[Title 33 CFR 140]
[Code of Federal Regulations (annual edition) - July 1, 2005 Edition]
[Title 33 - NAVIGATION AND NAVIGABLE WATERS]
[Chapter I - COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED)]
[Subchapter N - OUTER CONTINENTAL SHELF ACTIVITIES]
[Part 140 - GENERAL]
[From the U.S. Government Printing Office]
33NAVIGATION AND NAVIGABLE WATERS22005-07-012005-07-01falseGENERAL140PART 140NAVIGATION AND NAVIGABLE WATERSCOAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED)OUTER CONTINENTAL SHELF ACTIVITIES
PART 140_GENERAL--Table of Contents
Subpart A_General
Sec.
140.1 Purpose.
140.3 Applicability.
140.4 Relationship to other law.
140.5 Exemptions during construction.
140.7 Incorporation by reference.
140.10 Definitions.
140.15 Equivalents and approved equipment.
140.20 Delegations.
140.25 Appeals.
140.30 Judicial review.
140.35 Sanctions.
140.40 Processing penalty cases.
Subpart B_Inspections
140.101 Inspection by Coast Guard marine inspectors or Minerals
Management service inspectors.
140.103 Annual inspection of fixed OCS facilities.
140.105 Correction of deficiencies and hazards.
Subpart C_Investigations
140.201 General.
140.203 Investigation procedures.
140.205 Subpoenas.
Authority: 43 U.S.C. 1333, 1348, 1350, 1356; Department of Homeland
Security Delegation No. 0170.1.
Source: CGD 78-160, 47 FR 9376, Mar. 4, 1982, unless otherwise
noted.
Subpart A_General
Sec. 140.1 Purpose.
This subchapter is intended to promote safety of life and property
on Outer Continental Shelf (OCS) facilities, vessels, and other units
engaged in OCS activities, protect the marine environment, and implement
the Outer Continental Shelf Lands Act (43 U.S.C. 1331 et seq.), as
amended by the Outer Continental Shelf Lands Act Amendments of 1978
(Pub. L. 95-372, 92 Stat. 629).
Sec. 140.3 Applicability.
Unless otherwise stated, this subchapter applies to OCS facilities,
vessels, and other units engaged in OCS activities as the term ``OCS
activities'' is defined in Sec. 140.10. This subchapter does not apply
to pipelines and deepwater ports (as the term ``deepwater port'' is
defined in section 3(10) of the Deepwater Port Act of 1974 (33 U.S.C.
1502)).
Sec. 140.4 Relationship to other law.
(a) Design and equipment requirements of this subchapter for OCS
facilities, including mobile offshore drilling units in contact with the
seabed of the OCS for exploration or exploitation of subsea resources,
are in addition to the regulations and orders of the U.S. Geological
Survey applicable to those facilities.
(b) Any apparent conflict between the application of any requirement
of this subchapter and any regulation or order of the U.S. Geological
Survey should immediately be brought to the attention of the Officer in
Charge, Marine Inspection.
(c) This subchapter does not establish design requirements for fixed
OCS facilities or regulate drilling or production equipment on any OCS
facility or attending vessel, except for matters affecting navigation or
workplace safety or health.
Sec. 140.5 Exemptions during construction.
The Officer in Charge, Marine Inspection, may exempt any unit under
construction from any requirements of this subchapter that would be
impracticable or unreasonable to apply during construction or erection
of the unit.
Sec. 140.7 Incorporation by reference.
(a) Certain materials are incorporated by reference into this
subchapter with the approval of the Director of the Federal Register in
accordance with 5 U.S.C. 552(a). To enforce any edition other than the
one listed in paragraph (b) of this section, notice of the change must
be published in the Federal Register and the material made available to
the public. All approved material is available for inspection at U.S.
Coast Guard, Office of Compliance (G-MOC), 2100 Second Street, SW.,
Washington, DC 20593-0001
[[Page 134]]
and at the National Archives and Records Administration (NARA). For
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html. All approved material is
available from the sources indicated in paragraph (b) of this section.
