44970 Federal Register / Vol. 74, No. 167 / Monday, August 31, 2009 / Proposed Rules 

DEPARTMENT OF HOMELAND 

SECURITY 

Coast Guard 

33 CFR Parts 151, 155, and 160 

[Docket No. USCG–2008–1070] 

(RIN 1625–AB27) 

Nontank Vessel Response Plans and 

Other Vessel Response Plan 

Requirements 

AGENCY: Coast Guard, DHS. 

ACTION: Notice of proposed rulemaking. 

SUMMARY: The Department of Homeland 

Security, United States Coast Guard, 

proposes this nontank vessel response 

plan rulemaking to further protect the 

Nation from the threat of oil spills in the 

maritime domain. The rule proposes 

regulations requiring owners or 

operators of nontank vessels to prepare 

and submit oil spill response plans. The 

Federal Water Pollution Control Act 

defines nontank vessels as selfpropelled vessels of 400 gross tons or 

greater that operate on the navigable 

waters of the United States, carry oil of 

any kind as fuel for main propulsion, 

and are not tank vessels. The proposed 

rule would specify the content of a 

response plan, and among other issues, 

address the requirement to plan for 

responding to a worst case discharge 

and a substantial threat of such a 

discharge. Additionally, this proposed 

rule would update the international 

Shipboard Oil Pollution Emergency 

Plan (SOPEP) requirements that apply to 

certain nontank vessels and tank 

vessels. Finally, this proposed rule 

would require vessel owners and 

operators to submit their vessel 

response plan control number as part of 

already required notice of arrival 

information. This rulemaking supports 

the Coast Guard’s strategic goals of 

protection of natural resources and 

maritime mobility. 

DATES: Comments and related material 

must either be submitted to our online 

docket via http://www.regulations.gov 

on or before November 30, 2009 or reach 

the Docket Management Facility by that 

date. Comments sent to the Office of 

Management and Budget (OMB) on 

collection of information must reach 

OMB on or before November 30, 2009. 

ADDRESSES: You may submit comments 

identified by docket number USCG– 

2008–1070 using any one of the 

following methods: 

(1) Federal eRulemaking Portal: 

http://www.regulations.gov. 

(2) Fax: 202–493–2251. 

(3) Mail: Docket Management Facility 

(M–30), U.S. Department of 

Transportation, West Building Ground 

Floor, Room W12–140, 1200 New Jersey 

Avenue, SE., Washington, DC 20590– 

0001. 

(4) Hand delivery: Same as mail 

address above, between 9 a.m. and 5 

p.m., Monday through Friday, except 

Federal holidays. The telephone number 

is 202–366–9329. 

To avoid duplication, please use only 

one of these methods. For instructions 

on submitting comments, see the 

‘‘Public Participation and Request for 

Comments’’ portion of the 

SUPPLEMENTARY INFORMATION section 

below. 

Collection of Information Comments: 

If you have comments on the collection 

of information, you must also send 

comments to the Office of Information 

and Regulatory Affairs (OIRA), Office of 

Management and Budget. To ensure that 

your comments to OIRA are received on 

time, the preferred methods are by email to oira_submission@omb.eop.gov 

(include the docket number and 

‘‘Attention: Desk Officer for Coast 

Guard, DHS’’ in the subject line of the 

e-mail) or fax at 202–395–6566. An 

alternate, though slower, method is by 

U.S. mail 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. 

FOR FURTHER INFORMATION CONTACT: If 

you have questions on this proposed 

rule, call Lieutenant Jarrod DeWitz, U.S. 

Coast Guard, Office of Vessel Activities, 

Vessel Response Plan Review Team, 

telephone (202) 372–1219. You may also 

e-mail questions to Jarrod.M.DeWitz@ 

uscg.mil. 

Note: The technical expertise for the 

development of this proposed rule is credited 

to Commander Rob Smith. If you have 

questions on viewing or submitting material 

to the docket, call Ms. Renee V. Wright, 

Program Manager, Docket Operations, 

telephone 202–366–9826. 

SUPPLEMENTARY INFORMATION: 

Table of Contents for Preamble 

I. Public Participation and Request for 

Comments 

A. Submitting Comments 

B. Viewing Comments and Documents 

C. Privacy Act 

D. Public Meeting 

II. Abbreviations 

III. Background and Purpose 

A. Tank and Nontank Vessels—Oil and 

Hazardous Substance Discharge 

Response Plan Legislation 

B. Tank Vessels 

C. Nontank Vessels 

D. Access to the NVICs 

E. Shipboard Oil Pollution Emergency Plan 

(SOPEP) 

F. Notice of Arrival Requirements and 

Vessel Response Plans 

G. Customary International Law: Innocent 

Passage and Transit Passage 

H. Definition of ‘‘United States’’ for 

Purposes of Vessel Response Plan 

Requirements 

IV. Discussion of Proposed Rule 

V. Incorporation by Reference 

VI. Regulatory Analyses 

A. Executive Order 12866 

B. Small Entities 

C. Assistance for Small Entities 

D. Collection of Information 

E. Federalism 

F. Unfunded Mandates Reform Act 

G. Taking of Private Property 

H. Civil Justice Reform 

I. Protection of Children 

J. Indian Tribal Governments 

K. Energy Effects 

L. Technical Standards 

I. Public Participation and Request for 

Comments 

We encourage you to participate in 

this rulemaking by submitting 

comments and related materials. All 

comments received will be posted, 

without change, to http:// 

www.regulations.gov and will include 

any personal information you have 

provided. 

A. Submitting Comments 

If you submit a comment, please 

include the docket number for this 

rulemaking (USCG–2008–1070), 

indicate the specific section of this 

document to which each comment 

applies, and give your reason for each 

comment. We recommend that you 

include your name and a mailing 

address, an e-mail address, or a phone 

number in the body of your document 

so that we can contact you if we have 

questions regarding your submission. 

You may submit your comments and 

material by electronic means, mail, fax, 

or delivery to the Docket Management 

Facility at the address under ADDRESSES; 

but please submit your comments and 

material by only one means. 

To submit your comment online, go to 

http://www.regulations.gov and click on 

the ‘‘submit a comment’’ box, which 

will then become highlighted in blue. 

Insert ‘‘USCG–2008–1070’’ in the 

Keyword box, click ‘‘Search’’, and then 

click on the balloon shape in the 

Actions column. If you submit your 

comments by mail or hand delivery, 

submit them in an unbound format, no 

larger than 81⁄2 by 11 inches, suitable for 

copying and electronic filing. If you 

submit them by mail and would like to 

know that they reached the Facility, 

please enclose a stamped, self-addressed 

postcard or envelope. We will consider 


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Federal Register / Vol. 74, No. 167 / Monday, August 31, 2009 / Proposed Rules 44971 

all comments and material received 

during the comment period and may 

change this proposed rule based on your 

comments. 

B. Viewing Comments and Documents 

To view comments, as well as 

documents mentioned in this preamble 

as being available in the docket, go to 

http://www.regulations.gov at any time. 

Enter the docket number for this 

rulemaking (USCG–2008–1070) in the 

Keyword box, and click ‘‘Search’’. If you 

do not have access to the internet, you 

may view the docket online by visiting 

the Docket Management Facility in 

Room W12–140 on the ground floor of 

the Department of Transportation West 

Building, 1200 New Jersey Avenue, SE., 

Washington, DC 20590, between 9 a.m. 

and 5 p.m., Monday through Friday, 

except Federal holidays. We have an 

agreement with the Department of 

Transportation to use the Docket 

Management Facility. 

C. Privacy Act 

Anyone can search the electronic 

form of comments received into any of 

our dockets by the name of the 

individual submitting the comment (or 

signing the comment, if submitted on 

behalf of an association, business, labor 

union, etc.). You may review a Privacy 

Act notice regarding our public dockets 

in the January 17, 2008 issue of the 

Federal Register (73 FR 3316). 

D. Public Meeting 

We plan to hold one or more public 

meetings. The time and place of each 

public meeting will be announced by a 

later notice in the Federal Register. 

II. Abbreviations 

2004 Act Coast Guard and Maritime 

Transportation Act of 2004 (Pub. L. 108– 

293, 118 Stat. 102) 

2006 Act Coast Guard and Maritime 

Transportation Act of 2006 (Pub. L. 109– 

241, 120 Stat. 516) 

AMPD Average most probable discharge 

BLS Bureau of Labor Statistics 

CAP Capability 

CFR Code of Federal Regulations 

COTP Captain of the Port 

DHS Department of Homeland Security 

DOT Department of Transportation 

EDAC Effective daily application capability 

EEZ Exclusive economic zone 

eNOAD Electronic Notice of Arrival/ 

Departure 

FOSC Federal On-Scene Coordinator 

FWPCA Federal Water Pollution Control 

Act (33 U.S.C. 1251 through 1387) 

GSA Geographic-specific appendix 

IAP Incident Action Plan 

IMO International Maritime Organization 

IOPP International Oil Pollution Prevention 

ISM International Ship Management 

ITB Integrated tug barge 

MARPOL International Convention for the 

Prevention of Pollution from Ships 

MEPC Marine Environment Protection 

Committee 

MISLE Marine Information for Safety and 

Law Enforcement 

MMPD Maximum most probable discharge 

MOA Memorandum of Agreement 

MOU Memorandum of Understanding 

MTR Marine transportation-related 

NCP National Oil and Hazardous 

Substances Pollution Contingency Plan 

(also known as National Contingency Plan) 

NLS Noxious Liquid Substance 

NM Nautical mile 

NOA Notice of arrival 

NTVRP Nontank vessel response plan 

NVIC Navigation and Vessel Inspection 

Circular 

NVMC National Vessel Movement Center 

OCIMF Oil Companies International Marine 

Forum 

OMB Office of Management and Budget 

OPA 90 Oil Pollution Act of 1990 (Pub. L. 

101–380, 104 Stat 484) 

OSRO Oil spill removal organization 

PV Present value 

P&I Protection and Indemnity 

PREP National Preparedness for Response 

Exercise Program 

PWSA Ports and Waterways Safety Act 

(Pub. L. 92–340, 86 Stat. 424) 

QI Qualified individual 

SBA Small Business Administration 

SLS Saint Lawrence Seaway 

SLSDC Saint Lawrence Seaway 

Development Corporation 

SOPEP Shipboard oil pollution emergency 

plans 

SMT Spill management team 

TVRP Tank vessel response plan 

VRP Vessel response plan 

UNCLOS United Nations Convention on the 

Law of the Sea, 1982 

U.S.C. United States Code 

WCD Worst case discharge 

III. Background and Purpose 

This proposed rule is intended to 

improve our nation’s pollution response 

planning and preparedness posture and 

help limit the environmental damage 

resulting from nontank vessel marine 

casualties. 

In recent years, several catastrophic 

nontank vessel oil spills have 

threatened the marine environment 

along the coastal areas of the United 

States. Among these spills were— 

• The grounding of the M/V NEW 

CARISSA on the Oregon coast on 

February 4, 1999, during a storm, which 

resulted in the loss of the vessel and a 

spill of approximately 70,000 gallons of 

the 400,000 gallons of ‘‘Bunker C’’ fuel 

oil on board; 

• The grounding of the M/V 

SELENDANG AYU in the Aleutian 

Islands of Alaska on December 8, 2004, 

during a storm, which resulted in the 

loss of the vessel and a spill of 

approximately 336,000 gallons of fuel 

oil and diesel fuel; and 

• The allision of the M/V COSCO 

BUSAN with the San Francisco-Oakland 

Bay Bridge in San Francisco Bay on 

November 7, 2007, in foggy conditions, 

which resulted in severe damage to the 

vessel and a spill of approximately 

53,000 gallons of fuel oil. 

Each of these spills resulted in 

damage to the marine environment, 

including the loss of fish and wildlife. 

The spills have also affected key 

maritime industry stakeholders by 

disrupting maritime commerce and 

normal operations in the affected ports 

and waterways. 

Groundings, allisions, and collisions 

are among the many types of casualties 

that may befall any vessel while at sea 

or in port. Congress enacted the Oil 

Pollution Act of 1990 (OPA 90) (Pub. L. 

101–380, 104 Stat 484) following a 

series of tank vessel casualties, 

including most notably the grounding of 

the M/V EXXON VALDEZ on March 24, 

1989, on Bligh Reef in Prince William 

Sound near Valdez, Alaska. OPA 90, 

which applies primarily to tank vessels, 

focuses on preventing and mitigating oil 

spills via actions in several broad areas, 

including Liability and Compensation, 

Prevention, Preparedness, Response, 

and Research and Development. 

Simultaneously at the international 

level, the International Maritime 

Organization (IMO) enhanced worldwide pollution prevention and response 

standards with a series of amendments 

to the International Convention for the 

Prevention of Pollution from Ships, 

1973 (MARPOL 73/78). Finally, in 2004 

and 2006, Congress amended the 

Federal Water Pollution Control Act 

(FWPCA), section 311(j)(5), to require 

tank and nontank vessel owners and 

operators to prepare and submit oil and 

hazardous substance discharge response 

plans to the Coast Guard. The following 

sections will summarize these domestic 

and international pollution 

preparedness and planning actions. 

A. Tank and Nontank Vessels—Oil and 

Hazardous Substance Discharge 

Response Plan Legislation 

Section 311(j)(5) of the Federal Water 

Pollution Control Act, 33 U.S.C. 

1321(j)(5), as established by section 

4202 of the Oil Pollution Act of 1990; 

and as amended by the Coast Guard and 

Maritime Transportation Act of 2004 

(the 2004 Act), Pub. L. 108–293, 118 

Stat. 102, and the Coast Guard and 

Maritime Transportation Act of 2006 

(the 2006 Act), Pub. L. 109–241, 120 

Stat. 516, sets out a statutory mandate 

requiring tank and nontank vessel 

owners or operators to prepare and 

submit oil or hazardous substance 

discharge response plans for certain 


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1FWPCA elements require consistency with 40 

CFR 300.210 (Federal contingency plans section of 

the National Contingency Plan (NCP)). 

vessels operating on the navigable 

waters of the United States. A response 

plan under this legislation must: 

• Be consistent with the requirements 

of the National Contingency Plan and 

Area Contingency Plans 1; 

• Identify the qualified individual 

having full authority to implement 

removal actions, and require immediate 

communications between that 

individual and the appropriate Federal 

official and the persons providing 

personnel and equipment; 

• Identify, and ensure by contract or 

other approved means the availability 

of, private personnel and equipment 

necessary to remove to the maximum 

extent practicable a worst case discharge 

(including a discharge resulting from 

fire or explosion), and to mitigate or 

prevent a substantial threat of such a 

discharge; 

• Describe the training, equipment 

testing, periodic unannounced drills, 

and response actions of persons on the 

vessel or at the facility, to be carried out 

under the plan to ensure the safety of 

the vessel or facility and to mitigate or 

prevent the discharge, or the substantial 

threat of a discharge; 

• Be updated periodically; and 

• Be resubmitted for approval of each 

significant change. 

B. Tank Vessels 

The response plan regulations for tank 

vessels were established during a 

previous rulemaking (61 FR 1052, 

January 12, 1996) and are located at 33 

CFR part 155, subpart D. It is important 

to briefly discuss those regulations, 

because the proposed rule for nontank 

vessels is similar to the tank vessel 

regulations. 

Congress enacted OPA 90 in response 

to several marine pollution incidents. 

Section 4202 of OPA 90 amended 

section 311(j) of the FWPCA (33 U.S.C. 

1321(j) by, among other requirements, 

requiring tank vessel owners or 

operators to prepare and submit a plan 

for responding, to the maximum extent 

practicable, to a worst case discharge, 

and to a substantial threat of such a 

discharge of oil or a hazardous 

substance. With the exceptions listed in 

paragraph (c) of 33 CFR 155.1015, these 

tank vessel response plan requirements 

apply to each vessel that carries oil in 

bulk as cargo or oil cargo residue, and 

that: 

• Is a vessel of the United States; 

• Operates on the navigable waters of 

the United States; or 

• Transfers oil in a port or place 

subject to the jurisdiction of the United 

States. 

These requirements also apply to each 

vessel that engages in oil lightering 

operations in the marine environment 

beyond the baseline from which the 

territorial sea is measured, when the 

cargo lightered is destined for a port or 

place subject to the jurisdiction of the 

United States. 

C. Nontank Vessels 

On August 9, 2004, the President 

signed the Coast Guard and Maritime 

Transportation Act of 2004. Section 701 

of the 2004 Act amended subsections 

311(a) and (j) of the FWPCA by 

requiring nontank vessel owners or 

operators to prepare and submit oil 

discharge response plans no later than 

August 8, 2005. The 2004 Act defines a 

‘‘nontank vessel’’ as a self-propelled 

vessel of 400 gross tons or greater, other 

than a tank vessel, that carries oil of any 

kind as fuel for main propulsion, and 

that is a vessel of the United States or 

operates on the navigable waters of the 

United States. 

In addition to the preparation and 

submission of response plans by 

nontank vessel owners or operators, the 

2004 Act also requires the issuance of 

response plan regulations detailing the 

requisite components of a response 

plan. In consideration of the time 

required to publish the regulations, and 

in an effort to assist industry in meeting 

the August 2005 statutory deadline, the 

Coast Guard announced the availability 

of the Navigation and Vessel Inspection 

Circular 01–05 (NVIC 01–05) in the 

Federal Register on February 16, 2005 

(70 FR 7955). NVIC 01–05 provides the 

public with guidance on the preparation 

and submission of oil spill response 

plans until regulations are in effect. 

Later, on June 24, 2005, the Coast 

Guard published further response plan 

guidance in a Notice and Request for 

Comments (70 FR 36649). That notice 

addressed concerns on the size of the 

vessel population to be affected by the 

2004 Act; Coast Guard’s enforcement of 

the 2004 Act; and the Coast Guard’s 

actions to assist the public in 

conforming to the mandates of the 2004 

Act. 

In February 2006, as a result of 

questions received from the marine 

industry, the Coast Guard announced 

the availability of Change 1 to NVIC 01– 

05 (71 FR 9367, February 23, 2006). 

Change 1 to NVIC 01–05 provided 

guidance to the public on how to draft 

a nontank vessel response plan, 

suggested plan content, and addressed 

issues of concern regarding the 

development of these plans. 

Additionally, NVIC 01–05 Change 1 

discusses the Coast Guard process for 

issuing Interim Operating Authorization 

letters to nontank vessel owners or 

operators to document interim 

compliance with 33 U.S.C. 1321(j)(5). 

Finally, in July 2006, Congress 

amended the definition of nontank 

vessel in the Coast Guard and Maritime 

Transportation Act of 2006 (2006 Act). 

Section 608 of the 2006 Act clarified the 

tonnage applicability of this statutory 

requirement, and therefore this 

proposed rule, by setting the tonnage 

threshold as 400 gross tons or greater, as 

measured under the convention 

measurement system in 46 U.S.C. 14302 

or the regulatory measurement system of 

46 U.S.C. 14502 for vessels not 

measured under 46 U.S.C. 14302. The 

2006 Act further established that it 

applies to vessels that operate on the 

navigable waters of the United States, 

and it referenced a 12 nm territorial seas 

for those navigable waters, as defined in 

46 U.S.C. 2101. 

D. Access to the NVICs 

A copy of the nontank vessel response 

plan NVICs can be found in the docket 

at http://www.regulations.gov and at 

http://www.uscg.mil/hq/g-m/nvic/. For 

those individuals without internet 

access, a copy of the NVIC may be 

obtained by contacting the Vessel 

Response Plan (VRP) Program staff at 

202–372–1209 or your local U.S. Coast 

Guard Sector Office. 

E. Shipboard Oil Pollution Emergency 

Plan (SOPEP) 

In addition to establishing a 

regulation for the preparation and 

submission of oil spill response plans 

for nontank vessels, this proposed rule 

would align our domestic shipboard oil 

pollution emergency plan (SOPEP) 

requirements in 33 CFR 151.26 with the 

current international SOPEP 

requirements reflected in Annex I of the 

International Convention for the 

Prevention of Pollution from Ships, 

1973, as modified by the Protocol of 

1978, as amended (MARPOL Annex I). 

MARPOL Annex I contains 

international regulations for the 

prevention of pollution by oil. The Act 

to Prevent Pollution from Ships (33 

U.S.C. 1901 et seq.) authorizes the Coast 

Guard to administer and enforce 

MARPOL Annex I and certain other 

MARPOL Annexes. 

In 1991, in response to Article 3(1)(a) 

of the International Convention on Oil 

Pollution Preparedness, Response and 

Co-operation, 1990, the Marine 

Environment Protection Committee 

(MEPC) of the International Maritime 

Organization (IMO) adopted MARPOL 


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Annex I, Regulation 26. This regulation 

established an international requirement 

for SOPEPs and set out: 

• Procedures to be followed to report 

an oil spill; 

• Requirements to provide a list of 

authorities or persons to be contacted in 

the event of an oil pollution incident; 

• Requirements to provide a detailed 

description of the immediate actions to 

mitigate the impact of a spill; and 

• Procedures and point of contact 

information for coordinating shipboard 

action with national and local 

authorities in combating a pollution 

incident. 

In 1994, the Coast Guard issued 

regulations requiring all U.S. flag oil 

tankers of 150 gross tons and above and 

all other U.S. flag ships of 400 gross tons 

and above to carry approved SOPEPs 

(59 FR 51332, October 7, 1994). These 

regulations in 33 CFR part 151 

implemented the requirements of 

Regulation 26 of MARPOL Annex I and 

required foreign oil tankers of 150 gross 

tons and above and other foreign ships 

of 400 gross tons and above to carry on 

board a SOPEP approved by its flag 

State as evidence of compliance with 

Regulation 26 when in the navigable 

waters of the United States. 

Since 1994, the Coast Guard has 

updated our SOPEP regulations twice. 

Once, in 1997, to implement the 

provisions of Article 15 of the Protocol 

on Environmental Protection to the 

Antarctic Treaty and address response 

to pollution from vessels (62 FR 18045, 

April 14, 1997) and once in 2001, when 

we inserted a reference to IMO 

Resolution A.851(20) that had 

superseded an earlier IMO resolution 

(66 FR 55571, November 2, 2001). 

In 2004, the IMO MEPC adopted 

Resolution MEPC.117(52) that revised 

MARPOL Annex I and redesignated 

Regulation 26 as Regulation 37. This 

revision incorporated new SOPEP 

guidelines from IMO Resolution 

MEPC.86(44), which are intended to 

assist parties to MARPOL Annex I in 

developing regulations for domestic 

implementation of Regulation 37. These 

changes to Regulation 37 pertain to 

required SOPEP text, additional 

categories addressing steps to control 

discharges, crew personnel assignments, 

and required notifications. Also, 

Regulation 37 requires all oil tankers of 

5,000 tons deadweight or more to have 

prompt access to computerized, shorebased damage stability and residual 

structural strength calculation programs. 

While the oil tanker amendment is 

already reflected elsewhere in our 

domestic regulation, 33 CFR 155.240, 

this proposed rule would align our 

domestic SOPEP requirements in 33 

CFR 151.26 with the current 

international SOPEP requirements 

reflected in MARPOL Annex I, 

Regulation 37. 

F. Notice of Arrival Requirements and 

Vessel Response Plans 

Under authority of the Ports and 

Waterways Safety Act (PWSA) (Pub. L. 

92–340, 86 Stat. 424), as amended, the 

Coast Guard has established notice of 

arrival (NOA) requirements in 33 CFR 

part 160. These NOA regulations require 

certain vessels bound for a U.S. port or 

place to submit information to the Coast 

Guard, including information about the 

vessel and its voyage. 

These NOA regulations do not 

currently require submission of the 

vessel response plan control number 

assigned by the Coast Guard to VRPs. 

For purposes of protecting navigation 

and the marine environment, this VRPrelated addition to NOA reporting 

requirements is being proposed under 

authority of section 4 of the PWSA, 33 

U.S.C. 1223. This additional 

information would better enable the 

Coast Guard to determine if a vessel has 

an approved VRP geographic-specific 

appendix (GSA) for the Captain of the 

Port (COTP) zone in which the vessel 

intends to call. 

G. Customary International Law: 

Innocent Passage and Transit Passage 

Innocent Passage 

The Supreme Court has long held 

that, unless no other construction is 

possible, statutes of Congress must be 

construed consistent with those 

principles of international law 

recognized by the United States. 

Lauritzen v. Larsen, 345 U.S. 571, 578 

(1953); Murray v. The Charming Betsey, 

6 U.S. (2 Cranch.) 64, 118 (1804). The 

Coast Guard interprets ‘‘innocent 

passage’’ in territorial seas consistent 

with customary international law as 

reflected in the 1982 United Nations 

Convention on the Law of the Sea 

(UNCLOS), principally articles 17 

through 21. In 1983, President Reagan 

issued policy guidance for the Federal 

government, requiring compliance with 

the navigational provisions of the 

UNCLOS. All subsequent 

Administrations have confirmed that 

approach to the law of the sea, and have 

sought to promote the inclusive rights of 

innocent passage and transit passage in 

coastal waters worldwide. 

