as a replacement for a lost card
which has expired or is about to expire shall bear a current issuance
date.
[CGFR 58-52, 23 FR 9751, Dec. 18, 1958]
Sec. 125.13 Captain of the Port Identification Cards.
Captain of the Port Identification Cards issued under the form
designation ``Form CG 2514'' prior to the revision of August 1950 were
declared invalid by a notice published in the Federal Register on
September 11, 1946 (11 FR 10103), which declaration is hereby
reaffirmed.
Sec. 125.15 Access to waterfront facilities, and port and harbor areas, including vessels and harbor craft therein.
(a) The Commandant will, from time to time, direct Captains of the
Port of certain ports to prevent access of persons who do not possess
one or more of the identification credentials listed in Sec. 125.09 to
those waterfront facilities, and port and harbor areas, including
vessels and harbor craft therein, where the following shipping
activities are conducted:
(1) Those vital to the Military Defense Assistance Program.
(2) Those pertaining to the support of U.S. military operations.
(3) Those pertaining to loading and unloading explosives and other
dangerous cargo.
(4) Those essential to the interests of national security and
defense, to prevent loss, damage or injury, or to insure the observance
of rights and obligations of the United States.
(b) No person who does not possess one of the identification
credentials aforesaid shall enter or remain in such facilities, or port
or harbor areas, including vessels and harbor craft therein.
(c) The Captain of the Port shall give local public notice of the
restriction of access to waterfront facilities, and port and harbor
areas, including vessels and harbor craft therein, as far in advance
[[Page 9]]
as practicable, and shall cause such facilities and areas to be suitably
marked as to such restriction.
[CGFR 56-15, 21 FR 2940, May 3, 1956, as amended by CGFR 58-43, 23 FR
8542, Nov. 1, 1958]
Sec. 125.17 Persons eligible for Coast Guard Port Security Cards.
(a) Only the following persons may be issued Coast Guard Port
Security Cards:
(1) Persons regularly employed on vessels or on waterfront
facilities.
(2) Persons having regular public or private business connected with
the operation, maintenance, or administration of vessels, their cargoes,
or waterfront facilities.
(b) A holder of a Merchant Mariner's Document shall not be issued a
Port Security Card, unless his Merchant Mariner's Document is
surrendered to the Coast Guard. In this connection, see Sec. 125.09.
[CGFR 62-39, 27 FR 11259, Nov. 15, 1962, as amended by CGD 77-228, 43 FR
53427, Nov. 16, 1978]
Sec. 125.19 Standards.
Information concerning an applicant for a Coast Guard Port Security
Card, or a holder of such card, which may preclude a determination that
his character and habits of life are such as to warrant the belief that
his presence on waterfront facilities, and port and harbor areas,
including vessels and harbor craft therein, would not be inimical to the
security of the United States, shall relate to the following:
(a) Advocacy of the overthrow or alteration of the Government of the
United States by unconstitutional means.
(b) Commission of, or attempts or preparations to commit, an act of
espionage, sabotage, sedition or treason, or conspiring with, or aiding
or abetting another to commit such an act.
(c) Performing, or attempting to perform, duties or otherwise acting
so as to serve the interests of another government to the detriment of
the United States.
(d) Deliberate unauthorized disclosure of classified defense
information.
(e) [Reserved]
(f) Having been adjudged insane, having been legally committed to an
insane asylum, or treated for serious mental or neurological disorder,
without evidence of cure.
(g) Having been convicted of any of the following offenses,
indicative of a criminal tendency potentially dangerous to the security
of such waterfront facilities and port and harbor areas, including
vessels and harbor craft therein; arson, unlawful trafficking in drugs,
espionage, sabotage, or treason.
(h) Drunkenness on the job or addiction to the use of narcotic
drugs, without adequate evidence of rehabilitation.
(i) Illegal presence in the United States, its territories or
possessions; having been found finally subject to deportation order by
the United States Immigration and Naturalization Service.
[CGFR 56-15, 21 FR 2940, May 3, 1956, as amended by 37 FR 23422, Nov. 3,
1972]
Sec. 125.21 Applications.
(a)(1) Application for a Coast Guard Port Security Card shall be
made under oath in writing and shall include applicant's answers in full
to inquiries with respect to such matters as are deemed by the
Commandant to be pertinent to the standards set forth in Sec. 125.19,
and to be necessary for a determination whether the character and habits
of life of the applicant are such as to warrant the belief that his
presence on waterfront facilities, and port and harbor areas, including
vessels and harbor craft therein, would not be inimical to the security
of the United States.
(2) The application also shall include applicant's complete
identification, citizenship record, personal description, military
record, if any, and a statement of the applicant's sponsor certifying
the applicant's employment or union membership and that applicant's
statements are true and correct to the best of sponsor's knowledge.
(3) The application shall be accompanied by two unmounted, dull
finish photographs, 1 inch x 1\15/16\ inches, of passport type, taken
within one year of the date of application. The photograph shall show
the full face with the head uncovered and shall be a clear and
[[Page 10]]
satisfactory likeness of the applicant. It shall portray the largest
image of the head and upper shoulders possible within the dimensions
specified.
(4) Fingerprint records on each applicant shall be taken by the
Coast Guard at the time application is submitted.
(5) The applicant shall present satisfactory proof of his
citizenship.
(6) The applicant shall indicate the address to which his Coast
Guard Port Security Card can be delivered to him by mail. Under special
circumstances the applicant may arrange to call in person for the Coast
Guard Port Security Card.
(7) The applicant shall present his application, in person, to a
Coast Guard Port Security Unit designated to receive such applications.
Such units will be located in or near each port where Coast Guard Port
Security Cards are required. Each Captain of the Port shall forward
promptly to the Commandant each application for a Coast Guard Port
Security Card received by him.
(b) If an applicant fails or refuses to furnish the required
information or to make full and complete answer with respect to all
matters of inquiry, the Commandant shall hold in abeyance further
consideration of the application, and shall notify the applicant that
further action will not be taken unless and until the applicant
furnishes the required information and fully and completely answers all
inquiries directed to him.
[CGFR 59-63, 25 FR 1589, Feb. 24, 1960]
Sec. 125.23 United States citizens.
Acceptable evidence of United States citizenship is described in
this section in the order of its desirability; however, the Coast Guard
will reject any evidence not believed to be authentic;
(a) Birth certificate or certified copy thereof.
(b) Certificate of naturalization. This shall be presented by all
persons claiming citizenship through naturalization.
(c) Baptismal certificate or parish record recorded within one year
after birth.
(d) Statement of a practicing physician certifying that he attended
the birth and that he has a record in his possession showing the date
and place of birth.
(e) United States passport.
(f) A commission in one of the armed forces of the United States,
either regular or reserve; or satisfactory documentary evidence of
having been commissioned in one of the armed forces subsequent to
January 1, 1936, provided such commission or evidence shows the holder
to be a citizen.
(g) A continuous discharge book, or Merchant Mariner's Document
issued by the Coast Guard which shows the holder to be a citizen of the
United States.
(h) If an applicant claiming to be a citizen of the United States
submits a delayed certificate of birth issued under a State's seal, it
may be accepted as prima facie evidence of citizenship if no one of the
requirements in paragraphs (a) through (g) of this section can be met by
the applicant and in the absence of any collateral facts indicating
fraud in its procurement.
(i) If no one of the requirements in paragraphs (a) through (h) of
this section can be met by the applicant, he should make a statement to
that effect, and in an attempt to establish citizenship, he may submit
for consideration data of the following character:
(1) Report of the Census Bureau showing the earliest record of age
or birth available. Request for such information should be addressed to
the Director of the Census, Suitland, Md. 20233. In making such request,
definite information must be furnished the Census Bureau as to the place
of residence when the first census was taken after the birth of the
applicant, giving the name of the street and the number of the house, or
other identification of place where living, etc.; also names of parents
or the names of other persons with whom residing on the date specified.
(2) School records, immigration records, or insurance policies (the
latter must be at least 10 years old).
Sec. 125.25 Aliens.
Alien registration records together with other papers and documents
which indicated the country of which
[[Page 11]]
the applicant is a citizen shall be accepted as evidence of citizenship
in a foreign nation.
Sec. 125.27 Sponsorship of applicant.
Applications for a Coast Guard Port Security Card shall not be
accepted unless sponsored. The applicant shall be sponsored by an
authorized official of applicant's employer or by an authorized official
of applicant's labor union. Each company and each labor union concerned
shall file with the appropriate Captain of the Port a list of officials
of the company or union who are authorized to sponsor applicants. Other
sponsorship may be accepted where the circumstances warrant.
Sec. 125.29 Insufficient information.
(a)(1) If, in the judgment of the Commandant, an application does
not contain sufficient information to enable him to satisfy himself that
the character and habits of life of the applicant are such to warrant
the belief that his presence on waterfront facilities, and port and
harbor areas, including vessels and harbor craft herein, would not be
inimical to the security of the United States, the Commandant may
require the applicant to furnish, under oath in writing or orally, such
further information as he deems pertinent to the standards set forth in
Sec. 125.19 and necessary to enable him to make such a determination.
(2) If an applicant fails or refuses to furnish such additional
information, the Commandant shall hold in abeyance further consideration
of the application, and shall notify the applicant that further action
will not be taken unless and until the applicant furnishes such
information.
(b) Upon receipt, the application and such further information as
the Commandant may have required shall be referred, except in those
instances where action on an application is held in abeyance pursuant to
Sec. 125.21(b) or to paragraph (a)(2) of this section, to a committee
composed of a representative of the Legal Division, of the Merchant
Vessel Personnel Division and of the Intelligence Division, Coast Guard
Headquarters. The committee shall prepare an analysis of the available
information and shall make recommendations for action by the Commandant.
[CGFR 59-63, 25 FR 1589, Feb. 24, 1960]
Sec. 125.31 Approval of applicant by Commandant.
(a) If the Commandant is satisfied that the character and habits of
life of the applicant are not such as to warrant the belief that his
presence on waterfront facilities, and port and harbor areas, including
vessels and harbor craft therein, would be inimical to the security of
the United States, he will direct that a Coast Guard Port Security Card
be issued to the applicant.
(b) If the Commandant is not satisfied that the character and habits
of life of the applicant are such as to warrant the belief that his
presence on waterfront facilities, and port and harbor areas, including
vessels and harbor craft therein, would not be inimical to the security
of the United States, he will notify the applicant in writing as
provided for in Sec. 125.35.
Sec. 125.33 Holders of Coast Guard Port Security Cards.
(a) Whenever the Commandant is not satisfied that the character and
habits of life of a holder of a Coast Guard Port Security Card are such
as to warrant the belief that his presence on waterfront facilities and
port and harbor areas, including vessels and harbor craft therein, would
not be inimical to the security of the United States, he will request
the holder to furnish, under oath in writing, such information as he
deems pertinent and necessary for a determination on this issue.
(b) If the holder fails or refuses to furnish such information
within thirty (30) days after receipt of the Commandant's request, the
Commandant may issue the written notice provided for in Sec. 125.35(a).
(c) The holder's failure or refusal to furnish such information
shall preclude a determination that the holder's character and habits of
life are such as to warrant the belief that his presence on waterfront
facilities, and port and harbor areas, including vessels and harbor
craft therein, would not be inimical to the security of the United
States.
[[Page 12]]
(d) Upon receipt of such information as the Commandant may have
required, the procedure prescribed in Sec. 125.29(b) shall be followed.
(e) If the Commandant is satisfied that the character and habits of
life of the holder are such as to warrant the belief that his presence
on waterfront facilities, and port and harbor areas, including vessels
and harbor craft therein, would not be inimical to the security of the
United States, he shall notify the holder accordingly.
(f) If the Commandant is not satisfied that the character and habits
of life of the holder are such as to warrant the belief that his
presence on waterfront facilities, and port and harbor areas, including
vessels and harbor craft therein, would not be inimical to the security
of the United States, he shall notify the holder in writing as provided
for in Sec. 125.35.
[CGFR 59-63, 25 FR 1589, Feb. 24, 1960]
Sec. 125.35 Notice by Commandant.
(a) The notice provided for in Secs. 125.31 and 125.33 shall contain
a statement of the reasons why the Commandant is not satisfied that the
character and habits of life of the applicant or holder are such as to
warrant the belief that his presence on waterfront facilities, and port
and harbor areas, including vessels and harbor craft therein, would not
be inimical to the security of the United States. Such notice shall be
as specific and detailed as the interests of national security shall
permit and shall include pertinent information such as names, dates, and
places in such detail as to permit reasonable answer.
(b) The applicant or holder shall have 20 days from the date of
receipt of the notice of reasons to file written answer thereto. Such
answer may include statements or affidavits by third parties or such
other documents or evidence as the applicant or holder deems pertinent
to the matters in question.
(c) Upon receipt of such answer the procedure prescribed in
Sec. 125.29(b) shall be followed.
(d) If the Commandant is satisfied that the character and habits of
life of the applicant or holder are such as to warrant the belief that
his presence on waterfront facilities, and port and harbor areas,
including vessels and harbor craft therein, would not be inimical to the
security of the United States, he shall, in the case of an applicant,
direct that a Coast Guard Port Security Card be issued to the applicant,
or, in the case of a holder, notify him accordingly.
(e) If the Commandant is not satisfied that the applicant's or
holder's character and habits of life are such as to warrant the belief
that his presence on waterfront facilities, and port and harbor areas,
including vessels and harbor craft therein, would not be inimical to the
security of the United States, the Commandant shall refer the matter to
a Hearing Board for hearing and recommendation in accordance with the
provisions of this part.
Sec. 125.37 Hearing Boards.
The Commandant may establish a Hearing Board in each Coast Guard
District. The Commandant shall designate for each Hearing Board a
Chairman, who shall be, so far as practicable, an officer of the Coast
Guard. The Commandant shall designate, so far as practicable, a second
member from a panel of persons representing labor named by the Secretary
of Labor, and a third member from a panel of persons representing
management named by the Secretary of Labor.
Sec. 125.39 Notice by Hearing Board.
Whenever the Commandant refers a matter to a Hearing Board, the
Chairman shall:
(a) Fix the time and place of the hearing;
(b) Inform the applicant or holder of the names of the members of
the Hearing Board, their occupations, and the businesses or
organizations with which they are affiliated, of his privilege of
challenge, and of the time and place of the hearing;
(c) Inform the applicant or holder of his privilege to appear before
the Hearing Board in person or by counsel or representative of his
choice, and to present testimonial and documentary evidence in his
behalf, and to cross-examine any witnesses appearing before the Board;
and
(d) Inform the applicant or holder that if within 10 days after
receipt of
[[Page 13]]
the notice he does not request an opportunity to appear before the
Hearing Board, either in person or by counsel or representative, the
Hearing Board will proceed without further notice to him.
Sec. 125.41 Challenges.
Within five days after receipt of the notice described in
Sec. 125.39 the applicant or holder may request disqualification of any
member of the Hearing Board on the grounds of personal bias or other
cause. The request shall be accompanied by an affidavit setting forth in
detail the facts alleged to constitute grounds for disqualification. The
affidavit may be supplemented by an oral presentation if desired. If
after due consideration the Chairman believes a challenged member is
qualified notwithstanding the challenge, he shall notify the person who
made the challenge and arrange to proceed with the hearing. If the
person who made the challenge takes exception to the ruling of the
Chairman, the exception and data relating to the claim of
disqualification shall be made a matter of record. If the Chairman finds
that there is reasonable ground for disqualification he shall furnish
the person who made the challenge with the name of an alternate in lieu
of the challenged member and arrange to proceed with the hearing. In the
event the Chairman is challenged, he shall forthwith notify the
Commandant, furnishing the grounds for the claim of disqualification,
and the Commandant shall act upon the challenge in accordance with the
foregoing procedure. In addition to the right to challenge for cause, a
person who has requested a hearing shall have two peremptory challenges,
one challenge for the management member and one challenge for the labor
member of the Hearing Board. Should the management member be so
challenged, the person who made the challenge may elect to have the
management member replaced by another management member or by a member
not representing either management or labor; if the member peremptorily
challenged represents labor, the person who made the challenge may elect
to have the labor member replaced by another labor member or by a member
not representing either management or labor.
Sec. 125.43 Hearing procedure.
(a) Hearings shall be conducted in an orderly manner and in a
serious, businesslike atmosphere of dignity and decorum and shall be
expedited as much as possible.
(b) The hearing shall be in open or closed session at the option of
the applicant or holder.
(c) Testimony before the Hearing Board shall be given under oath or
affirmation.
(d) The Chairman of the Hearing Board shall inform the applicant or
holder of his right to:
(1) Participate in the hearing;
(2) Be represented by counsel of his choice;
(3) Present witnesses and offer other evidence in his own behalf and
in refutation of the reasons set forth in the Notice of the Commandant;
and
(4) Cross-examine any witnesses offered in support of such reasons.
(e) Hearings shall be opened by the reading of the Notice of the
Commandant and the answer thereto. Any statement and affidavits filed by
the applicant or holder may be incorporated in the record by reference.
(f) The Hearing Board may, in its discretion, invite any person to
appear at the hearing and testify. However, the Board shall not be bound
by the testimony of such witness by reason of having called him and
shall have full right to cross-examine the witness. Every effort shall
be made to produce material witnesses to testify in support of the
reasons set forth in the Notice of the Commandant, in order that such
witnesses may be confronted and cross-examined by the applicant or
holder.
(g) The applicant or holder may introduce such evidence as may be
relevant and pertinent. Rules of evidence shall not be binding on the
Hearing Board, but reasonable restrictions may be imposed as to the
relevancy, competency and materiality of matters considered. If the
applicant or holder is, or may be, handicapped by the non-disclosure to
him of confidential sources, or by the failure of witnesses to appear,
the Hearing Board shall take the fact into consideration.
(h) The applicant or holder or his counsel or representative shall
have
[[Page 14]]
the right to control the sequence of witnesses called by him.
(i) The Hearing Board shall give due consideration to documentary
evidence developed by investigation, including membership cards,
petitions bearing the applicant's or holder's signature, books,
treatises or articles written by the applicant or holder and testimony
by the applicant or holder before duly constituted authority.
(j) Complete verbatim stenographic transcription shall be made of
the hearing by qualified reporters and the transcript shall constitute a
permanent part of the record. Upon request, the applicant or holder or
his counsel or representative shall be furnished, without cost, a copy
of the transcript of the hearing.
(k) The Board shall reach its conclusion and base its determination
on information presented at the hearing, together with such other
information as may have been developed through investigation and
inquiries or made available by the applicant or holder.
(l) If the applicant or holder fails, without good cause shown to
the satisfaction of the chairman, to appear personally or to be
represented before the Hearing Board, the Board shall proceed with
consideration of the matter.
(m) The recommendation of the Hearing Board shall be in writing and
shall be signed by all members of the Board. The Board shall forward to
the Commandant, with its recommendation, a memorandum of reasons in
support thereof. Should any member be in disagreement with the majority
a dissent should be noted setting forth the reasons therefor. The
recommendation of the Board, together with the complete record of the
case, shall be sent to the Commandant as expeditiously as possible.
Sec. 125.45 Action by Commandant.
(a) If, upon receipt of the Board's recommendation, the Commandant
is satisfied that the character and habits of life of the applicant or
holder are such as to warrant the belief that his presence on waterfront
facilities, and port and harbor areas, including vessels and harbor
craft therein, would not be inimical to the security of the United
States, he shall, in the case of an applicant, direct that a Coast Guard
Port Security Card be issued to the applicant, or, in the case of a
holder, notify him accordingly.
(b) If, upon receipt of the Board's recommendation, the Commandant
is not satisfied that the character and habits of life of the applicant
or holder are such as to warrant the belief that his presence on
waterfront facilities, and port and harbor areas, including vessels and
harbor craft therein, would not be inimical to the security of the
United States, the Commandant shall:
(1) In the case of an applicant, notify him that a Coast Guard Port
Security Card will not be issued to the applicant, or,
(2) In the case of a holder, revoke and require the surrender of his
Coast Guard Port Security Card.
(c) Such applicant or holder shall be notified of his right, and
shall have 20 days from the receipt of such notice within which, to
appeal under this part.
Sec. 125.47 Appeals.
(a) The Commandant shall establish at Coast Guard Headquarters,
Washington, DC, an Appeal Board to hear appeals provided for in this
part. The Commandant shall designate for the Appeal Board a Chairman,
who shall be so far as practicable, an officer of the Coast Guard. The
Commandant shall designate, so far as practicable, a member from a panel
of persons representing management nominated by the Secretary of Labor,
and a member from a panel of persons representing labor nominated by the
Secretary of Labor. The Commandant shall insure that persons designated
as Appeal Board members have suitable security clearance. The Chairman
of the Appeal Board shall make all arrangements incident to the business
of the Appeal Board.
(b) If an applicant or holder appeals to the Appeal Board within 20
days after receipt of notice of his right to appeal under this part, his
appeal shall be handled under the same procedure as that specified in
Sec. 125.39, and the privilege of challenge may be exercised through the
same procedure as that specified in Sec. 125.41.
[[Page 15]]
(c) Appeal Board proceedings shall be conducted in the same manner
as that specified in Sec. 125.43.
Sec. 125.49 Action by Commandant after appeal.
(a) If, upon receipt of the Appeal Board's recommendation, the
Commandant is satisfied that the character and habits of life of the
applicant or holder are such as to warrant the belief that his presence
on waterfront facilities, and port and harbor areas, including vessels
and harbor craft therein, would not be inimical to the security of the
United States, he shall, in the case of an applicant, direct that a
Coast Guard Port Security Card be issued to the applicant, or in the
case of a holder, notify him accordingly.
(b) If, upon receipt of the Appeal Board's recommendation, the
Commandant is not satisfied that the character and habits of life of the
applicant or holder are such as to warrant the belief that his presence
on waterfront facilities, and port and harbor areas, including vessels
and harbor craft therein, would not be inimical to the security of the
United States, the Commandant shall notify the applicant or holder that
his appeal is denied.
Sec. 125.51 Replacement of lost Coast Guard Port Security Card.
(a) Any person whose Coast Guard Port Security Card has been stolen,
lost, or destroyed shall report that fact to a Coast Guard Port Security
Unit or Captain of the Port as soon thereafter as possible.
(b) A person who has lost a Coast Guard Port Security Card may apply
for a replacement card by submitting ``An Application for Replacement of
Lost Port Security Card'' (Form CG 2685A) to a Coast Guard Port Security
Unit. A replacement will be issued only after a full explanation of the
loss of the Coast Guard Port Security Card is made in writing to the
Coast Guard and after a full check is made and authorization is granted
by the Commandant.
(c) Any person to whom a Coast Guard Port Security Card has been
issued as a replacement for a lost card, shall immediately surrender the
original card to the nearest Coast Guard Port Security Unit or Captain
of the Port if the original card should be recovered.
Sec. 125.53 Requirements for credentials; certain vessels operating on navigable waters of the United States (including the Great Lakes and Western Rivers).
