Last updated on October 11th, 2024 at 11:42 pm
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.
CHAPTER I—COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED)
SUBCHAPTER L—WATERFRONT FACILITIES
PART 125—IDENTIFICATION CREDENTIALS FOR PERSONS REQUIRING ACCESS TO WATERFRONT FACILITIES OR VESSELS
§ 125.01 Commandant.
The term Commandant means Commandant of the Coast Guard.
§ 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.
§ 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.
§ 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.
§ 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.
§ 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.
§ 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).
(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) Transportation Worker Identification Credential.
(g) Such other identification as may be approved by the Commandant from time to time.
§ 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.
§ 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 § 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 § 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.
§ 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
§ 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 § 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 as practicable, and shall cause such facilities and areas to be suitably marked as to such restriction.
§ 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 § 125.09.
§ 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.
§ 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 § 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 × 1
(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.
§ 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).
§ 125.25 Aliens.
Alien registration records together with other papers and documents which indicated the country of which the applicant is a citizen shall be accepted as evidence of citizenship in a foreign nation.
§ 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.
§ 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 § 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 § 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.
§ 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 § 125.35.
§ 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 § 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.
(d) Upon receipt of such information as the Commandant may have required, the procedure prescribed in § 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 § 125.35.
§ 125.35 Notice by Commandant.
(a) The notice provided for in §§ 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 § 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.
§ 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.
§ 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 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.
§ 125.41 Challenges.
Within five days after receipt of the notice described in § 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.
§ 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 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.
§ 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.
§ 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 § 125.39, and the privilege of challenge may be exercised through the same procedure as that specified in § 125.41.
(c) Appeal Board proceedings shall be conducted in the same manner as that specified in § 125.43.
§ 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.
§ 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.
(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 § 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 § 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 shall be deemed to be satisfactory identification within the meaning of § 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 § 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.
§ 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.
§ 125.57 Applications previously denied.
A person who has been denied a Coast Guard Port Security Card before May 1, 1956, may file a new application for such a document in accordance with the requirements of this part.
PART 126—HANDLING OF DANGEROUS CARGO AT WATERFRONT FACILITIES
§ 126.1 What does this part apply to?
This part applies to waterfront facilities handling packaged and bulk-solid dangerous cargo and to vessels at those facilities.
§ 126.3 Definitions.
As used in this part—
Break-bulk means packages that are handled individually, palletized, or unitized for purposes of transportation, as opposed to materials in bulk and containerized freight.
Bulk means without mark or count and directly loaded or unloaded to or from a hold or tank on a vessel without the use of containers or break-bulk packaging.
Captain of the port or COTP means the officer of the Coast Guard, under the command of a District Commander, is designated by the Commandant for the purpose of giving immediate direction to Coast Guard law enforcement activities within an assigned area.
Cargo of particular hazard means any of the following:
(1) Division 1.1 and 1.2 explosives, as defined in 49 CFR 173.50, for which a permit is required under 33 CFR 126.17.
(2) Ammonium nitrate products, division 5.1 (oxidizing) materials listed in 49 CFR 176.410, for which a permit is required under 49 CFR 176.415.
(3) Division 4.3 dangerous when wet products as defined in 49 CFR 173.124, in excess of 60 mt.
(4) Division 2.3 and 6.1 poison inhalation hazard products as defined in 49 CFR 173.115 and 173.132, respectively.
(5) Class 7 highway route controlled quantity radioactive material or fissile material, controlled shipment, as defined in 49 CFR 173.403.
Commandant means the Commandant of the United States Coast Guard.
Container means a reusable container that has a volume of 1.81 cubic meters (64 cubic feet) or more, is designed and constructed to permit being lifted with its contents intact, and is intended primarily for containment of packages (in unit form) during transportation.
Dangerous cargo means all hazardous materials listed in 49 CFR parts 170 through 179, except those materials preceded by an “A” in the Hazardous Materials Table in 49 CFR 172.101, and all cargo listed in 46 CFR part 148.
Designated dangerous cargo means Division 1.1 and 1.2 explosives as defined in 49 CFR 173.50.
Designated waterfront facility means a waterfront facility designated under § 126.13 for the handling, storing, loading, and discharging of any hazardous material(s) subject to the Dangerous Cargoes Regulations (49 CFR parts 170 through 179), except for those materials preceded by an “A” in the Hazardous Materials Table in 49 CFR 172.101 and for those materials carried as bulk liquids.
Facility of particular hazard means a designated waterfront facility that is authorized to handle a cargo of particular hazard.
Facility operator means the person or company who owns, operates, or is responsible for the operation of a waterfront facility.
Net tons means net weight in tons.
Net weight, in reference to material in a package, tank, or container, means the weight of the contents of a package, tank, or container and does not include the weight of any packaging material or containing devices.
Transport unit means a transport vehicle or a container.
Waterfront facility means all piers, wharves, and similar structures to which a vessel may be secured; areas of land, water, or land and water under and in the immediate proximity to these structures; buildings on or contiguous to these structures; and the equipment and materials on or in these structures or buildings. The term does not include facilities directly operated by the Department of Defense.
§ 126.5 Incorporation by reference: Where can I get a copy of the publications mentioned in this part?
(a) Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in paragraph (b) of this section, we must publish a notice of change in the
(b) The materials approved for incorporation by reference in this part, and the sections affected, are as follows:
| ASTM F1121-87 (Reapproved 2010), Standard Specification for International Shore Connections for Marine Fire Applications, (approved March 1, 2010) | 126.15 |
| NFPA 10, Standard for Portable Fire Extinguishers, 1998 Edition | 126.15 |
| NFPA 13, Standard for the Installation of Sprinkler Systems, 1996 Edition | 126.15 |
| NFPA 14, Standard for the Installation of Standpipe and Hose Systems, 1996 Edition | 126.15 |
| NFPA 30, Flammable and Combustible Liquids Code, 1996 | 126.15 |
| NFPA 51B, Standard for Fire Prevention in Use of Cutting and Welding Processes, 1994 Edition | 126.30 |
| NFPA 70, National Electrical Code, 1996 | 126.15 |
| NFPA 307, Standard for the Construction and Fire Protection of Marine Terminals, Piers, and Wharves, 1995 Edition | 126.15 |
Whenever the Commandant, the District Commander, or the Captain of the Port finds that the application of any provisions contained in §§ 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.
§ 126.12 How do I request the use of an alternative method of complying with a requirement in this part?
(a) An owner or operator of a waterfront facility may request that the COTP allow the use of an alternative method of complying with a requirement in this part.
(b) The request must establish, to the COTP’s satisfaction—
(1) That compliance with the requirement is economically or physically impractical; and
(2) That the alternative requested provides an equivalent or greater level of safety.
(c) The COTP examines the request and provides an answer, in writing, within 30 days of receipt of the request.
§ 126.13 Designation of waterfront facilities.
(a) Waterfront facilities which fulfill the conditions required in § 126.15, unless waived under provisions of § 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 46 U.S.C. 70036.
§ 126.15 What conditions must a designated waterfront facility meet?
(a) All designated waterfront facilities must meet the following:
(1) Fire extinguishing equipment. Fire extinguishing equipment, such as automatic sprinklers, hydrants, hose connections, and firefighting water supplies must be available and maintained in adequate quantities and locations. Fire extinguishing equipment must meet State and local laws. In the absence of applicable State and local laws, fire extinguishing equipment must meet NFPA 10, 13, 14, and 307. (Incorporated by reference, see § 126.5.)
(2) Fire appliances. The location of all fire appliances, such as hydrants, standpipes, hose stations, fire extinguishers, and fire alarm boxes must be conspicuously marked and readily accessible according to NFPA 10, 13, 14, and 307.
(3) Warning signs. Warning signs must be constructed and installed according to NFPA 307, chapter 7-8.7.
(4) Lighting. If the facility transfers dangerous cargo between sunset and sunrise, it must have outdoor lighting that adequately illuminates the transfer work area. The lighting must be installed and maintained according to NFPA 70 (Incorporated by reference, see § 126.5.) and must be located or shielded so that it cannot be mistaken for an aid to navigation and does not interfere with navigation on waterways.
(5) International shore connection. If the facility conducts cargo operations involving foreign-flag vessels, the facility must have an international shore connection meeting ASTM F-1121. (Incorporated by reference, see § 126.5.)
(6) Access to the facility. Whenever dangerous cargo is transferred or stored on the facility, access to the facility must be limited to—
(i) Personnel working on the facility or vessel;
(ii) Delivery and service personnel authorized to conduct their business;
(iii) Coast Guard and other Federal, State, and local officials;
(iv) Local emergency personnel, such as police officers and firemen; and
(v) Other persons authorized by the owner or operator of the facility.
(7) Security measures. Guards must be stationed, or equivalent controls acceptable to the COTP must be used, to deter and detect unlawful entrance; to detect and report fire hazards, fires, and releases of dangerous cargoes and hazardous materials; to check the readiness of protective equipment; and to report other emergency situations at the facility.
(8) Coast Guard personnel. At any time, Coast Guard personnel must be allowed to enter the facility to conduct inspections or board vessels moored at the facility.
(9) Material handling equipment, trucks, and other motor vehicles. When dangerous cargo is being transferred or stored on the facility, material handling equipment, trucks, and other motor vehicles operated by internal combustion engines must meet the requirements of NFPA 307, chapter 9.
(10) Smoking. Smoking is allowed on the facility where permitted under State or local law. Signs must be posted marking authorized smoking areas. “No Smoking” signs must be conspicuously posted elsewhere on the facility.
(11) Rubbish and waste material. All rubbish, debris, and waste materials must be placed in adequate receptacles.
(12) Adequacy of equipment, materials, and standards. The COTP may determine that any equipment, material, or standard is not reasonably adequate under the circumstances. If so, the COTP informs the owner or operator in writing and provides an opportunity for the owner or operator to have the deficiency corrected.
(b) All designated waterfront facilities that handle dangerous cargo, not in transport units, must also meet the following:
(1) Arrangement of cargo, freight, merchandise, or material. Cargo, freight, merchandise, and other items or material on the facility must be arranged to provide access for firefighting and clearance for fire prevention according to NFPA 307, chapter 8-5.
(2) Portable fire extinguishers. Each facility must have and maintain, in adequate quantities and locations, portable fire extinguishers that meet the requirements of NFPA 10. These extinguishers must be inspected and maintained in accordance with NFPA 10.
(3) Electrical systems. All new electrical equipment and wiring installed on the facility must be of the same type and installed as specified under NFPA 70. All defective or dangerous electrical equipment and wiring must be promptly repaired, replaced, or permanently disconnected.
(4) Heating equipment and other sources of ignition. Open fires and open-flame lamps are prohibited on the facility. Heating equipment must meet NFPA 307, chapter 9-4.
(5) Maintenance stores and supplies. Hazardous material(s) used in the operation or maintenance of the facility may be stored only in amounts necessary for normal operating conditions. These materials must be stored in compartments that are remote from combustible material; constructed to provide safe storage; and kept clean and free of scrap materials, empty containers, soiled wiping rags, waste, and other debris. Flammable liquids must be stored according to NFPA 30, chapter 4. (Incorporated by reference, see § 126.5.)
(c) All designated waterfront facilities that handle dangerous cargo in transport units must also meet the following:
(1) Terminal yards. Terminal yards must conform to the standards in NFPA 307, chapter 5.
(2) Containers. Containers packed with dangerous cargo that are vertically stacked must be stacked no more than four high.
§ 126.16 Conditions for designating a “facility of particular hazard.”
(a) Basic requirements. The facility shall comply with all the conditions in § 126.15 except where specifically waived by § 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.
§ 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.
§ 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.
§ 126.21 Permitted transactions.
All permits issued pursuant to § 126.19 are hereby conditioned upon the observance and fulfillment of the following:
(a) The conditions set forth in § 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 § 126.15(b)(5).
§ 126.23 Termination or suspension of permits.
Any permit issued pursuant to § 126.19 shall terminate automatically at the conclusion of the transaction for which the permit has been issued and may be terminated, or suspended, prior thereto by the Captain of the Port whenever he deems that the security or safety of the port or vessels or waterfront facilities therein so requires. Confirmation of such termination or suspension by the Captain of the Port shall be given to the permittee in writing.
§ 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 § 126.17, being in force, will subject persons responsible therefore to the civil or criminal penalties provided in 46 U.S.C. 70036.
§ 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 § 126.15 shall at all times be strictly observed.
(b) You must notify the COTP before you handle, store, stow, load, discharge, or transport, in the net weight amounts specified, the following dangerous cargo, except when contained within transport units or railroad or highway vehicles being transported across or on the waterfront facility solely for transfer to or from a railroad-car ferry, highway-vehicle ferry, or carfloat:
(1) Class 1, Division 1.3 and Division 1.5 (Explosive) materials, with a net explosive quantity in excess of 36,400 kg (40 net tons) at any one time.
(2) Class 2, Division 2.1 (Flammable Gas) materials in bulk packaging; or Division 2.3 (Poison Gas) materials in excess of 72,800 kg (80 net tons) at any one time.
(3) A Class 7 (Radioactive) material in a highway route controlled quantity, as defined in 49 CFR 173.403.
(4) Flammable solids or oxidizers, in excess of 100 net tons at any one time.
(5) Flammable gases, in excess of 10 net tons at any one time.
(6) Poisons (Class A).
(7) A bulk shipment of a cargo of particular hazard.
(c) No Class 1 (explosive) materials (as defined in 49 CFR 173.50) or other dangerous cargoes prohibited from, or not permitted for, transportation by 46 CFR part 148 or 49 CFR parts 171 through 179 may be present on the waterfront facility.
(d) Break-bulk dangerous cargo must be segregated according to 49 CFR 176.83(a) through (c). No separation is required for break-bulk dangerous cargo in limited-quantity packaging.
(e) Transport units and portable tanks containing dangerous cargo must be segregated according to 49 CFR 176.83(a), (b), and (f). The requirements for vertical segregation and for on-deck, horizontal segregation in 49 CFR 176.83(f) apply. No separation is required for transport units containing dangerous cargo only in limited quantity packaging.
(f) Break-bulk dangerous cargo must be segregated from transport units containing dangerous cargo according to 49 CFR 176.83(e).
(g) Solid dangerous bulk cargo must be separated to prevent the interaction of incompatible materials in the event of an accident. Cargo not required to be segregated, when in break-bulk form, is not required to be segregated, when in bulk form. Dangerous cargo in break-bulk form must be segregated from solid dangerous cargo in bulk according to 49 CFR 176.83.
(h) Materials that are dangerous when wet (Division 4.3), water-soluble oxidizers (Division 5.1), and corrosive solids (Class 8) must be stored in a manner that prevents them from coming into contact with water.
(i) Corrosive liquids (Class 8) and liquid oxidizers (Division 5.1) must be handled and stored so that, in the event of a leak from their packaging, they would not come in contact with organic materials.
(j) Dangerous cargo stored on the facility must be arranged in a manner that retards the spread of fire, such as by interspersing dangerous cargo with inert or fire retardant material.
(k) Dangerous cargo stored on the facility, but not intended for use on the facility, must be packaged, marked, and labeled according to 49 CFR parts 171 through 180, as if the cargo was in transportation.
(l) Class 7 (Radioactive) material must be stored as specified in 49 CFR 173.447.
§ 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.
See 49 CFR 176.415 for permit requirements for nitro carbo nitrate and certain ammonium nitrates.
§ 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.
§ 126.30 What are the conditions for conducting welding and hotwork?
(a) The facility operator must ensure that all welding or hotwork conducted at the facility meets the requirements of this section. Each operator of a vessel moored to the facility must ensure that all welding or hotwork conducted on the vessel meets the requirements of this section.
(b) The COTP may require an operator of a facility or of a vessel moored at the facility to notify the COTP before conducting welding or hotwork. Regardless of whether or not the COTP required notice, the facility operator must notify the COTP before conducting welding or hotwork on a vessel when containerized dangerous cargo is located within the distances listed in paragraph (f) of this section.
(c) Before conducting welding or hotwork, flammable vapors, liquids, or solids must be completely removed from any container, pipe, or transfer line being worked on.
(d) Before conducting welding or hotwork on tanks, tanks used for storage of flammable or combustible substances must be tested and certified gas free.
(e) All welding and hotwork must be conducted according to NFPA 51B. (Incorporated by reference, see § 126.5.)
(f) Welding or hotwork is prohibited during gas freeing operations within 30.5 meters (100 feet) of bulk cargo operations involving flammable or combustible materials, within 30.5 meters (100 feet) of fueling operations, within 30.5 meters (100 feet) of explosives, or within 15.25 meters (50 feet) of other hazardous materials.
(g) If the welding or hotwork is on the boundary of a compartment (i.e., bulkhead, wall, or deck), a fire watch, in addition to that called for in NFPA 51B, must be stationed in the adjoining compartment.
(h) Personnel on fire watch must have no other duties except to watch for the presence of fire and to prevent the development of hazardous conditions.
(i) All safety precautions in relation to purging, inerting, or venting for all hotwork on containers must be followed.
(j) All local laws and ordinances must be followed.
(k) If a fire or other hazard occurs, all cutting, welding, or other hotwork equipment must be shut down.
§ 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 § 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.
§ 126.33 Penalties for handling dangerous cargo without permit.
Handling, storing, stowing, loading, discharging, or transporting any dangerous cargo covered by § 126.27 under circumstances not covered by the general permit granted in § 126.27 or when such general permit is not in force will subject persons responsible therefor to the civil or criminal penalties provided in 46 U.S.C. 70036.
§ 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.
§ 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.
PART 127—WATERFRONT FACILITIES HANDLING LIQUEFIED NATURAL GAS AND LIQUEFIED HAZARDOUS GAS
Subpart A—General
§ 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 waterfront facility handling LNG.
(b) Subpart A of this part and §§ 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(b), (c), and (d), and 127.019(b) of subpart A of this part apply to the marine transfer area for LNG of each inactive 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 (b), (c), and (d); 127.019(b); and 127.1325(c) of subparts A and C of this part apply to the marine transfer area for LHG of each inactive facility.
(f) Waterfront facilities handling LNG and LHG constructed, expanded, or modified under a contract awarded after March 4, 2022, are required to comply with the applicable standards referenced in § 127.003. All other facilities, unless expanded or modified in accordance with this part, are required to meet previously applicable standards but may request to apply a later edition of the standards in accordance with § 127.017.
§ 127.003 Incorporation by reference.
Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the Coast Guard must publish a document in the
(a) American Petroleum Institute (API), 200 Massachusetts Avenue NW, Suite 1100, Washington, DC 20001-5571, 202-682-8000, http://www.api.org.
(1) API Recommended Practice 2003 (“API RP 2003”), Protection Against Ignitions Arising Out of Static, Lightning and Stray Currents, Eighth Edition, September 2015, for § 127.1101(h).
(2) [Reserved]
(b) The American Society of Mechanical Engineers (ASME), Two Park Avenue, New York, NY 10016-5990, 800-843-2763, https://www.asme.org.
(1) ASME B16.5-2020, Pipe Flanges and Flanged Fittings, NPS
(2) ASME B31.3-2020, Process Piping, ASME Code for Pressure Piping, B31, Issued June 18, 2021, for § 127.1101(a).
(c) ASTM International, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA, 19428-2959, 610-832-9500, https://www.astm.org.
(1) ASTM E119-20, Standard Test Methods for Fire Tests of Building Construction and Materials, approved May 1, 2020, for § 127.005.
(2) ASTM F1121-87 (Reapproved 2019), Standard Specification for International Shore Connections for Marine Fire Applications, approved December 1, 2019, for §§ 127.611 and 127.1511.
(d) Det Norske Veritas (DNV), Veritasveien 1, 1363 Høvik Norway, +47 6757 9900, https://www.dnv.com.
(1) DNVGL-RP-G105, Recommended Practice, Development and operation of liquefied natural gas bunkering facilities, October 2015 Edition, for § 127.008(d).
(2) [Reserved]
(e) International Electrotechnical Commission (IEC), IEC Central Office, 3 rue de Varembé, P.O. Box 131, CH 1211, Geneva 20, Switzerland, +41 22 919 02 11, https://www.iec.ch.
(1) IEC 60079-29-1, Explosive atmospheres—Part 29-1: Gas detectors—Performance requirements of detectors for flammable gases, Edition 2.0, July 2016, for § 127.1203(a).
(2) [Reserved]
(f) International Organization for Standardization (ISO), Chemin de Blandonnet 8, CP 401, 1214 Vernier, Geneva, Switzerland, +41 22 749 01 11, https://www.iso.org.
(1) ISO/TS 18683:2015(E), (“ISO/TS 18683”), Guidelines for systems and installations for supply of LNG as fuel to ships, First Edition, January 15, 2015, for § 127.008(d)(1).
(2) ISO 28460:2010(E), (“ISO 28460”), Petroleum and natural gas industries—Installation and equipment for liquefied natural gas—Ship-to-shore interface and port operations, First edition, December 15, 2010, for § 127.008(d)(2).
(g) National Fire Protection Association (NFPA), 1 Batterymarch Park, Quincy, MA 02169-7471, 800-344-3555, https://www.nfpa.org.
(1) NFPA 10, Standard for Portable Fire Extinguishers, 2018 Edition, effective August 21, 2017, for §§ 127.603(a) and 127.1503.
(2) NFPA 30, Flammable and Combustible Liquids Code, 2018 Edition, effective September 6, 2017, for §§ 127.313(b) and 127.1313(b).
(3) NFPA 51B, Standard for Fire Prevention During Welding, Cutting, and Other Hot Work, 2019 Edition, effective July 15, 2018, for §§ 127.405(b) and 127.1405(b).
(4) NFPA 59A, Standard for the Production, Storage, and Handling of Liquefied Natural Gas (LNG), 2019 Edition, effective November 25, 2018, for §§ 127.008(d), 127. 101, 127.201(b) and (c), 127.405(a) and (b), and 127.603(a).
(5) NFPA 70, National Electrical Code, 2020 Edition, effective August 25, 2019, for §§ 127.107(a) and (c), 127.201(c), and 127.1107.
§ 127.005 Definitions.
As used in this part:
Active means accomplishing the transfer of LHG or LNG, or scheduling one to occur, within 12 months of the current date.
Captain of the Port (COTP) means the Coast Guard officer designated by the Commandant to command a Captain of the Port Zone as described in part 3 of this chapter, or an authorized representative.
Commandant means the Commandant of the U.S. Coast Guard or an authorized representative.
Control room means a space within the LNG waterfront facility from which facility operations are controlled.
District Commander means the Coast Guard officer designated by the Commandant to command a Coast Guard District as described in part 3 of this chapter, or an authorized representative.
Environmentally sensitive areas include public parks and recreation areas, wildlife and waterfowl refuges, fishing grounds, wetlands, other areas deemed to be of high value to fish and wildlife resources, historic sites, and other protected areas.
Existing as applied to a waterfront facility means a facility handling LNG constructed or being constructed under a contract awarded before June 2, 1988, or a facility handling LHG constructed or being constructed under a contract awarded before January 30, 1996.
Facility means either a waterfront facility handling LHG or a waterfront facility handling LNG, and includes LNG fuel facilities.
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 ASTM E119-20 (incorporated by reference, see § 127.003).
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 fuel facility means a waterfront facility that handles LNG for the sole purpose of providing LNG from shore-based structures to vessels for use as a marine fuel, and that does not transfer LNG to or receive LNG from vessels capable of carrying LNG in bulk as cargo.
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 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 |
§ 127.007 Letter of intent and waterway suitability assessment for waterfront facilities handling LNG or LHG.
(a) An owner or operator intending to build a new facility handling LNG or LHG, or an owner or operator planning new construction to expand marine terminal operations in any facility handling LNG or LHG, where the construction or expansion will result in an increase in the size or frequency of LNG or LHG marine traffic on the waterway associated with a facility, must submit a Letter of Intent (LOI) to the Captain of the Port (COTP) of the zone in which the facility is or will be located. The LOI must meet the requirements in paragraph (c) of this section.
(1) The owner or operator of an LNG facility must submit the LOI to the COTP no later than the date that the owner or operator files a pre-filing request with the Federal Energy Regulatory Commission (FERC) under 18 CFR parts 153 and 157, but, in all cases, at least 1 year prior to the start of construction. The LOI must include the nation of registry for, and the nationality or citizenship of the officers and crew serving on board, vessels transporting LNG that are reasonably anticipated to be servicing the LNG facility.
(2) The owner or operator of an LHG facility must submit the LOI to the COTP no later than the date that the owner or operator files with the Federal or State agency having jurisdiction, but, in all cases, at least 1 year prior to the start of construction.
(b) An owner or operator intending to reactivate an inactive facility must submit an LOI that meets paragraph (c) of this section to the COTP of the zone in which the facility is located.
(1) The owner or operator of an LNG facility must submit the LOI to the COTP no later than the date the owner or operator files a pre-filing request with FERC under 18 CFR parts 153 and 157, but, in all cases, at least 1 year prior to the start of LNG transfer operations.
(2) The owner or operator of an LHG facility must submit the LOI to the COTP no later than the date the owner or operator files with the Federal or State agency having jurisdiction, but, in all cases, at least 1 year prior to the start of LHG transfer operations.
(c) Each LOI must contain—
(1) The name, address, and telephone number of the owner and operator;
(2) The name, address, and telephone number of the Federal, State, or local agency having jurisdiction for siting, construction, and operation;
(3) The name, address, and telephone number of the facility;
(4) The physical location of the facility;
(5) A description of the facility;
(6) The LNG or LHG vessels’ characteristics and the frequency of LNG or LHG shipments to or from the facility; and
(7) Charts showing waterway channels and identifying commercial, industrial, environmentally sensitive, and residential areas in and adjacent to the waterway used by the LNG or LHG vessels en route to the facility, within at least 25 kilometers (15.5 miles) of the facility.
(d) The owner or operator who submits an LOI under paragraphs (a) or (b) of this section must notify the COTP in writing within 15 days of any of the following:
(1) There is any change in the information submitted under paragraphs (c)(1) through (c)(7) of this section; or
(2) No LNG or LHG transfer operations are scheduled within the next 12 months.
(e) An owner or operator intending to build a new LNG or LHG facility, or an owner or operator planning new construction to expand marine terminal operations in any facility handling LNG or LHG, where the construction or expansion will result in an increase in the size or frequency of LNG or LHG marine traffic on the waterway associated with a facility, must file or update as appropriate a waterway suitability assessment (WSA) with the COTP of the zone in which the facility is or will be located. The WSA must consist of a Preliminary WSA and a Follow-on WSA. A COTP may request additional information during review of the Preliminary WSA or Follow-on WSA.
(f) The Preliminary WSA must—
(1) Be submitted to the COTP with the LOI; and
(2) Provide an initial explanation of the following—
(i) Port characterization;
(ii) Characterization of the LNG or LHG facility and LNG or LHG tanker route;
(iii) Risk assessment for maritime safety and security;
(iv) Risk management strategies; and
(v) Resource needs for maritime safety, security, and response.
(g) The Follow-on WSA must—
(1) Be submitted to the COTP as follows:
(i) The owner or operator of an LNG facility must submit the Follow-on WSA to the COTP no later than the date the owner or operator files its application with FERC pursuant to 18 CFR parts 153 or 157, or if no application to FERC is required, at least 180 days before the owner or operator begins transferring LNG.
(ii) The owner or operator of an LHG facility must submit the Follow-on WSA to the COTP in all cases at least 180 days before the owner or operator begins transferring LHG.
(2) Contain a detailed analysis of the elements listed in §§ 127.007(f)(2), 127.009(d), and 127.009(e) of this part.
(h) Until the facility begins operation, owners or operators must:
(1) Annually review their WSAs and submit a report to the COTP as to whether changes are required. The deadline for the required annual report should coincide with the date of the COTP’s Letter of Recommendation, which indicates review and validation of the Follow-on WSA has been completed.
(2) In the event that revisions to the WSA are needed, report to the COTP the details of the necessary revisions, along with a timeline for completion.
(3) Update the WSA if there are any changes in conditions, such as changes to the port environment, the LNG or LHG facility, or the tanker route, that would affect the suitability of the waterway for LNG or LHG traffic.
(4) Submit a final report to the COTP at least 30 days, but not more than 60 days, prior to the start of operations.
(i) An owner or operator intending to construct a new LNG fuel facility or modify any LNG fuel facility, or reactivate an inactive LNG fuel facility, may comply with § 127.008 in lieu of meeting the requirements in this section.
§ 127.008 Letter of intent and operational risk assessment for LNG fuel facilities.
(a) An owner or operator intending to build a new LNG fuel facility, modify construction of any LNG fuel facility, or reactivate an inactive LNG fuel facility electing to complete an operational risk assessment (ORA) in lieu of a WSA as outlined in § 127.007, must submit an LOI and ORA to the COTP of the zone in which the LNG fuel facility is or will be located at least 1 year prior to the start of LNG transfer operations.
(b) Each LOI must contain the information in § 127.007(c)(1) through (c)(5).