Existing vessel response plan 

regulations for tank vessels in 33 CFR 

part 155, subpart D, apply to vessels that 

operate on the navigable waters of the 

United States or transfer oil in a port or 

place subject to the jurisdiction of the 

United States, but specifically exclude 

foreign flag vessels merely engaged in 

innocent passage. See 33 CFR 

155.1015(c)(7). In this proposed rule, we 

are expanding the jurisdictional scope 

of the regulations. However, we have 

included an exception for foreign 

nontank vessels engaged in innocent 

passage. See proposed 33 CFR 

155.1015(c)(7) and 155.5015(c)(2). 

The requirement that a vessel 

response plan include geographicspecific appendices for each COTP zone 

a vessel transits has caused some 

confusion with respect to innocent 

passage through our territorial seas, 

perhaps because some COTP zones 

extend beyond the territorial seas and to 

the outer boundary of the exclusive 

economic zone (EEZ). See definition of 

COTP zone found in 33 CFR 155.1020. 

For purposes of nontank vessel response 

plan (NTVRP) regulations, our territorial 

seas extend out 12 nautical miles (nm) 

from the baseline from which the 

territorial sea is measured, 33 CFR 

2.22(a)(1), while the EEZ normally 

extends out 200 nm seaward of the 

baseline. 33 CFR 2.30. 

If a foreign flag vessel is subject to 

Coast Guard regulations requiring it to 

have a USCG-approved vessel response 

plan, it would also be required to have 

a Coast Guard approved geographicspecific appendix for each COTP Zone 

where it intends to operate or transit 

through. See existing 33 CFR 

155.1035(i), 155.1040(j) and 155.1045(i), 

and proposed 33 CFR 155.5035(i). 

However, a vessel merely engaged in 

innocent passage (see proposed 33 CFR 

155.1015(c)(7) and 155.5015(c)(2)) 

transiting through a COTP zone is not 

required to submit a vessel response 

plan. 

If a vessel is departing a foreign port 

and is bound for a U.S. port and must 

cross through one or several COTP 

zones in order to get there, the vessel 

would have to have a USCG-approved 

vessel response plan and an approved 

geographic-specific appendix for each of 

the COTP zones that it crosses, 

regardless if it intends to call upon the 

respective ports within these COTP 

zones to transfer cargo, take on bunkers, 

or engage in other activities. 

Geographic-specific appendices would 

need to be submitted and approved for 

each COTP zone that a vessel intends to 

transit through while calling upon the 

United States. 

Transit Passage 

Transit passage through straits used 

for international navigation is a more 

inclusive right than innocent passage, 

extending to aircraft overflights, 

submerged transits, and transits of other 


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vessels in their normal mode of 

operations. UNCLOS, Arts. 37–39. 

International law provides that vessels 

passing through U.S. waters in transit 

passage may not pollute, conduct any 

other activity not having a direct bearing 

on transit, or engage in activities 

otherwise proscribed by international 

law. UNCLOS, Arts. 37–39. In most 

respects, however, coastal States may 

not suspend or even hamper the right of 

vessels to engage in transit passage. 

UNCLOS, Art. 44. 

The term ‘coastal State’ in this 

proposed rule refers to a nation off 

whose coast a ship is transiting without 

calling at its internal waters, ports, or 

roadsteads. The explanation of this term 

is provided to assist the reader in 

understanding the provisions of this 

proposed rule, and is not intended as a 

comprehensive definition of this term. 

Nor is it to be understood to express a 

view as to the jurisdictional competence 

or authority of the nation in its capacity 

as a coastal State. 

One area of the United States where 

transit passage is of special concern is 

Unimak Pass in the Aleutian Islands. 

Unimak Pass is a strait used for 

international navigation located on the 

Great Circle Route from Asia to the West 

Coast of North America. Several 

thousand vessels a year use the Pass. 

Because the Pass narrows to as little as 

10 nm, the 12-nm territorial sea of the 

United States overlaps the waters of 

Unimak Pass. Although the United 

States is not yet Party to UNCLOS, the 

United States has long accepted the 

navigational provisions of the 

Convention, including Art. 34 through 

44 relevant to transit passage, as 

reflecting the applicable rules of 

customary international law. Vessels 

transiting Unimak Pass, other straits 

used for international navigation, and 

their approaches enjoy the right of 

transit passage. 

The United States may only exercise 

jurisdiction over foreign-flagged vessels 

engaged in transit passage through 

Unimak Pass if the vessel is either 

bound to or from a port or place in the 

United States, or has engaged in 

activities that international law 

proscribes, such as intentional acts of 

serious pollution. Acknowledging the 

applicable rules of customary 

international law, we propose to 

exclude foreign vessels in transit 

passage from VRP requirements when 

not bound for, or departing from, the 

United States. See proposed 33 CFR 

155.1015(c)(7) and 155.5015(c)(2). 

Although transit passage applies with 

respect to passage through straits, longstanding agreements between nations 

bordering a strait used for international 

navigation may limit transit rights. For 

example, the Saint Lawrence Seaway 

(SLS) is part of the Saint Lawrence River 

and is an international river governed 

by long-standing agreements between 

the United States and Great Britain/ 

Canada. Although, based solely on its 

geographic location and its extensive 

use for international navigation, it could 

potentially be considered an 

international strait under which the 

right of transit or non-suspendable 

innocent passage applies, Part III of 

UNCLOS (Straits Used for International 

Navigation) simply does not apply to 

the Saint Lawrence. The Danube River 

and the Turkish Straits offer examples 

of international waterways ‘‘in which 

passage is regulated in whole or in part 

by long-standing international 

conventions in force specifically 

relating to such straits.’’ UNCLOS, Art. 

35(c). Nothing in Part III of UNCLOS 

affects the long-standing legal regime in 

the Saint Lawrence River. 

The international negotiations dealing 

with the Saint Lawrence River go back 

as far as 1854, with serious additional 

discussions or agreements in 1871, 

1896, 1902, 1909, 1940, 1952, 1959, and 

1963. The Boundary Water Treaty 

concluded between the United States 

and the United Kingdom (for Canada) of 

January 11, 1909, was a particularly 

important watershed in the 

development of the Saint Lawrence 

River regime. The focus of these various 

bilateral agreements was on three key 

subjects: (1) The use of the river for 

navigation; (2) development of its 

potential to produce hydro-electric 

power; and (3) combating pollution. 

The U.S. Congress has enacted several 

statutes to carry out its international 

responsibilities with respect to the Saint 

Lawrence River. Particularly relevant is 

the establishment of the Saint Lawrence 

Seaway Development Corporation, 33 

U.S.C. 981–984, and the International 

Joint Commission, 22 U.S.C. 267b–268. 

These responsible agencies have issued 

implementing regulations. See, e.g., 33 

CFR part 401 and 22 CFR part 401. 

The U.S. Secretary of Transportation 

has delegated authority under Section 

1223, 1224, 1225, 1227, 1231, and 1232 

of Title 33 U.S.C. to the Administrator 

of the Saint Lawrence Seaway 

Development Corporation (SLSDC) with 

respect to the Saint Lawrence Seaway 

(SLS). The United States Coast Guard 

has jurisdiction over all remaining 

navigable waters of the United States. 

The U.S. Coast Guard and the SLSDC 

have established a Memorandum of 

Understanding (MOU) and a 

Memorandum of Agreement (MOA) to 

address areas of mutual interest and 

joint agency coordination. The current 

MOA was signed in May of 1992 and 

was last updated in March of 1997. The 

MOA addresses topics of concern such 

as policy, communications, ports and 

waterways safety, vessel traffic control, 

pilotage, pollution, vessel casualties, 

aids to navigation, search and rescue, 

vessel boardings, and ice breaking. The 

recent MOA was signed in February of 

2008 and addresses the collection of 

pre-arrival information from vessels 

entering the SLS system. 

Although the SLSDC has exclusive 

jurisdiction upon the SLS, the U.S. 

Coast Guard will, upon request and 

within its resources, assist the SLSDC in 

the execution of those responsibilities. 

The U.S. Coast Guard is the predesignated Federal On-Scene 

Coordinator (FOSC) for oil or hazardous 

materials spilled into the U.S. waters of 

the SLS. The USCG and the SLSDC have 

agreed that, among other goals, the basic 

goals of their joint oversight of vessels 

navigating upon the SLS is to ensure 

that 100 percent of vessels are cleared 

in advance of Montreal and to ensure 

that the international shipping on the 

Great Lakes and the SLS continues to 

meet high standards of safety and 

environmental protection. 

One of the points agreed upon by both 

the USCG and the SLSDC are protocols 

for both screenings and inspections of 

vessels. The SLSDC is authorized to ask 

the USCG to receive pre-arrival 

information for the SLSDC 

electronically using the USCG’s 

electronic Notice of Arrival/Departure 

(eNOAD) system. In July of 2007, the 

SLSDC requested that the USCG 

National Vessel Movement Center 

(NVMC) be the direct clearinghouse for 

arrival information for vessels bound for 

the SLS. 

Passage through the Saint Lawrence 

River and into the Great Lakes is 

completely regulated by the existing 

bilateral agreements and the 

implementing regulations. Although 

there is a general presumption both in 

international law and in the agreements 

that the Saint Lawrence River is freely 

open to international navigation, any 

vessel operator who wishes to take 

advantage of this presumption must 

comply with both the applicable U.S. 

and Canadian statutory and regulatory 

provisions. Therefore, this proposed 

rule would apply to vessels transiting 

through the Saint Lawrence River. 

Jurisdiction of vessels on the 

navigable waters of the United States is 

clearly conveyed by the FWPCA (33 

U.S.C. 1321(j)(5)). Since enforcement of 

the PWSA has been delegated to the 

SLSDC for the SLS, the Coast Guard 

works closely with the SLSDC regarding 

how vessels would be prohibited from 


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entering the SLS due to noncompliance 

with U.S. law. 

H. Definition of ‘‘United States’’ for 

Purposes of Vessel Response Plan 

Requirements 

While the FWPCA contains a 

definition of ‘‘United States’’, that 

definition does not control in this 

context. For purposes of vessel oil spill 

response plans, for tank and nontank 

vessels, the ‘‘United States’’ as defined 

in Presidential Proclamation 5928 and 

46 U.S.C. 114 establishes the geographic 

parameters for determining applicability 

of vessel oil spill response plan 

requirements as set forth in 33 U.S.C. 

132l(j)(5) (as amended). Because both 

OPA 90 and the 2006 Act incorporate by 

reference definitions of tank vessel and 

nontank vessel, respectively, from title 

46 of the United States Code, neither the 

definition of ‘‘United States’’ as set forth 

in OPA 90 (which created § 1321(j)(5)), 

nor as set forth in the FWPCA, applies 

to vessel oil spill response plan 

requirements. 

The pertinent portion of the 

controlling definition of ‘‘United 

States’’, unlike the FWPCA definition, 

does not include reference to the ‘‘Trust 

Territories of the Pacific Islands’’, but 

instead refers to ‘‘the Northern Mariana 

Islands, and any other territory or 

possession of the United States.’’ 46 

U.S.C. 114. Of the former Trust 

Territories of the Pacific Islands, only 

the Northern Mariana Islands is 

considered part of the geographic 

definition of the United States for 

purposes of this proposed rule. 

IV. Discussion of Proposed Rule 

This discussion provides a broad 

overview of our proposed changes to 

our SOPEP regulations, tank vessel oil 

spill response plan regulations, nontank 

vessel oil spill response plan 

regulations, and notice of arrival 

regulations. Immediately following the 

overview, we discuss specific sections 

of the regulatory text. 

Proposed Changes to SOPEP 

Regulations 

We propose alignment of our existing 

SOPEP regulations with current IMO 

MARPOL 73/78 Shipboard Oil Pollution 

Emergency Plan regulations. 

Compliance with our domestic SOPEP 

regulations serve as, among other things, 

evidence of compliance with IMO 

MARPOL 73/78 Annex I Regulations. 

The Coast Guard implemented 

MARPOL Annex I SOPEP standards in 

33 CFR part 151. However, since our 

implementation, IMO has made 

substantive changes to the international 

SOPEP standards. These changes 

resulted in the promulgation of new 

IMO SOPEP requirements found at 

MARPOL Annex I, Regulation 37 

(previously these requirements were 

located at Annex I, Regulation 26). 

Some of the changes found in 

Regulation 37 include: changes to 

required SOPEP text; changes to the 

categories for addressing steps to control 

discharges; changes for crew personnel 

assignment requirements; and updates 

to the required notifications in the event 

of an oil spill. (See generally, IMO 

Resolution MEPC.86(44).) Further, the 

IMO implemented a new section to 

Annex I requiring that all oil tankers of 

5,000 tons deadweight or more have 

prompt access to computerized, shorebased damage stability and residual 

structural strength calculation programs. 

(See generally, MEPC.117(52).) 

Amending our SOPEP regulations to 

reflect changes to the international 

standard will, among other things, 

negate the need for more than one oil 

spill response plan aboard a vessel. 

Proposed Changes to Existing Tank 

Vessel Response Plan Regulations 

We propose amendment to existing 

tank vessel response plan regulations 

found in 33 CFR part 155, subpart D, 

and the associated appendices (B and C) 

to ensure the relevant portions of that 

part are made applicable to nontank 

vessels and those nontank vessels 

carrying oil as a cargo. 

Proposed Nontank Vessel Response 

Plan Regulations 

The Coast Guard proposes new oil 

spill response plan regulations for 

nontank vessels within 33 CFR part 155, 

subpart J. This rulemaking will deliver 

field-tested and proven regulations to 

the nontank vessel community, 

facilitating one national planning 

standard for applicable vessels. Most of 

the criteria that would apply to nontank 

vessels (e.g., general plan provisions, 

qualified individual (QI) & alternate QI 

provisions, training, and exercise 

requirements) would remain relatively 

consistent with subpart D. However, 

there are areas where tank vessel 

planning standards would not be 

applicable due to the differences in 

potential risk posed by nontank vessels. 

The proposed resource requirements for 

a nontank vessel will be tiered, based on 

the vessel’s fuel and cargo oil capacity. 

This proposed rule would establish 

regulations under 33 U.S.C. 1321(j)(5) 

requiring response plans from owners or 

operators of nontank vessels, which are 

defined by statute as self-propelled 

vessels of 400 gross tons or greater that 

operate on the navigable waters of the 

United States as defined in 46 U.S.C. 

2101(17a), carry oil of any kind as fuel 

for main propulsion, and are not tank 

vessels. The proposed rule would 

specify the content of a response plan, 

including the requirement to plan for 

responding to a worst case discharge 

and a substantial threat of such a 

discharge. 

Proposed Changes to Notice of Arrival 

Regulations in 33 CFR Part 160 

We propose to amend 33 CFR part 160 

by requiring vessel owners and 

operators to submit their vessel 

response plan control number as part of 

the notice of arrival information. 

Section-specific Discussion of Proposed 

Rule Part 151 Discussion of Proposed 

Changes 

Section 151.09 Applicability (SOPEP) 

We propose to amend this section to 

relieve vessel owners and operators who 

satisfy nontank vessel oil spill response 

plan requirements under subpart J from 

the burden of preparing and 

maintaining a separate oil spill response 

plan for the purposes of meeting IMO 

MARPOL 73/78 Annex I, Regulation 37 

Shipboard Oil Pollution Emergency 

Plan requirements. 

Section 151.26 Shipboard Oil 

Pollution Emergency Plans (SOPEP) 

We propose to amend this section to 

align our SOPEP regulations with IMO 

Resolution MEPC.86(44) in the areas of 

oil spill reporting, contact information, 

mitigation procedures, and response 

coordination. Certain language, 

including use of the term ‘‘lightening,’’ 

is taken directly from the SOPEP 

development guidelines. Lightening is 

the process of making a vessel less 

heavy by removing certain items, such 

as oil, cargo (liquid or dry), and any 

other items that are not permanently 

affixed to the vessel. Further, we 

propose amending this section so as to 

harmonize the data set reporting 

requirements for SOPEP and VRP 

standards and to clarify the 

requirements for identifying the party 

responsible for reporting the data. Also, 

for the purpose of assisting with the 

interpretation of worst case discharge 

and the harmonization of our regulation 

with MEPC.86(44), we propose 

amending this section to clearly 

articulate requirements for the 

submission of plans, requirements for 

drawings and ship-specific details, and 

requirements for tank capacity 

descriptions. Next, we propose to 

amend mitigation activity requirements 

so as to align our regulation with 

Resolution MEPC.86(44) and harmonize 

existing tank vessel response plan 


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regulations with the proposed nontank 

vessel response plan mitigation 

activities. Lastly, we propose to amend 

§ 151.26 to align our regulation with 

Resolution MEPC.117(52), which 

requires oil tankers of 5,000 tons 

deadweight or more to have prompt 

access to computerized, shore-based 

damage stability and residual structural 

strength calculation programs. 

Sections 151.27 and 151.28 Plan 

Submission, Approval, Review, and 

Revision 

In § 151.27, we propose the removal 

of the Coast Guard’s practice of 

returning a copy of the approved plan, 

however we will continue to issue 

approval letters. 

In §§ 151.27 and 151.28, we propose 

the use of a Coast Guard form entitled 

‘‘Application for Approval/Revision of 

Vessel Pollution Response Plans’’ (CG– 

6083) as an optional alternative to a 

cover letter for a plan submission and 

approval application. When submitted 

properly, this application form would 

satisfy the two certification statement 

requirements for submission. 

Submissions would be sent to the Coast 

Guard’s Office of Vessel Activities (CG– 

543) and directed to the attention of that 

Office’s Vessel Response Plan Review 

Team. 

Part 155 Subpart D Discussion of 

Proposed Changes 

Section 155.1020 Tank Vessel 

Response Plan (TVRP) Definitions 

The vessels carrying oil as a 

secondary cargo definition was revised 

to direct vessels over the 400 gross tons 

limit to subpart J. In revising that 

definition, we introduced the term 

nontank vessel and have provided a 

definition for that term in this section. 

Sections 155.1065 and 155.1070 TVRP 

Plan Submission and Review 

Procedures 

In these sections we proposed 

amendments that would reference 

subpart J, where applicable, so as to 

provide vessel owners and operators 

with flexibility in adding nontank 

vessels to their existing tank vessel 

response plans in an effort to comply 

with both subparts D and J. 

We propose the use of Coast Guard 

form CG–6083. When submitted 

properly, this application form would 

satisfy the two certification statement 

requirements for submission. 

Part 155 Subpart J Discussion of 

Proposed Regulations 

Section 155.5010 Nontank Vessel 

Response Plan (NTVRP) Purpose 

In this section, we propose a 

description of the purpose of subpart J. 

We specifically note that the 

requirements set forth in the proposed 

rule are for improving oil spill response 

preparedness. The specific criteria for 

response resources and their arrival 

times are not performance standards. 

These proposed criteria are to be used 

by a vessel owner or operator in 

developing a plan to respond to a 

vessel’s worst case discharge or threat of 

such a discharge. The text in this 

section varies slightly from 33 CFR part 

155, subpart D, to specifically address 

nontank vessel response plans. 

Section 155.5012 Deviation From 

Response Plan 

This section of the proposed rule 

describes when an owner or operator of 

a nontank vessel may be permitted to 

deviate from an approved nontank 

vessel oil spill response plan. The 

‘‘Chaffee Amendment,’’ section 1144 of 

the Coast Guard Authorization Act of 

1996 [see Pub. L. 104–324, October 19, 

1996, 110 Stat 3901], amended the 

FWPCA regarding the use of spill 

response plans by stating that an 

‘‘owner or operator may deviate from 

the applicable response plan if the 

President or the Federal On-Scene 

Coordinator determines that deviation 

from the response plan would provide 

for a more expeditious or effective 

response to the spill or mitigation of its 

environmental effects.’’ See 33 U.S.C. 

1321(c)(3)(B). The Coast Guard 

interprets section 1144 as applicable to 

the use of contracted resources, 

qualified individuals, and other 

significant deviations from the plan. In 

the event of a marine casualty, the Coast 

Guard intends to give precedence to the 

Incident Action Plan (IAP) as developed 

by a Unified Command. The IAP may 

also include, as a sub plan, a salvage 

response plan, an emergency lightering 

plan, a shoreline clean up plan, etc. 

Section 155.5015 Applicability 

Paragraph (a). In this paragraph, we 

propose the applicability of subpart J to 

be those vessels that are not tank vessels 

carrying oil of any kind as fuel for main 

propulsion, that operate on the 

navigable waters of the United States, 

and are 400 gross tons or greater, as 

measured under the convention 

measurement system in 46 U.S.C. 14302 

or the regulatory measurement system of 

46 U.S.C. 14502 for vessels not 

measured under 46 U.S.C. 14302. 

Paragraph (b). In this paragraph, we 

propose the applicability requirements 

for integrated tug barge (ITB) units that 

do not carry oil in bulk on the barge. 

Paragraph (c). In this paragraph, we 

provide a list of vessels the Coast Guard 

proposes to exempt from complying 

with subpart J. The proposed 

exemptions include public vessels, 

foreign flag vessels engaged in innocent 

passage, certain foreign flag vessels 

engaged in transit passage, vessels 

carrying oil as a primary cargo, vessels 

that are not constructed to carry oil as 

fuel or cargo, permanently moored craft, 

and inactive vessels. 

Public vessels. We exempted public 

vessels from subpart J requirements, 

because 33 U.S.C. 1321(a) defined 

‘‘vessel’’ to exclude public vessels. 

Foreign flag vessels engaged in 

innocent passage. We proposed 

exemption of these vessels because of 

our recognition of the customary 

international law of the sea, as reflected 

in the UNCLOS. Our exemption of these 

vessels in this subpart is consistent with 

subpart D. For further information 

regarding foreign flag vessels engaged in 

innocent passage, please see 

Background and Purpose, section III.G. 

However, the public should take note 

that the Coast Guard intends to apply 

this proposed rule to foreign flag 

nontank vessels engaging in voyages to 

or from a port or place subject to the 

jurisdiction of the United States. 

Further, if a foreign flag vessel is subject 

to nontank vessel response plan 

requirements of this subpart, that 

foreign flag nontank vessel will also be 

required to have a Coast Guardapproved geographic-specific appendix 

for each COTP zone where it intends to 

operate or transit through bound for or 

departing from a port or place subject to 

the jurisdiction of the United States; this 

will be the standard regardless of 

whether the foreign flag vessel intends 

to call upon the respective ports within 

these COTP zones to transfer cargo, take 

on bunkers, etc. In contrast, when a 

nontank vessel is in innocent passage 

(see 33 CFR 155.5015(c)(2)) to a foreign 

port and must cross through a COTP 

zone (see definition in proposed 33 CFR 

155.1020) to get there, the submission 

and approval of a USCG vessel response 

plan is not required. 

Foreign flag vessels engaged in transit 

passage. We propose exemption of 

foreign flag vessels engaged in transit 

passage through a straight used for 

international navigation, unless bound 

for or departing from a port or place of 

the United States. For an in depth 

discussion on the Coast Guard’s 

interpretation of our proposed rule in 


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this area, please see Background and 

Purpose, section III.G. 

Vessels carrying oil as a primary 

cargo. All vessels carrying oil as a 

primary cargo that are required to 

submit a response plan under subpart D 

are exempt from subpart J. If you own 

or operate a vessel carrying oil as a 

secondary cargo, and that vessel is less 

than 400 gross tons, then your vessel 

would not be a nontank vessel by 

definition, and would be covered by 

subpart D (see proposed 33 CFR 

155.1020 ‘‘Vessels carrying oil as a 

secondary cargo’’). 

Vessels not constructed or operated in 

such a manner allowing it to carry oil 

of any kind. These vessels are proposed 

to be exempted, because they pose no 

oil spill risk. 

Permanently moored craft. We 

propose exemptions for those watercraft 

that are permanently moored or 

rendered incapable of movement 

because they do not fit the definition of 

‘‘vessel’’ under 1 U.S.C. 3 as interpreted 

by Stewart v. Dutra Construction Co., 

543 U.S. 481 (2005). Further, these 

watercraft represent minimal risk due to 

their immobile status. 

Inactive vessels. We propose 

exemptions for inactive vessels, as 

defined in § 155.5020, which is 

described immediately below. 

Section 155.5020 Definitions 

The definitions in 33 CFR 155.110 

and 155.1020 are applicable to nontank 

vessel response plans, unless otherwise 

defined in § 155.5020. 