(a) Every person desiring access to vessels, except public vessels,
falling within any of the categories listed below, as a master, person
in charge, or member of the crew thereof, shall be required to be in
possession of one of the identification credentials listed in
Sec. 125.09.
(1) Towing vessels, barges, and lighters operating in the navigable
waters of the continental United States other than the Great Lakes and
Western Rivers.
(2) Harbor craft, such as water taxis, junk boats, garbage disposal
boats, bum boats, supply boats, repair boats, and ship cleaning boats,
which in the course of their normal operations service or contact
vessels, foreign or domestic, public or merchant, in the navigable
waters of the continental United States other than the Great Lakes and
Western Rivers.
(b) The term ``master, person in charge, or member of the crew''
shall be deemed to include any person who serves on board in any
capacity concerned with the operation, maintenance, or administration of
the vessel or its cargo.
(c) Where the Coast Guard Port Security Card (Form CG 2514) is to be
used as the identification required by paragraph (a) of this section,
application for such card may be made immediately by the persons
concerned. The issuance of the Coast Guard Port Security Card shall be
in the form and manner prescribed by Sec. 125.11.
(d) At the discretion of the District Commander any person desiring
access to vessels of the categories named in this section, who may be
required by the provisions hereof to possess identification credentials,
may be furnished a letter signed by the District Commander or the
Captain of the Port and this letter shall serve in lieu of a Coast Guard
Port Security Card and will authorize such access for a period not to
exceed 60 days, and such a letter issued
[[Page 16]]
shall be deemed to be satisfactory identification within the meaning of
Sec. 125.09. The issuance of the letter shall be subject to the
following conditions:
(1) The services of the person are necessary to avoid delay in the
operation of the vessel;
(2) The person does not possess one of the identification
credentials listed in Sec. 125.09.
(3) The person has filed his application for a Coast Guard Port
Security Card or submits his application before the letter is issued;
and,
(4) The person has been screened by the District Commander or
Captain of the Port and such officer is satisfied concerning the
eligibility of the applicant to receive a temporary letter.
[CGFR 56-15, 21 FR 2940, May 3, 1956, as amended by CGFR 58-51, 21 FR
9339, Nov. 30, 1956]
Sec. 125.55 Outstanding Port Security Card Applications.
A person who has filed an application for a Coast Guard Port
Security Card and who did not receive such a document prior to May 1,
1956, shall submit a new application in accordance with the requirements
of this part.
[CGFR 61-54, 26 FR 11862, Dec. 12, 1961]
Sec. 125.57 Applications previously denied.
A person who has been denied a Coast Guard Port Security Card before
May 1, 1956, may file a new application for such a document in
accordance with the requirements of this part.
PART 126--Handling of Class 1 (Explosive) Materials or Other Dangerous Cargoes within or Contiguous to Waterfront Facilities--Table of Contents
Sec.
126.01 General definitions.
126.05 Designated waterfront facility.
126.07 Dangerous cargo.
126.09 Designated dangerous cargo.
126.10 Cargo of particular hazard.
126.11 Waiver authority based on local or unusual conditions.
126.13 Designation of waterfront facilities.
126.15 Conditions for designation as designated waterfront facility.
126.16 Conditions for designating a ``facility of particular hazard.''
126.17 Permits required for handling designated dangerous cargo.
126.19 Issuance of permits for handling designated dangerous cargo.
126.21 Permitted transactions.
126.23 Termination or suspension of permits.
126.25 Penalties for handling designated dangerous cargo without
permit.
126.27 General permit for handling dangerous cargo.
126.28 Ammonium nitrate, ammonium nitrate fertilizers, fertilizer
mixtures, or nitro carbo nitrate; general provisions.
126.29 Supervision and control of dangerous cargo.
126.31 Termination or suspension of general permit.
126.33 Penalties for handling dangerous cargo without permit.
126.35 Primary responsibility.
126.37 Separability.
Authority: 33 U.S.C. 1231; 49 CFR 1.46.
Sec. 126.01 General definitions.
Commandant means the Commandant of the United States Coast Guard.
Captain of the Port (COTP) means the officer of the Coast Guard,
under the command of a District Commander, so designated by the
Commandant for the purpose of giving immediate direction to Coast Guard
law enforcement activities within an assigned area.
District Commander means the officer of the Coast Guard designated
by the Commandant to command a Coast Guard District.
Net tons means the net weight of a materials in tons.
Net weight means a measure of weight referring only to the contents
of a package, tank or container and does not include the weight of any
packaging material, or containing devices.
Waterfront facility means all piers, wharves, docks, and similar
structures to which a vessel may be secured; areas of land, water, or
land and water under and in immediate proximity to them; buildings on
such structures or contiguous to them and equipment and materials on
such structures or in such buildings. This term does not include
facilities directly operated by the Department of Defense.
[CGD 78-023, 44 FR 4642, Jan. 22, 1979]
[[Page 17]]
Sec. 126.05 Designated waterfront facility.
(a) Designated waterfront facility. The term designated waterfront
facility means a waterfront facility designated by Sec. 126.13 for the
handling and storage of, and for vessel loading and discharging of: any
hazardous material subject to the Dangerous Cargoes Regulations in 46
CFR part 148; and any hazardous material subject to the Hazardous
Materials Regulations (49 CFR parts 170-179), except for those materials
preceded by an ``A'' in the Hazardous Materials Table, in 49 CFR 172.101
and for those materials carried as bulk liquids.
(b) Facility of particular hazard means a designated waterfront
facility that is authorized to handle a cargo of particular hazard, as
defined in Sec. 126.10.
[CGD 78-023, 44 FR 4642, Jan. 22, 1979, as amended by CGD 75-238, 44 FR
63675, Nov. 5, 1979; CGD 75-238, 45 FR 57393, Aug. 28, 1980; CGD 78-038,
53 FR 3376, Feb. 7, 1988; CGD 86-034, 55 FR 36252, Sept. 4, 1990; CGD
92-050, 59 FR 39965, Aug. 5, 1994; CGD 88-049, 60 FR 39794, Aug. 3,
1995]
Sec. 126.07 Dangerous cargo.
The term dangerous cargo means all explosives and other hazardous
materials or cargo covered by--
(a) Dangerous Cargoes, 46 CFR part 148; or
(b) Hazardous Materials, 49 CFR parts 170-179, except for those
materials preceded by an ``A'' in the hazardous Materials Table, 49 CFR
172.101.
[CGD 78-023, 44 FR 4643, Jan. 22, 1979, as amended by CGD 86-034, 55 FR
36252, Sept. 4, 1990; CGD 92-050, 59 FR 39965, Aug. 5, 1994]
Sec. 126.09 Designated dangerous cargo.
The term designated dangerous cargo means Division 1.1 and 1.2
explosives, as defined in 49 CFR 173.50.
[CGD 92-050, 59 FR 39965, Aug. 5, 1994]
Sec. 126.10 Cargo of particular hazard.
Cargo of particular hazard means any of the following:
(a) Division 1.1 or 1.2 explosives, as defined in 49 CFR 173.50.
(b) Oxidizing material or blasting agent for which a permit is
required under 49 CFR 176.415.
(c) Highway route controlled quantity radioactive material, as
defined in 49 CFR 173.403(1), or Fissile Class III shipments of fissile
radioactive material, as defined in 49 CFR 173.455(a)(3).
[CGD 75-238, 45 FR 57394, Aug. 28, 1980, as amended by CGD 84-039, 50 FR
8613, Mar. 4, 1985; CGD 78-038, 53 FR 3376, Feb. 7, 1988; CGD 86-034, 55
FR 36252, Sept. 4, 1990; CGD 92-050, 59 FR 39965, Aug. 5, 1994; CGD 88-
049, 60 FR 39794, Aug. 3, 1995]
Sec. 126.11 Waiver authority based on local or unusual conditions.
Whenever the Commandant, the District Commander, or the Captain of
the Port finds that the application of any provisions contained in
Secs. 126.15 and 126.16 is not necessary to the safety or security of
the port and vessels and waterfront facilities therein, or that its
application is not practical because of local conditions or because the
materials or personnel required for compliance are not available, or
because the requirements of the national defense justify a departure
from such provision, the Commandant, the District Commander, or the
Captain of the Port may waive compliance with such provision, to the
extent and under such requirements as they determine.
[CGD 78-023, 44 FR 4643, Jan. 22, 1979]
Sec. 126.13 Designation of waterfront facilities.
(a) Waterfront facilities which fulfill the conditions required in
Sec. 126.15, unless waived under provisions of Sec. 126.11, and only
such waterfront facilities are designated for the handling, storing,
stowing, loading, discharging, or transporting of dangerous cargo,
subject to compliance with other applicable requirements and provisions
set forth in this part.
(b) Handling, storing, stowing, loading, discharging, or
transporting dangerous cargo at any waterfront facility other than one
designated by this section is hereby prohibited, and violation of this
prohibition will subject the violator to the civil or criminal penalties
provided in section 13 of the Ports and Waterways Safety Act (33 U.S.C.
1232).
[CGFR 57-52, 22 FR 10302, Dec. 20, 1957, as amended by CGD 78-023, 44 FR
4643, Jan. 22, 1979]
[[Page 18]]
Sec. 126.15 Conditions for designation as designated waterfront facility.
The conditions referred to in Sec. 126.13 for designation of a
waterfront facility for the purpose of handling, storing, stowing,
loading, discharging, or transporting of dangerous cargo shall be as
follows:
(a) Guards. That guards are provided by the owner or operator of the
waterfront facility for the protection thereof in such numbers and of
such qualifications as to assure adequate surveillance, prevent unlawful
entrance, detect fire hazards, and check the readiness of protective
equipment.
(b) Smoking. That smoking is prohibited on the waterfront facility
except at such portions thereof as may be designated by the owner or
operator thereof: Provided, That smoking in such areas shall only be
permitted in accordance with local ordinances and regulations and that
signs are conspicuously posted marking such authorized smoking areas and
that ``No Smoking'' signs are conspicuously posted elsewhere on the
waterfront facility.
(c) Welding or hot work. Oxyacetylene or similar welding or burning
or other hot work including electric welding or the operation of
equipment is prohibited on waterfront facilities or on vessels moored
thereto, during the handling, storing, stowing, loading, discharging, or
transporting of explosives. Such work may not be conducted on waterfront
facilities or vessels moored thereto while either the facility or vessel
is handling, storing, stowing, loading, discharging, or transporting
dangerous cargo without the specific approval of the Captain of the
Port.
(d) Trucks and other motor vehicles. That trucks and other motor
vehicles are not permitted to remain or park upon the waterfront
facility except under the following conditions:
(1) When actually awaiting opportunity to load or discharge cargo,
ship supplies, or passengers and is attended by a driver.
(2) When loading or discharging tools, equipment or materials
incident to maintenance, repair, or alterations and is attended by a
driver.
(3) When the vehicle is headed toward an unimpeded exit and is
attended by a driver.
(4) When a vehicle is handled and stored as an item of cargo.
(5) When parking areas are designated and permitted in accordance
with local ordinances and regulations and provided no fire lanes are
blocked nor exits impeded by their presence, passenger vehicles may be
parked in such portions of the waterfront facility as may be designated
and marked off by the owner or operator.
(e) Pier automotive equipment. That tractors, stackers, lift trucks,
hoisters and other equipment driven by internal combustion engines used
on the waterfront facility are of such construction and condition and
free from excess grease, oil, or lint as not to constitute a fire
hazard; that each unit of such equipment is provided with an approved
type fire extinguisher attached, except where waterfront facilities are
provided with fire extinguishers approved by the Captain of the Port, as
being adequate in numbers, type and location for additional protection
of pier automotive equipment; that, when not in use, such equipment is
stored in a safe manner and location; that gasoline or other fuel used
for such equipment is stored and handled in accordance with accepted
safe practices and is not stored on the waterfront facility, except in
conformity with paragraph (g) of this section; and that refueling of
such equipment or any vehicle is prohibited on any pier or wharf within
the waterfront facility.
(f) Rubbish and waste materials. That the waterfront facility is
free from rubbish, debris, and waste materials. Burning rubbish in an
open fire on a waterfront facility is prohibited.
(g) Maintenance stores and supplies. That supplies classified as
dangerous by the provisions of the Hazardous Materials Regulations (49
CFR 170-179) except those materials preceded by an ``A'' in the
Hazardous Materials Table, 49 CFR 172.101, to be used in connection with
operation or maintenance of the property or facility, are not stored on
any pier or wharf within the waterfront facility and are not stored
elsewhere on the waterfront facility except in amounts necessary for
normal current
[[Page 19]]
operating conditions; that these supplies are stored in a compartment
remote from combustible material, constructed so as to be readily
accessible and provide safe storage; that storage compartments are kept
clean and maintained free of scrap materials, empty containers, soiled
wiping rags, waste, and other debris; that covered metal containers are
provided for disposal of used wiping cloths and are emptied at the end
of each working day; and that clothing lockers are maintained clean and
orderly and properly ventilated.
(h) Electric wiring. That new installations of electric wiring and
equipment are made in accordance with accepted safe practices
(conformity with the requirements of the National Electric Code (current
edition) and the requirements of applicable local regulations shall be
deemed evidence of compliance with such accepted safe practices); that
materials, fittings, and devices are of type and character approved for
the intended use by Underwriters Laboratories, Inc., Associated Factory
Mutual Laboratories, or United States National Bureau of Standards; that
existing electric wiring is maintained in a safe condition, free of
defects or modifications which may cause fire or personal injury; that
defective or dangerous wiring, equipment, and devices are permanently
disconnected from sources of energy.
(i) Heating equipment and open fires. That heating equipment is
safely installed and maintained in good operating condition; that
adequate clearances to prevent undue heating of nearby combustible
materials are maintained between heating appliances, chimneys, stove
pipes, gas vents, or other heat producing elements, and any combustible
materials of the floor, walls, partitions or roofs; that in general,
clearances are such that continuous operation of the heat producing
device at full capacity will not increase the temperature of nearby
woodwork more than 90 deg. above the ambient temperature; that, where
necessary to prevent contact with movable combustible materials, heating
appliances are enclosed or screened; that spark arresters are provided
on chimneys or appliances burning solid fuel used in locations where
sparks constitute a hazard to nearby combustible materials. Open fires
or fires in barrels, drums, or similar apparatus are prohibited. (As a
guide to safe installation of heating equipment, the appropriate
chapters of the National Board of Fire Underwriters Building Code
(current edition) are recommended.)
(j) Fire extinguishing equipment. That fire extinguishing appliances
are made available in adequate quantities, locations, and types; that
first aid fire appliances are installed and maintained in accordance
with accepted safe practices (conformity with the requirements
prescribed in the current ``Standards for the Installation, Maintenance
and Use of Portable Fire Extinguishers,'' issued by the National Fire
Protection Association, shall be deemed evidence of compliance with such
accepted safe practices); that fire extinguishing equipment, fire alarm
systems and devices, and fire doors and other safety equipment are
maintained in good operating condition at all times; that provision is
made so that, when hazards arise which require such precaution,
emergency hose lines will be led out and other emergency fire-fighting
equipment will be placed immediately adjacent to such hazards.
(k) Marking of fire appliance locations. That the locations of all
fire appliances, including hydrants, standpipe and hose stations, fire
extinguishers, and fire alarm boxes, are conspicuously marked; and that
ready accessibility to such appliances is maintained.
(l) Lighting. That subject to applicable dimout and blackout
regulations, such waterfront facility is adequately illuminated during
the handling, storing, stowing, loading, discharging or transporting of
dangerous cargo thereon; and that kerosene and gasoline lamps and
lanterns are not used on such waterfront facility.
(m) Arrangement of cargo, freight, merchandise or material. That
cargo, freight, merchandise or material is arranged on the waterfront
facility according to the individual structure of such facility, in a
manner to permit complete access for the purpose of fire extinguishment;
that, except on facilities used primarily for the transfer of railroad
or highway vehicles to or from
[[Page 20]]
cargo vessels and carfloats; cargo, freight, merchandise or other
material is placed on the waterfront facility in accordance with the
following:
(1) At least two feet of clear and open space shall be maintained
free of rubbish, dunnage, or other obstructions between cargo, freight,
merchandise, or other material piles and both sides of the walls of the
waterfront facility, fire walls or fire stops in enclosed waterfront
facilities. This distance shall be measured from the most prominent
projection of the wall such as studding, bracings, or other obstructions
that are part of the structure. In an unenclosed facility, 2 feet of
clear and open space shall be maintained free of rubbish, dunnage, or
other obstructions between cargo, freight, merchandise or other
materials and the sides of the pier.
(2) Inflammable or combustible cargo, freight, merchandise or
material, not including bulk cargo, shall not be tiered higher than 12
feet. All cargo, freight, merchandise or other materials including
inflammable or combustible cargo, freight, merchandise or materials
shall be so tiered as to maintain a clearance between the upper level of
the top tier and trusses, beams, girders, or other structural members of
not less than 36'', and between such upper level and sprinkler heads a
clearance of at least 12'' shall be maintained.
(3) There shall be maintained at least four feet of clear and open
operating space around any fire alarm box, standpipe, fire hose,
sprinkler valve, fire door, deck hatch, or first-aid fire appliance.
(4) When first-aid fire appliances, alarm boxes, other safety
equipment or deck hatches are located in a space surrounded by cargo,
freight, merchandise, or other materials, there shall be maintained a
straight, free, and open space at least three feet in width running
therefrom to the center aisle. This space shall be kept clear of all
rubbish, dunnage, and other obstruction.
(5) A main aisle of at least twenty feet in width shall be
maintained the entire length of the waterfront facility if control of
fire requires trucks to come on the pier. The aisle may be reduced to
eight feet in width if such access by fire trucks is not required.
(6) Cross aisles, at least five (5) feet wide and straight shall be
maintained at intervals not exceeding seventy-five (75) feet, and
extending to the side of the waterfront facility.
(n) Adequacy of guarding, fire extinguishing equipment, and
lighting. That the word ``adequate'', as used in paragraphs (a), (j),
and (l) of this section with respect to guarding, fire extinguishing
equipment, and lighting, respectively, means that determination which a
reasonable person would make under the circumstances of the particular
case. Unless there is gross noncompliance, the judgment and
determination of the operator of the facility will be acceptable as
fulfilling the requirements unless and until the Captain of the Port
inspects the facility and notifies the operator thereof in writing in
what respect the guarding, fire extinguishing equipment, or lighting, is
deemed inadequate and affords such operator an opportunity to correct
the deficiency.
[CGFR 51-37, 16 FR 8677, Aug. 28, 1951]
Editorial Note: For Federal Register citations affecting
Sec. 126.15, see the List of CFR Sections Affected in the Finding Aids
section of this volume.
Sec. 126.16 Conditions for designating a ``facility of particular hazard.''
(a) Basic requirements. The facility shall comply with all the
conditions in Sec. 126.15 except where specifically waived by
Sec. 126.11.
(b) Warning alarms. Warning alarms shall be installed at the
waterside of such a facility to warn approaching or transiting water
traffic of immediate danger in the event of fire or cargo release.
Warning alarms shall be of the siren type, or the emergency rotating
flashing light type, and be of sufficient intensity to be heard, or
seen, a distance of 1 mile during normal facility working conditions.
The alarm signal shall not conflict with local municipal prescription.
[CGFR 67-93, 32 FR 20774, Dec. 23, 1967]
[[Page 21]]
Sec. 126.17 Permits required for handling designated dangerous cargo.
Designated dangerous cargo may be handled, loaded, discharged, or
transported at any designated waterfront facility only if a permit
therefor has been issued by the Captain of the Port. This permit
requirement may be waived, at the discretion of the Captain of the Port,
when such cargoes are contained within railroad cars or highway vehicles
which are moved on or across a waterfront facility used primarily for
the transfer of railroad cars or highway vehicles to or from a railroad
or highway vehicle ferry or carfloat; provided such designated cargoes
are not removed from, or placed in, the railroad car or highway vehicle
while it is in or on such waterfront facility.
[CGFR 58-43, 23 FR 8542, Nov. 1, 1958]
Sec. 126.19 Issuance of permits for handling designated dangerous cargo.
Upon the application of the owners or operators of a designated
waterfront facility or of their authorized representatives, the Captain
of the Port is authorized to issue a permit for each transaction of
handling, loading, discharging, or transporting designated dangerous
cargo at such waterfront facility provided the following requirements
are met:
(a) The facility shall comply in all respect with the regulations in
this subchapter.
(b) The quantity of designated dangerous cargo, except Class 1
(explosive) materials shipped by or for the Armed Forces of the United
States, on the waterfront facility and vessels moored thereto shall not
exceed the limits as to maximum quantity, isolation and remoteness
established by local, municipal, territorial, or State authorities. Each
permit issued under these conditions shall specify that the limits so
established shall not be exceeded.
(c) The quantity of designated dangerous cargo consisting of Class 1
(explosive) materials shipped by or for the Armed Forces of the United
States on the waterfront facility and vessels moored thereto shall not
exceed the limits as to maximum quantity, isolation and remoteness as
established by the Captain of the Port. Each permit issued under these
conditions shall specify that the limits so established shall not be
exceeded.
[CGFR 53-27, 18 FR 5348, Sept. 3, 1953, as amended by CGD 92-050, 59 FR
39965, Aug. 5, 1994]
Sec. 126.21 Permitted transactions.
All permits issued pursuant to Sec. 126.19 are hereby conditioned
upon the observance and fulfillment of the following:
(a) The conditions set forth in Sec. 126.15 shall at all times be
strictly observed.
(b) No amount of designated dangerous cargo, except Class 1
(explosive) materials shipped by or for the Armed Forces of the United
States, in excess of the maximum quantity established by local,
municipal, territorial, or State authorities shall be present on the
waterfront facility and vessels moored thereto.
(c) Designated dangerous cargo shall not be brought onto the
waterfront facility from shore except when laden within a railroad car
or highway vehicle and shall remain in such railroad car or highway
vehicle except when removed as an incident of its prompt transshipment.
Designated dangerous cargo shall not be brought onto the waterfront
facility from a vessel except as an incident of its prompt transshipment
by railroad car or highway vehicle.
(d) No other dangerous cargo shall be on the waterfront facility
during the period of transactions involving designated dangerous cargo,
unless its presence is authorized by the Captain of the Port. This shall
not apply to maintenance stores and supplies on the waterfront facility
in conformity with Sec. 126.15(g).
[CGFR 53-27, 18 FR 5348, Sept. 3, 1953, as amended by CGD 92-050, 59 FR
39965, Aug. 5, 1994]
Sec. 126.23 Termination or suspension of permits.
Any permit issued pursuant to Sec. 126.19 shall terminate
automatically at the conclusion of the transaction for which the permit
has been issued and may be terminated, or suspended, prior thereto by
the Captain of the Port whenever he deems that the security or safety of
[[Page 22]]
the port or vessels or waterfront facilities therein so requires.
Confirmation of such termination or suspension by the Captain of the
Port shall be given to the permittee in writing.
[CGFR 51-37, 16 FR 8679, Aug. 28, 1951]
Sec. 126.25 Penalties for handling designated dangerous cargo without permit.