(c) The owner or operator who submits an LOI under paragraph (a) of this section must notify the COTP in writing within 15 days of any of the following:
(1) There is any change in the information submitted under paragraph (b) of this section; or
(2) No LNG fuel transfer operations are scheduled within the next 12 months.
(d) The ORA required by paragraph (a) must:
(1) Be carried out in accordance with Chapter 7 of ISO/TS 18683 and Appendix D of DNVGL-RP-G105; or Chapter 19 of NFPA 59A (all incorporated by reference, see § 127.003); or other industry developed risk assessment method acceptable to the Office of Operating and Environmental Standards, Commandant (CG-OES); and
(2) Consider possible factors affecting the ship/shore interface and port operations described in Section 6 of ISO 28460 (incorporated by reference, see § 127.003).
§ 127.009 Letter of recommendation.
(a) After the COTP receives the information and analyses required by § 127.007 or § 127.008, the COTP issues a Letter of Recommendation (LOR) as to the suitability of the waterway for LNG or LHG marine traffic or the operational safety and security of the LNG fuel facility to the Federal, State, or local government agencies having jurisdiction for siting, construction, and operation, and, at the same time, sends a copy to the owner or operator, based on the—
(1) Information submitted under § 127.007 or § 127.008;
(2) Density and character of marine traffic in the waterway;
(3) Locks, bridges, or other man-made obstructions in the waterway;
(4) Following factors adjacent to the facility such as—
(i) Depths of the water;
(ii) Tidal range;
(iii) Protection from high seas;
(iv) Natural hazards, including reefs, rocks, and sandbars;
(v) Underwater pipelines and cables;
(vi) Distance of berthed vessel from the channel and the width of the channel; and
(5) Any other issues affecting the safety and security of the waterway and considered relevant by the Captain of the Port.
(b) An LOR issued under this section is a recommendation from the COTP to the agency having jurisdiction as described in paragraph (a), and does not constitute agency action for the purposes of § 127.015 or the Administrative Procedure Act (5 U.S.C. 551 et seq.).
(c) The owner or operator, or a State, local, or Indian tribal government in the vicinity of the facility, may request reconsideration as set forth in § 127.010.
(d) Persons other than the owner or operator, or State, local, or Indian tribal government in the vicinity of the facility, may comment on the LOR by submitting comments and relevant information to the agency having jurisdiction, as described in paragraph (a), for that agency’s consideration in its permitting process.
(e) Paragraphs (c) and (d) of this section apply to LORs issued after December 28, 2012. For LORs issued prior to that date, persons requesting reconsideration must follow the process set forth in § 127.015.
§ 127.010 Reconsideration of the Letter of Recommendation.
(a) A person requesting reconsideration pursuant to § 127.009(c) must submit a written request to the Captain of the Port (COTP) who issued the Letter of Recommendation (LOR), and send a copy of the request to the agency to which the LOR was issued. The request must explain why the COTP should reconsider his or her recommendation.
(b) In response to a request described in paragraph (a) of this section, the COTP will do one of the following—
(1) Send a written confirmation of the LOR to the agency to which the LOR was issued, with copies to the person making the request and the owner or operator; or
(2) Revise the LOR, and send the revised LOR to the agency to which the original LOR was issued, with copies to the person making the request and the owner or operator.
(c) A person whose request for reconsideration results in a confirmation as described in paragraph (b)(1) of this section, and who is not satisfied with that outcome, may request, in writing, the opinion of the District Commander of the district in which the LOR was issued.
(1) The request must explain why the person believes the District Commander should instruct the COTP to reconsider his or her recommendation.
(2) A person making a request under paragraph (c) of this section must send a copy of the request to the agency to which the LOR was issued.
(3) In response to the request described in this paragraph (c), the District Commander will do one of the following—
(i) Send a written confirmation of the LOR to the agency to which the LOR was issued, with copies to the person making the request, the owner or operator, and the COTP; or
(ii) Instruct the COTP to reconsider the LOR, and send written notification of that instruction to the agency to which the original LOR was issued, with copies to the person making the request and the owner or operator.
(d) The District Commander’s written confirmation described in paragraph (c)(3)(i) of this section ends the reconsideration process with respect to that specific request for reconsideration. If the COTP issues an LOR pursuant to paragraph (b)(2) or (c)(3)(ii) of this section, persons described in § 127.009(c) may request reconsideration of that revised LOR using the process beginning in paragraph (a) of this section.
§ 127.011 Inspections of waterfront facilities.
The operator must ensure that the COTP or his representative is allowed to make reasonable examinations and inspections to determine whether the facility meets this part.
§ 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.
§ 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 Prevention Policy, U.S. Coast Guard, (CG-5P), 2703 Martin Luther King Jr. Ave. SE, Stop 7509, Washington, DC 20593-7509; and
(2) Supply supporting documentation and evidence that the appellant wishes to have considered.
(d) The Assistant Commandant for Prevention Policy issues a ruling after reviewing the appeal submitted under paragraph (c) of this section, which is final agency action.
(e) If the delay in presenting a written appeal has an adverse impact on the operations of the appellant, the appeal under paragraph (b) or (c) of this section—
(1) May be presented orally; and
(2) Must be submitted in writing within five days after the oral presentation—
(i) With the basis for the appeal and a summary of the material presented orally; and
(ii) To the same Coast Guard official who heard the oral presentation.
§ 127.017 Alternatives.
(a) The COTP may allow alternative procedures, methods, or equipment standards, including alternatives to standards listed in § 127.003, 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.
§ 127.019 Operations Manual and Emergency Manual: Procedures for examination.
(a) The owner or operator of an active facility must submit an Operations Manual and Emergency Manual in printed or electronic format to the COTP 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 facility must submit an Operations Manual and Emergency Manual in printed or electronic format 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) Operations Manuals and Emergency Manuals submitted after September 10, 2021 must include a date, revision date or other revision-specific identifying information.
(d) If the COTP finds that the Operations Manual meets § 127.305 or § 127.1305 and that the Emergency Manual meets § 127.307 or § 127.1307, the COTP will provide notice to the facility stating each manual has been examined by the Coast Guard. This notice will include the revision date of the manual or other revision-specific identifying information.
(e) If the COTP finds that the Operations Manual or the Emergency Manual does not meet this part, the COTP will notify the facility with an explanation of why it does not meet this part.
Subpart B—Waterfront Facilities Handling Liquefied Natural Gas
§ 127.101 Design and construction: General.
The marine transfer area for LNG must meet the following criteria in NFPA 59A (incorporated by reference, see § 127.003):
(a) Chapter 5, Section 5.3.1.7;
(b) Chapter 6, Section 6.7;
(c) Chapter 10;
(d) Chapter 11, except Sections 11.9, and 11.10;
(e) Chapter 12;
(f) Chapter 15, except Sections 15.4 and 15.6; and
(g) Annex B.
§ 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.
§ 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.
§ 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 NFPA 70 (incorporated by reference, see § 127.003).
(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 (incorporated by reference, see § 127.003).
§ 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.
§ 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.
§ 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:
(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.
Equipment
§ 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 16.4 of NFPA 59A (incorporated by reference, see § 127.003).
(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(B)(1) of NFPA 70 (incorporated by reference, see § 127.003) and each area in which flammable or combustible material is stored; and
(2) Meet Section 16.4 of NFPA 59A (incorporated by reference, see § 127.003).
§ 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.
§ 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 § 127.201(b) measure LNG concentrations exceeding 40% of the lower flammable limit.
§ 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
(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.
Operations
§ 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 must certify in writing that the criteria in paragraph (a) of this section are met. The operator must maintain a copy of each current certification available for inspection at the waterfront facility handling LNG.
§ 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.
§ 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;
(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 § 127.503.
§ 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.
§ 127.309 Operations Manual and Emergency Manual: Use.
The operator must ensure that—
(a) LNG transfer operations are not conducted unless the person in charge of transfer for the waterfront facility handling LNG has in the marine transfer area a readily available printed or electronic copy of the most recently examined Operations Manual and Emergency Manual. Electronic devices used to display the manuals must comply with applicable electrical safety standards in this part;
(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.
§ 127.311 Motor vehicles.
(a) The operator must 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.
§ 127.313 Bulk storage.
(a) The operator must 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 NFPA 30 (incorporated by reference, see § 127.003).
§ 127.315 Preliminary transfer inspection.
Before transferring LNG, the person in charge of shoreside transfer operations must—
(a) Inspect the transfer piping and equipment to be used during the transfer and replace any worn or inoperable parts;
(b) For each of the vessel’s cargo tanks from which cargo will be transferred, note the pressure, temperature, and volume to ensure they are safe for transfer;
(c) Review and agree with the person in charge of cargo transfer on the vessel to—
(1) The sequence of transfer operations;
(2) The transfer rate;
(3) The duties, location, and watches of each person assigned for transfer operations; and
(4) Emergency procedures from the examined Emergency Manual;
(d) Ensure that transfer connections allow the vessel to move to the limits of its moorings without placing strain on the loading arm or transfer piping system;
(e) Ensure that each part of the transfer system is aligned to allow the flow of LNG to the desired location;
(f) Ensure that warning signs that warn that LNG is being transferred, are displayed;
(g) Eliminate all ignition sources in the marine transfer area for LNG;
(h) Ensure that personnel are on duty in accordance with the examined Operations Manual; and
(i) Test the following to determine that they are operable:
(1) The sensing and alarm systems.
(2) The emergency shutdown system.
(3) The communication systems.
§ 127.317 Declaration of inspection.
(a) After the preliminary transfer inspection under § 127.315 has been satisfactorily completed, the person in charge of shoreside transfer operations must 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 must give one signed copy of the Declaration of Inspection to the person in charge of transfer operations on the vessel, and must 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 § 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.
§ 127.319 LNG transfer.
During LNG transfer operations, the following must be met:
(a) The operator of the waterfront facility handling LNG must 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 must—
(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.
Vessel transfer requirements are published in 46 CFR Part 154.
§ 127.321 Release of LNG.
(a) The operator of the waterfront facility handling LNG must 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 must—
(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.
Maintenance
§ 127.401 Maintenance: General.
The operator of the waterfront facility handling LNG must 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.
§ 127.403 Inspections.
The operator must 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 § 127.405.
§ 127.405 Repairs.
The operator must 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 (incorporated by reference, see § 127.003); and
(2) Safety is not compromised; and
(b) Welding is done in accordance with NFPA 51B and Section 10.4.3 of NFPA 59A (both incorporated by reference, see § 127.003).
§ 127.407 Testing.
(a) The operator must 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.
§ 127.409 Records.
(a) The operator must keep on file the following information:
(1) A description of the components tested under § 127.407.
(2) The date and results of the test under § 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
§ 127.501 Applicability.
The training required by this subpart must be completed before LNG is transferred.
§ 127.503 Training: General.
The operator shall ensure that each of the following is met:
(a) All full-time employees have training in the following subjects:
(1) Basic LNG firefighting procedures.
(2) LNG properties and hazards.
(b) In addition to the training under paragraph (a) of this section, each person assigned for transfer operations has training in the following subjects:
(1) The examined Operations Manual and examined Emergency Manual.
(2) Advanced LNG firefighting procedures.
(3) Security violations.
(4) LNG vessel design and cargo transfer operations.
(5) LNG release response procedures.
(6) First aid procedures for—
(i) Frostbite;
(ii) Burns;
(iii) Cardio-pulminary resuscitation; and
(iv) Transporting injured personnel.
(c) The personnel who received training under paragraphs (a) and (b) of this section receive refresher training in the same subjects at least once every five years.
Firefighting
§ 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.
§ 127.603 Portable fire extinguishers.
Each marine transfer area for LNG must have—
(a) Portable fire extinguishers that meet Section 16.6.1 of NFPA 59A and Chapter 6 of NFPA 10 (both incorporated by reference, see § 127.003); and
(b) At least one portable fire extinguisher in each designated parking area.
§ 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.
§ 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—
(1) Be 1
(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.
§ 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.
§ 127.611 International shore connection.
The marine transfer area for LNG must have an international shore connection that is in accordance with ASTM F1121-87 (Reapproved 2019) (incorporated by reference, see § 127.003), a 2
§ 127.613 Smoking.
In the marine transfer area for LNG, the operator must ensure that no person smokes when there is LNG present.
§ 127.615 Fires.
In the marine transfer area for LNG, the operator must ensure that there are no fires when there is LNG present.
§ 127.617 Hotwork.
The operator must ensure that no person conducts welding, torch cutting, or other hotwork unless that person has a permit from the COTP.
Subpart C—Waterfront Facilities Handling Liquefied Hazardous Gas
Design and Construction
§ 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 B31.3-2020 (incorporated by reference, see § 127.003).
(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 (incorporated by reference, see § 127.003).
§ 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—
(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 ASME B16.5-2020 (incorporated by reference, see § 127.003); 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.
§ 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 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 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.
§ 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 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.
§ 127.1107 Electrical systems.
Electrical equipment and wiring must be of the kind specified by, and must be installed in accordance with, NFPA 70 (incorporated by reference, see § 127.003).
§ 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.
§ 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.
§ 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:
(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
§ 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 IEC 60079-29-1 (incorporated by reference, see § 127.003).
(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.
§ 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 arm fails. This valve may be the isolation valve with a bleed connection required by § 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 °C (221 °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.
§ 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 must propose for approval by the local COTP additional or alternative warning devices that provide an equivalent level of safety.
§ 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
§ 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 must certify in writing that that person has met the requirements in paragraph (a) of this section. The operator must ensure that a copy of each current certification is available for inspection at the facility.
§ 127.1302 Training.
(a) Each operator of a waterfront facility handling LHG must 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 § 127.1203.
(3) Use of the equipment for respiratory protection required by § 127.1209.
(4) Basic firefighting procedures, including the use of the portable fire extinguishers required by § 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 must maintain, for each person trained, a record of all training provided under paragraphs (a) and (b) of this section. The operator must 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.
§ 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.
§ 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 § 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.
§ 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 § 127.1205;
(3) The procedures for emergency shutdown;
(4) A description of the number, kind, place, and use of the fire equipment required by § 127.1501(a) and of the portable fire extinguishers required by § 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 § 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.
§ 127.1309 Operations Manual and Emergency Manual: Use.
The operator must ensure that—
(a) LHG transfer operations are not conducted unless the person in charge of transfer for the waterfront facility handling LHG has a printed or electronic copy of the most recently examined Operations Manual and Emergency Manual readily available in the marine transfer area. Electronic devices used to display the manuals must comply with applicable electrical safety standards in this part;
(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.
§ 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 must 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.
§ 127.1313 Storage of hazardous materials.
(a) Each operator of a waterfront facility handling LHG must 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 must ensure that flammable liquids not stored in bulk are stored in accordance with NFPA 30 (incorporated by reference, see § 127.003).
§ 127.1315 Preliminary transfer inspection.
Before each transfer, the person in charge of transfer for the facility must—
(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;
(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 § 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 §§ 127.1301 and 127.1302; and
(i) Test the following to determine that they are operable:
(1) The communication system required by § 127.1111.
(2) The gas detectors required by § 127.1203.
§ 127.1317 Declaration of Inspection.
(a) Each person in charge of transfer for the facility must 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 § 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 § 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 must 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 must retain a signed copy of the Declaration at the facility for 30 days after the transfer.
§ 127.1319 Transfer of LHG.
(a) The operator of a waterfront facility handling LHG must 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 must 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 must—
(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
(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 § 127.1109 is turned on between sunset and sunrise.
(d) Upon completion of transfer of LHG, each operator of a waterfront facility handling LHG must ensure that hoses and loading arms used for transfer are drained of LHG residue and depressurized before disconnecting from the vessel.
Corresponding standards for vessels appear at 46 CFR part 154.
§ 127.1321 Release of LHG.
(a) Each operator of a waterfront facility handling LHG must 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 must—
(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.
§ 127.1325 Access to marine transfer area for LHG.
Each operator of a waterfront facility handling LHG must 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
§ 127.1401 General.
Each operator of a waterfront facility handling LHG must 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.
§ 127.1403 Inspections.
(a) Each operator of a waterfront facility handling LHG must conduct a visual inspection for defects of each pressure relief device not capable of being tested.
(b) The operator must conduct the inspection required by paragraph (a) of this section at least once each calendar year, with intervals between inspections not exceeding 15 months.
§ 127.1405 Repairs.
Each operator of a waterfront facility handling LHG must ensure that—
(a) Equipment is repaired so that—
(1) The equipment continues to meet the applicable requirements in this subpart;
(2) Safety is not compromised; and
(b) Welding and cutting meet NFPA 51B (incorporated by reference, see § 127.003).
§ 127.1407 Tests.
(a) Each operator of a waterfront facility handling LHG must 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 must verify the set pressure of the safety and relief valves—
(1) After the system or the valves are altered;
(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 must 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 must 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 must conduct a test of the emergency shutdown required by § 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 must conduct a test of the warning alarm required by § 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.
§ 127.1409 Records.
(a) Each operator of a waterfront facility handling LHG must keep on file:
(1) A description of the components inspected or tested under § 127.1403 or 127.1407.
(2) The date and results of each inspection or test under § 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 must keep this information on file for at least 24 months after the inspection, test, alteration, or major repair.
Firefighting Equipment
§ 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 facility must be submitted to the COTP for review when the emergency manual is submitted under § 127.1307.
(b) All fire equipment for each facility must be adequately maintained, and periodically inspected and tested, so it will perform as intended.
(c) The following must be red or some other conspicuous color and be in places that are readily accessible:
(1) Hydrants and standpipes.
(2) Hose stations.
(3) Portable fire extinguishers.
(4) Fire monitors.
(d) Fire equipment must bear the approval, if applicable, of Underwriters Laboratories, Inc., Factory Mutual Research Corporation, or other independent laboratory recognized by NFPA.
§ 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 (incorporated by reference, see § 127.003).
§ 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.
(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]
§ 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 § 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
(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.
§ 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 § 127.1501(a).
(b) Fixed systems for extinguishing or controlling fires may be appropriate for protection against particular hazards. The evaluation required by § 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.
§ 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 F1121-87 (Reapproved 2019) (incorporated by reference, see § 127.003).
Fire Protection
§ 127.1601 Smoking.
Each operator of a waterfront facility handling LHG must 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.
§ 127.1603 Hotwork.
Each operator of a waterfront facility handling LHG must 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.
§ 127.1605 Other sources of ignition.
Each operator of a waterfront facility handling LHG must 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
(d) All rubbish, debris, and waste go into appropriate receptacles.
PART 128 [RESERVED]
SUBCHAPTER M—MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION
PART 133—OIL SPILL LIABILITY TRUST FUND; STATE ACCESS
§ 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)).
§ 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 Director National Pollution Funds Center, U.S. Coast Guard Stop 7605, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7605.
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.
§ 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 will 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), 2 CFR part 3000, 6 CFR part 9, and 49 CFR parts 18 and 90, apply to Fund monies obligated for payment under this part.
§ 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.
§ 133.9 Requests: Where made.
Requests for access to the Fund under § 133.5 must be made by telephone or other rapid means to the OSC.
§ 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.
§ 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.
§ 133.15 Determination of eligibility for funding.
Upon receipt of the information under § 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 § 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.
§ 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.
§ 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 § 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.
§ 133.21 Records retention.
(a) The State official shall maintain all records for ten years following completion of the removal actions.
(b) If any litigation, claim, negotiation, audit, cost recovery, or other action involving the records has been started before the expiration of the ten-year period, the records must be retained until completion of the action and resolution of all issues which arise from it, or until the end of the regular ten-year period, whichever is later.
§ 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 § 133.25(c).
§ 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 Director National Pollution Funds Center, U.S. Coast Guard Stop 7605, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7605.
PART 136—OIL SPILL LIABILITY TRUST FUND; CLAIMS PROCEDURES; DESIGNATION OF SOURCE; AND ADVERTISEMENT
Subpart A—General
§ 136.1 Purpose and applicability.
(a) This part prescribes regulations for—
(1) Presentation, filing, processing, settlement, and adjudication of claims authorized to be presented to the Oil Spill Liability Trust Fund (the Fund) under section 1013 of the Oil Pollution Act of 1990 (the Act) (33 U.S.C. 2713) for certain uncompensated removal costs or uncompensated damages resulting from the discharge, or substantial threat of discharge, of oil from a vessel or facility into or upon the navigable waters, adjoining shorelines, or the exclusive economic zone;
(2) Designation of the source of the incident, notification to the responsible party of the designation, and advertisement of the designation and claims procedures; and
(3) Other related matters.
(b) This part applies to claims resulting from incidents occurring after August 18, 1990.
(c) Nothing in this part—
(1) Preempts the authority of any State or political subdivision thereof from imposing any additional liability or requirements with respect to—
(i) The discharge of oil or other pollution by oil within such State; or
(ii) Any removal activities in connection with such a discharge; or
(2) Affects or modifies in any way the obligations or liabilities of any person under the Solid Waste Disposal Act (42 U.S.C. 6901 et seq.) or State law, including common law; or
(3) Affects the authority of any State—
(i) To establish, or to continue in effect, a fund any purpose of which is to pay for costs or damages arising out of, or directly resulting from, oil pollution or the substantial threat of oil pollution; or
(ii) To require any person to contribute to such a fund; or
(4) Affects the authority of the United States or any State or political subdivision thereof to impose additional liability or additional requirements relating to a discharge, or substantial threat of a discharge, of oil.
§ 136.3 Information.
Anyone desiring to file a claim against the Fund may obtain general information on the procedure for filing a claim from the Director, National Pollution Funds Center, U.S. Coast Guard Stop 7605, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7605, (800) 280-7118.
§ 136.5 Definitions.
(a) As used in this part, the following terms have the same meaning as set forth in sections 1001 and 1007(c) of the Act (33 U.S.C. 2701 and 2707(c)): Claim, claimant, damages, discharge, exclusive economic zone, facility, foreign claimant, foreign offshore unit, Fund, guarantor, incident, National Contingency Plan, natural resources, navigable waters, offshore facility, oil, onshore facility, owner or operator, person, removal costs, responsible party, State, United States, and vessel.
(b) As used in this part—
Act means title I of the Oil Pollution Act of 1990 (Pub. L. 101-380; 33 U.S.C. 2701 through 2719).
Director, NPFC, means the person in charge of the U.S. Coast Guard National Pollution Funds Center or that person’s authorized representative.
FOSC means the Federal On-Scene Coordinator designated under the National Contingency Plan or that person’s authorized representative.
NPFC means the Director, National Pollution Funds Center, U.S. Coast Guard Stop 7605, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7605.
§ 136.7 Foreign claimants.
In addition to other applicable limitations on presenting claims to the Fund, claims by foreign claimants to recover removal costs or damages may be presented only when the requirements of section 1007 of the Act (33 U.S.C. 2707) are met.
§ 136.9 Falsification of claims.
Persons submitting false claims or making false statements in connection with claims under this part may be subject to prosecution under Federal law, including but not limited to 18 U.S.C. 287 and 1001. In addition, persons submitting written documentation in support of claims under this part which they know, or should know, is false or omits a material fact may be subject to a civil penalty for each claim. If any payment is made on the claim, the claimant may also be subject to an assessment of up to twice the amount claimed. These civil sanctions may be imposed under the Program Fraud Civil Remedies Act, 31 U.S.C. 3801-3812, as implemented in 6 CFR part 13.
Subpart B—General Procedure
§ 136.101 Time limitations on claims.
(a) Except as provided under section 1012(h)(3) of the Act (33 U.S.C. 2712(h)(3)) (minors and incompetents), the Fund will consider a claim only if presented in writing to the Director, NPFC, within the following time limits:
(1) For damages, within three years after—
(i) The date on which the injury and its connection with the incident in question were reasonably discoverable with the exercise of due care.
(ii) In the case of natural resources damages under section 1002(b)(2)(A) of the Act (33 U.S.C. 2702(b)(2)(A)), the date under paragraph (a)(1)(i) of this section, or within three years from the date of completion of the natural resources damage assessment under section 1006(e) of the Act (33 U.S.C. 2706(e)), whichever is later.
(2) For removal costs, within six years after the date of completion of all removal actions for the incident. As used in this paragraph, “date of completion of all removal actions” is defined as the actual date of completion of all removal actions for the incident or the date the FOSC determines that the removal actions which form the basis for the costs being claimed are completed, whichever is earlier.
(b) Unless the Director, NPFC, directs in writing that the claim be submitted elsewhere, a claim is deemed presented on the date the claim is actually received at the Director, National Pollution Funds Center, U.S. Coast Guard Stop 7605, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7605. If the Director, NPFC, directs that the claim be presented elsewhere, the claim is deemed presented on the date the claim is actually received at the address in the directive.
§ 136.103 Order of presentment.
(a) Except as provided in paragraph (b) of this section, all claims for removal costs or damages must be presented first to the responsible party or guarantor of the source designated under § 136.305.
(b) Claims for removal costs or damages may be presented first to the Fund only—
(1) By any claimant, if the Director, NPFC, has advertised, or otherwise notified claimants in writing, in accordance with § 136.309(e);
(2) By a responsible party who may assert a claim under section 1008 of the Act (33 U.S.C. 2708);
(3) By the Governor of a State for removal costs incurred by that State; or
(4) By a United States claimant in a case where a foreign offshore unit has discharged oil causing damage for which the Fund is liable under section 1012(a) of the Act (33 U.S.C. 2712(a)).
(c) If a claim is presented in accordance with paragraph (a) of this section and—
(1) Each person to whom the claim is presented denies all liability for the claim; or
(2) The claim is not settled by any person by payment within 90 days after the date upon which (A) the claim was presented, or (B) advertising was begun pursuant to § 136.309(d), whichever is later, the claimant may elect to commence an action in court against the responsible party or guarantor or to present the claim to the Fund.
(d) No claim of a person against the Fund will be approved or certified for payment during the pendency of an action by the person in court to recover costs which are the subject of the claim.
§ 136.105 General requirements for a claim.
(a) The claimant bears the burden of providing all evidence, information, and documentation deemed necessary by the Director, NPFC, to support the claim.
(b) Each claim must be in writing for a sum certain for compensation for each category of uncompensated damages or removal costs (as described in Subpart C of this part) resulting from an incident. If at any time during the pendency of a claim against the Fund the claimant receives any compensation for the claimed amounts, the claimant shall immediately amend the claim.
(c) Each claim must be signed in ink by the claimant certifying to the best of the claimant’s knowledge and belief that the claim accurately reflects all material facts.
(d) In addition to the other requirements of this section, any claim presented by a legal representative of the claimant must also be signed by the legal representative and—
(1) Be presented in the name of the claimant;
(2) Show the title or legal capacity of the representative; and
(3) Provide proof of authority to act for the claimant.
(e) Each claim must include at least the following, as applicable:
(1) The full name, street and mailing addresses of residence and business, and telephone numbers of the claimant.
(2) The date, time, and place of the incident giving rise to the claim.
(3) The identity of the vessel, facility, or other entity causing or suspected to have caused the removal costs or damages claimed and the basis for such identity or belief.
(4) A general description of the nature and extent of the impact of the incident, the costs associated with removal actions, and damages claimed, by category as delineated in Subpart C of this part, including, for any property, equipment, or similar item damaged, the full name, street and mailing address, and telephone number of the actual owner, if other than the claimant.
(5) An explanation of how and when the removal costs or damages were caused by, or resulted from, an incident.
(6) Evidence to support the claim.
(7) A description of the actions taken by the claimant, or other person on the claimant’s behalf, to avoid or minimize removal costs or damages claimed.
(8) The reasonable costs incurred by the claimant in assessing the damages claimed. This includes the reasonable costs of estimating the damages claimed, but not attorney’s fees or other administrative costs associated with preparation of the claim.
(9) To the extent known or reasonably identifiable by the claimant, the full name, street and mailing address, and telephone number of each witness to the incident, to the discharge, or to the removal costs or damages claimed, along with a brief description of that person’s knowledge.
(10) A copy of written communications and the substance of verbal communications, if any, between the claimant and the responsible party or guarantor of the source designated under § 136.305 and a statement indicating that the claim was presented to the responsible party or guarantor, the date it was presented, that it was denied or remains not settled and, if known, the reason why it was denied or remains not settled.
(11) If the claimant has insurance which may cover the removal costs or damages claimed, the information required under § 136.111.
(12) A statement by the claimant that no action has been commenced in court against the responsible party or guarantor of the source designated under § 136.305 or, if an action has been commenced, a statement identifying the claimant’s attorney and the attorney’s address and phone number, the civil action number, and the court in which the action is pending.
(13) In the discretion of the Director, NPFC, any other information deemed relevant and necessary to properly process the claim for payment.
§ 136.107 Subrogated claims.
(a) The claims of subrogor (e.g., insured) and subrogee (e.g., insurer) for removal costs and damages arising out of the same incident should be presented together and must be signed by all claimants.
(b) A fully subrogated claim is payable only to the subrogee.
(c) A subrogee must support a claim in the same manner as any other claimant.