In § 155.5020, we propose the 

following definitions: cargo, contract or 

other approved means, fuel, inactive 

vessel, integrated tug barge or ITB, 

maximum most probable discharge or 

MMPD, navigable waters of the United 

States, nontank vessel, oil spill removal 

organization or OSRO, permanently 

moored craft, qualified individual or QI 

and alternative qualified individual, 

substantial threat of such a discharge, 

tier, and worst case discharge or WCD. 

A proposed definition of cargo is 

introduced in subpart J to clarify that oil 

carried in addition to fuel used for 

propulsion of the vessel is considered to 

be cargo and is subject to the provisions 

of subpart J where applicable. 

A proposed definition of contract or 

other approved means describes the 

options for fulfilling the requirement for 

contracting or providing response 

resources. Paragraph (1) describes a 

written contract between a vessel owner 

or operator and the particular response 

resource provider. Paragraph (2) 

proposes requirements for self 

certification by the vessel owner or 

operator that it can provide the response 

resources required. Paragraph (3) 

describes requirements when a vessel 

owner or operator chooses an active 

membership with a local or regional 

response resource provider. Paragraph 

(4) is an agreement between the vessel 

owner or operator and a resource 

provider that the resource provider 

intends to commit the agreed upon 

resources in the event of a response. 

Finally, paragraph (5) specifically 

describes when the use of ‘‘other 

approved means’’ may be permissible as 

a method of ensuring the availability of 

response resources in lieu of a contract. 

It also describes six proposed categories 

of vessels that may be eligible to use 

‘‘other approved means’’ as a method of 

compliance. 

The Coast Guard interprets 33 U.S.C. 

1321(j)(5)(D)(iii) as imposing an 

obligation for nontank vessel owners 

and operators to ensure the availability 

of response resources by contract or 

other approved means. Thus, 

agreements including contracts between 

nontank vessel owners or operators and 

entities that do not physically control 

response equipment or entities that 

merely serve as conduits to the owners 

of the response equipment will not 

satisfy the statutory mandate of 33 

U.S.C. 1321(j)(5) nor will such contracts 

meet the requirements of proposed 

subpart J. 

A proposed definition of fuel is 

introduced to include oils of any kind, 

which may be used to supply power or 

lubrication for primary or auxiliary 

purposes aboard the vessel in which it 

is carried. This definition was drafted to 

convey that, when planning for a worst 

case discharge, the vessel owner or 

operator must include in their analysis 

all oils carried aboard as fuel or cargo. 

While only vessels that use oil for 

primary fuel and not auxiliary fuel are 

required to submit nontank vessel 

response plans, those nontank vessels 

that do carry auxiliary fuel must include 

auxiliary fuel in the total fuel capacity 

for nontank vessel response planning 

volume calculations. 

A proposed definition of inactive 

vessel is introduced to include those 

vessels taken out of service or placed in 

a laid up status, maintaining only the 

minimum amount of fuel necessary for 

the maintenance of the material 

condition of the vessel. Such vessels are 

not considered to be in operation on the 

navigable waters of the United States by 

virtue of the minimal threat they pose 

to the marine environment in that 

status. This section further proposes 

that the local Coast Guard Captain of the 

Port will determine whether an inactive 

vessel poses a threat to the marine 

environment, thereby requiring the 

submission of a vessel response plan. 

A proposed definition of an integrated 

tug barge or ITB is introduced to 

describe when these vessels, operating 

as a single unit (for example, nontank 

barge with machinery and tug) pose the 

same level of oil spill threat as a large 

freight vessel of the same aggregate 

tonnage. Beyond the definition 

introduced in § 155.5020, and consistent 

with Coast Guard Inspection Guidance 

Regarding Integrated Tug Barge 

Combinations (NVIC 2–81, Change 1), 

an integrated tug barge combination will 

be considered an ITB, when the tug: 

• Cannot operate with barges other 

than those barges specifically designed 

for joint operation with the tug; or 

• Cannot engage in hawser towing 

(does not meet the towline pull stability 

criteria or does not have necessary 

towing equipment installed); or 

• Requires significant reinforcement 

of internal structure to accommodate 

shelves, wedges or other interlocking 

mechanisms; or 

• Is restrained in the notch of a barge 

to the extent that the speed and weather 

operating capabilities of the combined 

unit approach those of a single vessel. 

A proposed definition of maximum 

most probable discharge or MMPD is 

introduced to provide that 2,500 barrels 

of discharged oil will be considered the 

maximum most probable discharge for 

those vessels with a fuel and cargo 

capacity equal or greater than 25,000 

barrels; for those vessels with fuel and 

cargo capacity of less than 25,000 

barrels, the maximum most probable 

discharge will be 10 percent of the 

vessel’s fuel and cargo capacity. 

Maximum most probable discharge is a 

required level of oil spill removal 

organization coverage necessary to 

address spill scenarios less than a 

vessel’s worst case discharge where the 

substantial threat of such a discharge 

may occur. Maximum most probable 

discharge planning standards are 

commonly applied to spills resulting 

from collisions, allisions, groundings, or 

other scenarios where a portion of a 

vessel’s oil capacity is discharged or 

could be discharged and an appropriate 

response is mounted to mitigate the 

impact of the resulting spill or to 

prevent a discharge from occurring. 

A proposed definition of navigable 

waters of the United States is 

introduced to clarify that for nontank 

vessels regulations the territorial seas is 

considered to be 12 nm seaward of the 

baseline. The authority to require 

nontank vessel response plans comes 

from sec. 311 of the FWPCA, 33 U.S.C. 

1321. Generally, for 33 U.S.C. chapter 

26, ‘‘navigable waters’’ means ‘‘the 


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waters of the United States, including 

the territorial seas,’’ 33 U.S.C. 1362(7). 

In 1972, when this ‘‘navigable waters’’ 

definition first appeared, our territorial 

seas were limited to 3 nm in breadth. 

(See sec. 502 (8) of FWPCA, Oct. 18, 

1972, Pub. L. 92–500, § 2, 86 Stat. 886, 

specifically limiting territorial seas to 3 

nm.) The Presidential Proclamation No. 

5928 of December 27, 1988, which 

extended the territorial seas of the 

United States to 12 nm, is not construed 

to have changed that 3 nm limit. 

However, in 2006, Congress revised the 

FWPCA and defined nontank vessels to 

include self-propelled vessels ‘‘on the 

navigable waters of the United States, as 

defined in section 2101(17a) of [46 

U.S.C.].’’ 33 U.S.C. 1321(a)(26). That 

Title 46 navigable waters definition 

‘‘includes all waters of the territorial sea 

of the United States as described in 

Presidential Proclamation No. 5928 of 

December 27, 1988,’’ which states 12 

nm. 33 CFR 2.22(a)(1). Therefore, while 

we generally construe seaward extent of 

FWPCA provisions to be limited to 3 nm 

out from our territorial sea baseline—see 

33 CFR 2.22(a)(2) (limiting territorial 

seas to 3 nm) and 2.28(a) (pointing to 3 

nm limit of territorial seas when 

defining FWPCA contiguous zone)—our 

NTVRP regulations would extend out to 

12 nm. 

A proposed definition of nontank 

vessel is introduced that is consistent 

with, and derived from, the 2004 and 

2006 Acts. Section 701 of the 2004 Act 

specified that an owner or operator of a 

self-propelled vessel of 400 gross tons or 

greater, which is a vessel of the United 

States or operates on the navigable 

waters of the United States and carries 

oil as fuel and is not a tank vessel, must 

prepare and submit an oil spill response 

plan. Section 608 of the 2006 Act 

clarified the tonnage applicability of 

this statutory requirement by setting the 

tonnage threshold as 400 gross tons or 

greater, as measured under the 

convention measurement system in 46 

U.S.C. 14302 or the regulatory 

measurement system of 46 U.S.C. 14502 

for vessels not measured under 46 

U.S.C. 14302. The 2006 Act further 

established that it applies to vessels that 

operate on the navigable waters of the 

United States, as described in 

Presidential Proclamation No. 5928, 

December 27, 1988. 

A proposed definition of oil spill 

removal organization or OSRO is 

introduced to describe who or what may 

be identified as an OSRO and the 

function(s) of an OSRO. This proposed 

definition is consistent with the Coast 

Guard’s OSRO Classification guidelines. 

For more information on the OSRO 

classification system, see http:// 

www.uscg.mil/hq/nsfweb/nsfcc/ops/ 

ResponseSupport/RRAB/ 

informationonclassifiedosros.html. 

A proposed definition of permanently 

moored craft is introduced to provide 

that permanently moored, or otherwise 

rendered practically incapable of 

transportation or movement, watercraft 

would not be considered to be vessels 

under subpart J, because they do not 

meet the statutory definition in 1 U.S.C. 

3, as interpreted by the Supreme Court 

in Stewart v. Dutra Construction Co., 

543 U.S. 481 (2005). Stewart v. Dutra 

addressed the concept of permanently 

moored vessels, and the language used 

by the court regarding a description of 

such vessels was used to develop the 

definition of ‘‘permanently moored 

craft’’ and exempt such craft from the 

proposed rule. For tank and nontank 

vessels, the controlling definition of 

vessel is in 46 U.S.C. 115, which cites 

1 U.S.C. 3. We propose that 

permanently moored craft be excluded 

from the nontank vessel response plan 

regulations under § 155.5015. 

A proposed definition of qualified 

individual or QI and alternative 

qualified individual is introduced, and 

provides that these individuals are 

shore-based representatives of a vessel 

owner or operator meeting specific 

requirements. This proposed definition 

is similar to subpart D. 

A proposed definition of substantial 

threat of such a discharge is introduced 

to include a threat of a discharge from 

fuel as well as cargo oil, as applicable 

to nontank vessels. 

A proposed definition of tier is 

introduced to describe the combination 

of required response resources and 

response times within which the 

response must arrive on scene. 

A proposed definition of worst case 

discharge or (WCD) is introduced to 

describe the discharge of a vessel’s 

entire fuel and cargo oil during adverse 

weather conditions. 

Section 155.5021 Operating 

Restrictions 

In this proposed section, we identify 

scenarios when a nontank vessel may 

not be permitted to operate on the 

navigable waters of the United States. 

These proposed operating restrictions 

are similar to those found in 

§ 155.1025(a). 

Section 155.5023 Interim Operating 

Authorization 

In this section, we propose interim 

operating authorization for nontank 

vessels up to 2 years after the date of 

submission of the oil spill response plan 

if the owner or operator has received 

written authorization from the Coast 

Guard to continue such operations. We 

also describe the proposed steps the 

vessel owner or operator should 

complete to obtain the interim 

authorization. These proposed 

requirements are aligned with 

§ 155.1025(c) and (d). 

Section 155.5025 One-Time Port 

Waiver 

In this section, we propose that an 

owner or an operator may seek one-time 

authorization to enter a geographicspecific area not covered by the nontank 

vessel response plan upon approval by 

a cognizant Captain of the Port. This 

provision could also be used in an 

emergency situation, such as an 

impending hurricane, where a vessel 

owner or operator may need to enter a 

geographic-specific area not covered by 

the nontank vessel response plan for a 

specified temporary period of time. The 

proposed requirements are aligned with 

§ 155.1025(e) to ensure consistency of 

this proposed procedure with the tank 

vessel response plan regulations. 

Section 155.5026 Qualified Individual 

and Alternate Qualified Individual 

In this proposed section, we introduce 

the requirement to identify a qualified 

individual and an alternate qualified 

individual that must be available to the 

vessel owner or operator 24 hours a day. 

Identification of a qualified individual 

and alternate qualified individual is a 

statutory requirement from 33 U.S.C. 

1321(j)(5) and is consistent with the 

existing qualified individual and 

alternate qualified individual 

requirements of 33 CFR 155.1026. 

Section 155.5030 Nontank Vessel 

Response Plan Requirements: General 

Content 

In this proposed section, we describe 

the general content of a nontank vessel 

response plan. The requirements were 

taken directly from the existing tank 

vessel requirements of 33 CFR 155.1030, 

and modified to fit the requirements of 

a nontank vessel. Section 155.5030(h) 

proposes that compliance with subpart 

J will constitute compliance with 33 

CFR 151.26 and Regulation 37 of Annex 

I of MARPOL 73/78, eliminating the 

need to prepare two separate oil spill 

response plans. Lastly, in order to meet 

statutory mandates, the general content 

of nontank vessel response plan 

requirements are proposed to be 

consistent with the national 

contingency plan (40 CFR part 300.210). 


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Section 155.5035 Nontank Vessel 

Response Plan Requirements: Specific 

Content 

In this section, we propose additional 

specific content requirements for 

nontank vessel response plans. Except 

where noted below, the requirements 

were taken directly from the existing 

tank vessel requirements of § 155.1035 

and were modified to fit nontank vessel 

requirements and ensure consistency 

with § 151.26 requirements for SOPEPs. 

Section 155.5035(a)(2) proposes the 

submission of the nontank vessel owner 

or operator’s mailing address, current email addresses, and telephone number 

to facilitate communications that are a 

central part of this plan. Section 

155.5035(b)(5)(i)(O) adds to the list of 

initial notification requirements, details 

of the vessel owner or operator’s 

pollution insurer, and/or Protection and 

Indemnity (P&I) Club and Local 

Correspondent, as applicable. Section 

155.5035(c) proposes regulations that 

align § 151.26 and Regulation 37 of 

Annex I of MARPOL 73/78 shipboard 

spill mitigation procedures with the 

existing requirements for shipboard 

mitigation procedures as listed in 

§ 155.1035(c). Section 155.5035(e) 

proposes an enhanced list of contact 

requirements to reflect the full spectrum 

of required response resources per 

proposed § 155.5050. This proposed 

section contains fewer requirements for 

nontank vessels with fuel and cargo 

capacities less than 2,500 barrels. 

Section 155.5035(k) proposes the 

additional requirements that U.S. 

nontank vessels, certificated for 

coastwise or oceans operating routes 

must meet for compliance with 

Regulation 37 of Annex I of MARPOL 

73/78. 

Section 155.5050 Response Plan 

Development and Evaluation Criteria for 

Nontank Vessels Carrying Groups I 

Through IV Petroleum Oil 

The proposed requirements for the 

response plan development and 

evaluation criteria for nontank vessels 

carrying groups I through IV petroleum 

oil as fuel or cargo are contained in this 

section. Except where noted below, the 

requirements were taken directly from 

the existing tank vessel requirements of 

§ 155.1050, however modified to 

address specific nontank vessel 

requirements. To the maximum extent 

practicable, a tiered approach is 

proposed to classify three separate 

categories of NTVRP response resource 

requirements based upon a vessel’s fuel 

and cargo oil capacity. See the proposed 

Table 155.5050(p), Nontank Vessel 

Response Plan Required Response 

Resources Matrix, to better understand 

the intended tiered strategy. 

Paragraph (a) of Section 155.5050

Criteria for Evaluating Operability of 

Response Resources 

This paragraph of the proposed rule, 

which adopts tank vessel criteria from 

§ 155.1050(a), identifies criteria that 

would need to be used to evaluate the 

operability of response resources 

identified in a nontank vessel response 

plan for specified operating 

environments. It directs that the criteria 

in 33 CFR part 155’s Appendix B, Table 

1 are to be used solely for identification 

of appropriate equipment in a response 

plan, and it notes these criteria do not 

reflect conditions that would limit 

response actions or affect normal vessel 

operations. Conditions identified in the 

Area Contingency Plans for the COTP 

zones in which the vessel operates, such 

as ice conditions, debris, temperature 

ranges, and weather-related visibility, 

would also need to be factored in. 

Paragraph (b) of Section 155.5050

Operating Environment Reclassification 

of Specific Bodies of Water 

This paragraph of the proposed rule, 

which adopts tank vessel requirements 

from § 155.1050(b), notes that a COTP 

may reclassify a specific body of water 

or location within the COTP zone to a 

more stringent operating environment or 

a less stringent operating environment 

based on the prevailing wave 

conditions. Any reclassifications would 

be identified in the applicable Area 

Contingency Plan. 

Paragraph (c) of Section 155.5050

Criteria for Response Equipment 

This paragraph, which adopts tank 

vessel requirements from § 155.1050(c), 

would require that response equipment 

meet or exceed the response resource 

operating criteria listed in 33 CFR part 

155’s Appendix B, Table 1, be capable 

of functioning in the applicable 

operating environment, and be 

appropriate for the petroleum oil 

carried. 

Paragraph (d) of Section 155.5050

Average Most Probable Discharge 

This paragraph of the proposed rule, 

like its tank vessel counterpart in 

subpart D, § 155.1050(d), would require 

nontank vessels that carry groups I 

through IV petroleum oil as cargo to 

ensure the availability of average most 

probable discharge (AMPD) resources by 

contract or other approved means. 

Nontank vessels that only carry groups 

I through IV oil as fuel would not have 

to ensure the availability of AMPD 

resources by contract or other approved 

means because the facility providing the 

bunker to the nontank vessel is already 

required to have planned for the AMPD 

resources covering the transfer. 

However, the owner or operator of a 

nontank vessel carrying groups I 

through IV oil as fuel would be required 

to plan for and identify the response 

resources required in § 155.1050(d)(1) 

for bunkering or fueling operations. 

Identification of a marine 

transportation-related (MTR) facility 

required to maintain a response plan 

under 33 CFR part 154 or a tank vessel’s 

oil spill response resources does not 

relieve a nontank vessel owner or 

operator from the responsibility to 

independently identify appropriate 

response resources within a COTP zone 

to respond to an AMPD. Permission 

from the AMPD response provider is not 

required for the purpose of listing this 

resource in a nontank vessel response 

plan for this planning and identification 

purpose. 

Paragraph (e) of Section 155.5050

Maximum Most Probable Discharge 

This paragraph of the proposed rule 

adopts tank vessel standards from 

§ 155.1050(e), but would impose one 

less requirement for nontank vessels 

with lower oil capacity. The owner or 

operator of a nontank vessel with a 

capacity of 250 barrels or greater 

carrying groups I through IV petroleum 

oil as fuel or cargo would need to 

comply with requirements in 

§ 155.1050(e) and identify in the 

response plan and ensure the 

availability of, through contract or other 

approved means, the response resources 

necessary to respond to a discharge up 

to the vessel’s maximum most probable 

discharge volume. 

Under this paragraph of the proposed 

rule, nontank vessels with an oil 

capacity of less than 250 barrels would 

only be required to identify response 

resources planned for in the nontank 

vessel response plan to be within the 

stipulated response times in the 

specified geographic areas, but these 

nontank vessels would not be required 

to ensure by contract that these 

resources be made available. 

Submission of a written consent from 

the response resource provider to be 

listed in the response plan would need 

to accompany the plan for approval. 

Compliance with these requirements 

would be considered to be consistent 

with the ‘‘other approved means,’’ 

paragraph (5) portion of the definition of 

‘‘Contract or other approved means’’ in 

33 CFR 155.5020. 


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Paragraph (f) of Section 155.5050

Worst Case Discharge 

This paragraph would adopt 

requirements from § 155.1050(f), but 

contains some provisions specific to 

nontank vessels carrying oil as fuel or 

cargo. The owner or operator of a 

nontank vessel with a capacity of 2,500 

barrels or greater carrying groups I 

through IV petroleum oil as fuel or cargo 

would need to comply with the 

requirements in § 155.1050(f) and 

identify in the response plan and ensure 

the availability of, through contract or 

other approved means, the response 

resources necessary to respond to 

discharges up to the worst case 

discharge volume of oil to the maximum 

extent practicable. 

Nontank vessels need only plan for 

Tier 1 response resources. In proposed 

§ 155.5020, tier is defined as the 

combination of required response 

resources and the times within which 

the resources must arrive on the scene, 

with the times being prescribed in 

§ 155.5050(g) and Tables 5 and 6 of 

Appendix B offering guidance on 

calculating the response resources 

required by a tier for given categories of 

area: higher volume port areas, the Great 

Lakes, and all other operating 

environments. 

Nontank vessels with a capacity of 

less than 2,500 barrels would not be 

required to contract with an OSRO that 

has a USCG classification to respond to 

a WCD level of response resources in 

order to comply with the statute’s 

requirement to plan for the vessels’ 

worst case discharge, because their total 

oil capacity can be completely covered 

by an OSRO with a USCG maximum 

most probable discharge (MMPD) 

classification rating. For additional 

information on USCG Classified OSROs, 

use the following link to download 

USCG OSRO Classification matrices: 

http://www.uscg.mil/hq/nsfweb/nsfcc/ 

ops/ResponseSupport/RRAB/ 

informationonclassifiedosros.html. 

Paragraph (g) of Section 155.5050 Tier 

1 Response Times 

This paragraph of the proposed rule is 

similar to tank vessel requirements in 

§ 155.1050(g), but would require 

nontank vessels to only plan for Tier 1 

response resources and response times: 

12 hours for higher volume port areas, 

18 hours for the Great Lakes, and 24 

hours for all other operating 

environments. 

Paragraph (h) of Section 155.5050

Planning Standards for the Mobilization 

and Response Times for Required 

MMPD and WCD Response Resources 

This paragraph of the proposed rule 

contains requirements similar to those 

in § 155.1050(h) for tank vessels. 

Section 155.5050(h) proposes the 

planning standards for the mobilization 

and response times for maximum most 

probable discharge (MMPD) and worst 

case discharge (WCD) response 

resources. 

Consistent with what are currently 

required for tank vessel response 

coverage, nontank vessels will be 

required to ensure that Tier 1 response 

resources are capable of being mobilized 

and enroute to the scene of a discharge 

within 2 hours of notification. The 

notification and mobilization of all 

required Tier 1 resources must be 

accomplished within 30 minutes or 

through notification of the qualified 

individual. 

To use an example, on November 7, 

2007, an oil spill response was initiated 

in San Francisco Bay in response to oil 

spilled from the M/V COSCO BUSAN. 

In that incident, the notification of the 

required MMPD resources was 

accomplished well within 30 minutes, 

and initial response resources were on 

scene well within the required 

timelines. 

Initial MMPD response resources 

began to arrive on scene within 45 

minutes of notification. San Francisco 

Bay is considered to be a higher volume 

port area (see proposed § 155.5020’s 

reference to definitions in § 155.1020), 

and 33 CFR part 155’s Appendix B, 

paragraph 4.3 stipulates that oil 

recovery devices necessary to meet the 

applicable maximum most probable 

discharge volume planning criteria must 

be located such that they can arrive on 

scene within 12 hours of the discovery 

of a discharge in higher volume port 

areas. Therefore, the initial response of 

resources to the M/V COSCO BUSAN 

incident was well within the planning 

standards for such oil spills. 

Paragraph (i) of Section 155.5050

Salvage, Emergency Lightering, and 

Marine Firefighting Requirements 

This proposed paragraph is designed 

to be consistent with § 155.1050(j), and 

vessels with a capacity of 2,500 barrels 

or greater would have to meet salvage, 

emergency lightering, and marine 

firefighting requirements in subpart I of 

33 CFR part 155. Nontank vessels with 

a capacity less than 2,500 barrels, but 

greater than or equal to 250 barrels, 

need only plan for and identify these 

response resources in the response plan 

but do not have to ensure these 

resources by contract or a previous 

funding agreement. Nontank vessels 

with a capacity less than 250 barrels 

need only plan for and identify salvage 

response resources in the response plan, 

but do not have to ensure by contract or 

a previous funding agreement. See 33 

CFR 155.5020, ‘‘Contract or other 

approved means,’’ paragraph (5). 

Paragraph (j) of Section 155.5050

Dispersants 

This proposed paragraph is designed 

to be consistent with § 155.1050(k) and 

it is proposed that vessels with a 

capacity of 2,500 barrels or greater 

would be required to ensure the 

availability of these response resources 

by contract or other approved means. 

Only Tier 1 for dispersant effective daily 

application capability (EDAC) would 

need to be met for nontank vessels. 

Nontank vessels with a capacity of less 

than 2,500 barrels, but greater than or 

equal to 250 barrels, would need to plan 

for and identify dispersant response 

resources per the other approved means 

standard described previously. 

Paragraph (k) of Section 155.5050

Aerial Oil Spill Tracking and 

Observation Response Resources 

This proposed paragraph adopts tank 

vessel requirements from § 155.1050(m). 

It is proposed that nontank vessels with 

a capacity of 2,500 barrels or greater 

would be required to ensure the 

availability of these response resources 

by contract or other approved means. 

Nontank vessels with a capacity of 

less than 2,500 barrels, but greater than 

or equal to 250 barrels, would need to 

plan for and identify aerial oil spill 

tracking and observation response 

resources under the other approved 

means standard described previously. 