Handling, loading, discharging, or transporting any designated
dangerous cargo without a permit, as provided under Sec. 126.17, being
in force, will subject persons responsible therefore to the civil or
criminal penalties provided in Section 13 of the Ports and Waterways
Safety Act, as amended (33 U.S.C. 1232).
[CGD 78-023, 44 FR 4643, Jan. 22, 1979]
Sec. 126.27 General permit for handling dangerous cargo.
A general permit is hereby issued for the handling, storing,
stowing, loading, discharging or transporting of dangerous cargo (other
than designated dangerous cargo) in bulk, portable tanks, containers, or
packagings, at designated waterfront facilities, conditioned upon the
observance and fulfillment of the following:
(a) The conditions set forth in Sec. 126.15 shall at all times be
strictly observed.
(b) The following classes of hazardous materials classified as
dangerous for transportation by vessel as listed in the Hazardous
Materials Regulations Table (49 CFR 172.101), in the amounts specified,
shall not be handled, stored, stowed, loaded, discharged, or
transported, except when contained within railroad or high vehicles
being transported across or on waterfront facilities used primarily for
the transfer of railroad or highway vehicles to or from a railroad car
ferry or highway vehicle ferry, or carfloats, without prior notification
to the Captain of the Port:
(1) Division 1.3 (explosive) materials (as defined in 49 CFR
173.50), in excess of 1 net ton at any one time.
(2) Division 1.4 (explosive) materials (as defined in 49 CFR
173.50), in excess of 10 net tons at any one time.
(3) Flammable liquids, in excess of 10 net tons at any one time.
(4) Flammable solids or oxidizers, in excess of 100 net tons at any
one time.
(5) Flammable gases, in excess of 10 net tons at any one time.
(6) Poisons (Class A).
(7) A bulk shipment of a cargo of particular hazard as defined in
Sec. 126.10(d).
(8) A bulk shipment of a cargo of particular hazard, as defined in
Sec. 126.10(d).
(c) No Class 1 (explosive) materials (as defined in 49 CFR 173.50)
or other dangerous cargoes prohibited from, or not permitted for,
transportation by 46 CFR part 148 or 49 CFR parts 171 through 179 may be
present on the waterfront facility.
(d) Flammable liquids and compressed gases shall be so handled and
stored as to provide maximum separation from acids, corrosive liquids,
or combustible materials. Storage for flammable solids or oxidizers
shall be so arranged as to prevent moisture coming in contact therewith.
(e) Acids and corrosive liquids shall be so handled and stored as to
prevent such acids and liquids, in event of leakage, from contacting any
organic materials.
(f) Poisonous gases, poisonous liquids, and poisonous solids shall
be so handled and stored as to prevent their contact with acids,
corrosive liquids, flammable liquids or flammable solids.
(g) Dangerous cargo which may be stored on the waterfront facility
shall be arranged in such manner as to retard the spread of fire. This
may be accomplished by interspersing dangerous cargo with inert or less
combustible materials.
(h) All dangerous cargo stored on the waterfront facility shall be
packaged, marked, and labeled in accordance with 49 CFR parts 170-179.
(i) Storage of all radioactive materials shall be so arranged as to
preclude a gamma radiation in excess of 200 milliroentgens per hour or
physical equivalent at any readily accessible surface.
[CGD 78-023, 44 FR 4643, Jan. 22, 1979, as amended by CGD 75-238, 44 FR
63676, Nov. 5, 1979; CGD 75-238, 45 FR 57394, Aug. 28, 1980; CGD 92-050,
59 FR 39965, Aug. 5, 1994]
[[Page 23]]
Sec. 126.28 Ammonium nitrate, ammonium nitrate fertilizers, fertilizer mixtures, or nitro carbo nitrate; general provisions.
(a) When any item of ammonium nitrate, ammonium nitrate fertilizers,
fertilizer mixtures, or nitro carbo nitrate, described and defined as an
oxidizer by the regulations of 49 CFR part 173 is handled, stored,
stowed, loaded, discharged or transported on a waterfront facility, the
following provisions shall apply:
(1) All outside containers shall be marked with the proper shipping
name of the nitrate packed within the container.
(2) The building on a waterfront facility used for storage of any of
these materials shall be of such construction as to afford good
ventilation.
(3) Storage of any of these materials shall be at a safe distance
from electric wiring, steam pipes, radiators or any heating mechanism.
(4) These materials shall be separated by a fire resistant wall or
by a distance of at least 30 feet from organic materials or other
chemicals and substances which could cause contamination such as
flammable liquids, combustible liquids, corrosive liquids, chlorates,
permanganates, finely divided metals, caustic soda, charcoal, sulfur,
cotton, coal, fats, fish oils or vegetable oils.
(5) Storage of any of these materials shall be in a clean area upon
clean wood dunnage, or on pallets over a clean floor. In the case of a
concrete floor, storage may be made directly on the floor if it is first
covered with a moisture barrier such as a polyethylene sheet or
asphaltic laminated paper.
(6) Any spilled material shall be promptly and thoroughly cleaned up
and removed from the waterfront facility. If any spilled material has
remained in contact with a wooden floor for any length of time the floor
shall be scrubbed with water and all spilled material shall be
thoroughly dissolved and flushed away.
(7) An abundance of water for firefighting shall be readily
available.
(8) Open drains, traps, pits or pockets which could be filled with
molten ammonium nitrate if a fire occurred (and thus become potential
detonators for the storage piles) must be eliminated or plugged.
Note: See 49 CFR 176.415 for permit requirements for nitro carbo
nitrate and certain ammonium nitrates.
[CGD 78-023, 44 FR 4644, Jan. 22, 1979]
Sec. 126.29 Supervision and control of dangerous cargo.
(a) Authority. The Captain of the Port is authorized to require that
any transaction of handling, storing, stowing, loading, discharging, or
transporting the dangerous cargo covered by this subchapter shall be
undertaken and continued only under the immediate supervision and
control of the Captain of the Port or his duly authorized
representative. In case the Captain of the Port exercises such
authority, all directions, instructions, and orders of the Captain of
the Port or his representative, not inconsistent with this part, with
respect to such handling, storing, stowing, loading, discharging, and
transporting; with respect to the operation of the waterfront facility;
with respect to vessels handling, stowing, loading, or discharging of
dangerous cargo at anchorages when the operations are under the
immediate control and supervision of the Captain of the Port or his duly
authorized representative; with respect to the ingress and egress of
persons, articles, and things and to their presence on the waterfront
facilty or vessel; and with respect to vessels approaching, moored at,
and departing from the waterfront facility, shall be promptly obeyed.
(b) Reporting discharge of dangerous liquid commodities into the
waters of the United States. To enhance the safety of the port and to
protect vessels, their cargo, and waterfront facilities therein, the
discharge into the navigable waters of the United States of petroleum
products, petroleum byproducts or other dangerous liquid commodities
which may create a hazard or toxic condition in the port area will be
immediately reported to the Captain of the Port or District Commander by
the owner or master of the vessel from which the discharge occurred, or
the owner or operator of a waterfront facility from which the discharge
occurred.
[CGFR 69-89, 34 FR 17478, Oct. 29, 1969]
[[Page 24]]
Sec. 126.31 Termination or suspension of general permit.
The Captain of the Port is hereby authorized to terminate or to
suspend the general permit granted by Sec. 126.27 in respect to any
particular designated waterfront facility whenever he deems that the
security or safety of the port or vessels or waterfront facilities
therein so requires. Confirmation of such termination or suspension
shall be given to the permittee in writing. After such termination, the
general permit may be revived by the District Commander with respect to
such particular waterfront facility upon a finding by him that the cause
of termination no longer exists and is unlikely to recur. After such
suspension, the general permit shall be revived by the Captain of the
Port with respect to such particular waterfront facility when the cause
of suspension no longer exists, and he shall so advise the permittee in
writing.
[CGFR 51-37, 16 FR 8680, Aug. 28, 1951, as amended by CGFR 69-89, 34 FR
17479, Oct. 29, 1969]
Sec. 126.33 Penalties for handling dangerous cargo without permit.
Handling, storing, stowing, loading, discharging, or transporting
any dangerous cargo covered by Sec. 126.27 under circumstances not
covered by the general permit granted in Sec. 126.27 or when such
general permit is not in force will subject persons responsible therefor
to the civil or criminal penalties provided in Section 13 of the Ports
and Waterways Safety Act, as amended (33 U.S.C. sec. 1232).
[CGD 78-023, 44 FR 4644, Jan. 22, 1979]
Sec. 126.35 Primary responsibility.
Nothing contained in the rules, regulations, conditions, and
designations in this part shall be construed as relieving the masters,
owners, operators, and agents of vessels, docks, piers, wharves, or
other waterfront facilities from their primary responsibility for the
security of such vessels, docks, piers, wharves, or waterfront
facilities.
[CGFR 51-37, 16 FR 8680, Aug. 28, 1951]
Sec. 126.37 Separability.
If any provision of the rules, regulations, conditions, or
designations contained in this part or the application of such provision
to any person, waterfront facility, or circumstances shall be held
invalid, the validity of the remainder of the rules, regulations,
conditions, or designations contained in this part and applicability of
such provision to other persons, waterfront facilities, or
circumstances, shall not be affected thereby.
[CGFR 51-37, 16 FR 8680, Aug. 28, 1951]
PART 127--WATERFRONT FACILITIES HANDLING LIQUEFIED NATURAL GAS AND LIQUEFIED HAZARDOUS GAS--Table of Contents
Subpart A--General
Sec.
127.001 Applicability.
127.003 Incorporation by reference.
127.005 Definitions.
127.007 Letter of intent.
127.009 Letter of recommendation.
127.011 Inspections of waterfront facilities.
127.013 Suspension of transfer operations.
127.015 Appeals.
127.017 Alternatives.
127.019 Operations Manual and Emergency Manual: Procedures for
examination.
Subpart B--Waterfront Facilities Handling Liquefied Natural Gas
127.101 Design and construction: General.
127.103 Piers and wharves.
127.105 Layout and spacing of marine transfer area for LNG.
127.107 Electrical power systems.
127.109 Lighting systems.
127.111 Communications systems.
127.113 Warning signs.
Equipment
127.201 Sensing and alarm systems.
127.203 Portable gas detectors.
127.205 Emergency shutdown.
127.207 Warning alarms.
Operations
127.301 Persons in charge of shoreside transfer operations:
Qualifications and certification.
127.303 Compliance with suspension order.
127.305 Operations Manual.
127.307 Emergency Manual.
127.309 Operations Manual and Emergency Manual: Use.
[[Page 25]]
127.311 Motor vehicles.
127.313 Bulk storage.
127.315 Preliminary transfer inspection.
127.317 Declaration of inspection.
127.319 LNG transfer.
127.321 Release of LNG.
Maintenance
127.401 Maintenance: General.
127.403 Inspections.
127.405 Repairs.
127.407 Testing.
127.409 Records.
Personnel Training
127.501 Applicability.
127.503 Training: General.
Firefighting
127.601 Fire equipment: General.
127.603 Portable fire extinguishers.
127.605 Emergency outfits.
127.607 Fire main systems.
127.609 Dry chemical systems.
127.611 International shore connection.
127.613 Smoking.
127.615 Fires.
127.617 Hotwork.
Security
127.701 Security on existing facilities.
127.703 Access to the marine transfer area for LNG.
127.705 Security systems.
127.707 Security personnel.
127.709 Protective enclosures.
127.711 Communications.
Subpart C--Waterfront Facilities Handling Liquefied Hazardous Gas
Design and Construction
127.1101 Piping systems.
127.1102 Transfer hoses and loading arms.
127.1103 Piers and wharves.
127.1105 Layout and spacing of marine transfer area for LHG.
127.1107 Electrical systems.
127.1109 Lighting systems.
127.1111 Communication systems.
127.1113 Warning signs.
Equipment
127.1203 Gas detection.
127.1205 Emergency shutdown.
127.1207 Warning alarms.
127.1209 Respiratory protection.
Operations
127.1301 Persons in charge of transfers for the facility:
Qualifications and certification.
127.1302 Training.
127.1303 Compliance with suspension order.
127.1305 Operations Manual.
127.1307 Emergency Manual.
127.1309 Operations Manual and Emergency Manual: Use.
127.1311 Motor vehicles.
127.1313 Storage of hazardous materials.
127.1315 Preliminary transfer inspection.
127.1317 Declaration of Inspection.
127.1319 Transfer of LHG.
127.1321 Release of LHG.
127.1325 Access to marine transfer area for LHG.
Maintenance
127.1401 General.
127.1403 Inspections.
127.1405 Repairs.
127.1407 Tests.
127.1409 Records.
Firefighting Equipment
127.1501 General.
127.1503 Portable fire extinguishers.
127.1505 Emergency response and rescue.
127.1507 Water systems for fire protection.
127.1509 Equipment for controlling and extinguishing fires.
127.1511 International shore connection.
Fire Protection
127.1601 Smoking.
127.1603 Hotwork.
127.1605 Other sources of ignition.
Authority: 33 U.S.C. 1231; 49 CFR 1.46.
Source: CGD 78-038, 53 FR 3376, Feb. 7, 1988, unless otherwise
noted.
Subpart A--General
Sec. 127.001 Applicability.
(a) Subparts A and B of this part apply to the marine transfer area
for LNG of each new waterfront facility handling LNG and to new
construction in the marine transfer area for LNG of each existing
waterfront facility handling LNG.
(b) Subpart A of this part and Secs. 127.301 through 127.617 apply
to the marine transfer area for LNG of each active existing waterfront
facility handling LNG.
(c) Sections 127.007 (c), (d), and (e); 127.019(b); and 127.701 of
subparts A and B of this part apply to the marine transfer area for LNG
of each inactive existing facility.
(d) Subparts A and C of this part apply to the marine transfer area
for LHG of each active waterfront facility handling LHG.
(e) Sections 127.007 (c), (d), and (e); 127.019(b); and 127.1325(c)
of subparts A
[[Page 26]]
and C of this part apply to the marine transfer area for LHG of each
inactive facility.
[CGD 88-049, 60 FR 39794, Aug. 3, 1995]
Sec. 127.003 Incorporation by reference.
(a) Certain material is incorporated by reference into this part
with the approval of the Director of the Federal Register in accordance
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other
than that specified in paragraph (b) of this section, the Coast Guard
must publish notice of change in the Federal Register and make the
material available to the public. All approved material is on file at
the Office of the Federal Register, Room 700, 800 North Capitol Street
NW., Washington, DC 20408, and at the U.S. Coast Guard, (G-MOC), Room
1108, 2100 Second Street SW., Washington, DC 20593-0001, and is
available from the sources indicated in paragraph (b) of this section.
(b) The material approved for incorporation by reference in this
part, and the sections affected, are:
The American National Standards Institute (ANSI)
1430 Broadway, New York, NY 10018:
ANSI B16.5, Pipe Flanges and Flanged Fittings 1988,
including 1992 Addenda and Errata.................. 127.1102
ANSI S12.13, Part I, Performance Requirements,
Combustible Gas Detectors, 1986.................... 127.1203
American Petroleum Institute (API)
1220 L Street NW., Washington, DC 20005:
API RP 2003, Protection Against Ignitions Arising
Out of Static, Lightning and Stray Currents, 1991.. 127.1101
American Society of Mechanical Engineers (ASME)
345 East 47th Street, New York, NY 10017:
ASME B31.3, Chemical Plant and Petroleum Refinery
Piping, 1993....................................... 127.1101
American Society for Testing and Materials (ASTM)
1916 Race Street, Philadelphia, PA 19103:
ASTM F-1121, International Shore Connections for Marine
Applications, 1987 (reapproved 1993) 127.1511
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,
1993............................................... 127.313;
127.1313
NFPA 51B, Fire Prevention in Use of Cutting and
Welding Processes, 1994............................ 127.405;
127.1405
NFPA 59A, Production, Storage, and Handling of
Liquefied Natural Gas (LNG), 1994.................. 127.101;
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
Materials, 1990.................................... 127.005
[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]
Sec. 127.005 Definitions.
As used in this part:
Active means accomplishing the transfer of LHG or LNG, or scheduling
one to occur, within 12 months of the current date.
Captain of the Port (COTP) means the Coast Guard officer designated
by the Commandant to command a Captain of the Port Zone as described in
Part 3 of this chapter, or an authorized representative.
[[Page 27]]
Commandant means the Commandant of the U.S. Coast Guard or an
authorized representative.
Control room means a space within the LNG waterfront facility from
which facility operations are controlled.
District Commander means the Coast Guard officer designated by the
Commandant to command a Coast Guard District as described in Part 3 of
this chapter, or an authorized representative.
Environmentally sensitive areas include public parks and recreation
areas, wildlife and waterfowl refuges, fishing grounds, wetlands, other
areas deemed to be of high value to fish and wildlife resources,
historic sites, and other protected areas.
Existing as applied to a waterfront facility means a facility
handling LNG constructed or being constructed under a contract awarded
before June 2, 1988, or a facility handling LHG constructed or being
constructed under a contract awarded before January 30, 1996.
Facility means either a waterfront facility handling LHG or a
waterfront facility handling LNG.
Fire endurance rating means the duration for which an assembly or
structural unit will contain a fire or retain structural integrity when
exposed to the temperatures specified in the standard time-temperature
curve in NFPA 251.
Flammable product means a product indicated by the letter ``F'' or
by the letters ``F + T'' in Table 127.005.
Inactive means not active.
Impounding space means a space formed by dikes and floors that
confines a spill of LHG or LNG.
LHG means liquefied hazardous gas.
LHG vessel means a vessel constructed or converted to carry LHG, in
bulk.
Liquefied hazardous gas (LHG) means a liquid containing one or more
of the products listed in Table 127.005.
Liquefied natural gas (LNG) means a liquid or semisolid consisting
mostly of methane and small quantities of ethane, propane, nitrogen, or
other natural gases.
Liquefied petroleum gas (LPG) means a liquid consisting mostly of
propane or butane or both.
LNG means liquefied natural gas.
LNG vessel means a vessel constructed or converted to carry LNG, in
bulk.
Loading flange means the connection or group of connections in the
cargo transfer pipeline on the facility that connects the facility
pipeline to the vessel pipeline.
Marine transfer area for LHG means that part of a waterfront
facility handling LHG between the vessel, or where the vessel moors, and
the first shutoff valve on the pipeline immediately inland of the
terminal manifold or loading arm, including the entire part of a pier or
wharf used to serve LHG vessels.
Marine transfer area for LNG means that part of a waterfront
facility handling LNG between the vessel, or where the vessel moors, and
the last manifold or valve immediately before the receiving tanks.
Mating flange means that flange in the product-transfer pipeline on
a waterfront facility handling LHG or a waterfront facility handling LNG
that connects this pipeline to the pipeline or transfer hose of the
vessel.
MAWP means maximum allowable working pressure.
Maximum allowable working pressure (MAWP) means the maximum gauge
pressure permissible at the top of equipment, containers, or pressure
vessels while operating at design temperature.
New as applied to a waterfront facility means a facility handling
LNG constructed or being constructed under a contract awarded on or
after June 2, 1988, or a facility handling LHG constructed or being
constructed under a contract awarded on or after January 30, 1996.
Person in charge of transfer operations on the vessel is the person
designated the person in charge of cargo transfer under 46 CFR 154.1831.
Release means any spilling, leaking, pumping, pouring, emitting,
emptying, discharging, injecting, escaping, leaching, dumping, or
disposing into the environment, except a minor release of
[[Page 28]]
LHG or its vapor, that may occur during the routine handling of LHG. No
release is minor if it creates an atmosphere that exceeds the Lower
Flammable Limit (LFL) for a flammable product or any Permissible
Exposure Limit (PEL) listed in 29 CFR 1910.1000, Table Z-1 or Z-2, for a
toxic product.
Substructure means the deck of a pier or wharf and the structural
components below that deck.
Toxic product means a product indicated by the letter ``T'' or by
the letters ``F+T'' in Table 127.005.
Waterfront facility handling LHG means any structure on, in, or
under the navigable waters of the United States, or any structure on
land or any area on shore immediately adjacent to such waters, used or
capable of being used to transfer liquefied hazardous gas, in bulk, to
or from a vessel.
Waterfront facility handling LNG means any structure on, in, or
under the navigable waters of the United States, or any structure on
land or any area on shore immediately adjacent to such waters, used or
capable of being used to transfer liquefied natural gas, in bulk, to or
from a vessel.
Table 127.005--List of Products and Hazards
------------------------------------------------------------------------
Product Hazard
------------------------------------------------------------------------
Acetaldehyde............................... F+T
Ammonia, anhydrous......................... T
Butadiene.................................. F
Butanes.................................... F
Butane and propane (mixtures).............. F
Butylenes.................................. F
Chlorine................................... T
Dimethylamine.............................. F+T
Ethane..................................... F
Ethyl chloride............................. F+T
Ethylene................................... F
Ethylene oxide............................. F+T
Methyl-acetylene and propadiene (mixtures). F
Methyl bromide............................. F+T
Methyl chloride............................ F+T
Propane.................................... F
Propylene.................................. F
Sulphur dioxide............................ T
Vinyl chloride............................. F+T
------------------------------------------------------------------------
Note: ``F'' indicates a flammable product. ``T'' indicates a toxic
product. ``F&T'' indicates a product both flammable and toxic.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39795, Aug. 3, 1995; CGD 97-023, 62 FR 33363, June 19, 1997]
Sec. 127.007 Letter of intent.
(a) An owner who intends to build a new facility or the owner or
operator who plans new construction on an existing facility, must submit
a letter of intent that meets paragraph (d) of this section to the COTP
of the zone in which the facility is or will be located, at least 60
days before construction begins.
(b) The owner or operator of an active existing facility shall
submit a letter of intent that meets paragraph (d) of this section to
the COTP of the zone in which the facility is located.
(c) An owner or operator of an inactive existing facility shall
submit a letter of intent that meets paragraph (d) of this section to
the COTP of the zone in which the facility is located, at least 60 days
before transferring LHG or LNG.
(d) Each letter of intent must contain--
(1) The name, address, and telephone number of the owner and
operator;
(2) The name, address, and telephone number of the facility;
(3) The physical location of the facility;
(4) A description of the facility;
(5) The LHG or LNG vessels' characteristics and the frequency of LHG
or LNG shipments to or from the facility; and
(6) Charts showing waterway channels and identifying commercial,
industrial, environmentally sensitive, and residential areas in and
adjacent to the waterway used by the LHG or LNG vessels en route to the
facility, within 25 kilometers (15.5 miles) of the facility.
(e) The owner or operator who submits a letter of intent under
paragraph (a), (b), or (c), shall notify the COTP in writing within 15
days if--
(1) There is any change in the information submitted under
paragraphs (d)(1) through (d)(5) of this section; or
(2) No LHG or LNG transfer operations are scheduled within the next
12 months.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39795, Aug. 3, 1995]
[[Page 29]]
Sec. 127.009 Letter of recommendation.