§ 136.109 Removal costs and multiple items of damages.
(a) A claimant must specify all of the claimant’s known removal costs or damages arising out of a single incident when submitting a claim.
(b) Removal costs and each separate category of damages (as described in subpart C of this part) must be separately listed with a sum certain attributed to each type and category listed.
(c) At the sole discretion of the Director, NPFC, removal costs and each separate category of damages may be treated separately for settlement purposes.
§ 136.111 Insurance.
(a) A claimant shall provide the following information concerning any insurance which may cover the removal costs or damages for which compensation is claimed:
(1) The name and address of each insurer.
(2) The kind and amount of coverage.
(3) The policy number.
(4) Whether a claim has been or will be presented to an insurer and, if so, the amount of the claim and the name of the insurer.
(5) Whether any insurer has paid the claim in full or in part or has indicated whether or not payment will be made.
(b) If requested by the Director, NPFC, the claimant shall provide a copy of the following material:
(1) All insurance policies or indemnification agreements.
(2) All written communications, and a summary of all oral communications, with any insurer or indemnifier.
(c) A claimant shall advise the Director, NPFC, of any changes in the information provided under this section.
§ 136.113 Other compensation.
A claimant must include an accounting, including the source and value, of all other compensation received, applied for, or potentially available as a consequence of the incident out of which the claim arises including, but not limited to, monetary payments, goods or services, or other benefits.
§ 136.115 Settlement and notice to claimant.
(a) Payment in full, or acceptance by the claimant of an offer of settlement by the Fund, is final and conclusive for all purposes and, upon payment, constitutes a release of the Fund for the claim. In addition, acceptance of any compensation from the Fund precludes the claimant from filing any subsequent action against any person to recover costs or damages which are the subject of the compensated claim. Acceptance of any compensation also constitutes an agreement by the claimant to assign to the Fund any rights, claims, and causes of action the claimant has against any person for the costs and damages which are the subject of the compensated claims and to cooperate reasonably with the Fund in any claim or action by the Fund against any person to recover the amounts paid by the Fund. The cooperation shall include, but is not limited to, immediately reimbursing the Fund for any compensation received from any other source for the same costs and damages and providing any documentation, evidence, testimony, and other support, as may be necessary for the Fund to recover from any person.
(b) Claimant’s failure to accept an offer of settlement within 60 days after the date the offer was mailed to the claimant automatically voids the offer. The Director, NPFC, reserves the right to revoke an offer at any time.
(c) A claimant will be notified in writing sent by certified or registered mail whenever a claim against the Fund is denied. The failure of the Director, NPFC, to make final disposition of a claim within six months after it is filed shall, at the option of the claimant any time thereafter, be deemed a final denial of the claim.
(d) The Director, NPFC, upon written request of the claimant or of a person duly authorized to act on the claimant’s behalf, reconsiders any claim denied. The request for reconsideration must be in writing and include the factual or legal grounds for the relief requested, providing any additional support for the claim. The request must be received by the Director, NPFC, within 60 days after the date the denial was mailed to the claimant or within 30 days after receipt of the denial by the claimant, whichever date is earlier. Reconsideration may only be requested once for each claim denied. The Director, NPFC will provide the claimant seeking reconsideration with written notification of the decision within 90 days after receipt of the request for reconsideration. This written decision is final. The failure of the Director, NPFC, to make final disposition of a reconsideration within 90 days after it is received shall, at the option of the claimant any time thereafter, be deemed a final denial of the reconsideration.
Subpart C—Procedures for Particular Claims
§ 136.201 Authorized claimants.
A claim for removal costs may be presented by any claimant.
§ 136.203 Proof.
In addition to the requirements of Subparts A and B of this part, a claimant must establish—
(a) That the actions taken were necessary to prevent, minimize, or mitigate the effects of the incident;
(b) That the removal costs were incurred as a result of these actions;
(c) That the actions taken were determined by the FOSC to be consistent with the National Contingency Plan or were directed by the FOSC.
§ 136.205 Compensation allowable.
The amount of compensation allowable is the total of uncompensated reasonable removal costs of actions taken that were determined by the FOSC to be consistent with the National Contingency Plan or were directed by the FOSC. Except in exceptional circumstances, removal activities for which costs are being claimed must have been coordinated with the FOSC.
§ 136.207 Authorized claimants.
(a) Claims for uncompensated natural resource damages may be presented by an appropriate natural resources trustee. However, in order to facilitate the processing of these claims with respect to a single incident where multiple trustees are involved and to prevent double recovery, the affected trustees should select a lead administrative trustee who will present consolidated claims on behalf of the trustees.
(b) A trustee may present a claim for the reasonable cost of assessing natural resources damages separately from a claim for the cost of developing and implementing plans for the restoration, rehabilitation, replacement, or acquisition of the equivalent of the natural resources damaged.
§ 136.209 Proof.
In addition to the requirements of subparts A and B of this part, a trustee must do the following:
(a) Submit the assessment and restoration plans which form the basis of the claim.
(b) Provide documented costs and cost estimates for the claim. Final cost estimates for conducting damage assessments or implementing a restoration plan may form the basis for a claim against the Fund for an uncompensated natural resources damage claim.
(c) Identify all trustees who may be potential claimants for the same natural resources damaged.
(d) Certify the accuracy and integrity of any claim submitted to the Fund, and certify that any actions taken or proposed were or will be conducted in accordance with the Act and consistent with all applicable laws and regulations.
(e) Certify whether the assessment was conducted in accordance with applicable provisions of the natural resources damage assessment regulations promulgated under section 1006(e)(1) of the Act (33 U.S.C. 2706(e)(1)). Identify any other or additional damage assessment regulations or methodology utilized.
(f) Certify that, to the best of the trustee’s knowledge and belief, no other trustee has the right to present a claim for the same natural resources damages and that payment of any subpart of the claim presented would not constitute a double recovery for the same natural resources damages.
§ 136.211 Compensation allowable.
(a) The amount of compensation allowable is the reasonable cost of assessing damages, and the cost of restoring, rehabilitating, replacing, or acquiring the equivalent of the damaged natural resources.
(b) In addition to any other provision of law respecting the use of sums recovered for natural resources damages, trustees shall reimburse the Fund for any amounts received from the Fund in excess of that amount required to accomplish the activities for which the claim was paid.
§ 136.213 Authorized claimants.
(a) A claim for injury to, or economic losses resulting from the destruction of, real or personal property may be presented only by a claimant either owning or leasing the property.
(b) Any claim for loss of profits or impairment of earning capacity due to injury to, destruction of, or loss of real or personal property must be included as subpart of the claim under this section and must include the proof required under § 136.233.
§ 136.215 Proof.
(a) In addition to the requirements of subparts A and B of this part, a claimant must establish—
(1) An ownership or leasehold interest in the property;
(2) That the property was injured or destroyed;
(3) The cost of repair or replacement; and
(4) The value of the property both before and after injury occurred.
(b) In addition, for each claim for economic loss resulting from destruction of real or personal property, the claimant must establish—
(1) That the property was not available for use and, if it had been, the value of that use;
(2) Whether or not substitute property was available and, if used, the costs thereof; and
(3) That the economic loss claimed was incurred as the result of the injury to or destruction of the property.
§ 136.217 Compensation allowable.
(a) The amount of compensation allowable for damaged property is the lesser of—
(1) Actual or estimated net cost of repairs necessary to restore the property to substantially the same condition which existed immediately before the damage;
(2) The difference between value of the property before and after the damage; or
(3) The replacement value.
(b) Compensation for economic loss resulting from the destruction of real or personal property may be allowed in an amount equal to the reasonable costs actually incurred for use of substitute commercial property or, if substitute commercial property was not reasonably available, in an amount equal to the net economic loss which resulted from not having use of the property. When substitute commercial property was reasonably available, but not used, allowable compensation for loss of use is limited to the cost of the substitute commercial property, or the property lost, whichever is less. Compensation for loss of use of noncommercial property is not allowable.
(c) Compensation for a claim for loss of profits or impairment of earning capacity under § 136.213(b) is limited to that allowable under § 136.235.
§ 136.219 Authorized claimants.
(a) A claim for loss of subsistence use of natural resources may be presented only by a claimant who actually uses, for subsistence, the natural resources which have been injured, destroyed, or lost, without regard to the ownership or management of the resources.
(b) A claim for loss of profits or impairment of earning capacity due to loss of subsistence use of natural resources must be included as part of the claim under this section and must include the proof required under § 136.233.
§ 136.221 Proof.
In addition to the requirements of subparts A and B of this part, a claimant must provide—
(a) The identification of each specific natural resource for which compensation for loss of subsistence use is claimed;
(b) A description of the actual subsistence use made of each specific natural resource by the claimant;
(c) A description of how and to what extent the claimant’s subsistence use was affected by the injury to or loss of each specific natural resource;
(d) A description of each effort made by the claimant to mitigate the claimant’s loss of subsistence use; and
(e) A description of each alternative source or means of subsistence available to the claimant during the period of time for which loss of subsistence is claimed, and any compensation available to the claimant for loss of subsistence.
§ 136.223 Compensation allowable.
(a) The amount of compensation allowable is the reasonable replacement cost of the subsistence loss suffered by the claimant if, during the period of time for which the loss of subsistence is claimed, there was no alternative source or means of subsistence available.
(b) The amount of compensation allowable under paragraph (a) of this section must be reduced by—
(1) All compensation made available to the claimant to compensate for subsistence loss;
(2) All income which was derived by utilizing the time which otherwise would have been used to obtain natural resources for subsistence use; and
(3) Overheads or other normal expenses of subsistence use not incurred as a result of the incident.
(c) Compensation for a claim for loss of profits or impairment of earning capacity under § 136.219(b) is limited to that allowable under § 136.235.
§ 136.225 Authorized claimants.
A claim for net loss of revenue due to the injury, destruction, or loss of real property, personal property, or natural resources may be presented only by an appropriate claimant sustaining the loss. As used in this section and § 136.277, “revenue” means taxes, royalties, rents, fees, and net profit shares.
§ 136.227 Proof.
In addition to the requirements of Subparts A and B, a claimant must establish—
(a) The identification and description of the economic loss for which compensation is claimed, including the applicable authority, property affected, method of assessment, rate, and method and dates of collection;
(b) That the loss of revenue was due to the injury to, destruction of, or loss of real or personal property or natural resources;
(c) The total assessment or revenue collected for comparable revenue periods; and
(d) The net loss of revenue.
§ 136.229 Compensation allowable.
The amount of compensation allowable is the total net revenue actually lost.
§ 136.231 Authorized claimants.
(a) A claim for loss of profits or impairment of earning capacity due to the injury to, destruction of, or loss of real or personal property or natural resources may be presented by a claimant sustaining the loss or impairment. The claimant need not be the owner of the damaged property or resources to recover for lost profits or income.
(b) A claim for loss of profits or impairment of earning capacity that also involves a claim for injury to, or economic losses resulting from destruction of, real or personal property must be claimed under § 136.213.
(c) A claim for loss of profits or impairment of earning capacity that also involves a claim for loss of subsistence use of natural resources must be claimed under § 136.219.
§ 136.233 Proof.
In addition to the requirements of subparts A and B of this part, a claimant must establish the following:
(a) That real or personal property or natural resources have been injured, destroyed, or lost.
(b) That the claimant’s income was reduced as a consequence of injury to, destruction of, or loss of the property or natural resources, and the amount of that reduction.
(c) The amount of the claimant’s profits or earnings in comparable periods and during the period when the claimed loss or impairment was suffered, as established by income tax returns, financial statements, and similar documents. In addition, comparative figures for profits or earnings for the same or similar activities outside of the area affected by the incident also must be established.
(d) Whether alternative employment or business was available and undertaken and, if so, the amount of income received. All income that a claimant received as a result of the incident must be clearly indicated and any saved overhead and other normal expenses not incurred as a result of the incident must be established.
§ 136.235 Compensation allowable.
The amount of compensation allowable is limited to the actual net reduction or loss of earnings or profits suffered. Calculations for net reductions or losses must clearly reflect adjustments for—
(a) All income resulting from the incident;
(b) All income from alternative employment or business undertaken;
(c) Potential income from alternative employment or business not undertaken, but reasonably available;
(d) Any saved overhead or normal expenses not incurred as a result of the incident; and
(e) State, local, and Federal taxes.
§ 136.237 Authorized claimants.
A claim for net costs of providing increased or additional public services during or after removal activities, including protection from fire, safety, or health hazards, caused by a discharge of oil may be presented only by a State or a political subdivision of a State incurring the costs.
§ 136.239 Proof.
In addition to the requirements of subparts A and B of this part, a claimant must establish—
(a) The nature of the specific public services provided and the need for those services;
(b) That the services occurred during or after removal activities;
(c) That the services were provided as a result of a discharge of oil and would not otherwise have been provided; and
(d) The net cost for the services and the methods used to compute those costs.
§ 136.241 Compensation allowable.
The amount of compensation allowable is the net cost of the increased or additional service provided by the State or political subdivision.
Subpart D—Designation of Source and Advertisement
§ 136.301 Purpose.
This subpart prescribes the requirements concerning designation of the source or sources of the discharge or threat of discharge and advertisement of these designations, including the procedures by which claims may be presented to the responsible party or guarantor.
§ 136.303 Definitions.
As used in this subpart—
Advertisement means the dissemination of information, including but not limited to paid advertisements, that are reasonably calculated to advise the public how to present a claim.
Designated source means a source designated under § 136.305.
§ 136.305 Notice of designation.
(a) When information of an incident is received, the source or sources of the discharge or threat are designated, where possible and appropriate. If the designated source is a vessel or facility, the responsible party and the guarantor, if known, are notified by telephone, telefax, or other rapid means of that designation. The designation will be confirmed by a written Notice of Designation.
(b) A Notice of Designation normally contains, to the extent known—
(1) The name of the vessel or facility designated as the source;
(2) The location, date, and time of the incident;
(3) The type and quantity of oil involved;
(4) The date of the designation;
(5) The procedures for accepting or denying the designation; and
(6) The name, address, telephone number, and, if available, telefax number of the responsible Federal official to whom further communication regarding the incident, advertisement of the incident, or denial of designation should be directed.
§ 136.307 Denial of designation.
(a) Within five days after receiving a Notice of Designation under § 136.305, the responsible party or guarantor may deny the designation.
(b) A denial of designation must—
(1) Be in writing;
(2) Identify the Notice of Designation;
(3) Give the reasons for the denial and provide a copy of all supporting documents; and
(4) Be submitted to the official named in the Notice of Designation.
(c) A denial is deemed received on the date the denial is actually received by the official named in the Notice of Designation.
§ 136.309 Advertisement determinations.
(a) The Director, NPFC, determines for each incident the type, geographic scope, frequency, and duration of advertisement required.
(b) In making the determination specified in paragraph (a) of this section, the Director, NPFC, may consider—
(1) The nature and extent of economic losses that have occurred or are likely to occur;
(2) The potential claimants who are likely to incur economic losses;
(3) The geographical area that is or will likely be affected;
(4) The most effective method of reasonably notifying potential claimants of the designation and procedures of submitting claims; and
(5) Relevant information or recommendations, if any, submitted by, or on behalf of, the responsible party or guarantor of the designated source.
(c) The Director, NPFC, provides the specific requirements for advertisement for each incident to the responsible party or guarantor of the designated source.
(d) If a responsible party or guarantor has not denied designation in accordance with § 136.307, the party or guarantor shall advertise, in accordance with the requirements of this subpart, the designation and the procedures by which claims may be presented. The advertisement must begin not later than 15 days after the date of the designation made under § 136.305.
(e) If there is no designation under § 136.305, if the source of the discharge or threat is a public vessel, or if the responsible party and guarantor of the source designated have denied the designation or failed to meet the requirements for advertisement in this section, the Director, NPFC, may advertise procedures for presenting claims.
§ 136.311 Types of advertisement.
Advertisement required by the Director, NPFC, will normally include one or more of the following:
(a) Paid advertisements in a newspaper or newspapers having general circulation in the area designated by the Director, NPFC.
(b) Notice posted in marinas, marine supply stores, bait and tackle shops, and other appropriate business establishments or public facilities in the area designated by the Director, NPFC.
(c) News releases to newspapers, radio stations, television stations, and cable services having general circulation in the area designated by the Director, NPFC.
(d) Other means approved by the Director, NPFC, under the circumstances of each case.
§ 136.313 Content of advertisement.
Each advertisement required by this subpart may be required to contain the following information or to indicate where this information may be contained:
(a) Location, date, and time of the incident.
(b) Geographical area affected, as determined by the FOSC or Director, NPFC.
(c) Type and quantity of oil involved.
(d) Name or other description of the source designated by the FOSC or Director, NPFC.
(e) Name of the responsible party and guarantor of the designated source.
(f) Name, address, telephone number, office hours, and work days of the person or persons to whom claims are to be presented and from whom claim information can be obtained.
(g) The procedures by which a claim may be presented.
(h) Other information required by the Director, NPFC, under the circumstances of each case.
PART 137—OIL SPILL LIABILITY: STANDARDS FOR CONDUCTING ALL APPROPRIATE INQUIRIES UNDER THE INNOCENT LAND-OWNER DEFENSE
Subpart A—Introduction
§ 137.1 Purpose and applicability.
(a) In general under the Oil Pollution Act of 1990 (33 U.S.C. 2701, et seq.), an owner or operator of a facility (as defined in § 137.10) that is the source of a discharge, or a substantial threat of discharge, of oil into the navigable waters or adjoining shorelines or the exclusive economic zone is liable for damages and removal costs resulting from the discharge or threat. However, if that person can demonstrate, among other criteria not addressed in this part, that they did not know and had no reason to know at the time of their acquisition of the real property on which the facility is located that oil was located on, in, or at the facility, the person may be eligible for the innocent landowner defense to liability under 33 U.S.C. 2703(d)(4). One element of the defense is that the person made all appropriate inquiries into the nature of the real property on which the facility is located before acquiring it. The purpose of this part is to prescribe standards and practices for making those inquiries.
(b) Under 33 U.S.C. 2703(d)(4)(E), this part does not apply to real property purchased by a non-governmental entity or non-commercial entity for residential use or other similar uses where a property inspection and a title search reveal no basis for further investigation. In those cases, the property inspection and title search satisfy the requirements of this part.
(c) This part does not affect the existing OPA 90 liability protections for State and local governments that acquire a property involuntarily in their functions as sovereigns under 33 U.S.C. 2703(d)(2)(B). Involuntary acquisition of properties by State and local governments fall under the provisions of 33 U.S.C. 2703(d)(2)(B), not under the all-appropriate-inquiries provision of 33 U.S.C. 2703(d)(4) and this part.
§ 137.5 Disclosure obligations.
(a) Under 33 U.S.C. 2703(c)(1), persons specified in § 137.1(a), including environmental professionals, must report the incident as required by law if they know or have reason to know of the incident.
(b) This part does not limit or expand disclosure obligations under any Federal, State, tribal, or local law. It is the obligation of each person, including environmental professionals, conducting inquiries to determine his or her respective disclosure obligations under Federal, State, tribal, and local law and to comply with them.
§ 137.10 How are terms used in this part defined?
(a) The following terms have the same definitions as in 33 U.S.C. 2701: damages; discharge; incident; liable or liability; oil; owner or operator; and removal costs.
(b) As used in this part—
Abandoned property means a property that, because of its general disrepair or lack of activity, a reasonable person could believe that there is an intent on the part of the current owners to surrender their rights to the property.
Adjoining property means real property the border of which is shared in part or in whole with that of the subject property or that would be shared in part or in whole with that of the property but for a street, road, or other public thoroughfare separating the properties.
Data gap means a lack of, or inability to, obtain information required by subpart B of this part despite good faith efforts by the environmental professional or persons specified in § 137.1(a), as appropriate, to gather the information under § 137.33.
Environmental professional means an individual who meets the requirements of § 137.25.
Facility means any structure, group of structures, equipment, or device (other than a vessel) which is used for one or more of the following purposes: exploring for, drilling for, producing, storing, handling, transferring, processing, or transporting oil. This term includes any motor vehicle, rolling stock, or pipeline used for one or more of these purposes.
Good faith means the absence of any intention to seek an unfair advantage or to defraud another party; an honest and sincere intention to fulfill one’s obligations in the conduct or transaction concerned.
Institutional controls means non-engineered instruments, such as administrative and/or legal controls, that help to minimize the potential for human exposure to oil discharge and/or protect the integrity of a removal action.
Relevant experience means participation in the performance of all-appropriate-inquiries investigations, environmental site assessments, or other site investigations that may include environmental analyses, investigations, and remediation which involve the understanding of surface and subsurface environmental conditions and the processes used to evaluate these conditions and for which professional judgment was used to develop opinions regarding conditions indicative of the presence or likely presence of oil at the facility and the real property on which the facility is located.
§ 137.15 References: Where can I get a copy of the publication mentioned in this part?
Section 137.20 of this part refers to ASTM E 1527-05, Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process. That document is available from ASTM International, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959. It is also available for inspection at the Coast Guard National Pollution Funds Center, Law Library, NPFC CV, U.S. Coast Guard Stop 7605, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7605.
Subpart B—Standards and Practices
§ 137.18 Duties of persons specified in § 137.1(a).
In order to make all appropriate inquiries, persons seeking to establish the liability protection under § 137.1(a) must conduct the inquiries and investigations as required in this part and ensure that the inquiries and investigations required to be made by environmental professionals are made.
§ 137.20 May industry standards be used to comply with this regulation?
The industry standards in ASTM E 1527-05, (Referenced in § 137.15) may be used to comply with the requirements set forth in §§ 137.45 through 137.85 of this part. Use of ASTM E 1527-05 for this purpose is optional and not mandatory.
§ 137.25 Qualifications of the environmental professional.
(a) An environmental professional is an individual who possesses sufficient specific education, training, and experience necessary to exercise professional judgment to develop opinions and conclusions regarding conditions indicative of the presence or likely presence of oil at a facility and the real property on which the facility is located sufficient to meet the objectives and performance factors in § 137.30(a) and (b).
(1) Such a person must—
(i) Hold a current Professional Engineer’s or Professional Geologist’s license or registration from a State, tribe, or U.S. territory (or the Commonwealth of Puerto Rico) and have the equivalent of 3 years of full-time relevant experience;
(ii) Be licensed or certified by the Federal government, a State, tribe, or U.S. territory (or the Commonwealth of Puerto Rico) to perform environmental inquiries under § 137.35 and have the equivalent of 3 years of full-time relevant experience;
(iii) Have a Baccalaureate or higher degree from an accredited institution of higher education in a discipline of engineering or science and the equivalent of 5 years of full-time relevant experience; or
(iv) Have the equivalent of 10 years of full-time relevant experience.
(2) An environmental professional should remain current in his or her field through participation in continuing education or other activities.
(3) The requirements for an environmental professional in this section do not preempt State professional licensing or registration requirements, such as those for a professional geologist, engineer, or site-remediation professional. Before commencing work, a person should determine the applicability of State professional licensing or registration laws to the activities to be undertaken as part of an inquiry under § 137.35(b).
(4) A person who does not qualify as an environmental professional under this section may assist in the conduct of all appropriate inquiries according to this part if the person is under the supervision or responsible charge of an environmental professional meeting the requirements of this section when conducting the inquiries.
§ 137.30 Objectives and performance factors.
(a) Objectives. This part is intended to result in the identification of conditions indicative of the presence or likely presence of oil at the facility and the real property on which the facility is located. In order to meet the objectives of this regulation, persons specified in § 137.1(a) and the environmental professional must seek to identify, through the conduct of the standards and practices in this subpart, the following types of information about the facility and the real property on which the facility is located:
(1) Current and past uses and occupancies of the facility and the real property on which the facility is located.
(2) Current and past uses of oil.
(3) Waste management and disposal activities that indicate presence or likely presence of oil.
(4) Current and past corrective actions and response activities that indicate presence or likely presence of oil.
(5) Engineering controls.
(6) Institutional controls, such as zoning restrictions, building permits, and easements.
(7) Properties adjoining or located nearby the facility and the real property on which the facility is located that have environmental conditions that could have resulted in conditions indicative of the presence or likely presence of oil at the facility and the real property on which the facility is located.
(b) Performance factors. In order to meet this part and to meet the objectives stated in paragraph (a) of this section, the persons specified in § 137.1(a) or the environmental professional (as appropriate to the particular standard and practice) must—
(1) Gather the information that is required for each standard and practice listed in this subpart that is publicly available, is obtainable from its source within a reasonable time and cost, and can be reviewed practicably; and
(2) Review and evaluate the thoroughness and reliability of the information gathered in complying with each standard and practice listed in this subpart taking into account information gathered in the course of complying with the other standards and practices of this part.
§ 137.33 General all appropriate inquiries requirements.
(a) All appropriate inquiries must be conducted within 1 year before the date of acquisition of the real property on which the facility is located, as evidenced by the date of receipt of the documentation transferring title to, or possession of, the real property and must include:
(1) An inquiry by an environmental professional, as provided in § 137.35.
(2) The collection of information under § 137.40 by persons specified in § 137.1(a).
(b) The following components of the all appropriate inquiries must be conducted or updated within 180 days before the date of acquisition of the real property on which the facility is located:
(1) Interviews with past and present owners, operators, and occupants. See § 137.45.
(2) Searches for recorded environmental cleanup liens. See § 137.55.
(3) Reviews of Federal, State, tribal, and local government records. See § 137.60.
(4) Visual inspections of the facility, the real property on which the facility is located, and adjoining properties. See § 137.65.
(5) The declaration by the environmental professional. See § 137.35(d).
(c) All appropriate inquiries may include the results of and information contained in an inquiry previously conducted by, or on behalf of, persons specified in § 137.1(a) who are responsible for the inquiries for the facility and the real property on which the facility is located if—
(1) The information was collected during the conduct of an all-appropriate-inquiries investigation under this part.
(2) The information was collected or updated within 1 year before the date of acquisition of the real property on which the facility is located.
(3) The following components of the inquiries were conducted or updated within 180 days before the date of acquisition of the real property on which the facility is located:
(i) Interviews with past and present owners, operators, and occupants. See § 137.45.
(ii) Searches for recorded environmental cleanup liens. See § 137.55.
(iii) Reviews of Federal, State, tribal, and local government records. See § 137.60.
(iv) Visual inspections of the facility, the real property on which the facility is located, and the adjoining properties. See § 137.65.
(v) The declaration by the environmental professional. See § 137.35(d).
(4) Previously collected information is updated by including relevant changes in the conditions of the facility and the real property on which the facility is located and specialized knowledge, as outlined in § 137.70, of the persons conducting the all appropriate inquiries for the facility and the real property on which the facility is located, including persons specified in § 137.1(a) and the environmental professional.
(d) All appropriate inquiries may include the results of an environmental professional’s report under § 137.35(c) that have been prepared by or for other persons if—
(1) The reports meet the objectives and performance factors in § 137.30(a) and (b); and
(2) The person specified in § 137.1(a) reviews the information and conducts the additional inquiries under §§ 137.70, 137.75, and 137.80 and updates the inquiries requiring an update under paragraph (b) of this section.
(e) To the extent there are data gaps that affect the ability of persons specified in § 137.1(a) and environmental professionals to identify conditions indicative of the presence or likely presence of oil, the gaps must be identified in the report under § 137.35(c)(2). In addition, the sources of information consulted to address data gaps should be identified and the significance of the gaps noted. Sampling and analysis may be conducted to develop information to address data gaps.
(f) Any conditions indicative of the presence or likely presence of oil identified as part of the all-appropriate-inquiries investigation should be noted in the report.
§ 137.35 Inquiries by an environmental professional.
(a) Inquiries by an environmental professional must be conducted either by the environmental professional or by a person under the supervision or responsible charge of an environmental professional.
(b) The inquiry of the environmental professional must include the requirements in §§ 137.45 (interviews with past and present owners), 137.50 (reviews of historical sources), 137.60 (reviews of government records), 137.65 (visual inspections), 137.80 (commonly known or reasonably ascertainable information) and 137.85 (degree of obviousness of the presence or likely presence of oil). In addition, the inquiry should take into account information provided to the environmental professional by the person specified in § 137.1(a) conducting the additional inquiries under § 137.40.
(c) The results of the inquiry by an environmental professional must be documented in a written report that, at a minimum, includes the following:
(1) An opinion as to whether the inquiry has identified conditions indicative of the presence or likely presence of oil at the facility and the real property on which the facility is located.
(2) An identification of data gaps in the information developed as part of the inquiry that affect the ability of the environmental professional to identify conditions indicative of the presence or likely presence of oil at the facility and the real property on which the facility is located. The report must also indicate whether the gaps prevented the environmental professional from reaching an opinion regarding the identification of conditions indicative of the presence or likely presence of oil.
(3) The qualifications of the environmental professional.
(4) An opinion regarding whether additional appropriate investigation is necessary.