The nontank vessel owner or operator 

would also be required to submit a 

written consent to be listed in the plan 

from the recognized response resource 

provider when submitting a plan for 

approval or revision. Compliance with 

these requirements would be considered 

to be consistent with the ‘‘other 

approved means,’’ paragraph (5) portion 

of the definition of ‘‘Contract or other 

approved means’’ in 33 CFR 155.5020. 

Paragraph (l) of Section 155.5050

Response Resources Necessary To 

Perform Shoreline Protection 

Operations 

This proposed paragraph adopts 

requirements from § 155.1050(n). It 

would require the owners and operators 

of nontank vessels carrying groups I 

through IV petroleum oil as fuel or cargo 

with a capacity of 250 barrels or greater 


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to identify in the response plan, and 

ensure the availability of, through 

contract or other approved means, 

response resources necessary to perform 

shoreline protection operations. The 

response resources must include the 

quantities of boom listed in 33 CFR part 

155’s Appendix B, Table 2, based upon 

the specific COTP zones in which the 

vessel operates. 

Paragraph (m) of Section 155.5050

Shoreline Cleanup Operations 

This paragraph of the proposed rule 

adopts tank vessel requirements from 

§ 155.1050(o). It would require the 

owner or operator of a nontank vessel 

carrying groups I through IV petroleum 

oil as fuel or cargo with a capacity of 

250 barrels or greater to identify in the 

response plan, and ensure the 

availability of, through contract or other 

approved means, an oil spill removal 

organization capable of effecting a 

shoreline cleanup operation 

commensurate with the quantity of 

emulsified petroleum oil to be planned 

for in shoreline cleanup operations. 

These shoreline cleanup resources 

required would need to be determined 

as described in 33 CFR part 155’s 

Appendix B. 

Paragraph (n) of Section 155.5050

Practical and Technical Limits of 

Response Capabilities 

This paragraph of the proposed rule, 

which adopts tank vessel criteria from 

§ 155.1050(p), notes that Appendix B of 

33 CFR part 155 sets out response 

capability capacities (caps) that 

recognize the practical and technical 

limits of response capabilities for which 

an individual vessel owner or operator 

can contract in advance. Table 6 in 

Appendix B lists the contracting caps 

that are applicable. 

The owner or operator of a nontank 

vessel carrying groups I through IV 

petroleum oil as fuel or cargo, with a 

capacity of 2,500 barrels or greater, 

whose required daily recovery capacity 

exceeds the applicable contracting caps 

in Table 6, would need to identify 

commercial sources of additional 

equipment equal to twice the cap listed 

for Tier 1 or the amount necessary to 

reach the calculated planning volume, 

whichever is lower, to the extent that 

this equipment is available. The 

equipment so identified would need to 

be capable of arriving on scene no later 

than the applicable tier response times 

contained in proposed § 155.5050(g) or 

as quickly as the nearest available 

resource permits. A response plan 

would need to identify the specific 

sources, locations, and quantities of this 

additional equipment. No contract, 

however, would be required. 

Paragraph (o) of Section 155.5050

Review of Response Capability Limits 

This paragraph of the proposed rule, 

which adopts tank vessel criteria from 

§ 155.1050(q), notes that the Coast 

Guard will continue to evaluate the 

environmental benefits, cost efficiency, 

and practicality of increasing 

mechanical recovery capability 

requirements. This continuing 

evaluation is part of the Coast Guard’s 

long-term commitment to achieving and 

maintaining an optimum mix of oil spill 

response capability across the full 

spectrum of response modes. As best 

available technology demonstrates a 

need to evaluate or change mechanical 

recovery capacities, a review of cap 

increases and other requirements 

contained within this subpart may be 

performed. 

Paragraph (p) of Section 155.5050

Nontank Vessel Response Plan Required 

Response Resources Matrix 

The table in this paragraph of the 

proposed rule summarizes nontank 

vessel response resources that would be 

required under the proposed rule. It 

shows the tiered regulatory approach 

toward how the requirements of 

§ 155.5050 apply to various nontank 

vessels with a fuel and cargo capacity of 

less than 250 barrels, between 250 

barrels and 2,500 barrels, and 2,500 

barrels or greater. 

Section 155.5052 Response Plan 

Development and Evaluation Criteria for 

Nontank Vessels Carrying Group V 

Petroleum Oil 

This section of the proposed rule, 

which adopts the tank vessel 

requirements of § 155.1052, would 

require owners and operators of nontank 

vessels that carry group V petroleum oil 

as fuel or cargo to provide information 

in their plan that identifies procedures 

and strategies for responding to 

discharges up to a worst case discharge 

of group V petroleum oils to the 

maximum extent practicable, and that 

identifies sources of the equipment and 

supplies necessary to locate, recover, 

and mitigate such discharges. 

The owner or operator would need to 

ensure that: 

• Any equipment identified in a 

response plan is capable of operating in 

the conditions expected in the 

geographic area(s) in which the nontank 

vessel operates, and consider the 

limitations identified in the Area 

Contingency Plans for the COTP zones 

in which the vessel operates; 

• Through contract or other approved 

means, equipment identified in this 

section, including sonar, sampling 

equipment for locating the oil on the 

bottom or suspended in the water 

column, sorbent boom, silt curtains, 

dredges, pumps, or other equipment 

necessary to recover oil from the bottom 

and shoreline is made available and 

capable of being deployed within 24 

hours of discovery of a discharge to the 

port nearest the area where the vessel is 

operating. 

The owner or operator of a nontank 

vessel carrying group V petroleum oil as 

fuel or cargo would also need to identify 

in the response plan and ensure the 

availability, through contract or other 

approved means, a salvage company 

with appropriate expertise and 

equipment, a company with vessel 

firefighting capability that will respond 

to casualties in the area(s) in which the 

vessel is operating, and that the 

intended sources of these resources are 

capable of being deployed to the areas 

in which the vessel will operate. 

In addition, the owner or operator 

would be required to identify in the 

response plan and ensure the 

availability of certain equipment 

facilitating ship-to-ship transfers of fuel 

or cargo in an emergency, including 

fendering equipment, transfer hoses, 

portable pumps and ancillary 

equipment, and lightering vessels. And 

these identified resources would need to 

be capable of reaching the locations in 

which the vessel operates within 12-to36 hours depending on the type of water 

(e.g., inland, offshore, or open ocean). 

Section 155.5055 Training 

This section of the proposed rule, 

which adopts the requirements of 

§ 155.1055 for tank vessels, describes 

the training requirements that an owner 

or operator of a nontank vessel must 

identify in his or her plan. The 

proposed rule does not require training 

in specific subjects or minimum training 

periods, but instead it requires a vessel 

owner or operator to identify the 

training programs they will establish or 

adopt to train any person with 

responsibilities in the response plan. 

The training may vary widely based 

on those responsibilities. For example, a 

vessel’s master would need different 

training than the engineer responsible 

for internal cargo transfers, just as the 

qualified individual would need 

different training than the cleanup 

manager in the vessel owner or 

operator’s shore-based spill 

management team. This proposed 

section would require that the training 

program identified in the plan 

differentiate between training provided 


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to vessel personnel and shore-based 

personnel. This section points to 33 CFR 

155’s Appendix C, described below, as 

providing additional training guidance. 

Under this proposed section, the 

owner or operator of a nontank vessel 

would need to maintain records 

sufficient to document training and 

make them available for inspection 

upon request by the Coast Guard, and 

ensure that any oil spill removal 

organization identified in its response 

plan also maintains records sufficient to 

document training for the organization’s 

personnel. The owner or operator of the 

nontank vessel would need to maintain 

its training records for 3 years. 

Section 155.5060 Exercises 

This section of the proposed rule 

would require a nontank vessel owner 

or operator to conduct, as necessary, 

announced and unannounced exercises 

to ensure that the plan will function in 

an emergency. This proposed section 

adopts the minimum exercise 

requirements from § 155.1060 for tank 

vessels, as well as its requirements to: 

• Participate in unannounced 

exercises, as directed by the COTP, 

• Participate in Area exercises as 

directed by the applicable on-scene 

coordinator, and 

• Maintain adequate records for 3 

years following completion of the 

exercises. 

This proposed section also adopts 

§ 155.1060’s provision that compliance 

with the National Preparedness for 

Response Exercise Program (PREP) 

Guidelines will satisfy nontank vessel 

response plan exercise requirements, as 

will an alternative program that meets 

the minimum exercise requirements and 

has been approved under alternative 

planning criteria in proposed 

§ 155.5067. 

Section 155.5062 Inspection and 

Maintenance of Response Resources 

This proposed section, which adopts 

the corresponding tank vessel 

requirements in § 155.1062, would 

require nontank vessel owners or 

operators to ensure that containment 

boom, skimmers, vessels, and other 

major equipment listed or referenced in 

a vessel response plan are periodically 

inspected and maintained in good 

operating condition, in accordance with 

manufacturer’s recommendations and 

best commercial practices. This 

proposed section notes that the Coast 

Guard may visit equipment locations 

listed in response plans to: 

• Verify that the equipment 

inventories exist as represented; 

• Verify that the records of inspection 

and maintenance reflect the actual 

condition of the equipment; and 

• Inspect and require operational 

tests of equipment to verify readiness. 

Section 155.5065 Procedures for Plan 

Submission and Approval 

This section of the proposed rule 

identifies the procedures for submission 

and approval of response plans. The 

owner or operator of a nontank vessel 

would need to submit a complete vessel 

response plan, written in English, along 

with a statement certifying that the plan 

meets the requirements of subpart J as 

well as any applicable requirements in 

subparts D, E, F, or G. 

In addition, the submission would 

need to include a statement specifically 

certifying that the ‘‘owner or operator 

has ensured the availability of, through 

contract or other approved means, the 

necessary private resources to respond, 

to the maximum extent practicable, to a 

worst case discharge or substantial 

threat of such a discharge from their 

vessel.’’ 

We propose the use of a Coast Guard 

form entitled ‘‘Application for 

Approval/Revision of Vessel Pollution 

Response Plans’’ (CG–6083) as an 

optional alternative to a cover letter for 

a plan submission and approval 

application. When submitted properly, 

this application form would satisfy the 

two certification statement requirements 

for submission. Submissions would be 

sent in paper format to the Coast 

Guard’s Office of Vessel Activities (CG– 

543), and directed to the attention of 

that Office’s Vessel Response Plan 

Review Team. 

The proposed requirements of 

§ 155.5065 are derived from tank vessel 

requirements in § 155.1065 to ensure 

consistency with the procedures for 

vessel response plan submission and 

approval, but have been modified to be 

consistent with subpart J applicability. 

Additionally, appeal and alternative 

planning criteria procedures have been 

removed and put in their own 

respective sections. 

Section 155.5067 Alternative Planning 

Criteria 

This section of the proposed rule 

would allow the submission of a request 

for acceptance of alternative planning 

criteria from the owner or operator of a 

vessel who believes that national 

planning criteria contained elsewhere in 

33 CFR part 155 are inappropriate, and 

explains who in the Coast Guard will 

grant or deny the request. The proposed 

requirements for alternative planning 

criteria have been derived from 

§ 155.1065(f) and expanded to identify 

essential elements of the request, and to 

require the endorsement (either 

favorable or unfavorable) of the COTP 

with jurisdiction over the geographic 

areas at issue before the request may be 

considered by the Coast Guard’s Office 

of Vessel Activities (CG–543). 

There are numerous remote areas in 

Alaska, as well as Guam and American 

Samoa, where it is noted that the level 

of required response resources do not 

meet the national planning 

requirements even for tank vessels 

under subpart D. It is anticipated that 

nontank vessels that transit or plan to 

transit these remote areas may have 

initial difficulty in meeting the 

proposed requirements of subpart J. 

Once the final regulations are 

implemented for subpart J, it is expected 

that any vessel owner or operator 

required, but unable, to meet the 

requirements due to this reason will 

meet with the cognizant Coast Guard 

Captain of the Port to discuss what 

resources are available and what 

alternative planning and mitigation 

strategies can be put in place to receive 

authorization for operations in these 

areas. We encourage Area [Planning] 

Committees, established under the 

National Contingency Plan (40 CFR 

300), to address this issue and facilitate 

solutions to include recommending 

acceptable alternative planning criteria 

for nontank vessel response plan 

approval and building up required 

response resources in applicable areas. 

Section 155.5070 Procedures for Plan 

Review, Revision, and Amendment 

This section of the proposed rule 

would require nontank vessel owners or 

operators to review their response plans 

annually to ensure that the plan 

information is current. This review must 

occur within one month of the 

anniversary date of Coast Guard 

approval of the plan. Also, a vessel 

owner or operator would be required to 

submit a letter to Coast Guard certifying 

that they have conducted this review. 

These proposed requirements in 

§ 155.5070 are derived from § 155.1070 

to ensure consistency with the 

procedures for tank vessel response plan 

review, revision, and amendment 

procedures, except for the following. To 

be consistent with plan review and 

revision requirements in 33 CFR 

151.28(a), the owner or operator of a 

nontank vessel must submit a letter to 

the Coast Guard certifying that the 

annual review has been completed. This 

certification is necessary even if no 

changes have occurred. 

We propose the use of a Coast Guard 

form entitled ‘‘Application for 

Approval/Revision of Vessel Pollution 


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Response Plans’’ (CG–6083) as an 

optional alternative to a cover letter for 

a plan annual review. When submitted 

properly, this application form would 

satisfy the annual review requirements 

found in proposed § 155.5070. 

Submissions would be sent to the Coast 

Guard’s Office of Vessel Activities, and 

directed to the attention of that Office’s 

Vessel Response Plan Review Team. 

Section 155.5075 Appeal Procedures 

Consistent with tank vessel 

procedures in §§ 155.1065(h) and 

155.1070(f), we propose allowing a 

nontank vessel owner or operator who 

disagrees with a deficiency 

determination to submit a petition for 

reconsideration to the Coast Guard and 

to appeal a Coast Guard decision not to 

approve the owner or operator’s NTVRP. 

A petition for reconsideration of a 

deficiency determination would need to 

be filed within the period required for 

compliance or within 5 days from 

receipt of the notice of deficiency 

determination to the owner or operator, 

whichever date occurs first. For 21 days 

following notification that a NTVRP is 

not approved, the vessel owner or 

operator would be allowed to appeal 

that determination to the Assistant 

Commandant for Marine Safety, 

Security, and Stewardship. 

Appendix B of 33 CFR 155 

Appendix B of 33 CFR part 155 

describes the procedures for identifying 

response resources to meet VRP 

requirements of subparts D, E, F, and G. 

We propose revising Appendix B so that 

it also addresses our proposed addition 

of NTVRP regulations in subpart J. 

In Appendix B paragraphs 1.1, 2.6, 

and 2.7, which describe the purpose of 

the Appendix and describe equipment 

operability and readiness, we simply 

propose adding a reference to subpart J. 

In paragraph 4.2.2 of Appendix B, we 

propose changing the 10 percent 

measure from ‘‘total cargo oil capacity’’ 

to ‘‘total oil capacity’’ in reference to 

maximum most probable discharge. 

Section 3 of Appendix B deals with 

determining response resources 

required for the AMPD. In paragraph 

3.1, after the words ‘‘vessel owner or 

operator,’’ we propose adding the words 

‘‘as applicable under the regulations 

prescribed in this part.’’ Also, after the 

reference to a vessel carrying oil as a 

primary cargo, we propose adding ‘‘or a 

nontank vessel carrying oil as cargo as 

required by subpart J.’’ 

Section 5 of Appendix B deals with 

determining response resources 

required for the WCD to the maximum 

extent practicable. In paragraphs 5.1, 

and 5.3 through 5.7, after the words 

‘‘vessel owner or operator,’’ we propose 

adding the words ‘‘as applicable under 

the regulations prescribed in this part.’’ 

In paragraph 5.2, we propose to insert 

a reference to § 155.5050(g) when 

identifying the applicable tier for 

response time. 

Section 7 of Appendix B describes 

determining the WCD planning 

volumes. In paragraphs 7.1, 7.2, and 

7.2.4, after the words ‘‘vessel owner or 

operator,’’ we propose inserting the 

words ‘‘as applicable under the 

regulations prescribed in this part.’’ In 

paragraph 7.2.3, we propose inserting a 

clarifying statement that for nontank 

vessels, only Tier 1 is to be used with 

the oil recovery resource mobilization 

factor in determining the total on-water 

oil recovery capacity that must be 

identified or contracted for to arrive on 

scene within the applicable time for 

each response tier. In paragraph 7.2.4, 

we propose deleting a sentence on 

exceeding the 1993 planning volume 

cap that is no longer needed. In 

paragraph 7.3.1, we propose changing 

‘‘total volume of oil cargo carried’’ to 

‘‘total volume of oil carried.’’ 

Section 8 of Appendix B provides 

guidance on determining the availability 

of high-rate response methods. In 

paragraph 8.1.1, after the words ‘‘vessel 

owner or operator,’’ we propose adding 

the words ‘‘as applicable under the 

regulations prescribed in this part.’’ 

Appendix C of 33 CFR 155 

Appendix C of 33 CFR part 155 

provides guidance to owners and 

operators of vessels on the development 

of the training portions of their response 

plans. We propose revising Appendix C 

so that it also addresses our proposed 

addition of NTVRP regulations in 

subpart J. 

In Appendix C, section 2, the 

elements-to-be-addressed section, we 

propose: 

• Expanding organizational activities 

in paragraph 2.2.3.1 from ‘‘cargo 

transfers’’ to ‘‘fuel and cargo transfers’’ 

in reference to procedures to mitigate or 

prevent any discharge or a substantial 

threat of a discharge of oil; 

• Adding a suspected fuel tank leak 

in paragraph 2.2.14 to the list of items 

for which action must be taken; and 

• Changing information on ‘‘cargoes 

handled’’ to information on ‘‘oil 

handled’’ in paragraph 2.2.15. 

For paragraphs within 2.2.15, we 

propose adding ‘‘(including oil carried 

as fuel)’’ to paragraph 2.2.15.1 in 

reference to cargo material safety data 

sheets; and in reference to chemical 

properties, special handling procedures, 

health and safety hazards, and spill and 

firefighting procedures, we propose 

revising ‘‘cargo’’ in paragraphs 2.2.15.2 

through 2.2.15.5 to ‘‘all oils carried as 

fuel or cargo.’’ 

33 CFR 160.206 Information Required 

in an NOA 

The proposed rule would amend 33 

CFR part 160 by adding a requirement 

for vessel owners or operators to include 

the USCG vessel response plan control 

number in the notice of arrival 

submission. As noted in Section III.F, 

the VRP control number would better 

enable the Coast Guard to determine if 

the vessel has an authorized GSA for 

each of the USCG Captain of the Port 

Zones through which the vessel intends 

to transit. VRP GSA requirements are 

contained in proposed 33 CFR 

155.5035(i) for nontank vessels, and in 

33 CFR 155.1035(i), 155.1040(j), and 

155.1045(i) for vessels subject to subpart 

D. For those vessels that are covered by 

more than one response plan, 

submission of the VRP control number 

will notify the Coast Guard as to which 

plan they are operating under. 

V. Incorporation by Reference 

Material proposed for incorporation 

by reference appears in § 155.5035. You 

may inspect this material at U.S. Coast 

Guard Headquarters where indicated 

under ADDRESSES. Copies of the material 

are available from the sources listed in 

§ 155.140. 

Before publishing a binding rule, we 

will submit this material to the Director 

of the Federal Register for approval of 

the incorporation by reference. 

VI. Regulatory Analyses 

We developed this proposed rule after 

considering numerous statutes and 

executive orders related to rulemaking. 

Below we summarize our analyses 

based on 13 of these statutes or 

executive orders. 

A. Executive Order 12866 

This proposed rule is not a significant 

regulatory action under section 3(f) of 

Executive Order 12866, Regulatory 

Planning and Review, and does not 

require an assessment of potential costs 

and benefits under section 6(a)(3) of that 

Order. OMB has not reviewed it under 

that Order. 

A combined Regulatory Analysis and 

an Initial Regulatory Flexibility 

Analysis is available in the docket 

where indicated under the ‘‘Public 

Participation and Request for 

Comments’’ section of this preamble. A 

summary of the analysis follows: 

The proposed rule would implement 

the statutory requirements in 33 U.S.C. 

1321(j)(5) for a U.S. and foreign flag 

vessel owner or operator to prepare and 


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submit an oil spill response plan to the 

Coast Guard. The type of vessels 

affected would be self-propelled, 

nontank vessels of 400 tons or greater as 

measured under the convention 

measurement system or regulatory 

measurement system, which operate on 

the navigable waters of the U.S., and 

carries oil of any kind as fuel for main 

propulsion. 

The proposed rule would specify the 

content of a response plan, including 

the requirement to plan for a response 

to a worst-case discharge and a 

substantial threat of such a discharge. 

The proposed rule would also specify 

the procedures for submitting a plan to 

the Coast Guard. 

There are four cost elements 

associated with this proposed rule: (1) 

The cost for nontank vessel plan 

development, maintenance, and 

submission (2) the cost for a nontank 

vessel owner or planholder to obtain the 

service of an Oil Spill Response 

Organization (OSRO), (3) the cost for a 

nontank vessel owner or planholder to 

contract with a Qualified Individual (QI) 

along with a Spill Management Team 

(SMT), and (4) the cost for training and 

exercises. 

We base the cost estimates for plan 

development on information contained 

in an OMB-approved collection of 

information (OMB 1625–0066). We base 

the cost estimates associated with 

exercises on a combination of 

information from the Bureau of Labor 

Statistics (BLS), the General Services 

Administration, the OMB-approved 

collection of information, publicly 

available information from OSRO 

contractors, and other industry 

information. The OSRO and QI/SMT 

costs are based upon information that 

we received from contacting plan 

preparers. 

We estimate this proposed rule would 

affect about 2,951 U.S. flag vessels and 

1,228 associated planholders. We 

estimate the proposed rule would also 

affect about 9,264 foreign flag vessels 

and about 1,544 associated planholders. 

We present the costs of this proposed 

rule in 2008 dollars and discount these 

costs to their present value (PV) over a 

10-year period of analysis, 2009–2018, 

using 7 and 3 percent discount rates. We 

also estimate annualized costs of this 

proposed rule over the same 10-year 

period of analysis. We estimate the total 

10-year PV cost of this proposed rule to 

U.S. flag nontank vessel owners and 

operators to be about $111.4 million at 

a 7 percent discount rate and $134.8 

million at a 3 percent discount rate. We 

found the training and exercise 

requirements to be the most costly 

element, or over 90 percent of the total 

discounted cost of the proposed rule for 

vessel owners. We estimate the total 

U.S. annualized cost of this proposed 

rule over the 10-year period of analysis 

to be about $15.8 million at both 

discount rates. 

We estimate the total 10-year PV cost 

of this proposed rule to foreign flag 

nontank vessels owners and operators to 

be about $151.6 million at a 7 percent 

discount rate and $183.6 million at a 3 

percent discount rate. We estimate 

annualized costs of this proposed rule to 

foreign flag nontank vessel owners and 

operators over the 10-year period of 

analysis to be about $21.6 million at 

both discount rates. See Table 1 below. 

TABLE 1—SUMMARY OF TOTAL 10-YEAR DISCOUNTED COSTS OF THE PROPOSED RULE

[2009–2018, 7 and 3 Percent discount rates, $Millions] 

Discount rates 

Cost item 7 Percent 3 Percent 

U.S. vessel costs: 

Plan Development ........................................................................................................................................ $5 .3 $6 .0 

Contracted OSRO Service ........................................................................................................................... 0 .46 0 .56 

QI/SMT ......................................................................................................................................................... 5 .7 6 .9 

Training, Drilling, and Exercises ................................................................................................................... 99 .9 121 .4 

Total U.S. Vessel Cost .......................................................................................................................... 111 .4 134 .8 

Total U.S. Annualized Cost ................................................................................................................... 15 .8 15 .8 

Foreign vessel costs: 

Plan Development ........................................................................................................................................ 6 .7 7 .5 

Contracted OSRO Service ........................................................................................................................... 1 .5 1 .8 

QI/SMT ......................................................................................................................................................... 17 .8 21 .7 

Training, Drilling, and Exercises ................................................................................................................... 125 .7 152 .6 

Total Foreign Vessel Cost ..................................................................................................................... 151 .6 183 .6 

Total Foreign Annualized Cost .............................................................................................................. 21 .6 21 .6 

Total Cost of Proposed Rule ................................................................................................................. 263 .0 318 .4 

Note: Totals may not sum due to rounding. 

We estimate the total cost of the 

proposed rule to both the U.S. and 

foreign fleets over the 10-year period of 

analysis to be $263.0 or $318.4 million 

at 7 and 3 percent discount rates, 

respectively, with an annualized cost of 

about $37.4 million at both discount 

rates. We expect this proposed rule to 

provide quantifiable benefits in the form 

of barrels of oil not spilled into the 

water in addition to qualitative benefits, 

which include improved preparedness 

and reaction to an incident, including a 

worst-case discharge, and improved 

effectiveness of onboard and shore-side 

response activities. 

