Tank Vessel Response Plans for Hazardous Substances

DEPARTMENT OF TRANSPORTATION

Coast Guard

33 CFR Part 155

[USCG-1998-4354]

RIN 2115-AE88

Tank Vessel Response Plans for Hazardous Substances

AGENCY: Coast Guard, DOT.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The Coast Guard proposes regulations that would require

response plans for certain tank vessels operating on the navigable

waters of the United States that could reasonably be expected to cause

substantial or significant and substantial harm to the environment by

discharging a hazardous substance. These regulations are mandated by

the Oil Pollution Act of 1990 (OPA 90), which requires the President to

issue regulations requiring the preparation of hazardous substance

response plans. The primary purpose of requiring response plans is to

minimize the impact of a discharge of hazardous substances into the

navigable waters of the United States.

DATES: Comments must reach the Coast Guard on or before June 21, 1999.

Comments sent to the Office of Management and Budget (OMB) on

collection of information must reach OMB on or before June 21, 1999.

ADDRESSES: You may mail comments to the Docket Management Facility,

[USCG-1998-4354], U.S. Department of Transportation, room PL-401, 400

Seventh Street SW., Washington, DC 20590-0001, or deliver them to room

PL-401 located on the Plaza Level of the Nassif Building at the same

address, between 9 a.m. and 5 p.m., Monday through Friday, except

Federal holidays. The telephone number is 202-366-9329.

You must also mail comments on collection of information to the

Office of Information and Regulatory Affairs, Office of Management and

Budget, 725 17th Street NW., Washington, DC 20503, ATTN: Desk Officer,

U.S. Coast Guard.

The Docket Management Facility maintains the public docket for this

rulemaking. Comments, and documents as indicated in this preamble other

than material proposed for incorporation by reference, will become part

of this docket and will be available for inspection or copying at room

PL-401, located on the Plaza Level of the Nassif Building at the same

address, between 9 a.m. and 5 p.m., Monday through Friday, except

Federal holidays. You may also access this docket on the Internet at

http://dms.dot.gov.

The material proposed for incorporation by reference is available

for inspection at room 2100, U.S. Coast Guard Headquarters, 2100 Second

Street SW., Washington, DC 20593-0001 between 9:00 a.m. and 2:30 p.m.,

Monday through Friday, except Federal holidays. The telephone number is

202-267-6716.

FOR FURTHER INFORMATION CONTACT: CDR John Weber, Office of Response (G-

MOR), (202) 267-6716; e-mail: J[email protected] or LT Michael

Roldan, Office of Standards Evaluation and Development (G-MSR), 202-

267-0756; e-mail: [email protected]. Telephones are equipped to

record messages on a 24-hour basis. For questions on viewing, or

submitting material to the docket, contact Dorothy Walker, Chief,

Dockets, Department of Transportation, telephone 202-366-9329.

SUPPLEMENTARY INFORMATION:

Request for Comments

The Coast Guard encourages interested persons to participate in

this rulemaking by submitting written data, views, or arguments.

Persons submitting comments should include their names and addresses,

identify this rulemaking (USCG-1998-4354), and the specific section of

this document to which each comment applies, and give the reason for

each comment. Please submit all comments and attachments in an unbound

format, no larger than 8\1/2\ by 11 inches, suitable for copying and

electronic filing to the Docket Management Facility at the address

under ADDRESSES. Persons wanting acknowledgment of receipt of comments

should enclose stamped, self-addressed postcards or envelopes.

The Coast Guard will consider all comments received during the

comment period. It may change this proposed rule in view of the

comments.

The Coast Guard plans to hold public meetings regarding this

proposed rulemaking. We will announce the dates and times for the

meetings in a later notice in the Federal Register. You may request a

public meeting by submitting a comment requesting one to the address

under ADDRESSES. The request should include the reasons why a hearing

would be beneficial.

[[Page 13735]]

Background and Purpose

The Clean Water Act (CWA) [33 U.S.C. 1321(j)(5)], as amended by

section 4202(a)(6) of OPA 90, requires owners or operators of tank

vessels, offshore facilities, and onshore facilities that could

reasonably be expected to cause substantial or significant and

substantial harm to the environment to prepare and submit plans for

responding to the maximum extent practicable, to a worst case

discharge, or a substantial threat of such a discharge, of oil or a

hazardous substance into or on navigable waters, adjoining shorelines,

or the exclusive economic zone. The Final Rule for oil spill response

plans for vessels was published on January 12, 1996 [61 FR 1052]. The

Final Rule for oil spill response plans for facilities was published on

February 29, 1996 [61 FR 7890]. This proposed rulemaking addresses OPA

90 response planning requirements for tank vessels carrying hazardous

substances. A separate rulemaking will propose regulations for

facilities.

Regulatory History

Advance Notice of Proposed Rulemaking

The Coast Guard published an Advance Notice of Proposed Rulemaking

(ANPRM) addressing vessel and facility response plans for hazardous

substances in the Federal Register on May 3, 1996 (61 FR 20084). The

ANPRM discussed the background, statutory requirements of section

311(j) of the CWA, and possible regulatory approaches. In addition, the

ANPRM raised 96 questions for public comment. The Coast Guard received

42 comment letters replying to the ANPRM. All comment letters were

considered in developing this NPRM.

Public Meetings

The Coast Guard conducted public meetings on July 30, 1996, in

Washington, DC, and August 5, 1996, in Houston, TX. The Coast Guard

considered comments made during these meetings.

Response Plan Workshop

In addition to accepting written comments concerning the

development of regulations for vessel response plans for hazardous

substances, a workshop and meeting were held in Houston, TX, on

February 26 and 27, 1997. The workshop engaged various stakeholders in

issues that had been identified as significant in response to the

ANPRM. Approximately 120 persons participated in the workshop.

The workshop focused on four specific issues identified in advance

by the Coast Guard. These issues were: (1) Role and Contents of First

Responders' Guides; (2) Role and Capabilities of Decision Support

Systems; (3) Chemical Removal Technology; and (4) Public Responder

versus Private Responder Issues. While drafting this NPRM, the Coast

Guard considered recommendations from the workshop. A summary of the

proceedings of the workshop is available for review and copying in the

public docket as described under ADDRESSES.

Advisory Committee

The Chemical Transportation Advisory Committee (CTAC) formed the

Hazardous Substances Response Plan Subcommittee. This subcommittee

developed and recommended hazardous substance response plan criteria

for the Coast Guard's consideration in developing requirements for OPA

90-mandated response plans. In addition to the formation of a Steering

Committee, the subcommittee established the following working groups to

address appropriate aspects of response planning: Fate and Effects,

Response Resources and Methodology, and Planning Process. Based on work

done by the groups, the CTAC subcommittee delivered a report containing

findings and recommendations. Input from the committee was used in the

development of this NPRM.

Discussion of Proposed Rule

1. General

In response to public comment and recommendations from the Chemical

Transportation Advisory Committee, the Coast Guard established several

principles to guide the development of this proposed rule. These

principles specify that--

a. The response plans should address human health which, as the

primary concern, includes the general public, vessel crew, and

responders;

b. The regulations should recognize and promote existing industry

best practices;

c. The regulations should allow for flexibility in plan development

to accommodate other existing practices that are effective;

d. The Coast Guard should avoid developing prescriptive ``one size

fits all'' regulations;

e. The Coast Guard should avoid duplicating existing federal

regulations;

f. The Coast Guard should maximize consistency with international

standards;

g. The regulations should reflect the differences in planning

requirements between oil and hazardous substances, specifically as they

relate to recoverability and risk of exposure; and

h. The regulations should facilitate amending existing oil response

plans to meet requirements for hazardous substances under OPA.

A fundamental underpinning of these proposed regulations is that,

for hazardous substance discharges, the availability of information and

expertise is essential to support response decision-making, while the

mobilization of containment and collection equipment will be feasible

only as conditions allow. For oil response planning, some portion of

the spilled product may be recoverable through containment and

collection. The amount recovered is largely a function of how rapidly

response equipment can be deployed. For hazardous substances,

containment and collection may be viable for certain chemicals,

depending on environmental conditions and safety considerations.

Limitations on containment and collection are also imposed by the

compatibility of equipment with the hazardous substance in question.

The most effective mitigation strategy may be to control the source of

the discharge, not contain and collect the hazardous substance. The

Coast Guard prefers to foster a ``quickly assess the risk and respond

accordingly'', instead of a ``rush in to contain and collect the

product'' philosophy.

For the reasons previously described, these proposed regulations

contain requirements that ensure access to certain information and

equipment during a response, and the availability of appropriate

technical expertise as necessary. The Coast Guard intends that owners/

operators will, through good business practice, identify and perform

the most appropriate response strategies.

2. Consistency With International Standards

The International Maritime Organization (IMO) is developing

chemical response planning requirements to augment existing oil

response planning requirements. Current international standards

encompass several hundred chemicals, many of which are outside the

Coast Guard's statutory authority in developing hazardous substance

response planning regulations. The IMO has a subcommittee on

international standards for hazardous material response. The Coast

Guard has worked with this subcommittee to ensure our regulations are

consistent with international standards.

[[Page 13736]]

3. Summary of Proposed Requirements

Following is a discussion of sections contained in the proposed

rule.

Section 155.3015 indicates who must comply with these regulations.

It applies to owners and operators of tank vessels that carry hazardous

substances in bulk as cargo or cargo residue. Tank vessels include both

tankers and tank barges that carry any hazardous substance. The term

``bulk'' means that a hazardous substance is carried in an integral

tank, or is transferred into a marine portable tank while on the

vessel. These regulations would not apply to packaged or containerized

hazardous substances.

The Oil Pollution Act of 1990 amended the Clean Water Act (CWA)

with respect to oil and hazardous substances. Accordingly, the

determination of what substances are hazardous substances is made under

the CWA. The complete list of CWA hazardous substances can be found in

40 CFR 116.4. These regulations would also apply to isomers and

hydrates, as well as any solutions and mixtures of 10% or more, by

weight.

Some comments made during public meetings and in response to the

Advance Notice of Proposed Rulemaking (ANPRM) (61 FR 20084; May 3,

1996) encouraged the Coast Guard to expand the applicability of these

regulations beyond the CWA hazardous substances carried in bulk. For

the reasons described previously, OPA 90 and the CWA, as amended,

prevent the Coast Guard from doing this. However, we ensured response

plans contained tools to mitigate incidents involving hazardous

substances, including those substances not covered under these

regulations.

Section 155.3020 includes definitions that apply to the subpart.

Many of the definitions listed mirror those used in oil spill response

planning regulations contained in 33 CFR 155. We added or modified some

definitions to make them applicable to hazardous substance response

activities or to improve their clarity.

Section 155.3021 discusses how a plan-holder can ``ensure the

availability of response resources by contract or other approved

means.'' These provisions are essentially unchanged from oil response

plan regulations, although the plan-holder must ensure appropriate

resources are available.

Section 155.3022 contains the requirement to designate a Qualified

Individual (QI) and alternate QI in the plan. As prescribed by OPA 90,

a QI must have full authority to implement all response actions

necessary to minimize or mitigate damage to public health, the

environment, and public and private property. A QI must be able to

immediately and continuously communicate with the appropriate federal

official and response resource providers, as needed. It is not assumed

that a QI for oil spill response will necessarily be an appropriate QI

for hazardous substance discharges.