After the COTP receives the letter of intent under Sec. 127.007 (a)
or (c), the COTP issues a letter of recommendation to the owner or
operator of the facility and to the state and local government agencies
having jurisdiction, as to the suitability of the waterway for LHG or
LNG marine traffic, based on the--
(a) Information submitted under Secs. 127.007 (d)(3) through (d)(6);
(b) Density and character of marine traffic in the waterway;
(c) Locks, bridges, or other man-made obstructions in the waterway;
and
(d) Following factors adjacent to the facility:
(1) Depths of the water.
(2) Tidal range.
(3) Protection from high seas.
(4) Natural hazards, including reefs, rocks, and sandbars.
(5) Underwater pipelines and cables.
(6) Distance of berthed vessel from the channel and the width of the
channel.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39795, Aug. 3, 1995]
Note: The Coast Guard is authorized by law to establish water or
waterfront safety zones, or other measures for limited, controlled, or
conditional access and activity, when necessary for the protection of
any vessel, structure, waters, or shore area.
Sec. 127.011 Inspections of Waterfront Facilities.
The operator shall ensure that the COTP or his representative is
allowed to make reasonable examinations and inspections to determine
whether the facility meets this part.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39795, Aug. 3, 1995]
Sec. 127.013 Suspension of transfer operations.
(a) The COTP may issue an order to the operator to suspend LHG or
LNG transfer operations if the COTP finds any condition requiring
immediate action to--
(1) Prevent damage to, or the destruction of, any bridge or other
structure on or in the navigable waters of the United States, or any
land structure or shore area immediately adjacent to such waters; and
(2) Protect the navigable waters and the resources therein from harm
resulting from vessel or structure damage, destruction, or loss.
(b) Each order to suspend transfer operations issued under paragraph
(a) of this section--
(1) Is effective immediately;
(2) Contains a statement of each condition requiring immediate
action; and
(3) Is withdrawn by the COTP whenever each condition is corrected or
no longer exists.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39795, Aug. 3, 1995]
Sec. 127.015 Appeals.
(a) Any person directly affected by an action taken under this part
may request reconsideration by the Coast Guard officer responsible for
that action.
(b) Except as provided under paragraph (e) of this section, any
person not satisfied with a ruling made under the procedure contained in
paragraph (a) of this section may--
(1) Appeal that ruling in writing to the District Commander of the
district in which the action was taken; and
(2) Supply supporting documentation and evidence that the appellant
wishes to have considered.
(c) The District Commander issues a ruling after reviewing the
appeal submitted under paragraph (b) of this section. Except as provided
under paragraph (e) of this section, any person not satisfied with this
ruling may--
(1) Appeal that ruling in writing to the Assistant Commandant for
Marine Safety and Environmental Protection, U.S. Coast Guard,
Washington, DC 20593-0001; and
(2) Supply supporting documentation and evidence that the appellant
wishes to have considered.
(d) The Assistant Commandant for Marine Safety and Environmental
Protection issues a ruling after reviewing the appeal submitted under
paragraph (c) of this section, which is final agency action.
(e) If the delay in presenting a written appeal has an adverse
impact on
[[Page 30]]
the operations of the appellant, the appeal under paragraph (b) or (c)
of this section--
(1) May be presented orally; and
(2) Must be submitted in writing within five days after the oral
presentation--
(i) With the basis for the appeal and a summary of the material
presented orally; and
(ii) To the same Coast Guard official who heard the oral
presentation.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 96-026, 61 FR
33665, June 28, 1996; CGD 97-023, 62 FR 33363, June 19, 1997]
Sec. 127.017 Alternatives.
(a) The COTP may allow alternative procedures, methods, or equipment
standards to be used by an operator instead of any requirements in this
part if--
(1) The operator submits a written request for the alternative at
least 30 days before facility operations under the alternative would
begin, unless the COTP authorizes a shorter time; and
(2) The alternative provides at least the same degree of safety
provided by the regulations in this part.
(b) The COTP approves or disapproves any alternative requested under
paragraph (a) of this section--
(1) In writing; or
(2) Orally, with subsequent written confirmation.
Sec. 127.019 Operations Manual and Emergency Manual: Procedures for examination.
(a) The owner or operator of an active existing facility shall
submit two copies of the Operations Manual and of the Emergency Manual
to the Captain of the Port of the zone in which the facility is located.
(b) At least 30 days before transferring LHG or LNG, the owner or
operator of a new or an inactive existing facility shall submit two
copies of the Operations Manual and of the Emergency Manual to the
Captain of the Port of the zone in which the facility is located, unless
the manuals have been examined and there have been no changes since that
examination.
(c) If the COTP finds that the Operations Manual meets Sec. 127.305
or Sec. 127.1305 and that the Emergency Manual meets Sec. 127.307 or
Sec. 127.1307, the Captain of the Port returns a copy to the owner or
operator marked ``Examined by the Coast Guard''.
(d) If the COTP finds that the Operations Manual or the Emergency
Manual does not meet this part, the Captain of the Port returns the
manual with an explanation of why it does not meet this part.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39795, Aug. 3, 1995]
Subpart B--Waterfront Facilities Handling Liquefied Natural Gas
Sec. 127.101 Design and construction: General.
The marine transfer area for LNG must meet the following criteria in
NFPA 59A:
(a) Chapter 2, Sections 2-1.2 and 2-3.
(b) Chapter 4, Section 4-1.3.
(c) Chapter 6.
(d) Chapter 7, Sections 7-6 and 7-7.
(e) Chapter 8, except Sections 8-3, 8-5 and 8-7.2.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39795, Aug. 3, 1995]
Sec. 127.103 Piers and wharves.
(a) If the waterfront facility handling LNG is in a region subject
to earthquakes, the piers and wharves must be designed to resist
earthquake forces.
(b) Substructures, except moorings and breasting dolphins, that
support or are within 5 meters (16.4 feet) of any pipe or equipment
containing LNG, or are within 15 meters (49.2 feet) of a loading flange,
must--
(1) Be made of concrete or steel; and
(2) Have a fire endurance rating of not less than two hours.
(c) LNG or LPG storage tanks must have the minimum volume necessary
for--
(1) Surge protection;
(2) Pump suction supply; or
(3) Other process needs.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88-049, 60 FR
39796, Aug. 3, 1995]
[[Page 31]]
Sec. 127.105 Layout and spacing of marine transfer area for LNG.
(a) LNG impounding spaces must be located so that the heat flux from
a fire over the impounding spaces does not cause structural damage to an
LNG vessel moored or berthed at the waterfront facility handling LNG.
(b) Each LNG loading flange must be located at least 300 meters
(984.3 feet) from the following which are primarily intended for the use
of the general public or railways:
(1) Each bridge crossing a navigable waterway.
(2) Each entrance to any tunnel under a navigable waterway.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.107 Electrical power systems.
(a) The electrical power system must have a power source and a
separate emergency power source, so that failure of one source does not
affect the capability of the other source. The system must meet the
National Electrical Code, NFPA 70.
(b) The emergency power source must provide enough power for the
operation of the--
(1) Emergency shutdown system;
(2) Communications equipment;
(3) Firefighting equipment; and
(4) Emergency lighting.
(c) If an auxiliary generator is used as an emergency power source,
it must meet Section 700-12 of NFPA 70.
Sec. 127.109 Lighting systems.
(a) The marine transfer area for LNG must have a lighting system and
separate emergency lighting.
(b) All outdoor lighting must be located or shielded so that it is
not confused with any aids to navigation and does not interfere with
navigation on the adjacent waterways.
(c) The lighting system must provide an average illumination on a
horizontal plane one meter (3.3 feet) above the deck that is--
(1) 54 lux (five foot-candles) at any loading flange; and
(2) 11 lux (one foot-candle) at each work area.
(d) The emergency lighting must provide lighting for the operation
of the--
(1) Emergency shutdown system;
(2) Communications equipment; and
(3) Firefighting equipment.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39795, Aug. 3, 1995]
Sec. 127.111 Communications systems.
(a) The marine transfer area for LNG must have a ship-to-shore
communication system and a separate emergency ship-to-shore
communication system.
(b) Each ship-to-shore communication system must be a dedicated
system that allows voice communication between the person in charge of
transfer operations on the vessel, the person in charge of shoreside
transfer operations, and personnel in the control room.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39795, Aug. 3, 1995]
Sec. 127.113 Warning signs.
(a) The marine transfer area for LNG must have warning signs that--
(1) Meet paragraph (b) of this section;
(2) Can be seen from the shore and the water; and
(3) Have the following text:
Warning
Dangerous Cargo
No Visitors
No Smoking
No Open Lights
(b) Each letter in the words on the sign must be--
(1) Block style;
(2) Black on a white background; and
(3) 7.6 centimeters (3 inches) high.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Equipment
Sec. 127.201 Sensing and alarm systems.
(a) Fixed sensors must have audio and visual alarms in the control
room and audio alarms nearby.
(b) Fixed sensors that continuously monitor for LNG vapors must--
(1) Be in each enclosed area where vapor or gas may accumulate; and
(2) Meet Section 9-4 of NFPA 59A.
[[Page 32]]
(c) Fixed sensors that continuously monitor for flame, heat, or
products of combustion must--
(1) Be in each enclosed or covered Class I, Division 1, hazardous
location defined in Section 500-5(a) of NFPA 70 and each area in which
flammable or combustible material is stored; and
(2) Meet Section 9-4 of NFPA 59A.
Sec. 127.203 Portable gas detectors.
The marine transfer area for LNG must have at least two portable gas
detectors capable of measuring 0-100% of the lower flammable limit of
methane.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.205 Emergency shutdown.
Each transfer system must have an emergency shutdown system that--
(a) Can be activated manually; and
(b) Is activated automatically when the fixed sensors under
Sec. 127.201(b) measure LNG concentrations exceeding 40% of the lower
flammable limit.
Sec. 127.207 Warning alarms.
(a) The marine transfer area for LNG must have a rotating or
flashing amber light with a minimum effective flash intensity, in the
horizontal plane, of 5000 candelas. At least 50% of the required
effective flash intensity must be maintained in all directions from 1.0
degree above to 1.0 degree below the horizontal plane.
(b) The marine transfer area for LNG must have a siren with a
minimum \1/3\-octave band sound pressure level at l meter of 125
decibels referenced to 0.0002 microbars. The siren must be located so
that the sound signal produced is audible over 360 degrees in a
horizontal plane.
(c) Each light and siren must be located so that the warning alarm
is not obstructed for a distance of 1.6 km (1 mile) in all directions.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Operations
Sec. 127.301 Persons in charge of shoreside transfer operations: Qualifications and certification.
(a) No person may serve, and the operator of the waterfront facility
handling LNG may not use the services of any person, as a person in
charge of shoreside transfer operations, unless that person--
(1) Has at least 48 hours of LNG transfer experience;
(2) Knows the hazards of LNG;
(3) Knows the rules of this subpart; and
(4) Knows the procedures in the examined Operations Manual and the
examined Emergency Manual.
(b) Before a person in charge of shoreside transfer operations
supervises a transfer, the operator shall certify in writing that the
criteria in paragraph (a) of this section are met. The operator shall
maintain a copy of each current certification available for inspection
at the waterfront facility handling LNG.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.303 Compliance with suspension order.
If an order to suspend is given to the operator or owner of the
waterfront facility handling LNG, no LNG transfer operations may be
conducted at the facility until the order is withdrawn by the COTP.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.305 Operations Manual.
Each Operations Manual must contain--
(a) A description of the transfer system including mooring areas,
transfer connections, control rooms, and diagrams of the piping and
electrical systems;
(b) The duties of each person assigned for transfer operations;
[[Page 33]]
(c) The maximum relief valve setting or maximum allowable working
pressure of the transfer system;
(d) The facility telephone numbers of facility supervisors, persons
in charge of shoreside transfer operations, personnel on watch in the
marine transfer area for LNG, and security personnel;
(e) A description of the security systems for the marine transfer
area for LNG;
(f) The procedures for--
(1) Transfer operations including gauging, cool down, pumping,
venting, and shutdown;
(2) Transfer operations start-up and shutdown;
(3) Security violations; and
(4) The communications systems; and
(g) A description of the training programs established under
Sec. 127.503.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.307 Emergency Manual.
Each Emergency Manual must contain--
(a) LNG release response procedures, including contacting local
response organizations;
(b) Emergency shutdown procedures;
(c) A description of the fire equipment and systems and their
operating procedures;
(d) A description of the emergency lighting and emergency power
systems;
(e) The telephone numbers of local Coast Guard units, hospitals,
fire departments, police departments, and other emergency response
organizations;
(f) If the waterfront facility handling LNG has personnel shelters,
the location of and provisions in each shelter;
(g) First aid procedures and if there are first aid stations, the
locations of each station; and
(h) Emergency procedures for mooring and unmooring a vessel.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.309 Operations Manual and Emergency Manual: Use.
The operator shall ensure that--
(a) LNG transfer operations are not conducted unless the waterfront
facility handling LNG has an examined Operations Manual and examined
Emergency Manual;
(b) Each transfer operation is conducted in accordance with the
examined Operations Manual; and
(c) Each emergency response is in accordance with the examined
Emergency Manual.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.311 Motor vehicles.
(a) The operator shall designate and mark parking spaces that--
(1) Do not block fire lanes;
(2) Do not impede any exits;
(3) Are not located in any impounding space; and
(4) Are not within 15 meters (49.2 feet) of any storage tank or
loading flange.
(b) During transfer operations, no person may--
(1) Stop or park a motor vehicle in a space that is not designated a
parking space; or
(2) Refuel any motor vehicle.
Sec. 127.313 Bulk storage.
(a) The operator shall ensure that only the following flammable
materials are stored in the marine transfer area for LNG:
(1) LNG.
(2) LPG.
(3) Vessel fuel.
(4) Oily waste from vessels.
(5) Solvents, lubricants, paints, and other fuels in the amount used
for one day's operations and maintenance.
(b) Flammable liquids must be stored in accordance with Chapter 4 of
NFPA 30.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.315 Preliminary transfer inspection.
Before transferring LNG, the person in charge of shoreside transfer
operations shall--
(a) Inspect the transfer piping and equipment to be used during the
transfer and replace any worn or inoperable parts;
[[Page 34]]
(b) For each of the vessel's cargo tanks from which cargo will be
transferred, note the pressure, temperature, and volume to ensure they
are safe for transfer;
(c) Review and agree with the person in charge of cargo transfer on
the vessel to--
(1) The sequence of transfer operations;
(2) The transfer rate;
(3) The duties, location, and watches of each person assigned for
transfer operations; and
(4) Emergency procedures from the examined Emergency Manual;
(d) Ensure that transfer connections allow the vessel to move to the
limits of its moorings without placing strain on the loading arm or
transfer piping system;
(e) Ensure that each part of the transfer system is aligned to allow
the flow of LNG to the desired location;
(f) Ensure that warning signs that warn that LNG is being
transferred, are displayed;
(g) Eliminate all ignition sources in the marine transfer area for
LNG;
(h) Ensure that personnel are on duty in accordance with the
examined Operations Manual; and
(i) Test the following to determine that they are operable:
(1) The sensing and alarm systems.
(2) The emergency shutdown system.
(3) The communication systems.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.317 Declaration of inspection.
(a) After the preliminary transfer inspection under Sec. 127.315 has
been satisfactorily completed, the person in charge of shoreside
transfer operations shall ensure that no person transfers LNG until a
Declaration of Inspection that meets paragraph (c) of this section is
executed and signed in duplicate.
(b) The person in charge of shoreside transfer operations shall give
one signed copy of the Declaration of Inspection to the person in charge
of transfer operations on the vessel, and shall retain one signed copy
at the waterfront facility handling LNG for 30 days after completion of
the transfer.
(c) Each Declaration of Inspection must contain--
(1) The name of the vessel and the waterfront facility handling LNG;
(2) The date and time that transfer operations begin;
(3) A list of the requirements in Sec. 127.315 with the initials of
the person in charge of shoreside transfer operations after each
requirement, indicating that the requirement is met;
(4) The signature of the person in charge of shoreside transfer
operations and the date and time of signing, indicating that he or she
is ready to begin transfer operations; and
(5) The signature of each relief person in charge and the date and
time of each relief.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.319 LNG transfer.
During LNG transfer operations, the following must be met:
(a) The operator of the waterfront facility handling LNG shall
ensure that--
(1) The marine transfer area for LNG is under the supervision of a
person in charge, who has no other assigned duties during the transfer
operation;
(2) Personnel transferring fuel or oily waste are not involved in
LNG transfer; and
(3) No vessels are moored outboard of any LNG vessel without the
permission of the COTP.
(b) The person in charge of shoreside transfer operations shall--
(1) Be in continuous communication with the person in charge of
transfer operations on the vessel;
(2) Ensure that an inspection of the transfer piping and equipment
for leaks, frost, defects, and other symptoms of safety and operational
problems is conducted at least once every transfer;
(3) Ensure that transfer operations are discontinued--
(i) Before electrical storms or uncontrolled fires are adjacent to
the marine transfer area for LNG; and
(ii) As soon as a fire is detected; and
(4) Ensure that the lighting systems are turned on between sunset
and sunrise.
[[Page 35]]
Note: Vessel transfer requirements are published in 46 CFR Part 154.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.321 Release of LNG.
(a) The operator of the waterfront facility handling LNG shall
ensure that--
(1) No person releases LNG into the navigable waters of the United
States; and
(2) If there is a release of LNG, vessels near the facility are
notified of the release by the activation of the warning alarm.
(b) If there is a release of LNG, the person in charge of shoreside
transfer operations shall--
(1) Immediately notify the person in charge of cargo transfer on the
vessel of the intent to shutdown;
(2) Shutdown transfer operations;
(3) Notify the COTP of the release; and
(4) Not resume transfer operations until authorized by the COTP.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Maintenance
Sec. 127.401 Maintenance: General.
The operator of the waterfront facility handling LNG shall ensure
that the equipment required under this part is maintained in a safe
condition so that it does not cause a release or ignition of LNG.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.403 Inspections.
The operator shall conduct a visual inspection for defects of each
pressure-relief device not capable of being tested, at least once each
calendar year, with intervals between inspections not exceeding 15
months, and make all repairs in accordance with Sec. 127.405.
Sec. 127.405 Repairs.
The operator shall ensure that--
(a) Equipment repairs are made so that--
(1) The equipment continues to meet the applicable requirements in
this subpart and in NFPA 59A; and
(2) Safety is not compromised; and
(b) Welding is done in accordance with NFPA 51B and NFPA 59A,
Chapter 6, Section 6-3.4.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.407 Testing.
(a) The operator shall pressure test under paragraph (b) of this
section the transfer system, including piping, hoses, and loading arms,
and verify the set pressure of the safety and relief valves--
(1) After the system or the valves are altered;
(2) After the system or the valves are repaired;
(3) After any increase in the MAWP; or
(4) For those components that are not continuously kept at cryogenic
temperature, at least once each calendar year, with intervals between
testing not exceeding 15 months.
(b) The pressure for the transfer system test under paragraph (a) of
this section must be at 1.1 times the MAWP and be held for a minimum of
30 minutes.
Sec. 127.409 Records.
(a) The operator shall keep on file the following information:
(1) A description of the components tested under Sec. 127.407.
(2) The date and results of the test under Sec. 127.407.
(3) A description of any corrective action taken after the test.
(b) The information required by this section must be retained for 24
months.
Personnel Training
Sec. 127.501 Applicability.
The training required by this subpart must be completed before LNG
is transferred.
Sec. 127.503 Training: General.
The operator shall ensure that each of the following is met:
(a) All full-time employees have training in the following subjects:
[[Page 36]]
(1) Basic LNG firefighting procedures.
(2) LNG properties and hazards.
(b) In addition to the training under paragraph (a) of this section,
each person assigned for transfer operations has training in the
following subjects:
(1) The examined Operations Manual and examined Emergency Manual.
(2) Advanced LNG firefighting procedures.
(3) Security violations.
(4) LNG vessel design and cargo transfer operations.
(5) LNG release response procedures.
(6) First aid procedures for--
(i) Frostbite;
(ii) Burns;
(iii) Cardio-pulminary resuscitation; and
(iv) Transporting injured personnel.
(c) The personnel who received training under paragraphs (a) and (b)
of this section receive refresher training in the same subjects at least
once every five years.
Firefighting
Sec. 127.601 Fire equipment: General.
(a) Fire equipment and systems provided in addition to the
requirements in this subpart must meet the requirements of this subpart.
(b) The following must be red or some other conspicuous color and be
in locations that are readily accessible:
(1) Hydrants and standpipes.
(2) Hose stations.
(3) Portable fire extinguishers.
(4) Fire monitors.
(c) Fire equipment, if applicable, must bear the approval of
Underwriters Laboratories, Inc., the Factory Mutual Research Corp., or
the Coast Guard.
Sec. 127.603 Portable fire extinguishers.
Each marine transfer area for LNG must have--
(a) Portable fire extinguishers that meet 9-6.1 of NFPA 59A and
Chapter 3 of NFPA 10; and
(b) At least one portable fire extinguisher in each designated
parking area.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.605 Emergency outfits.
(a) There must be an emergency outfit for each person whose duties
include fighting fires, but there must be at least two emergency
outfits. Each emergency outfit must include--
(1) One explosion-proof flashlight;
(2) Boots and gloves of rubber or other electrically nonconducting
material;
(3) A rigid helmet that protects the head against impact;
(4) Water resistant clothing that also protects the body against
fire; and
(5) U.S. Bureau of Mines approved self-contained breathing
apparatus.
(b) Emergency outfits under paragraph (a) of this section must be in
locations that are readily accessible and marked for easy recognition.
Sec. 127.607 Fire main systems.
(a) Each marine transfer area for LNG must have a fire main system
that provides at least two water streams to each part of the LNG
transfer piping and connections, one of which must be from a single
length of hose or from a fire monitor.
(b) The fire main must have at least one isolation valve at each
branch connection and at least one isolation valve downstream of each
branch connection to isolate damaged sections.
(c) The fire main system must have the capacity to supply--
(1) Simultaneously all fire hydrants, standpipes, and fire monitors
in the system; and
(2) At a Pitot tube pressure of 618 kilonewtons per square meter (75
p.s.i.), the two outlets having the greatest pressure drop between the
source of water and the hose or monitor nozzle, when only those two
outlets are open.
(d) If the source of water for the fire main system is capable of
supplying a pressure greater than the system's design working pressure,
the system must have at least one pressure relief device.
(e) Each fire hydrant or standpipe must have at least one length of
hose of sufficient length to meet paragraph (a) of this section.
(f) Each length of hose must--
[[Page 37]]
(1) Be 1\1/2\ inches or more in diameter and 30.5 meters (100 feet)
or less in length;
(2) Be on a hose rack or reel;
(3) Be connected to the hydrant or standpipe at all times; and
(4) Have a Coast Guard approved combination solid stream and water
spray fire hose nozzle.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.609 Dry chemical systems.