We based quantifiable benefits on a 

review of marine casualty cases from 

our Marine Information for Safety and 

Law Enforcement (MISLE) database for 

the period 2002–2006 in order to obtain 

casualty reports involving selfpropelled, nontank vessels of 400 gross 

tons or greater that operated on the 

navigable waters of the U.S. and that 

carried oil of any kind as fuel for main 

propulsion. 

We estimate the proposed rule would 

prevent between 2,014 and 2,446 barrels 

of oil from being spilled into the water 

during the 10-year period of analysis, 

2009–2018. See the regulatory analysis 

in the docket for further detail. 

B. Small Entities 

Under the Regulatory Flexibility Act 

(5 U.S.C. 601–612), we have considered 

whether this proposed rule would have 

a significant economic impact on a 

substantial number of small entities. 

The term ‘‘small entities’’ comprises 

small businesses, not-for-profit 

organizations that are independently 

owned and operated and are not 


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dominant in their fields, and 

governmental jurisdictions with 

populations of less than 50,000. 

We estimate that this proposed rule 

would affect about 1,228 U.S. 

companies that own approximately 

2,951 nontank vessels identified for this 

proposed rule. We researched all 1,228 

companies and found company-specific 

information on 640 of them (about 52 

percent). From our analysis, we 

determined that 376 (about 59 percent) 

entities are small entities based on the 

Small Business Administration (SBA) 

size criteria of annual revenues and 

employment data. These 376 small 

entities own 769 vessels or about two 

vessels per owner. 

Additionally, we found the remaining 

588 of the 1,228 companies that we 

researched lacked company data such as 

revenues and employee size, which 

precluded us from using those 

companies in our analysis. We assume 

that a majority of these 588 companies 

may be small entities. 

Using publicly available and 

proprietary data on owner revenue, we 

estimated the initial and annual impact 

to small entities as a percentage of 

annual revenue. We then determined 

the initial and annual cost impact of this 

proposed rule on small entities. 

We found that the first year cost of the 

proposed rule would have a one percent 

or less impact on 50 percent of the small 

entities that we analyzed. We found that 

the first year cost of the proposed rule 

would have a 3 percent or less impact 

on 68 percent of the small entities that 

we analyzed. 

We found that the annual cost of the 

proposed rule would have a 1 percent 

or less impact on 55 percent of the small 

entities that we analyzed. We found that 

the annual cost of the proposed rule 

would have a 3 percent or less impact 

on 73 percent of the small entities that 

we analyzed. 

We are interested in the potential 

direct impacts of this proposed rule on 

small entities and we request public 

comment on these potential direct 

impacts. If you think that your business, 

organization, or governmental 

jurisdiction qualifies as a small entity 

and that this rule would have a 

significant economic impact on it, 

please submit a comment to the Docket 

Management Facility at the address 

under ADDRESSES. In your comment, 

explain why you think it qualifies and 

how and to what degree this rule would 

economically affect it. 

C. Assistance for Small Entities 

Under section 213(a) of the Small 

Business Regulatory Enforcement 

Fairness Act of 1996 (Pub. L. 104–121), 

we want to assist small entities in 

understanding this proposed rule so that 

they can better evaluate its effects on 

them and participate in the rulemaking. 

If the proposed rule would affect your 

small business, organization, or 

governmental jurisdiction and you have 

questions concerning its provisions or 

options for compliance, please consult 

Lieutenant Jarrod DeWitz at (202) 372– 

1219 or Jarrod.M.DeWitz@uscg.mil. The 

Coast Guard will not retaliate against 

small entities that question or complain 

about this rule or any policy or action 

of the Coast Guard. 

Small businesses may send comments 

on the actions of Federal employees 

who enforce, or otherwise determine 

compliance with, Federal regulations to 

the Small Business and Agriculture 

Regulatory Enforcement Ombudsman 

and the Regional Small Business 

Regulatory Fairness Boards. The 

Ombudsman evaluates these actions 

annually and rates each agency’s 

responsiveness to small business. If you 

wish to comment on actions by 

employees of the Coast Guard, call 

1–888–REG–FAIR (1–888–734–3247). 

D. Collection of Information 

This proposed rule would call for a 

collection of information under the 

Paperwork Reduction Act of 1995 (44 

U.S.C. 3501–3520). As defined in 5 CFR 

1320.3(c), ‘‘collection of information’’ 

comprises reporting, recordkeeping, 

monitoring, posting, labeling, and other, 

similar actions. The title and 

description of the information 

collections, a description of those who 

must collect the information, and an 

estimate of the total annual burden 

follow. The estimate covers the time for 

reviewing instructions, searching 

existing sources of data, gathering and 

maintaining the data needed, and 

completing and reviewing the 

collection. 

This rulemaking modifies two 

existing OMB-approved collections of 

information, 1625–0066 and 1625–0100. 

Details are provided below. 

OMB Control Number: 1625–0066. 

Title: Vessel and Facility Response 

Plans (Domestic and Int’l), and 

Additional Response Requirements for 

Prince William Sound, Alaska. 

Summary of the Collection of 

Information: A nontank vessel owner or 

operator would need to prepare and 

submit to the Coast Guard a nontank 

vessel response plan in accordance with 

proposed 33 CFR part 155, subpart J. 

The content of the response plan would 

include the requirement to plan for 

responding to a worst case discharge 

and a substantial threat of such a 

discharge. Additionally, submissions of 

international SOPEPs for certain U.S. 

flag nontank and tank vessels will 

require alignment with updated SOPEP 

rules. 

Need for Information: The 

information is necessary to show 

evidence that planholders have properly 

planned to prevent or mitigate oil 

outflow and to provide information to 

the Coast Guard for its use in emergency 

response. 

Proposed Use of Information: The 

Coast Guard will use the information to 

determine whether a nontank vessel 

response plan meets the requirements. 

Description of the Respondents: The 

respondents are nontank vessel 

response planholders and SOPEP 

planholders. 

Number of Respondents: The existing 

OMB-approved number of respondents 

is 9,834. This proposed rule would 

increase that number by 772 

respondents. The total number of 

respondents would be 10,606. 

Frequency of Response: The existing 

OMB-approved number of responses is 

32,675. This proposed rule would 

increase that number by 1,453 

responses. 

Burden of Response: The existing 

OMB-approved burden of response is a 

range of 3 to 40 hours per NTVRP 

activity (i.e., initial plan development, 

plan revision, annual recordkeeping, 

5-year resubmission). 

Estimate of Total Annual Burden: The 

existing OMB-approved total annual 

burden is 220,559 hours. This proposed 

rule would increase that number by 

14,415 hours. 

OMB Control Number: 1625–0100. 

Title: Advance Notice of Vessel 

Arrival. 

Summary of the Collection of 

Information: The Coast Guard requires 

pre-arrival notices from certain vessels 

entering a port or place of the United 

States. This proposed rule would add 

one new data element (the VRP control 

number) to the 40 data elements that are 

currently required by 33 CFR part 160. 

Need for Information: In general, the 

Coast Guard uses notice of arrival 

information to ensure port safety and 

security, and to ensure the 

uninterrupted flow of commerce. In 

particular, the addition of the VRP 

control number would enable the Coast 

Guard to determine if the vessel has an 

authorized GSA for each COTP zone 

through which the vessel intends to 

transit. 

Proposed Use of Information: This 

information is required to control vessel 

traffic, develop contingency plans, and 

enforce regulations. 

Description of the Respondents: 

Respondents are the owner, agent, 


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master, operator, or person in charge of 

a vessel that arrives at a port or place 

of the United States. 

Number of Respondents: The existing 

OMB-approved number of respondents 

is 9,206. This proposed rule would not 

change that number. The total number 

of respondents would remain 9,206. 

Frequency of Response: The existing 

OMB-approved number of responses is 

78,538. This proposed rule would not 

change that number. The total number 

of responses would remain 78,538. 

Burden of Response: The existing 

OMB-approved burden of response is 

approximately 2.5 hours (150 minutes) 

per response. The additional burden 

imposed by this proposed rule is 

estimated to be so minimal that it does 

not merit changing the approved 

collection. For this collection, we 

propose to add one data element, the 

VRP control number, to the currently 

required 40 data elements for the notice 

of arrival. The VRP control number is a 

‘‘static’’ data element issued once every 

5 years or longer, while some of the 40 

other data elements change with each 

voyage (such as last port of call, cargo, 

or crew list). Therefore, we believe the 

150-minute burden currently approved 

for this collection more than adequately 

covers the post rulemaking 41 data 

elements and the burden of response 

should remain unchanged. 

Estimate of Total Annual Burden: The 

existing OMB-approved total annual 

burden is 200,039 hours. Because the 

additional burden imposed by this 

proposed rule is estimated to be so 

minimal, it does not merit changing the 

approved annual burden. The estimated 

total annual burden would remain 

200,039 hours. 

In addition to this rulemaking, COI 

1625–0066 is being revised by two other 

Coast Guard rulemakings. These 

rulemakings are: (1) Salvage and Marine 

Firefighting Requirements; Vessel 

Response Plans for Oil [Docket No. 

USCG–1998–3417; RIN 1625–AA19]; 

and (2) Vessel and Facility Response 

Plans for Oil: 2003 Removal Equipment 

Requirements and Alternative 

Technology Revisions [Docket No. 

USCG–2001–8661; RIN 1625–AA26]. 

Once these rulemakings are finalized, 

the hour burden for 1625–0066 will 

differ from the figures noted above. See 

the COI preamble section of each 

rulemaking for details on how the hour 

burden will differ. 

In addition to this rulemaking, COI 

1625–0100 is being revised by two other 

Coast Guard rulemakings. These 

rulemakings are: (1) Vessel 

Requirements for Notices of Arrival and 

Departure, and Automatic Identification 

System [Docket No. USCG–2005–21869; 

RIN 1625–AA99]; and (2) Notification of 

Arrival in U.S. Ports; Certain Dangerous 

Cargoes; Electronic Submission [Docket 

No. USCG–2004–19963; RIN 1625– 

AA93]. Once these rulemakings are 

finalized, the hour burden for 1625– 

0100 will differ from the figures noted 

above. See the COI preamble section of 

each rulemaking for details on how the 

hour burden will differ. 

As required by the Paperwork 

Reduction Act of 1995 (44 U.S.C. 

3507(d)), we have submitted a copy of 

this proposed rule to the Office of 

Management and Budget (OMB) for its 

review of the collection of information. 

We ask for public comment on the 

proposed collection of information to 

help us determine how useful the 

information is; whether it can help us 

perform our functions better; whether it 

is readily available elsewhere; how 

accurate our estimate of the burden of 

collection is; how valid our methods for 

determining burden are; how we can 

improve the quality, usefulness, and 

clarity of the information; and how we 

can minimize the burden of collection. 

If you submit comments on the 

collection of information, submit them 

both to OMB and to the Docket 

Management Facility where indicated 

under ADDRESSES, by the date under 

DATES. 

You need not respond to a collection 

of information unless it displays a 

currently valid control number from 

OMB. Before the Coast Guard could 

enforce the collection of information 

requirements in this proposed rule, 

OMB would need to approve the Coast 

Guard’s request to collect this 

information. 

E. Federalism 

A rule has implications for federalism 

under Executive Order 13132, 

Federalism, if it has a substantial direct 

effect on State or local governments and 

would either preempt State law or 

impose a substantial direct cost of 

compliance on them. It is well settled 

that States may not regulate in 

categories reserved for regulation by the 

Coast Guard. It is also well settled, that 

all of the categories covered in 46 U.S.C. 

3306, 3703, 7101, or 8101 (design, 

construction, alteration, repair, 

maintenance, operation, equipping, 

personnel qualification, and manning of 

vessels), as well as casualty reporting 

and any other category in which 

Congress intended the Coast Guard to be 

the sole source of government-imposed 

vessel obligations, are within the field 

foreclosed from regulation by the States. 

(See the decision of the Supreme Court 

in the consolidated cases of United 

States v. Locke and Intertanko v. Locke, 

529 U.S. 89, 120 S.Ct. 1135 (2000)). 

This NPRM describes the proposed 

standards to which nontank vessel 

owners and operators would adhere 

when preparing and submitting plans 

for responding to a discharge of oil from 

their vessels. We have drafted this 

proposed rule to ensure that, to the 

extent practicable, it is consistent with 

any applicable State-mandated response 

plan in effect on August 9, 2004. To that 

end, we have conducted a search of 

State laws addressing NTVRPs and 

conclude that no State law would be 

preempted when this rule is made final. 

That said, we have found that a few 

State laws authorize nontank vessel 

owners and operators to, among other 

options, contract with intermediaries as 

a method of complying with State laws 

that require nontank vessel owners or 

operators to ensure the availability of oil 

spill removal organization by contract or 

other approved means. Those 

intermediaries, generally, do not own 

the oil spill removal resources and 

usually contract with third-party 

companies to fulfill the State 

requirement. Our proposed rule does 

not allow for the third-party 

intermediary option, because we 

interpret the OPA 90 to require a direct 

contractual relationship between vessel 

owners or operators and the 

organization owning the oil spill 

removal organization. Because the 

vessel owner or operator may comply 

with both State law and Federal law on 

this topic so long as, among other 

things, there is a direct contractual 

relationship between the vessel owner 

or operator and the oil spill removal 

organization, we believe this proposed 

rule will not preempt the various State 

laws on this topic. However, to ensure 

that those States that may have an 

interest in this rulemaking are provided 

with adequate opportunity to comment 

upon potential federalism issues, we 

will provide separate notice of this 

NPRM to the States. 

F. Unfunded Mandates Reform Act 

The Unfunded Mandates Reform Act 

of 1995 (2 U.S.C. 1531–1538) requires 

Federal agencies to assess the effects of 

their discretionary regulatory actions. In 

particular, the Act addresses actions 

that may result in the expenditure by a 

State, local, or tribal government, in the 

aggregate, or by the private sector of 

$100,000,000 or more in any one year. 

Though this proposed rule would not 

result in such an expenditure, we do 

discuss the effects of this rule elsewhere 

in this preamble. 


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G. Taking of Private Property 

This proposed rule would not effect a 

taking of private property or otherwise 

have taking implications under 

Executive Order 12630, Governmental 

Actions and Interference with 

Constitutionally Protected Property 

Rights. 

H. Civil Justice Reform 

This proposed rule meets applicable 

standards in sections 3(a) and 3(b)(2) of 

Executive Order 12988, Civil Justice 

Reform, to minimize litigation, 

eliminate ambiguity, and reduce 

burden. 

I. Protection of Children 

We have analyzed this proposed rule 

under Executive Order 13045, 

Protection of Children from 

Environmental Health Risks and Safety 

Risks. This rule is not an economically 

significant rule and would not create an 

environmental risk to health or risk to 

safety that might disproportionately 

affect children. 

J. Indian Tribal Governments 

We do not expect this proposed rule 

to have tribal implications under 

Executive Order 13175, Consultation 

and Coordination with Indian Tribal 

Governments, because we do not expect 

it to have a substantial direct effect on 

one or more Indian tribes, on the 

relationship between the Federal 

Government and Indian tribes, or on the 

distribution of power and 

responsibilities between the Federal 

Government and Indian tribes. We 

invite your comments on this 

assessment and if tribal implications are 

identified during the comment period 

we will undertake appropriate 

consultations with the affected Indian 

tribal officials. 

K. Energy Effects 

We have analyzed this proposed rule 

under Executive Order 13211, Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use. We have 

determined that it is not a ‘‘significant 

energy action’’ under that order because 

it is not a ‘‘significant regulatory action’’ 

under Executive Order 12866 and is not 

likely to have a significant adverse effect 

on the supply, distribution, or use of 

energy. The Administrator of the Office 

of Information and Regulatory Affairs 

has not designated it as a significant 

energy action. Therefore, it does not 

require a Statement of Energy Effects 

under Executive Order 13211. 

L. Technical Standards 

The National Technology Transfer 

and Advancement Act (NTTAA) (15 

U.S.C. 272 note) directs agencies to use 

voluntary consensus standards in their 

regulatory activities unless the agency 

provides Congress, through the Office of 

Management and Budget, with an 

explanation of why using these 

standards would be inconsistent with 

applicable law or otherwise impractical. 

Voluntary consensus standards are 

technical standards (e.g., specifications 

of materials, performance, design, or 

operation; test methods; sampling 

procedures; and related management 

systems practices) that are developed or 

adopted by voluntary consensus 

standards bodies. 

This proposed rule uses the following 

voluntary consensus standards: 

• IMO Resolution A.741(18), 

International Management Code for the 

Safe Operation of Ships and for 

Pollution Prevention (International 

Safety Management (ISM) Code), 

November 4, 1993. 

• IMO Resolution A.851(20), General 

Principles for Ship Reporting Systems 

and Ship Reporting Requirements, 

Including Guidelines for Reporting 

Incidents Involving Dangerous Goods, 

Harmful Substances and/or Marine 

Pollutants, November 27, 1997. 

• IMO Resolution MSC.104(73), 

Adoption of Amendments to the 

International Safety Management (ISM) 

Code, December 5, 2000. 

• Oil Companies International Marine 

Forum’s Ship to Ship Transfer Guide 

(Petroleum), Fourth Edition 2005. The 

proposed sections that reference these 

standards and the locations where these 

standards are available are listed in 

§ 155.140. 

M. Environment 

We have analyzed this proposed rule 

under Commandant Instruction 

M16475.lD and Department of 

Homeland Security Management 

Directive 023–01, which guide the Coast 

Guard in complying with the National 

Environmental Policy Act of 1969 

(NEPA) (42 U.S.C. 4321–4370f), and 

have made a preliminary determination 

that, under the Commandant 

Instruction, this action is not likely to 

have a significant effect on the human 

environment. A preliminary 

environmental analysis checklist 

supporting this preliminary 

determination is available in the docket 

where indicated under the ‘‘Public 

Participation and Request for 

Comments’’ section of this preamble. 

We seek any comments or information 

that may lead to the discovery of a 

significant environmental impact from 

this proposed rule. 

List of Subjects 

33 CFR Part 151 

Administrative practice and 

procedure, Oil pollution, Penalties, 

Reporting and recordkeeping 

requirements, Water pollution control. 

33 CFR Part 155 

Administrative practice and 

procedure, Alaska, Hazardous 

substances, Oil pollution, Reporting and 

recordkeeping requirements. 

33 CFR Part 160 

Administrative practice and 

procedure, Harbors, Hazardous 

materials transportation, Marine safety, 

Navigation (water), Reporting and 

recordkeeping requirements, Vessels, 

Waterways. 

For the reasons discussed in the 

preamble, the Coast Guard proposes to 

amend 33 CFR parts 151, 155, and 160 

as follows: 

PART 151—VESSELS CARRYING OIL, 

NOXIOUS LIQUID SUBSTANCES, 

GARBAGE, MUNICIPAL OR 

COMMERCIAL WASTE, AND BALLAST 

WATER 

1. The authority citation for part 151 

continues to read as follows: 

Authority: 33 U.S.C. 1321, 1903, 1908; 46 

U.S.C. 6101; Pub. L. 104–227 (110 Stat. 

3034); E.O. 12777, 3 CFR, 1991 Comp. p. 351; 

Department of Homeland Security Delegation 

No. 0170.1. 

2. In § 151.09, add a note to paragraph 

(c), remove the note following paragraph 

(e), and revise paragraph (d) to read as 

follows: 

§ 151.09 Applicability. 

* * * * * 

(c) * * * 

Note to § 151.09(c): The term 

‘‘internal waters’’ is defined in § 2.24 of 

this chapter. 

(d) Sections 151.26 through 151.28— 

(1) Do not apply to— 

(i) The ships specified in paragraph 

(b) of this section; 

(ii) Any barge or other ship which is 

constructed or operated in such a 

manner that no oil in any form can be 

carried aboard. 

(2) Are considered to be met if a U.S. 

flag nontank vessel holds a USCGapproved nontank vessel response plan 

and provides evidence of compliance 

with 33 CFR part 155, subpart J 

requirements. 

* * * * * 

3. In § 151.26— 


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a. In paragraph (b)(1)(i), remove 

‘‘Regulation 26’’ and add ‘‘Regulation 

37’’ in its place; and add the words ‘‘as 

amended by Resolution MEPC.86(44)’’ 

immediately after ‘‘MEPC.54(32))’’; 

b. Revise paragraph (b)(2) to read as 

set out below; 

c. Revise paragraphs (b)(3)(i)(A) and 

(b)(3)(ii) introductory text to read as set 

out below; 

d. Redesignate the introductory text of 

paragraph (b)(3)(iii)(A) as 

(b)(3)(iii)(A)(1), and add paragraphs 

(b)(3)(iii)(A)(2) and (b)(3)(iii)(D) to read 

as set out below; 

e. Revise the introductory text of 

paragraph (b)(4)(i) and all of paragraph 

(b)(4)(ii) to read as set out below; 

f. Revise paragraph (b)(4)(iii)(B), and 

add new paragraph (b)(4)(iii)(D) and 

(b)(4)(iii)(E) to read as set out below; 

g. Revise paragraph (b)(5)(i) to read as 

set out below; 

h. Remove paragraph (b)(7)(i); and 

i. Redesignate paragraphs (b)(7)(ii) 

through (b)(7)(vi) as (b)(7)(i) through 

(b)(7)(v). 

§ 151.26 Shipboard oil pollution 

emergency plans. 

* * * * * 

(b) * * * 

(2) Preamble. The plan must be 

realistic, practical, and easy to use, and 

the Preamble section of the plan must 

reflect these three features of the plan. 

The use of flowcharts, checklists, and 

appendices within the plan will aid in 

addressing this requirement. This 

section must contain an explanation of 

the purpose and use of the plan and 

indicate how the shipboard plan relates 

to other shore-based plans. 

Additionally, the Preamble section of 

the plan must clearly recognize coastal 

States’ rights to approve oil pollution 

response in their waters by stating the 

following: ‘‘Without interfering with 

shipowner’s liability, some coastal 

States consider that it is their 

responsibility to define techniques and 

means to be taken against an oil 

pollution incident and approve such 

operations that might cause further 

pollution, i.e., lightening. States are 

entitled to do so under the International 

Convention relating to Intervention on 

the High Seas in Cases of Oil Pollution 

Casualties, 1969 (Intervention 

Convention).’’ 

* * * * * 

(3) * * * 

(i) * * * 

(A) A discharge of oil above the 

permitted level for any reason, 

including those for the purpose of 

securing the safety of the ship or saving 

life at sea; 

* * * * * 

(ii) Information required. This section 

of the plan must include a notification 

form, such as the one depicted in Table 

151.26(b)(3)(ii), that includes all the 

data elements required in Resolution 

A.851(20) and contains information to 

be provided in the initial and follow-up 

notifications. The official number of the 

vessel and current conditions of the 

vessel are to be included. In addition, 

the initial notification should include as 

much of the information on the form as 

possible, and supplemental information, 

as appropriate. However, the initial 

notification must not be delayed 

pending collection of all information. 

Copies of the form must be placed at the 

location(s) on the ship from which 

notification may be made. 

* * * * * 

(iii) * * * 

(A) * * * 

(2) In order to expedite response and 

minimize damage from a pollution 

incident, it is essential that appropriate 

coastal States should be notified 

without delay. This process begins with 

the initial report required by article 8 

and Protocol I of MARPOL 73/78. 

* * * * * 

(D) The plan must clearly specify who 

will be responsible for informing the 

necessary parties from the coastal State 

contacts, the port contacts, and the ship 

interest contacts. 

(4) * * * 

(i) Operational spills: The plan must 

outline procedures for safe removal of 

oil spilled and contained on deck. The 

plan must also provide guidance to 

ensure proper disposal of recovered oil 

and cleanup materials; 

* * * * * 

(ii) Spills resulting from casualties: 

Casualties should be treated in the plan 

as a separate section. The plan should 

include various checklists or other 

means that will ensure the master 

considers all appropriate factors when 

addressing the specific casualty 

(Reference is made here to the 

International Safety Management (ISM) 

Code, Section 8.). These checklists must 

be tailored to the specific ship and to 

the specific product or product types. In 

addition to the checklists, specific 

personnel assignments for anticipated 

tasks must be identified. Reference to 

existing fire control plans and muster 

lists is sufficient to identify personnel 

responsibilities. The following are 

examples of casualties that must be 

considered: 

(A) Grounding; 

(B) Fire or explosion; 

(C) Collision; 

(D) Hull failure; 

(E) Excessive list; 

(F) Containment system failure; 

(G) Submerged/Foundered; 

(H) Wrecked/Stranded; and 

(I) Hazardous vapor release. 