(d) The environmental professional must place the following statements in the written document identified in paragraph (c) of this section and sign the document: “[I, We] declare that, to the best of [my, our] professional knowledge, [I, we] meet the requirements under 33 CFR 137.25 for an environmental professional.” and “[I, We] have the specific qualifications based on education, training, and experience to assess the nature, history, and setting of a facility and the real property on which it is located. [I, We] have developed and conducted all appropriate inquiries according to the standards and practices in 33 CFR part 137.”
§ 137.40 Additional inquiries.
(a) Persons specified in § 137.1(a) must conduct inquiries in addition to those conducted by the environmental professional under § 137.35 and may provide the information associated with these additional inquiries to the environmental professional responsible for conducting the activities listed in § 137.35—
(1) As required by § 137.55 and if not otherwise obtained by the environmental professional, environmental cleanup liens against the facility and the real property on which it is located that are filed or recorded under Federal, State, tribal, or local law.
(2) As required by § 137.70, specialized knowledge or experience of the person specified in § 137.1(a).
(3) As required by § 137.75, the relationship of the purchase price to the fair market value of the facility and the real property on which the facility is located if the oil was not at the facility and the real property on which it is located.
(4) As required by § 137.80 and if not otherwise obtained by the environmental professional, commonly known or reasonably ascertainable information about the facility and the real property on which it is located.
(b) [Reserved]
§ 137.45 Interviews with past and present owners, operators, and occupants.
(a) Interviews with owners, operators, and occupants of the facility and the real property on which the facility is located must be conducted for the purposes of achieving the objectives and performance factors of § 137.30(a) and (b).
(b) The inquiry of the environmental professional must include interviewing the current owner and occupant of the facility and the real property on which the facility is located. If the facility and the real property on which the facility is located has multiple occupants, the inquiry of the environmental professional must include interviewing major occupants, as well as those occupants likely to use, store, treat, handle or dispose of oil or those who have likely done so in the past.
(c) The inquiry of the environmental professional also must include, to the extent necessary to achieve the objectives and performance factors in § 137.30(a) and (b), interviewing one or more of the following persons:
(1) Current and past facility and real property managers with relevant knowledge of uses and physical characteristics of the facility and the real property on which the facility is located.
(2) Past owners, occupants, or operators of the facility and the real property on which the facility is located.
(3) Employees of current and past occupants of the facility and the real property on which the facility is located.
(d) In the case of inquiries conducted at abandoned properties where there is evidence of potential unauthorized uses or evidence of uncontrolled access, the environmental professional’s inquiry must include an interview of at least one owner or occupant of a neighboring property from which it appears possible that the owner or occupant of the neighboring property could have observed use or other presence or likely presence of oil.
§ 137.50 Reviews of historical sources of information.
(a) Historical documents and records must be reviewed for the purposes of achieving the objectives and performance factors of § 137.30(a) and (b). Historical documents and records may include, but are not limited to, aerial photographs, fire insurance maps, building department records, chain of title documents, and land use records.
(b) Historical documents and records reviewed must cover a period of time as far back in the history of the real property to when the first structure was built or when it was first used for residential, agricultural, commercial, industrial, or governmental purposes. The environmental professional may exercise professional judgment in context of the facts available at the time of the inquiry as to how far back in time it is necessary to search historical records.
§ 137.55 Searches for recorded environmental cleanup liens.
(a) All appropriate inquiries must include a search for the existence of environmental cleanup liens against the facility and the real property on which the facility is located that are filed or recorded under Federal, State, tribal, or local law.
(b) All information collected by persons specified in § 137.1(a) rather than an environmental professional regarding the existence of environmental cleanup liens associated with the facility and the real property on which the facility is located may be provided to the environmental professional or retained by the applicable party.
§ 137.60 Reviews of Federal, State, tribal, and local government records.
(a) Federal, State, tribal, and local government records or databases of government records of the facility, the real property on which the facility is located, and adjoining properties must be reviewed for the purposes of achieving the objectives and performance factors of § 137.30(a) and (b).
(b) With regard to the facility and the property on which the facility is located, the review of Federal, State, and tribal government records or databases of the government records and local government records and databases of the records should include—
(1) Records of reported oil discharges present, including site investigation reports for the facility and the real property on which the facility is located;
(2) Records of activities, conditions, or incidents likely to cause or contribute to discharges or substantial threat of discharges of oil, including landfill and other disposal unit location records and permits, storage tank records and permits, hazardous waste handler and generator records and permits, Federal, tribal and State government listings of sites identified as priority cleanup sites, and spill reporting records;
(3) Comprehensive Environmental Response, Compensation, and Liability Information System (CERCLIS) records;
(4) Public health records;
(5) Emergency Response Notification System records;
(6) Registries or publicly available lists of engineering controls; and
(7) Registries or publicly available lists of institutional controls, including environmental land use restrictions, applicable to the facility and the real property on which the facility is located.
(c) With regard to nearby or adjoining properties, the review of Federal, State, tribal, and local government records or databases of government records should include the identification of the following:
(1) Properties for which there are government records of reported discharges or substantial threat of discharges of oil. Such records or databases containing such records and the associated distances from the facility and the real property on which the facility is located for which such information should be searched include the following:
(i) Records of National Priorities List (NPL) sites or tribal- and State-equivalent sites (one mile).
(ii) Resource Conservation and Recovery Act (RCRA) properties subject to corrective action (one mile).
(iii) Records of Federally-registered, or State-permitted or -registered, hazardous waste sites identified for investigation or remediation, such as sites enrolled in State and tribal voluntary cleanup programs and tribal- and State-listed brownfield sites (one-half mile).
(iv) Records of leaking underground storage tanks (one-half mile).
(2) Properties that previously were identified or regulated by a government entity due to environmental concerns at the facility and the real property on which the facility is located. The records or databases containing the records and the associated distances from the facility and the real property on which the facility is located for which the information should be searched include the following:
(i) Records of delisted NPL sites (one-half mile).
(ii) Registries or publicly available lists of engineering controls (one-half mile).
(iii) Records of former CERCLIS sites with no further remedial action notices (one-half mile).
(3) Properties for which there are records of Federally-permitted, State-permitted or -registered, or tribal-permitted or -registered waste management activities. The records or databases that may contain the records include the following:
(i) Records of RCRA small quantity and large quantity generators (adjoining properties).
(ii) Records of Federally-permitted, State-permitted or -registered, or tribal-permitted landfills and solid waste management facilities (one-half mile).
(iii) Records of registered storage tanks (adjoining property).
(4) A review of additional government records with regard to sites identified under paragraphs (c)(1) through (c)(3) of this section may be necessary in the judgment of the environmental professional for the purpose of achieving the objectives and performance factors of §§ 137.30(a) and (b).
(d) The search distance from the real property boundary for reviewing government records or databases of government records listed in paragraph (c) of this section may be modified based upon the professional judgment of the environmental professional. The rationale for the modifications must be documented by the environmental professional. The environmental professional may consider one or more of the following factors in determining an alternate appropriate search distance—
(1) The nature and extent of a discharge.
(2) Geologic, hydrogeologic, or topographic conditions of the property and surrounding environment.
(3) Land use or development densities.
(4) The property type.
(5) Existing or past uses of surrounding properties.
(6) Potential migration pathways (e.g., groundwater flow direction, prevalent wind direction).
(7) Other relevant factors.
§ 137.65 Visual inspections of the facility, the real property on which the facility is located, and adjoining properties.
(a) For the purpose of achieving the objectives and performance factors of § 137.30(a) and (b), the inquiry of the environmental professional must include the following:
(1) A visual on-site inspection of the facility and the real property on which the facility is located, and the improvements at the facility and real property, including a visual inspection of the areas where oil may be or may have been used, stored, treated, handled, or disposed. Physical limitations to the visual inspection must be noted.
(2) A visual inspection of adjoining properties, from the subject real property line, public rights-of-way, or other vantage point (e.g., aerial photography), including a visual inspection of areas where oil may be or may have been stored, treated, handled or disposed. A visual on-site inspection is recommended, though not required. Physical limitations to the inspection of adjacent properties must be noted.
(b) Except as in paragraph (c) of this section, a visual on-site inspection of the facility and the real property on which the facility is located must be conducted.
(c) An on-site inspection is not required if an on-site visual inspection of the facility and the real property on which the facility is located cannot be performed because of physical limitations, remote and inaccessible location, or other inability to obtain access to the facility and the real property on which the facility is located after good faith efforts have been taken to obtain access. The mere refusal of a voluntary seller to provide access to the facility and the real property on which the facility is located is not justification for not conducting an on-site inspection. The inquiry of the environmental professional must include—
(1) Visually inspecting the facility and the real property on which the facility is located using another method, such as aerial imagery for large properties, or visually inspecting the facility and the real property on which the facility is located from the nearest accessible vantage point, such as the property line or public road for small properties;
(2) Documenting the efforts undertaken to obtain access and an explanation of why such efforts were unsuccessful; and
(3) Documenting other sources of information regarding the presence or likely presence of oil at the facility and the real property on which the facility is located that were consulted according to § 137.30(a). The documentation should include comments, if any, by the environmental professional on the significance of the failure to conduct a visual on-site inspection of the facility and the real property on which the facility is located with regard to the ability to identify conditions indicative of the presence or likely presence of oil at the facility and the real property.
§ 137.70 Specialized knowledge or experience on the part of persons specified in § 137.1(a).
(a) For the purpose of identifying conditions indicative of the presence or likely presence of oil at the facility and the real property on which the facility is located, persons specified in § 137.1(a) must take into account their own specialized knowledge of the facility and the real property on which the facility is located, the area surrounding the facility and the real property on which the facility is located, and the conditions of adjoining properties and their experience relevant to the inquiry.
(b) The results of all appropriate inquiries under § 137.33 must take into account the relevant and applicable specialized knowledge and experience of the persons specified in § 137.1(a) responsible for undertaking the inquiry.
§ 137.75 The relationship of the purchase price to the value of the facility and the real property on which the facility is located, if oil was not at the facility or on the real property.
(a) Persons specified in § 137.1(a) must consider whether the purchase price of the facility and the real property on which the facility is located reasonably reflects the fair market value of the facility and real property if oil was not present or likely present.
(b) If the persons conclude that the purchase price does not reasonably reflect the fair market value of that facility and real property if oil was not at the facility and the real property, they must consider whether or not the differential in purchase price and fair market value is due to the presence or likely presence of oil.
§ 137.80 Commonly known or reasonably ascertainable information about the facility and the real property on which the facility is located.
(a) Throughout the inquiries, persons specified in § 137.1(a) and environmental professionals conducting the inquiry must take into account commonly known or reasonably ascertainable information within the local community about the facility and the real property on which the facility is located and consider that information when seeking to identify conditions indicative of the presence or likely presence of oil at the facility and the real property.
(b) Commonly known information may include information obtained by the person specified in § 137.1(a) or by the environmental professional about the presence or likely presence of oil at the facility and the real property on which the facility is located that is incidental to the information obtained during the inquiry of the environmental professional.
(c) To the extent necessary to achieve the objectives and performance factors of § 137.30(a) and (b), the person specified in § 137.1(a) and the environmental professional must gather information from varied sources whose input either individually or taken together may provide commonly known or reasonably ascertainable information about the facility and the real property on which the facility is located; the environmental professional may refer to one or more of the following sources of information:
(1) Current owners or occupants of neighboring properties or properties adjacent to the facility and the real property on which the facility is located.
(2) Local and state government officials who may have knowledge of, or information related to, the facility and the real property on which the facility is located.
(3) Others with knowledge of the facility and the real property on which the facility is located.
(4) Other sources of information, such as newspapers, Web sites, community organizations, local libraries, and historical societies.
§ 137.85 The degree of obviousness of the presence or likely presence of oil at the facility and the real property on which the facility is located and the ability to detect the oil by appropriate investigation.
(a) Persons specified in § 137.1(a) and environmental professionals conducting an inquiry of a facility and the real property on which it is located on their behalf must take into account the information collected under §§ 137.45 through 137.80 in considering the degree of obviousness of the presence or likely presence of oil at the facility and the real property on which the facility is located.
(b) Persons specified in § 137.1(a) and environmental professionals conducting an inquiry of a facility and the property on which the facility is located on their behalf must take into account the information collected under §§ 137.45 through 137.80 in considering the ability to detect the presence or likely presence of oil by appropriate investigation. The report of the environmental professional should include an opinion under § 137.35(c)(4) regarding whether additional appropriate investigation is necessary.
PART 138—EVIDENCE OF FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS, DEEPWATER PORTS AND ONSHORE FACILITIES)
Subpart A—Evidence of Financial Responsibility for Water Pollution (Vessels)
§ 138.10 Scope and purpose.
(a) Scope. This subpart sets forth—
(1) The requirements and procedures each COFR Operator (as defined in § 138.30(b)) must use to establish and maintain the evidence of financial responsibility required by the OPA 90 and CERCLA (both defined in § 138.30), and to obtain Certificates of Financial Responsibility (COFR);
(2) The standards and procedures the Coast Guard uses to determine the acceptability of guarantors;
(3) The procedures guarantors must use to submit evidence of financial responsibility on behalf of the responsible parties for vessels to which this subpart applies;
(4) The requirements for designating and maintaining U.S. agents for service of process;
(5) The requirements for reporting changes affecting compliance with this subpart; and
(6) The enforcement actions that may result from non-compliance with this subpart or OPA 90, CERCLA, or both, referenced in paragraph (a)(1) of this section.
(b) Purpose. These requirements ensure that the responsible parties for vessels to which this subpart applies, have sufficient available financial resources to cover their potential liabilities to the United States and other claimants in the following scenarios:
(1) Under OPA 90 in the event of a discharge, or substantial threat of a discharge, of oil; and
(2) In the case of vessels greater than 300 gross tons, under CERCLA in the event of a release, or threatened release, of a hazardous substance.
§ 138.20 Applicability.
(a) Applicability generally. This subpart applies—
(1) To the COFR Operator of—
(i) Any vessel over 300 gross tons (except a vessel listed in paragraph (d)(1) or (2) of this section) using the navigable waters of the United States, or any port or other place subject to the jurisdiction of the United States, including any such vessel using a deepwater port or other offshore facility subject to the jurisdiction of the United States;
(ii) Any vessel of any size (except a vessel listed in paragraph (d)(1) or (3) of this section) using the waters of the Exclusive Economic Zone to transship or lighter oil (whether delivering or receiving) destined for a place subject to the jurisdiction of the United States; and
(iii) Any tank vessel over 100 gross tons (except a vessel listed in paragraph (d)(1) or (3) of this section) using the navigable waters of the United States, or any port or other place subject to the jurisdiction of the United States, including any such tank vessel using a deepwater port or other offshore facility subject to the jurisdiction of the United States;
(2) To a guarantor providing evidence of financial responsibility under this subpart on behalf of one or more of a vessel’s responsible parties;
(3) To responsible parties other than the COFR Operator designated to represent the responsible parties for purposes of this subpart; and
(4) To any person serving as a U.S. agent for service of process under this subpart.
(b) How to apply this part to mobile offshore drilling units. For the purposes of applying the evidence of financial responsibility required under OPA 90 and this subpart and the limits of liability set forth in subpart B of this part, and in addition to any OPA 90 offshore facility evidence of financial responsibility requirements that may apply under 30 CFR part 553, a mobile offshore drilling unit is treated as—
(1) A tank vessel when it is being used as an offshore facility; and
(2) A vessel other than a tank vessel when it is not being used as an offshore facility.
(c) How to apply CERCLA evidence of financial responsibility to self-propelled vessels. For the purposes of applying the evidence of financial responsibility required under CERCLA and for vessels identified in paragraph (a)(1)(i) of this section, this subpart applies to a self-propelled vessel over 300 gross tons even if it does not carry hazardous substances.
(d) Exceptions. (1) This subpart does not apply to public vessels.
(2) Paragraph (a)(1)(i) of this section does not apply to any non-self-propelled barge that does not carry oil as cargo or fuel and does not carry hazardous substances as cargo.
(3) Paragraphs (a)(1)(ii) and (iii) of this section do not apply to: any offshore supply vessel; any fishing vessel or fish tender vessel of 750 gross tons or less that transfers fuel without charge to a fishing vessel owned by the same person; any towing or pushing vessel (tug) simply because it has in its custody a tank barge; or any tank vessel that only carries, or is adapted to carry, non-liquid hazardous material in bulk as cargo or cargo residue.
§ 138.30 Definitions.
(a) As used in this subpart, the following terms have the meanings set forth in—
(1) OPA 90 (specifically in 33 U.S.C. 2701): Claim, claimant, damages, deepwater port, discharge, Exclusive Economic Zone, facility, incident, liable or liability, mobile offshore drilling unit, navigable waters, offshore facility, oil, owner or operator, person, remove, removal, removal costs, responsible party, tank vessel, United States, and vessel; and
(2) CERCLA (42 U.S.C. 9601): Claim, claimant, damages, facility, hazardous substance, liable or liability, navigable waters, offshore facility, owner or operator, person, remove, removal, United States, and vessel.
(3) 46 CFR 69.9: Convention Measurement System, foreign-flag vessel, gross tonnage ITC (GT ITC)
(b) As used in this subpart—
Applicable amount means an OPA 90 or CERCLA evidence of financial responsibility amount determined to apply to a vessel as provided under § 138.100.
Application means an “Application for Vessel Certificate of Financial Responsibility (Water Pollution)”, which the COFR Operator for one or more vessels has completed and verified in eCOFR, as provided in § 138.60(c)(1)(i), or signed, dated, and submitted to the NPFC by one of the submission methods specified in § 138.60(c)(1)(ii) through (iv).
Cargo means goods or materials carried on board a vessel for purposes of transportation, whether proprietary or nonproprietary. A hazardous substance or oil carried solely for use aboard the carrying vessel is not cargo.
CERCLA means the Comprehensive Environmental Response, Compensation, and Liability Act of 1980, as amended (42 U.S.C. 9601, et seq.).
COFR means a current Certificate of Financial Responsibility (Water Pollution) issued by the Director, under this subpart, as provided in § 138.70, and posted on the NPFC COFR program website https://npfc.uscg.mil/cofr/default.aspx.
COFR Operator means a responsible party who conducts, or has responsibility for, the operation of a vessel to which this subpart applies—that is, a person who is an operator as defined in OPA 90 and CERCLA, and, when there is more than one responsible party (including more than one operator), is the operator designated and authorized by all the vessel’s responsible parties to act on their behalf for the purpose of complying with this subpart, including submitting (or causing to be submitted) all Applications and requests for COFR renewal, evidence of financial responsibility and reports, and payment of all fees required by § 138.120.
(i) If a vessel has one owner and is operated by that owner, or the owner controls and is responsible for the vessel’s operation, the owner is the COFR Operator. In all other cases the person who operates, or controls and is principally responsible for the operation of, the vessel (for example, the demise charterer) is the COFR Operator.
(ii) A person who is responsible, or who agrees by contract to become responsible, for a vessel in the capacity of a builder, repairer, or scrapper, or for the purpose of holding the vessel out for sale or lease, is the COFR Operator. A person who takes possession of, or responsibility for, a newly built, modified, or repaired vessel from a builder or repairer, or who purchases and operates or becomes a demise charterer of a vessel held out for sale or lease, is the COFR Operator.
(iii) A time or voyage charterer who does not assume responsibility for the operation of a vessel is not a COFR Operator for purposes of this subpart.
(iv) The designation of an operator to act as the COFR Operator on behalf of a vessel’s responsible parties for purposes of this subpart does not limit who may be determined to be an operator under OPA 90, CERCLA, or both, in the event of an incident or a release.
Day or days means calendar days unless otherwise specified.
Director means the person in charge of the U.S. Coast Guard, National Pollution Funds Center (NPFC), or that person’s authorized representative.
eCOFR means the electronic Certificate of Financial Responsibility web-based process located on the NPFC COFR program website, https://npfc.uscg.mil/cofr/default.aspx, and is the process COFR Operators may use to apply for and renew COFRs.
Evidence of financial responsibility means the demonstration of the financial ability of the responsible parties for a vessel to which this subpart applies to meet their potential liabilities under OPA 90, CERCLA, or both, up to the total applicable amount determined as provided under § 138.100.
Financial guarantor is a type of guarantor and means a business entity or other person providing a financial guaranty under § 138.110(c). A financial guarantor is distinct from a COFR insurance guarantor, a self-insurer, or a surety. A self-insurer, however, may also serve as a financial guarantor for others.
Fish tender vessel and fishing vessel have the same meanings as set forth in 46 U.S.C. 2101.
Fleet Certificate means a COFR issued by the Director under this subpart to the COFR Operator of a fleet of 2 or more unmanned, non-self-propelled barges that are not tank vessels and that, from time to time, may be subject to this subpart (for example, a hopper barge over 300 gross tons when carrying oily metal shavings or similar cargo). A Fleet Certificate covers, automatically, all unmanned, non-self-propelled, non-tank barges for which the COFR Operator may from time to time be responsible that does not exceed the maximum gross tonnage indicated on the Fleet Certificate.
Fuel means any oil or hazardous substance used, or capable of being used, to produce heat or power by burning, including power to operate equipment. A hand-carried pump with no more than 5 gallons of fuel capacity, that is neither integral to nor regularly stored aboard a non-self-propelled barge, is not equipment.
Guarantor means any person who has been determined to be acceptable by the Director, as provided in § 138.110, and who is providing evidence of financial responsibility on behalf of one or more of a vessel’s responsible parties, other than as a responsible party providing self-insurance under § 138.110(d).
Hazardous material has the same meaning as set forth in 46 U.S.C. 2101.
Individual Certificate means a COFR issued by the Director under this subpart to the COFR Operator for a single vessel.
Insurance guarantor is a type of guarantor and means an insurance company, association of underwriters, ship owners’ protection and indemnity association, or other person, serving as a guarantor under § 138.110(b). An insurance guarantor is distinct from a self-insurer, a financial guarantor, or a surety.
Master Certificate means a COFR issued by the Director under this subpart to the COFR Operator of one or more vessels that are under the custody of such person solely in the capacity of a builder, repairer, or scrapper, or for the purpose of holding vessels out for sale or lease, where such person does not physically operate the vessels. A Master Certificate covers, automatically, all of the vessels subject to this subpart held by the COFR Operator solely for purposes of construction, repair, scrapping, sale or lease. A vessel which is being operated commercially in any business venture, including the business of building, repairing, scrapping, leasing, or selling (for example, a slop barge used by a shipyard) cannot be covered by a Master Certificate and must have either a current Individual Certificate or, if applicable, a current Fleet Certificate.
Net worth means the amount of all assets located in the United States, less all liabilities anywhere in the world.
NPFC means the U.S. Coast Guard, National Pollution Funds Center. NPFC is the U.S. Government office responsible for administering the OPA 90 and CERCLA vessel COFR program.
Offshore supply vessel has the same meaning as set forth in 46 U.S.C. 2101.
OPA 90 means the Oil Pollution Act of 1990, as amended (33 U.S.C. 2701, et seq.).
Public vessel means a vessel owned or demise chartered and operated by the United States, by a State or political subdivision thereof, or by a foreign nation, except when the vessel is engaged in commerce.
Release, for purposes of this subpart, means a release as defined in CERCLA (specifically, 42 U.S.C. 9601), or a threatened release, of a hazardous substance.
Responsible party, for purposes of OPA 90 evidence of financial responsibility, has the same meaning as defined at 33 U.S.C. 2701; and, for purposes of CERCLA evidence of financial responsibility, means any person who is an “owner or operator,” as defined at 42 U.S.C. 9601, including any person chartering a vessel by demise.
Self-insurer means a COFR Operator providing evidence of financial responsibility as the responsible party of the subject vessel, as provided under § 138.110(d). A self-insurer is distinct from a guarantor.
Total applicable amount means an evidence of financial responsibility amount that must be demonstrated under this subpart, determined as provided in § 138.100.
Working capital means the amount of current assets located in the United States, less all current liabilities anywhere in the world.
§ 138.40 General requirements.
(a) Requirement to establish and maintain evidence of financial responsibility. The COFR Operator of a vessel must establish and maintain (or cause to be established and maintained) evidence of financial responsibility acceptable to the Director using any one of the methods specified in § 138.110, in an amount equal to or greater than the total applicable amount determined under § 138.100 and, in the case of a financial guarantor, as further provided under § 138.110(c)(2) (aggregation of total applicable amounts). The evidence of financial responsibility required by this paragraph must be—
(1) Established as of the date they become a responsible party; and
(2) Continuously maintained for so long as they remain a responsible party.
(b) Requirement to have a COFR and report changes. The COFR Operator must apply for and ensure the vessel is covered at all times by a current COFR, by complying with the requirements and procedures set forth in this subpart, including the reporting requirements in § 138.150.
§ 138.50 How to apply vessel gross tonnages.
(a) Purpose. This section sets forth the methods for applying vessel gross tonnage to—
(1) Determine whether a vessel exceeds the 100 or 300 gross ton threshold under § 138.20 and OPA 90, CERCLA, or both;
(2) Calculate the OPA 90 and CERCLA applicable amounts of financial responsibility required, as provided in § 138.100; and
(3) Determine the OPA 90 limit of liability under subpart B of this part in the event of an oil pollution incident, and the CERCLA limit of liability under 42 U.S.C. 9607 in the event of a hazardous substance release.
(b) Both GT ITC and GRT assigned. For a vessel assigned both gross tonnage ITC (GT ITC) and gross register tonnage (GRT) under 46 CFR part 69, apply the tonnage thresholds in § 138.20 using the assigned GRT tonnage, and determine the applicable amounts of financial responsibility and the limits of liability using the assigned GT ITC tonnage.
(c) GT ITC or GRT assigned. For a vessel assigned only a GT ITC or a GRT tonnage under 46 CFR part 69, apply the tonnage thresholds in § 138.20, and determine the applicable amounts of evidence of financial responsibility and the limits of liability using the assigned GT ITC or GRT tonnage.
(d) High or low GRT assigned. For a vessel assigned a high and low GRT tonnage under 46 CFR part 69, subpart D (Dual Regulatory Measurement System), apply the tonnage thresholds in § 138.20, and determine the applicable amounts of financial responsibility and the limits of liability, using the high GRT tonnage.
(e) Summary. The use of assigned gross tonnages, as required by paragraphs (b) through (d) of this section, is summarized in the following table.
Table 1 to § 138.50(
| Category | Assigned tonnage | |
|---|---|---|
| To apply the tonnage
thresholds in § 138.20 | To determine applicable amounts under § 138.100 and limits of liability | |
| GRT | GT ITC. | |
| GT ITC only | GT ITC | GT ITC. |
| GRT only | GRT | GRT. |
(f) Certified gross tonnage governs. In the event of an incident or release, the responsible parties and guarantors are governed by the vessel’s assigned gross tonnage on the date of the incident. This is as determined under paragraphs (b) through (e) of this section and evidenced on the appropriate tonnage certifying document as provided for under the U.S. tonnage regulations or international conventions (for example, tonnage certificate or completed Simplified measurement application, International Tonnage Certificate (1969)), regardless of what gross tonnage is specified in the Application or guaranty form submitted under this subpart, except when the responsible parties or guarantors knew or should have known that the tonnage certificate information was incorrect (see also § 138.110(h)(1)(iii)).
(g) Requirement to present tonnage certifying document(s). Each COFR Operator must submit to the Director, or other authorized United States Government official, upon request, for examination and copying, the original or an unaltered and legible electronic copy of the vessel’s applicable tonnage certifying document(s).
§ 138.60 Forms and submissions; ensuring submission timeliness.
(a) Where to obtain forms. All forms referred to in this subpart are available at the NPFC COFR program website, https://npfc.uscg.mil/cofr/default.aspx, and may be completed online or downloaded.
(b) Where to obtain information. Direct all questions concerning the requirements of this subpart to the NPFC at one of the addresses in paragraphs (c)(1)(ii) through (iv) of this section or by calling the NPFC at 202-795-6130.
(c) How to present Applications and other required submissions. (1) Provide all submissions required by this subpart to the Director, by one of the following four methods:
(i) Electronically, using the eCOFR process (located at https://npfc.uscg.mil/cofr/default.aspx);
(ii) By email, sent to such email address as the Director may specify, attaching legible electronic images scanned in a format acceptable to the Director;
(iii) By fax, sent to 202-795-6123 with a cover sheet specifying the total number of pages, the sender’s telephone number, and referencing NPFC telephone number 202-795-6130; or
(iv) By mail, addressed to—
Director, National Pollution Funds Center, ATTN: VESSEL CERTIFICATION, U.S. Coast Guard Stop 7605, 2703 Martin Luther King Jr. Ave. SE,
Washington, DC 20593-7605.
(2) Submissions may not be hand delivered to the NPFC.
(3) Do not present submissions by more than one method.
(d) Required contents of submissions. Unless otherwise instructed by the Director, all submissions required by this subpart must—
(1) Set forth, in full, the correct legal name of the COFR Operator to whom the COFR is to be, or has been, issued;
(2) Be in English, and
(3) Express all monetary terms in United States dollars.