(a) Each marine transfer area for LNG must have a dry chemical
system that provides at least two dry chemical discharges to the area
surrounding the loading arms, one of which must be--
(1) From a monitor; and
(2) Actuated and, except for pre-aimed monitors, controlled from a
location other than the monitor location.
(b) The dry chemical system must have the capacity to supply
simultaneously or sequentially each hose or monitor in the system for 45
seconds.
(c) Each dry chemical hose station must have at least one length of
hose that--
(1) Is on a hose rack or reel; and
(2) Has a nozzle with a valve that starts and stops the flow of dry
chemical.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.611 International shore connection.
The marine transfer area for LNG must have an international shore
connection that is in accordance with ASTM F-1121, 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]
Sec. 127.613 Smoking.
In the marine transfer area for LNG, the operator shall ensure that
no person smokes when there is LNG present.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.615 Fires.
In the marine transfer area for LNG, the operator shall ensure that
there are no fires when there is LNG present.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended at CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.617 Hotwork.
The operator shall ensure that no person conducts welding, torch
cutting, or other hotwork unless that person has a permit from the COTP.
Security
Sec. 127.701 Security on existing facilities.
The operator shall ensure that any security procedure and
arrangement on existing facilities, that were in use when LNG transfer
operations were last conducted, be continued and maintained, or
upgraded, whenever LNG transfer operations are conducted.
Sec. 127.703 Access to the marine transfer area for LNG.
The operator shall ensure that--
(a) Access to the marine transfer area for LNG from the shoreside
and the waterside is limited to--
(1) Personnel who work at the waterfront facility handling LNG
including persons assigned for transfer operations, vessel personnel,
and delivery and service personnel in the course of their business;
(2) Coast Guard personnel; and
(3) Other persons authorized by the operator; and
(b) No person is allowed into the marine transfer area for LNG
unless that person is identified by a waterfront facility handling LNG-
issued identification card or other identification card displaying his
or her photograph, or is
[[Page 38]]
an escorted visitor displaying an identifying badge.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.705 Security systems.
The operator shall ensure that security patrols of the marine
transfer area for LNG are conducted once every hour, or that a manned
television monitoring system is used, to detect--
(a) Unauthorized personnel;
(b) Fires; and
(c) LNG releases.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Sec. 127.707 Security personnel.
The operator shall ensure that no person is assigned security patrol
duty unless that person has been instructed on security violation
procedures.
Sec. 127.709 Protective enclosures.
The following must be within a fence or wall that prevents
trespassing:
(a) Impounding spaces.
(b) Control rooms and stations.
(c) Electrical power sources.
Sec. 127.711 Communications.
The marine transfer area for LNG must have a means of direct
communications between the security patrol and other operating or
security personnel on duty on the waterfront facility handling LNG.
[CGD 78-038, 53 FR 3376, Feb. 7, 1988, as amended by CGD 88-049, 60 FR
39796, Aug. 3, 1995]
Subpart C--Waterfront Facilities Handling Liquefied Hazardous Gas
Source: CGD 88-049, 60 FR 39796, Aug. 3, 1995, unless otherwise
noted.
Design and Construction
Sec. 127.1101 Piping systems.
Each piping system within the marine transfer area for LHG used for
the transfer of LHG must meet the following criteria:
(a) Each system must be designed and constructed in accordance with
ASME B31.3.
(b) Each pipeline on a pier or wharf must be located so that it is
not exposed to physical damage from vehicular traffic or cargo-handling
equipment. Each pipeline under navigable waters must be covered or
protected to meet 49 CFR 195.248.
(c) The transfer manifold of each liquid transfer line and of each
vapor return line must have an isolation valve with a bleed connection,
such that transfer hoses and loading arms can be blocked off, drained or
pumped out, and depressurized before disconnecting. Bleeds or vents must
discharge to a safe area such as a tank or flare.
(d) In addition to the isolation valve at the transfer manifold,
each liquid-transfer line and each vapor return line must have a readily
accessible isolation valve located near the edge of the marine transfer
area for LHG.
(e) Each power-operated isolation valve must be timed to close so
that it will not produce a hydraulic shock capable of causing failure of
the line or equipment. Unless the layout of the piping allows the
isolation valve at the transfer manifold to close within 30 seconds
without creating excessive stresses on the system, the layout must be
reconfigured to reduce the stresses to a safe level.
(f) Each waterfront facility handling LHG that transfers to or from
a vessel requiring vapor return during transfer must be equipped with a
vapor return line designed to attach to the vessel's vapor connection.
(g) Where two or more LHGs are loaded or unloaded at the same
facility, each manifold must be identified or marked to indicate each
LHG it handles.
(h) Each pipeline used to transfer flammable liquids or vapors must
be provided with precautions against static, lightning, and stray
current in accordance with API RP 2003.
Sec. 127.1102 Transfer hoses and loading arms.
(a) Each hose within the marine transfer area for LHG used for the
transfer of LHG or its vapors to or from a vessel must--
[[Page 39]]
(1) Be made of materials resistant to each LHG transferred, in both
the liquid and vapor state (if wire braid is used for reinforcement, the
wire must be of corrosion-resistant material, such as stainless steel);
(2) Be constructed to withstand the temperature and pressure
foreseeable during transfer, with a MAWP not less than the maximum
pressure to which it may be subjected and at least 1030 kPa gauge (149.4
psig);
(3) Be designed for a minimum bursting pressure of a least five
times the MAWP;
(4) Have--
(i) Full-threaded connections;
(ii) Flanges that meet ANSI B16.5; or
(iii) Quick connect couplings that are acceptable to the Commandant;
(5) Be adequately supported against the weight of its constituent
parts, the LHG, and any ice formed on it;
(6) Have no kinks, bulges, soft spots, or other defects that will
let it leak or burst under normal working pressure; and
(7) Have a permanently attached nameplate that indicates, or
otherwise be permanently marked to indicate--
(i) Each LHG for which it is suitable;
(ii) Its MAWP at the corresponding service temperature; and
(iii) If used for service at other than ambient temperature, its
minimum service temperature.
(b) Each loading arm used for the transfer of LHG or its vapor
must--
(1) Be made of materials resistant to each LHG transferred, in both
the liquid and vapor state;
(2) Be constructed to withstand the temperature and pressure
foreseeable during transfer;
(3) Be adequately supported against the weight of its constituent
parts, the LHG, and any ice formed on it;
(4) Be provided with an alarm to indicate when it is approaching the
limits of its extension, unless the examined Operations Manual requires
a person to perform the same function; and
(5) Have a permanently attached nameplate that indicates, or
otherwise be permanently marked to indicate--
(i) Each LHG it may handle;
(ii) Its MAWP at the corresponding service temperature; and,
(iii) If it is used for service at other than ambient temperature,
its minimum service temperature.
Sec. 127.1103 Piers and wharves.
(a) Each new waterfront facility handling LHG, and all new
construction in the marine transfer area for LHG of each existing
facility, must comply with the standards for seismic design and
construction in 49 CFR part 41.
(b) Each substructure on a new waterfront facility handling LHG, and
all new construction in the marine transfer area for LHG of each
existing facility, except moorings and breasting dolphins, that supports
or is within 4.5 meters (14.8 feet) of any pipe or equipment containing
a flammable LHG, or that is within 15 meters (49.2 feet) of a loading
flange used to transfer a flammable LHG, must have a fire-endurance
rating of not less than two hours.
Sec. 127.1105 Layout and spacing of marine transfer area for LHG.
Each new waterfront facility handling LHG, and all new construction
in the marine transfer area for LHG of each existing facility, must
comply with the following:
(a) Each building, shed, and other structure within each marine
transfer area for LHG must be located, constructed, or ventilated to
prevent the accumulation of flammable or toxic gases within the
structure.
(b) Each impounding space for flammable LHGs located within the area
must be designed and located so that the heat flux from a fire over the
impounding space does not cause, to a vessel, damage that could prevent
the vessel's movement.
(c) Each manifold, loading arm, or independent mating flange must be
located at least 60 meters (197 feet) from each of the following
structures, if that structure is intended primarily for the use of the
general public or of railways:
(1) A bridge crossing a navigable waterway.
(2) The entrance to, or the superstructure of, a tunnel under a
navigable waterway.
(d) Each manifold, loading arm, or independent mating flange must be
located at least 30 meters (98.5 feet) from each public roadway or
railway.
[[Page 40]]
Sec. 127.1107 Electrical systems.
Electrical equipment and wiring must be of the kind specified by,
and must be installed in accordance with, NFPA 70.
Sec. 127.1109 Lighting systems.
(a) Each waterfront facility handling LHG, at which transfers of LHG
take place between sunset and sunrise, must have outdoor lighting that
illuminates the marine transfer area for LHG.
(b) All outdoor lighting must be located or shielded so that it
cannot be mistaken for any aids to navigation and does not interfere
with navigation on the adjacent waterways.
(c) The outdoor lighting must provide a minimum average illumination
on a horizontal plane 1 meter (3.3 feet) above the walking surface of
the marine transfer area that is--
(1) 54 lux (5 foot-candles) at any loading flange; and
(2) 11 lux (1 foot-candle) for the remainder of the marine transfer
area for LHG.
Sec. 127.1111 Communication systems.
(a) The marine transfer area for LHG must possess a communication
system that enables continuous two way voice communication between the
person in charge of transfer aboard the vessel and the person in charge
of transfer for the facility.
(b) The communication system required by paragraph (a) of this
section may consist either of fixed or portable telephones or of
portable radios. The system must be usable and effective in all phases
of the transfer and all weather at the facility.
(c) Devices used to comply with paragraph (a) of this section during
the transfer of a flammable LHG must be listed as intrinsically safe by
Underwriters Laboratories, Inc., Factory Mutual Research Corporation, or
other independent laboratory recognized by NFPA, for use in the
hazardous location in which it is used.
Sec. 127.1113 Warning signs.
(a) The marine transfer area for LHG must have warning signs that--
(1) Meet paragraph (b) of this section;
(2) Can be seen from the shore and the water; and,
(3) Except as provided in paragraph (c) of this section, bear the
following text:
Warning
Dangerous Cargo
No visitors
No Smoking
No Open Lights
(b) Each letter on the sign must be--
(1) In block style;
(2) Black on a white background; and
(3) At least 7.6 centimeters (3 inches) high.
(c) The words ``No Smoking'' and ``No Open Lights'' may be omitted
when the product being transferred is not flammable.
Equipment
Sec. 127.1203 Gas detection.
(a) Each waterfront facility handling LHG that transfers a flammable
LHG must have at least two portable gas detectors, or a fixed gas
detector, in the marine transfer area for LHG. Each detector must be
capable of indicating whether the concentration of flammable vapors
exceeds 30% of the Lower Flammable Limit for each flammable product
being transferred and must meet ANSI S12.13, Part I.
(b) Each waterfront facility handling LHG that transfers a toxic
LHG, other than anhydrous ammonia, must have at least two portable gas
detectors, or a fixed gas detector, available in the area. The detectors
must be capable of showing whether the concentration of each toxic LHG
being transferred is above, at, or below any Permissible Exposure Limit
listed in 29 CFR 1910.1000, Table Z-1 or Z-2.
(c) Each gas detector required by paragraph (a) or (b) of this
section must serve to detect leaks, check structures for gas
accumulations, and indicate workers' exposure to toxic gases in the
area.
[CGD 88-049, 60 FR 39797, Aug. 3, 1995; 60 FR 49509, Sept. 26, 1995]
Sec. 127.1205 Emergency shutdown.
(a) Each piping system used to transfer LHG or its vapors to or from
a vessel must have a quick-closing shutoff valve to stop the flow of
liquid and vapor from the waterfront facility handling LHG if a transfer
hose or loading
[[Page 41]]
arm fails. This valve may be the isolation valve with a bleed connection
required by Sec. 127.1101(c).
(b) The valve required by paragraph (a) of this section must be
located as near as practicable to the terminal manifold or loading-arm
connection and must--
(1) Close on loss of power;
(2) Close from the time of activation in 30 seconds or less;
(3) Be capable of local manual closing and remotely controlled
closing; and,
(4) If the piping system is used to transfer a flammable LHG, either
have fusible elements that melt at less than 105 deg.C (221 deg.F) and
activate the emergency shutdown, or have a sensor that performs the same
function.
(c) A remote actuator for each valve must be located in a place
accessible in an emergency, at least 15 meters (49.2 feet) from the
terminal manifold or loading arm, and conspicuously marked with its
designated function. When activated, the actuator must also
automatically shut down any terminal pumps or compressors used to
transfer LHG, or its vapors, to or from the vessel.
[CGD 88-049, 60 FR 39797, Aug. 3, 1995; 60 FR 49509, Sept. 26, 1995]
Sec. 127.1207 Warning alarms.
(a) Each marine transfer area for LHG must have a rotating or
flashing amber light that is visible for at least 1,600 meters (1 mile)
from the transfer connection in all directions.
(b) Each marine transfer area for LHG must also have a siren that is
audible for at least 1,600 meters (1 mile) from the transfer connection
in all directions.
(c) Each light and siren required by this section must be located so
as to minimize obstructions. If any obstruction will prevent any of
these alarms from meeting paragraph (a) or (b) of this section, the
operator of the waterfront facility handling LHG shall propose for
approval by the local COTP additional or alternative warning devices
that provide an equivalent level of safety.
[CGD 88-049, 60 FR 39798, Aug. 3, 1995; 60 FR 49509, Sept. 26, 1995]
Sec. 127.1209 Respiratory protection.
Each waterfront facility handling LHG must provide equipment for
respiratory protection for each employee of the facility in the marine
transfer area for LHG during the transfer of one or more of the
following toxic LHGs; anhydrous ammonia, chlorine, dimethylamine,
ethylene oxide, methyl bromide, sulphur dioxide, or vinyl chloride. The
equipment must protect the wearer from the LHG's vapor for at least 5
minutes.
Operations
Sec. 127.1301 Persons in charge of transfers for the facility: Qualifications and certification.
(a) No person may serve, or use the services of any person, as a
person in charge of transfers for the facility regulated under this
subpart, unless that person--
(1) Has at least 48 hours' transfer experience with each LHG being
transferred;
(2) Knows the hazards of each LHG being transferred;
(3) Knows the rules of this subpart; and
(4) Knows the procedures in the examined Operations Manual and the
examined Emergency Manual.
(b) Before a person in charge of transfers for a waterfront facility
handling LHG supervises a transfer of LHG, the operator of the facility
shall certify in writing that that person has met the requirements in
paragraph (a) of this section. The operator shall ensure that a copy of
each current certification is available for inspection at the facility.
[CGD 88-049, 60 FR 39798, Aug. 3, 1995; 60 FR 49509, Sept. 26, 1995]
Sec. 127.1302 Training.
(a) Each operator of a waterfront facility handling LHG shall ensure
that each person assigned to act as a person in charge of transfers for
the facility has training in the following subjects:
(1) Properties and hazards of each LHG being transferred to or from
the facility.
(2) Use of the gas detectors required by Sec. 127.1203.
[[Page 42]]
(3) Use of the equipment for respiratory protection required by
Sec. 127.1209.
(4) Basic firefighting procedures, including the use of the portable
fire extinguishers required by Sec. 127.1503.
(5) Content and use of the examined Operations Manual and examined
Emergency Manual.
(6) The configuration and limitations of cargo systems of LHG
vessels.
(7) Procedures for transferring LHG to and from LHG vessels.
(8) Procedures for response to a release of the LHG handled by the
facility.
(9) First aid for persons--
(i) With burns;
(ii) Needing cardio-pulmonary resuscitation;
(iii) Exposed to toxic liquid or toxic vapors (if a toxic LHG is
handled by the facility); and
(iv) Needing transport to a medical facility.
(10) Restrictions on access to the marine transfer area for LHG.
(b) Each person that receives training under paragraph (a) of this
section shall receive refresher training in the same subjects at least
once every 5 years.
(c) The operator shall maintain, for each person trained, a record
of all training provided under paragraphs (a) and (b) of this section.
The operator shall retain these records for the duration of the person's
employment on the waterfront facility plus 12 months.
(d) Training conducted to comply with the hazard communication
programs required by the Occupational Safety and Health Administration
(OSHA) of the Department of Labor [29 CFR 1910.120] or the Environmental
Protection Agency (EPA) [40 CFR 311.1] may be used to satisfy the
requirements in paragraph (a) of this section, so far as the training
addresses the requirements in paragraph (a) of this section.
Sec. 127.1303 Compliance with suspension order.
If the COTP issues to the owner or operator of a waterfront facility
handling LHG an order to suspend a transfer, no transfer may take place
at the facility until the COTP withdraws the order.
Sec. 127.1305 Operations Manual.
Each Operations Manual must contain--
(a) A description of each liquid-transfer system and vapor transfer
system, including each mooring area, transfer connection, and (where
installed) control room, and a diagram of the piping and electrical
systems;
(b) The duties of each person assigned to transfers;
(c) The maximum relief-valve setting or MAWP of the transfer system;
(d) The telephone numbers of supervisors, persons in charge of
transfers for the facility, persons on watch in the marine transfer area
for LHG, and security personnel of the facility;
(e) A description for each security system provided for the transfer
area;
(f) A description of the training programs established under
Sec. 127.1302;
(g) The procedures to follow for security violations; and
(h) For each LHG handled, the procedures for transfer that include--
(1) Requirements for each aspect of the transfer (start-up, gauging,
cooldown, pumping, venting, and shutdown);
(2) The maximum transfer rate;
(3) The minimum transfer temperature;
(4) Requirements for firefighting equipment; and
(5) Communication procedures.
Sec. 127.1307 Emergency Manual.
(a) Each Emergency Manual must contain--
(1) For each LHG handled--
(i) A physical description of the LHG;
(ii) A description of the hazards of the LHG;
(iii) First-aid procedures for persons exposed to the LHG or its
vapors;
(iv) The procedures for response to a release of the LHG; and,
(v) If the LHG is flammable, the procedures for fighting a fire
involving the LHG or its vapors;
(2) A description of the emergency shutdown required by
Sec. 127.1205;
(3) The procedures for emergency shutdown;
[[Page 43]]
(4) A description of the number, kind, place, and use of the fire
equipment required by Sec. 127.1501(a) and of the portable fire
extinguishers required by Sec. 127.1503;
(5) The telephone numbers of local Coast Guard units, hospitals,
fire departments, police departments, and other emergency-response
organizations;
(6) If the facility has personnel shelters, the place of and
provisions in each shelter;
(7) If the facility has first-aid stations, the location of each
station;
(8) Emergency procedures for mooring and unmooring a vessel; and,
(9) If an off-site organization is to furnish emergency response, a
copy of the written agreement required by Sec. 127.1505(a)(2).
(b) The employee-emergency plan and fire-prevention plan required by
OSHA in 29 CFR 1910.38 may be used to comply with this section to the
extent that they address the requirements specified in paragraphs (a)
(1) through (9) of this section.
[CGD 88-049, 60 FR 39799, Aug. 3, 1995; 60 FR 49509, Sept. 26, 1995]
Sec. 127.1309 Operations Manual and Emergency Manual: Use.
Each operator of a waterfront facility handling LHG shall ensure
that--
(a) No transfer is conducted unless the facility has an examined
Operations Manual and an examined Emergency Manual;
(b) Each transfer is conducted in accordance with the examined
Operations Manual; and
(c) Each emergency response is conducted in accordance with the
examined Emergency Manual.
Sec. 127.1311 Motor vehicles.
(a) When LHG is being transferred or stored in the marine transfer
area of a waterfront facility handling LHG, the operator shall ensure
that no person--
(1) Stops or parks a motor vehicle in a space other than a
designated parking space;
(2) Refuels a motor vehicle within the area; or
(3) Operates a vehicle or other mobile equipment that constitutes a
potential source of ignition within 15 meters (49.2 feet) of any storage
container, manifold, loading arm, or independent mating flange
containing a flammable liquid or vapor.
(b) If motor vehicles are permitted to stop in the marine transfer
area for LHG, the operator shall designate and mark parking spaces
that--
(1) Do not block fire lanes;
(2) Do not impede any entrances or exits; and
(3) Are not located within 15 meters (49.2 feet) of any storage
container, manifold, loading arm, or independent mating flange
containing a flammable liquid or vapor.
Sec. 127.1313 Storage of hazardous materials.
(a) Each operator of a waterfront facility handling LHG shall ensure
that no materials listed in the table of hazardous materials under 49
CFR 172.101, except for the following, are stored in the marine transfer
area for LHG:
(1) The LHG being transferred.
(2) Fuel required by the vessel, or by emergency equipment in the
area.
(3) Oily wastes received from vessels.
(4) Solvents, lubricants, paints and similar materials in the amount
required for one day's operations and maintenance.
(b) The operator shall ensure that flammable liquids not stored in
bulk are stored in accordance with Chapter 4 of NFPA 30.
Sec. 127.1315 Preliminary transfer inspection.
Before each transfer, the person in charge of transfer for the
facility shall--
(a) Inspect piping and equipment within the marine transfer area for
LHG to be used for transfer and ensure that it meets the requirements in
this part;
(b) Determine the contents, pressure, temperature, and capacity of
each storage tank to or from which LHG will be transferred, to ensure
that it is safe for transfer;
(c) Confer with the person in charge of transfer aboard the vessel,
to review and agree on--
(1) The sequence of acts required for transfer;
[[Page 44]]
(2) The rate, maximum working pressure, and minimum working
temperature of transfer;
(3) The duties, stations, and watches of each person assigned for
transfer; and
(4) The emergency procedures in the examined Emergency Manual;
(d) Ensure that the vessel is securely moored and that the transfer
connections allow it to move to the limits of its moorings without
placing a strain on the piping, hose, or loading arm used for transfer;
(e) Ensure that each part of the transfer system is aligned to allow
the flow of LHG to the desired place;
(f) Ensure the display of the warning signs required by
Sec. 127.1113;
(g) Ensure that the requirements of this part concerning smoking and
fire protection are met;
(h) Ensure that qualified personnel are on duty in accordance with
the examined Operations Manual and Secs. 127.1301 and 127.1302; and
(i) Test the following to determine that they are operable:
(1) The communication system required by Sec. 127.1111.
(2) The gas detectors required by Sec. 127.1203.
Sec. 127.1317 Declaration of Inspection.
(a) Each person in charge of transfer for the facility shall ensure
that no person transfers LHG to or from a vessel until a Declaration of
Inspection that meets paragraph (c) of this section is executed and
signed by both the person in charge aboard the vessel and the person in
charge for the facility.
(b) No person in charge of transfer for the facility may sign the
Declaration unless that person has fulfilled the requirements of
Sec. 127.1315 and has indicated fulfillment of each requirement by
writing his or her initials in the appropriate space on the Declaration.
(c) Each Declaration must contain--
(1) The name of the vessel and that of the facility;
(2) The date and time that the transfer begins;
(3) A list of the requirements in Sec. 127.1315 with the initials of
both the person in charge aboard the vessel and the person in charge for
the facility after each requirement, indicating the fulfillment of the
requirement;
(4) The signatures of both the person in charge aboard the vessel
and the person in charge for the facility, and the date and time of
signing, indicating that they are both ready to begin transfer; and
(5) The signature of each relief person in charge and the date and
time of each relief.