(b) The material approved for incorporation by reference in this
subchapter and the sections affected are as follows:
American National Standards Institute (ANSI)
11 West 42nd Street, New York, NY 10036.
ANSI A10.14-1975--Requirements for Safety Belts, Harnesses, 142.42
Lanyards, Lifelines, and Drop Lines for Construction and
Industrial Use............................................
ANSI/UL1123-1987--Standard for Marine Buoyant Devices...... 143.405
ANSI Z41-1983--American National Standard for Personal 142.33
Protection-Protective Footwear............................
ANSI Z87.1-1979--Practice for Occupational and Educational 142.27
Eye and Face Protection...................................
ANSI Z88.2-1980--Practices for Respiratory Protection...... 142.39
ANSI Z89.1-1981--Safety Requirements for Industrial Head 142.30
Protection................................................
International Maritime Organization (IMO)
IMO Sales, New York Nautical Instrument and Service Corp.,
140 W. Broadway, New York, NY 10013
IMO Assembly Resolution A.414 (XI) Code for Construction 143.207;
and Equipment of Mobile Offshore Drilling Units........... 146.205
[CGD 84-098b, 54 FR 21571, May 18, 1989, as amended by CGD 96-026, 61 FR
33665, June 28, 1996; 69 FR 18803, Apr. 9, 2004; USCG-2004-18057, 69 FR
34926, June 23, 2004]
Sec. 140.10 Definitions.
As used in this subchapter:
Act means the Outer Continental Shelf Lands Act of 1953 (43 U.S.C.
1331 et seq.), as amended by the Outer Continental Shelf Lands Act
Amendments of 1978 (Pub. L. 95-372).
Approved means approved by the Commandant, unless otherwise
indicated.
Attending vessel means a vessel which is moored close to and readily
accessible from an OCS facility for the purpose of providing power,
fuel, or other services to the operation being conducted on the
facility.
Commandant means Commandant of the Coast Guard or that person's
authorized representative.
Development means those activities which take place following
discovery of minerals in paying quantities, including, but not limited
to, geophysical activity, drilling, and platform construction, and which
are for the purpose of ultimately producing the minerals discovered.
District Commander means an officer who commands a Coast Guard
District described in part 3 of this chapter or that person's authorized
representative.
Exploration means the process of searching for minerals, including,
but not limited to, (1) geophysical surveys where magnetic, gravity,
seismic, or other systems are used to detect or imply the presence of
such minerals, and (2) any drilling, whether on or off known geological
structures, including the drilling of a well in which a discovery of oil
or natural gas in paying quantities is made and the drilling of any
additional delineation well after the discovery which is needed to
delineate any reservoir and to enable the lessee to determine whether to
proceed with development and production.
Fixed OCS facility means a bottom founded OCS facility permanently
attached to the seabed or subsoil of the OCS, including platforms, guyed
towers, articulated gravity platforms, and other structures.
Floating OCS facility means a buoyant OCS facility securely and
substantially moored so that it cannot be moved without a special
effort. This term includes tension leg platforms and permanently moored
semisubmersibles or shipshape hulls but does not include mobile offshore
drilling units and other vessels.
Investigating officer means a person assigned by the Commandant, a
District Commander, or an Officer in
[[Page 135]]
Charge, Marine Inspection, to conduct an investigation of an accident,
casualty, or other incident.
Manned facility means an OCS facility on which people are routinely
accommodated for more than 12 hours in successive 24 hour periods.
Manned platform means a fixed OCS facility on which people are
routinely accommodated for more than 12 hours in successive 24 hour
periods.
Marine inspector means a person designated as such by an Officer in
Charge, Marine Inspection, to perform inspections of units to determine
whether or not the requirements of laws administered by the Coast Guard
and of Coast Guard regulations are met.
Minerals includes oil, gas, sulphur, geopressured-geothermal and
associated resources, and all other minerals which are authorized by an
Act of Congress to be produced from ``public lands'' as defined in
section 103 of the Federal Lands Policy and Management Act of 1976 (43
U.S.C. 1702(e)).
Minerals Management Service inspector or MMS inspector means an
individual employed by the Minerals Management Service who inspects
fixed OCS facilities on behalf of the Coast Guard to determine whether
the requirements of this subchapter are met.
Mobile offshore drilling unit or MODU means a vessel, other than a
public vessel of the United States, capable of engaging in drilling
operations for exploration or exploitation of subsea resources.