(e) Ensuring the timeliness of submissions; requesting deadline exceptions. (1) Compliance with a submission deadline will be determined based on the day the submission is received by NPFC. If a deadline specified in this subpart falls on a weekend or Federal holiday, the deadline will occur on the next business day.
(2) Ensuring the timeliness of the submissions is the sole responsibility of the person making the submission.
(3) The Director may, in the Director’s sole discretion, grant an exception to a deadline specified in this subpart for good cause shown.
(f) Public access to information. Financial data and other information submitted to the Director is considered public information to the extent required by the Freedom of Information Act (5 U.S.C. 552) and permitted by the Privacy Act (5 U.S.C. 552(a)).
§ 138.70 Issuance and renewal of COFRs.
(a) Types of COFRs. The Director issues the following three types of COFRs as provided further in § 138.80: Individual Certificates, Fleet Certificates and Master Certificates.
(b) Requirements before issuance and renewal of COFRs. The Director will issue or renew a COFR only after NPFC receives a completed Application or request for COFR renewal, and satisfactory evidence of financial responsibility.
(c) COFRs are issued only to designated COFR Operators. Each COFR of any type is issued only in the name of the COFR Operator designated in the Application or request for COFR renewal.
(d) Form of issuance. All COFRs are issued by the Director in electronic form on NPFC’s COFR program website (https://npfc.uscg.mil/cofr/default.aspx) for a term of no more than 3 years from the date of issuance.
(e) Information included in COFRs. The following information is available on NPFC’s COFR program website for each COFR issued by the Director:
(1) The name of the COFR Operator;
(2) The date of COFR expiration;
(3) The COFR number;
(4) For an Individual Certificate, the name of the covered vessel, and the vessel’s gross tonnage information, including the measurement system(s) used;
(5) For a Fleet Certificate, the gross tons of the largest unmanned, non-self-propelled, non-tank barge within the fleet, including the measurement systems(s) used; and
(6) For a Master Certificate, the gross tons of the largest tank vessel and largest vessel other than a tank vessel eligible for coverage by the Master Certificate, including the measurement systems(s) used.
§ 138.80 Applying for COFRs.
(a) How to apply for a COFR. To apply for a COFR of any type, the COFR Operator must—
(1) Submit, or cause to be submitted, to the Director, by one of the submission methods provided in § 138.60(c):
(i) An Application;
(A) For an Individual Certificate, list the name of the covered vessel, and the vessel’s gross tonnage information, including the measurement system(s) used on the application;
(B) For a Fleet Certificate, instead of listing each individual barge, mark the box with the following statement: “This is an Application for a Fleet Certificate. The largest unmanned, non-self-propelled, non-tank barge to be covered by this Application is [INSERT APPLICABLE GROSS TONS] GT ITC and [INSERT GROSS TONNAGE] GRT”; and
(C) For a Master Certificate, instead of listing each individual vessel, mark the box with the following statement: “This is an Application for a Master Certificate. The largest tank vessel to be covered by this Application is [INSERT APPLICABLE GROSS TONS] GT ITC and [INSERT APPLICABLE GROSS TONS] GRT, as applicable. The largest vessel other than a tank vessel to be covered by this Application is [INSERT APPLICABLE GROSS TONS] GT ITC and [INSERT APPLICABLE GROSS TONS] GRT, as applicable.”
(ii) The evidence of financial responsibility using one of the guaranty methods provided in § 138.110;
(A) For a Fleet Certificate, the evidence of financial responsibility must be in the total applicable amount, determined as provided in § 138.100, for the largest unmanned, non-self-propelled, non-tank barge to be covered.
(B) For a Master Certificate, the evidence of financial responsibility must be in the total applicable amount determined as provided in § 138.100 for the largest tank vessel and largest non-tank vessel to be covered by the Master Certificate.
(iii) The agent for service of process designations required by § 138.130; and
(iv) All other supporting documentation required by this subpart.
(A) At the time of Application for a Master Certificate, the COFR Operator must submit a report to the Director, indicating: the name; previous name, if applicable; type; gross tonnage and measurement system(s) used, for each vessel covered by the Master Certificate, indicating which vessels, if any, are tank vessels. If a vessel has both a GT ITC and GRT tonnage, specify both gross tonnages.
(B) Six months after receiving a Master Certificate, and every 6 months thereafter, each COFR Operator must submit to the Director, an updated report, separately listing the vessels no longer covered by that Master Certificate. If a vessel has both a GT ITC and GRT, both gross tonnages must be specified. If a vessel has been transferred to another responsible party and the COFR Operator to whom the Master Certificate was issued ceases to be the vessel’s operator, the COFR Operator must report the date and place of the transfer, and the name and contact information of the responsible party to whom the vessel was transferred. If the vessels covered by the Master Certificate have not changed from the previous report, the COFR Operator may submit an updated report that indicates no change from previous report.
(2) Pay, or cause to be paid, all fees required by § 138.120.
(b) Application deadline. The Director must receive the Application, evidence of financial responsibility, and other required supporting documentation, at least 21 days prior to the date the Certificate is required. The COFR Operator may seek an exception to the 21-day submission deadline only as provided in § 138.60(e)(3).
(c) Where to obtain Application forms. COFR Operators may create an Application using the online eCOFR web process (located at https://npfc.uscg.mil/cofr/default.aspx) or, if not using eCOFR, may obtain an “Application for Vessel Certificate of Financial Responsibility (Water Pollution)” at the same website.
(d) Requirement to verify, or sign and date, the Application. (1) The COFR Operator must complete and either verify the Application in eCOFR as provided in § 138.60(c)(1)(i) or, if not using eCOFR, sign and date the hard-copy signature page of the Application and submit the signed Application to the Director, by one of the methods specified in § 138.60(c)(1)(ii) through (iv).
(2) The Application must include the title of the person signing it.
(3) If the person signing the Application is acting under a Power of Attorney, they must include a copy of the Power of Attorney with the Application.
(e) Requirement to update Applications. The COFR Operator must report any changes to the Application to the Director in writing, no later than 5 business days after discovery of the change. The Director may require that the COFR Operator submit a revised Application and provide additional evidence of financial responsibility, and pay any additional fees required by § 138.120.
(f) Amending Fleet and Master Certificates. Before operating a barge or vessel that exceeds the maximum gross tonnage indicated on the COFR, the COFR Operator must:
(1) Submit a new or amended Application, or a written request to supplement the Application, to reflect the new maximum gross tonnages on the COFR;
(2) Unless the COFR Operator qualifies as a self-insurer at the higher total applicable amount, submit, or cause to be submitted, evidence of financial responsibility using one of the guaranty methods provided in § 138.110 to the Director, demonstrating increased coverage based on the new maximum gross tonnage; and
(3) Pay a new certification fee, as required by § 138.120.
§ 138.90 Renewing COFRs.
(a) The COFR Operator must submit a request for COFR renewal to the NPFC at least 21 days, but no earlier than 90 days, before the expiration date of the current COFR.
(b) The COFR Operator may seek an exception to the 21-day request for COFR renewal submission deadline in paragraph (a) of this section only as provided in § 138.60(e)(3).
(c) The COFR Operator must identify in the request for COFR renewal all changes to the information contained in the initial Application, including the gross ton measurement system(s) used (if not previously provided), the evidence of financial responsibility, and all other supporting documentation previously submitted to the Director, as provided in § 138.150.
§ 138.100 How to calculate a total applicable amount.
The total applicable amount is the sum of the OPA 90 applicable amount determined under paragraph (a) of this section plus the CERCLA applicable amount determined under paragraph (b) of this section.
(a) OPA 90 applicable amount. The applicable amount under OPA 90 is equal to the applicable limit of liability determined as provided in subpart B of this part.
(b) CERCLA applicable amount. The applicable amount under CERCLA is determined as follows:
(1) For a vessel over 300 gross tons carrying a hazardous substance as cargo, and for any vessel covered under § 138.110(c)(3) or (d)(2)(ii) (calculation of CERCLA applicable amounts for financial guarantors and self-insurers), the greater of $5,000,000 or $300 per gross ton.
(2) For any other vessel over 300 gross tons, the greater of $500,000 or $300 per gross ton.
(c) Amended applicable amounts. If an applicable amount determined under paragraph (a) or (b) of this section is amended by statute or regulation, the COFR Operator must establish and maintain evidence of financial responsibility in an amount equal to or greater than the amended total applicable amount, as provided in § 138.240(a).
(d) OPA 90 and CERCLA applicable amounts and limits of liability. The responsible parties are strictly, jointly and severally liable, for the costs and damages resulting from an incident or a release, but together they need only establish and maintain an amount of financial responsibility equal to the single limit of liability per incident or release. Only that portion of the evidence of financial responsibility under this subpart with respect to—
(1) OPA 90 is required to be made available by a guarantor for the costs and damages related to an incident where there is not also a release; and
(2) CERCLA is required to be made available by a guarantor for the costs and damages related to a release where there is not also an incident. A guarantor (or a self-insurer for whom the exceptions to a limitations of liability are not applicable), therefore, is not required to apply the entire amount of financial responsibility to an incident involving oil alone or a release involving a hazardous substance alone.
§ 138.110 How to establish and maintain evidence of financial responsibility.
(a) General requirement; guaranty effective date and termination date. The COFR Operator of each vessel must submit, or cause to be submitted, to the Director, the evidence of financial responsibility required by § 138.40(a) using one of the methods specified in this section.
(1) If submitted on behalf of the COFR Operator, the guarantor must provide evidence of financial responsibility to the Director.
(2) The effective and termination dates are as follows:
Table 1 to § 138.110(
| Type of certificate | Effective date | Termination date |
|---|---|---|
| Individual
Fleet | Guaranty form submission date
Guaranty form submission date or date COFR Operator becomes a Responsible Party for the vessel | 30 days after the date the Director and the COFR Operator receive written notice from the guarantor that the guarantor intends to cancel the guaranty for that vessel. |
| Master | Guaranty form submission date or date COFR Operator becomes a Responsible Party for the vessel |
(3) Termination provisions:
(i) The guarantor must specify the reason for terminating the guaranty in the notice required by this paragraph, if known.
(ii) Termination of the guaranty as to any covered vessel will not affect the liability of the guarantor in connection with an incident or release commencing or occurring prior to the effective date of the guaranty termination.
(4) If, at any time, the information contained in the evidence of financial responsibility submitted under this section changes, or there is a material change in a guarantor or self-insurer’s financial position, the guarantor or COFR Operator or self-insurer (as applicable), must report the change to the Director, as provided in § 138.150.
(b) Insurance guaranty method. The COFR Operator may establish and maintain evidence of financial responsibility using the insurance guaranty method by submitting an Insurance Guaranty Form to the Director.
(1) Each form must be executed by no more than four COFR insurance guarantors accepted by the Director. A lead underwriter is considered one of the COFR insurance guarantors.
(2) The process for establishing and maintaining the acceptability of a COFR insurance guarantor is as follows:
(i) The COFR insurance guarantor must request an initial determination by the Director of the COFR insurance guarantor’s acceptability to serve as a COFR insurance guarantor under this subpart, at least 90 days before the date a COFR is required, by submitting information describing the COFR insurance guarantor’s structure, business practices, history, and financial strength, and such other information as may be requested by the Director.
(ii) The Director reviews the continued acceptability of COFR insurance guarantors annually. Each COFR insurance guarantor must submit updates to the initial request submitted under paragraph (b)(2)(i) of this section, annually, within 90 days after the close of the COFR insurance guarantor’s fiscal year, describing any material changes to the COFR insurance guarantor’s legal status, structure, business practices, history, and financial strength, since the previous year’s submission, and providing such other information as may be requested by the Director.
(c) Financial guaranty method. The COFR Operator may establish and maintain evidence of financial responsibility using the financial guaranty method by submitting a Financial Guaranty Form to the Director.
(1) Each form must be executed by no more than four financial guarantors accepted by the Director, at least one of which must be a parent or affiliate of the COFR Operator. (See paragraph (g) of this section for additional requirements if more than one financial guarantor signs the form.)
(2) The process for establishing and maintaining the acceptability of a financial guarantor is as follows:
(i) The financial guarantor must comply with the self-insurance provisions in paragraph (d) of this section, and the periodic reporting requirements in paragraphs (e)(1) through (4) of this section.
(ii) The financial guarantor must also demonstrate that it maintains net worth and working capital, each in amounts equal to or greater than—
(A) The aggregate total applicable amounts, calculated for each COFR Operator vessel for which the financial guaranty is being provided, based on each such COFR Operator’s vessel with the greatest total applicable amount, plus—
(B) The total applicable amount required to be demonstrated by a self-insurer under this subpart if the financial guarantor is also acting as a self-insurer.
(3) In the case of a vessel greater than 300 gross tons, calculate the CERCLA applicable amount under § 138.100(b)(1) based on a vessel carrying hazardous substances as cargo.
(d) Self-insurance method. The COFR Operator may establish and maintain evidence of financial responsibility using the self-insurance method as follows:
(1) Submit to the Director the financial statements specified in paragraphs (e)(1) through (4) of this section for the fiscal year preceding the date the COFR Operator signs the Application or request for COFR renewal.
(2) Demonstrate that the COFR Operator maintains, in the United States, working capital and net worth, each in amounts equal to or greater than the total applicable amount, calculated as follows:
(i) If the self-insurer has multiple vessels, calculate the total applicable amount based on the vessel with the greatest total applicable amount.
(ii) In the case of a vessel greater than 300 gross tons, calculate the CERCLA applicable amount under § 138.100(b)(1) based on a vessel carrying hazardous substances as cargo.
(e) Reporting requirements for self-insurers and financial guarantors. (1) Each self-insurer and financial guarantor must submit the following reports to the Director with the Application and annually thereafter, within the deadlines specified in paragraph (e)(4) of this section:
(i) Submit the self-insurer or financial guarantor’s annual, current, and audited non-consolidated financial statements prepared in accordance with Generally Accepted Accounting Principles, and audited by an independent Certified Public Accountant in accordance with Generally Accepted Auditing Standards.
(ii) Accompany the financial statements with a declaration from the self-insurer or financial guarantor’s chief financial officer, treasurer, or equivalent official, certifying the amount of the self-insurer or financial guarantor’s current assets, and the amount of the self-insurer or financial guarantor’s total assets included in the accompanying balance sheet, which are located in the United States.
(iii) If the financial statements cannot be submitted in non-consolidated form, submit a consolidated statement accompanied by an additional declaration prepared by the same Certified Public Accountant—
(A) Verifying the amount by which the total assets located in the United States exceed the self-insurer or financial guarantor’s total (worldwide) liabilities, and the self-insurer or financial guarantor’s current assets located in the United States exceed the self-insurer or financial guarantor’s total (worldwide) current liabilities;
(B) Specifically naming the self-insurer or financial guarantor;
(C) Confirming that the amounts so verified relate only to the self-insurer or financial guarantor, apart from any parent or other affiliated entity; and
(D) Identifying the consolidated financial statement to which it applies.
(2) When the self-insurer or financial guarantor’s demonstrated net worth is not at least ten times the cumulative total applicable amounts, their chief financial officer, treasurer, or equivalent official must submit to the Director with the Application and semi-annually thereafter, within the deadline specified in paragraph (e)(4) of this section, an affidavit stating that neither their working capital nor net worth fell during the first 6 months of the self-insurer or financial guarantor’s current fiscal year, below the cumulative total applicable amounts.
(3) All self-insurers and financial guarantors must—
(i) Submit, upon the Director’s request, additional financial information within the time specified; and
(ii) Notify the Director in writing within 5 days following the date the self-insurer or financial guarantor knows, or has reason to know, that its working capital or net worth has fallen below the total applicable amounts.
(4) All required annual financial statements and declarations must be submitted to the Director within 90 days after the close of the self-insurer or financial guarantor’s fiscal year. All required semi-annual financial statements and declarations must be submitted to the Director within 30 days after the close of the applicable 6-month period. The Director will grant an extension of the time limits for submissions under this paragraph only as provided in § 138.60(e).
(5) A failure by a self-insurer or financial guarantor to timely submit to the Director any statement, data, notification, or other submission required may result in the Director denying or revoking the COFR, and may prompt enforcement action as provided under § 138.170.
(6) The Director may waive the working capital requirement for any self-insurer or financial guarantor that—
(i) Is a regulated public utility, a municipal or higher-level governmental entity, or an entity operating solely as a charitable, non-profit organization qualifying under the Internal Revenue Code (26 U.S.C. 501(c)), provided that the self-insurer or financial guarantor demonstrates in writing that the waiver would benefit a local public interest; or
(ii) Demonstrates in writing that working capital is not a significant factor in the self-insurer or financial guarantor’s financial condition, in which case the self-insurer or financial guarantor’s net worth in relation to the required cumulative total applicable amounts, and a history of stable operations, are the major elements considered by the Director.
(f) Other guaranty methods for establishing evidence of financial responsibility. (1) The COFR Operator may request that the Director accept a guaranty method for establishing evidence of financial responsibility that is different from one of the methods described in paragraphs (b) through (e) of this section as follows:
(i) The COFR Operator must submit the request to the Director in writing, at least 90 days prior to the date the COFR is required.
(ii) The request must describe in detail: The method proposed; the reasons why the COFR Operator does not wish to (or is unable to) use one of the methods described in paragraphs (b) through (e) of this section; and how the proposed guaranty method assures that the vessel’s responsible parties have the financial ability to meet their potential liabilities under OPA 90 and CERCLA in the event of an incident or a release.
(iii) Each COFR Operator making a request under this paragraph must provide the Director a proposed guaranty form that includes all the elements described in paragraphs (g) and (h) of this section.
(2) The Director will not accept a self-insurance method other than the one described in paragraph (d) of this section. The Director also will not accept a guaranty method under this paragraph that merely deletes or alters a requirement or provision of one of the guaranty methods described in paragraphs (b) through (e) of this section (for example, one that alters the termination clause of the Insurance Guaranty).
(3) A Director’s decision to accept an alternative guaranty method of establishing evidence of financial responsibility under this paragraph is final agency action.
(g) Additional rules regarding multiple guarantors. If more than one guarantor executes the relevant guaranty form, the following rules apply:
(1) If a guarantor’s percentage of vertical participation is specified on the relevant guaranty form, the guarantor is subject to direct action and is liable for the payment of costs and damages under OPA 90 or CERCLA, as applicable, only in accordance with the percentage of vertical participation so specified for that guarantor.
(2) Participation in the form of layering (tiers, one in excess of another) is not permitted. Only vertical participation on a percentage basis and participation with no specified percentage allocation is acceptable.
(3) If no percentage of vertical participation is specified for a guarantor on the relevant guaranty form, the guarantor’s liability is joint and several for the total of the unspecified portion.
(4) The participating guarantors must designate a lead guarantor having authority to bind all of the participating guarantors for actions required of guarantors under OPA 90 or CERCLA and this subpart, including but not limited to reporting changes in the evidence of financial responsibility as provided in § 138.150(d), receipt of source designations, advertisement of source designations and the responsible party’s claims procedures, and receipt and settlement of claims.
(h) Direct action. (1) Each guarantor providing evidence of financial responsibility must submit to the Director a written acknowledgment by the guarantor that a claimant (including a claimant by right of subrogation) may assert any claim for costs or damages arising under OPA 90, CERCLA, or both, directly against the guarantor, regardless of whether the claim is asserted in an action in court or other proceeding. The guarantor must also acknowledge that, in the event a claim is asserted directly against the guarantor under OPA 90, CERCLA, or both, the guarantor may invoke only the following rights and defenses—
(i) The incident, release, or both, were caused by the willful misconduct of a responsible party for whom the guaranty was provided;
(ii) All rights and defenses, which would be available to the responsible party under OPA 90, CERCLA, or both, as applicable;
(iii) A defense that the amount of the claim, or all claims asserted with respect to the same incident or release, whether asserted in court or in any other proceeding, exceeds the amount of the guaranty, except when the guaranty is based on the gross tonnage of the vessel (instead of the statutory minimums) and the guarantor knew or should have known that the applicable tonnage certificate was incorrect (see § 138.50(f)); and
(iv) The claim is not one made under OPA 90, CERCLA, or both.
(2) Except when the guaranty is based on the gross tonnage of the vessel (instead of the statutory minimums) and the guarantor knew or should have known that the evidence of financial responsibility or applicable tonnage certificate is incorrect (see § 138.50(f)), a guarantor who provides evidence of financial responsibility under this subpart will be liable, with respect to any one incident or release, or both, as applicable, only for the amount of costs and damages specified in the evidence of financial responsibility.
(3) A guarantor will not be considered to have consented to direct action under any law other than OPA 90 or CERCLA, or to unlimited liability under any law or in any venue, solely because the guarantor has provided evidence of financial responsibility under this subpart.
(4) In the event of any finding that the liability of a guarantor under OPA 90 or CERCLA exceeds the amount of the guaranty provided under this subpart, that guaranty is considered null and void with respect to that excess.
(i) Process upon disapproval of guarantor. If the Director intends to disapprove or revoke the approval of a guarantor (for example, due to the guarantor’s change in financial position), the Director will notify the COFR Operator of the need to establish new evidence of financial responsibility within a specified period.
(1) If the COFR Operator establishes, or causes to be established, new acceptable evidence of financial responsibility within the period specified by the Director in the notice, the Application if otherwise complete will be approved or the COFR will remain in effect, and the COFR Operator will not have to pay a new Application fee or certification fee.
(2) If the COFR Operator fails to establish, or cause to be established, new acceptable evidence of financial responsibility within the period specified by the Director in the notice, the Director may deny or revoke the COFR and, if revoked, the COFR Operator will have to apply for a new COFR and pay a new certification fee. The COFR Operator’s failure to establish, or cause to be established, new acceptable evidence of financial responsibility within the period specified by the Director may also result in enforcement as provided under § 138.170.
§ 138.120 Fees.
(a) Fee payment methods. Each COFR Operator applying for a COFR, or requesting a COFR renewal, must pay the fees required by paragraphs (b) and (c) of this section as follows:
(1) All fees required by this section must be paid in United States dollars.
(2) For COFR Operators using eCOFR as provided under § 138.60(c)(1)(i), credit card payment is required.
(3) For COFR Operators submitting Applications and requests for COFR renewal under § 138.60(c)(1)(ii) through (iv) (email, fax, and mail submissions), the fees must be paid by a check, cashier’s check, draft, or postal money order, made payable to the “U.S. Coast Guard”. Cash payments will not be accepted.
(i) For Applications and requests for COFR renewal submitted under § 138.60(c)(1)(ii) and (iii) (email and fax submissions, respectively), all fee payments must be received by the Director no later than 21 days following submission of the Application or request for COFR renewal.
(ii) For Applications and requests for COFR renewal submitted under § 138.60(c)(1)(iv) (mail submissions), all fee payments must be enclosed with the Application or request for COFR renewal.
(4) Any failure to timely pay the fees required by this section may result in COFR denial or revocation, debt collection (see 6 CFR part 11, 44 CFR part 11, and 31 CFR parts 285, and 900 through 904), and such other enforcement under § 138.170 as may be appropriate.
(b) Application fee. (1) Except as provided in paragraph (b)(2) of this section, the COFR Operator must pay a non-refundable Application fee of $200 for each Application submitted under this subpart (for each Application for one or more Individual Certificates, for a Fleet Certificate, or for a Master Certificate).
(2) An Application fee is not required when the COFR Operator submits—
(i) A request for an additional Individual Certificate under an existing Application;
(ii) A request to amend an Application;
(iii) A request for Certificate renewal; or
(iv) A request to reinstate a Certificate, if submitted within 90 days following the Certificate’s revocation.
(c) Certification fees. In addition to the Application fees required by paragraph (b) of this section, each COFR Operator who submits an Application or request for COFR renewal must pay the following certification fees:
(1) $100 for each vessel listed in, or added to, an Application for one or more Individual Certificates;
(2) $100 for each Application for a Fleet Certificate or Master Certificate; and
(3) $100 for each request for renewal of an Individual Certificate, a Fleet Certificate or a Master Certificate.
(d) Fee refunds. (1) A certification fee will be refunded, upon receipt by the Director of a written request, if the Application or request for COFR renewal is denied by the Director, or if the Application is withdrawn by the COFR Operator before the Director issues the COFR.
(2) Overpayments of Application and certification fees will be refunded to the COFR Operator.
§ 138.130 Agents for Service of process.
(a) Designation of U.S. agents for service of process. Each COFR Operator and guarantor must designate on the forms submitted a person located in the United States as its U.S. agent for service of process and (in the event of an incident, a release, or both) for receipt of notices of source designation, claims presented under OPA 90, CERCLA, or both, and lawsuits brought under OPA 90, CERCLA, or both.
(b) U.S. agent for service of process acknowledgment. Each U.S. agent for service of process designated under paragraph (a) must acknowledge the agency designation in writing unless the agent has already submitted a written master (that is, blanket) agency acknowledgment to the Director showing that the agent has agreed in advance to act as the U.S. agent for service of process for the COFR Operator or guarantor in question.
(c) How to change the U.S. agent for service of process. A COFR Operator or guarantor may change a designated U.S. agent for service of process, at any time and for any reason, by submitting a new U.S. agent for service of process designation in accordance with the procedure in paragraph (a), and by causing the new U.S. agent for service of process to submit the agency acknowledgment required by paragraph (b) of this section.
(d) Replacement of unavailable U.S. agent for service of process. In the event a designated U.S. agent for service of process becomes unavailable at any time, for any reason, the COFR Operator or guarantor must designate a new U.S. agent for service of process in accordance with the procedures in paragraph (a), within 5 days of the COFR Operator or guarantor becoming aware of such unavailability. In addition, the new U.S. agent for service of process must submit to the Director the agency acknowledgment required by paragraph (b) of this section.
(e) Service on the Director. If a designated U.S. agent for service of process cannot be served, then service of process on the Director, as provided in this paragraph, will constitute valid service of process on the COFR Operator or guarantor. Service of process on the Director will not be effective unless the server—
(1) Has sent a copy of each document served on the Director to the COFR Operator or guarantor, as applicable, by registered mail, at the COFR Operator or guarantor’s last known address on file with the Director;
(2) Indicates, at the time process is served upon the Director, that the purpose of the mailing is to effect service of process on the COFR Operator or guarantor; and
(3) Provides evidence acceptable to the Director at the time process is served upon the Director, that service was attempted on the designated U.S. agent for service of process but failed, stating the reasons why service on the U.S. agent for service of process was not possible, and that the document was sent to the COFR Operator or guarantor, as required by paragraph (e)(1) of this section.
§ 138.140 Application withdrawals, COFR denials and revocations.
(a) Application withdrawal. A COFR Operator, or anyone authorized to act on their behalf, may withdraw an Application at any time prior to issuance of the COFR.
(b) Application denials and COFR revocations. The Director may deny an Application or revoke a COFR, and the United States may initiate enforcement under § 138.170, for any failure to comply with the requirements of this subpart, including—
(1) If the COFR Operator, or other person acting on the COFR Operator’s behalf, makes a false statement in, or in connection with, any submission required by this subpart;
(2) If the COFR Operator, or other person acting on the COFR Operator’s behalf, fails to establish or maintain acceptable evidence of financial responsibility, as required by this subpart;
(3) If the COFR Operator fails to pay the Application and certification fees required by § 138.120;
(4) If the COFR Operator or guarantor fails to designate and maintain a U.S. agent for service of process as required by § 138.130;
(5) If the COFR Operator, or other person acting on the COFR Operator’s behalf, fails to comply with, or respond to, lawful inquiries, regulations, or orders of the U.S. Coast Guard pertaining to the activities subject to this subpart;
(6) If the COFR Operator, or other person acting on the COFR Operator’s behalf, fails to timely report information required to be reported to the Director under this subpart, including failing to timely submit to the Director statements, data, financial information, notifications, affidavits, or other submissions required by this subpart; or
(7) If the Director obtains information indicating that the Application should be denied or that a new COFR is required (for example, a permanent vessel transfer, new COFR Operator, vessel renaming, guaranty termination, disapproval of a guarantor).
(c) Procedure for reinstating COFRs following termination of guaranties. If a COFR is revoked by the Director under paragraph (b)(2) of this section based on the expiration of 30 days following the date the Director receives a guarantor’s notice of termination as provided under §§ 138.110(a)(3) and 138.150(d), the Director may reinstate the COFR if the guarantor promptly notifies the Director following the revocation that the guarantor rescinded the termination and that there was no gap in guarantor coverage.
(d) Notice to COFR Operator of intent to deny an Application or revoke a COFR. If the Director obtains information indicating that an Application should be denied or that a COFR should be revoked for reasons that the COFR Operator may not be aware of, the Director will notify the COFR Operator, in writing, stating the reason for the intended action.
(1) A notice from the Director that an Application is incomplete will be considered a denial unless the Application is completed by the COFR Operator within the period specified in the notice. A COFR subject to revocation remains valid until the COFR is revoked as provided in § 138.140(d)(2) and (3).