Several comments to the ANPRM and public meetings have indicated

that under the oil response planning regulations, some QI's do nothing

more than obligate funds. These comments suggest that the role of the

QI does not include involvement in decisions relating to a response and

therefore, the QI does not need to have any understanding of incident

response. This is not the Coast Guard's expectation of a QI.

The Coast Guard understands that Congress intended for a

``qualified individual'' to have basic qualifications that demonstrate

an ability to coordinate, with full authority from the plan-holder, a

response to an incident. Early in a response, when the risks are often

greatest, the QI may independently make decisions that could impact the

overall response. For example, a plan may identify a list of

contractors that provide particular response services. Without a basic

knowledge of chemical response, a QI may not know which resource

provider to contact or be able to characterize the nature of the

incident to responders. This knowledge may not be as critical for oil

spills, where response options are more standardized, and the immediate

threat to human health is not as prevalent. It is critical that QI's

are properly trained by establishing a minimum standard training

requirement.

To build on an existing standard that is widely accepted and

demonstrates the appropriate skill set, the proposed regulations

require QI's to meet the requirements of an incident commander under

the OSHA hazardous waste operations and emergency response provisions

in 29 CFR 1910.120(q)(6)(v). Qualifications are further described in

emergency response training guidance for incident commanders contained

in Appendix E to Sec. 1910.120. Furthermore, this standard is

consistent with the Environmental Protection Agency's expectation of a

QI under its facility response plans for oil.

The OSHA training requirement for incident commanders is a minimum

qualification, not an absolute measure of expertise in and of itself.

Plans require designating each QI in writing, and indicate that the QI

is familiar with the response plan and has full authority to implement

actions to contain, remove, or otherwise minimize or mitigate damage to

the public health, the environment, and public property. Owners or

operators should ensure that their QI's training and experience are

adequate to carry out designated responsibilities.

The Coast Guard welcomes comments regarding the recognition of

other standards or certifications that demonstrate a working knowledge

of hazardous substance response that is adequate for the

responsibilities contained in these regulations.

At the time of the discharge, a responsible member of the vessel's

crew becomes the incident commander and initiates notification and

shipboard mitigation procedures, if appropriate. When that vessel crew

member notifies the QI of the hazardous substance discharge, the QI may

assume the role of incident commander. The individuals acting as

incident commander may change as an incident progresses, particularly

if the duration of the event is prolonged.

Section 155.3026 describes the actions that could be taken to

receive authorization to carry hazardous substances after submitting a

plan to the Coast Guard, but before it has been approved. These

proposed requirements mirror those currently required for oil spill

response plans.

Section 155.3030 contains requirements that pertain to the format

and contents of response plans. These requirements are very similar to

those contained in vessel oil spill response plans regulations.

Because response plans must be consistent with the National

Contingency Plan and appropriate Area Contingency Plans (ACPs), some

members of the public suggested that the Coast Guard refrain from

developing these regulations prior to November 1998, when ACPs must be

updated to include hazardous materials response planning. In

consideration of this request, the Coast Guard has concluded that the

development of regulatory requirements prior to the final ACP updates

would be acceptable, but plans approved prior to the issuance of an

updated ACP would be grandfathered until the next required review. The

Coast Guard will accept plans written using the Integrated Contingency

Plan (ICP) Guidance provided the plan meets all of our proposed

requirements. The ICP was published in the Federal Register on June 5,

1996 (61 FR 28642).

Section 155.3031 provides plan-holders with the flexibility of

modifying existing oil spill response plans with

[[Page 13737]]

additional information that meets hazardous substance response-specific

requirements.

Section 155.3035 describes the required contents of a response

plan. Some of the requirements mirror those found in the oil spill

response planning regulations; some do not. The following is a

discussion of some of the proposed requirements that would deviate

substantially from existing oil spill response plan provisions.

Paragraph (b) requires a description of the methods used to make

notifications, as well as a list of those individuals and organizations

required to be notified. Due to the nature of tank vessel operations,

the proximity to human populations, and the potential for exposure

following a discharge, plans must include notifications to local public

response organizations so they may initiate established response

procedures and discharge notifications.

Paragraph (b)(4) requires that the incident commander, notified in

accordance with paragraph (b)(3)(ii), must have the capability of

arriving at the incident command post, if established, or at the

immediate vicinity of the incident, within a reasonable time-frame. The

Coast Guard intends that a ``reasonable time-frame'' should reflect the

critical factors relevant to the incident and typically may be no more

than 2 hours from notification. Current industry practices indicate

that private response organizations have established networks of

personnel that fulfill the roles of the qualified individual and

incident commander. The specific time frame may be influenced by the

nature of the discharge, proximity to population centers, weather

conditions or other factors.

Provisions contained in paragraph (c) of this section would call

for plan-holders to develop a risk-based decision support process.

Public commenters suggested that the use of automated ``decision

support systems'' or ``expert systems'' may be an effective tool for

use in determining response strategies. The proposed requirement is

intended to provide a tool to be used by responders to ensure thorough

consideration of risk factors that may influence response activities.

This includes a description of processes which will be used to

identify, evaluate, control, and communicate risk presented by the

hazardous substance discharge. This requirement could be met through a

decision tree, flow diagram, automated system, or any other method that

contains the required components.

The provisions in paragraph (e)(4) require that plans describe the

organizational structure that will be used to manage response

operations. This structure must outline the roles and responsibilities

of the specific functional areas contained in the National Interagency

Incident Management System (NIIMS) Incident Command System (ICS). This

organizational structure, to include functional area roles and

responsibilities, is described in the U.S. Coast Guard Field Operations

Guide (ICS-OS-420-1). This document can be requested by contacting the

U.S. Coast Guard Headquarters (G-MOR-3), 2100 Second Street SW.,

Washington, DC 20593-0001, or obtained electronically via Internet URL

http://www.uscg.mil/hq/g-m/nmc/response/fog/fog.htm.

Paragraph (e)(4)(i) contains a provision that requires an

understanding of the unified command. Briefly summarized, the unified

command consists of a Federal On Scene Coordinator (Federal OSC), State

On Scene Coordinator (SOSC), local emergency coordinator, and

responsible party's incident commander, who direct and oversee all

public and private resources dedicated to the response. Unified command

members are expected to establish joint control over an incident, and

develop mutually-agreeable response strategies. If the unified command

cannot develop mutually agreeable response strategies, or if the

Federal OSC believes that the responsible party's actions are

unsatisfactory, the Federal OSC may assume overall control of the

response. This action is normally used as a last resort when the

responsible party is uncooperative with federal and state

representatives.

Paragraph (e)(4)(i) requires that each plan describe the key roles

and responsibilities of the incident commander, defined in the proposed

regulations as the designated representative of the responsible party

in the unified command. This individual may be the QI.

Paragraph (e)(4)(iv) requires that each plan describe how the

responsible party will liaison with local public response organizations

following a hazardous substance discharge. Although OPA 90 explicitly

requires the availability of private resources to respond to these

discharges, local responders, such as firefighters and hazardous

materials response teams, will probably respond as well. This

requirement recognizes the benefits gained by ensuring an effective

liaison between the responsible party and these response organizations.

Paragraph (e)(6) contains requirements to have the capability to

rapidly integrate the following types of expertise into the spill

management team: product specialist, toxicologist, certified marine

chemist, chemist or chemical engineer, and certified industrial

hygienist (CIH). The need for these areas of specialty will be dictated

by each discharge scenario; however, the response to such a discharge

will be more effectively executed if this expertise is available to

advise the unified command. Therefore, these specialties must be

accessible.

Paragraph (g) describes exercise procedures for hazardous substance

response. The proposed requirements are identical to those requirements

contained in oil spill response plan regulations, except that plan-

holders now conducting oil spill exercises would be allowed to replace

between 25 and 75 percent of oil spill exercises with hazardous

substance exercises. The percentage would be determined by the plan-

holder, and should reflect the relative quantities of oil and hazardous

substance cargo carried by the company.

Paragraph (h) ``Geographic specific appendix for each COTP zone in

which your vessel operates'', identifies the operating area(s) within a

particular COTP zone in which the vessel will operate. This would not

restrict the vessel from operating in the entire zone, however.

Additional information found in this appendix would identify response

resources that are either listed or ensured by ``contract or other

approved means'' that would respond to a hazardous discharge in the

identified operating area.

The determining factors as to whether equipment must be contracted

or not relates to the probability of its use following a worst case

discharge. It is likely that personal protective equipment, monitoring

equipment, and dispersion modeling would be necessary to assess the

potential risks and develop response strategies. Unlike oil spills,

where containment and collection strategies are standard, many

hazardous substances, once discharged, cannot be contained or

collected. The first priority for these discharges would be to ensure

that peoples' exposure to the hazardous substances is minimized. The

proposed equipment requirements are designed to do this.

For hazardous substances that can be contained and collected (e.g.,

those that are not highly soluble or reactive in water), paragraph (h)

proposes that containment and collection equipment be listed in the

plan so it could be quickly mobilized when needed. The equipment is not

required to be ensured available by contract or other approved means

because the probability of its use is limited, and factors influencing

a

[[Page 13738]]

potential discharge create an almost limitless number of response

scenarios. Therefore, the Coast Guard could not assume that the

equipment will be needed.

Equipment that must be identified in the plan would correspond to

two hazardous substance categories describing behavior following a

discharge: ``sinkers'' and ``floaters.''

``Sinkers'' are those hazardous substances whose physical and

chemical properties, following a discharge into water, result in a

substance in the water that does not float, react chemically with

water, rapidly vaporize, or rapidly dissolve. Under ambient conditions,

these chemicals have a solubility of less than .01 percent, specific

gravity greater than 1.0, and a vapor pressure less than 1 psig.

``Floaters'' are those hazardous substances whose physical and

chemical properties, following a discharge into water, result in a

substance on the water surface that does not rapidly sink, react

chemically with water, vaporize, or dissolve. Under ambient conditions,

these hazardous substances have a solubility of less than .01 percent,

a specific gravity less than 1.0, and a vapor pressure less than 1

psig.

Neither a ``sinker'' or ``floater'' designation is intended to

include hazardous substances that are highly reactive in water, and

therefore could not be reasonably contained or collected under any

conditions. Hazardous substances that do not fall into either of these

categories would not be covered by the requirements of

Secs. 155.3035(h) (3) and (4).

Requirements that pertain to lightering, marine salvage, and

firefighting would also be contained in paragraph (h). Lightering

requirements would be consistent with the existing requirements for oil

spill response plans. Based on comments made during the August 5, 1997

Marine Salvage and Firefighting Workshop, salvage and firefighting

requirements are different from those contained in oil spill response

planning regulations. The requirement to have the capability of

bringing salvage and firefighting resources on-scene within 24 hours

would not imply that all equipment must be on-scene within 24 hours.

``Salvage resources'' and ``firefighting resources'' include the

necessary people and equipment that could evaluate and recommend

appropriate salvage or firefighting strategies.