(iii) * * * 

(B) Stability and strength 

considerations: The plan should provide 

the master with detailed guidance to 

ensure that great care in casualty 

response must be taken to consider 

stability and strength when taking 

actions to mitigate the spillage of oil or 

the free the vessel if aground. 

Information for making damage stability 

and longitudinal strength assessments, 

or contacting classification societies to 

acquire such information, should be 

included. Where appropriate, the plan 

should provide a list of information for 

making damage stability and damage 

longitudinal strength assessments. The 

damage stability information for oil 

tankers and offshore oil barges in 33 

CFR 155.240 is required to be provided 

in the SOPEP; and 

* * * * * 

(D) Mitigating activities: The spill 

mitigation requirements of 33 CFR 

155.1035(c) must be met for tankships, 

the requirements of 33 CFR 155.1040(c) 

must be met for unmanned vessels, and 

the requirements of 33 CFR 155.5035(c) 

must be met for nontank vessels. 

Additionally, the following personnel 

safety mitigation strategies must be 

addressed for all personnel involved: 

(1) Assessment and monitoring 

activities; 

(2) Personnel protection issues; 

(3) Protective equipment; 

(4) Threats to health and safety; 

(5) Containment and other response 

techniques; 

(6) Isolation procedures; 

(7) Decontamination of personnel; and 

(8) Disposal of removed oil and cleanup materials; and 

(E) Drawings and ship-specific details: 

Supporting plans, drawings, and shipspecific details such as a layout of a 

general arrangement plan, midship 

section, lines or tables of offsets, and 

tank tables must be included with the 

plan. The plan shall show where current 

cargo, bunker or ballast information, 

including quantities and specifications, 

are available. 

(5) National and Local Coordination. 

(i) This section of the plan must contain 

information to assist the master in 

initiating action by the coastal State, 

local government, or other involved 

parties. This information must include 

guidance to assist the master with 

organizing a response to the incident, 

should a response not be organized by 

the shore authorities. Detailed 

information for specific areas may be 


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included as appendices to the plan. See 

33 CFR 151.26(b)(2) (Preamble) 

regarding a ship owner’s responsibility 

to comply with individual state 

requirements for oil spill response. 

* * * * * 

4. In § 151.27, 

a. Revise paragraphs (e) and (f); 

b. Add paragraph (g) to read as set out 

below. 

§ 151.27 Plan submission and approval. 

* * * * * 

(e) If the Coast Guard determines that 

the plan meets the requirements of this 

section, the Coast Guard will issue an 

approval letter. The approval period for 

a plan expires 5 years after the approval 

date. 

(f) If the Coast Guard determines that 

the plan does not meet the 

requirements, the Coast Guard will 

notify the owner or operator of the 

plan’s deficiency. The owner or operator 

must then resubmit the corrected 

portions of the plan, within the time 

period specified in the written notice 

provided by the Coast Guard. 

(g) CG Form ‘‘Application for 

Approval/Revision of Vessel Pollution 

Response Plans’’ (CG–6083) located at: 

https://homeport.uscg.mil/ 

vrpapplication can be used in lieu of a 

cover letter to make initial application 

for plan submission and approval. 

5. In § 151.28, add paragraph (g) to 

read as set out below: 

§ 151.28 Plan review and revision. 

* * * * * 

(g) CG Form ‘‘Application for 

Approval/Revision of Vessel Pollution 

Response Plans’’ (CG–6083) located at: 

https://homeport.uscg.mil/ 

vrpapplication can be used in lieu of a 

cover letter to request the required 

resubmission, plan amendment, or 

revision and to document the annual 

review required by paragraph (a) of this 

section. 

PART 155—OIL OR HAZARDOUS 

MATERIAL POLLUTION PREVENTION 

REGULATIONS FOR VESSELS 

6. The authority citation for part 155 

is revised to read as follows: 

Authority: 3 U.S.C. 301 through 303, 33 

U.S.C. 1231, 1321(j); E.O. 11735, 3 CFR, 

1971–1975 Comp., p. 793. Sections 155.100 

through 155.130, 150.350 through 155.400, 

155.430, 155.440, 155.470, 155.1030(j) and 

(k), and 155.1065(g) are also issued under 33 

U.S.C. 1903(b). Sections 155.480, 155.490, 

155.750(e), and 155.775 are also issued under 

46 U.S.C. 3703. Section 155.490 also issued 

under section 4110(b) of Pub. L. 101–380. 

Note: Additional requirements for vessels 

carrying oil or hazardous materials are 

contained in 46 CFR parts 30 through 40, 

150, 151, and 153. 

7. In § 155.140— 

a. Redesignate paragraph (d)(2) as 

(d)(4); 

b. Add paragraphs (d)(2), (d)(3), and 

(d)(5) to read as set out below; and 

c. Add paragraph (f)(2) to read as set 

out below: 

§ 155.140 Incorporation by reference. 

* * * * * 

(d) * * * 

(2) Resolution A.741(18), 

International Management Code for the 

Safe Operation of Ships and for 

Pollution Prevention (International 

Safety Management (ISM) Code), 

November 4, 1993, incorporation by 

reference approved for § 155.5035. 

(3) Resolution A.851(20), General 

Principles for Ship Reporting Systems 

and Ship Reporting Requirements, 

Including Guidelines for Reporting 

Incidents Involving Dangerous Goods, 

Harmful Substances and/or Marine 

Pollutants, November 27, 1997, 

incorporation by reference approved for 

§ 155.5035. 

* * * * * 

(5) Resolution MSC.104(73), Adoption 

of Amendments to the International 

Safety Management (ISM) Code, 

December 5, 2000, incorporation by 

reference approved for § 155.5035. 

* * * * * 

(f) * * * 

(2) Ship to Ship Transfer Guide 

(Petroleum), Fourth Edition, 2005, 

incorporation by reference approved for 

§ 155.5035. 

8. In § 155.1015— 

a. Revise (c)(7); and 

b. Add a note to the end of the section 

as set out below. 

§ 155.1015 Applicability. 

* * * * * 

(c) * * * 

(7) Foreign flag vessels engaged in 

innocent passage through the territorial 

sea or transit passage through a strait 

used for international navigation, unless 

bound for or departing from a port or 

place of the United States; 

* * * * * 

Note to § 155.1015: Response plan 

requirements for nontank vessels are 

found in subpart J of this part. 

9. In § 155.1020— 

a. Revise the definition for ‘‘vessels 

carrying oil as a secondary cargo’’ to 

read as set out below; and 

b. Add a definition for ‘‘nontank 

vessel’’ as set out below. 

§ 155.1020 Definitions. 

* * * * * 

Nontank vessel means a self-propelled 

vessel of 400 gross tons or greater, as 

measured under the convention 

measurement system in 46 U.S.C. 14302 

or the regulatory measurement system of 

46 U.S.C. 14502 for vessels not 

measured under 46 U.S.C. 14302, that 

operates on the navigable waters of the 

United States, as defined in 46 U.S.C. 

2101(17a), carries oil of any kind as fuel 

for main propulsion, and is not a tank 

vessel. 

* * * * * 

Vessels carrying oil as a secondary 

cargo means vessels, other than vessels 

that carry oil as a primary cargo, and 

nontank vessels, carrying oil in bulk as 

cargo or cargo residue pursuant to a 

permit issued under 46 CFR 30.01–5, 

70.05–30, or 90.05–35; an International 

Oil Pollution Prevention (IOPP) 

certificate (33 CFR 151.19) or Noxious 

Liquid Substance (NLS) certificate 

required by 33 CFR 151.33 or 151.35; or 

any uninspected vessel that carries oil 

in bulk as cargo or cargo residue. 

* * * * * 

§ 155.1055 [Amended] 

10. In § 155.1055, amend paragraph 

(a) by removing the phrase ‘‘§ 155.1035’’ 

and adding, in its place, the phrase 

‘‘§§ 155.1035 or 155.5035’’. 

§ 155.1060 [Amended] 

11. In § 155.1060, amend paragraph 

(a) by removing the phrase ‘‘§§ 155.1035 

and 155.1040’’ and adding, in its place, 

the phrase ‘‘§§ 155.1035, 155.1040 or 

155.5035’’. 

12. In § 155.1065— 

a. In paragraph (b), remove the phrase 

‘‘subparts D, E, F, and G of this part’’ 

and add, in its place, the phrase 

‘‘subparts D, E, F, G, and J of this part, 

as applicable,’’. 

b. In paragraph (b), add two new 

sentences at the end of the paragraph to 

read as set out below. 

§ 155.1065 Procedures for plan 

submission, approval, requests for 

acceptance of alternative planning criteria, 

and appeal. 

* * * * * 

(b) * * * CG Form ‘‘Application for 

Approval/Revision of Vessel Pollution 

Response Plans’’ (CG–6083) located at: 

https://homeport.uscg.mil/vrp 

application can be used in lieu of a 

cover letter to make initial application 

for plan submission and approval. 

When submitted properly, this 

application form meets the requirement 

for a vessel response plan certification 

statement as required by this paragraph. 

* * * * * 

13. In § 155.1070— 


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a. In paragraph (a)(2), add a new 

sentence at the end of the paragraph to 

read as set out below. 

b. Revise paragraph (b) to read as set 

out below; 

c. Revise paragraphs (c)(1), (c)(2), 

(c)(4), (c)(5), and (c)(8) to read as set out 

below; and 

d. Revise paragraph (d) to read as set 

out below: 

§ 155.1070 Procedures for plan review, 

revision, amendment, and appeal. 

(a) * * * 

(2) * * * CG Form ‘‘Application for 

Approval/Revision of Vessel Pollution 

Response Plans’’ (CG–6083) located at: 

https://homeport.uscg.mil/ 

vrpapplication can be used in lieu of a 

cover letter to request the required 

resubmission, plan amendment, or 

revision and to document the annual 

review required by this paragraph (a). 

* * * * * 

(b) The owner or operator of a vessel 

subject to subparts D, E, F, G, or J of this 

part must resubmit the entire plan to the 

Coast Guard for approval: 

(1) Six months before the end of the 

Coast Guard approval period identified 

in §§ 155.1065(c) or 155.5065(c); and 

(2) Whenever there is a change in the 

owner or operator of the vessel, if the 

previous owner or operator provided the 

certifying statement required by 

§ 155.1065(b), then the new owner or 

operator must submit a new statement 

certifying that the plan continues to 

meet the applicable requirements of 

subparts D, E, F, G, or J of this part. 

(c) * * * 

(1) A change in the owner or operator 

of the vessel, if that owner or operator 

is not the one who provided the 

certifying statement required by 

§§ 155.1065(b) or 155.5065(b); 

(2) A change in the vessel’s operating 

area that includes ports or geographic 

area(s) not covered by the previously 

approved plan. A vessel may operate in 

an area not covered in a previously 

approved plan upon receipt of written 

acknowledgment by the Coast Guard 

that a new geographic-specific appendix 

has been submitted for approval by the 

vessel’s owner or operator and the 

certification required in 

§§ 155.1025(c)(2) or 155.5023(b) has 

been provided; 

* * * * * 

(4) A change in the type of oil carried 

aboard (oil group) that affects the 

required response resources, except as 

authorized by the COTP for purposes of 

assisting in an oil spill response 

activity; 

(5) A change in the identification of 

the oil spill removal organization(s) or 

other response-related resource required 

by §§ 155.1050, 155.1052, 155.1230, 

155.2230, 155.5050, or 155.5052 as 

appropriate, except an oil spill removal 

organization required by §§ 155.1050(d) 

or 155.5050(d) that may be changed on 

a case-by-case basis for an oil spill 

removal organization previously 

classified by the Coast Guard, which has 

been ensured to be available by contract 

or other approved means; 

* * * * * 

(8) The addition of a vessel to the 

plan. This change must include the 

vessel-specific appendix required by 

this subpart and the owner or operator’s 

certification required in §§ 155.1025(c) 

or 155.5023(b); or 

* * * * * 

(d) Thirty days in advance of 

operation, the owner or operator must 

submit any revision or amendments 

identified in paragraph (c) of this 

section. The certification required in 

§§ 155.1065(b) or 155.5065(b) must be 

submitted along with the revisions or 

amendments. 

* * * * * 

14. Add subpart J, consisting of 

§§ 155.5010 through 155.5075, to read 

as follows: 

Subpart J—Nontank Vessel Response 

Plans 

Sec. 

155.5010 Purpose. 

155.5012 Deviation from response plan. 

155.5015 Applicability. 

155.5020 Definitions. 

155.5021 Operating restrictions. 

155.5023 Interim operating authorization. 

155.5025 One-time port waiver. 

155.5026 Qualified individual and alternate 

qualified individual. 

155.5030 Nontank vessel response plan 

requirements: general content. 

155.5035 Nontank vessel response plan 

requirements: specific content. 

155.5050 Response plan development and 

evaluation criteria for nontank vessels 

carrying groups I through IV petroleum 

oil. 

155.5052 Response plan development and 

evaluation criteria for nontank vessels 

carrying group V petroleum oil. 

155.5055 Training. 

155.5060 Exercises. 

155.5062 Inspection and maintenance of 

response resources. 

155.5065 Procedures for plan submission 

and approval. 

155.5067 Alternative planning criteria. 

155.5070 Procedures for plan review, 

revision, and amendment. 

155.5075 Appeal procedures. 

Subpart J—Nontank Vessel Response 

Plans 

§ 155.5010 Purpose. 

The purpose of this subpart is to 

establish requirements for oil spill 

response plans for nontank vessels. The 

planning criteria in this subpart are 

intended for use in nontank vessel oil 

spill response plan development and 

the identification of resources necessary 

to respond to a nontank vessel’s worst 

case discharge or substantial threat of 

such a discharge. The development of a 

nontank vessel response plan prepares 

the vessel’s crew and ship management 

to respond to an oil spill. The specific 

criteria for response resources and their 

arrival times are not performance 

standards. They are planning criteria 

based upon a set of assumptions that 

may not exist during an actual oil spill 

incident. 

§ 155.5012 Deviation from response plan. 

The owner or operator of a nontank 

vessel required to have a response plan 

under this subpart may not deviate from 

the approved plan unless the Federal 

On-Scene Coordinator determines that 

the deviation from the response plan 

would provide for a more expeditious or 

effective response to the spill or 

mitigation of its environmental effects. 

§ 155.5015 Applicability. 

(a) Except as provided in paragraph 

(c) of this section, this subpart applies 

to each self-propelled vessel that: 

(1) Carries oil of any kind as fuel for 

main propulsion; 

(2) Is not a tank vessel; 

(3) Operates upon the navigable 

waters of the United States, as defined 

in 46 U.S.C. 2101(17a); and 

(4) Is 400 gross tons or more as 

measured under the convention 

measurement system in 46 U.S.C. 14302 

or the regulatory measurement system of 

46 U.S.C. 14502 for vessels not 

measured under 46 U.S.C. 14302. 

(b) For Integrated Tug Barge (ITB) 

units that are not certificated as tank 

vessels, the tonnage used to determine 

applicability of these regulations is the 

aggregate tonnage of the ITB 

combination, and the oil capacity used 

to determine the WCD volume is the 

aggregate fuel oil capacity of the ITB 

combination. 

(c) This subpart does not apply to the 

following types of vessels: 

(1) Public vessels; 

(2) Foreign flag vessels engaged in 

innocent passage through the territorial 

sea or transit passage through a strait 

used for international navigation, unless 

bound for or departing from a port or 

place of the United States; 

(3) Vessels that carry oil as a primary 

cargo and are required to submit a 

response plan in accordance with 33 

CFR part 155, subpart D; 

(4) Vessels constructed or operated in 

such a manner that no oil in any form 

can be carried aboard as fuel for 

propulsion or cargo; 


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(5) Permanently moored craft; and 

(6) Inactive vessels. 

Note to § 155.5015: Response plan 

requirements for tank vessels are found 

in subpart D of this part. 

§ 155.5020 Definitions. 

Except as otherwise defined in this 

section, the definitions in § 155.110 and 

§ 155.1020 apply to this subpart. For the 

purposes of this subpart only, the 

term— 

Cargo means oil, not carried as fuel, 

which is carried in bulk, secondary to 

the class or type of the vessel and is 

transported to, and off-loaded at, a 

destination by a vessel. It includes oil or 

oil residue carried pursuant to a permit 

issued under 46 CFR 30.01–5, 70.05–30, 

or 90.05–35; an International Oil 

Pollution Prevention (IOPP) certificate 

(33 CFR 151.19) or Noxious Liquid 

Substance (NLS) certificate required by 

33 CFR 151.33 or 151.35; or any 

uninspected vessel that carries oil in 

bulk as cargo or cargo residue. It does 

not include oil that is carried as a 

primary cargo. 

Contract or other approved means 

includes: 

(1) A written contractual agreement 

between a vessel owner or operator and 

a required response resource provider. 

The agreement must identify and ensure 

the availability of specified personnel 

and equipment required under this 

subpart within stipulated response 

times in the applicable COTP zone or 

specified geographic areas; 

(2) Certification by the vessel owner 

or operator that specified personnel and 

equipment required under this subpart 

are owned, operated, or under the direct 

control of the vessel owner or operator, 

and are available within stipulated 

response times in the applicable COTP 

zone or specified geographic areas; 

(3) Active membership with a local or 

regional required response resource 

provider that has identified specific 

personnel and equipment required 

under this subpart that are available to 

respond to a discharge within stipulated 

response times in the COTP zone or 

specified geographic areas; 

(4) A document that: 

(i) Identifies the personnel, 

equipment, and services capable of 

being provided by the required response 

resource provider within stipulated 

response times in the COTP zone or 

specified geographic areas; 

(ii) Sets out the parties’ 

acknowledgment that the required 

response resource provider intends to 

commit the resources in the event of a 

response; 

(iii) Permits the Coast Guard to verify 

the availability of the identified 

response resources through tests, 

inspections, and exercises; and 

(iv) Is referenced in the response plan; 

or 

(5) With the written consent of the 

required response resource provider, the 

identification of a required response 

resource provider with specified 

equipment and personnel that are 

available within stipulated response 

times in the COTP zone, port area, or 

specified geographic area. This 

paragraph is ‘‘another approved means’’ 

for only: 

(i) Nontank vessels with a fuel and 

cargo oil capacity of less than a 250 

barrels for maximum most probable 

discharge oil spill removal response 

resource requirements per 33 CFR 

155.5050(e); 

(ii) Nontank vessels that carry group 

I through group IV petroleum oils as 

fuel or cargo with a capacity of 250 

barrels or greater, but less than 2,500 

barrels, for salvage, emergency 

lightering, and marine firefighting 

response resources per 33 CFR 

155.5050(i)(2); 

(iii) Nontank vessels that carry group 

I through group IV petroleum oils as 

fuel or cargo with a capacity less than 

250 barrels for salvage response 

resources in 33 CFR 155.5050(i)(3); 

(iv) Nontank vessels that carry group 

II through group IV petroleum oils as 

fuel or cargo with a capacity of 250 

barrels or greater, but less than 2,500 

barrels, for dispersant response 

resources per 33 CFR 155.5035(i)(10) 

and 33 CFR 155.5050(j); and 

(v) Nontank vessels that carry groups 

I through IV petroleum oils as fuel or 

cargo with a capacity of 250 barrels or 

greater, but less than 2,500 barrels, for 

aerial oil spill tracking to support oil 

spill assessment and cleanup activities 

per 33 CFR 155.5050(k). 

Fuel means all oils of any kind, which 

may be used to supply power or 

lubrication for primary or auxiliary 

purposes aboard the vessel in which it 

is carried. 

Inactive vessel means a vessel that is 

out of service or laid up and has 

emptied its tanks of fuel except for the 

minimum amount of fuel necessary for 

the maintenance of the vessel’s material 

condition. Such a vessel is considered 

not to be operating on the navigable 

waters of the United States for the 

purposes of 33 U.S.C. 1321(j)(5), unless 

the cognizant COTP determines that it 

poses an unacceptable risk to the marine 

environment due to the amount of oil 

carried for maintenance. A vessel would 

not be considered inactive if it carried 

oil as a cargo or cargo residue. 

Integrated Tug Barge or ITB means 

any tug barge combination in which a 

specially designed propulsion unit (tug) 

is mated to a cargo unit (barge) of a 

compatible special design or where a 

propulsion unit (tug) is mated to a cargo 

unit (barge) with a specially designed 

connection system such that the 

combined unit has operating 

characteristics and seakeeping 

capabilities that exceed, under all 

anticipated weather conditions, those of 

a tug and barge, where the tug is secured 

in the barge notch or on fenders by 

means such as wire rope, chains, lines, 

or other tackle now commonly used in 

offshore towing. 

Maximum most probable discharge or 

MMPD means a discharge of— 

(1) Two thousand five hundred 

(2,500) barrels of oil, for vessels with a 

fuel and cargo capacity equal to or 

greater than 25,000 barrels; or 

(2) Ten percent of the vessel’s fuel 

and cargo capacity, for vessels with a 

fuel and cargo capacity of less than 

25,000 barrels. 

Navigable waters of the United States 

includes all waters of the territorial seas 

of the United States, extending 12 

nautical miles (nm) seaward of the 

baseline, as described in Presidential 

Proclamation No. 5928, December 27, 

1988. 

Nontank vessel means a self-propelled 

vessel of 400 gross tons or greater, as 

measured under the convention 

measurement system in 46 U.S.C. 14302 

or the regulatory measurement system of 

46 U.S.C. 14502 for vessels not 

measured under 46 U.S.C. 14302, that 

operates on the navigable waters of the 

United States, carries oil of any kind as 

fuel for main propulsion, and is not a 

tank vessel. 

Oil spill removal organization or 

OSRO means any person or persons 

who own(s) or otherwise control(s) oil 

spill removal resources that are 

designed for, or are capable of, removing 

oil from the water or shoreline. Control 

of such resources through means other 

than ownership includes leasing or 

subcontracting of equipment or, in the 

case of trained personnel, by having 

contracts, evidence of employment, or 

consulting agreements. OSROs provide 

response equipment and services, 

individually or in combination with 

subcontractors or associated contractors, 

under contract or other approved 

means, directly to an owner or operator 

of a vessel or a facility required to have 

a response plan under 33 U.S.C. 

1321(j)(5). OSROs are able to mobilize 

and deploy equipment or trained 

personnel and remove, store, and 

transfer recovered oil. Persons such as 

sales and marketing organizations (e.g., 

distributorships and manufacturer’s 


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representatives) that warehouse or store 

equipment for sale are not OSROs. 

Permanently moored craft means a 

watercraft that is not considered to be a 

vessel under the rule of construction in 

1 U.S.C. 3, because it is not practically 

(as opposed to theoretically) used or 

capable of being used as a means of 

transportation on the water. 

P&I Club means a protection and 

indemnity insurance group that 

provides liability insurance cover for 

the vessel owner or operator that would 

respond to an oil discharge or 

substantial threat of such a discharge by 

the vessel. 

Public vessel means a vessel owned or 

bareboat—chartered and operated by the 

United States, or by a State or political 

subdivision thereof, or by a foreign 

nation, except when such vessel is 

engaged in commerce. 

Qualified individual or QI and 

alternate qualified individual means a 

shore-based representative of a vessel 

owner or operator who meets the 

requirements of 33 CFR 155.5026. 

Substantial threat of such a discharge 

means any incident involving a vessel 

that may create a significant risk of 

discharge of fuel or cargo oil. Such 

incidents include, but are not limited to, 

groundings, allisions, strandings, 

collisions, hull damage, fires, 

explosions, loss of propulsion, 

floodings, on-deck spills, or other 

similar occurrences. 

Tier means the combination of 

required response resources and the 

times within which the resources must 

arrive on scene. Appendix B of this part, 

especially Tables 5 and 6, provide 

specific guidance on calculating the 

response resources required by a 

respective tier. Section 155.5050(g) sets 

forth the required times within which 

the response resources must arrive on 

scene. Tiers are applied to three 

categories of areas: 

(1) Higher volume port areas; 

(2) The Great Lakes; and 

(3) All other operating environments, 

including rivers and canals, inland, 

nearshore, offshore, and open ocean 

areas. 

Worst case discharge or WCD means 

a discharge in adverse weather 

conditions of a vessel’s entire fuel and 

cargo oil. 

§ 155.5021 Operating restrictions. 

Nontank vessels subject to this 

subpart may not— 

(a) Operate upon the navigable waters 

of the United States unless in 

compliance with a plan approved under 

§ 155.5065. 