(2) If the Director issues a notice of intent to deny an Application or revoke a COFR due to a violation under paragraph (b) of this section, the COFR Operator may demonstrate compliance to the Director in writing by no later than the date specified by the Director in the notice. If the COFR Operator demonstrates compliance by that date, the Application will remain under consideration, and any current COFR will remain in effect, unless and until the Director issues a written decision denying the Application or revoking the COFR, as applicable. Otherwise, the Application denial or COFR revocation is effective as of the date specified by the notice.
(3) The denial of an Application or revocation of a COFR does not terminate the guaranty.
(e) Request for reconsideration. (1) A COFR Operator may ask the Director to reconsider a denial of the COFR Operator’s Application or the revocation of a COFR as follows:
(i) The COFR Operator must submit the request for reconsideration, in writing, to the Director no later than 21 days after the date of the denial or revocation.
(ii) The submission must state the COFR Operator’s reasons for requesting reconsideration and include all supporting documentation.
(2) A decision by the Director on reconsideration of an Application denial or a COFR revocation is final agency action. If the Director does not issue a written decision on the request for reconsideration within 30 days after its submission, the request for reconsideration will be deemed to have been denied, and the Application denial or COFR revocation will be deemed to have been affirmed as a matter of final agency action. Unless the Director issues a decision reversing the revocation, the COFR revocation remains in effect.
(f) Duty to remedy violations. If the COFR for a vessel expires or is revoked while the vessel is located in the navigable waters, at any port or other place subject to the jurisdiction of the United States, or in the Exclusive Economic Zone, the COFR Operator and the vessel’s other responsible parties will be deemed in violation of this subpart. In such event, the COFR Operator or, if unavailable or no longer operating the vessel, the vessel’s current responsible parties, must notify the Director within 24 hours, by email or other electronic means. The notice must include the information required by § 138.150(b) and must establish new evidence of financial responsibility, designate a new COFR Operator if applicable, and cure any other violation of this subpart.
§ 138.150 Reporting requirements.
(a) Report changes of submitted information. When there is a change in any of the facts contained in an Application, a request for COFR renewal, evidence of financial responsibility, or other submission made under this subpart, the change must be reported, in writing, to the Director. The reports required by this section may be submitted with, but are in addition to, other submissions required by this subpart (for example, Applications, requests for COFR renewal, semi-annual and annual financial reports, Master Certificate reports).
(b) A 21-day prior reporting requirement of permanent vessel transfers and other changes requiring issuance of a new COFR. Current COFR Operators of vessels, and owners or operators of vessels not currently in U.S. navigable waters or the U.S. Exclusive Economic Zone, must report to the Director, and (if applicable) to the guarantor, the following information, no later than 21 business days before the new COFR is required:
(1) The number of the current COFR;
(2) The name of the covered vessel;
(3) The type of change planned;
(4) The date the change will take place;
(5) The reason for the change;
(6) For a vessel that will be located in U.S. navigable waters or U.S. Exclusive Economic Zone on the date the change is scheduled to take place, where the vessel will be located on that date (for example, name and location of port);
(7) For a vessel name change, the vessel’s new legal name;
(8) For the planned transfer of a vessel to a new responsible party, and even if the transferee’s intent is to scrap or otherwise dispose of the vessel, the name and contact information of the responsible party to whom the vessel is being transferred;
(9) For a change of COFR Operator, the name and contact information of the person who will replace the COFR Operator; and
(10) Any other changes in the information previously submitted to ensure the information on record at the NPFC is current.
(c) Three-day prior reporting of changes not requiring issuance of a new COFR. In addition to the prior reporting required by paragraph (b) of this section, the COFR Operator must report any change to information contained in a submission to the Director that does not require issuance of a new COFR, by no later than 3 business days before implementing the change, including, but not limited to: Changes to the U.S. agent for service of process (other than termination), a change of a non-operator vessel owner, new contact information, and changes in vessel particulars (for example, flag, measurement, type, and scheduled vessel scrapping).
(d) Reporting by guarantors. Each guarantor (or, if there are multiple guarantors, each lead guarantor) must give the Director 30 days notice before terminating a guaranty as provided in § 138.110(a)(3), explaining the reason for the intended termination, once known, or should have known, in the ordinary course of business.
(e) Enforcement; deadline exceptions. A failure to timely submit the reports required by this section may result in enforcement actions as provided in § 138.170. Exceptions to the reporting deadlines will only be granted as provided in § 138.60(e).
§ 138.160 Non-owning COFR Operator’s responsibility for identification.
(a) Each COFR Operator of a vessel with a COFR, other than an unmanned, non-self-propelled barge, who is not also an owner of the vessel must ensure that the original or a legible copy of the vessel’s demise charter-party (or other written document on the owner’s letterhead, signed by the vessel owner, which specifically identifies the COFR Operator named on the COFR) is maintained on board the vessel.
(b) The demise charter-party or other document required by paragraph (a) of this section must be presented, upon request, for examination and copying, to the Director or other United States Government official.
§ 138.170 Enforcement.
(a) Applicability. Any person who fails to comply with the requirements of this subpart, including the reporting requirements in § 138.150, may be subject to enforcement as provided in this section, including if—
(1) The COFR Operator fails to maintain acceptable evidence of financial responsibility as required;
(2) The name of a covered vessel is changed without reporting the change to the Director as required in § 138.150;
(3) The COFR Operator ceases, for any reason, to be an operator of a covered vessel, including when a vessel is scrapped or transferred to a new owner or operator, and a new Application and report have not been submitted to the Director as required by §§ 138.80 and 138.150; or
(4) The COFR Operator fails to maintain a U.S. agent for service of process.
(b) Non-compliance. During a period of non-compliance with this subpart, all use by the vessel of the navigable waters of the United States, of any port or other place subject to the jurisdiction of the United States, or of the Exclusive Economic Zone to transship or lighter oil destined for a place subject to the jurisdiction of the United States, is forbidden.
(c) Withholding and revoking vessel clearance. The Secretary of the Department of Homeland Security will withhold or revoke the clearance required by 46 U.S.C. 60105 of any vessel subject to this subpart that does not have a COFR or for which the evidence of financial responsibility required has not been established and maintained.
(d) Denying vessel entry, and detention. The U.S. Coast Guard may deny entry to any port or other place in the United States or the navigable waters, and may detain at any port or other place in the United States in which it is located, any vessel subject to this subpart, which does not have a COFR or for which the evidence of financial responsibility required by this subpart has not been established and maintained.
(e) Seizure and forfeiture. In accordance with OPA 90, any vessel subject to this subpart which is found in the navigable waters without a COFR, or for which the necessary evidence of financial responsibility has not been established and maintained as required, is subject to seizure by, and forfeiture to, the United States.
(f) Administrative and judicial penalties and other relief. (1) Any person who fails to comply with the requirements of this subpart or the evidence of financial responsibility requirements of OPA 90, CERCLA, or both, including a failure to comply with the reporting requirements in § 138.150, is subject to civil administrative and judicial penalties under OPA 90 and CERCLA, as applicable. In addition, under OPA 90, the Attorney General may secure such relief as may be necessary to compel compliance with OPA 90 and this subpart, including termination of operations.
(2) Under 18 U.S.C. 1001, any person making a false statement in, or in connection with, a submission under OPA 90 or CERCLA or this subpart is subject to prosecution.
(3) Any person who fails to timely pay the fees required by § 138.120 or any other amounts due under OPA 90 or CERCLA or this subpart may also be subject to Federal debt collection under 6 CFR part 11, 44 CFR part 11 and 31 CFR parts 285, and 900 through 904.
Subpart B—OPA 90 Limits of Liability (Vessels, Deepwater Ports and Onshore Facilities)
§ 138.200 Scope.
This subpart sets forth the limits of liability under Title I of the Oil Pollution Act of 1990, as amended (33 U.S.C. 2701, et seq.) (OPA 90), for vessels, deepwater ports, and onshore facilities, as adjusted under OPA 90 (33 U.S.C. 2704(d)). This subpart also sets forth the method and procedure the Coast Guard uses to periodically adjust the OPA 90 limits of liability by regulation under OPA 90 (33 U.S.C. 2704(d)(4)), to reflect significant increases in the Consumer Price Index (CPI), and to update the limits of liability when they are amended by statute. In addition, this subpart cross-references the U.S. Department of the Interior regulation setting forth the OPA 90 limit of liability applicable to offshore facilities, as adjusted under OPA 90 (33 U.S.C. 2704(d)(4)) to reflect significant increases in the CPI.
§ 138.210 Applicability.
This subpart applies to you if you are a responsible party for a vessel, a deepwater port, or an onshore facility (including, but not limited to, motor vehicles, rolling stock and onshore pipelines), unless your liability is unlimited under OPA 90 (33 U.S.C. 2704(c)).
§ 138.220 Definitions.
(a) As used in this subpart, the following terms have the meanings set forth in OPA 90 (33 U.S.C. 2701): deepwater port, facility, gross ton, liability, oil, offshore facility, onshore facility, responsible party, tank vessel, and vessel.
(b) As used in this subpart—
Annual CPI-U means the annual “Consumer Price Index—All Urban Consumers, Not Seasonally Adjusted, U.S. City Average, All items, 1982-84=100”, published by the U.S. Department of Labor, Bureau of Labor Statistics.
Current period means the year in which the Annual CPI-U was most recently published by the U.S. Department of Labor, Bureau of Labor Statistics.
Director, NPFC means the person in charge of the U.S. Coast Guard, National Pollution Funds Center (NPFC), or that person’s authorized representative.
Edible oil tank vessel means a tank vessel referred to in OPA 90 (33 U.S.C. 2704(c)(4)(A)).
Oil spill response vessel means a tank vessel referred to in OPA 90 (33 U.S.C. 2704(c)(4)(B)).
Previous period means the year in which the previous limit of liability was established, or last adjusted by statute or regulation, whichever is later.
Single-hull means the hull of a tank vessel that is constructed or adapted to carry, or that carries, oil in bulk as cargo or cargo residue, that is not a double hull as defined in 33 CFR part 157. Single-hull includes the hull of any such tank vessel that is fitted with double sides only or a double bottom only.
§ 138.230 Limits of liability.
(a) Vessels. (1) The OPA 90 limits of liability for tank vessels, other than edible oil tank vessels and oil spill response vessels, are—
(i) For a single-hull tank vessel greater than 3,000 gross tons, the greater of $4,000 per gross ton or $29,591,300;
(ii) For a tank vessel greater than 3,000 gross tons, other than a single-hull tank vessel, the greater of $2,500 per gross ton or $21,521,000;
(iii) For a single-hull tank vessel less than or equal to 3,000 gross tons, the greater of $4,000 per gross ton or $8,070,400; and
(iv) For a tank vessel less than or equal to 3,000 gross tons, other than a single-hull tank vessel, the greater of $2,500 per gross ton or $5,380,300.
(2) The OPA 90 limits of liability for any vessel other than a vessel listed in paragraph (a)(1) of this section, including for any edible oil tank vessel and any oil spill response vessel, are the greater of $1,300 per gross ton or $1,076,000.
(b) Deepwater ports. (1) The OPA 90 limit of liability for any deepwater port, including for any component pipelines, other than a deepwater port listed in paragraph (b)(2) of this section, is $725,710,800;
(2) The OPA 90 limits of liability for deepwater ports with limits of liability established by regulation under OPA 90 (33 U.S.C. 2704(d)(2)), including for any component pipelines, are—
(i) For the Louisiana Offshore Oil Port (LOOP), $110,332,600; and
(ii) [Reserved]
(c) Onshore facilities. The OPA 90 limit of liability for onshore facilities, including, but not limited to, motor vehicles, rolling stock and onshore pipelines, is $725,710,800.
(d) Offshore facilities. The OPA 90 limit of liability for offshore facilities other than deepwater ports, including for any offshore pipelines, is set forth at 30 CFR 553.702.
§ 138.240 Procedure for updating limits of liability to reflect significant increases in the Consumer Price Index (Annual CPI-U) and statutory changes.
(a) Update and publication. The Director, NPFC, will periodically adjust the limits of liability set forth in § 138.230(a) through (c) to reflect significant increases in the Annual CPI-U, according to the procedure for calculating limit of liability inflation adjustments set forth in paragraphs (b)-(d) of this section, and will publish the inflation-adjusted limits of liability and any statutory amendments to those limits of liability in the
(b) Formula for calculating a cumulative percent change in the Annual CPI-U. (1) The Director, NPFC, calculates the cumulative percent change in the Annual CPI-U from the year the limit of liability was established, or last adjusted by statute or regulation, whichever is later (i.e., the previous period), to the most recently published Annual CPI-U (i.e., the current period), using the following escalation formula:
(2) The cumulative percent change value calculated using the formula in paragraph (b)(1) of this section is rounded to one decimal place.
(c) Significance threshold. Not later than every three years from the year the limits of liability were last adjusted for inflation, the Director, NPFC, will evaluate whether the cumulative percent change in the Annual CPI-U since that date has reached a significance threshold of 3 percent or greater. For any three-year period in which the cumulative percent change in the Annual CPI-U is less than 3 percent, the Director, NPFC, will publish a notice of no inflation adjustment to the limits of liability in the
(d) Formula for calculating inflation adjustments. The Director, NPFC, calculates adjustments to the limits of liability in § 138.230 for inflation using the following formula:
SUBCHAPTER N—OUTER CONTINENTAL SHELF ACTIVITIES
PART 140—GENERAL
Subpart A—General
§ 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).
§ 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 § 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)). The regulations in this subchapter (parts 140 through 147) have preemptive effect over state or local regulations in the same field.
§ 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.
§ 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.
§ 140.7 Incorporation by reference.
(a) Certain material is incorporated by reference into this subchapter with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved material is available for inspection at the U.S. Coast Guard, Office of Design and Engineering Standards (CG-ENG-4), 2703 Martin Luther King Jr. Avenue SE., Stop 7509, Washington, DC 20593-7509, and is available from the sources listed below. It is also available for inspection 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.
(b) American National Standards Institute (ANSI), 25 West 43rd Street, New York, NY 10036, 212-642-4900, https://www.ansi.org.
(1) ANSI A10.14-1975, Requirements for Safety Belts, Harnesses, Lanyards, Lifelines, and Drop Lines for Construction and Industrial Use, IBR approved for § 142.42(b).
(2) ANSI/UL 1123-1987, Standard for Marine Buoyant Devices, IBR approved for § 143.405(a).
(3) ANSI Z41-1983, American National Standard for Personal Protection-Protective Footwear, IBR approved for § 142.33(a) and (b).
(4) ANSI Z87.1-1979, Practice for Occupational and Educational Eye and Face Protection, IBR approved for § 142.27(a) and (c).
(5) ANSI Z88.2-1980, Practices for Respiratory Protection, IBR approved for § 142.39(a) through (c).
(6) ANSI Z89.1-1981, Safety Requirements for Industrial Head Protection, IBR approved for § 142.30(a) and (b).
(c) International Maritime Organization (IMO) Publishing, 4 Albert Embankment, London SE1 7SR, United Kingdom, +44 (0)20 7735 7611, http://www.imo.org.
(1) IMO Assembly Resolution A.414 (XI), Code for Construction and Equipment of Mobile Offshore Drilling Units, IBR approved for §§ 143.207(c) and 146.205(c).
(2) [Reserved]
(d) National Fire Protection Association (NFPA), 1 Batterymarch Park, Quincy, MA 02169, 617-770-3000, http://www.nfpa.org.
(1) NFPA 10, Standard for Portable Fire Extinguishers, 2010 Edition, effective December 5, 2009, IBR approved for § 145.01(b).
(2) [Reserved]
§ 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.
Bureau of Safety and Environmental Enforcement inspector or BSEE inspector means an individual employed by the Bureau of Safety and Environmental Enforcement who inspects fixed OCS facilities on behalf of the Coast Guard to determine whether the requirements of this subchapter are met.
Commandant means Commandant of the Coast Guard or that person’s authorized representative.
Constructed means the date—
(1) The vessel’s keel was laid; or
(2) Construction identifiable with the vessel or facility began and assembly of that vessel or facility commenced comprising of 50 metric tons or at least 1 percent of the estimated mass of all structural material, whichever is less.
Development means those activities which take place following discovery of minerals in paying quantities, including, but not limited to, geophysical activity, drilling, and platform construction, and which are for the purpose of ultimately producing the minerals discovered.
District Commander means an officer who commands a Coast Guard District described in part 3 of this chapter or that person’s authorized representative.
Exploration means the process of searching for minerals, including, but not limited to, (1) geophysical surveys where magnetic, gravity, seismic, or other systems are used to detect or imply the presence of such minerals, and (2) any drilling, whether on or off known geological structures, including the drilling of a well in which a discovery of oil or natural gas in paying quantities is made and the drilling of any additional delineation well after the discovery which is needed to delineate any reservoir and to enable the lessee to determine whether to proceed with development and production.
Fixed OCS facility means a bottom founded OCS facility permanently attached to the seabed or subsoil of the OCS, including platforms, guyed towers, articulated gravity platforms, and other structures.
Floating OCS facility means a buoyant OCS facility securely and substantially moored so that it cannot be moved without a special effort. This term includes tension leg platforms and permanently moored semisubmersibles or shipshape hulls but does not include mobile offshore drilling units and other vessels.
Investigating officer means a person assigned by the Commandant, a District Commander, or an Officer in Charge, Marine Inspection, to conduct an investigation of an accident, casualty, or other incident.
Manned facility means an OCS facility on which people are routinely accommodated for more than 12 hours in successive 24 hour periods.
Manned platform means a fixed OCS facility on which people are routinely accommodated for more than 12 hours in successive 24 hour periods.
Marine inspector means a person designated as such by an Officer in Charge, Marine Inspection, to perform inspections of units to determine whether or not the requirements of laws administered by the Coast Guard and of Coast Guard regulations are met.
Minerals includes oil, gas, sulphur, geopressured-geothermal and associated resources, and all other minerals which are authorized by an Act of Congress to be produced from “public lands” as defined in section 103 of the Federal Lands Policy and Management Act of 1976 (43 U.S.C. 1702(e)).
Mobile offshore drilling unit or MODU means a vessel, other than a public vessel of the United States, capable of engaging in drilling operations for exploration or exploitation of subsea resources.
Officer in Charge, Marine Inspection means a person who commands a Marine Inspection Zone described in part 3 of this chapter and who is immediately responsible for the performance of duties with respect to inspections, enforcement, and administration of regulations governing units.
Operator means—(1) In the case of a vessel, a charterer by demise or any other person who is responsible for the operation, manning, victualing, and supplying of the vessel; or
(2) In the case of an OCS facility, the operator as defined in 30 CFR 250.2(gg).
Outer Continental Shelf or OCS means all submerged lands lying seaward and outside of the area of “lands beneath navigable waters” as defined in section 2(a) of the Submerged Lands Act (43 U.S.C. 1301(a)) and of which the subsoil and seabed appertain to the United States and are subject to its jurisdiction and control.
OCS activity means any offshore activity associated with exploration for, or development or production of, the minerals of the Outer Continental Shelf.
OCS facility means any artificial island, installation, or other device permanently or temporarily attached to the subsoil or seabed of the Outer Continental Shelf, erected for the purpose of exploring for, developing, or producing resources therefrom, or any such installation or other device (other than a ship or vessel) for the purpose of transporting such resources. The term includes mobile offshore drilling units when in contact with the seabed of the OCS for exploration or exploitation of subsea resources. The term does not include any pipeline or deepwater port (as the term “deepwater port” is defined in section 3(10) of the Deepwater Port Act of 1974 (33 U.S.C. 1502)).
Owner means a person holding title to or, in the absence of title, other indicia of ownership of a unit; however, this does not include a person who holds indicia of ownership primarily to protect a security interest in the unit and does not participate in the management or operation of the unit.
Person means an individual, association, partnership, consortium, joint venture, private, public, or municipal firm or corporation, or a government entity.
Person in charge means the master or other individual designated as such by the owner or operator under § 146.5 of this subchapter or 46 CFR 109.107.
Personnel means individuals who are employed by leaseholders, permit holders, operators, owners, contractors, or subcontractors and who are on a unit by reason of their employment.
Production means those activities which take place after the successful completion of any means for the removal of minerals, including, but not limited to, such removal, field operations, transfer of minerals to shore, operation monitoring, maintenance, and workover.
Rebuilt means having had substantial alteration or reconstruction of the hull or principal structural component.
Standby vessel means a vessel meeting the requirements of part 143, subpart E, of this chapter and specifically designated in an Emergency Evacuation Plan under § 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.
§ 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
(c) Specifications for certain items required to be of an approved type are contained in 46 CFR Parts 160 through 164.
§ 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.
§ 140.25 Appeals.
(a) Any person directly affected by an action or decision of an Officer in Charge, Marine Inspection, under the Act or the regulations in this subchapter may request reconsideration of that action or decision. If still dissatisfied, that person may appeal the action or decision of the Officer in Charge, Marine Inspection, within 30 days to the District Commander of the District in which the action was taken or the decision made. The District Commander issues a decision after reviewing the appeal submitted under this paragraph.
(b) Any person not satisfied with the decision of a District Commander may appeal that decision within 30 days to the Commandant, who issues a ruling after reviewing the appeal submitted under this paragraph. Rulings of the Commandant constitute final agency action.
(c) An appeal to the District Commander or Commandant:
(1) Must be made in writing, except in an emergency when an oral appeal may be accepted;
(2) Must be submitted to the District Commander of the District in which the action was taken or the decision made;
(3) Must describe the decision or action being appealed;
(4) Must state the reasons why the action or decision should be set aside or modified; and
(5) May contain any supporting documents and evidence that the appellant wishes to have considered.
(d) Pending determination of any appeal, the action or decision appealed remains in effect, unless suspended by the District Commander to whom the appeal was made or by the Commandant.
§ 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).
§ 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.
§ 140.40 Processing penalty cases.
Apparent violations of the regulations in this subchapter are processed in accordance with subpart 1.07 of 33 CFR part 1 on civil and criminal penalty proceedings, except as follows:
(a) The District Commander refers civil penalty cases to the Secretary of the Interior, or that person’s delegate, who, under the Act, assesses, collects, and compromises civil penalties.
(b) If a possible violation investigated by the Coast Guard carries both a civil and a criminal penalty, the District Commander determines whether to refer the case to the U.S. Attorney for criminal prosecution or to the Secretary of the Interior, or that person’s delegate, for civil penalty proceedings.
(c) When the U.S. Attorney declines to institute criminal proceedings, the District Commander decides whether to refer the case to the Secretary of the Interior, or that person’s delegate, for civil penalty proceedings or to close the case.
Subpart B—Inspections
§ 140.101 Inspection by Coast Guard marine inspectors or Bureau of Safety and Environmental Enforcement 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 Bureau of Safety and Environmental Enforcement (BSEE).
(c) Under the direction of the Officer in Charge, Marine Inspection, Coast Guard marine inspectors may inspect units engaged in OCS activities, and BSEE 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 BSEE.
(d) As part of an inspection, a Coast Guard marine inspector or a BSEE 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 BSEE 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.
§ 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 § 140.101(f), inspections by Coast Guard marine inspectors and Bureau of Safety and Environmental Enforcement (BSEE) inspectors do not meet the requirements for an inspection under paragraph (a) of this section.
(c) Except for initial inspections under § 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 BOEMRE 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 BSEE District office, a copy of each completed form CG-5432 that indicates outstanding deficiencies or hazards, within 30 days after completion of the inspection.
§ 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 Bureau of Safety and Environmental Enforcement (BSEE) inspector and which, in the opinion of the inspector, cannot be satisfactorily repaired must be so mutilated in the presence of the inspector that it cannot be used for the purpose for which it was originally intended. Lifesaving and fire fighting equipment subsequently determined to be unrepairable must be similarly mutilated in the presence of the person making that determination.
(b) Any deficiency or hazard discovered during an inspection by a Coast Guard marine inspector or a BSEE 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 § 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 BSEE District office. Upon receipt of a form CG-5432 indicating outstanding deficiencies or hazards, BSEE 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 BSEE 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 BSEE 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 BSEE (for deficiencies or hazards discovered by BSEE during an inspection of a fixed OCS facility), initiates appropriate enforcement measures.
Subpart C—Investigations
§ 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.
§ 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.
§ 140.205 Subpoenas.
(a) In any investigation conducted pursuant to this subchapter, the investigating officer shall have the power to administer necessary oaths, subpoena witnesses, and require the production of books, papers, documents, and any other evidence.
(b) Attendance of witnesses or the production of books, papers, documents, or any other evidence shall be compelled by a process similar to that used in the District Courts of the United States.
PART 141—PERSONNEL
Subpart A—Restrictions on Employment
§ 141.1 Purpose.
This subpart prescribes rules governing restrictions on the employment of personnel on units engaged in OCS activities.
§ 141.5 Applicability.
(a) This subpart applies to employment of personnel on units engaged in OCS activities, except as provided in paragraph (b) of this section.
(b) This subpart does not apply to employment of personnel on any:
(1) Vessel subject to the citizenship requirements of 46 U.S.C. 8103 for pilots, crew, and officers holding a valid license or MMC with officer endorsement when the vessel is transiting to or from an OCS facility or a United States port;
(2) Vessel subject to the citizenship requirements of 46 U.S.C. 7102 and 8103 for officers and crew on federally subsidized or documented vessels; or
(3) Unit over 50 percent of which is owned by one or more citizens of a foreign nation or with respect to which one or more citizens of a foreign nation have the right effectively to control, except to the extent and to the degree that the President determines that the government of such foreign nation or any of its political subdivisions has implemented, by statute, regulation, policy, or practice, a national manning requirement for equipment engaged in the exploration, development, or production of oil or gas in its offshore areas.
(c) The Commandant may, upon request or upon that person’s own initiative, determine whether over 50 percent of a particular unit is owned by citizens of a foreign nation or whether citizens of a foreign nation have the right effectively to control the unit.
(d) In determining whether ownership or a right effectively to control exists, the Commandant may consider operational control of a unit, management responsibility, title, lease and charter arrangements, and financial interests.
(e) The owner or operator of any unit affected is notified of the Commandant’s determination.
§ 141.10 Definitions.
As used in this subpart:
Citizens of the United States means:
(1) In the case of an individual, one who is a native born, derivative, or fully naturalized citizen of the United States;
(2) In the case of a partnership, unincorporated company, or association, one in which 50% or more of the controlling interest is vested in citizens of the United States; or
(3) In the case of a corporation, one which is incorporated under the laws of the United States or of any State thereof.
Citizen of a foreign nation means:
(1) In the case of an individual, one who is not a citizen of the United States;
(2) In the case of a partnership, unincorporated company, or association, one in which more than 50% of the controlling interest is vested in citizens of a nation other than the United States; or
(3) In the case of a corporation, one which is incorporated under the laws of a nation other than the United States so long as (i) the title to a majority of the stock thereof is free from any trust or fiduciary obligation in favor of any citizen of the United States; (ii) the majority of the voting power in the corporation is not vested in any citizen of the United States; (iii) through any contract or understanding, the majority of the voting power may not be exercised directly or indirectly on behalf of any citizen of the United States; or (iv) by no other means, control of the corporation is conferred upon or permitted to be exercised by any citizen of the United States.
Resident alien means an alien lawfully admitted to the United States for permanent residence in accordance with section 101(a)(20) of the Immigration and Nationality Act of 1952, as amended, 8 U.S.C. 1101(a)(20).
§ 141.15 Restrictions on employment.
(a) Each employer of personnel on any unit engaged in OCS activities that is subject to this part must employ, as members of the regular complement of the unit, only citizens of the United States or resident aliens except as provided by § 141.20.
(b) As used in paragraph (a) of this section, “regular complement of a unit” means those personnel necessary for the routine functioning of the unit, including marine officers and crew; industrial personnel on the unit, such as toolpushers, drillers, roustabouts, floor hands, crane operators, derrickmen, mechanics, motormen, and general maintenance personnel; and support personnel on the unit, such as cooks, stewards and radio operators. The term does not include specialists, professionals, or other technically trained personnel called in to handle emergencies or other temporary operations; extra personnel on a unit for training; and other personnel temporarily on a unit for specialized operations, such as construction, alteration, well logging, or unusual repairs or emergencies.
(c)(1) The Officer in Charge, Marine Inspection, may determine whether a particular individual or position is part of the regular complement of a unit. A copy of the determination is provided to the owner or operator of the unit affected.
(2) Determinations in paragraph (c)(1) of this section for all MODUs and fixed and floating OCS facilities, as those terms are defined in 33 CFR 140.10, operating within the Eighth District Outer Continental Shelf Marine Inspection Zone will be made by the Eighth District Outer Continental Shelf Officer in Charge, Marine Inspection, as defined and described in § 3.40-5 of this chapter.
§ 141.20 Exemptions from restrictions on employment.