On February 12, 1998, the Coast Guard published a final rule (63 FR

7069) suspending, until February 12, 2001, deployment of salvage and

firefighting equipment requirements in oil spill response plans. This

suspension addressed public confusion regarding the correct

interpretation of the phrase ``equipment and expertise'' and debate

over the 24-hour-response time requirement. The Coast Guard is

currently reviewing the salvage and marine firefighting capabilities

within the United States and its territories. Results from this

analysis may change our proposed salvage and firefighting requirements

for vessels carrying hazardous substances. Any changes to our proposed

salvage and firefighting requirements would be issued in either a

Supplemental Notice of Proposed Rulemaking to this proposal or a

separate Notice of Proposed Rulemaking addressing salvage and

firefighting requirements for both oil and hazardous substance response

plans.

Paragraph (j) would require the inclusion of hazardous-substance-

specific information in each plan. The types of information would

include cautionary response considerations, health hazards, fire

hazards, chemical reactivity, water pollution, shipping information,

hazard classifications, and physical and chemical properties.

Hazardous-substance-specific information required in the proposed

rule is essentially the same information that is contained in the

Chemical Hazards Response Information System (CHRIS). CHRIS is being

expanded to include more chemicals, as well as improvements in format,

content, and capabilities. It has historically functioned as a widely-

accepted source of chemical-specific information for use by responders

and response plan developers.

Because CHRIS is one of many tools that responders could use in

planning for and during an actual response, and because responders and

response planners need the flexibility to choose their own response

tools, the Coast Guard does not propose to codify the use of the CHRIS

manual.

Unlike previous versions of CHRIS, which were available only as

hard-copy manuals, the new version will be available in hard-copy,

electronic, and Internet formats. The revised CHRIS will afford users

flexibility to tailor the system to meet specific needs. The electronic

version will reside in a searchable database that allows for customized

queries. Comments on how to further improve CHRIS are welcome and may

be forwarded to the location listed under ADDRESSES. The Coast Guard

intends that CHRIS will be available prior to the publication of a

final rule on hazardous substance response plans.

Section 155.3055 calls for plan-holders to conduct their own

evaluations of response resource providers named in response plans.

These evaluations would cover both equipment adequacy and competency of

personnel resources. The plan-holder must provide written certification

of this evaluation, signed by the owner or operator.

The Coast Guard will consider adopting privately-sponsored programs

that establish a standard that assures adequate capabilities of

resource providers exist in order to meet plan requirements. The

development of such a program will reduce the burden on owners or

operators of conducting individual provider evaluations and is

encouraged.

Vessel response plans are ``self-certifying'' in nature, as

provided for by 33 CFR 155.3055 and 3065(a)(3). The scope of these

certification statements includes the assurance that the response

resources required by the applicable subparts have been ensured

available through contract or other approved means. As such, it should

be noted that any knowingly fraudulent statements or misrepresentations

regarding contracted resources within the plan can result in an owner

or operator being criminally prosecuted under 18 USC 1001, which, upon

conviction, carries criminal penalties of a fine, up to five years of

imprisonment, or both.

Incorporation by Reference

Material that would be incorporated by reference is listed in

Sec. 155.140. The material is available for inspection where indicated

under ADDRESSES. Copies of the material are available from the sources

listed in Sec. 155.140.

Before publishing a final rule, the Coast Guard will submit this

material to the Director of the Federal Register for approval of the

incorporation by reference.

Assessment

Due to substantial public interest, this proposal is a significant

regulatory action under section 3(f) of Executive Order 12866 and has

been reviewed by the Office of Management and Budget. Although the

proposed rule is not economically significant, section 6(a)(3) of that

order requires an assessment of potential costs and benefits. The

proposed rule is significant under the regulatory policies and

procedures of the Department of Transportation (44 FR 11040; February

26, 1979). A draft Assessment has been prepared and is available in the

docket for inspection or

[[Page 13739]]

copying where indicated under ADDRESSES.

The Coast Guard does not anticipate that the proposed rule will

result in a significant economic burden on regulated entities. These

proposed regulations are expected to impact only those vessel owner/

operators that must comply with any new requirements. The Coast Guard

will also incur costs related to plan review and approval.

Benefits are anticipated to result from an increased level of

preparedness and efficiency in conducting response operations.

Anticipated benefits from these regulations include averted pollution,

a reduction in injuries and property damage associated with hazardous

substance discharges, the avoidance of costs incurred by both public

and private entities directly involved in response operations, and

reduction of impacts on populations located in the vicinity of such

discharges.

As many as 560 U.S. and foreign flag tankers and 1907 tank barges

carry bulk chemicals in U.S. waters. These figures represent vessel

ownership by an estimated 367 tanker and 182 barge companies. While all

of these vessels do not carry the specific hazardous substances covered

under these regulations, the analysis uses the conservative assumption

that all of these vessels will be impacted by the regulations.

In determining the costs and benefits of the proposed regulations,

the draft regulatory assessment for this proposed rule considered the

following potential regulatory components:

1. The Coast Guard will take no action beyond existing regulations.

2. Regulations will require the submission of response plans

containing information regarding qualified individuals, training,

exercises, hazardous substance characteristics, notification

procedures, and other crew procedures. This is identified as component

A in the Regulatory Assessment.

3. The availability of a ``first responders guide'' and the

development of a ``decision support system'' will be a voluntary

measure not mandated by the regulations. Based on industry feedback, we

expect compliance with these voluntary measures to be at or near 100

percent. This is identified as component B in the Regulatory

Assessment.

First responders guides are concise instructions or handbooks that

would be immediately available to personnel most likely to be at risk

in the event of a hazardous substance discharge, and therefore most

likely to take immediate actions. The level of detail in these guides

would be determined by each vessel owner or operator, and each

company's expectation of the crew members in the event of a discharge.

It is intended that the guides would be as specific as possible, and

not include generic guidelines that allow for broad interpretation by

those expected to use them.

Decision support systems are tools that responders can use to

analyze risks associated with a hazardous substance discharge, and that

assist in making decisions related to identifying and evaluating

response strategies. Such systems could be automated, manual or human-

based.

4. The preferred regulatory approach includes components A and B,

plus requiring companies to contract for spill response equipment and

having deployment drills. Regulations will essentially mirror

requirements for vessel response plans for oil now found in 33 CFR 155

by requiring contracted containment and removal equipment to respond to

hazardous substance discharges. This approach, designated as

Alternative 1 in the Regulatory Assessment, is reflected in this

proposed rule.

Cost-Effectiveness Summary

The measures included in the selected regulatory alternative are

expected to yield a net cost-effectiveness of about $13,254 per barrel

of hazardous substance spillage averted. This cost-effectiveness value

is expressed in 1997 dollars and is a ten-year quantifiable present

value (PV). The cost of the proposed rule is approximately $58.6

million, while its benefits are approximately 4000 barrels of pollution

averted, and approximately $5.3 million in avoided costs. Subtracting

the avoided costs of the proposed rule from its total cost yields a net

rule cost of about $53.3 million. Dividing this net cost by about 4,000

barrels yields the net cost-effectiveness ratio of $13,254. This

procedure allows us to compare pollution and property damage benefits

together.

The total first-year cost of these new requirements to industry is

estimated to be a maximum of $12.9 million. The recurring costs are

estimated to be a maximum $8.3 million per year.

The estimated cost for component A only is $32.5 million. Its

benefits include 2,432 barrels of avoided pollution and $3.2 million of

damages averted. Its net cost-effectiveness is $12,037 per barrel

unspilled.

The marginal cost for the additional measures contained in

component B not included in component A is $3.8 million. Marginal

benefits include 651 barrels of avoided pollution and $0.9 million of

damages averted. The marginal net cost effectiveness of these

additional measures is $4,506 per barrel unspilled.

The marginal cost for the additional measures contained in

Alternative 1 not included in component B is $22.3 million. Marginal

benefits include 935 barrels of avoided pollution and $1.2 million of

damages averted. The marginal net cost effectiveness of these

additional measures is $22,520 per barrel unspilled.

Non-quantified benefits could further decrease the cost per barrel

of pollution averted. The most significant non-quantifiable benefit is

the usefulness of response plans in many chemical discharge scenarios,

not just those involving a worst case discharge of bulk Clean Water Act

hazardous substances. History shows that, while only a limited number

of ``worst case discharges'' of Clean Water Act hazardous substances

have occurred in recent years, hundreds of discharges involving other

chemicals, and in smaller quantities, have occurred. Response to these

discharges would also have been enhanced if response plans had been

developed.

A. Costs

The 10-year PV cost of the proposed rule is approximately $58.6

million. Costs associated with these proposed regulations are the

development of the actual hazardous substance response plans, as well

as the costs of operating in compliance with the plan. In calculating

costs, the Coast Guard used the estimate that 80% of companies owning/

operating tank vessels covered by these regulations are currently

holding oil response plans required by 33 CFR 155 Subpart D, and will

modify or add to these existing plans rather than develop entirely new

plans. Consequently, these companies have been credited with partial

compliance with these proposed regulations. To the extent possible,

costs reflect input from a range of industry sectors that will be

directly or indirectly impacted by these regulations. Unless otherwise

specified, ``total cost'' reflects the aggregate cost to the entire

industry impacted by these proposed regulations. The Regulatory

Assessment, prepared for this regulatory project, has broken down costs

by components. The components and their costs are:

Baseline. The Coast Guard will take no action beyond existing

regulations. By passing OPA 90, Congress indicated a preference for a

statutory solution to oil and hazardous substance response planning

rather than a ``free market''

[[Page 13740]]

solution. Given that OPA 90 has been enacted, ``no action'' is

essentially not a feasible alternative.

Component A. The Coast Guard will require that response plans be

developed for all vessels and facilities engaged in the handling,

transfer, or storage of any of the regulated hazardous substances

covered by the regulations. The plans will include--

General site information;

Consistency with associated national and area planning

requirements;

Designation of a qualified individual with the authority

to activate spill response resources;

Contact lists;

Training and drills;

Submission of plans; and

Periodic updates as associated changes may occur.

Component B. Component B includes cost from the measures in

component A, plus the costs from the following two measures--

First Responders Guides, or handbooks that provide

instructions for initial response; and

Subject matter experts and a Decision Support System incorporating

expert knowledge to assist in responding to a spill and assessing the

risk to the surrounding areas.

Alternative 1. Alternative 1 captures what is mandated by statute.

In addition to components A and B, companies will be required to

contract for spill response capabilities and have equipment deployment

drills. This requirement will mirror that required in the oil response

plan regulations but will be applied only to those substances that

display oil-like characteristics (i.e., those that float on water).

B. Benefits

Based on the preferred alternative and assuming a 10-year PV, the

amount of pollution averted is estimated at 4,000 barrels, while the

avoided costs are estimated to be about $5.3 million. Anticipated

benefits from these regulations include averted pollution, a reduction

in injuries and property damage associated with hazardous substance

discharges, the avoidance of costs incurred by both public and private

entities directly involved in response operations, and reduction of

impacts on populations located in the vicinity of such discharges.

The degree to which response operations would be improved was

estimated by interviewing 11 subject matter experts that have been

directly involved with responding to hazardous substance discharges.