(d) The person in charge of transfer for the facility shall give one
signed copy of the Declaration to the person in charge of transfer
aboard the vessel and retain the other.
(e) Each operator of a facility shall retain a signed copy of the
Declaration at the facility for 30 days after the transfer.
Sec. 127.1319 Transfer of LHG.
(a) The operator of a waterfront facility handling LHG shall notify
the COTP of the time and place of each transfer of LHG in bulk at least
4 hours before it begins.
(b) During transfer, each operator of a waterfront facility handling
LHG shall ensure that--
(1) The marine transfer area for LHG is under the supervision of a
person in charge certified for transfers of LHG, who has no other
assigned duties during the transfer;
(2) The person in charge supervises transfers only to or from one
vessel at a time unless authorized by the COTP.
(3) No person transferring fuel or oily waste is involved in the
transfer; and
(4) No vessel is moored outboard of any LHG vessel unless allowed by
the COTP or the examined Operations Manual of the facility.
(c) During transfer, each person in charge of transfer for the
facility shall--
(1) Maintain communication with the person in charge of transfer
aboard the LHG vessel;
(2) Ensure that an inspection of the transfer piping and equipment
for leaks, frost, defects, and other threats to safety takes place at
least once every transfer;
(3) Ensure that--
(i) Transfer of LHG is discontinued as soon as a release or fire is
detected in the area or aboard the vessel; and
[[Page 45]]
(ii) Transfer of flammable LHG is discontinued when electrical
storms or uncontrolled fires approach near the area; and
(4) Ensure that the outdoor lighting required by Sec. 127.1109 is
turned on between sunset and sunrise.
(d) Upon completion of transfer of LHG, each operator of a
waterfront facility handling LHG shall ensure that hoses and loading
arms used for transfer are drained of LHG residue and depressurized
before disconnecting from the vessel.
Note to Sec. 127.1319: Corresponding standards for vessels appear at
46 CFR part 154.
Sec. 127.1321 Release of LHG.
(a) Each operator of a waterfront facility handling LHG shall ensure
that--
(1) No person intentionally releases LHG into the environment; and
(2) If a release of LHG or its vapor threatens vessels or persons
outside the marine transfer area for LHG, they are notified by the
warning devices.
(b) If LHG or its vapor is released, the person in charge of
transfer for the facility shall--
(1) Immediately notify the person in charge of transfer aboard the
vessel that transfer must be shut down;
(2) Shut down transfer in coordination with the person aboard the
vessel;
(3) Notify the COTP of the release; and
(4) Not resume transfer until authorized by the COTP.
Sec. 127.1325 Access to marine transfer area for LHG.
Each operator of a waterfront facility handling LHG shall ensure
that--
(a) Access to the marine transfer area for LHG from shoreside and
waterside is limited to--
(1) Personnel who work in the area, transfer personnel, vessel
personnel, and delivery and service personnel in the course of their
business;
(2) Federal, State, and local officials; and
(3) Other persons authorized by the operator;
(b) Each person allowed into the area is positively identified as
someone authorized to enter and that each person other than an employee
of the facility displays an identifying badge;
(c) Guards are stationed, and fences or other devices are installed,
to prevent, detect, and respond to unauthorized access, fires, and
releases of LHG in the area, except that alternative measures approved
by the COTP (such as electronic monitoring or random patrols) will be
sufficient where the stationing of guards is impracticable; and
(d) Coast Guard personnel are allowed access to the facility, at any
time, to make any examination or to board any vessel moored at the
facility.
Maintenance
Sec. 127.1401 General.
Each operator of a waterfront facility handling LHG shall ensure
that all cargo handling equipment is operable, and that no equipment
that may cause the release or ignition of LHG is used in the marine
transfer area for LHG.
Sec. 127.1403 Inspections.
(a) Each operator of a waterfront facility handling LHG shall
conduct a visual inspection for defects of each pressure relief device
not capable of being tested.
(b) The operator shall conduct the inspection required by paragraph
(a) of this section at least once each calendar year, with intervals
between inspections not exceeding 15 months.
Sec. 127.1405 Repairs.
Each operator of a waterfront facility handling LHG shall ensure
that--
(a) Equipment is repaired so that--
(1) The equipment continues to meet the applicable requirements in
this subpart; and
(2) Safety is not compromised; and
(b) Welding and cutting meet NFPA 51B.
Sec. 127.1407 Tests.
(a) Each operator of a waterfront facility handling LHG shall
conduct a static liquid-pressure test of the piping, hoses, and loading
arms of the LHG-transfer system located in the marine transfer area for
LHG, and shall verify the set pressure of the safety and relief valves--
(1) After the system or the valves are altered;
[[Page 46]]
(2) After major repairs to the system or the valves;
(3) After any increase in the MAWP of the system; and
(4) At least once each calendar year, with intervals between tests
not exceeding 15 months.
(b) The pressure for the test under paragraph (a) of this section
must be at least 1.1 times the MAWP and last for at least 30 minutes.
(c) The operator shall conduct a test of each pressure gauge, to
ensure that the displayed pressure is within 10 percent of the actual
pressure, at least once each calendar year, with intervals between tests
not exceeding 15 months.
(d) The operator shall conduct a test of each item of remote
operating or indicating equipment, such as a remotely operated valve, at
least once each calendar year, with intervals between tests not
exceeding 15 months.
(e) The operator shall conduct a test of the emergency shutdown
required by Sec. 127.1205 at least once every two months, to ensure that
it will perform as intended. If transfers of LHG occur less often than
every two months, the operator may conduct this test before each
transfer instead of every two months.
(f) The operator shall conduct a test of the warning alarm required
by Sec. 127.1207 at least once every six months, to ensure that it will
perform as intended. If transfers of LHG occur less often than every six
months, the operator may conduct this test before each transfer instead
of every six months.
Sec. 127.1409 Records.
(a) Each operator of a waterfront facility handling LHG shall keep
on file:
(1) A description of the components inspected or tested under
Sec. 127.1403 or 127.1407.
(2) The date and results of each inspection or test under
Sec. 127.1403 or 127.1407.
(3) A description of any repair made after the inspection or test.
(4) The date and a description of each alteration or major repair to
the LHG transfer system or its valves.
(b) The operator shall keep this information on file for at least 24
months after the inspection, test, alteration, or major repair.
Firefighting Equipment
Sec. 127.1501 General.
(a) The number, kind, and place of equipment for fire detection,
protection, control, and extinguishment must be determined by an
evaluation based upon sound principles of fire-protection engineering,
analysis of local conditions, hazards within the waterfront facility
handling LHG, and exposure to other property. A description of the
number, kind, place, and use of fire equipment determined by this
evaluation must appear in the Emergency Manual for each facility. The
evaluation for each new facility and for all new construction on each
existing facility must be submitted to the COTP for review when the
emergency manual is submitted under Sec. 127.103.
(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.
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 of resources for firefighting or
pollution control. Response and rescue may be performed by facility
personnel or by an off-site organization.
[[Page 47]]
(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.
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;
(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
[[Page 48]]
(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 Applicability.
128.110 Definitions.
128.120 Incorporation by reference.
Subpart B--Security Program
128.200 General.
128.210 Terminal security officer.
128.220 Reporting of unlawful acts and related activities.
Subpart C--Plans and Procedures for Terminal Security
128.300 Plan: General.
128.305 Plan: Procedure for examination.
128.307 Plan: Amendment.
128.309 Right to 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 Applicability.
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.
Sec. 128.120 Incorporation by reference.
(a) Certain material is incorporated by reference into this part
with the approval of the Director of the Federal Register in accordance
with 5 U.S.C. 552(a) and 1 CFR Part 51. To enforce any edition other
than that specified in paragraph (b) of this section, the Coast Guard
must publish notice of change in the Federal Register and must make the
material available to the public. All approved material may be inspected
at the Office of the Federal Register, 800 North Capitol Street NW.,
Suite 700, Washington, DC, and at the U.S. Coast Guard, (G-MES), 2100
Second Street SW., Washington, DC. Copies may be obtain from IMO, 4
Albert Embankment, London SE1 7 SR.
(b) The materials approved for incorporation by reference in this
part and the sections affected are:
International Maritime Organization (IMO)
4 Albert Embankment, London SE1 7SR
MSC Circular 443, Measures to Prevent Unlawful Acts Against Passengers
and Crews on Board Ships September 26, 1986--128.220, 128.300
Subpart B--Security Program
Sec. 128.200 General.
(a) Each operator of a passenger terminal to which this part applies
shall implement for each such terminal of which it is the operator a
security 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, or cargo, or stores;
(3) Prevents or deters unauthorized access to any such vessel and to
restricted areas in the terminal;
[[Page 49]]
(4) provides means to meet the requirements for low, medium, and
high threats, through increased security measures to be implemented on
advice by the Commandant or Captain of the Port (COTP) of an increased
threat to the terminal, the vessel, or persons on the terminal or
vessel;
(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) Each operator of a passenger terminal shall 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.
The terminal, however, need not duplicate any provisions fulfilled by
the vessel. When a provision is fulfilled by a vessel, that fact shall
be referenced in the applicable section of the Terminal Security Plan
required by Sec. 128.300.
Sec. 128.210 Terminal security officer.
(a) Each operator of a passenger terminal shall designate a security
officer for the terminal.
(b) This officer shall ensure that--
(1) An initial comprehensive security survey is conducted and
updated;
(2) The 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 inspections of the terminal are conducted;
(5) Vigilance, as well as general awareness of security at the
terminal, is encouraged;
(6) All occurrences or suspected occurrences of unlawful acts and
related activities are reported in accordance with Sec. 128.220 and that
records of the incident are maintained; and
(7) Coordination, for implementation of the plan required by
Sec. 128.300, takes place with the vessel security officer of each
vessel that embarks or disembarks passengers at the terminal.
Sec. 128.220 Reporting of unlawful acts and related activities.
(a) Either the operator of the terminal or the operator's
representative shall report each unlawful act, breach of security, 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 persons on 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 the operator of the terminal or the operator's
representative shall 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.
Subpart C--Plans and Procedures for Terminal Security
Sec. 128.300 Plan: General.
(a) Each operator of a passenger terminal subject to this part shall
develop and maintain, in writing, for each such terminal of which it is
the operator, an appropriate Terminal Security Plan that articulates the
program required by Sec. 128.200.
(b) The Plan must be developed and maintained in accordance with the
guidance in IMO MSC Circular 443 and must address the security of
passengers, of members of crews of passenger vessels subject to Part 120
of this chapter, and of employees of the terminal, by establishing
procedures, for periods of low, medium, and high threats, 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;
[[Page 50]]
(4) Provide adequate training to employees of the terminal for
security at 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) The operator shall amend the Plan to address any known
deficiencies.
(d) The operator shall restrict the distribution, disclosure, and
availability of information contained in the Plan to those persons with
an operational need to know.
Sec. 128.305 Plan: Procedure for examination.
(a) Each operator of a passenger terminal subject to this part shall
submit two copies of the Terminal Security Plan required by Sec. 128.300
to the COTP for examination before October 16, 1996, or at least 60 days
before transferring passengers to or from a vessel subject to part 120
of this chapter, whichever is later.
(b) If the COTP finds that the Plan meets the requirements of
Sec. 128.300, the COTP shall return a copy to the owner or operator
marked ``Examined by the Coast Guard.''
(c) If the COTP finds that the Plan does not meet the requirements
of Sec. 128.300, the COTP shall return the Plan with an explanation of
why it does not meet the requirements.
(d) No terminal subject to this part shall transfer passengers to or
from a passenger vessel subject to Part 120 of this chapter after
November 16, 1996, unless it holds either a Terminal Security Plan that
has been examined by the Coast Guard or a letter from the COTP stating
that the Plan is currently under review by the Coast Guard and that
normal operations may continue until the COTP has determined whether the
Plan meets the requirements of Sec. 128.300.
Sec. 128.307 Plan: Amendment.
(a) The operator of a passenger terminal subject to this part may
initiate amendments to the Terminal Security Plan on its own as well as
when directed by the COTP.
(b) Each proposed amendment to the Plan initiated by the operator of
a passenger terminal, including changes to the enclosures required by
Sec. 128.300(a), must be submitted to the COTP for review at least 30
days before the amendment is to take effect, unless a shorter period is
allowed by the COTP. The COTP will examine the amendment and respond
according to Sec. 120.305.
(c) The COTP may direct the operator of a terminal subject to this
part to amend its Plan if the COTP determines that implementation of the
Plan is not providing effective security. Except in an emergency, the
COTP will issue to the operator a written notice of matters to address
and will allow the operator 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 to the operator of a terminal subject to this part an order to
implement increased security measures immediately. The order will
incorporate a statement of the reasons for it.
Sec. 128.309 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.
[[Page 51]]
SUBCHAPTER M--MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION
PART 130--FINANCIAL RESPONSIBILITY FOR WATER POLLUTION--Table of Contents
Sec.
130.0 Dates.
130.1 Scope.
130.2 Definitions.
130.3 General.
130.4 Where to apply and obtain forms.
130.5 Time to apply.
130.6 Applications, general instructions.
130.7 Renewal of Certificates.
130.8 Financial responsibility, how established.
130.9 Individual Certificates.
130.10 Operator's responsibility for identification.
130.11 Master Certificates.
130.12 Certificates, denial or revocation.
130.13 Fees.
130.14 Enforcement.
130.15 Service of process.
Appendix--Financial Responsibility Application and Supporting Forms
Authority: 33 U.S.C. 2716, 2716a; E.O. 12777, 3 CFR, 1991 Comp., p.
351; 49 CFR 1.46.
Source: CGD 83-039, 48 FR 46179, Oct. 11, 1983, unless otherwise
noted.
Editorial Note: The information collection requirements contained in
this part were approved by the Office of Management and Budget under
control number 2115-0528.
Sec. 130.0 Dates.
(a) A Certificate will not be issued under this part on or after
December 28, 1997.
(b) A Certificate issued under this part on or after July 1, 1994,
has the expiration date specified in Sec. 138.15 of this chapter.
[CGD 91-005, 59 FR 34210, July 1, 1994]
Sec. 130.1 Scope.
(a) This part implements section 311(p)(1) of the Federal Water
Pollution Control Act, as amended, and applies to all vessels using any
port or place in the United States or the navigable waters of the United
States except--
(1) Vessels which are 300 gross tons or less;
(2) Non-self-propelled barges which do not carry oil or hazardous
substances as cargo or fuel; and
(3) Public vessels.
(b) This part sets forth the procedures for operators to demonstrate
that they are financially able to meet their liability to the United
States resulting from the discharge of oil or hazardous substances--
(1) Into or upon the navigable waters of the United States,
adjoining shorelines or waters of the contiguous zone; or
(2) In connection with activities under the Outer Continental Shelf
Lands Act, or the Deepwater Port Act of 1974; or
(3) Which may affect natural resources belonging to, appertaining
to, or under the exclusive management authority of the United States
(including resources under the Fishery conservation and Management Act
of 1976).
(c) Upon the satisfactory demonstration of financial responsibility,
the Commandant, U.S. Coast Guard issues Certificates of Financial
Responsibility (Water Pollution) which are to be carried aboard the
vessels covered by such Certificates.
Sec. 130.2 Definitions.
As used in this part--
(a) Act means the Federal Water Pollution Control Act, as amended
(33 U.S.C. 1321).
(b) Applicant means any vessel ``operator,'' as defined in paragraph
(q) of this section, who has applied for a Certificate or for the
renewal of a Certificate.
(c) Application means Application for Certificate of Financial
Responsibility (Water Pollution), Form CG-5358-8.
(d) Cargo means goods or materials on board a vessel for purposes of
transportation, in any quantity, whether in bulk or by lot, and
regardless of whether transported under proprietary or nonproprietary
shipping documents. Oil carried solely as operating fuel for equipment
carrying barges, while on board such barges, is not within this
definition.
(e) Certificant means any operator, as defined in paragraph (q) of
this section, who has been issued a Certificate.
[[Page 52]]
(f) Certificate means a Certificate of Financial Responsibility
(Water Pollution), Form CG-5358-10 issued by the U.S. Coast Guard under
this part.
(g) Commandant means the Commandant, U.S. Coast Guard.
(h) Financial responsibility means proof of financial ability to
reimburse the United States under the requirements of section 311(p)(1)
of the Act.
(i) Fuel means any oil or hazardous substance used or capable of
being used to produce heat or power by burning.
(j) Hazardous substances means any substance or substances
designated as such by the Administrator of the Environmental Protection
Agency under section 311(b) of the Act. Generally, hazardous substances
are those elements and compounds, other than oil, which, when
discharged, may present an imminent and substantial danger to the public
health or welfare including, but not limited to, fish, shellfish,
wildlife, shorelines and beaches.
(k) Inland oil barge means a non-self-propelled vessel over 300
gross tons capable of carrying oil in bulk as cargo and which is
certificated by the U.S. Coast Guard to operate only in the inland
waters of the United States, while operating in such waters. Regardless
of the actual routes traveled by a barge, it is not an ``Inland oil
barge'' unless it possesses Coast Guard certification to that effect.
(l) Inland waters of the United States means those waters of the
United States lying inside the baseline from which the territorial sea
is measured and those waters outside such baseline which are a part of
the Gulf Intracoastal Waterway.
(m) Insurer means one or more acceptable insurance companies,
corporations, or associations of underwriters, shipowners protection and
indemnity associations, or other persons acceptable to the Coast Guard.
(n) Master Certificate means a Certificate issued to builders,
repairers, scrappers, and sellers of vessels under Sec. 130.11.
(o) Navigable waters of the United States means the waters of the
United States, including the territorial sea.
(p) 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.
(q)Operator or Vessel operator means any person, including, but not
limited to, an owner, a demise charterer or other contractor who
conducts or who is responsible for the operation of a vessel. Persons
who are responsible for vessels in the capacity of a builder, repairer,
scrapper, or seller are included in this definition of operator.
(r) Owner or Vessel owner means any person holding legal or
equitable title to a vessel. In a case where a Certificate of Registry
or equivalent document has been issued, the owner is the person or
persons whose name or names appear thereon as owner: Provided, however,
That where a Certificate of Registry has been issued in the name of the
president or secretary of an incorporated company under 46 U.S.C. 15,
such incorporated company is the owner.
(s) Person includes, but is not limited to, an individual, a
government, a firm, a corporation, an association, a partnership, a
joint-stock company, a business trust, or an unincorporated
organization.
(t) Public vessel means a vessel, not engaged in commerce, the
operator of which is the Government of the United States or a State or
political subdivision thereof, or the government of a foreign nation.
(u) Remove, removing, or removal means--
(1) The removal of oil or hazardous substances from the water and
shorelines;
(2) 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 or private property,
shorelines and beaches), resulting from a discharge or substantial
threat of a discharge of oil or a hazardous substance; and
(3) The restoration or replacement of natural resources damaged or
destroyed as the result of a discharge of oil or a hazardous substance
in violation of section 311(b) of the Act.
(v) Underwriter means an insurer, a surety company, a guarantor, or
any other person, other than the operator,
[[Page 53]]
which undertakes to pay the liability of the operator.
(w) United States means any place under the jurisdiction of the
United States, including, but not limited to the States, the District of
Columbia, the Commonwealth of Puerto Rico, Guam, American Samoa, the
United States Virgin Islands, and the Trust Territory of the Pacific
Islands.
(x) Vessel means every description of watercraft or other artificial
contrivance which is used, or capable of being used, as a means of
transportation on water, and which is over 300 gross tons. Drilling rigs
are included within this definition, except when at a drilling site and
in a drilling mode. Public vessels are not included in this definition.
Sec. 130.3 General.
(a) No vessel shall use any port or place in, or the navigable
waters of, the United States, unless that vessel has a Certificate
covering that vessel and its operator.
(b) The gross tonnage of a vessel is the tonnage indicated in the
vessel's Certificate of Registry or, in the absence thereof, other
marine documents acceptable to the Coast Guard.
(c) If a vessel has more than one gross tonnage, the higher tonnage
applies unless the vessel operator states in writing that the vessel
never operates in any United States waters under such higher tonnage.
Sec. 130.4 Where to apply and obtain forms.
(a) Any operator who wishes to be issued a Certificate (including a
Master Certificate) shall file or cause to be filed with the Coast Guard
an application, fees and evidence of financial responsibility at the
following address:
Commandant (G-MER-1), U.S. Coast Guard Headquarters, 2100 Second
Street SW, Washington, DC 20593.
(b) Application procedures are set forth in the remaining paragraphs
of this section and in Secs. 130.5 and 130.6. Regulations concerning
fees are set forth in Sec. 130.13, and regulations concerning evidence
of financial responsibility are set forth in Sec. 130.8. Regulations
concerning Master Certificates (i.e., special Certificates applicable
only in connection with vessels held solely for building, repair,
scrapping, or sale) are set forth in Sec. 130.11.
(c) Application forms may be obtained from the Headquarters address
set forth in paragraph (a) of this section.
(d) All requests for assistance, including telephone inquiries, in
completing applications should be directed to the Commandant's staff in
Washington, DC (202) 267-0530.
[CGD 83-039, 48 FR 46179, Oct. 11, 1983, as amended by CGD 88-052, 53 FR
25120, July 1, 1988]
Sec. 130.5 Time to apply.
(a) A vessel operator who wishes to obtain a Certificate must file a
completed application, fees, and evidence of financial responsibility at
least 21 days before the date the Certificate is required.
(b) Applications are processed in the order in which they are filed.
Sec. 130.6 Applications, general instructions.
(a) All applications and supporting documents shall be in English.
All monetary terms shall be in U.S. currency.
(b) The spaces on the application shall be filled in with the
information requested or the phrase ``Not applicable.'' Applicants for a
Master Certificate should refer to Sec. 130.11.
(c) The application shall--
(1) Be signed by an authorized official of the applicant, whose
title shall be shown in the space provided on the application; and
(2) 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 an
authorized officer of a corporate applicant.
(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 days of
becoming aware of the
[[Page 54]]
change, notify the Commandant (G-MER-1), in writing, of the change.
[CGD 83-039, 48 FR 46179, Oct. 11, 1983, as amended by CGD 88-052, 53 FR
25120, July 1, 1988]
Sec. 130.7 Renewal of Certificates.
(a) Written applications for renewal Certificates shall be made to
the Commandant (G-MER-1) at least 21 days, but not earlier than 90 days,
before the expiration dates of existing Certificates.
(b) Each renewal application shall be accompanied by appropriate
recertification fees, identify any changes since the original
application was filed, and set forth the correct information in full.
[CGD 83-039, 48 46179, Oct. 11, 1983, as amended by CGD 88-052, 53 FR
25120, July 1, 1988]
Sec. 130.8 Financial responsibility, how established.