(b) Continue to operate on the 

navigable waters of the United States if: 

(1) The Coast Guard determines that 

the response resources identified in the 

vessel’s certification statement do not 

meet the requirements of this subpart; 

(2) The contracts or agreements 

required in §§ 155.5050 and 155.5052 

and the vessel’s certification statement 

are no longer valid; 

(3) The vessel is not operating in 

compliance with the submitted plan; or 

(4) The period of the response plan 

authorization has expired. 

§ 155.5023 Interim operating authorization. 

(a) Notwithstanding the requirements 

of § 155.5021, a vessel may continue to 

operate for up to 2 years after the date 

of submission of a response plan 

pending approval of that plan, if the 

vessel has received written 

authorization for continued operations 

from the Coast Guard. 

(b) To receive this authorization, the 

nontank vessel owner or operator must 

certify in writing with an original or 

electronic signature to the Coast Guard 

that the owner or operator has identified 

and has ensured, by contract or other 

approved means, the availability of the 

necessary private resources to respond, 

to the maximum extent practicable, to a 

worst case discharge or substantial 

threat of such a discharge from their 

vessel. 

(c) Those nontank vessels temporarily 

authorized to operate without an 

approved plan pending formal Coast 

Guard approval must comply with the 

provisions of 33 CFR 155.1070(c), (d), 

and (e). 

§ 155.5025 One-time port waiver. 

An owner or operator of a nontank 

vessel may be authorized by the 

cognizant U.S. Coast Guard Captain of 

the Port to have that vessel make one 

voyage in a geographic-specific area not 

covered by the vessel’s response plan. 

All requirements of this subpart must be 

met for any subsequent voyages to a 

previously requested geographicspecific area. To be considered for a 

one-time port waiver, the owner or 

operator must certify in writing, prior to 

the vessel’s entry into the COTP zone, 

that it has met the requirements of 33 

CFR 155.1025(e)(1) through (4). 

§ 155.5026 Qualified individual and 

alternate qualified individual. 

The response plan must identify a 

qualified individual and at least one 

alternate who meet the requirements of 

33 CFR 155.1026. The qualified 

individual or alternate qualified 

individual must be available on a 24- 

hour basis. 

§ 155.5030 Nontank vessel response plan 

requirements: general content. 

(a) The entire vessel response plan 

must be written in English and, if 

applicable, in a language that is 

understood by the crew members with 

responsibilities under the plan. 

(b) The plan must cover all geographic 

areas of the United States in which the 

vessel intends to handle, store, or 

transport oil, including port areas and 

offshore transit areas. 

(c) The nontank vessel response plan 

(NTVRP) must be divided into the 

following sections: 

(1) General information and 

introduction; 

(2) Notification procedures; 

(3) Shipboard spill mitigation 

procedures; 

(4) Shore-based response activities; 

(5) List of contacts; 

(6) Training procedures; 

(7) Exercise procedures; 

(8) Plan review and update 

procedures; 

(9) Geographic-specific appendix for 

each COTP zone in which the vessel or 

vessels operate; and 

(10) An appendix for vessel-specific 

information for the vessel or vessels 

covered by the plan. 

(d) A vessel owner or operator with 

multiple vessels may submit one plan 

for each class of vessel (i.e., subpart D— 

Manned vessels carrying oil as primary 

cargo & unmanned vessels carrying oil 

as primary cargo; subpart E—Tankers 

loading cargo at a facility permitted 

under the Trans-Alaska Pipeline 

Authorization Act; subpart F—Vessels 

carrying animal fats and vegetable oils 

as primary cargo; and subpart G— 

Vessels carrying other non-petroleum 

oils as a primary cargo) with a separate 

vessel-specific appendix for each vessel 

covered by the plan and a separate 

geographic-specific appendix for each 

COTP zone in which the vessel(s) will 

operate. 

(e) A vessel response plan must be 

divided into the sections described in 

paragraph (c) of this section unless the 

plan is supplemented with a crossreference table to identify the location of 

the information required by this 

subpart. 

(f) The information contained in a 

vessel response plan must be consistent 

with the: 

(1) National Oil and Hazardous 

Substances Pollution Contingency Plan 

(NCP) (40 CFR part 300) and the Area 

Contingency Plan(s) (ACP) in effect on 

the date 6 months prior to the 

submission date of the response plan; or 

(2) More recent NCP and ACP(s). 

Note to § 155.5030(f)(1): See diagram 

of ‘‘Relationship of Plans’’ at 40 CFR 

300.210. 


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(g) Copies of the submitted and 

approved vessel response plan must be 

available as follows: 

(1) The owner or operator of all 

vessels must ensure that one English 

language copy of the plan and the 

original Coast Guard approval letter or 

notarized copy of the approval letter are 

maintained aboard the vessel. If 

applicable, additional copies of the 

required plan sections must be in the 

language understood by crew members 

with responsibilities under the plan and 

maintained aboard the vessel. 

(2) The vessel owner or operator must 

also maintain a current copy of the 

entire plan and ensure that each person 

identified as a qualified individual and 

alternate qualified individual in the 

plan has a current copy of the entire 

plan. 

(h) Compliance with this subpart will 

also constitute compliance for a U.S. 

flag nontank vessel required to submit a 

Shipboard Oil Pollution Emergency 

Plan (SOPEP) pursuant to 33 CFR 

151.09(c) and Regulation 37 of Annex I 

of MARPOL 73/78 as long as the 

additional requirements listed in 

§ 155.5035(k) are met. A U.S. flagged 

nontank vessel holding a valid 

Certificate of Inspection endorsed for 

Coastwise or Oceans operating routes 

with authorization to engage on an 

international voyage must maintain a 

U.S. Coast Guard SOPEP approval letter 

per 33 CFR 151.27(e). A separate SOPEP 

is not required. 

§ 155.5035 Nontank vessel response plan 

requirements: specific content. 

(a) General information and 

introduction section. This section of the 

plan must include: 

(1) The vessel’s name, country of 

registry, call sign, official number, and 

International Maritime Organization 

(IMO) international number (if 

applicable). If the plan covers multiple 

vessels, this information should be 

provided for each vessel; 

(2) The name, mailing address, e-mail 

address, telephone number and 

facsimile number, and procedures for 

contacting the nontank vessel’s owner 

or operator on a 24-hour basis; 

(3) A list of the COTP zones, ports, 

and offshore transit areas in which the 

vessel intends to operate; 

(4) A table of contents or index of 

sufficient detail to permit personnel 

with responsibilities under the response 

plan to locate the specific sections of the 

plan; and 

(5) A record of change(s) page to 

record information on plan reviews, 

updates, or revisions. 

(b) Notification procedures section. 

This section of the plan must include 

the following information: 

(1) A checklist with all notifications, 

including telephone or other contact 

numbers, in order of priority to be made 

by shipboard or shore-based personnel 

and the information needed for those 

notifications. Notifications should 

include those required by: 

(i) MARPOL 73/78 (33 CFR 151.26) 

and 33 CFR part 153; and 

(ii) Any applicable State. 

(2) Identification of the person(s) to be 

notified of a discharge or substantial 

threat of a discharge of oil. If the 

notifications vary due to vessel location, 

the persons to be notified also should be 

identified in a geographic-specific 

appendix. This section should 

separately identify: 

(i) The individual(s) or organization(s) 

to be notified by shipboard personnel; 

and 

(ii) The individual(s) or 

organization(s) to be notified by shorebased personnel. 

(3) The procedures for notifying the 

qualified individual(s) designated by the 

nontank vessel’s owner or operator. 

(4) Descriptions of the primary and, if 

available, secondary communications 

methods by which the notifications 

would be made. These should be 

consistent with those in 

§ 155.5035(b)(1). 

(5) The information that is to be 

provided in the initial and any followup notifications under paragraph (b)(1) 

of this section. 

(i) The initial notification may be 

submitted in accordance with IMO 

Resolution A.851(20), ‘‘General 

Principles for Ship Reporting Systems 

and Ship Reporting Requirements, 

Including Guidelines for Reporting 

Incidents Involving Dangerous Goods, 

Harmful Substances and/or Marine 

Pollutants’’ (Incorporated by reference, 

see § 155.140). However, the plan must 

specify that the notification include at 

least the following information: 

(A) Vessel name, country of registry, 

call sign, and official number (if any); 

(B) Date and time of the incident; 

(C) Location of the incident; 

(D) Course, speed, and intended track 

of vessel; 

(E) Radio station(s) and frequencies 

guarded; 

(F) Date and time of next report; 

(G) Type and quantity of oil on board; 

(H) Nature and detail of defects, 

deficiencies, and damage (e.g., overfill 

of tanks, grounding, collision, hull 

failure, etc.); 

(I) Details of pollution, including 

estimate of amount of oil discharged or 

threat of discharge; 

(J) Weather and sea conditions on 

scene; 

(K) Ship size and type; 

(L) Actions taken or planned by 

persons on scene; 

(M) Current conditions of the vessel; 

(N) Number of crew and details of 

injuries, if any; and 

(O) Details of P&I Club and Local 

Correspondent, as applicable. 

(ii) The plan must state that after 

transmission of the initial notification, 

as much information as possible that is 

essential for the protection of the marine 

environment will be reported to the 

appropriate on-scene coordinator in 

follow-up reports. This information 

must include: 

(A) Additional details on the type of 

oil on board; 

(B) Additional details on the 

condition of the vessel and ability to 

offload cargo and transfer ballast and 

fuel; 

(C) Additional details on the quantity, 

extent, and movement of the pollution 

and whether the discharge is 

continuing; 

(D) Any changes in the on-scene 

weather or sea conditions; and 

(E) Actions being taken with regard to 

the discharge and the movement of the 

ship. 

(6) Identification of the person(s) to be 

notified of a vessel casualty potentially 

affecting the seaworthiness of a vessel 

and the information to be provided by 

the vessel’s crew to shore-based 

personnel to facilitate the assessment of 

damage stability and stress. 

(c) Shipboard spill mitigation 

procedures section. This section of the 

plan must include: 

(1) Procedures for the crew to mitigate 

or prevent any discharge or a substantial 

threat of a discharge of oil resulting 

from shipboard operational activities 

associated with internal or external oil 

transfers. Responsibilities of vessel 

personnel should be identified by job 

title and licensed/unlicensed position, if 

applicable. These procedures should 

address personnel actions in reference 

to: 

(i) Internal transfer system leak; 

(ii) Fuel tank overflow; 

(iii) Suspected tank or hull leak; 

(iv) Assessment and monitoring 

activities; 

(v) Personnel protection issues; 

(vi) Protective equipment; 

(vii) Threats to health and safety; 

(viii) Containment and other response 

techniques; 

(ix) Isolation procedures; 

(x) Decontamination of personnel; and 

(xi) Disposal of removed oil and 

clean-up materials. 

(2) Procedures in the order of priority 

for the crew to mitigate or prevent any 


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discharge or a substantial threat of a 

discharge in the event of a casualty or 

emergency as listed below in paragraphs 

(c)(2)(i) through (x) of this section. 

These procedures should be listed 

separately and reference specific vessel 

checklists required by the International 

Ship Management (ISM) Code, Section 8 

(Resolution A.741(18), as amended by 

Resolution MSC.104(73)) (Incorporated 

by reference, see § 155.140), or other 

means that will ensure consideration of 

all appropriate factors when addressing 

a specific casualty. In addition to the 

checklists, specific personnel 

assignments for anticipated tasks must 

be identified. Reference to existing fire 

control plans and muster lists is 

sufficient to identify personnel 

responsibilities in the following 

scenarios: 

(i) Grounding or stranding; 

(ii) Explosion or fire, or both; 

(iii) Collision or allision; 

(iv) Hull failure; 

(v) Excessive list; 

(vi) Containment system failure; 

(vii) Submerged and foundered; 

(viii) Wrecked and stranded; 

(ix) Hazardous vapor release; and 

(x) Equipment failure (e.g., main 

propulsion, steering gear, etc.). 

(3) Procedures for the crew to deploy 

discharge removal equipment if the 

vessel is equipped with such 

equipment. 

(4) The procedures for internal 

transfers of fuel in an emergency. 

(5) The procedures for ship-to-ship 

transfers of fuel in an emergency: 

(i) The format and content of the shipto-ship transfer procedures should be 

consistent with the ‘‘Ship to Ship 

Transfer Guide (Petroleum),’’ Fourth 

Edition 2005, published jointly by the 

International Chamber of Shipping and 

the Oil Companies International Marine 

Forum (OCIMF) (Incorporated by 

reference, see § 155.140). 

(ii) The procedures should identify 

the specific response resources 

necessary to carry out the transfers, 

including: 

(A) Fendering equipment (ship-toship only); 

(B) Transfer hoses and connection 

equipment; 

(C) Portable pumps and ancillary 

equipment; 

(D) Lightering or fuel removal and 

mooring masters (ship-to-ship only); 

and 

(E) Vessel and barge brokers (ship-toship only); 

(iii) Reference may be made to a 

separate fuel oil transfer procedure and 

lightering plan carried aboard the 

vessel, if safety considerations are 

summarized in the plan; 

(iv) The location of all equipment and 

fittings, if any, carried aboard the vessel 

to perform the transfers should be 

identified; 

(6) The procedures and arrangements 

for emergency towing, including the 

rigging and operation of any emergency 

towing equipment, if any, carried 

aboard the vessel; 

(7) The location, crew responsibilities, 

and procedures for use of shipboard 

equipment that might be carried to 

mitigate an oil discharge; 

(8) The crew’s responsibility, if any, 

for recordkeeping and sampling of 

spilled oil. Any requirements for 

sampling must address safety 

procedures to be followed by the crew; 

(9) The crew’s responsibilities, if any, 

to initiate a response and supervise 

shore-based response resources; 

(10) Damage stability and hull stress 

considerations when performing 

shipboard mitigation measures. This 

section of the plan should identify and 

describe: 

(i) Activities in which the crew is 

trained and qualified to execute absent 

shore-based support or advice; and 

(ii) The information to be collected by 

the vessel’s crew to facilitate shorebased assistance. 

(11) Location of vessel plans 

necessary to perform salvage, stability, 

and hull stress assessments. 

(i) The owner or operator should 

ensure that a copy of these plans are 

maintained ashore by either the vessel 

owner or operator or the vessel’s 

recognized classification society, unless 

the vessel has prearranged for a shorebased damage stability and residual 

strength calculation program with the 

vessel’s baseline strength and stability 

characteristics pre-entered. The 

response plan should indicate the shore 

location and 24-hour access procedures 

of the calculation program or the 

following plans, where available: 

(A) General arrangement plan; 

(B) Midship section plan; 

(C) Lines plan or table of offsets; 

(D) Tank tables; 

(E) Load line assignment; and 

(F) Light ship characteristics. 

(ii) The plan should identify the shore 

location and 24-hour access procedures 

for the computerized, shore-based 

damage stability and residual structural 

strength calculation programs, if 

available. 

(12) Procedures for implementing 

personnel safety mitigation strategies for 

all personnel involved. These 

procedures may contain more, but the 

following must be addressed: 

(i) Assessment and monitoring 

activities; 

(ii) Personnel protection issues; 

(iii) Protective equipment; 

(iv) Threats to health and safety; 

(v) Containment and other response 

techniques; 

(vi) Isolation procedures; 

(vii) Decontamination of personnel; 

and 

(viii) Disposal of removed oil and 

clean-up materials. 

(d) Shore-based response activities 

section. This section of the plan should 

include the following information: 

(1) The qualified individual’s 

responsibilities and authority, including 

immediate communication with the 

Federal On-Scene Coordinator and 

notification of the oil spill removal 

organization(s) identified in the plan. 

(2) If applicable, procedures for 

transferring responsibility for direction 

of response activities from vessel 

personnel to the shore-based spill 

management team. 

(3) The procedures for coordinating 

the actions of the nontank vessel owner 

or operator or qualified individual with 

the predesignated Federal On-Scene 

Coordinator responsible for overseeing 

or directing those actions. 

(4) The organizational structure that 

would be used to manage the response 

actions. This structure should include 

the following functional areas and 

information for key components within 

each functional area: 

(i) Command and control; 

(ii) Public information; 

(iii) Safety; 

(iv) Liaison with government 

agencies; 

(v) Spill response operations; 

(vi) Planning; 

(vii) Logistics support; and 

(viii) Finance. 

(5) The responsibilities of, duties of, 

and functional job descriptions for each 

oil spill management team position 

within the organizational structure 

identified in paragraph (d)(4) of this 

section. 

(e) List of contacts. The name, 

location, and 24-hour contact 

information for the following key 

individuals and organizations must be 

included in this section of the response 

plan or, if more appropriate, in a 

geographic-specific appendix and 

referenced in this section of the 

response plan: 

(1) Vessel owner or operator. 

(2) Qualified individual and alternate 

qualified individual for the vessel’s area 

of operation. 

(3) Applicable insurance 

representatives or surveyors for the 

vessel’s area of operation. 

(4) The vessel’s local agent(s) for the 

vessel’s area of operation. 

(5) Person(s) within the oil spill 

removal organization to notify for 


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activation of that oil spill removal 

organization for the three spill scenarios 

identified in paragraph (i)(5) of this 

section for the vessel’s area of operation. 

(6) Person(s) within the identified 

response organization to notify for 

activating the organizations to provide: 

(i) The required emergency lightering 

and fuel offloading required by 

§§ 155.5050(i) and 155.5052 as 

applicable; 

(ii) The required salvage and marine 

firefighting required by §§ 155.5050(i) 

and 155.5052 as applicable; 

(iii) The required dispersant response 

equipment required by § 155.5050(j), as 

applicable; and 

(iv) The required aerial oil spill 

tracking and observation resources 

required by § 155.5050(k), as applicable. 

(7) Person(s) to notify for activation of 

the spill management team for the spill 

response scenarios identified in 

paragraph (i)(5) of this section for the 

vessel’s area of operation. 

(f) Training procedures. This section 

of the response plan must address the 

training procedures and programs of the 

nontank vessel owner or operator to 

meet the requirements in § 155.5055. 

(g) Exercise procedures. This section 

of the response plan must address the 

exercise program to be carried out by 

the nontank vessel owner or operator to 

meet the requirements in § 155.5060. 

(h) Plan review, update, revision, 

amendment, and appeal procedure. 

This section of the response plan must 

address: 

(1) The procedures to be followed by 

the nontank vessel owner or operator to 

meet the requirements of §§ 155.5070 

and 155.5075; and 

(2) The procedures to be followed for 

any post-discharge review of the plan to 

evaluate and validate its effectiveness. 

(i) Geographic-specific appendices for 

each COTP zone in which a vessel 

operates. A geographic-specific 

appendix must be included for each 

COTP zone identified. The appendices 

must include the following information 

or identify the location of such 

information within the plan: 

(1) A list of the geographic areas (port 

areas, rivers and canals, Great Lakes, 

inland, nearshore, offshore, and open 

ocean areas) in which the vessel intends 

to handle, store, or transport oil as fuel 

or cargo within the applicable COTP 

zone. 

(2) The volume and group of oil on 

which the required level of response 

resources is calculated. 

(3) Required Federal or State 

notifications applicable to the 

geographic areas in which a vessel 

operates. 

(4) Identification of the qualified 

individuals. 

(5) Identification of the oil spill 

removal organization(s) that are 

identified and ensured available, 

through contract or other approved 

means, and the spill management team 

to respond to the following spill 

scenarios, as applicable: 

(i) Average most probable discharge. 

(ii) Maximum most probable 

discharge. 

(iii) Worst case discharge. 

(iv) Nontank vessels with a capacity 

less than 250 barrels must plan for and 

identify maximum most probable 

discharge response resources in the 

response plan but do not have to ensure 

by contract or a previous funding 

agreement. Submission of a written 

consent for plan listing from the 

recognized response resource provider 

must accompany the plan for approval 

or revision. This is considered an 

acceptable ‘‘other approved means.’’ See 

33 CFR 155.5020, ‘‘Contract or other 

approved means,’’ paragraph (5). 

(6) The organization(s) identified to 

meet the requirements of paragraph 

(i)(5) of this section must be capable of 

providing the equipment and supplies 

necessary to meet the requirements of 

§§ 155.5050 and 155.5052, as 

appropriate, and sources of trained 

personnel to continue operation of the 

equipment and staff the oil spill 

removal organization, required response 

resource providers and spill 

management team identified for the first 

seven days of the response. 

(7) The geographic-specific appendix 

must list the response resources and 

related information required under 

§§ 155.5050, 155.5052, and Appendix B 

of this part, as appropriate. 

(8) If an oil spill removal organization 

has been evaluated by the Coast Guard 

and its capability has been determined 

to equal or exceed the response 

capability needed by the vessel, the 

appendix may identify only the 

organization and their applicable 

classification and not the information 

required in paragraph (i)(7) of this 

section. This information is subject to 

USCG verification at any time during 

the validity of the vessel response plan. 

(9) The appendix must also separately 

list the companies identified to provide 

the salvage, emergency lightering, and 

marine firefighting resources required in 

this subpart. The appendix must list the 

response resources and related 

information required in paragraph (7) of 

this section. This information is subject 

to USCG verification at any time during 

the validity of the vessel response plan. 

(i) Nontank vessels with a capacity 

less than 2,500 barrels, but greater than 

or equal to 250 barrels, need only plan 

for and identify salvage, emergency 

lightering, and marine firefighting 

response resources in the response plan 

but do not have to ensure by contract or 

a previous funding agreement. 

Submission of a written consent for plan 

listing from the recognized response 

resource provider must accompany the 

plan for approval or revision. This is 

considered an acceptable ‘‘other 

approved means.’’ See 33 CFR 155.5020, 

‘‘Contract or other approved means,’’ 

paragraph (5). 

(ii) Nontank vessels with a capacity 

less than 250 barrels need only plan for 

and identify salvage response resources 

in the response plan but do not have to 

ensure by contract or a previous funding 

agreement. Submission of a written 

consent for plan listing from the 

recognized response resource provider 

must accompany the plan for approval 

or revision. This is considered an 

acceptable ‘‘other approved means.’’ See 

33 CFR 155.5020, ‘‘Contract or other 

approved means,’’ paragraph (5). 

(10) For nontank vessels with a 

capacity of 2,500 barrels or greater that 

carry group II through group IV 

petroleum oils as fuel or cargo and that 

operate in waters where dispersant use 

pre-authorization agreements exist, the 

appendix must also separately list the 

resource providers and specific 

resources, including appropriately 

trained dispersant-application 

personnel, necessary to provide, if 

appropriate, the dispersant capabilities 

required in this subpart. All resource 

providers and resources must be 

available by contract or other approved 

means. The dispersant resources to be 

listed within this section must include 

the following: 

(i) Identification of each primary 

dispersant staging site to be used by 

each dispersant-application platform to 

meet the requirements of § 155.5050(j) 

of this chapter; 

(ii) Identification of the platform type, 

resource provider, location, and 

dispersant payload for each dispersantapplication platform identified. 

Location data must identify the distance 

between the platform’s home base and 

the identified primary dispersantstaging site(s) for this section. 

(iii) For each unit of dispersant 

stockpile required to support the 

effective daily application capacity 

(EDAC) of each dispersant-application 

platform necessary to sustain each 

intended response tier of operation, 

identify the dispersant product resource 

provider, location, and volume. 

Location data must include the distance 

from the stockpile to the primary staging 

sites where the stockpile would be 

loaded on to the corresponding 

platforms. If an oil spill removal 


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organization has been evaluated by the 

Coast Guard and its capability has been 

determined to meet the response 

capability needed by the owner or 

operator, the section may identify the 

oil spill removal organization only, and 

not the information required in 

paragraphs (i)(10)(i) through (i)(10)(iii) 

of this section. 

(iv) Nontank vessels with an oil 

capacity of 250 barrels or greater, but 

less than 2,500 barrels, that carry group 

II through group IV petroleum oils as 

fuel or cargo and that operate in waters 

where dispersant use pre-authorization 

agreements exist, need only plan for and 

identify dispersant response resources 

but not ensure their availability by 

contract. Submission of a written 

consent from the dispersant response 

resource provider must accompany the 

plan for approval or revision. This is 

considered an acceptable ‘‘other 

approved means.’’ See 33 CFR 155.5020, 

‘‘Contract or other approved means,’’ 

paragraph (5). 

(11) For nontank vessels with a fuel 

and cargo capacity of 2,500 barrels or 

greater not operating exclusively on the 

inland rivers of the United States, the 

appendix must also separately list the 

resource providers and specific 

resources necessary to provide oil spill 

tracking capabilities required in this 

subpart. The oil spill tracking resources 

to be listed within this section must 

include the following: 

(i) The identification of a resource 

provider; and 

(ii) The type and location of aerial 

surveillance aircraft that have been 

ensured available, through contract or 

other approved means, to meet the oil 

spill tracking requirements of 

§ 155.1050(k) of this chapter. 