These individuals represent vessel owners or operators, local hazardous

material response teams, U.S. Coast Guard Federal On-Scene Coordinators

and Marine Safety Offices, and the U.S. Environmental Protection

Agency.

Each interviewee was asked to estimate the level of effectiveness

for each regulatory component. These estimates, ranging from minimal to

significant impact on the efficiency of response operations, were

averaged to develop an overall ``percent efficiency''. This in turn

reflects the percent to which costs of a response would be reduced and

the amount of pollution that could be averted.

An indirect benefit applies to chemical release incidents not

covered under these regulations. These regulations apply to worst case

discharges and the threat of such discharges. In reality, the vast

majority of these incidents occur during transfer operations and are

not worst case discharges, and frequently involve chemicals not carried

in bulk or not covered by these regulations. Realizing that the benefit

of the plans would be limited if they could be applied only to worst

case discharges involving specific bulk hazardous substance cargoes,

the Coast Guard designed these regulations with enough flexibility to

be useful in guiding a wider range of chemical responses.

Small Entities

Under the Regulatory Flexibility Act (5 U.S.C. 601 et seq.), the

Coast Guard must consider whether this proposal, if adopted, will have

a significant economic impact on a substantial number of small

entities. ``Small entities'' may include (1) small business and not-

for-profit organizations that are independently owned and operated and

are not dominant in their fields and (2) governmental jurisdictions

with populations of less than 50,000.

These regulations are not expected to significantly impact small

businesses. No comments were made during two public meetings, one

workshop, and in response to an ANPRM, that expressed concerns about

impacts on small entities. The Coast Guard further contacted trade

associations representing small businesses in the chemical

transportation industry and received no indications that these

regulations would adversely impact small entities. In total the draft

Small Entity Assessment estimates that a maximum of 11 tank barge

owners and no tank ship owners are small entities and could be affected

by these regulations.

Excluded from these proposed regulations are public vessels,

vessels of opportunity, and fishing or fishing tender vessels of not

more than 750 gross tons. The regulations also contain several

provisions giving affected small businesses flexibility in complying

with the requirements. The proposed regulations provide allowances to

modify existing response plans and to take advantage of participation

in industry cooperatives. Additionally, the Coast Guard is updating and

making CHRIS available, which would essentially provide impacted

parties with the hazardous-substance-specific information required in

the regulations. For any company that believes it will be significantly

impacted, the regulations allow the company to request further

flexibility in complying with the requirements.

Therefore, the Coast Guard certifies under 5 U.S.C. 605(b) that

this proposed rule, if adopted, will not have a significant economic

impact on a substantial number of small entities. If, however, you

think that your business or organization qualifies as a small entity

and that this proposed rule will have a significant economic impact on

your business or organization, please submit a comment (see ADDRESSES)

explaining why you think it qualifies and in what way and to what

degree this proposed rule will economically affect it.

Assistance for Small Entities

In accordance with section 213(a) of the Small Business Regulatory

Enforcement Act of 1996 (Pub. L. 104-121), the Coast Guard wants to

assist small entities in understanding this proposed rule so that they

can better evaluate its effects on them and participate in the

rulemaking process. If your small business or organization is affected

by this rule and you have questions concerning its provisions or

options for compliance, please contact the Project Development Division

(G-MSR-2) at 202-267-0756.

The Small Business and Agriculture Regulatory Enforcement Ombudsman

and 10 Regional Fairness Boards were established to receive comments

from small businesses about Federal agency enforcement actions. The

Ombudsman will annually evaluate the enforcement activities and rate

each agency's responsiveness to small business. If you wish to comment

on the enforcement actions of the Coast Guard, call 1-888-REG-FAIR (1-

888-734-3247).

Collection of Information

This proposed rule provides for a collection of information under

the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.). As

defined in 5

[[Page 13741]]

CFR 1320.3(c), ``collection of information'' includes reporting,

recordkeeping, monitoring, posting, labeling, and other, similar

actions. The title and description of the information collections, a

description of the respondents, and an estimate of the total annual

burden follow. Included in the estimate is the time for reviewing

instructions, searching existing sources of data, gathering and

maintaining the data needed, and completing and reviewing the

collection.

Title: Tank Vessel Response Plans and Response Equipment for

Hazardous Substances.

Summary of the Collection of Information: The Coast Guard has

prepared and will seek approval for this collection of information

under a consolidated collection which applies to these proposed

regulations, proposed regulations for Facility Hazardous Substance

Response Plans as well as existing regulations for Vessel and Facility

Oil Response Plans. This proposal contains collection of information

requirements in Secs. 155.3022 (What are the requirements for qualified

individuals and alternate qualified individuals and what authority do

they have?); 155.3025 (When may I engage in hazardous substance

operations?); 155.3026 (How do I obtain an interim operating

authorization or a one-time authorization?); 155.3030 (What is the

general format of a response plan?); 155.3031 (May I augment my vessel

response plan for oil with hazardous substance response information?);

155.3032 (How many copies of the plan must I have, and where must they

be maintained?); 155.3035 (What are the required contents of each

section of the plan?); 155.3055 (How must I certify that my response

resource providers are capable of meeting plan requirements?); 155.3065

(What are the procedures for plan submission and receiving approval?);

155.3066 (What are the procedures for submitting a request for

acceptance of alternative planning criteria?); and 155.3070 (What are

the procedures for plan review, revision, resubmission, and appeal?).

Need for Information: This information is necessary to ensure that

vessels carrying hazardous substances in bulk as cargo or cargo residue

entering and operating in U.S. waters are adequately prepared to

respond to a hazardous substance discharge.

Proposed Use of Information: In part, the purpose of the OPA 90

amendments to section 311 of the FWPCA is to reduce the number of

hazardous substance spills and to minimize the impact of the hazardous

substance spills when they occur in U.S. waters. Without the proposed

requirements for vessel response plans, it is possible that some

operators will not maintain the necessary internal resources (effective

planning, training, drilling, etc.) or external resources (adequate

shore-based response capability) to meet the requirements of these

proposed regulations. The proposed collection of information

requirements help ensure and monitor, through the submission and

recurring update of response plans, that vessels entering and operating

in U.S. waters have appropriate response plans and shore-based response

resources.

Submission of vessel response plans to the U. S. Coast Guard for

approval, the onboard verification of an approved plan during routine

boarding procedures, and the maintenance of training and drill records

is believed to be the best way to ensure compliance.

Description of the Respondents: Owners and operators of tank

vessels carrying hazardous substances in bulk as cargo or cargo residue

while entering or operating in U.S. waters.

Number of Respondents: 659.

Frequency of Response: Response plan submitted every 5 years;

notice of reviews completed annually; updates as necessary.

Burden of Response: A one-time burden of 45,960 hours for reporting

and an annual recordkeeping burden of 4,600 hours.

Estimated Total Annual Burden: One-time reporting burden of 69.7

hours and an annual recordkeeping burden of 6.9 hours.

As required by section 3507(d) of the Paperwork Reduction Act of

1995, the Coast Guard has submitted a copy of this proposed rule to the

Office of Management and Budget (OMB) for its review of the collection

of information. The Coast Guard solicits public comment on the proposed

collection of information to (1) evaluate whether the information is

necessary for the proper performance of the functions of the Coast

Guard, including whether the information would have practical utility;

(2) evaluate the accuracy of the Coast Guard's estimate of the burden

of the collection, including the validity of the methodology and

assumptions used; (3) enhance the quality, utility, and clarity of the

information to be collected; and (4) minimize the burden of the

collection on those who are to respond, as by allowing the submittal of

responses by electronic means or the use of other forms of information

technology.

Persons submitting comments on the collection of information should

submit their comments both to OMB and to the Coast Guard where

indicated under ADDRESSES by the date under DATES.

Persons are not required to respond to a collection of information

unless it displays a currently valid OMB control number. Before the

requirements for this collection of information become effective, the

Coast Guard will publish notice in the Federal Register of OMB's

decision to approve, modify, or disapprove the collection.

Federalism

The Coast Guard has analyzed this proposed rule according to the

principles and criteria contained in Executive Order 12612 and has

determined that this proposed rule does not have sufficient

implications for federalism to warrant the preparation of a Federalism

Assessment.

Environment

The Coast Guard considered the environmental impact of this

proposed rule and concluded that preparation of an Environmental Impact

Statement is not necessary. A draft Environmental Assessment and a

draft Finding of No Significant Impact are available in the docket for

inspection or copying where indicated under ADDRESSES.

The draft Environmental Assessment indicates that these regulations

could be expected to result in a positive impact on the environment

through the avoidance of adverse impacts following a hazardous

substance discharge. The assessment analyzed the range of environmental

impacts associated with several potential regulatory strategies

considered by the Coast Guard, with a ``no action'' option as a

baseline. A ``no action'' regulatory action would essentially result in

no impact on the environment. Other regulatory options considered would

result in positive impacts by averting pollution.

Estimates of pollution averted were established through interviews

with individuals having substantial experience in the area of chemical

response. No aspects of these regulations would be expected to result

in adverse impacts on the environment.

Unfunded Mandates

Title II of the Unfunded Mandates Reform Act of 1995 (UMRA), (Pub.

L. 104-4, 109 Stat. 48), requires Federal agencies to assess the

effects of certain regulatory actions on State, local, and tribal

governments, and the private sector. UMRA requires a written statement

of economic and regulatory approaches for proposed and final rules that

contain Federal mandates. A ``Federal mandate'' is a new or

[[Page 13742]]

additional enforceable duty, imposed on any State, local or tribal

government, or the private sector. If any Federal mandate causes those

entities to spend, in the aggregate, $100 million or more in any one

year, the UMRA analysis is required. This rule does not impose Federal

mandates on any State, local or tribal governments or the private

sector.

Other Executive Orders on the Regulatory Process

In addition to the statutes and Executive Orders already addressed

in this preamble, the Coast Guard considered the following executive

orders in developing this notice of proposed rulemaking (NPRM) and

reached the following conclusions:

E.O. 12630, Governmental Actions and Interference with

Constitutionally Protected Property Rights. This NPRM will not effect a

taking of private property or otherwise have taking implications under

this Order.

E.O. 12875, Enhancing the Intergovernmental Partnership. This NPRM

will not impose, on any State, local, or tribal government, a mandate

that is not required by statute and that is not funded by the Federal

government.

E.O. 12988, Civil Justice Reform. This NPRM meets applicable

standards in sections 3(a) and 3(b)(2) of this Order to minimize

litigation, eliminate ambiguity, and reduce burden.

E.O. 13045, Protection of Children from Environmental Health Risks

and Safety Risks. This NPRM is not an economically significant rule and

does not concern an environmental risk to safety disproportionately

affecting children.

List of Subjects 33 CFR Part 155

Hazardous substances, Incorporation by reference, Oil pollution,

Reporting and recordkeeping requirements.

For the reasons discussed in the preamble, the Coast Guard proposes

to amend 33 CFR part 155 as follows:

PART 155--OIL OR HAZARDOUS MATERIAL POLLUTION PREVENTION

REGULATIONS FOR VESSELS

1. The authority citation for part 155 continues to read as

follows:

Authority: 33 U.S.C. 1231, 1321(j); 46 U.S.C. 3715; sec. 2, E.O.