Officer in Charge, Marine Inspection means a person who commands a
Marine Inspection Zone described in Part 3 of this chapter and who is
immediately responsible for the performance of duties with respect to
inspections, enforcement, and administration of regulations governing
units.
Operator means--(1) In the case of a vessel, a charterer by demise
or any other person who is responsible for the operation, manning,
victualing, and supplying of the vessel; or
(2) In the case of an OCS facility, the operator as defined in 30
CFR 250.2(gg).
Outer Continental Shelf or OCS means all submerged lands lying
seaward and outside of the area of ``lands beneath navigable waters'' as
defined in section 2(a) of the Submerged Lands Act (43 U.S.C. 1301(a))
and of which the subsoil and seabed appertain to the United States and
are subject to its jurisdiction and control.
OCS activity means any offshore activity associated with exploration
for, or development or production of, the minerals of the Outer
Continental Shelf.
OCS facility means any artificial island, installation, or other
device permanently or temporarily attached to the subsoil or seabed of
the Outer Continental Shelf, erected for the purpose of exploring for,
developing, or producing resources therefrom, or any such installation
or other device (other than a ship or vessel) for the purpose of
transporting such resources. The term includes mobile offshore drilling
units when in contact with the seabed of the OCS for exploration or
exploitation of subsea resources. The term does not include any pipeline
or deepwater port (as the term ``deepwater port'' is defined in section
3(10) of the Deepwater Port Act of 1974 (33 U.S.C. 1502)).
Owner means a person holding title to or, in the absence of title,
other indicia of ownership of a unit; however, this does not include a
person who holds indicia of ownership primarily to protect a security
interest in the unit and does not participate in the management or
operation of the unit.
Person means an individual, association, partnership, consortium,
joint venture, private, public, or municipal firm or corporation, or a
government entity.
Person in charge means the master or other individual designated as
such by the owner or operator under Sec. 146.5 of this subchapter or 46
CFR 109.107.
Personnel means individuals who are employed by leaseholders, permit
holders, operators, owners, contractors, or subcontractors and who are
on a unit by reason of their employment.
Production means those activities which take place after the
successful completion of any means for the removal of minerals,
including, but not limited to, such removal, field operations, transfer
of minerals to shore, operation monitoring, maintenance, and workover.
[[Page 136]]
Rebuilt means having had substantial alteration or reconstruction of
the hull or principal structural component.
Standby vessel means a vessel meeting the requirements of Part 143,
Subpart E, of this chapter and specifically designated in an Emergency
Evacuation Plan under Sec. Sec. 146.140 or 146.210 of this chapter to
provide rapid evacuation assistance in the event of an emergency.
Unit means any OCS facility, vessel, rig, platform, or other vehicle
or structure, domestic or foreign.
Unmanned facility means an OCS facility, other than a floating
facility or mobile offshore drilling unit, which is not a manned
facility even though it may be continuously serviced by an attending
vessel.
Unmanned platform means a fixed, bottom-founded OCS facility which
is not a manned facility even though it may be continuously serviced by
an attending vessel.
Vessel means every description of watercraft or other artificial
contrivance used, or capable of being used, as a means of transportation
on water.
[CGD 78-160, 47 FR 9376, Mar. 4, 1982, as amended by CGD 79-077, 51 FR
25059, July 10, 1986; CGD 84-098b, 54 FR 21571, May 18, 1989; USCG-2001-
9045, 67 FR 5916, Feb. 7, 2002]
Sec. 140.15 Equivalents and approved equipment.
(a) The use of alternate equipment or procedures for those specified
in this subchapter may be permitted by an Officer in Charge, Marine
Inspection, to the extent and upon conditions as will insure a degree of
safety comparable to or greater than that provided by the minimum
standards in this subchapter.
(b) Where equipment in this subchapter is required to be of an
approved type, the equipment requires the specific approval of the
Commandant. Approvals are published in the Federal Register and
COMDTINST M16714.3 (Series) Equipment List, available from Commandant
(G-MSE), U.S. Coast Guard, Washington, DC 20593-0001.
(c) Specifications for certain items required to be of an approved
type are contained in 46 CFR Parts 160 through 164.