(a) General. In addition to filing an application, each applicant
shall demonstrate the ability to pay the amount necessary to meet the
removal cost liability under section 311 of the Act by establishing
evidence of financial responsibility. The required amount of evidence of
financial responsibility is separate from and in addition to the amount,
if any, required of the applicant under Part 131 (Financial
Responsibility for Oil Pollution-Alaska Pipeline) of this subchapter.
(b) Methods. An applicant shall establish evidence of financial
responsibility by any one of, or by an acceptable combination of, the
following methods:
(1) Insurance. Insurance may be established by filing with the
Commandant (G-MER-1) an insurance form CG-5358-9 (master insurance form
CG-5358-9A when applying for a Master Certificate) executed by an
insurer acceptable to the Coast Guard.
(2) Surety Bond. An applicant may file with the Commandant (G-MER-
1), a surety bond form CG-5358-9B, executed by a surety company
acceptable to the Coast Guard. To be acceptable, surety companies must,
at a minimum, be certified by the U.S. Department of the Treasury with
respect to the issuance of Federal bonds in the penal sum of the bonds
to be issued under this part.
(3) Self-insurance. An applicant may establish financial
responsibility as a self-insurer by maintaining, in the United States,
working capital and net worth, each in the amount of $150 per gross ton
of the largest vessel to be self-insured or $250,000, whichever is
greater. As used in this subparagraph, ``working capital'' means the
amount of current assets located in the United States, less all current
liabilities; and ``net worth'' means the amount of all assets located in
the United States less all liabilities. Maintenance of the required
working capital and net worth shall be demonstrated by submitting with
the initial application the items specified in paragraph (b)(3)(i) of
this section for the applicant's last fiscal year preceding the date of
application. Thereafter, for each of the applicant's fiscal years the
applicant shall submit the items specified in paragraphs (b)(3) (i) and
(ii) of this section and shall be subject to the provisions of
paragraphs (b)(3) (iii), (iv), (v), and (vi) of this section:
(i) Initial and annual submissions. An applicant/certificant shall
submit an annual, current nonconsolidated balance sheet and an annual,
current nonconsolidated statement of income and surplus, certified by an
independent Certified Public Accountant. Those financial statements
shall be accompanied by an additional statement from the applicant's/
certificant's Treasurer (or equivalent official), certifying to 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 and
acceptable for purposes of this part, i.e., not pledged for purposes of
Part 131 of this subchapter. If the balance sheet and statement of
income and surplus cannot be submitted in nonconsolidated form,
consolidated statements may be submitted if accompanied by an additional
statement prepared by the involved Certified Public Accountant,
certifying to the amount by which the applicant's/ certificant's--
(A) Assets, located in the United States and acceptable under this
part, exceed total (i.e., worldwide) liabilities; and
[[Page 55]]
(B) Current assets, located in the United States and acceptable
under this part, exceed its current liabilities. Each additional
statement must specifically name the applicant/certificant, indicate
that the amounts so certified relate only to the applicant/certificant,
apart from any other entity, and identify the consolidated financial
statement to which it applies.
(ii) Semiannual submissions. When the applicant's/certificant's
self-insurance covers a vessel that carries oil or hazardous substances
in bulk as cargo and its demonstrated net worth is not at least 10 times
the required amount, an affidavit shall be filed by the applicant's/
certificant's corporate Treasurer (or equivalent official for a
nonocorporate entity) covering the first six months of the applicant's/
certificant's fiscal year. Such affidavits shall state that neither the
working capital nor the net worth have, during the first six months,
fallen below the required amounts.
(iii) Additional submissions. Additional financial information shall
be submitted upon request of the Coast Guard. All applicants/
certificants who choose self-insurance shall notify the Commandant (G-
MER-1) within five days of the date such persons know, or have reason to
believe, theat the amounts of working capital or net worth have fallen
below the amounts required.
(iv) Time for submissions. All required annual financial statements
shall be received by the Coast Guard within three calendar months after
the close of the applicant's/certificant's fiscal year, and all six
month affidavits within one calendar month after close of the applicable
six month period. Upon written request, the Commandant (G-MER-1) grants
a reasonable extension of the time limits for filing financial
statements/affidavits; Provided, That the request sets forth sufficient
reason to justify the requested extension and is received 15 days before
the statements/affidavits are due. The Commandant does not consider a
request for an extension of more than 45 days.
(v) Failure to submit. Failure to timely file any statement, data,
or affidavit required by paragraph (b)(3) of this section shall cause
the revocation of the Certificate.
(vi) Waivers of submissions. For good cause shown in writing by the
applicant/certificant, the Commandant (G-MER-1) waives the working
capital requirement if the applicant/certificant is--
(A) An economically regulated public utility;
(B) A municipal or higher level governmental entity; or
(C) An entity operating solely as a charitable, nonprofitmaking
organization.
The Coast Guard considers good cause to have been shown when the
applicant/certificant demonstrates in writing that the grant of such
waiver would benefit at least a local public interest without resulting
in undue risk to the environment and without resulting in undue risk
that the applicant's/certificant's removal cost liability could not be
met. In addition, for good cause shown in writing by the applicant/
certificant, the Commandant (G-MER-1) waives the working capital
requirement where it can be demonstrated that working capital is not a
significant factor in the applicant's/certificant's financial condition.
An applicant's/certificant's net worth in relation to the amount of its
exposure under the Act, and a history of stable operations are major
elements in such demonstration.
(4) Guaranty. An applicant/certificant may file with the Commandant
(G-MER-1), a guaranty form CG-5358-9C (master guaranty form CG-5358-9D
when applying for a Master Certificate) executed by a guarantor
acceptable to the Coast Guard. A guarantor shall comply with all of the
self-insurance provisions of paragraph (b)(3) of this section. In
addition, the amounts of working capital and net worth required to be
demonstrated by an acceptable guarantor shall be no less than the
aggregate amounts underwritten as a guarantor and self-insurer under
this part, and Part 131 of this subchapter.
(5) Other methods. An applicant may choose any other method
specially justified and acceptable to the Coast Guard.
(c) Forms--general. Application form CG-5358-8, insurance form CG-
5358-9, master insurance form CG-5358-9A, surety bond form CG-5358-9B,
guaranty
[[Page 56]]
form CG-5358-9C, and master guaranty form CG-5358-9D, as appended to
this part, are hereby incorporated into this part. If more than one
insurer, guarantor, or surety joins in executing an insurance, guaranty,
or surety bond form, such action constitutes joint and several liability
for such joint underwriters. Each form submitted to the Coast Guard
under this part shall set forth in full the correct legal name of vessel
operator to whom Certificates are to be issued.
(d) Direct action. Forms CG-5358-9 through CG-5358-9D and any other
undertaking accepted under this part, shall permit the commencement of
an action in court for removal cost claims arising under the provisions
of section 311 of the Act by the claimant (including a claimant by right
of subrogation) directly against the underwriter. Such forms and other
undertakings shall also provide that in the event such action is brought
directly against the underwriter, such underwriter shall be entitled to
invoke only those rights and defenses permitted by section 311(p)(3) of
the Act.
(e) Public access to data. Financial data filed by applicants,
certificants, and underwriters shall be public information to the extent
required by the Freedom of Information Act and permitted by the Privacy
Act.
[CGD 83-039, 48 FR 46179, Oct. 11, 1983, as amended by CGD 88-052, 53 FR
25120, July 1, 1988]
Sec. 130.9 Individual Certificates.
(a) An individual Certificate for each vessel listed on a completed
application is issued by the Coast Guard when acceptable evidence of
financial responsibility has been provided and appropriate fees have
been paid except, where Master Certificates are issued under
Sec. 130.11. Certificates are issued only to vessel operators and are
effective for three years from the date of issue.
(b) The original Certificate shall be carried on the vessel named on
the Certificate. However, a legible copy (certified as accurate by a
notary public or other person authorized to take oaths) may be carried
in lieu of the original Certificate if the vessel is an unmanned barge
and does not have a facility which the vessel operator believes would
offer suitable protection for the original Certificate. If a copy is
carried aboard a barge, the original shall be retained at a location in
the United States and shall by readily accessible for inspection by U.S.
Government officials.
(c) Erasures or other alterations on a Certificate or copy are
prohibited (even if made by Government authorities) and automatically
void a Certificate or copy.
(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 Commandant (G-MER-1), in writing, within 10 days of becoming aware
of the change.
(e) If for any reason, including a vessel's demise or transfer to a
new operator, a certificant ceases to be the operator of a vessel, the
certificant shall, within 10 days, complete the reverse side of the
original Certificate for the involved vessel and return it to the
Commandant (G-MER-1). Such Certificate and any copy thereof is
automatically void (whether or not returned to the Coast Guard), and its
use is prohibited. Where such voided Certificate cannot be returned
because it has been lost or destroyed, the certificant shall, as soon as
possible, submit the following written information to the Commandant (G-
MER-1):
(1) The number of the 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 a vessel certificated
under this part, where the certificant transferring the vessel continues
to be responsible for liabilities to which such vessel could be
subjected under section 311 of the Act, and continues to maintain on
file adequate evidence of financial responsibility with respect to such
[[Page 57]]
vessel, the existing Certificate will remain in effect and the new
operator shall not be required to obtain an additional Certificate.
[CGD 83-039, 48 FR 46179, Oct. 11, 1983, as amended by CGD 88-052, 53 FR
25120, July 1, 1988]
Sec. 130.10 Operator's responsibility for identification.
(a) Except in the case of unmanned barges, operators who are not
also the owners of certificated vessels shall carry on board such
vessels the original or legible copy of the demise charter-party or any
other written document which demonstrates that such operators are, in
fact, the operators designated on the certificates.
(b) The documents required by paragraph (a) of this section shall be
presented for examination to U.S. Government officials upon request.
Sec. 130.11 Master Certificates.
(a) A contractor or other person who is responsible for vessels in
the capacity of a builder, repairer, scrapper, or seller may choose to
apply for a Master Certificate in lieu of applying for an individual
Certificate for each vessel. A Master Certificate is designed to cover
all of such applicant's vessels, provided each of such vessels is held
by the applicant solely for purposes of construction, repair, scrapping
or sale. A vessel which is being operated commercially in any business
venture, including the business of building, repairing, scrapping, or
selling other vessels (e.g., a slop barge used by a shipyard), is not
eligible to be covered by a Master Certificate. Any vessel that requires
a Certificate but is not eligible for a Master Certificate shall be
covered by a separate Certificate under Sec. 130.9.
(b) The application procedure for a Master certificate is the same
as for other Certificates. Acceptable evidence of financial
responsibility may be established by any of the methods in
Sec. 130.8(b), except insurance form CG-5358-9 and guaranty form CG-
5358-9C. Applications shall 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 vessel to be covered
by this application is ---------- gross tons.'' The gross tonnage
indicated by the applicant in such statement may not exceed the
applicant's dollar amount of financial responsibility divided by $150.
(c) Each Master Certificate shall indicate--
(1) The name of the operator (the applicant builder, repairer,
scrapper, or seller);
(2) The dates of issuance and termination, encompassing a period of
not more than three years; and
(3) The gross tonnage of the largest vessel eligible for coverage by
that Master Certificate. The gross tonnage indicated on a particular
Master Certificate shall be determined by the amount of financial
responsibility established by the applicant under the optional methods
set forth in Sec. 130.8(b) (a master insurance form, a surety bond,
self-insurance, or a master guaranty form). Master Certificates will not
name the vessels covered by such Certificates.
(d) Additional vessels (none of which exceed the tonnage indicated
on the Master Certificate, all of which are eligible for coverage by a
Master Certificate, and all of which are held solely for the purpose of
construction, repair, scrapping or sale) shall be automatically covered
by that Master Certificate. However, before acquiring a vessel (by any
means, including conversion of an existing vessel) of a larger gross
tonnage than the tonnage indicated on the existing Master Certificate,
the certificant shall submit:
(1) Evidence of increased financial responsibility to cover the
larger vessel.
(2) A new certification fee.
(3) Either a new application form or a letter amending the existing
application form 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 Commandant (G-MER--1), every six months beginning with the
month in which the Master Certificate is issued, a report indicating the
name, previous name, or other identifying information and gross tonnage
of each vessel covered by the Master Certificate during the six-month
reporting period.
[[Page 58]]
(f) A copy of the Master Certificate shall be carried aboard each
vessel covered by the Master Certificate. The original Certificate shall
be retained at a U.S. location and be kept readily accessible for
inspection by U.S. Government officials.
(g) Upon revocation or other invalidation of the Master Certificate,
the original Certificate shall be returned within 10 days to the
Commandant (G-MER-1) and all copies shall be destroyed by the person in
whose name the Certificate was issued. The use of an invalid Master
Certificate or any copy thereof is prohibited.
[CGD 83-039, 48 FR 46179, Oct. 11, 1983, as amended by CGD 88-052, 53 FR
25120, July 1, 1988]
Sec. 130.12 Certificates, denial or revocation.
(a) A Certificate is denied or revoked for any of the following
reasons:
(1) Making any willfully false statement to the Coast Guard in
connection with an application for an initial Certificate or a request
for a renewal Certificate or the retention of an existing Certificate.
(2) Failure to establish or maintain acceptable evidence of
financial responsibility.
(3) Failure to comply with or respond to lawful inquiries,
regulations, or orders of the Coast Guard pertaining to activities
subject to this part.
(4) Failure to timely file the statements or affidavits required by
Sec. 130.9(b)(3) (i), (ii), or (iii).
(5) Cancellation or termination of any insurance form, surety bond,
guaranty or other undertaking under this part unless acceptable
substitute evidence of financial responsibility has been submitted.
(b) Denial or revocation of a Certificate is immediate and without
prior notice where the applicant or certificant--
(1) Is no longer the responsible operator of the vessel 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 form,
surety bond, guaranty or other undertaking upon which the continued
validity of the Certificate was based. In any other case, before the
denial or revocation of a Certificate, the Commandant (G-MER-1) advises
the applicant or certificant, in writing, of the intention to deny or
revoke the Certificate, and states the reason therefor.
(c) If the reason for an intended revocation is failure to file the
required financial statements or affidavits, the revocation is effective
10 days after the date of the notice of intention to revoke, unless the
certificant shall, before revocation, demonstrate that the required
statements were timely filed.
(d) If the intended denial or revocation is based upon one of the
reasons in paragraph (a) (1) or (3) of the section, the applicant or
certificant may request, in writing, a hearing to show that the
applicant or certificant is in compliance with this part, and, if the
request is received within 30 days after the date of the notification of
intention to deny or revoke, the Coast Guard schedules a hearing.
Hearings are conducted in accordance with Sec. 135.223 of this
subchapter.
[CGD 83-039, 48 FR 46179, Oct. 11, 1983, as amended by CGD 88-052, 53 FR
25120, July 1, 1988]
Sec. 130.13 Fees.
(a) This section establishes the application fee imposed by the
Coast Guard for processing applications, and also establishes the
certification fee imposed for the issuance or renewal of Certificates.
(b) No Certificate is issued unless the fees set forth in paragraphs
(d) and (e) of this section have been paid.
(c) Fees shall be paid in United States currency, by check, draft or
postal money order made payable to the U.S. Coast Guard.
(d) Each applicant who submits an application for the first time
shall pay an initial, nonrefundable application fee of $75. Only one
application fee is necessary where an applicant submits an application
for individual Certificates and a separate application for a Master
Certificate. Applications for additional Certificates, or to amend or
renew existing Certificates, do not require new application fees.
However,
[[Page 59]]
once an application is withdrawn or denied for any reason, and the same
applicant, holding no valid Certificates, wishes to reapply for a
Certificate (covering the same or new vessel), a new application and
application fee of $75 shall be filed.
(e) In addition to a $75 application fee, applicants shall pay a $40
fee for each Certificate issued, whether an individual Certificate or
Master Certificate. Applicants shall submit such certification fee for
each vessel listed in, or later added to, an application for individual
Certificates. The $40 certification fee is required to renew or to
reissue a Certificate for any reason, including, but not limited to, a
name change or a lost Certificate.
(f) Certification fees are refunded, upon receipt of a written
request, if the application is withdrawn or denied before issuance of
the Certificates. Overpayments of application and certification fees are
refunded on request only if the refund is $20 or more. However, any
overpayments not refunded are credited, for a period of two years from
the date of receipt of the monies by the Coast Guard, for the
applicant's possible future use under this part.
Sec. 130.14 Enforcement.
(a) any vessel operator who fails to comply with this part is
subject to a fine of not more than $10,000 for each failure.
(b) The Secretary of the Treasury may refuse to grant the clearance
required by section 4197 of the Revised Statutes of the United States,
as amended (46 U.S.C. 91), to any vessel subject to section 311(p) of
the Act which does not have a Certificate issued under this part.
(c) The Coast Guard denies entry to any port or place in the United
States or the navigable waters of the United States and detains, 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, any vessel subject to
section 311(p) of the Act, which, upon request, does not produce a valid
Certificate.
[CGD 96-052, 62 FR 31340, June 9, 1997]
Sec. 130.15 Service of process.
(a) When executing the forms required by this part, each applicant
and underwriter shall designate thereon a person in the United States as
its agent for service of process for the purpose of section 311 of the
Act of this part.
(b) Each designation shall be acknowledged in writing by the
designee unless that party has already furnished the Coast Guard with a
``master'' concurrence showing it has agreed in advance to act as the
United States agent for service of process for the applicant and
underwriter in question.
(c) When the designated agent cannot be served because of death,
disability, or unavailability, the Commandant becomes the agent for
service of process.
(d) When serving the Commandant, the server shall also--
(1) Send to the applicant, certificant, or underwriter, by
registered mail, at its last address on file with the Coast Guard, a
copy of each document served upon the Commandant; and
(2) Attest to that mailing at the time service is made upon the
Commandant.
[[Page 60]]
APPENDIX--FINANCIAL RESPONSIBILITY APPLICATION AND SUPPORTING FORMS
[GRAPHIC] [TIFF OMITTED] TC18OC91.000
[[Page 61]]
[GRAPHIC] [TIFF OMITTED] TC18OC91.001
[[Page 62]]
[GRAPHIC] [TIFF OMITTED] TC18OC91.002
[[Page 63]]
[GRAPHIC] [TIFF OMITTED] TC18OC91.003
[[Page 64]]
[GRAPHIC] [TIFF OMITTED] TC18OC91.004
[[Page 65]]
DEPARTMENT OF TRANSPORTATION
U.S. Coast Guard
CG-5358-9 (6-83)
Insurance Co. Form No. ------------
INSURANCE FORM CG-5358-9 FURNISHED AS EVIDENCE OF FINANCIAL
RESPONSIBILITY UNDER SUBSECTION 311(p) OF THE FEDERAL WATER POLLUTION
CONTROL ACT, AS AMENDED
(Name of Insurer)_______________________________________________________
(hereinafter ``Insurer'') hereby certifies that for purposes of
complying with the provisions of subsection 311(p) of the Federal Water
Pollution Control Act, as amended (hereinafter ``Act''), each of the
vessel operators specified in the schedules below is insured by it, in
respect to each of the vessels respectively specified therein, against
oil or hazardous substances removal cost liability to the United States
to which such vessel operators could be subjected under section 311 of
the Act. The amount of liability to which a vessel operator may be
subjected under section 311 of the Act and which is insured herein is:
1. In the case of a vessel which is an ``inland oil barge'' (as
defined in section 311 of the Act) at the time of an incident which
causes the United States Government to incur removal costs, $125 per
gross ton or $125,000, whichever is greater; or
2. In the case of a vessel which is not an ``inland oil barge'' (as
defined in section 311 of the Act) at the time of an incident which
causes the United States Government to incur removal costs, $150 per
gross ton (or for a vessel carrying oil or hazardous substances as
cargo, $250,000, whichever is greater).
The foregoing amount of insurance coverage provided by the Insurer
on behalf of the United States Government in respect to any vessel
specified herein is not conditioned or dependent in any way upon any
agreement or understanding between an assured operator and the Insurer
that any such vessel is or is not an ``inland oil barge'', will or will
not carry oil or certain hazardous substances, or will or will not
operate in certain waters
(Name of Agent -------------- with offices located at --------------
is hereby designated as the Insurer's agent for service of process for
the purposes of section 311 of the Act and implementing rules at Part
130 of Title 33, Code of Federal Regulations. If the designated agent
cannot be served due to his death, disability, or unavailability, the
Commandant, U.S. Coast Guard, becomes the agent for service of process.
The Insurer consents to be sued directly in respect of any claim
against any of the operators arising under subsections 311 (f) and (g)
of the Act; provided, however, that in any such direct action its
liability per vessel in any one incident shall not exceed, in the case
of an inland oil barge, $125 per gross ton of the barge or $125,000
whichever is greater. In the case of any other vessel, its liability per
vessel in any one incident shall not exceed $150 per gross ton of the
vessel (or, for a vessel carrying oil or hazardous substances as cargo,
$250,000, whichever is greater). The Insurer shall be entitled to invoke
only the rights and defenses permitted by section 311 of the Act to the
vessel operator and the rights and defenses permitted by section 311 of
the Act to the Insurer if an action were brought against the Insurer by
the operator.
The insurance evidenced by this undertaking shall be applicable only
in relation to incidents occurring on or after the effective date and
before the termination date of this undertaking, and shall be applicable
only to incidents giving rise to claims under subsections 311 (f) and
(g) of the Act in respect to any of the below-listed vessels.
The effective date of this undertaking shall, for each vessel listed
below, be the date the vessel is named in or added to the schedules
below. For each vessel, the termination date of this undertaking shall
be 30 days after the date of receipt of written notice by the U.S. Coast
Guard (USCG) that the Insurer has elected to terminate the insurance
evidenced by this undertaking, and has so notified the vessel operator.
However, for any vessel which is carrying oil or hazardous
substances in bulk as cargo that has been loaded before the scheduled
date of termination, the termination shall not take effect until (1)
completion of discharge of such cargo, or (2) until 60 days after the
date of receipt by the USCG of written notice that the Insurer has
elected to terminate the insurance evidenced by this undertaking,
whichever date is earlier.
Termination of this undertaking as to any vessel shall not affect
the liability of the Insurer in connection with an incident occurring
prior to the date such termination becomes effective.
If during the currency of this undertaking a below-named operator
requests that an additional vessel be made subject to this undertaking
and if the Insurer should accede to the request and should so notify the
USCG, then the vessel shall be included in the schedules below.
If more than one insurer joins in executing this document, that
action constitutes joint and several liability on the part of the
insurers. The definitions in 33 CFR 130.2 apply to this undertaking.
Effective Date of Coverage for Vessels Originally Named on This
Undertaking: Day/month/year .