12777, 56 FR 54757, 3 CFR, 1991 Comp., p. 351; 49 CFR 1.46.

Secs. 155.100-155.130, 155.350-155.400, 155.430, 155.440,

155.470, 155.1030(j) and (k), and 155.1065(g) also issued under 33

U.S.C. 1903(b); and Secs. 155.1110-155.1150 also issued 33 U.S.C.

2735.

2. In Sec. 155.140(b), add, in alphabetical order to the

organization referenced, the following standard:

Sec. 155.140 Incorporation by reference.

* * * * *

(b) * * *

International Maritime Organization (IMO)

* * * * *

Resolution A.648(16), General Principles for Ship Reporting System

and Ship Reporting Requirements October 19, 1989 ........155.3035

* * * * *

3. Revise the heading to subpart D to read as follows:

Subpart D--Response Plans for Oil

4. Add subpart H, consisting of Secs. 155.3010 through 155.3070, to

read as follows:

Subpart H--Response Plans for Hazardous Substances

Sec.

155.3010 What is the purpose of this subpart?

155.3015 Who must follow this subpart?

155.3020 What definitions apply to this subpart?

155.3021 What is a ``contract or other approved means''?

155.3022 What are the requirements for qualified individuals and

alternate qualified individuals and what authority do they have?

155.3025 When may I engage in hazardous substance operations?

155.3026 How do I obtain an interim operating authorization or a

one-time authorization?

155.3030 What is the general format of a response plan?

155.3031 May I augment my vessel response plan for oil with

hazardous substance response information?

155.3032 How many copies of the plan must I have, and where must

they be maintained?

155.3035 What are the required contents of each section of the

plan?

155.3050 What are the operating criteria that apply to response

resource equipment?

155.3055 How must I certify that my response resource providers are

capable of meeting plan requirements?

155.3065 What are the procedures for plan submission and receiving

approval?

155.3066 What are the procedures for submitting a request for

acceptance of alternative planning criteria?

155.3067 How do I submit an appeal if my response plan is not

approved?

155.3070 What are the procedures for plan review, revision,

resubmission, and appeal?

Subpart H--Response Plans for Hazardous Substances

Sec. 155.3010 What is the purpose of this subpart?

The purpose of this subpart is to establish requirements for

hazardous substance response plans for certain vessels. The planning

criteria in this subpart are intended for use in response plan

development and the identification of necessary resources. The

development of a response plan prepares the vessel owner or operator

and the vessel's crew to respond to a hazardous substance discharge.

The specific criteria for response resources and their arrival times

are not performance standards. They are planning criteria based on a

set of assumptions that may not exist during an actual hazardous

substance discharge incident.(3)

Sec. 155.3015 Who must follow this subpart?

(a) You must follow this subpart if you are an owner or operator of

a tank vessel that carries any bulk hazardous substance as cargo or

cargo residue. This includes any hazardous substance, its isomers and

hydrates, as well as any mixtures and solutions that contain 10% or

more hazardous substance, by weight.

(b) You are not required to follow this subpart if you own or

operate any of the following:

(1) Public vessels and vessels deemed public vessels;

(2) A vessel that, although constructed or adapted to carry

hazardous substances in bulk as cargo or cargo residue, is not storing

or carrying hazardous substances in bulk as cargo or cargo residue;

(3) A dedicated response vessel that is designated in its

certificate of inspection as such a vessel, or that is adapted to

respond to a discharge of oil or a hazardous material, when conducting

hazardous substance response operations;

(4) A vessel of opportunity that--

(i) Conducts response activities in a response area; and (ii) Does

not conduct hazardous substance operations except when involved in

response activities;

(5) An offshore supply vessel as defined in 46 U.S.C. 2101;

[[Page 13743]]

(6) A fishing or fishing tender vessel as defined in 46 U.S.C. 2101

up to 750 gross tons when operating as such;

(7) A foreign flag vessel engaged in innocent passage.

(c) If you own or operate a vessel that must follow this subpart,

but are not operating within the navigable waters or the exclusive

economic zone (EEZ) of the United States, then you must meet all

requirements of this subpart except:

(1) You do not have to identify and ensure the availability of

response resources, including the spill management team;

(2) You do not have to provide the geographic-specific appendices

required in Sec. 155.3035(j);

(3) You do not have to designate a qualified individual and

alternate qualified individual as required in Sec. 155.3022.

Sec. 155.3020 What definitions apply to this subpart?

As used in this subpart:

Adverse weather means the hydrographic, meteorological, and other

environmental conditions that magnify the risk of adverse impact to

human health and the environment when a hazardous substance is

discharged, and must be considered when identifying response resources

in a response plan.

Bulk means any volume of a hazardous substance carried in an

integral cargo tank of a vessel, and any volume of a hazardous

substance transferred to or from a marine portable tank or independent

tank while on board a vessel.

Captain of the Port (COTP) Zone means a zone specified in 33 CFR

part 3 and, for coastal ports, the seaward extension of that zone to

the outer boundary of the exclusive economic zone (EEZ).

Dedicated response vessel means a vessel that is designated as an

oil spill response vessel in its certificate of inspection, or that is

adapted to respond to a discharge of oil or a hazardous substance.

Response activities in which such vessels may engage include discharge

recovery and transport; tank vessel escorting; deployment of response

equipment, supplies, and personnel; and discharge response training,

testing, exercises and research.

Exclusive economic zone (EEZ) means the zone contiguous to the

territorial sea of the United States extending up to 200 nautical miles

from the baseline from which the breadth of the territorial sea is

measured.

Federal On-scene coordinator (Federal OSC) means the Federal

official pre-designated by the Coast Guard or Environmental Protection

Agency (EPA) to coordinate and direct response efforts at the scene of

a hazardous substance discharge, as prescribed in the National Oil and

Hazardous Substances Pollution Contingency Plan (National Contingency

Plan (NCP)) published in 40 CFR part 300.

Floater means any hazardous substance whose physical and chemical

properties, when discharged into water, result in a substance on the

water surface that does not rapidly sink, react chemically with water,

vaporize, or dissolve.

Great Lakes means Lakes Superior, Michigan, Huron, Erie, and

Ontario, their connecting and tributary waters, the Saint Lawrence

River as far as Saint Regis, and adjacent port areas.

Hazardous substance means any chemical that is listed in 40 CFR

116.4.

Hazardous substance operations means the storing, transferring,

handling, transporting, or lightering of a hazardous substance in bulk

in areas subject to the jurisdiction of the United States.

Inland area means either the area shoreward of the boundary lines

defined in 46 CFR part 7 or, in the Gulf of Mexico, the area shoreward

of the lines of demarcation (COLREG lines) as defined in 33 CFR 80.740

through 80.850. The Great Lakes are not included in the inland area.

Interim operating authorization means authorization granted by the

Coast Guard for a vessel to handle, store, transport, transfer, or

lighter a hazardous substance without having an approved plan.

Lightering or lightering operation means the transfer of a

hazardous substance in bulk from one vessel to another, and includes

all phases of the operation from the mooring of the vessel to the

departure of the service vessel from the vessel lightered, except when

the cargo is intended only for use as ship's stores aboard the

receiving vessel.

Nearshore area means either the area extending seaward 12 miles

from the boundary lines defined in 46 CFR part 7, or, in the Gulf of

Mexico, the area extending seaward 12 miles from the lines of

demarcation (COLREG lines) as defined in 33 CFR 80.740 through 80.850.

Offshore area means the area from the outer boundary of the

nearshore area seaward 38 nautical miles.

Open ocean area means the area from the outer boundary of the

offshore area to the seaward boundary of the exclusive economic zone.

Operating area means any of the following: Rivers and canals, Great

Lakes, Inland area, Nearshore area, Offshore area, or Open ocean area.

Operator means the owner, demise charterer, or contractor who

operates or is responsible for the operation of a vessel. For the

purposes of this subpart only, the operator of a towing vessel is not,

per se, considered the operator of a vessel being towed.

Owner or vessel owner means any person holding legal or equitable

title to a vessel unless this person holds the title solely as security

and not as the owner. It also means the person(s) whose name(s) appears

on a vessel's Certificate of Documentation. If the name of a president

or secretary of an incorporated company is on the certificate, then the

company is the owner.

Personal protective equipment (PPE) means equipment that meets the

requirements contained in 29 CFR 1910.120.

Public vessel means a vessel owned or bareboat-chartered and

operated by the United States, or by a State or political subdivision

of the United States, or by a foreign nation, except when engaged in

commerce.

Response activity means any actions necessary to minimize or

mitigate damage to human health, the environment, or property.

Response area means the area designated by the Federal On-Scene

Coordinator in which response activities are occurring.

Response resources means the personnel, equipment, supplies, and

other capabilities necessary to perform activities identified in a

response plan.

Response resources provider means an entity that provides response

personnel, equipment, supplies, and other capabilities necessary to

perform activities identified in a response plan.

Rivers and canals means bodies of water confined within the inland

area. These include the Intracoastal Waterways and other waterways

artificially created for navigation having a project depth of 12 feet

or less.

Sinker means any hazardous substance whose physical and chemical

properties, when discharged into water, result in a substance in the

water that does not float, react chemically with water, rapidly

vaporize, or rapidly dissolve.

Spill management team (SMT) means the personnel identified in a

response plan who staff the organizational structure that manages

response plan implementation. The term Incident Management Team may

also be used.

Tank barge means a non-self-propelled tank vessel.

Tank vessel means a vessel that is constructed or adapted to carry,

or that

[[Page 13744]]

carries, oil or hazardous material in bulk as cargo or cargo residue,

and that--

(1) Is a vessel of the United States;

(2) Operates on the navigable waters of the United States; or

(3) Transfers a hazardous substance in a place subject to the

jurisdiction of the United States.

Tanker means a self-propelled tank vessel constructed or adapted

primarily to carry oil or hazardous materials in bulk in the cargo

spaces.

Vessel crew means:

(1) For tankers--those persons required by a Certificate of

Inspection or other official manning document to be on board;

(2) For tank barges--those persons manning both the tank barge and

the towing vessel.

Vessel deemed public vessel means any motorboat or yacht, while

assigned to authorized Coast Guard duty.

Vessel of opportunity means a vessel that, because of its

availability and geographic location, becomes involved in a response to

an oil or hazardous substance incident.

Vessels carrying hazardous substances as cargo means all vessels

carrying hazardous substances in bulk as cargo or cargo residue, except

for dedicated response vessels.

Worst case discharge means a discharge of a vessel's entire

hazardous substance cargo during adverse weather.

Sec. 155.3021 What is a ``contract or other approved means''?

A ``contract or other approved means'' is any of the following

methods used to meet the requirements contained in Sec. 155.3035:

(a) A written contract with a response resources provider;

(b) A written certification that the personnel, equipment, and

capabilities required by your response plan are available and are under

your control;

(c) You have an active membership in a local or regional response

resources provider;

(d) You have a document such as a letter, memorandum, or other form

of written consent that specifies the agreement you have with a

response resources provider and that the provider is capable of and

intends to commit to meet your plan requirements. This document must

give permission for the Coast Guard to verify the identified response

resources and their capabilities through tests, inspections, and

exercises;

(e) You have found another way you can comply with the requirements

of this section and it is approved by Commandant (G-MOR).