[CGD 78-160, 47 FR 9376, Mar. 4, 1982, as amended at CGD 88-052, 53 FR
25121, July 1, 1988; CGD 96-026, 61 FR 33665, June 28, 1996]
Sec. 140.20 Delegations.
(a) Each District Commander is responsible for the administration
and enforcement of the regulations in this subchapter within that
person's assigned district.
(b) Under the general superintendence of the District Commander, the
Officer in Charge, Marine Inspection, is delegated authority to
administer and enforce the regulations in this subchapter.
(c) Authority delegated under this section may be redelegated as
necessary by the delegate.
Sec. 140.25 Appeals.
(a) Any person directly affected by an action or decision of an
Officer in Charge, Marine Inspection, under the Act or the regulations
in this subchapter may request reconsideration of that action or
decision. If still dissatisfied, that person may appeal the action or
decision of the Officer in Charge, Marine Inspection, within 30 days to
the District Commander of the District in which the action was taken or
the decision made. The District Commander issues a decision after
reviewing the appeal submitted under this paragraph.
(b) Any person not satisfied with the decision of a District
Commander may appeal that decision within 30 days to the Commandant, who
issues a ruling after reviewing the appeal submitted under this
paragraph. Rulings of the Commandant constitute final agency action.
(c) An appeal to the District Commander or Commandant:
(1) Must be made in writing, except in an emergency when an oral
appeal may be accepted;
(2) Must be submitted to the District Commander of the District in
which the action was taken or the decision made;
(3) Must describe the decision or action being appealed;
(4) Must state the reasons why the action or decision should be set
aside or modified; and
(5) May contain any supporting documents and evidence that the
appellant wishes to have considered.
(d) Pending determination of any appeal, the action or decision
appealed
[[Page 137]]
remains in effect, unless suspended by the District Commander to whom
the appeal was made or by the Commandant.
Sec. 140.30 Judicial review.
(a) Nothing in this subchapter shall be construed to prevent any
interested party from seeking judicial review as authorized by law.
(b) Judicial review of the regulations in this subchapter, or any
final ruling or order of the Commandant or that person's delegate
pursuant to the Act or the regulations in this subchapter, is governed
by the judicial review provisions of section 23 of the Act (43 U.S.C.
1349).
Sec. 140.35 Sanctions.
(a) Any person who fails to comply with:
(1) Any provision of the Act;
(2) Any regulation in this subchapter; or
(3) Any order issued under the Act or the regulations in this
subchapter by the Commandant, a District Commander, or an Officer in
Charge, Marine Inspection, after notice of the failure and after
expiration of any reasonable period allowed for corrective action, shall
be liable for a civil penalty for each day of the continuance of the
failure.
(b) Any person who knowingly and willfully:
(1) Violates any provision of the Act;
(2) Violates any regulation in this subchapter designed to protect
health, safety, or the environment;
(3) Violates any order of the Commandant, District Commander, or
Officer in Charge, Marine Inspection, issued under the Act or the
regulations in this subchapter that is designed to protect health,
safety, or the environment;
(4) Makes any false statement, representation, or certification in
any application, record, report, or other document filed or required to
be maintained under the Act or the regulations in this subchapter;
(5) Falsifies, tampers with, or renders inaccurate any monitoring
device or method of record required to be maintained under this Act or
the regulations in this subchapter; or
(6) Reveals any data or information required to be kept confidential
by the Act shall, upon conviction, be punished by a fine of not more
than $100,000, or by imprisonment for not more than ten years, or both.
Each day that a violation under paragraph (b)(1), (b)(2), or (b)(3) of
this section continues, or each day that any monitoring device or data
recorder remains inoperative or inaccurate because of any activity
described in paragraph (b)(5) of this section, constitutes a separate
violation.
(c) Whenever a corporation or other entity is subject to prosecution
under paragraph (b) of this section, any officer or agent of the
corporation or entity who knowingly and willfully authorized, ordered,
or carried out the prescribed activity shall be subject to the same
fines or imprisonment, or both, as provided for under paragraph (b) of
this section.
(d) The penalties prescribed in this section are concurrent and
cumulative and the exercise of one does not preclude the exercise of the
others. Further, the penalties prescribed in this section are in
addition to any other penalties afforded by any other law or regulation.