(Name of Insurer)_______________________________________________________
(Mailing Address)_______________________________________________________
[[Page 66]]
________________________________________________________________________
(Signature of Official Signing on Behalf of Insurer)____________________
(Typed Name and Title of Signer)________________________________________
Insurance Form CG-5358-9 (6/83) No. ------------
SCHEDULE OF VESSELS AND ASSURED OPERATORS
Vessel Gross tons Assured operator
Insurance Form CG-5358-9 (6/83) No. ------------
SCHEDULE OF VESSELS AND ASSURED OPERATORS ADDED TO ABOVE SCHEDULE
Vessel Gross tons Assured operator Date added
Insurance Form CG-5358-9 (6/83) No. ------------
DEPARTMENT OF TRANSPORTATION
U.S. Coast Guard
CG-5358-9A (6/83)
Master Insurance Form No. ------------
MASTER INSURANCE FORM CG-5358-9A FURNISHED AS EVIDENCE OF FINANCIAL
RESPONSIBILITY FOR BUILDERS, REPAIRERS, SCRAPPERS, OR SELLERS OF VESSELS
UNDER SUBSECTION 311(p) OF THE FEDERAL WATER POLLUTION CONTROL ACT, AS
AMENDED
(Name of Insurer)_______________________________________________________
(hereinafter ``Insurer'') hereby certifies that (Name of Assured) ------
-------- (hereinafter the ``Assured'') is insured by it against oil or
hazardous substances removal cost liability to the United States for
purposes of complying with the provisions of subsection 311(p) of the
Federal Water Pollution Control Act, as amended, (hereinafter ``Act'').
This undertaking shall be applicable in relation to vessels which the
Assured may from time to time hold for purposes of construction, repair,
scrapping, or sale. The maximum amount of insurance evidenced by this
undertaking is $150 per gross ton of any such vessel or $250,000,
whichever is greater, not to exceed $-------------- (This amount must
not be less than $250,000) per vessel in anyone incident. The foregoing
amount of insurance coverage provided by the Insurer on behalf of the
United States Government in respect to any of the above-mentioned
vessels is not conditioned or dependent in any way upon any agreement or
understanding between the Assured and the Insurer that any of the
vessels is or is not an ``inland oil barge'' (as defined in section 311
of the Act), will or will not carry oil or certain hazardous substances,
or will or will not operate in certain waters.
(Name of Agent)_________________________________________________________
with offices at --------------, is hereby designated as the Insurer's
agent for service of process for the purposes of section 311 of the Act
and implementing rules at Part 130 of Title 33, Code of Federal
Regulations. If the designated agent cannot be served due to his death,
disability, or unavailability, the Commandant, U.S. Coast Guard becomes
the agent for service of process.
The Insurer consents to be sued directly in respect of any claim
against the Assured arising under subsections 311 (f) or (g) of the Act;
provided, however, that in any such direct action (1) its liability per
vessel in any one incident shall not exceed the amount stipulated in the
first paragraph of this undertaking and (2) it shall be entitled to
invoke only the rights and defenses permitted by section 311 of the Act
to the Assured and the rights and defenses permitted by section
[[Page 67]]
311 of the Act to the Insurer if an action were brought against the
Insurer by the Assured.
The insurance evidenced by this undertaking shall be applicable only
in relation to incidents giving rise to claims under subsection 311 (f)
and (g) of the Act in respect to any of the above-mentioned vessels,
occurring on or after the below-specified effective date of this
undertaking and before the termination date of this undertaking. The
termination date shall be the date 30 days after the date of receipt by
the U.S. Coast Guard (USCG) of written notice that the Insurer has
elected to terminate the insurance evidenced by this undertaking and has
so notified the Assured.
However, for any of the above-mentioned vessels which are carrying
oil or hazardous substances in bulk as cargo that has been loaded before
the scheduled date of termination, the termination shall not take effect
(1) until completion of discharge of such cargo, or (2) until 60 days
after the date of receipt by the USCG of written notice the Insurer has
elected to terminate the insurance evidenced by this undertaking and has
so notified the Assured, whichever date is earlier.
Termination of this undertaking shall not affect the liability of
the Insurer in connection with an incident occurring before the date
termination becomes effective.
If more than one insurer joins in executing this undertaking, that
action constitutes joint and several liability on the part of the
insurers. The definitions in 33 CFR 130 apply to this undertaking.
Effective Date:_________________________________________________________
(Name of Insurer)_______________________________________________________
(Mailing Address)_______________________________________________________
By:_____________________________________________________________________
(Signature of Official Signing on Behalf of
Insurer)________________________________________________________________
(Typed Name and Title of Signer)________________________________________
Master Insurance Form CG-5358-9A (6/83) No. ------
DEPARTMENT OF TRANSPORTATION
U.S. Coast Guard
CG-5358-9B (6/83)
Surety Co. Bond No. ------------
OIL AND HAZARDOUS SUBSTANCES DISCHARGE SURETY BOND FORM CG-5358-9B
FURNISHED AS EVIDENCE OF FINANCIAL RESPONSIBILITY UNDER SUBSECTION
311(p) OF THE FEDERAL WATER POLLUTION CONTROL ACT, AS AMENDED
KNOW ALL MEN BY THESE PRESENTS, that We (Name of Vessel Operator) --
------------ of (City) -------------- (State and Country) --------------
, as Principal (hereinafter called Principal), and (Name of Surety) ----
----------, a company created and existing under the laws of (State and
Country) --------------, and authorized to do business in the United
States, as Surety (hereinafter called Surety), are held and firmly bound
unto the United States of America for oil or hazardous substances
removal cost liability under section 311 of the Federal Water Pollution
Control Act, as amended, (hereinafter ``Act'') in the penal sum of $----
---------- (Penal Sum May Not Be Less Than $250,000)
for which payment, well and truly to be made, we bind ourselves and our
heirs, executors, administrators, successors, and assigns, jointly and
severally, firmly by these presents. The foregoing penal sum is not
conditioned or dependent in any way upon any agreement or understanding
between the Principal and Surety that any vessel(s) is or is not an
``inland oil barge'', will or will not carry oil or certain hazardous
substances, or will or will not operate in certain waters.
WHEREAS, the Principal intends to become or is a holder of a
Certificate of Financial Responsibility (Water Pollution) under the
provisions of Part 130 of Title 33, Code of Federal Regulations, and has
elected to file with the U.S. Coast Guard (USCG) such a bond as will
insure financial responsibility to meet any liability for removal costs
incurred under section 311 of the Act; and
WHEREAS, this bond is written to ensure compliance by the Principal
with the requirements of subsection 311(p) of the Act, and shall inure
to the benefit of claimants under subsections 311 (f) and (g) of the
Act;
NOW, THEREFORE, the condition of this obligation is that if the
Principal shall pay or cause to be paid to claimants any sum or sums for
which the Principal may be held legally liable under subsections 311 (f)
or (g) of the Act, then this obligation, to the extent of such payment,
shall be void, otherwise to remain in full force and effect.
The liability of the Surety shall not be discharged by any payment
or succession of payments hereunder, unless and until such payment or
payments shall amount in the aggregate to the penalty of the bond. In no
event shall the Surety's obligation hereunder exceed the amount of the
penalty, provided that the Surety furnishes written notice to the USCG
forthwith of all suits filed, judgments rendered, and payments made by
the Surety under this bond.
Any claim for which the Principal may be liable under subsections
311 (f) or (g) of the Act may be brought against the Surety; Provided,
however, that in the event of a direct claim the Surety shall be
entitled to invoke only (1) the rights and defenses permitted by section
311 of the Act to the Principal (vessel operator) and (2) the rights and
defenses permitted by section 311 of the Act to the Surety if an action
were brought against the Surety by the Principal.
[[Page 68]]
This bond is effective the ------ day of ----------, 19----, 12:01
a.m., standard time at the address of the Surety as stated herein and
shall continue in force until terminated as hereinafter provided. The
Principal or the Surety may at any time terminate this bond by written
notice sent by certified mail to the other party with a copy (plainly
indicating that the original notice was sent by certified mail) to the
USCG at its office in Washington, D.C. The termination becomes effective
thirty (30) days after actual receipt by the USCG or written notice;
provided, however, that with respect to any of the Principal's vessels
carrying oil or hazardous substances in bulk as cargo that has been
loaded before the time the termination would otherwise have become
effective, the termination shall not become effective (1) until
completion of discharge of such cargo, or (2) until 60 days after the
date of receipt by the USCG of written notice of termination of the bond
by the above-named Principal or the Surety under the conditions set
forth above, whichever date is earlier. The Surety shall not be liable
hereunder in connection with an incident occurring after the termination
of this bond as herein provided, but termination shall not affect the
liability of the Surety in connection with an incident occurring before
the date the termination becomes effective.
The Surety designates (Name of Agent) -------------- with offices at
--------------, as the Surety's agent for service of process for the
purposes of section 311 of the Act and implementing rules at Part 130 of
Title 33, Code of Federal Regulations. If the designated agent cannot be
served due to his death, disability, or unavailability; the Commandant,
U.S. Coast Guard, becomes the agent for service of process.
If more than one surety company joins in executing this bond, that
action constitutes joint and several liability on the part of the
sureties. The definitions in 33 CFR 130.2 apply to this bond.
In witness whereof, the above-named Principal and Surety have
executed this instrument on the ------ day of ----------, 19----.
(Please type name of signer under each signature. In the case of
partnership, each partner must sign.)
Principal
Individual Principal or Partner_________________________________________
(Business Address)______________________________________________________
Individual Principal or Partner_________________________________________
(Business Address)______________________________________________________
Individual Principal or Partner_________________________________________
(Business Address)______________________________________________________
Corporate Principal_____________________________________________________
Business Address________________________________________________________
By______________________________________________________________________
Title___________________________________________________________________
(Affix Corporate Seal)
CG-5358-9B (6/83)
Surety Co. Bond No. ------------
Surety
Corporate Surety________________________________________________________
Business address________________________________________________________
By______________________________________________________________________
Title___________________________________________________________________
(Affix Corporate Seal)
CG-5358-9B (6/83)
Surety Co. Bond No. ------------
DEPARTMENT OF TRANSPORTATION
U.S. Coast Guard
CG-5358-9C (6/83)
Guaranty No. ------------
GUARANTY FORM CG-5358-9C IN RESPECT OF LIABILITY FOR DISCHARGE OF OIL
AND HAZARDOUS SUBSTANCES
1. WHEREAS (Name of Vessel Operator) -------------- (hereinafter the
``Operator'') is the Operator of the Vessel(s) specified in the annexed
schedules (hereinafter ``Vessel'' or ``Vessels''), and whereas the
Operator desires to establish its financial responsibility in accordance
with subsection 311(p) of the Federal Water Pollution Control Act, as
amended, (hereinafter the ``Act''), The undersigned Guarantor hereby
guarantees, subject to the provisions of clause 4 hereof, to discharge
the Operator's legal liability to the United States in respect to a
claim for oil or hazardous substances removal costs under subsections
311 (f) and (g) of the Act, in the event that such legal liability has
not been discharged by the Operator within 21 days after the claimant
has obtained a final judgment (after appeal, if any) against the
Operator from a United States Federal or State Court of competent
jurisdiction, or has become entitled to payment of a specified sum by
virtue of a compromise settlement agreement made with the Operator, with
the approval of the Guarantor. Upon payment of the agreed sum, the
Operator is to be fully, irrevocably and unconditionally discharged from
all further liability to the claimant with respect to the claim. The
Operator's legal liability under section 311 of the Act, which is
covered by this Guaranty, is:
a. In the case of a Vessel which is an ``inland oil barge'' (as
defined in section 311 of the Act) at the time of an incident which
causes the United States Government to incur removal costs, $125 per
gross ton or $125,000, whichever is greater; or
[[Page 69]]
b. In the case of a Vessel which is not an ``inland oil barge'' (as
defined in section 311 of the Act) at the time of an incident which
causes the United States Government to incur removal costs, $150 per
gross ton (or for a Vessel carrying oil or hazardous substances as
cargo, $250,000, whichever is greater).
The foregoing amount of coverage provided by the Guarantor on behalf of
the United States Government in respect to any of the Vessels is not
conditioned or dependent in any way upon any agreement or understanding
between the Operator and the Guarantor that any of the Vessels is or is
not an ``inland oil barge,'' will or will not carry oil or certain
hazardous substances, or will or will not operate in certain waters.
2. The Guarantor's liability per Vessel in any one incident shall
not exceed, in the case of an inland oil barge, $125 per gross ton of
such barge or $125,000, whichever is greater, and in the case of any
other Vessel, $150 per gross ton of such Vessel (or, for a Vessel
carrying oil or hazardous substances as cargo, $250,000, whichever is
greater), provided that the Guarantor furnishes written notice to the
U.S. Coast Guard (USCG) forthwith of all suits filed, judgments
rendered, and payments made by the Guarantor under this Guaranty.
3. The Guarantor's liability under this Guaranty shall attach only
in relation to incidents giving rise under subsections 311 (f) and (g)
of the Act to causes of action against the Operator in respect of any of
the Vessels for removal of oil or hazardous substances, within the
meaning of section 311 of the Act, occurring on or after the effective
date of this Guaranty, which, as to each of the Vessels, shall be the
date the Vessel is named in Schedule A or added to Schedule B below, and
before the termination date of this Guaranty, which, as to each of the
Vessels, shall be the date 30 days after the date of receipt by the USCG
of written notice that the Guarantor has elected to terminate this
Guaranty, with respect to any of the Vessels, and has so notified the
Operator; provided, however, that with respect to any Vessel carrying
oil or hazardous substances in bulk as cargo that has been loaded before
the scheduled date of termination, the termination shall not become
effective (1) until completion of discharge of such cargo, or (2) until
60 days after the date of receipt by the USCG of written notice of
termination, whichever date is earlier. Termination of this Guaranty as
to any of the Vessels shall not affect the liability of the Guarantor in
connection with an incident occurring before the date termination
becomes effective.
4. Any claim against the Operator arising under subsections 311 (f)
or (g) of the Act may be brought directly against the Guarantor;
provided, however, that in the event of a direct claim the Guarantor
shall be entitled to invoke only (1) the rights and defenses permitted
by section 311 of the Act to the vessel operator and (2) the rights and
defenses permitted by section 311 of the Act to the Guarantor if the
action were brought against the Guarantor by the operator.
5. If, during the currency of this Guaranty, the Operator requests
that a vessel operated by the Operator, and not specified in the annexed
Schedules A and B, should become subject to this Guaranty, and if the
Guarantor accedes to the request and so notifies the USCG in writing,
then the vessel becomes one of the Vessels included in Schedule B and
subject to this Guaranty.
6. The Guarantor hereby designates (Name of Agent) --------------
with offices at --------------, as the Guarantor's agent in the United
States for service of process for purposes of section 311 of the Act and
implementing rules at Part 130 of Title 33, Code of Federal Regulations.
If the designated agent cannot be served due to his death, disability or
unavailability, the Commandant, U.S. Coast Guard, becomes the agent for
service of process.
7. If more than one guarantor joins in executing this Guaranty, that
action constitutes joint and several liability on the part of the
guarantors.
8. The definitions in 33 CFR 130 apply to this Guaranty.
Effective Date: (Month/Day/Year and Place of Execution)--------------.
(Type Name of Guarantor)________________________________________________
(Type Address of Guarantor)_____________________________________________
By: (Signature)--------------
(Type Name and Title of Person Signing Above)___________________________
CG-5358-9C (6/83) Guaranty No. ------------
SCHEDULE A--VESSELS INITIALLY LISTED
Vessels Gross tons Operator
CG-5358-9C (6/83) Guaranty No. ------------
SCHEDULE B--VESSELS ADDED IN ACCORDANCE WITH CLAUSE 5
Vessels Gross tons Operator Date added
CG-5358-9C (6/83) Guaranty No. ------------
[[Page 70]]
DEPARTMENT OF TRANSPORTATION
U.S. Coast Guard
CG-5358-9D (6/83) Master Guaranty No.------
MASTER GUARANTY FORM CG-5358-9D IN RESPECT OF LIABILITY FOR DISCHARGE OF
OIL AND HAZARDOUS SUBSTANCES (BUILDERS, REPAIRERS, SCRAPPERS, OR SELLERS
OF VESSELS)
1. WHEREAS (Name of Vessel Operator) -------------- (hereinafter the
``Operator'') is, or from time to time may become, the Operator of a
vessel or vessels held for purposes of construction, repair, scrapping,
or sale (hereinafter ``Vessel'' or ``Vessels''), and whereas the
Operator desires to establish its financial responsibility in accordance
with subsection 311(p) of the Federal Water Pollution Control Act, as
amended, (hereinafter the ``Act''), the undersigned Guarantor hereby
guarantees, subject to the provisions of clause 4 hereof, to discharge
the Operator's legal liability to the United States in respect to a
claim for oil or hazardous substances removal costs under subsections
311 (f) and (g) of the Act, in the event that such legal liability has
not been discharged by the Operator within 21 days after the claimant
has obtained a final judgment (after appeal, if any) against the
Operator from a United States Federal or State Court of competent
jurisdiction, or has become entitled to payment of a specified sum by
virtue of a compromise settlement agreement made with the Operator, with
the approval of the Guarantor, whereby, upon payment of the agreed sum,
the Operator is to be fully, irrevocably and unconditionally discharged
from all further liability to the claimant with respect to the claim.
The amount of coverage provided by this Guaranty on behalf of the United
States is the amount of the Operator's legal liability under section 311
of the Act. This amount is not conditioned or dependent in any way upon
any agreement or understanding between the Operator and the Guarantor
that any of the Vessels is or is not an ``inland oil barge'' (as defined
in section 311 of the Act), will or will not carry oil or certain
hazardous substances, or will or will not operate in certain waters.
2. The Guarantor's maximum liability per Vessel in any one incident
is $150 per gross ton of the Vessel or $250,000, whichever is greater,
but shall in no event exceed --------------, (This amount must not be
less than $250,000) provided that the Guarantor furnishes written notice
to the U.S. Coast Guard (USCG) forthwith of all suits filed, judgments
rendered, and payments made by the Guarantor under this Guaranty.
3. The Guarantor's liability under this Guaranty shall attach only
in relation to incidents giving rise under subsections 311 (f) and (g)
of the Act to causes of action against the Operator in respect of any of
the Vessels for removal of oil or hazardous substances, within the
meaning of section 311 of the Act, occurring on or after the effective
date of this Guaranty and before the termination date of this Guaranty,
which shall be the date 30 days after the date of receipt by the USCG of
written notice the Guarantor has elected to terminate this Guaranty and
has so notified the Operator; provided, however, that with respect to
any Vessel which is carrying oil or hazardous substances in bulk as
cargo that has been loaded before to the scheduled date of termination,
the termination shall not become effective (1) until completion of
discharge of such cargo, or (2) until 60 days after the date of receipt
by the USCG of written notice of termination, whichever date is earlier.
Termination of this Guaranty as to the Vessels shall not affect the
liability of the Guarantor in connection with an incident occurring
before the date termination becomes effective.
4. Any claim against the Operator arising under subsection 311 (f)
or (g) of the Act may be brought directly against the Guarantor;
provided, however, that in the event of a direct claim the Guarantor
shall be entitled to invoke only (1) the rights and defenses permitted
by section 311 of the Act to the Vessel Operator and (2) the rights and
defenses permitted by section 311 of the Act to the Guarantor if the
action were brought against the Guarantor by the Operator.
5. The Guarantor hereby designates (Names of Agent) --------------,
with offices at --------------, as the Guarantor's agent in the United
States for service of process for purposes of section 311 of the Act and
implementing rules at Part 130 of Title 33, Code of Federal Regulations.
If the designated agent cannot be served due to his death, disability,
or unavailability, the Commandant, U.S. Coast Guard, becomes the agent
for service of process.
6. If more than one guarantor joins in executing this Guaranty, that
action constitutes joint and several liability on the part of the
guarantors.
7. The definitions in 33 CFR 130 apply to this Guaranty.
Effective Date: (Month/Day/Year and Place of Execution)--------------.
(Type Name of Guarantor)________________________________________________
(Type Address of Guarantor)_____________________________________________
(Signature)_____________________________________________________________
(Type Name and Title of Person Signing Above)___________________________
CG-5358-9D (6/83) Guaranty No. --------
[[Page 71]]
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 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.
[[Page 72]]
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.
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
[[Page 73]]
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;
(2) Owns, operates, or is the guarantor of the owner or operator of
any vessel;
[[Page 74]]
(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: Funds Management
Branch, Commandant (G-MER-4), U.S. Coast Guard Headquarters, 2100 Second
Street, SW, Washington, DC 20593-0001.
[CGD 86-032, 52 FR 23175, June 18, 1987, as amended by CGD 88-052, 53 FR
25120, July 1, 1988]
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.
(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,
[[Page 75]]
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.
(c) Where the offshore facility is owned or operated by more than
one
[[Page 76]]
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
(2) Designate an agent in the United States for service of process.
[[Page 77]]
(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 78]]
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 by
[[Page 79]]
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 80]]
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, 400 Seventh Street
SW., Washington, D.C. 20590, 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.
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 must provide any
information not immediately available when it becomes known.
[[Page 81]]
Subpart E--Access, Denial, and Detention
Sec. 135.401 Access to vessel, Certificates of Financial Responsibility.
(a) The owner, operator, master or agent of any vessel subject to
the Act shall, upon request by any Coast Guard officer or petty officer,
permit access to the vessel and produce for examination the Certificate
of Financial Responsibility.
Sec. 135.403 Sanctions for failure to produce vessel Certificates of Financial Responsibility.
(a) The Captain of the Port issues denial or detention orders to the
owner, operator, agent, or master of any vessel that cannot show upon
request a valid Certificate of Financial Responsibility issued under the
Act.
(b) A denial order forbids entry of any vessel subject to the Act to
any port or place in the United States or to the navigable waters of the
United States.
(c) A detention order detains any vessel subject to the Act at the
port or place in the United States from which it is about to depart for
any other port or place in the United States.
(d) The Captain of the Port terminates a denial or detention order
when the owner, operator, agent, or master of a vessel furnishes
adequate evidence that the certification of financial responsibility
requirements under the Act have been met.
Sec. 135.405 Appeal provisions.
(a) The owner, operator, agent or master of a vessel issued a denial
or detention order under this subpart may petition the District
Commander in any manner to review that order.
(b) Upon completion of review, the District Commander affirms, sets
aside, or modifies the order.
(c) Unless otherwise determined by the District Commander a denial
or detention order remains in effect pending the outcome of any petition
or appeal of that order.
(d) The District Commander acts on all petitions or appeals within
10 days of receipt.
(e) The decision of the District Commander is final agency action.
PART 136--OIL SPILL LIABILITY TRUST FUND; CLAIMS PROCEDURES; DESIGNATION OF SOURCE; AND ADVERTISEMENT--Table of Contents
Subpart A--General
Sec.
136.1 Purpose and applicability.
136.3 Information.
136.5 Definitions.
136.7 Foreign claimants.
136.9 Falsification of claims.
Subpart B--General Procedure
136.101 Time limitations on claims.
136.103 Order of presentment.
136.105 General requirements for a claim.
136.107 Subrogated claims.
136.109 Removal costs and multiple items of damages.
136.111 Insurance.
136.113 Other compensation.
136.115 Settlement and notice to claimant.
Subpart C--Procedure 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.
Government Public Services
136.237 Authorized claimants.
136.239 Proof.
136.241 Compensation allowable.
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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