Sec. 155.3022 What are the requirements for qualified individuals (QI)

and alternate qualified individuals and what authority do they have?

(a) You must designate a QI and at least one alternate QI in your

response plan. You may designate a third party organization to fulfill

the role of the QI and alternate QI. The organization must identify a

QI and at least one alternate QI. These individuals must be available

on a 24-hour basis.

(b) Qualified individuals and alternates must--

(1) Speak fluent English;

(2) Be located in the United States, except your QI or alternate QI

may be located in Canada while your Canadian flag vessel is operating

on the Great Lakes or the Strait of Juan de Fuca and Puget Sound, WA;

(3) Be familiar with the implementation of your plan;

(4) Meet the training requirements contained in 29 CFR

1910.120(q)(6)(v), to include the capabilities contained in Appendix E,

29 CFR 1910.120, in the section entitled ``Suggested Training

Curriculum Guidelines'', in paragraph C.b.(5) entitled ``Incident

commander.''

(c) You must designate each QI and alternate QI in writing. In your

designation document you must specify that the QI--

(1) Has full authority to implement actions to contain, remove, or

otherwise minimize or mitigate damage to the public health, the

environment, and public property;

(2) Is able to immediately and continuously communicate with the

Federal OSC and persons providing resources and equipment, as needed;

(3) Is authorized to contracting and obligate funds to carry out

response activities; and

(4) Is adequately trained and experienced to carry out the

responsibilities of the QI.

(d) The qualified individual's liability is covered in 33 U.S.C.

1321(c)(4).

(e) As soon as is practicable after a discharge or incident

resulting in a substantial threat of a discharge, the QI will provide

the Federal OSC with the name of the individual who will direct

response activities and act as the owner or operator's incident

commander, if other than the QI.

Sec. 155.3025 When may I engage in hazardous substance operations?

(a) If you submit a plan prior to [6 months after publication of

Final Rule], you may conduct hazardous substance operations pending

receipt of interim operating authorization. These operations must be

conducted in accordance with your plan.

(b) If you are awaiting approval of a submitted plan and have

received interim operating authorization from the Coast Guard, then you

may conduct hazardous substance operations for up to two years after

the date your plan was submitted, and if your vessel is fully

certificated for its intended service.

(c) If you have an approved plan, and your vessel is fully

certificated for its intended service, then your vessel may engage in

hazardous substance operations.

(d) Your vessel may not conduct hazardous substance operations if--

(1) You have not submitted a plan to the Coast Guard prior to [6

months after publication of Final Rule];

(2) The Coast Guard determines that the response resources

referenced in your plan do not substantially meet the requirements of

this subpart;

(3) The contracts or agreements cited in your plan have lapsed or

are otherwise no longer valid;

(4) You are not operating in accordance with your plan;

(5) The interim operating authorization under paragraph (b) of this

section has expired; or

(6) The plan's approval has expired.

Sec. 155.3026 How do I obtain an interim operating authorization or a

one-time authorization?

(a) To obtain an interim operating authorization, you must submit a

written request to Commandant (G-MOR) certifying that you have

identified and ensured available, by contract or other approved means,

the private response resources necessary to respond to a worst case

hazardous substance discharge or substantial threat of such a

discharge. The interim operating authorization will allow you to

conduct hazardous substance operations only in the geographic area

covered by your plan.

(b) If you would like your vessel to conduct hazardous substance

operations in a geographic area not covered by your plan, then you must

get a one-time authorization from the applicable COTP to do so.

(c) To receive a one-time authorization you must submit a written

request to the applicable COTP certifying that you have--

(1) An approved hazardous substance response plan or interim

operating authorization aboard the vessel(except for the applicable

geographic specific appendix);

(2) Given the name of the QI to the master of the vessel and the

COTP; and

(3) Identified and ensured available, by contract or other approved

means, the private response resources necessary

[[Page 13745]]

to respond to a worst case discharge or substantial threat of such a

discharge in the area in which you seek to have the vessel operate.

Sec. 155.3030 What is the general format of a response plan?

(a) Your response plan must--

(1) Identify and cover all geographic areas of the United States

where your vessel will conduct hazardous substance operations;

(2) Be written in English and the languages understood by crew

members with responsibilities under the plan;

(3) Have the following sections:

(i) General information;

(ii) Notification procedures and list of contacts;

(iii) Risk based decision support process;

(iv) Shipboard mitigation procedures;

(v) Shore-based response organization;

(vi) Training procedures;

(vii) Exercise procedures;

(viii) Geographic--specific appendix for each COTP zone where your

vessel(s) operates;

(ix) Vessel(s)--specific appendix for each vessel covered by the

plan;

(x) An appendix for each hazardous substance aboard the vessel; and

(4) Have an on-board notification checklist and emergency

procedures (tank barges only).

(b) Your response plan must be divided into the sections described

in paragraph (a)(3) of this section unless your plan is supplemented by

a cross-reference table showing the location of required information.

(c) Your plan must be consistent with the National Oil and

Hazardous Substances Pollution Contingency Plan (NCP) (40 CFR part 300)

and the Area Contingency Plan (ACP) in effect six months prior to the

submission of your plan.

Sec. 155.3031 May I augment my vessel response plan for oil with

hazardous substance response information?

Yes, you may augment your existing vessel response plan for oil

with requirements that are specific to this subpart.

Sec. 155.3032 How many copies of the plan must I have, and where must

they be maintained?

(a) You must maintain a current copy of the complete plan. You must

provide a copy to each qualified individual and alternate.

(b) A copy of the following plan sections must be maintained on

board your vessel:

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

Approval letter

Type of tank vessel Required plan (Notarized copy

sections authorized)

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

Tanker........................ Sec. 155.3030(a)(3)( Yes.

i)-(iv) and (viii)-

(x).

Tank Barge.................... Sec. 155.3030(a)(3)( Yes.

x), (4).

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

Sec. 155.3035 What are the required contents of each section of the

plan?

(a) General information. This section of the plan must include all

of the following:

(1) A list of vessels covered by the plan;

(2) A list of COTP zones in which the vessel intends to conduct

hazardous substance operations;

(3) A table of contents or index of sufficient detail to permit any

user to find a specific section of the plan; and

(4) A ``Record of Changes'' page to record information on plan

reviews, updates, or revisions.

(b) Notification procedures and list of contacts. This section of

the plan must include notification or contact information. If the

notifications vary due to vessel location, persons to be notified may

be listed in a geographic-specific appendix. This section of the plan

must also provide all of the following:

(1) The primary and secondary communication methods to be used in

making notifications;

(2) A checklist showing all notifications required by MARPOL 73/78,

33 CFR part 153, and any appropriate State and designated local

authorities. This checklist must include 24-hour telephone numbers or

other notification methods and the information required for those

notifications. The checklist must also specify notifications to be made

by shipboard personnel and shore-based personnel;

(3) The procedures for notifying all of the following:

(i) Qualified individual and alternate;

(ii) Incident commander (if other than the QI);

(iii) Vessel owner or operator;

(iv) Vessel's local agent;

(v) Person(s) able to assess a vessel's seaworthiness; and

(vi) Transfer facility (if applicable);

(4) The incident commander must have the capability of arriving at

the incident command post, if established, or at the immediate vicinity

of the incident within a reasonable time-frame; and

(5) Information that must be provided in initial and follow-up

notifications is:

BILLING CODE 4910-14-P

[[Page 13746]]

[GRAPHIC] [TIFF OMITTED] TP22MR99.000

BILLING CODE 4910-14-C

[[Page 13747]]

(c) Risk based decision support processes. This section of your

plan must outline processes which will help responders make decisions

relating to the identification, evaluation, and control of risks to

human health and the environment following a hazardous substance

discharge. These outlined processes do not need to be scenario

specific, but can be generic in nature. This section of the plan may

take the form of a decision tree, an automated decision support system,

or any other format that meets the elements described in this

paragraph. As a minimum, the process must include all of the following:

(1) Risk identification which describes the process which will be

used to determine the extent and route of hazardous substance exposure

to humans and the environment;

(2) Risk evaluation which describes the process which will be used

to establish relative degrees of risk and prioritizing risks;

(3) Risk control which describes the process which will be used to

determine which response methods are feasible to eliminate or reduce

impacts of the hazardous substance discharge on humans and the

environment likely to be exposed; and

(4) Risk communication which describes the process which will be

used to communicate information resulting from paragraphs (c)(1), (2),

and (3) of this section to parties internal and external to response

activities.

(d) Shipboard mitigation procedures. This section of your plan must

contain prioritized procedures necessary to protect the vessel's crew,

and mitigate, control or prevent the discharge of a hazardous

substance. Paragraphs (d)(1) through (4) of this section include the

requirements for shipboard mitigation procedures.

(1) All plans must include procedures for--

(i) Crew safety, and if applicable, the use of personal protective

equipment;

(ii) Crew responsibilities by job title;

(iii) Crew actions while conducting internal or external cargo

transfers during a transfer system leak, overflow, or a suspected cargo

tank or hull leak;

(iv) Crew actions during casualties or emergencies which include

grounding or stranding, collision, explosion or fire (or both), hull

failure, excessive list, or equipment failure such as main propulsion,

steering gear, etc.;

(v) Internal or tank to tank transfers of cargo in an emergency (if

applicable to type of vessel);

(vi) Emergency ship-to-ship cargo transfers. (Procedures must be

consistent with the vessel's transfer procedures, lightering plan, and

safety considerations.);

(vii) Arrangements for emergency towing, to include rigging

requirements and operating procedures of any emergency towing

equipment; and

(viii) The vessel crew to gather information that must be provided

to shore-based personnel who will conduct damage stability and hull

stress assessments.

(2) If your crew will engage in shipboard mitigation measures, then

include:

(i) The identification and description of the activities that the

crew has been trained in and are qualified to do when the crew does not

have shore-based support.

(ii) Crew responsibilities to mitigate a hazardous substance

discharge. You must include procedures for use of vessel equipment and

personal protective equipment carried on board.

(3) If your crew will initiate a shore-based response (beyond

required notifications), then include crew responsibilities to initiate

a shore-based response, and the crew's supervision responsibilities of

the shore-based response resources.

(4) If your crew will conduct air sampling/monitoring or water

sampling/ monitoring, then include crew responsibilities for

recordkeeping and sampling of spilled hazardous substances, personal

protective equipment requirements, and safety procedures during the

sampling/monitoring operation.

(e) Shore-based response organization. This section of your plan

must include the following:

(1) The authority and responsibilities of the qualified individual.

The authority must allow for immediate and continuous communication

with the Federal OSC and notification/activation of the hazardous

substance response resource provider(s).

(2) Procedures for transferring the responsibility for direction of

response activities from the vessel crew to the qualified individual or

incident commander, if other than the QI.

(3) Procedures for coordinating all response actions with the

Federal OSC who oversees or directs those actions.