[CGD 78-160, 47 FR 9376, Mar. 4, 1982, as amended by CGD 96-052, 62 FR
16703, Apr. 8, 1997]
Sec. 140.40 Processing penalty cases.
Apparent violations of the regulations in this subchapter are
processed in accordance with subpart 1.07 of 33 CFR part 1 on civil and
criminal penalty proceedings, except as follows:
(a) The District Commander refers civil penalty cases to the
Secretary of the Interior, or that person's delegate, who, under the
Act, assesses, collects, and compromises civil penalties.
(b) If a possible violation investigated by the Coast Guard carries
both a civil and a criminal penalty, the District Commander determines
whether to refer the case to the U.S. Attorney for criminal prosecution
or to the Secretary of the Interior, or that person's delegate, for
civil penalty proceedings.
(c) When the U.S. Attorney declines to institute criminal
proceedings, the District Commander decides whether to refer the case to
the Secretary of
[[Page 138]]
the Interior, or that person's delegate, for civil penalty proceedings
or to close the case.
Subpart B_Inspections
Sec. 140.101 Inspection by Coast Guard marine inspectors or Minerals
Management Service inspectors.
(a) Each unit engaged in OCS activities is subject to inspection by
the Coast Guard.
(b) On behalf of the Coast Guard, each fixed OCS facility engaged in
OCS activities is subject to inspection by the Minerals Management
Service (MMS).
(c) Under the direction of the Officer in Charge, Marine Inspection,
Coast Guard marine inspectors may inspect units engaged in OCS
activities, and MMS inspectors may inspect fixed OCS facilities, to
determine whether the requirements of this subchapter are met. These
inspections may be conducted with or without advance notice at any time
deemed necessary by the Officer in Charge, Marine Inspection, or MMS.
(d) As part of an inspection, a Coast Guard marine inspector or an
MMS inspector may review records and require and observe the conduct of
emergency drills and other tests and procedures as may be necessary to
demonstrate to that person's satisfaction that the unit and its
equipment are in full compliance with applicable Coast Guard
regulations. The Coast Guard marine inspector or the MMS inspector
consults with the person in charge of the unit before requiring a drill
or other test or procedure to be conducted to minimize disruption of
unit activities and risk to life or property.
(e) Coast Guard inspections of foreign units recognize valid
international certificates accepted by the United States, including
Safety of Life at Sea (SOLAS), Loadline, and Mobile Offshore Drilling
Unit (MODU) Code certificates for matters covered by the certificates,
unless there are clear grounds for believing that the condition of the
unit or its equipment does not correspond substantially with the
particulars of the certificate.
(f) Coast Guard marine inspectors conduct an initial inspection of
each fixed OCS facility to determine whether the facility is in
compliance with the requirements of this subchapter.
[CGD 78-160, 47 FR 9376, Mar. 4, 1982, as amended by CGD 84-098a, 53 FR
18980, May 26, 1988; USCG-2001-9045, 67 FR 5916, Feb. 7, 2002]
Sec. 140.103 Annual inspection of fixed OCS facilities.
(a) The owner or operator of each fixed OCS facility shall ensure
that the facility is inspected, at intervals not to exceed 12 months, to
determine whether the facility is in compliance with the requirements of
this subchapter.
(b) Except for initial inspections under Sec. 140.101(f),
inspections by Coast Guard marine inspectors and Minerals Management
Service (MMS) inspectors do not meet the requirements for an inspection
under paragraph (a) of this section.
(c) Except for initial inspections under Sec. 140.101(f), the
results of the inspection under paragraph (a) of this section must be
recorded on form CG-5432. Forms CG-5432 may be obtained from the Officer
in Charge, Marine Inspection. A copy of the completed form must be kept
for 2 years after the inspection under paragraph (a) of this section is
conducted and the form made available to the Coast Guard and MMS on
request. For manned fixed OCS facilities, the copy of the completed form
must be kept on the facility. For unmanned fixed OCS facilities, the
copy of the completed form must be kept either at the nearest manned
fixed OCS facility or, if there is no manned fixed OCS facility in the
area, at the nearest field office of the owner or operator. In addition,
the owner or operator must submit, to the appropriate MMS District
office, a copy of each completed form CG-5432 that indicates outstanding
deficiencies or hazards, within 30 days after completion of the
inspection.