(a) An employer may request an exemption from the restrictions on employment in § 141.15 in order to employ persons other than citizens of the United States or resident aliens as part of the regular complement of the unit under the following circumstances:
(1) When specific contractual provisions or national registry manning requirements in effect on September 18, 1978 provide that a person other than a citizen of the United States or a resident alien is to be employed on a particular unit.
(2) When there is not a sufficient number of citizens of the United States or resident aliens qualified and available for the work.
(3) When the President determines with respect to a particular unit that the employment of only citizens of the United States or resident aliens is not consistent with the national interest.
(b) The request must be in writing, identify the provision of paragraph (a) of this section relied upon, and:
(1) If involving specific contractual provisions under paragraph (a)(1) of this section, list the persons claimed exempt and contain a copy of the contract;
(2) If involving persons without an H-2 Visa under paragraph (a)(2) of this section, list the persons or positions sought to be exempted; or
(3) If under paragraph (a)(3) of this section, identify the unit involved and contain any information in support of the claim.
(c) Requests must be submitted to the Commandant (CG-CVC), Attn: Office of Commercial Vessel Compliance, U.S. Coast Guard Stop 7501, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7501.
(d) Upon receipt of a request under paragraph (a)(2) of this section, the Coast Guard seeks information from the Department of Labor concerning whether there are citizens of the United States or resident aliens qualified and available for work. If information is provided that citizens of the United States or resident aliens are qualified and available, the employer may be required to seek their employment before the request is approved.
(e) Upon receipt of a request under paragraph (a)(3) of this section and after consulting with other Federal agencies as appropriate, the Commandant forwards the request and the comments of the Coast Guard and other interested agencies to the President for determination.
(f) Upon approval by the President for request under paragraph (a)(3) of this section or by the Coast Guard for all other requests, the Coast Guard issues a certification of the exemption. A certification issued under paragraph (a)(2) of this section is valid for one year from the date of issuance.
(g) If, within 30 days of receipt by the Coast Guard of a request under paragraph (a)(2) of this section, the Coast Guard does not make a determination or advise the employer that additional time for consideration is necessary, the request is considered approved for a period of 90 days from the end of the 30 day period.
(h) A request need not be submitted for persons who are not citizens of the United States or resident aliens and who:
(1) Are employed under the national registry manning requirements exception in paragraph (a)(1) of this section; or
(2) Have been classified and admitted to the United States as temporary workers under 8 U.S.C. 1101(a)(15)(H)(ii) for work in a position for which admitted.
§ 141.25 Evidence of citizenship.
(a) For the purposes of this part, the employer may accept as sufficient evidence that a person is a citizen of the United States any one of the following documents and no others:
(1) A valid merchant mariner’s document issued by the Coast Guard which shows the holder to be citizen of the United States.
(2) An original or certified copy of a birth certificate or birth registration issued by a state or the District of Columbia.
(3) A United States passport.
(4) A Certificate of Citizenship issued by the Immigration and Naturalization Service.
(5) A Certificate of Naturalization issued by a Naturalization Court.
(6) A letter from the Coast Guard issued under paragraph (d) of this section.
(b) If a person does not have one of the documents listed in paragraphs (a)(1) through (a)(6) of this section, that person may appear in person before an Officer in Charge, Marine Inspection, and submit one or more of the following documents which may be considered as evidence that the applicant is a citizen of the United States:
(1) A Certificate of Derivative Citizenship or a Certificate of Naturalization of either parent and a birth certificate of the applicant or other evidence satisfactorily establishing that the applicant was under 21 years of age at the time of the parent’s naturalization.
(2) An original or certified copy of a birth certificate from a political jurisdiction outside the United States which demonstrates citizenship status.
(3) A Baptismal certificate or parish record recorded within one year after birth.
(4) A statement of a practicing physician certifying that the physician attended the birth and has a record showing the date on which the birth occurred.
(5) A commission, or evidence of commission, in the Armed Forces of the United States which shows the holder to be a citizen of the United States.
(6) A continuous discharge book or certificate of identification issued by the Coast Guard or the former Bureau of Marine Inspection, provided the document shows that the applicant produced satisfactory evidence of citizenship at the time the document was issued.
(7) A delayed certificate of birth issued under a state seal, provided there are no collateral facts indicating fraud in its procurement.
(8) A report of the Census Bureau showing the earliest available record of the applicant’s age or birth.
(9) Affidavits of parents, relatives, or two or more responsible citizens of the United States, school records; immigration records; insurance policies; or other records which support the citizenship claim.
(c) In any case where doubt exists concerning evidence of citizenship submitted under paragraph (b) of this section, the Officer in Charge, Marine Inspection, may refer the matter to the United States Immigration and Naturalization Service for an advisory opinion.
(d) If the documents submitted under paragraph (b) of this section are determined by the Officer in Charge, Marine Inspection, to be sufficient evidence that the applicant is a citizen of the United States, the Coast Guard issues the applicant a letter acknowledging this determination.
§ 141.30 Evidence of status as a resident alien.
For the purposes of this part, the employer may accept as sufficient evidence that a person is a resident alien any one of the following documents and no others:
(a) A valid merchant mariner’s document issued by the Coast Guard.
(b) An alien registration receipt card issued by the Immigration and Customs Enforcement Agency certifying that the card holder has been admitted to the United States as an immigrant.
(c) A declaration of intention to become a citizen of the United States issued by a Naturalization Court.
§ 141.35 Records to be kept by the employer.
(a) The employer of personnel subject to this subpart shall maintain, and make available to the Coast Guard upon request, a record identifying which of the documents listed in §§ 141.25 and 141.30 were relied upon for each employee. The record must consist of either a copy of the document or the following information on the document:
(1) For a merchant mariner’s document or a United States passport, the document’s title and identification number.
(2) For a birth certificate or birth registration, the document’s title and the employee’s date and place of birth.
(3) For all other documents listed in §§ 141.25 and 141.30, the document’s title and date and place of issuance.
(b) The employer of personnel subject to this subpart shall maintain a written list of the positions that make up the regular complement of the unit and the name and nationality of the individual filling each employee position. This list may be in summary form and any simple format.
PART 142—WORKPLACE SAFETY AND HEALTH
Subpart A—General
§ 142.1 Purpose.
This part is intended to promote workplace safety and health by establishing requirements relating to personnel, workplace activities and conditions, and equipment on the Outer Continental Shelf (OCS).
§ 142.4 Duties of lessees, permittees, and persons responsible for actual operations.
(a) Each holder of a lease or permit under the Act shall ensure that all places of employment within the lease area or within the area covered by the permit on the OCS are maintained in compliance with workplace safety and health regulations of this part and, in addition, free from recognized hazards.
(b) Persons responsible for actual operations, including owners, operators, contractors, and subcontractors, shall ensure that those operations subject to their control are conducted in compliance with workplace safety and health regulations of this part and, in addition, free from recognized hazards.
(c) “Recognized hazards”, in paragraphs (a) and (b) of this section, means conditions which are—
(1) Generally known among persons in the affected industry as causing or likely to cause death or serious physical harm to persons exposed to those conditions; and
(2) Routinely controlled in the affected industry.
§ 142.7 Reports of unsafe working conditions.
(a) Any person may report a possible violation of any regulation in this subchapter or any other hazardous or unsafe working condition on any unit engaged in OCS activities to an Officer in Charge, Marine Inspection.
(b) After reviewing the report and conducting any necessary investigation, the Officer in Charge, Marine Inspection, notifies the owner or operator of any deficiency or hazard and initiates enforcement measures as the circumstances warrant.
(c) The identity of any person making a report under paragraph (a) of this section is not made available, without the permission of the reporting person, to anyone other than those officers and employees of the Department of Transportation who have a need for the record in the performance of their official duties.
Subpart B—Personal Protective Equipment
§ 142.21 Purpose and applicability.
This subpart prescribes requirements concerning personal protection on OCS facilities.
§ 142.24 Use of equipment.
(a) Each holder of a lease or permit issued under the Act shall ensure that all personnel who are required by this subpart to use or wear personal protective equipment do so when within the lease area or the area covered by the permit.
(b) Persons responsible for actual operations shall ensure that all personnel engaged in the operation properly use or wear the personal protective equipment specified by this subpart.
§ 142.27 Eye and face protection.
(a) Personnel engaged in or observing welding, grinding, machining, chipping, handling hazardous materials, or acetylene burning or cutting shall wear the eye and face protector specified for the operation in Figure 8 of ANSI Z87.1.
(b) Eye and face protectors must be maintained in good condition.
(c) Each eye and face protector must be marked with the information required by ANSI Z87.1 for that type of protector.
§ 142.30 Head protection.
(a) Personnel in areas where there is a hazard of falling objects or of contact with electrical conductors shall wear a head protector meeting the specifications of ANSI Z89.1, for the hazard involved.
(b) Each head protector must be marked with the information specified by ANSI Z89.1 for that type of protector and for the hazard involved.
§ 142.33 Foot protection.
(a) Personnel working in areas or engaged in activities where there is a reasonable probability for foot injury to occur shall wear footwear meeting the specifications of ANSI Z41, except when environmental conditions exist that present a hazard greater than that against which the footwear is designed to protect.
(b) Each pair of footwear must be marked with the information specified by ANSI Z41 for the type of footwear.
§ 142.36 Protective clothing.
Personnel in areas where there are flying particles, molten metal, radiant energy, heavy dust, or hazardous materials shall wear clothing and gloves providing protection against the hazard involved.
§ 142.39 Respiratory protection.
(a) Personnel in an atmosphere specified under ANSI Z88.2, requiring the use of respiratory protection equipment shall wear the type of respiratory protection equipment specified in ANSI Z88.2 for that atmosphere.
(b) Before personnel enter an atmosphere specified under ANSI Z88.2 requiring the use of respiratory protection equipment, the persons listed in § 142.4 shall ensure that the personnel entering the atmosphere—
(1) Follow the procedures stated in section 6 of ANSI Z88.2 concerning the proper selection of a respirator and individual fit testing; and
(2) Are trained in the matters set forth in section 7 of ANSI Z88.2 concerning proper use of the equipment to be used and in the generally recognized short and long term harmful effects of exposure to the atmosphere involved.
(c) All respiratory protection equipment must be approved, used, and maintained in accordance with ANSI Z88.2.
§ 142.42 Safety belts and lifelines.
(a) Except when moving from one location to another, personnel engaged in an activity where there is a hazard of falling 10 or more feet shall wear a safety belt or harness secured by a lanyard to a lifeline, drop line, or fixed anchorage.
(b) Each safety belt, harness, lanyard, lifeline, and drop line must meet the specifications of ANSI A10.14.
§ 142.45 Personal flotation devices.
Personnel, when working in a location such that, in the event of a fall, they would likely fall into water, shall wear a work vest that meets the requirements of 33 CFR 146.20 or a life preserver that meets the requirements of 46 CFR 160.002, 160.005, or 160.055, except when using the safety belts and lifelines required by § 142.42.
§ 142.48 Eyewash equipment.
Portable or fixed eyewash equipment providing emergency relief must be immediately available near the drill floor, mudrooms, and other areas where there is a reasonable probability that eye injury may occur.
Subpart C—General Workplace Conditions
§ 142.81 Purpose and applicability.
This subpart prescribes requirements relating to general working conditions on OCS facilities.
§ 142.84 Housekeeping.
All staging, platforms, and other working surfaces and all ramps, stairways, and other walkways must be kept clear of portable tools, materials, and equipment not in use and be promptly cleared of substances which create a tripping or slipping hazard. When engaged in an activity on the drill floor in which the spillage of drilling fluid is inevitable, such as when pulling wet strings of drill pipe, footwear and flooring designed to reduce slipping substantially may be used instead of keeping the drill floor free of drilling fluid during the activity.
§ 142.87 Guarding of deck openings.
Openings in decks accessible to personnel must be covered, guarded, or otherwise made inaccessible when not in use. The manner of blockage shall prevent a person’s foot or body from inadvertently passing through the opening.
§ 142.90 Lockout and tagout.
(a) While repair or other work is being performed on equipment powered by an external source, that equipment must be locked out as required in paragraph (b) of this section or, if a lockout provision does not exist on the equipment, must be disconnected from the power source or otherwise deactivated, unless the nature of the work being performed necessitates that the power be connected or the equipment activated.
(b) If the equipment has a lockout or other device designed to prevent unintentional activation of the equipment, the lockout or other device must be engaged while the work is being performed on the equipment, unless the nature of the work being performed necessitates that the equipment be activated.
(c) A tag must be placed at the point where the equipment connects to a power source and at the location of the control panel activating the power, warning—
(1) That equipment is being worked on; and
(2) If the power source is disconnected or the equipment deactivated, that the power source must not be connected or the equipment activated.
(d) The tags must not be removed without the permission of either the person who placed the tags, that person’s immediate supervisor, or their respective reliefs.
PART 143—DESIGN AND EQUIPMENT
Subpart A—General
§ 143.1 Purpose.
This part prescribes design and equipment requirements for units engaged in OCS activities.
§ 143.15 Lights and warning devices.
(a) OCS facilities must meet the lights and warning devices requirements under part 67 of this chapter concerning aids to navigation on artificial islands and fixed structures.
(b) Vessels, including attending vessels but excluding MODUs under paragraph (a) of this section, must meet the lights and warning devices requirements under the International Regulations for Preventing Collisions at Sea 1972 or under local rules provided for in Rule 1 of those Regulations.
Subpart B—OCS Facilities
§ 143.100 Applicability.
This subpart applies to OCS facilities except mobile offshore drilling units.
§ 143.101 Means of escape.
(a) “Primary means of escape” shall be fixed stairways or fixed ladders of metal construction.
(b) “Secondary means of escape” shall be types approved for “primary means of escape” or portable, flexible ladders, knotted man ropes, and other devices satisfactory to the Officer in Charge, Marine Inspection.
(c) Manned OCS facilities shall be provided with at least two “primary means of escape” extending from the uppermost platform level that contains living quarters or that personnel occupy continuously, to each successively lower working level and to the water surface. Working levels without living quarters, shops, or offices in manned facility structural appendages, extensions, and installations that personnel occupy only occasionally shall be provided with one “primary means of escape” and, when necessary in the opinion of the Officer in Charge, Marine Inspection, one or more “secondary means of escape.”
(d) Unmanned OCS facilities shall be provided with at least one “primary means of escape” extending from the uppermost platform working level to each successively lower working level and to the water surface. When personnel are on board, unmanned facilities shall also be provided with one or more “secondary means of escape,” but not more than one will be required for every 10 persons extending from the uppermost working level of the facility to each successively lower working level and to the water surface, excluding facility appendages and installations, unless “secondary means of escape” from such appendages and installations are necessary in the opinion of the Officer in Charge, Marine Inspection.
(e) “Means of escape” shall be suitably accessible to personnel for rapid facility evacuation.
(f) When two or more “means of escape” are installed, at least two shall be located as nearly diagonally opposite each other as practicable unless such requirement is unreasonable or impracticable in the opinion of the Officer in Charge, Marine Inspection.
§ 143.105 Personnel landings.
(a) Sufficient personnel landings shall be provided on each manned OCS facility to assure safe access and egress. When due to special construction personnel landings are not feasible, then suitable transfer facilities to provide safe access and egress shall be installed.
(b) The personnel landings shall be provided with satisfactory illumination. The minimum shall be one-foot candle of artificial illumination as measured at the landing floor and guards and rails.
§ 143.110 Guards and rails.
(a) Except for helicopter landing decks which are provided for in paragraph (b) of this section, and areas not normally occupied, the unprotected perimeter of all floor or deck areas and openings shall be rimmed with guards and rails or wire mesh fence. The guard rail or fence shall be at least 42 inches high. The two intermediate rails shall be so placed that the rails are approximately evenly spaced between the guard rail and the floor or deck area: Provided, That if a toe board is installed then one of the intermediate rails may be omitted and the other rail placed approximately half way between the top of the toe board and the top guard rail.
(b) The unprotected perimeter of the helicopter landing deck shall be protected with a device of sufficient strength and size as to prevent any person from falling from such deck.
(c) Each catwalk and each stairway shall be provided with a suitable guard rail or rails, as necessary.
§ 143.120 Floating OCS facilities.
(a) Before construction is started on a proposed floating OCS facility, the owner or operator of the facility must submit to the Coast Guard for approval all plans and information listed in subpart C of 46 CFR part 107 which relate to the facility. All plans and information must be submitted according to the procedures in that subpart.
(b) The facility must comply with the requirements of subchapters F (Marine Engineering) and J (Electrical Engineering) of 46 CFR chapter I and 46 CFR part 108 (Design and Equipment). Where unusual design or equipment needs make compliance impracticable, alternative proposals that provide an equivalent level of safety may be accepted. These requirements do not apply to production systems on the facility.
(c) The Officer in Charge, Marine Inspection, determines whether a floating OCS facility meets the requirements of paragraph (b) of this section and issues a certificate of inspection for each facility which meets these requirements. Inspection of the facility may be required as part of this determination.
(d) Each floating OCS facility that is constructed after April 2, 2018 must comply with the requirements of 46 CFR subpart 111.108 prior to engaging in OCS activities.
Subpart C—Mobile Offshore Drilling Units
§ 143.200 Applicability.
This subpart applies to mobile offshore drilling units when engaged in OCS activities.
§ 143.201 Existing MODUs exempted from new design requirements.
Any mobile offshore drilling unit built before, under construction on, or contracted for prior to April 5, 1982 is not required to meet the design requirements of this subpart until the unit is rebuilt. Until rebuilt, the unit must continue to comply with the design requirements applicable to the unit on April 4, 1982.
§ 143.205 Requirements for U.S. and undocumented MODUs.
Each mobile offshore drilling unit that is documented under the laws of the United States or not documented under the laws of any nation must comply with the design, equipment, and inspection requirements of 46 CFR parts 107 and 108 in order to engage in OCS activities.
§ 143.207 Requirements for foreign MODUs.
Each mobile offshore drilling unit that is documented under the laws of a foreign nation must, when engaged in OCS activities, comply with one of the following:
(a) The design and equipment standards of 46 CFR part 108.
(b) The design and equipment standards of the documenting nation if the standards provide a level of safety generally equivalent to or greater than that provided under 46 CFR part 108.
(c) The design and equipment standards for mobile offshore drilling units contained in the International Maritime Organization (IMO, formerly Inter-Governmental Maritime Consultative Organization or IMCO) (IMO) Code for Construction and Equipment of Mobile Offshore Drilling Units (IMO Assembly Resolution A.414(XI)) which has been incorporated by reference.
§ 143.208 Hazardous location requirements on foreign MODUs.
Each mobile offshore drilling unit that is documented under the laws of a foreign nation and is constructed after April 2, 2018 must comply with the requirements of 46 CFR subpart 111.108 prior to engaging in OCS activities.
§ 143.210 Letter of compliance.
(a) The Officer in Charge, Marine Inspection, determines whether a mobile offshore drilling unit which does not hold a valid Coast Guard Certificate of Inspection meets the requirements of § 143.205 or § 143.207 relating to design and equipment standards and issues a letter of compliance for each unit which meets the requirements. Inspection of the unit may be required as part of this determination.
(b) A letter of compliance issued under paragraph (a) of this section is valid for one year or until the MODU departs the OCS for foreign operations, whichever comes first.
(c) The owner or operator of a foreign mobile offshore drilling unit requiring a letter of compliance examination must pay the fee prescribed in 46 CFR 2.10-130.
Subpart D—Vessels
§ 143.300 Applicability.
This subpart applies to all vessels engaged in OCS activities except mobile offshore drilling units.
§ 143.301 Load line requirements.
(a) Vessels, including foreign vessels, which would be subject to the requirements of subchapter E of 46 CFR chapter I concerning load lines when arriving at or proceeding to sea from any port or place within the United States must comply with those requirements when engaged in activities on the OCS.
(b) Load line certificates and load line exemption certificates issued or accepted under subchapter E of 46 CFR chapter I are accepted as evidence of compliance with paragraph (a) of this section.
§ 143.302 Hazardous location requirements on foreign vessels engaged in OCS activities.
Each vessel that is documented under the laws of a foreign nation and is constructed after April 2, 2018 must comply with the requirements of 46 CFR subpart 111.108 prior to engaging in OCS activities.
Subpart E—Standby Vessels
§ 143.400 Applicability.
This subpart applies only to standby vessels meeting the requirements of this subpart and specifically designated in an Emergency Evacuation Plan (EEP) required by § 146.140 or § 146.210 of this chapter to provide rapid evacuation assistance in the event of an emergency.
§ 143.401 Vessel certification and operation.
Standby vessels must meet the following:
(a) Have a valid certificate of inspection issued in compliance with Subchapters H, I, or T of 46 CFR Chapter I.
(b) Be capable of carrying and providing shelter for 100 per cent of the number of persons on the most populated facility that the standby vessel is designated to assist. Crew spaces may be used to meet the requirements of this section.
(c) Provide bunks or aircraft type reclining seats for 10 per cent of the number of persons on the most populated facility that the standby vessel is designated to assist. Crew spaces may be used to meet the requirements of this section.
(d) Not carry or store goods, supplies, and equipment on the deck of the standby vessel or in other locations that may hinder the vessel’s ability to render assistance to the facility that the vessel is designated to assist.
(e) Not carry or store any hazardous material.
§ 143.405 Equipment.
(a) Standby vessels must have, at least, the following equipment:
(1) Multiple propellers or propulsion devices.
(2) Two searchlights.
(3) For vessels certificated under Subchapter H of 46 CFR Chapter I, a line throwing appliance that meets the requirements in 46 CFR 75.45.
(4) For vessels certificated under subchapters I or T of 46 CFR chapter I, a line throwing appliance that meets the requirements of 46 CFR 94.45.
(5) A Stokes or comparable litter.
(6) One blanket for each person on the most populated facility that the standby vessel is designated to assist.
(7) Means for safely retrieving persons, including injured or helpless persons, from the water. The means of retrieval must be demonstrated to the satisfaction of the Officer in Charge, Marine Inspection.
(8) A scramble net that can be rigged on either side of the standby vessel.
(9) A minimum of four Coast Guard approved ring life buoys, each equipped with 15 fathoms of line.
(10) An immersion suit approved by the Coast Guard under 46 CFR 160.171, or a buoyant suit meeting Supplement A of ANSI/UL-1123-1987 and approved under 46 CFR 160.053, for each member of the standby vessel’s crew when the standby vessel operates north of 32 degrees north latitude in the Atlantic Ocean or north of 35 degrees north latitude in all other waters.
(11) Two boat hooks.
(12) A fire monitor with a minimum flow rate of, at least, 500 gallons per minute.
(13) One two-way radio capable of voice communications with the OCS facility, helicopters or other rescue aircraft, rescue boats, and shore side support personnel.
(14) Floodlights to illuminate the personnel and boat retrieval area, the scramble net when deployed, and the water around the personnel retrieval and scramble net deployment areas.
(15) A copy of “The Ship’s Medicine Chest and Medical Aid at Sea”, DHHS Publication No. (PHS) 84-2024, available from the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402.
(16) An industrial first aid kit sized for 50 percent of the number of persons on the most populated facility that the standby vessel is designated to assist.
(17) Coast Guard approved life preservers for 50 percent of the number of persons on the most populated facility that the standby vessel is designated to assist.
(b) Equipment required by paragraph (a) of this section must be to the satisfaction of the Officer in Charge, Marine Inspection.
§ 143.407 Manning.
Standby vessels must be crewed in accordance with their certificate of inspection for 24 hour operation. The Officer in Charge, Marine Inspection, may require the crew to be augmented, as necessary, to provide for maneuvering the standby vessel, for lookouts, for rigging and operating retrieval equipment, and for caring for survivors.
PART 144—LIFESAVING APPLIANCES
Subpart 144.01—Manned Platforms
§ 144.01-1 Life floats.
Each manned platform shall be provided with at least two approved life floats. The life floats shall have sufficient capacity to accommodate all persons present at any one time.
§ 144.01-5 Location and launching of life floats.
The life floats shall be distributed in accessible locations and mounted on the outboard sides of the working platform in such a manner as to be readily launched.
§ 144.01-10 Equipment for life floats.
(a) Each lifefloat shall be provided with a painter. This painter shall be a manila rope not less than 2
(b) Each life float must have a water light of an approved automatic electric type constructed in accordance with 46 CFR Subpart 161.010, except a water light constructed in accordance with former 46 CFR Subpart 161.001 that was installed before January 1, 1972, may be retained in an existing installation as long as it is maintained in good condition. The water light must be attached to the life float by a 12-thread manila or equivalent synthetic lanyard not less than 2 meters (6 feet) nor more than 4 meters (12 feet) in length. The water light must be mounted on a bracket so that when the life float is launched, the water light will pull free of the bracket.
(c) Two paddles shall be provided for each life float. The paddles shall not be less than five feet nor more than six feet long. The paddles shall be stowed in such a way that they will be readily accessible from either side of the life float when in the water.
§ 144.01-15 Alternates for life floats.
(a) Approved lifeboats, approved life rafts or approved inflatable life rafts may be used in lieu of approved life floats for either all or part of the capacity required. When either lifeboats or life rafts are used approved means of launching will be required. Inflatable life rafts, when used, shall be distributed and mounted as required for life floats under § 144.01-5.
(b) The equipment required for a lifeboat is a bailer, boat hook, bucket, hatchet, lantern, life line, two life preservers, matches, full complement of oars and steering oar, painter, plug, and rowlocks, of the same type, kind, and character as required for lifeboats carried on vessels engaged in navigating bays, sounds, and lakes other than the Great Lakes, and rivers.
(c) The equipment required for a life raft is a boat hook, life line (if not a Type A life raft), full complement of oars and steering oar, painter, and rowlocks of the same type, kind, and character as required for life rafts carried on cargo and miscellaneous vessels navigating on bays, sounds, and lakes other than the Great Lakes.
(d) Inflatable liferafts shall be approved by the Coast Guard under approval series 160.151. An approved “Limited Service” or “Ocean Service” liferaft installed on board a platform before May 9, 1997, may continue to be used to meet the requirements of this section provided it is maintained in good and serviceable condition.
§ 144.01-20 Life preservers.
(a) An approved life preserver shall be provided for each person on a manned platform. The life preservers shall be located in easily accessible places.
(b) All kapok and fibrous glass life preservers which do not have plastic-covered pad inserts shall be removed from service.
(c) Each life preserver carried on a manned platform must have a personal flotation device light that is approved under Subpart 161.012 of 46 CFR Part 161. Each light must be securely attached to the front shoulder area of the life preserver.
(d) Each life preserver carried on a manned platform must have at least 200 sq. cm (31 sq. in.) of retroreflective material attached on its front side, at least 200 sq. cm on its back side, and at leat 200 sq. cm of material on each of its reversible sides. The material must be Type I material that is approved under 46 CFR 164.018. The material attached on each side of a life preserver must be divided equally between the upper quadrants of the side, and the material in each quadrant must be attached as closely as possible to the shoulder area of the life preserver.
§ 144.01-25 Ring life buoys.
(a) Each manned platform must have at least four approved ring life buoys constructed in accordance with 46 CFR Subpart 160.050; except ring life buoys approved under former 46 CFR Subpart 160.009 may be used as long as they are in good and serviceable condition. One ring life buoy must be placed on a suitable rack on each side of a manned platform in an accessible place. The ring life buoy must always be capable of being cast loose and may not be permanently secured in any way.
(b) Each ring life buoy must have a water light of an approved automatic electric type constructed in accordance with 46 CFR Subpart 161.010. A water light constructed in accordance with former 46 CFR Subpart 161.001 that was installed before January 1, 1972 may be retained in an existing installation as long as it is maintained in good condition. The water light must be attached to the ring life buoy by a 12-thread manila or equivalent synthetic lanyard not less than 1 meter (3 feet) nor more than 2 meters (6 feet) in length. The water light must be mounted on a bracket near the ring life buoy so that when the ring life buoy is cast loose, the water light will pull free of the bracket.
§ 144.01-30 First-aid kit.
On each manned platform a first-aid kit approved by the Commandant or the U.S. Bureau of Mines shall be provided and kept in the custody of the person in charge.
§ 144.01-35 Litter.
On each manned platform a Stokes litter, or other suitable safety litter capable of being safely hoisted with an injured person, shall be provided and kept in an accessible place.
§ 144.01-40 Emergency communications equipment.
On manned platforms means of communication by radio and/or wire telephone shall be provided for contacting the shore or vessels in the vicinity for aid in the event of an emergency.
Subpart 144.10—Unmanned Platforms
§ 144.10-1 Lifesaving equipment.
(a) Except as allowed in paragraph (b) of this section, no person may be on an unmanned platform unless the following lifesaving equipment is readily accessible on the platform:
(1) A life preserver or a Type I—Personal flotation device, listed in Table 1, for each person.