(4) The organizational structure to be used to manage response

actions. This structure must outline the key roles and responsibilities

of the following functional areas:

(i) Command and control (incident commander);

(ii) Public information;

(iii) Safety;

(iv) Liaison with government agencies and other agencies as

appropriate;

(v) Response operations;

(vi) Planning;

(vii) Logistics support; and

(viii) Finance.

(5) You must list the responsibilities, duties, and functional job

descriptions for each position of the spill management team that is

part of the organizational structure described in paragraph (e)(4) of

this section.

(6) You must list individuals with the following specific technical

specialties that are available on a 24 hour-a-day basis for integration

into the spill management team, as needed:

(i) Product specialist;

(ii) Toxicologist;

(iii) Certified marine chemist;

(iv) Chemist or chemical engineer; and

(v) Certified industrial hygienist.

(7) You will satisfy the requirements of paragraphs (e) (1) through

(5) of this section if you design your spill management team in

accordance with the U.S. Coast Guard adopted National Inter-agency

Incident Management System (NIIMS) Incident Command System (ICS).

(f) Training. (1) You must identify the training required for

personnel having responsibilities under the response plan.

(2) You must differentiate between that training provided to vessel

personnel and shore-based personnel.

(3) You must document the training of your personnel and make your

training records available when requested by the Coast Guard. This

applies to both initial and refresher training, as applicable. Records

must be maintained for 3 years following completion of training.

(4) Nothing in this paragraph (f) relieves you from the

responsibility to ensure that private shore-based response personnel

are trained to meet the Occupational Safety and Health Administration

(OSHA) standards for emergency response operations in 29 CFR 1910.120.

(5) This paragraph (f) does not apply to the individuals listed in

paragraph (e)(6) of this section.

(g) Exercise procedures. This section of the plan addresses your

exercise program. These exercises should help to ensure that your plan

will function in an emergency. Your exercise program must detail the

types of exercises, frequencies, scopes, objectives, and the scheme for

exercising your entire response plan every three years. You must

include announced and unannounced exercises in your plan.

(1) Minimum exercise requirements are:

[[Page 13748]]

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

Exercise type Frequency Comments

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

(i) Qualified individual notification Quarterly. ................................................

(ii) Emergency procedures............ Quarterly.............. See note.

(iii) Spill management team tabletop. Annually............... In a 3-year period, one exercise must include a

worst case discharge scenario for hazardous

substances. See note.

(iv) Response resource provider Annually............... See note.

equipment deployment.

(v) Entire response plan............. Every 3 years.......... You must design your exercise program so that

every component of the plan is exercised at

least once every 3 years. You may exercise the

components all at once. The components may be

exercised via the required exercises or via an

area exercise.

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

Note to paragraph (g)(1) table: One of these exercises must be unannounced in the three year exercise cycle.

(2) You must participate in unannounced exercises, as directed by

the COTP. The objectives of these exercises are to verify the ability

and evaluate the performance of shipboard personnel in fulfilling their

emergency-related responsibilities under the plan. These exercises will

be limited to four per area per year. After participating in an

unannounced exercise, you will not be required to participate in

another unannounced exercise for at least 3 years from the date of the

exercise.

(3) You must participate in area exercises as directed by the

Federal OSC. The area exercises will involve those actions necessary to

respond to the spill scenario developed by the exercise design team, of

which you will be a member. After participating in an area exercise,

you will not be required to participate in another area exercise for at

least 6 years.

(4) You must maintain adequate exercise records as follows:

(i) Records of the qualified individual notification exercises and

the emergency procedures exercises must be maintained on the vessel.

You may document these exercises in the ship's log or in a separate

exercise log.

(ii) Exercise records must be maintained and available to the Coast

Guard for 3 years following completion of the exercises.

(5) For holders of approved oil response plans augmented for

hazardous substances, oil and hazardous substances exercises are

interchangeable. However, a minimum of 25 percent to a maximum of 75

percent of all exercises must be for hazardous substances.

(6) You may satisfy the exercise response plan requirements by

complying with the National Preparedness for Response Exercise Program

(PREP) Guidelines issued by Commandant (G-MOR). These guidelines are

available from the United States Government Printing Office, North

Capitol and H Sts., NW., Washington, DC 20402.

(h) Geographic-specific appendix for each COTP zone in which your

vessel(s) operates. This section of your plan must include a

geographic-specific appendix for each COTP zone where your vessel

intends to conduct hazardous substance operations.

(1) Each appendix must identify the geographic area(s) within each

COTP zone where your vessel intends to operate.

(2) For each COTP zone, you must ensure available, through contract

or other approved means, the following response resources to be on-

scene within the time-frames indicated from the detection of the

discharge and the 24-hour point of contact for the provider of each

resource. (NOTE: The response resources contained in paragraphs

(h)(2)(i)-(iv) of this section are required when operating in the

inland, river and canal, and Great Lakes operating areas.)

(i) Air monitoring in accordance with 29 CFR 1910.120--2 hours.

(ii) Water sampling--2 hours.

(iii) Personal protective equipment--2 hours.

(iv) Modeling capabilities available to include dispersion modeling

(water and air)--2 hours.

(v) Lightering resources capable of providing the following

equipment and services at your vessel's location within the prescribed

time-frame:

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

And your vessel is

located in one of the

areas listed, then the

If your lightering resource must provide the equipment and/or services

following equipment and/or services * * * must be at your vessel's

location within the

timeframe indicated:

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

(A) Lightering equipment (see note):

(1) Fendering equipment.................. Inland, nearshore and

Great Lakes waters--12

hours.

Offshore waters and

Rivers and canals--18

hours.

Open ocean waters--36

hours.

(2) Portable pumps and ancillary The same as (A)(1) above.

equipment necessary to offload vessel's

cargo tank in 24 hours of continuous

operation.

(3) Transfer hoses and connection The same as (A)(1) above.

equipment.

(B) Access to lightering specialists and Any operating area--24

mooring masters. hours.

(C) Access to barge brokers or other entities Any operating area--24

that can assist in identifying available hours.

barges that can be used as lightering

vessels.

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

Note to paragraph (h)(2)(v) table: For tankers the equipment must be

onboard.

(vi) Marine firefighting resources with equipment that have the

capability to be on-scene within 24 hours.

(vii) Salvage resources that can respond within 24 hours and have

the capability to access the necessary salvage equipment.

(3)(i) If you transport a hazardous substance that exhibits the

characteristics of a ``floater'', then you must list the following

response

[[Page 13749]]

resources capable of being on-scene within 24 hours of detection of the

discharge and the 24-hour point of contact for the provider of each

resource:

(A) Sorbent and containment boom;

(B) Recovery devices; and

(C) 10,000 feet of inland boom for shoreline protection operations.

(ii) Resources listed in oil response plans will meet the

requirement of paragraph (h)(3)(i) of this section.

(4) If you transport a hazardous substance that exhibits the

characteristics of a ``sinker'', then you must list the following

response resources capable of being on-scene within 24 hours of

detection of the discharge and the 24-hour point of contact for the

provider of each resource:

(i) Sorbent boom, containment boom, silt curtains, or other

equipment to contain hazardous substances that may remain floating on

the surface or to reduce spreading on the bottom;

(ii) Dredges, pumps, or other equipment necessary to recover

hazardous substances from the bottom and shoreline;

(iii) Chemical detection devices, such as sonar or sampling

equipment; and

(iv) In situ treatment equipment as deemed appropriate by the plan-

holder.

(5) The listed response resource providers must meet the equipment

criteria contained in Sec. 155.3050. Response resource providers must

provide trained personnel to operate equipment, and staff their

organization and the spill management team for the first 7 days of the

response.

(i) Vessel(s)-specific appendix for each vessel covered by the

plan. This section of the plan must include:

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

Required information (where applicable) Comments

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

(1) Vessel's name, Country of registry, Call sign, If the plan covers multiple vessels, then this

Official number, International Maritime Organization information must be provided for each vessel.

(IMO) international number.

(2) List of the vessel's principal characteristics..... See note.

(3) Capacities of all cargo, fuel, lube oil, ballast, See note.

and fresh water tanks.

(4) Diagrams showing locations of all tanks Vessel Can be maintained separately aboard the vessel provided

plans and information: the response plan identifies location. See note.

(i) General arrangement plan.

(ii) Midships section.

(iii) Cargo and fuel piping diagrams and pumping

plan.

(iv) Cargo and fuel storage plan.

(5) Location of all equipment and fittings used to See note.

perform transfers and lightering.

(6) Location of equipment and personal protective See note.

equipment carried to mitigate a hazardous substance

discharge.

(7) Damage stability data: Locations of plans to You must maintain a copy of these plans ashore. The

perform salvage, stability, and hull stress vessel's owner or operator or the vessel's

assessments. These include the general arrangement classification society may maintain these plans unless

plan, midship section plan, lines plan or table of you have arranged for a shore-based damage stability

offsets, tank tables, load line assignment, and and residual strength calculation program with your

lightship characteristics. vessel's baseline strength and stability

characteristics pre-entered. If the computerized

damage stability calculation program is utilized, then

you must provide in the plan the shore location and 24-

hour access procedures of the calculation program.

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

Note to paragraph (i) table: Because many of the tank vessels covered by a response plan may be of the same

design, you do not need to repeat this information provided the plan identifies the tank vessels to which the

same information applies.

(j) Hazardous substance specific appendix. This section of the plan

must include a separate appendix for each hazardous substance cargo on

board your vessel. The following table represents the types of

information which must be included, if pertinent:

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

Information categories Types of information

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

(1) NAME OF HAZARDOUS Common Chemical Name, Synonym(s), and

SUBSTANCE. Trade Name(s)

(2) CAUTIONARY RESPONSE First Response Activities for Fire,

INFORMATION. Exposure, and Water Pollution

Physical Description

Telephone Number for Medical Treatment

(3) CHEMICAL DESIGNATIONS.... CAS Registry Number.

CG Compatibility Class.

DOT ID No.

Formula.

IMO/UN Designation.

NAERG Guide Number.

Standard International Trade

Classification.

(4) HEALTH HAZARDS........... Chronic Toxicity.

EPS AEGL.

IDLH Value.

Irritant Characteristics (Liquid, solid,

or vapor (gas)).

Odor threshold.

OSHA PEL-CEILING.

OSHA PEL-STEL.

OSHA PEL-TWA.

PPE.

Symptoms Following Exposure.

TLC-Ceiling.

TLV-STEL.

TLV-TWA.

Toxicity by ingestion.

[[Page 13750]]

Toxicity by inhalation.

Treatment of exposure.

(5) FIRE HAZARDS............. Adiabatic Flame Temperature.

Behavior in Fire.

Burning Rate.

Electrical Hazard.

Fire Extinguishing Agents.

Fire Extinguishing Agents Not to be Used.

Flame Temperature.

Flammable Limits in Air.

Flash Point.

Ignition Temperature.

Minimum Oxygen Concentration for

Combustion (MOCC).

Molar Ratio.

Special Hazards of Combustion Products.

Stoichiometric Air to Fuel Ratio.

(6) CHEMICAL REACTIVITY...... Inhibitor of Polymerization.

Neutralizing Agents for Acids and

Caustics.

Polymerization.

Reactivity with Common Materials.