[CGD 84-098a, 53 FR 18980, May 26, 1988, as amended by USCG-2001-9045,
67 FR 5916, Feb. 7, 2002]
Sec. 140.105 Correction of deficiencies and hazards.
(a) Lifesaving and fire fighting equipment which is found defective
during an inspection by a Coast Guard marine inspector or a Minerals
Management Service (MMS) inspector and which, in
[[Page 139]]
the opinion of the inspector, cannot be satisfactorily repaired must be
so mutilated in the presence of the inspector that it cannot be used for
the purpose for which it was originally intended. Lifesaving and fire
fighting equipment subsequently determined to be unrepairable must be
similarly mutilated in the presence of the person making that
determination.
(b) Any deficiency or hazard discovered during an inspection by a
Coast Guard marine inspector or an MMS inspector is reported to the
unit's owner or operator, who shall have the deficiency or hazard
corrected or eliminated as soon as practicable and within the period of
time specified by the inspector.
(c) Deficiencies and hazards discovered during an inspection of a
fixed OCS facility under Sec. 140.103(a) must be corrected or
eliminated, if practicable, before the form CG-5432 is completed.
Deficiencies and hazards that are not corrected or eliminated by the
time the form is completed must be indicated on the form as
``outstanding'' and the form submitted to the appropriate MMS District
office. Upon receipt of a form CG-5432 indicating outstanding
deficiencies or hazards, MMS informs, by letter, the owner or operator
of the fixed OCS facility of the deficiencies or hazards and the time
period specified to correct or eliminate the deficiencies or hazards.
(d) For lifesaving and fire fighting equipment deficiencies on fixed
OCS facilities that cannot be corrected before the submission of form
CG-5432, the owner or operator must contact the appropriate MMS District
Supervisor to request a time period for repair of the item. The owner or
operator must include a description of the deficiency and the time
period approved by MMS for correction of the deficiency in the comment
section of form CG-5432.
(e) Where a deficiency or hazard remains uncorrected or uneliminated
after the expiration of the time specified for correction or
elimination, the Officer in Charge, Marine Inspection or MMS (for
deficiencies or hazards discovered by MMS during an inspection of a
fixed OCS facility), initiates appropriate enforcement measures.
[CGD84-098a, 53 FR 18981, May 26, 1988, as amended by USCG-2001-9045, 67
FR 5916, Feb. 7, 2002]
Subpart C_Investigations
Sec. 140.201 General.
Under the direction of the Officer in Charge, Marine Inspection,
investigating officers investigate the following incidents occurring as
a result of OCS activities:
(a) Death.
(b) Injury resulting in substantial impairment of any bodily unit or
function.
(c) Fire which causes death, serious injury or property damage
exceeding $25,000.
(d) Oil spillage exceeding two hundred barrels of oil in one
occurrence during a thirty-day period.
(e) Other injuries, casualties, accidents, complaints of unsafe
working conditions, fires, pollution, and incidents occurring as a
result of OCS activities as the Officer in Charge, Marine Inspection,
deems necessary to promote the safety of life or property or protect the
marine environment.
Sec. 140.203 Investigation procedures.
(a) Insofar as practicable, investigations conducted pursuant to
this subchapter shall follow the procedures of 46 CFR Part 4.
(b) Representatives of the U.S. Geological Survey may participate in
these investigations. This participation may include, but is not limited
to:
(1) Participating in a joint on-scene investigation;
(2) Making recommendations concerning the scope of the
investigation;
(3) Calling and examing witnesses; and
(4) Submitting or requesting additional evidence.
(c) Reports of investigations conducted under this subchapter shall
be made available to parties to the investigation and the public upon
completion of agency action.
[[Page 140]]
Sec. 140.205 Subpoenas.
(a) In any investigation conducted pursuant to this subchapter, the
investigating officer shall have the power to administer necessary
oaths, subpoena witnesses, and require the production of books, papers,
documents, and any other evidence.
(b) Attendance of witnesses or the production of books, papers,
documents, or any other evidence shall be compelled by a process similar
to that used in the District Courts of the United States.