Table 1—Life Preservers and Equivalent Performance Flotation Devices
| Devices marked | Equivalent to performance type marked |
|---|---|
| 160.002 Life preserver | Type I—Personal flotation device. |
| 160.003 Life preserver | Type I—Personal flotation device. |
| 160.004 Life preserver | Type I—Personal flotation device. |
| 160.005 Life preserver | Type I—Personal flotation device. |
| 160.055 Life preserver | Type I—Personal flotation device. |
(2) An approved ring life buoy (Type IV PFD) for every two persons, but no more than four devices are required. Each ring life buoy must be of a type constructed in accordance with 46 CFR subpart 160.050; except a ring life buoy that was approved under former 46 CFR subpart 160.009 may be used as long as it is in good and serviceable condition.
(3) Each ring life buoy under paragraph (a)(2) of this section must have an approved automatic electric water light that is attached as described in § 144.01-25(b).
(b) The ring life buoys required in paragraph (a)(2) of this section may be kept on a manned vessel that remains alongside the platform if there is no available space to keep them on the platform.
§ 144.10-10 Other lifesaving equipment.
Any lifesaving equipment on an unmanned platform that is not required in § 144.10-1 must meet the standards contained in Subpart 144.01 of this part.
Subpart 144.20—Requirements for U.S. and Undocumented MODU’s
§ 144.20-1 Applicability.
This subpart applies to each MODU operating on the OCS that is not inspected under 46 CFR subchapter I-A.
§ 144.20-5 Exposure suits.
This section applies to each MODU except those operating south of 32 degrees North latitude in the Atlantic Ocean or south of 35 degrees North latitude in all other waters.
(a) Each MODU must carry an exposure suit for each person on board. The exposure suit must be stowed in a readily accessible location in or near the berthing area of the person for whom the exposure suit is provided.
(b) In addition to the exposure suits required by paragraph (a) of this section, each watch station and work station must have enough exposure suits to equal the number of persons normally on watch in, or assigned to, the station at one time. However, an exposure suit need not be provided at a watch or work station for a person whose cabin, stateroom, or berthing area (and the exposure suits stowed in that location) is readily accessible to the station.
(c) Each exposure suit on a MODU must be of a type approved under 46 CFR 160.171.
(d) Each exposure suit must have a personal flotation device light that is approved under 46 CFR 161.012. Each light must be securely attached to the front shoulder area of the exposure suit.
(e) Each exposure suit on a MODU must be provided with a whistle of the ball type or multi-tone type, of corrosion resistant construction, and in good working order. The whistle must be attached to the exposure suit by a lanyard without hooks, snaps, clips, etc., that is long enough to permit the whistle to reach the mouth of the wearer. If the lanyard allows the whistle to hang below the waist of the wearer, the whistle must be stowed in a pocket on the exposure suit, or with the lanyard coiled and stopped off.
(f) No stowage container for exposure suits may be capable of being locked.
Subpart 144.30—Requirements for Foreign MODU’s
§ 144.30-1 Applicability.
This subpart applies to each MODU engaged in OCS activities that is documented under the laws of a foreign nation.
§ 144.30-5 Exposure suits.
Each foreign MODU must meet the requirements of § 144.20-5 of this chapter, except as follows:
(a) Exposure suits (immersion suits, survival suits, etc.) approved by the nation under which the MODU is documented may be used in lieu of suits approved under 46 CFR 160.071, provided that they are accepted by the Commandant as providing equivalent thermal protection to the wearer. (Requests for acceptance of such suits should be sent to Commandant (CG-ENG-4), Attn: Lifesaving and Fire Safety Division, U.S. Coast Guard Stop 7509, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7509, along with technical data supporting the thermal performance of the suits.)
(b) Personal flotation device lights approved by the nation under which the MODU is documented may be used in lieu of lights approved under 46 CFR 161.012.
PART 145—FIRE-FIGHTING EQUIPMENT
§ 145.01 Portable and semi-portable fire extinguishers.
(a) On all manned platforms and on all unmanned platforms where crews are continuously working on a 24-hour basis, Coast Guard-approved portable fire extinguishers and/or Coast Guard-approved semi-portable fire extinguishers must be installed and maintained. On all unmanned platforms where crews are not continuously working on a 24-hour basis, Coast Guard-approved portable fire extinguishers and/or Coast Guard-approved semi-portable fire extinguishers are required to be installed and maintained only when crews are working on them.
(b) Portable and semi-portable fire extinguishers must be inspected and maintained in accordance with NFPA 10 (incorporated by reference, see § 140.7 of this chapter) as amended here:
(1) Certification or licensing by a state or local jurisdiction as a fire extinguisher servicing agency will be accepted by the Coast Guard as meeting the personnel certification requirements of NFPA 10 for annual maintenance and recharging of extinguishers.
(2) Monthly inspections required by NFPA 10 may be conducted by the owner, operator, person-in-charge, or a designated member of the crew.
(3) Non-rechargeable or non-refillable fire extinguishers must be inspected and maintained in accordance with NFPA 10. However, the annual maintenance need not be conducted by a certified person and can be conducted by the owner, operator, person-in-charge, or a designated member of the crew.
(4) The owner or managing operator must provide satisfactory evidence of the required servicing to the marine inspector. If any of the equipment or records has not been properly maintained, a qualified servicing facility must perform the required inspections, maintenance procedures, and hydrostatic pressure tests. A tag issued by a qualified servicing organization, and attached to each extinguisher, may be accepted as evidence that the necessary maintenance procedures have been conducted.
§ 145.05 [Reserved]
§ 145.10 Location, number, and installation of fire extinguishers.
(a) Approved portable and semi-portable extinguishers must be installed in accordance with Table 145.10(a).
(b) Semi-portable extinguishers must be located in the open so as to be readily seen.
(c) Semi-portable extinguishers must be fitted with a suitable hose and nozzle, or other practicable means, so all of the space can be protected.
(d) Table 145.10(a) of this section indicates the minimum number and size of fire extinguishers required for each space listed. Extinguishers with larger numerical ratings or multiple letter designations may be used if the extinguishers meet the requirements of the table.
Table 145.10(
| Space | Minimum required rating | Quantity and location |
|---|---|---|
| Communicating corridors | 2-A | 1 in each main corridor not more than 150 ft apart. (May be located in stairways.) |
| Radio room | 20-B:C | 1 in the vicinity of the exit. |
| Sleeping accommodations | 2-A | 1 in each sleeping accommodation space outfitted for 4 or more persons. |
| Galleys | 40-B:C | 1 for each 2,500 sq ft of floor space or fraction thereof. |
| Storerooms | 2-A | 1 for each 2,500 sq ft of floor space or fraction thereof. The extinguisher must be located in the vicinity of the exits, either inside or outside of spaces. |
| Gas-fired boilers | 40-B | 2 required. |
| 160-B | 1 required. 1 | |
| Oil-fired boilers | 40-B | 2 required. |
| 160-B | 2 required. 1 | |
| Internal combustion or gas turbine engines | 40-B | 1 for each engine. 2 |
| Electric motors or generators of open type | 40-B:C | 1 for each 2 motors or generators. 3 |
1 Not required where a fixed extinguishing system is installed.
2 When the installation is on the weather deck or open to the atmosphere at all times, then one 40-B extinguisher for every three engines is allowable.
3 Small electrical appliances, such as fans, are exempt.
§ 145.15 Location and number of fire extinguishers required for vessels contracted for prior to August 22, 2016.
(a) Vessels contracted for prior to August 22, 2016 must meet the following requirements:
(1) Previously installed extinguishers with extinguishing capacities smaller than what is required in table 145.10(a) of this part need not be replaced and may be continued in service so long as they are maintained in good condition to the satisfaction of the Officer in Charge, Marine Inspection.
(2) All new equipment and installations must meet the applicable requirements in this part for new vessels.
(b) [Reserved]
PART 146—OPERATIONS
Subpart A—OCS Facilities
§ 146.1 Applicability.
The provisions of this subpart apply to OCS facilities except mobile offshore drilling units.
§ 146.5 Person in charge.
(a) The owner or operator, or the agent of either of them, shall designate by title and in order of succession the persons on each OCS facility who shall be the “person in charge.”
(b) In case an emergency arises, nothing in the regulations in this subchapter shall be so construed as preventing the person in charge from pursuing the most effective action in that person’s judgement for rectifying the conditions causing the emergency.
§ 146.10 Notice of new facilities.
(a) The owner or operator of each OCS facility not in operation before April 5, 1982 shall, at least 30 days before the date on-site construction of the facility is expected to commence, notify the District Commander for the area in which the facility will be located of:
(1) The position in which the facility will be operated;
(2) The designation assigned to the facility for identification under 30 CFR 250.37;
(3) The date when operation of the facility is expected to commence; and
(4) The date when the facility is expected to be available for inspection by the Coast Guard.
(b) The information required in paragraph (a) of this section may be submitted together with a need not repeat information submitted in connection with the application and notice requirements in 33 CFR part 67 for aids to navigation on the Outer Continental Shelf.
§ 146.15 Maintenance of emergency equipment.
(a) The emergency equipment provided, regardless of whether or not required by this subchapter, shall be maintained in good condition at all times. Good operating practices require replacement of expended equipment, as well as periodic renewal of those items which have a limited period of effectiveness.
(b) Each personal flotation device light that has a non-replaceable power source must be replaced on or before the expiration date of the power source.
(c) Each replaceable power source for a personal flotation device light must be replaced on or before its expiration date and the light must be replaced when it is no longer serviceable.
§ 146.20 Work vests.
(a) Types of approved work vests. Each buoyant work vest carried under the permissive authority of this section must be approved under—
(1) 46 CFR 160.053; or
(2) 46 CFR 160.077 as a commercial hybrid PFD.
(b) Use. Approved buoyant work vests are considered to be items of safety apparel and may be carried aboard OCS facilities to be worn by persons employed thereon when working near or over the water. The use and control of such vests shall be under the supervision of the person in charge of the facility. When carried, such vests shall not be accepted in lieu of any portion of the required number of approved life preservers and shall not be substituted for the approved life preservers required to be worn during drills and emergencies.
(c) Stowage. The work vests shall be stowed separately from the regular stowage of approved life preservers. The location for the stowage of work vests shall be such as not to be easily confused with that for approved life preservers.
(d) Inspections. Each work vest shall be subject to examination by a marine inspector to determine its serviceability. If found to be satisfactory, it may be continued in service, but shall not be stamped by a marine inspector with a Coast Guard stamp. If a work vest is found not to be in a serviceable condition, then such work vest shall be removed from the OCS facility. If a work vest is beyond repair, it shall be destroyed or mutilated in the presence of a marine inspector so as to prevent its continued use as a work vest.
(e) Additional requirements for hybrid work vests. Commercial hybrid PFD’s must, in addition to the other requirements in this section, be—
(1) Used, stowed, and maintained in accordance with—
(i) The procedures set out in the manual required for these devices by 46 CFR 160.077-29; and
(ii) Any limitation(s) marked on them; and
(2) Of the same or similar design and have the same method of operation as each other hybrid PFD carried on board.
§ 146.30 Notice of casualties.
(a) The owner, operator, and person in charge of an OCS facility shall ensure that the Coast Guard is notified as soon as possible after a casualty occurs, and by the most rapid means available, of each casualty involving the facility which results in:
(1) Death; or
(2) Injury to 5 or more persons in a single incident.
(b) The owner, operator, and person in charge shall ensure that the Coast Guard is notified promptly of each casualty involving the facility which results in:
(1) Damage affecting the usefulness of primary lifesaving or firefighting equipment;
(2) Injury causing any person to be incapacitated for more than 72 hours;
(3) Damage to the facility exceeding $25,000 resulting from a collision by a vessel with the facility; or
(4) Damage to a floating OCS facility exceeding $25,000.
(c) The notice required by paragraphs (a) and (b) of this section must identify the person giving the notice and the facility involved and describe, insofar as practicable, the nature of the casualty and the extent of injury to personnel and damage to property.
(d) Damage costs referred to in paragraphs (b)(3) and (b)(4) of this section include the cost of labor and material to restore the facility to the service condition which existed prior to the casualty, but does not include the cost of salvage, cleaning, gas freeing, drydocking or demurrage of the facility.
§ 146.35 Written report of casualty.
(a) In addition to the notice of a casualty required by § 146.30, the owner, operator, or person in charge shall, within 10 days of the casualty, submit to the Officer in Charge, Marine Inspection, a written report which:
(1) Identifies the facility involved, its owner, operator, and person in charge;
(2) Describes the casualty, including the date and time;
(3) Describes the nature and extent of injury to personnel and damage to property;
(4) Describes the factors which may have contributed to causing the casualty;
(5) Gives the name, address, and phone number of persons involved in or witnessing the casualty; and
(6) Gives any desired comments, especially with respect to use of or need for emergency equipment.
(7) Includes information relating to alcohol or drug involvement as specified in the vessel casualty reporting requirements of 46 CFR 4.05-12.
(b) The written report required by paragraph (a) of this section may be—
(1) In narrative form if all appropriate parts of Form CG-2692 are addressed;
(2) On Form CG-2692 for casualties resulting in property damage, personnel injury, or loss of life.
(c) If filed or postmarked within 5 days of the casualty, the written report required by paragraph (a) of this section serves as the notice required by § 146.30(b).
§ 146.40 Diving casualties.
Diving related casualties are reported in accordance with 46 CFR 197.484 and 197.486.
§ 146.45 Pollution incidents.
Oil pollution incidents involving an OCS facility are reported in accordance with §§ 135.305 and 135.307 of this chapter. Additional provisions concerning liability and compensation because of oil pollution are contained in Subchapter M of this chapter.
Subpart B—Manned OCS Facilities
§ 146.101 Applicability.
The provisions of this subpart apply only to manned OCS facilities except mobile offshore drilling units.
§ 146.102 Definitions.
For the purpose of this subpart:
Arrives on the OCS means when a floating facility enters any OCS block area for the purpose of engaging in operations subject to the jurisdiction of the OCS Lands Act.
OCS block area means the names given by the Bureau of Ocean Energy Management, (BOEM) to define the OCS areas used to facilitate management or leasing on the OCS.
U.S., as used in the term, “U.S. floating facility,” means a “floating facility,” that is registered, documented, or certificated under the laws of the United States or that is not registered, documented, or certificated under the laws of the United States or any other nation.
§ 146.103 Safety and Security notice of arrival for U.S. floating facilities.
(a) General. At least 96 hours before a U.S. floating facility arrives on the OCS from a foreign port or place or from a different OCS block area, excluding those U.S. floating facilities arriving directly from a U.S. port or place, to engage in OCS activities, the owner or operator of the floating facility, except as provided in paragraph (f) of this section, must submit the following information to the National Vessel Movement Center (NVMC):
(1) The location, latitude and longitude, of the floating facility at the time the notice of arrival (NOA) is reported;
(2) The area designation, block number or lease number, assigned under 30 CFR 250.154 for identification, where the owner or operator of the floating facility plans to perform OCS activities;
(3) The floating facility’s name, if any;
(4) The date when OCS operations of the floating facility are expected to begin and end;
(5) Names of the last two ports or places visited and the associated dates of arrival and departure;
(6) The following information for each individual onboard:
(i) Full name;
(ii) Date of birth;
(iii) Nationality;
(iv) Passport number or marine documentation number (type of identification and number);
(v) Position or duties on the floating facility; and
(vi) Name of the port, or place, and country where the individual embarked.
(b) Methods of submission. The notice must be submitted to the NVMC by electronic Notice of Arrival and Departure format using methods specified in the NVMC’s Web site at http://www.nvmc.uscg.gov/.
(c) Updates to a submitted NOA. Unless otherwise specified in this section, whenever the most recently submitted NOA information becomes inaccurate, the owner or operator of a U.S. floating facility must revise and re-submit the NOA within the times required in paragraph (e) of this section. An owner or operator does not need to revise or re-submit an NOA for the following:
(1) A change in submitted arrival time that is less than 6 hours;
(2) Changes in the location, latitude and longitude, of the floating facility from the location at the time the NOA was reported; or
(3) Changes to personnel positions or duties on the floating facility.
(d) Required reporting time of an initial NOA. The owner or operator of a U.S. floating facility subject to this section must submit an initial NOA:
(1) If the voyage time is more than 96 hours, owners or operators of a floating facility must submit an initial NOA at least 96 hours before the U.S. floating facility arrives at the OCS location where the owner or operator plans to perform OCS activities; or
(2) If the voyage time is less than 96 hours, owners and operators of a floating facility must submit an initial NOA at least 24 hours before the U.S. floating facility arrives at the OCS location where the owner or operator plans to perform OCS activities.
(e) Required reporting time of an update to an NOA. The owner or operator of each floating facility subject to this section must submit an NOA update:
(1) If the most recently submitted NOA, or NOA update, differs by 24 hours or more from the current estimated time of arrival, the owner or operator of the floating facility must provide an updated NOA as soon as practicable but at least 24 hours before the U.S. floating facility arrives at the OCS location where the owner or operator plans to perform OCS activities; or
(2) If the most recently submitted NOA, or NOA update, differs by less than 24 hours from the current estimated time of arrival, the owner or operator of the floating facility must provide an update as soon as practicable but at least 12 hours before the U.S. floating facility arrives at the OCS location where the owner or operator plans to perform OCS activities.
(f) Towing vessels. When a towing vessel controls a U.S. floating facility required to submit an NOA under this subpart, the owner or operator of the towing vessel, or lead towing vessel if there is more than one, is responsible for submitting only one NOA containing the NOA information items required for the towing vessels, under § 146.405, and the U.S. floating facility under paragraph (a) of this section.
(g) This section does not apply to U.S. floating facilities merely transiting the waters superjacent to the OCS and not engaged in OCS activities.
§ 146.104 Safety and Security notice of arrival for foreign floating facilities.
(a) General. At least 96 hours before a foreign floating facility arrives on the OCS from a foreign port or place or from a different OCS block area to engage in OCS activities, the owner or operator of the floating facility, except as provided in paragraph (f) of this section, must submit the following information to the National Vessel Movement Center (NVMC):
(1) The location, latitude and longitude, of the foreign floating facility at the time the NOA is reported;
(2) The area designation, block number or lease number, assigned under 30 CFR 250.154 for identification, where the owner or operator of the foreign floating facility plans to perform OCS activities;
(3) The foreign floating facility’s name, if any;
(4) The date when OCS operations of the foreign floating facility are expected to begin and end;
(5) Names of the last two ports or places visited and the associated dates of arrival and departure;
(6) The following information for each individual onboard:
(i) Full name;
(ii) Date of birth;
(iii) Nationality;
(iv) Passport number or marine documentation number (type of identification and number);
(v) Position or duties on the foreign floating facility; and
(vi) Name of the port, or place, and country where the individual embarked.
(7) The date of issuance of the foreign floating facility’s International Safety Management certificate (ISM), if any, and Document of Compliance certificate and the name of the flag administration, or its recognized representative, that issued those certificates; and
(8) The date of issuance of the foreign floating facility’s International Ship Security certificate (ISSC), if any, and the name of the flag administration, or the recognized security organization representing the flag administration, that issued the ISSC.
(b) Methods of submission. The notice must be submitted to the National Vessel Movement Center by electronic Notice of Arrival and Departure format using methods specified at the NVMC’s Web site at http://www.nvmc.uscg.gov/.
(c) Updates to a submitted NOA. Unless otherwise specified in this section, whenever the most recently submitted NOA information becomes inaccurate, the owner or operator of the foreign floating facility must revise and re-submit the NOA within the times required in paragraph (e) of this section. An owner or operator does not need to revise or re-submit an NOA for the following:
(1) A change in submitted arrival time that is less than 6 hours;
(2) Changes in the location, latitude and longitude, of the floating facility from the location at the time the NOA was reported; or
(3) Changes to personnel positions or duties on the foreign floating facility.
(d) Required reporting time of an initial NOA. The owner or operator of a foreign floating facility subject to this section must submit an initial NOA:
(1) If the voyage time is more than 96 hours, owners or operators of a foreign floating facility must submit an initial NOA at least 96 hours before the foreign floating facility arrives at the OCS location where the owner or operator plans to perform OCS activities; or
(2) If the voyage time is less than 96 hours, the owner or operator of a foreign floating facility must submit an initial NOA at least 24 hours before the foreign floating facility arrives at the OCS location where the owner or operator plans to perform OCS activities.
(e) Required reporting time of an update to an NOA. The owner or operator of a foreign floating facility subject to this section must submit an NOA update:
(1) If the most recently submitted NOA, or NOA update, differs by 24 hours or more from the current estimated time of arrival, the owner or operator of the foreign floating facility must provide an updated NOA as soon as practicable but at least 24 hours before the floating facility arrives at the OCS location where the owner or operator plans to perform OCS activities; or
(2) If the most recently submitted NOA, or NOA update, differs by less than 24 hours from the current estimated time of arrival, the owner or operator of the foreign floating facility must provide an updated NOA as soon as practicable but at least 12 hours before the floating facility arrives at the OCS location where owners or operators plan to perform OCS activities.
(f) Towing vessels. When a towing vessel controls a foreign floating facility required to submit an NOA under this subpart, the owner or operator of the towing vessel, or lead towing vessel if there is more than one, is responsible for submitting only one NOA containing the NOA information items required for towing vessels, under § 146.405, and the foreign floating facility under paragraph (a) of this section.
(g) This section does not apply to a foreign floating facility merely transiting the waters superjacent to the OCS and not engaged in OCS activities.
§ 146.105 General alarm system.
Each manned facility must have a general alarm system. When operated, this system shall be audible in all parts of the structure on which provided.
§ 146.110 Emergency signals.
(a) The owner, the owner’s agent, or the person in charge shall establish emergency signals to be used for calling the personnel to their emergency stations.
(b) The signal to man emergency stations shall be an intermittent signal on the general alarm system for not less than 10 seconds. The abandon facility signal shall be a continuous signal on the general alarm system.
§ 146.115 Duties of personnel during an emergency.
(a) The owner, the owner’s agent, or the person in charge shall assign to each person on a manned facility special duties and duty stations so that in event an emergency arises confusion will be minimized and no delay will occur with respect to the use or application of equipment required by this subchapter. The duties shall, as far as possible, be comparable with the regular work of the individual.
(b) The duties shall be assigned as necessary for the proper handling of any emergency, and shall include the following:
(1) The closing of air ports, watertight doors, scuppers, and sanitary and other discharges which lead through the facility’s hull.
(2) The stopping of fans and ventilation systems.
(3) The donning of life preserves.
(4) The preparation and launching of life floats, lifeboats, or life rafts.
§ 146.120 Manning of survival craft.
The owner, the owner’s agent, or the person in charge shall assign a person to each life float, lifeboat, life raft, or survival capsule who shall be responsible for launching it in event of an emergency.
§ 146.125 Emergency drills.
(a) Emergency drills shall be conducted at least once each month by the person in charge of the manned facility. The drill shall be conducted as if an actual emergency existed. All personnel should report to their respective stations and be prepared to perform the duties assigned to them.
(b) The person in charge and conducting the emergency drill shall instruct the personnel as necessary to insure that all persons are familiar with their duties and stations.
(c) Emergency evacuation drills. The following emergency evacuation drills must be conducted:
(1) At least once a year, all the elements of the Emergency Evacuation Plan (EEP) under § 146.140 relating to the evacuation of personnel from the facility must be exercised through a drill or a series of drills. The drill(s) must exercise all of the means and procedures listed in the EEP for each circumstance and condition described in the EEP under § 146.140(d)(9).
(2) At least once a month, a drill must be conducted that demonstrates the ability of the facility’s personnel to perform their duties and functions on the facility, as those duties and functions are described in the EEP. If a standby vessel is designated for that facility in the EEP, the vessel must be positioned as described in the EEP for an evacuation of that facility and the vessel’s crew must demonstrate its ability to perform its duties and functions under the EEP.
(d) The date and time of such drills shall be reported in writing by the person in charge at the time of the drill to the owner who shall maintain this report record for a year and furnish it upon request to the Coast Guard. After one year, such records may be destroyed. When it is impossible to conduct emergency drills as required by this section during a particular calendar month, during the following month, a written report by the owner shall be submitted to the Officer in Charge, Marine Inspection, stating why the drills could not be conducted.
§ 146.130 Station bill.
(a) The person in charge of each manned platform shall be responsible for and have prepared a station bill (muster list). This station bill must be signed by the person in charge. Copies shall be duly posted in conspicuous locations on the manned platform.
(b) The station bill shall set forth the special duties and duty stations of each member of the personnel for any emergency which involves the use or application of equipment required by this subchapter. In addition, it shall contain all other duties assigned and considered as necessary for the proper handling of other emergencies.
(c) The station bill shall contain the various signals to be used for calling the personnel to their emergency stations, and to abandon the facility.
§ 146.135 Markings for emergency equipment.
(a) Markings shall be provided as considered necessary for the guidance of persons on manned facilities.
(b) The general alarm bell switches shall be identified by red letters at least one inch high with a contrasting background: “General Alarm.”
(c) All general alarm bells shall be identified by a sign at each bell in red letters at least one inch high with a sharp contrasting background: “General Alarm—When Bell Rings Go to Your Station.
(d) All life floats, lifeboats, life rafts, and survival capsules, together with paddles or oars, shall be conspicuously marked with a name or number of, or other inscription identifying, the facility on which placed. The number of persons allowed on each life float, lifeboat, or life raft shall be conspicuously marked thereon in letters and numbers 1
(e) All life preservers and ring life buoys shall be marked with the name or number of, or other inscription identifying, the facility on which placed except those which accompany mobile crews to unmanned platforms may be marked with the operator’s name and field designation.
§ 146.140 Emergency Evacuation Plan.
(a) The operator of each manned OCS facility shall develop an Emergency Evacuation Plan (EEP) for the facility which addresses all of the items listed in paragraph (d) of this section. The EEP may apply to more than one facility, if the facilities are located in the same general geographic location and within the same Coast Guard Officer in Charge, Marine Inspection (OCMI) zone; if each facility covered by the EEP is specifically identified in the EEP; and if the evacuation needs of each facility are accommodated. The EEP must be submitted to the OCMI having jurisdiction over the facility, 30 days before placing the facility in operation. The OCMI reviews the EEP to determine whether all items listed in paragraph (d) of this section are addressed for each facility included in the EEP. If the OCMI determines that all items in paragraph (d) of this section are addressed, the OCMI stamps the EEP “APPROVED” and returns it, together with a letter indicating Coast Guard approval, to the operator. If the OCMI determines that any item is not addressed, the OCMI stamps the EEP “RETURNED FOR REVISION” and returns the EEP, together with an explanation of the EEP’s deficiencies, to the operator.
(b) Once the EEP is approved under paragraph (a) of this section, the facility operator shall ensure that a copy of the EEP and the letter indicating Coast Guard approval is maintained on the facility.
(c) The EEP must be resubmitted for approval when substantive changes are made to the EEP. Only the pages affected by a change need be resubmitted if the EEP is bound in such a way as to allow old pages to be removed easily and new ones inserted. Substantive changes include, but are not limited to, installation of a new facility within the area covered by an EEP, relocation of a MODU, changes in the means or methods of evacuation, or changes in the time required to accomplish evacuation.
(d) The EEP must, at a minimum,
(1) Be written in language that is easily understood by the facility’s operating personnel;
(2) Have a table of contents and general index;
(3) Have a record of changes;
(4) List the name, telephone number, and function of each person to be contacted under the EEP and state the circumstances in which that person should be contacted;
(5) List the facility’s communications equipment, its available frequencies, and the communications schedules with shore installations, standby vessels, rescue aircraft, and other OCS facilities specified in the EEP;
(6) Identify the primary source of weather forecasting relied upon in implementing the EEP and state the frequency of reports when normal weather is forecasted, the frequency of reports when heavy weather is forecasted, and the method of transmitting the reports to the facility;
(7) Designate the individual on each facility covered by the EEP who is assigned primary responsibility for implementing the EEP;
(8) Designate those facility and shoreside support personnel who have the authority to advise the person in charge of the facility as to the best course of action to be taken and who initiate actions to assist facility personnel;
(9) Describe the recognized circumstances, such as fires or blowouts, and environmental conditions, such as approaching hurricanes or ice floes, in which the facility or its personnel would be placed in jeopardy and a mass evacuation of the facility’s personnel would be recommended;
(10) For each of the circumstances and conditions described under paragraph (d)(9) of this section, list the pre-evacuation steps for securing operations, whether drilling or production, including the time estimates for completion and the personnel required;
(11) For each of the circumstances and conditions described under paragraph (d)(9) of this section, describe the order in which personnel would be evacuated, the transportation resources to be used in the evacuation, the operational limitations for each mode of transportation specified, and the time and distance factors for initiating the evacuation; and
(12) For each of the circumstances and conditions described under paragraph (d)(9) of this section, identify the means and procedures—
(i) For retrieving persons from the water during an evacuation;
(ii) For transferring persons from the facility to designated standby vessels, lifeboats, or other types of evacuation craft;
(iii) For retrieving persons from designated standby vessels, lifeboats, or other types of evacuation craft if used; and
(iv) For the ultimate evacuation of all persons on the facility to land, another facility, or other location where the evacuees would be reasonably out of danger under the circumstance or condition being ad