Reactivity with Water.

Stability During Transport.

(7) WATER POLLUTION.......... Aquatic Toxicity.

Biochemical Oxygen Demand (BOD).

Food Chain Concentration Potential.

GESAMP Hazard Profile.

Waterfowl Toxicity.

(8) SHIPPING INFORMATION:.... Barge Hull Type

Grades of Purity.

IMO Pollution Category.

Inert Atmosphere.

Ship Type.

Storage Temperature.

Venting.

(9) HAZARD CLASSIFICATIONS... 49 CFR Category.

49 CFR Class.

49 CFR Package Group.

EPA FWPCA List.

EPA Pollution Category.

EPA Reportable Quantity.

Marine Pollutant.

NFPA Hazard Classification.

RCRA Waste Number.

(10) PHYSICAL AND CHEMICAL Boiling Point at 1 atm.

PROPERTIES.

Critical Pressure.

Critical Temperature.

Freezing Point.

Heat of Combustion.

Heat of Decomposition.

Heat of Fusion of Polymerization.

Heat of Solution.

Latent Heat of Vaporization.

Limiting Value.

Liquid Surface Tension.

Liquid Water Interfacial Tension.

Molecular Weight.

Physical State.

Ratio of Specific heats of Vapor (Gas).

Reid Vapor Pressure Heat.

Specific Gravity.

Vapor (Gas) Specific Gravity.

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

(k) On board notification checklist and emergency procedures (for

tank barges only). The checklist and emergency procedures must

include--

(1) The telephone number of the National Response Center;

(2) The name of a QI and one alternate QI and the procedures to

contact them on a 24-hour basis;

(3) The name and address of the vessel's owner or operator and the

procedures for contacting the owner or operator on a 24-hour basis;

(4) The list of information to be provided in the notification by

the reporting personnel;

(5) A statement of responsibilities and actions to be taken by

reporting personnel after a hazardous substance discharge or

substantial threat of one;

[[Page 13751]]

(6) A list of responsibilities of the crew; and (7) A statement

addressing the crew's safety and personal protective equipment needs.

Sec. 155.3050 What are the operating criteria that apply to response

resource equipment?

(a) If you conduct hazardous substance operations with substances

that have the characteristics of a ``floater'' or ``sinker'', then the

containment boom and recovery devices listed under Sec. 155.3035(h)(3)

and (4) must meet the following criteria:

(1) Table 1 must be used to identify appropriate hazardous

substance recovery devices in the response plan. These criteria reflect

conditions used for planning purposes to select mechanical response

equipment. They are not conditions that would limit response actions or

affect a vessel's normal operations. Table 1 follows:

Table 1.--Response Resource Operating Criteria Hazardous Substance

Recovery Devices

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

Significant wave

Operating area height \1\ (in Sea state

feet)

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

Rivers and Canals................ 1 1

Inland........................... 3 2

Great Lakes...................... 4 2-3

Nearshore, Offshore, Open Ocean.. 6 3-4

Boom

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

Use

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

Boom Nearshore,

Rivers and canals Inland Great Lakes offshore, open

ocean

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

Significant Wave Height..... 1........ 3........ 4........ 6

Sea State................... 1................... 2................... 2-3................. 3-4

Boom Height--in (draft plus 6-18................ 18-24............... 18-24............... 24

freeboard).

Reserve Buoyancy to Weight 2:1................. 2:1................. 2:1................. 3:1 to 4:1

Ratio.

Total Tensile Strength--lbs. 4,500............... 15-20,000........... 15-20,000........... 20,00

0

Skirt Fabric Tensile 200................. 300................. 300................. 500

Strength--lbs.

Skirt Fabric Tear Strength-- 100................. 100................. 100................. 125

lbs.

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

\1\ Recovery devices and boom must be at least capable of operating in wave heights up to and including the

values listed in Table 1 for each operating area.

(2) When evaluating operability of response equipment you must

consider limitations identified in the Area Contingency Plans for the

COTP zones in which your vessel operates, including --

(i) Ice conditions;

(ii) Debris;

(iii) Temperature ranges;

(iv) Weather-related visibility.

(b) The COTP may reclassify a specific body of water or location

within the COTP zone. Any reclassifications will be listed in the Area

Contingency Plan. Reclassifications may be to--

(1) A more stringent operating area if the prevailing wave

conditions exceed the significant wave height criteria during more than

35 percent of the year; or

(2) A less stringent operating area if the prevailing wave

conditions do not exceed the significant wave height criteria for the

less stringent operating area during more than 35 percent of the year.

(c) Response equipment must--

(1) Meet or exceed the criteria listed in table 1 of (a)(1) of this

section;

(2) Be capable of functioning in the applicable operating area;

(3) Be appropriate for the hazardous substance carried; and

(4) Be periodically inspected and maintained in accordance with

manufacturer's recommendations and best commercial practices. All

inspections and maintenance must be documented and these records must

be maintained for 3 years.

Sec. 155.3055 How must I certify that my response resources providers

are capable of meeting plan requirements?

(a) Your plan must include the original written certification of

the following:

(1) You have evaluated the risks associated with the worst case

discharge of a hazardous substance you carry;

(2) You have contracted or listed, as appropriate, the resources

that you have determined are necessary to effectively respond to a

worst case hazardous substance discharge or threat of such discharge,

and that the response resource providers you listed in your plan have

acknowledged being listed;

(3) You have determined that the technical expertise of the

response providers is adequate to carry out the planned response

requirements.

(b) This certification must be signed by the owner or operator of

the vessel.

Sec. 155.3065 What are the procedures for plan submission and

receiving approval?

(a) You must submit your plan to Commandant (G-MOR), U.S. Coast

Guard Headquarters, 2100 Second Street SW., Washington, DC 20593-0001.

Your plan must--

(1) Be complete and in English;

(2) Be submitted at least 60 days before your vessel intends to

perform hazardous substance operations;

(3) Include a statement certifying that your plan meets the

requirements of this subpart; and

(4) Include a statement noting the plan covers either manned or

unmanned vessels.

(b) If your plan is approved, then the Coast Guard will send you an

approval letter. Your plan will be valid for up to 5 years from the

date the plan was submitted.

(c) If your plan is reviewed and not approved, then you will

receive written notification of your plan's deficiencies. You must

submit a revised plan or the corrected portions within the time period

specified in the Coast Guard's notice.

(d) If you have received interim operating authorization per

Sec. 155.3026,

[[Page 13752]]

then the provisions of Sec. 155.3070(c), (d), and (f) apply.

Sec. 155.3066 What are the procedures for submitting a request for

acceptance of alternative planning criteria?

If you believe that national planning criteria contained elsewhere

in this part are not applicable to your vessel for the areas in which

you wish to operate, then you may request the Coast Guard to accept

alternative planning criteria. Your request must be made 90 days before

your vessel operates under the proposed alternative, and must be

forwarded via the COTP of the geographic area(s) affected.

Sec. 155.3067 How do I submit an appeal if my response plan is not

approved?

If you have been notified that your plan is not approved, then you

have 21 days following notification to submit a written appeal of the

Coast Guard's decision. Your appeal must be submitted to Commandant (G-

M), U.S. Coast Guard Headquarters, 2100 Second Street SW., Washington,

DC 20593-0001.

Sec. 155.3070 What are the procedures for plan review, revision,

resubmission, and appeal?

(a) You must review your plan--

(1) Annually within one month of the anniversary date of the Coast

Guard's approval of your plan; and

(2) After a drill or hazardous substance discharge to evaluate and

validate the plan's effectiveness.

(b) After review of your plan, you must submit any amendments or

revisions to the Coast Guard for information or approval. A cover page

that provides a summary of the changes and the pages affected must be

included with the revisions. The revised pages must be annotated with

the revision number and effective date of the revision. You must note

on the record of changes page what changes were made and the date they

were made. You must also note the completion of the annual review on

the record of changes page.

(c) You must submit revisions or amendments to your plan whenever

any of the following occur:

(1) A change in the owner or operator if that person is not the one

who provided the certifying statement required by Sec. 155.3055(a) or

Sec. 155.3065(a);

(2) A change in your vessel's operating area that is not covered by

your plan. Your vessel may operate in this new area once you have

received confirmation from the Coast Guard that you have submitted a

new geographic-specific appendix for approval and the certification

required in Sec. 155.3026(a);

(3) A significant change in your vessel's configuration that

affects the information in your response plan;

(4) A change in the cargo your vessel carries, except when you are

authorized by the COTP to carry this cargo as a result of assisting in

a discharge response activity;

(5) A change in response resources required by Sec. 155.3050;

(6) A significant change in your vessel's emergency response

procedures;

(7) A change in the qualified individual or alternate;

(8) The addition of a vessel to your plan. You must submit the

vessel-specific appendix and certification required in

Sec. 155.3026(a); or

(9) Any other changes that affect the implementation of the plan.

(d) At least 30 days in advance of hazardous substance operations,

you must submit any revisions or amendments identified in paragraph (c)

of this section. You must submit certification as required by

Sec. 155.3055(a) or Sec. 155.3065(a) with the revisions or amendments.

(e) You must resubmit your entire plan to the Coast Guard for

approval--

(1) Six months before the end of the current approval period

identified in Sec. 155.3065(b); and

(2) When the owner or operator changes, if that owner or operator

provided the certifying statement required by Sec. 155.3065(a) a new

certifying statement must be submitted.

(f) The Coast Guard may require you to revise your response plan if

it is determined that your plan does not meet the requirements of this

subpart. The Coast Guard will provide to you written notification of

any deficiencies and any operating restrictions. Deficiencies must be

corrected and submitted for acceptance within the specified timeframe

provided by the Coast Guard or your plan will be declared invalid. If

you conduct any hazardous substance operations after your plan has been

declared invalid, then you will be in violation of the Clean Water Act

(CWA) (33 U.S.C. 1321(j)(5)(E)).

(g) If you disagree with a deficiency determination, you may submit

a petition for reconsideration to Commandant (G-M), U. S. Coast Guard

Headquarters, 2100 Second Street, SW., Washington, DC 20593-0001,

within the time period required for compliance or within 7 days from

the date of receipt of the Coast Guard notice of a deficiency

determination, whichever is less. After considering all relevant

material presented, the Coast Guard will notify you in writing of the

final decision.

(1) Unless you petition for reconsideration of the Coast Guard's

decision, you must correct the response plan deficiencies within the

period specified in the Coast Guard's initial determination.

(2) If you petition the Coast Guard for reconsideration, the

effective date of the Coast Guard notice of deficiency determination

may be delayed pending their decision. Petitions to the Coast Guard

must be submitted in writing, via the Coast Guard official who issued

the requirement to amend the response plan, within 7 days of receipt of

the notice.

(h) You must advise the Coast Guard and all other holders of the

response plan of any revisions to personnel and telephone numbers and

provide a copy of these revisions. Amendments to personnel and

telephone number lists included in the response plan do not require

prior Coast Guard approval, except as required in paragraph (c) of this

section.

Dated: February 16, 1999.

James M. Loy,

Admiral, U.S. Coast Guard Commandant.

[FR Doc. 99-4697 Filed 3-19-99; 8:45 am]

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