(iii) Nontank vessels with a capacity 

of 250 barrels or greater, but less than 

2,500 barrels, need only plan for and 

identify aerial oil spill tracking response 

resources in the response plan, but do 

not have to ensure by contract or a 

previous funding agreement. 

Submission of a written consent for plan 

listing from the recognized response 

resource provider must accompany the 

plan for approval or revision. This is 

considered an acceptable ‘‘other 

approved means.’’ See 33 CFR 155.5020, 

‘‘Contract or other approved means,’’ 

paragraph (5). 

(j) Appendices for vessel-specific 

information. This section of the plan 

must include for each vessel covered by 

the plan the following information, as 

applicable: 

(1) List of the vessel’s principal 

characteristics. 

(2) Capacities of all cargo, fuel, lube 

oil, ballast, and fresh water tanks. 

(3) The total volume and groups of oil 

that would be involved in the: 

(i) Maximum most probable 

discharge; and 

(ii) Worst case discharge. 

(4) Diagrams showing location of all 

cargo, fuel, lube oil, and slop tanks, as 

applicable. 

(5) General arrangement plan (can be 

maintained separately aboard the vessel 

providing the response plan identifies 

the specific location). 

(6) Midships section plan (can be 

maintained separately aboard the vessel 

providing the response plan identifies 

the specific location). 

(7) Cargo and fuel piping diagrams 

and pumping plan, as applicable (can be 

maintained separately aboard the vessel 

providing the response plan identifies 

the specific location). 

(8) Damage stability data (can be 

maintained separately, providing the 

response plan identifies the specific 

location). 

(9) Location of cargo and fuel stowage 

plan for vessel. 

(10) Location of information on the 

name, description, physical and 

chemical characteristics, health and 

safety hazards, and spill and firefighting 

procedures for the fuel or cargo oil 

aboard the vessel. A material safety data 

sheet meeting the requirements of 29 

CFR 1910.1200, cargo information 

required by 33 CFR 154.310, or 

equivalent, will meet this requirement. 

This information can be maintained 

separately. 

(k) Required appendices for MARPOL 

73/78 Annex I, Regulation 37, 

Shipboard Oil Pollution Emergency Plan 

(SOPEP) information. U.S. flag vessels 

not certificated for coastwise or oceans 

operating routes and foreign flag vessels 

that are in compliance with Regulation 

37 of Annex I or MARPOL 73/78 are not 

required to comply with this paragraph. 

An owner or operator of a U.S. flag 

vessel constructed or certificated for 

coastwise or oceans operating routes, 

but that does not engage in international 

voyages, may request to be exempted 

from compliance with this paragraph 

through submission of a certified 

statement, attesting same, to 

Commandant, Office of Vessel Activities 

(CG–543), which must accompany the 

new nontank vessel response 

submission or resubmission. U.S. flag 

vessels that must comply with this 

paragraph must label the cover of their 

nontank vessel response plan as a 

MARPOL 73/78 Annex I, Regulation 37 

Shipboard Oil Pollution Emergency 

Plan (SOPEP) and USCG Nontank 

Vessel Response Plan. The following 

information is required to be submitted 

consistent with Regulation 37 of Annex 

I of MARPOL 73/78 and 33 CFR 151.26: 

(1) The introductory text required by 

33 CFR 151.26(b)(1). 

(2) The preamble statement regarding 

the purpose of the plans and how the 

plan relates to other shore-related plans 

as required by 33 CFR 151.26(b)(2). 

(3) The information on authorities or 

persons to be contacted in the event of 

an oil pollution incident as required 33 

CFR 151.26(b)(3)(iii). This information 

must also clearly specify who will be 

responsible for informing the necessary 

parties from the coastal State contacts, 

the port contacts, and the ship interest 

contact. This information must include: 

(i) An appendix containing coastal 

State contacts for those coastal States in 

which the vessel regularly transits the 

exclusive economic zone. The appendix 

should list those agencies or officials of 

administrations responsible for 

receiving and processing pollution 

incident reports; 

(ii) An appendix of port contacts for 

those ports at which the vessel regularly 

calls; and 

(iii) For Antarctica, reports must also 

be directed to any Antarctic station that 

may be affected in accordance with 33 

CFR 151.26(b)(3)(iii)(C). 

(4) Include the procedures and point 

of contact on the ship for coordinating 

shipboard activities with national and 

local authorities in combating an oil 

spill incident in accordance with 33 

CFR 151.26(b)(5). The plan should 

address the need to contact the coastal 

State to advise them of action(s) being 

implemented and determine what 

authorization(s), if any, are needed. 

(5) Required information lists in 

separate appendices per 33 CFR 

151.26(b)(6)(ii). 

§ 155.5050 Response plan development 

and evaluation criteria for nontank vessels 

carrying groups I through IV petroleum oil. 

(a) Criteria for evaluating operability 

of response resources. The criteria used 

to evaluate the operability of response 

resources identified in a nontank vessel 

response plan for specified operating 

environments must be in accordance 

with 33 CFR 155.1050(a). 

(b) Operating environment 

reclassification of specific bodies of 

water. COTP reclassification of a 

specific body of water or location within 

the COTP zone must be in accordance 

with 33 CFR 155.1050(b). 

(c) Criteria for response equipment. 

Response equipment must: 

(1) Meet or exceed the criteria listed 

in Table 1 of Appendix B of this part; 

(2) Be capable of functioning in the 

applicable operating environment; and 

(3) Be appropriate for the petroleum 

oil carried. 


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(d) Average most probable discharge. 

The owner or operator of a nontank 

vessel that carries groups I through IV 

petroleum as cargo must identify in the 

response plan and ensure the 

availability of, through contract or other 

approved means, the response resources 

that will respond to a discharge up to 

the vessel’s average most probable 

discharge (AMPD). Nontank vessels that 

carry oil as cargo must meet the 

requirements for average most probable 

discharge coverage, as applicable, per 33 

CFR 155.1050(d). Nontank vessels that 

only carry groups I through IV oil as fuel 

do not have to ensure the availability of 

average most probable discharge 

resources by contract or other approved 

means, but must plan for and identify 

response resources required in 

§ 155.1050(d)(1) and list this 

information in the applicable 

geographic-specific appendix for 

bunkering or fueling operations. 

Permission or acknowledgment from the 

listed resource providers is not required. 

Their contact information is for nontank 

vessel owner or operator reference 

purposes only. Listing of a marine 

transportation-related facility’s or a 

bunker supplier’s AMPD resources is 

not authorized, as these AMPD 

resources are already required by either 

33 CFR 154.545, § 154.1045(c), or 

§ 155.1050(d)(2). 

(e) Maximum most probable 

discharge. The owner or operator of a 

nontank vessel with a capacity of 250 

barrels or greater carrying groups I 

through IV petroleum oil as fuel or cargo 

must identify in the response plan and 

ensure the availability of, through 

contract or other approved means, the 

response resources necessary to respond 

to a discharge up to the vessel’s 

maximum most probable discharge 

volume. For the purposes of meeting the 

requirements of this paragraph, the 

standards listed in 33 CFR 155.1050(e) 

must be met. Nontank vessels with a 

capacity less than 250 barrels must plan 

for and identify maximum most 

probable discharge response resources 

in the response plan but do not have to 

ensure by contract or a previous funding 

agreement. Submission of a written 

consent for plan listing from the 

recognized response resource provider 

must accompany the plan for approval 

or revision. This is considered an 

acceptable ‘‘other approved means.’’ See 

33 CFR 155.5020, ‘‘Contract or other 

approved means,’’ paragraph (5). 

(f) Worst case discharge. The owner or 

operator of a nontank vessel with a 

capacity of 2,500 barrels or greater 

carrying groups I through IV petroleum 

oil as fuel or cargo must identify in the 

response plan and ensure the 

availability of, through contract or other 

approved means, the response resources 

necessary to respond to discharges up to 

the worst case discharge volume of the 

oil to the maximum extent practicable. 

For the purposes of meeting this 

paragraph, the standards listed in 33 

CFR 155.1050(f) must be met. Nontank 

vessels need only plan for Tier 1 

response resources. 

(g) Tier 1 response times. Response 

equipment identified to respond to a 

worst case discharge should be capable 

of arriving on scene within the times 

specified in this paragraph for the 

applicable response tier in a higher 

volume port area, Great Lakes, and in 

other areas. Response times for this tier, 

from the time of discovery of a 

discharge, are found in Table 

155.5050(g). 

TABLE 155.5050(G)—RESPONSE

TIMES FOR TIER 1 

Tier 1 

Higher volume port area ................. 12 hrs. 

Great Lakes .................................... 18 hrs. 

All other operating environments, 

including rivers and canals, inland, nearshore, offshore, and 

open ocean areas.

24 hrs. 

(h) Planning standards for the 

mobilization and response times for 

required MMPD and WCD response 

resources. For the purposes of arranging 

for maximum most probable discharge 

(MMPD) or worst case discharge (WCD) 

response resources through contract or 

other approved means, response 

equipment identified for plan credit 

should be capable of being mobilized 

and enroute to the scene of a discharge 

within 2 hours of notification. The 

notification procedures identified in the 

plan should provide for notification and 

authorization for mobilization of 

response resources: 

(1) Either directly or through the 

qualified individual; and 

(2) Within 30 minutes of a discovery 

of a discharge or substantial threat of 

discharge. 

(i) Salvage, emergency lightering, and 

marine firefighting requirements. The 

owner or operator of a nontank vessel 

carrying groups I through IV petroleum 

oil as fuel or cargo must plan for 

salvage, emergency lightering, and 

marine firefighting response resources. 

(1) Nontank vessels with a capacity of 

2,500 barrels or greater must meet the 

salvage, emergency lightering, and 

marine firefighting requirements found 

in subpart I of this part. 

(2) Nontank vessels with a capacity 

less than 2,500 barrels, but greater than 

or equal to 250 barrels, need only plan 

for and identify salvage, emergency 

lightering, and marine firefighting 

response resources in the response plan 

but do not have to ensure by contract or 

a previous funding agreement. 

Submission of a written consent for plan 

listing from the recognized response 

resource provider must accompany the 

plan for approval or revision. This is 

considered an acceptable ‘‘other 

approved means.’’ See 33 CFR 155.5020, 

‘‘Contract or other approved means,’’ 

paragraph (5). 

(3) Nontank vessels with a capacity 

less than 250 barrels need only plan for 

and identify salvage response resources 

in the response plan but do not have to 

ensure by contract or a previous funding 

agreement. Submission of a written 

consent for plan listing from the 

recognized response resource provider 

must accompany the plan for approval 

or revision. This is considered an 

acceptable ‘‘other approved means.’’ See 

33 CFR 155.5020, ‘‘Contract or other 

approved means,’’ paragraph (5). 

(j) Dispersants. The owner or operator 

of a nontank vessel carrying groups II 

through IV petroleum oil as fuel or cargo 

with a capacity of 2,500 barrels or 

greater that operates in any area preauthorized for dispersant use must 

identify in their response plan, and 

ensure the availability of, through 

contract or other approved means, 

response resources capable of 

conducting dispersant operations within 

those areas. The standards of 33 CFR 

155.1050(k) must be met. Only Tier 1 for 

dispersant effective daily application 

capability (EDAC) must be met for 

nontank vessels. Nontank vessels with a 

capacity less than 2,500 barrels, but 

greater than or equal to 250 barrels, 

need only plan for and identify 

dispersant response resources in the 

response plan but do not have to ensure 

by contract or a previous funding 

agreement. Submission of a written 

consent for plan listing from the 

recognized response resource provider 

must accompany the plan for approval 

or revision. This is considered an 

acceptable ‘‘other approved means.’’ See 

33 CFR 155.5020, ‘‘Contract or other 

approved means,’’ paragraph (5). 

(k) Aerial oil spill tracking and 

observation response resources. The 

owner or operator of a nontank vessel 

carrying groups I through IV petroleum 

oil as fuel or cargo with a capacity of 

2,500 barrels or greater must identify in 

the response plan, and ensure their 

availability, through contract or other 

approved means, response resources 

necessary to provide aerial oil spill 

tracking to support oil spill assessment 

and cleanup activities. The standards of 


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33 CFR 155.1050(l) must be met. 

Nontank vessels operating exclusively 

on the inland rivers of the United States 

are not required to comply with this 

paragraph. Nontank vessels with a 

capacity of 250 barrels or greater, but 

less than 2,500 barrels, need only plan 

for and identify aerial oil tracking 

response resources in the response plan 

but do not have to ensure by contract or 

a previous funding agreement. 

Submission of a written consent for plan 

listing from the recognized response 

resource provider must accompany the 

plan for approval or revision. This is 

considered an acceptable ‘‘other 

approved means.’’ See 33 CFR 155.5020, 

‘‘Contract or other approved means,’’ 

paragraph (5). 

(l) Response resources necessary to 

perform shoreline protection operations. 

The owner or operator of a nontank 

vessel carrying groups I through IV 

petroleum oil as fuel or cargo with a 

capacity of 250 barrels or greater must 

identify in the response plan, and 

ensure the availability of, through 

contract or other approved means, 

response resources necessary to perform 

shoreline protection operations. The 

response resources must include the 

quantities of boom listed in Table 2 of 

appendix B of this part, based upon the 

specific COTP zones in which the vessel 

operates. 

(m) Shoreline cleanup operations. 

The owner or operator of a nontank 

vessel carrying groups I through IV 

petroleum oil as fuel or cargo with a 

capacity of 250 barrels or greater must 

identify in the response plan, and 

ensure the availability of, through 

contract or other approved means, an oil 

spill removal organization capable of 

effecting a shoreline cleanup operation 

commensurate with the quantity of 

emulsified petroleum oil to be planned 

for in shoreline cleanup operations. The 

shoreline cleanup resources required 

must be determined as described in 

appendix B of this part. 

(n) Practical and technical limits of 

response capabilities. Appendix B of 

this part sets out response capability 

capacities (caps) that recognize the 

practical and technical limits of 

response capabilities for which an 

individual vessel owner or operator can 

contract in advance. Table 6 in 

appendix B lists the contracting caps 

that are applicable. The owner or 

operator of a nontank vessel carrying 

groups I through IV petroleum oil as 

fuel or cargo, with a capacity of 2,500 

barrels or greater, whose required daily 

recovery capacity exceeds the 

applicable contracting caps in Table 6, 

must identify commercial sources of 

additional equipment equal to twice the 

cap listed for each tier or the amount 

necessary to reach the calculated 

planning volume, whichever is lower, to 

the extent that this equipment is 

available. The equipment so identified 

must be capable of arriving on scene no 

later than the applicable tier response 

times contained in § 155.5050(g) or as 

quickly as the nearest available resource 

permits. A response plan must identify 

the specific sources, locations, and 

quantities of this additional equipment. 

No contract is required. 

(o) Review of response capability 

limits. The Coast Guard will continue to 

evaluate the environmental benefits, 

cost efficiency, and practicality of 

increasing mechanical recovery 

capability requirements. This 

continuing evaluation is part of the 

Coast Guard’s long term commitment to 

achieving and maintaining an optimum 

mix of oil spill response capability 

across the full spectrum of response 

modes. As best available technology 

demonstrates a need to evaluate or 

change mechanical recovery capacities, 

a review of cap increases and other 

requirements contained within this 

subpart may be performed. Any changes 

in the requirements of this section will 

occur through a rulemaking process. 

During this review, the Coast Guard will 

determine if established caps remain 

practicable and if increased caps will 

provide any benefit to oil spill recovery 

operations. The review will include, at 

least, an evaluation of: 

(1) Best available technologies for 

containment and recovery; 

(2) Oil spill tracking technology; 

(3) High rate response techniques; 

(4) Other applicable response 

technologies; and 

(5) Increases in the availability of 

private response resources. 

(p) Nontank vessel response plan 

required response resources matrix. 

Table 155.5050(p) is a summary of the 

nontank vessel response plan required 

response resources. 

TABLE 155.5050(P)—NONTANK VESSEL RESPONSE PLAN REQUIRED RESPONSE RESOURCES MATRIX

Nontank vessel’s fuel and cargo 

oil capacity AMPD MMPD WCD Salvage Emergency lightering Fire fighting Dispersant 3 Aerial 

tracking 4

Shoreline 

protection 

Shore line 

cleanup 

2,500 barrels or greater ............... NO 1 ... YES .... YES .... YES ........ YES ............ YES ............ YES ............ YES ............ YES ............ YES. 

Less than 2,500 barrels, but 

greater than or equal to 250 

barrels.

NO 1 ... YES .... NO ..... YES2 ...... YES2 .......... YES2 .......... YES2 .......... YES2 .......... YES ............ YES. 

Less than 250 barrels .................. NO 1 ... YES2 .. NO ..... YES2 ...... NO .............. NO .............. NO .............. NO .............. NO .............. NO. 

1For nontank vessels carrying oil as fuel only. Nontank vessels carrying oil as cargo must meet AMPD response resources in 33 CFR 155.5050(d) as applicable. 2For nontank vessels with a fuel and cargo capacity less than 2,500 barrels, the indicated response resources that must be located within the stipulated response 

times in the specified geographic areas need only be identified and planned for in the nontank vessel response plan, but not ensured available by contract. Submission of a written consent from the response resource provider must accompany the plan for approval. This is considered an acceptable ‘‘other approved means.’’ See 

33 CFR 155.5020, ‘‘Contract or other approved means,’’ paragraph (5). 3 Dispersant response resources are only required for waters where dispersant pre-authorization has been authorized IAW the Area Contingency Plan. See 33 CFR 

155.5050(j). 4Aerial oil spill tracking response resources are not required on Rivers. 

§ 155.5052 Response plan development 

and evaluation criteria for nontank vessels 

carrying group V petroleum oil. 

Owners and operators of nontank 

vessels that carry group V petroleum oil 

as fuel or cargo must meet the 

requirements of 33 CFR 155.1052. 

§ 155.5055 Training. 

(a) A nontank vessel response plan 

submitted to meet the requirements of 

§ 155.5035 must identify the training to 

be provided to persons having 

responsibilities under the plan, 

including members of the vessel crew, 

the qualified individual, and the spill 

management team. The training program 

must differentiate between that training 

provided to vessel personnel and that 

training provided to shore-based 

personnel. Appendix C of this part 

provides additional guidance regarding 

training. 

(b) A nontank vessel owner or 

operator must comply with the vessel 

response plan training requirements of 

33 CFR 155.1055(b) through (f). 

§ 155.5060 Exercises. 

(a) A nontank vessel owner or 

operator required by § 155.5035 to have 

a response plan must conduct exercises 

as necessary to ensure that the plan will 

function in an emergency. Both 


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announced and unannounced exercises 

must be included. 

(b) A nontank vessel owner or 

operator must comply with the vessel 

response plan exercise requirements of 

33 CFR 155.1060. 

§ 155.5062 Inspection and maintenance of 

response resources. 

The owner or operator of a nontank 

vessel required to submit a response 

plan under this part must comply with 

the response resource inspection and 

maintenance requirements of 33 CFR 

155.1062. 

§ 155.5065 Procedures for plan 

submission and approval. 

(a) An owner or operator of a nontank 

vessel to which this subpart applies 

must submit one complete English 

language copy, in paper format, of a 

nontank vessel response plan to 

Commandant, Office of Vessel Activities 

(CG–543), U.S. Coast Guard 

Headquarters, 2100 Second Street, SW., 

Washington, DC 20593–0001, Attn: 

Vessel Response Plan Review Team. 

The plan must be submitted at least 60 

days before the vessel intends to operate 

upon the navigable waters of the United 

States. 

(b) The owner or operator of a 

nontank vessel must include a statement 

certifying that the nontank vessel 

response plan meets the applicable 

requirements of this subpart and the 

requirements of subparts D, E, F, and G 

if applicable. The owner or operator 

must also include a statement certifying 

that the owner or operator has ensured 

the availability of, through contract or 

other approved means, the necessary 

private resources to respond, to the 

maximum extent practicable, to a worst 

case discharge or substantial threat of 

such a discharge from their vessel as 

required under this subpart. CG Form 

‘‘Application for Approval/Revision of 

Vessel Pollution Response Plans’’ (CG– 

6083) located at: http:// 

homeport.uscg.mil/vrpapplication can 

be used in lieu of a cover letter to make 

initial application for plan submission 

and approval. When submitted 

properly, this application form meets 

the requirement for a vessel response 

plan certification statement as required 

by this paragraph. 

(c) If the Coast Guard determines that 

the plan meets all requirements of this 

subpart, the Coast Guard will notify the 

vessel owner or operator with an 

approval letter. The plan will be valid 

for a period of 5 years from the date of 

approval, conditional upon satisfactory 

annual updates. 

(d) If the Coast Guard reviews the 

plan and determines that it does not 

meet all of the requirements, the Coast 

Guard will notify the vessel owner or 

operator of the nontank vessel response 

plan deficiencies. The nontank vessel 

owner or operator must then resubmit 

the revised plan or corrected portions or 

pages of the plan, within the time 

period specified in the written notice 

provided by the Coast Guard. 

§ 155.5067 Alternative planning criteria. 

(a) When the owner or operator of a 

nontank vessel believes that national 

planning criteria contained elsewhere in 

this part are inappropriate to the vessel 

for the areas in which it is intended to 

operate, the owner or operator may 

request acceptance of alternative 

planning criteria by the Coast Guard. 

Submission of an alternative planning 

criteria request must be made 120 days 

before the vessel intends to operate 

under the proposed alternative, or as 

soon as is practicable. The alternative 

planning criteria request must be 

endorsed by the COTP with jurisdiction 

over the geographic area(s) affected 

before being considered by 

Commandant, Office of Vessel Activities 

(CG–543), for the review and approval 

of the respective nontank vessel 

response plan. In any case, the request 

must be received by CG–543 with an 

endorsement by the respective COTP no 

later than 45 days before the vessel 

intends to operate under the alternative 

planning criteria. 

(b) The alternative planning criteria 

request should detail all elements of the 

nontank plan where deviations from the 

requirements in this subpart are being 

proposed or have not been met. 

Response equipment, techniques, or 

procedures identified in the alternative 

planning criteria request should be 

submitted in accordance with the 

evaluation criteria of appendix B of this 

part. The request should contain at a 

minimum: 

(1) Reason(s) and supporting 

information for the alternative planning 

criteria request; 

(2) Identification of regulations 

necessitating the alternative planning 

criteria request; 

(3) Proposals for alternative 

procedures, methods, or equipment 

standards, where applicable, to provide 

for an equivalent level of planning, 

response, or pollution mitigation 

strategies; 

(4) Prevention and mitigation 

strategies that ensure low risk of spills 

and adequate response measures as a 

result of the alternative planning 

criteria; and 

(5) Environmental and economic 

impact assessments of the effects. 

(c) The granting or denial of an 

alternative planning criteria request will 

be decided by Commandant, Office of 

Vessel Activities (CG–543), and will be 

issued in writing. 

§ 155.5070 Procedures for plan review, 

revision, and amendment. 

(a) The owner or operator of a 

nontank vessel must review the nontank 

vessel response plan annually and 

submit a letter to Commandant, Office 

of Vessel Activities (CG–543) certifying 

that the review has been completed. 

This review must occur within one 

month of the anniversary date of Coast 

Guard approval of the plan. 

(b) A nontank vessel response plan 

prepared and submitted under this 

subpart must be revised and amended, 

as necessary, in accordance with 

§ 155.1070. 

§ 155.5075 Appeal procedures. 

(a) A nontank vessel owner or 

operator who disagrees with a 

deficiency determination may submit a 

petition for reconsideration to the 

Assistant Commandant for Marine 

Safety, Security and Stewardship, 

Commandant (CG–5), Coast Guard 

Headquarters, 2100 Second Street, SW., 

Washington, DC 20593–0001, within the 

time period required for compliance or 

within seven 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 the vessel owner or operator of 

the final decision. 

(1) Unless the vessel owner or 

operator petitions for reconsideration of 

the Coast Guard’s decision, the vessel’s 

owner or operator must correct the 

response plan deficiencies within the 

period specified in the Coast Guard’s 

initial determination. 

(2) If the vessel owner or operator 

petitions the Coast Guard for 

reconsideration, the effective date of the 

Coast Guard notice of deficiency 

determination may be delayed pending 

a decision by the Coast Guard. 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 five days of 

receipt of the notice. 

(b) Within 21 days of notification that 

a nontank vessel response plan is not 

approved, the vessel owner or operator 

may appeal that determination to the 

Assistant Commandant for Marine 

Safety, Security and Stewardship. This 

appeal must be submitted in writing to 

Commandant (CG–5), Coast Guard, 2100 

Second Street, SW., Washington, DC 

20593–0001. 


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15. In appendix B to Part 155, 

a. Revise paragraphs 1.1, 2.6, 2.7, 3.1, 

4.2.2, 5.1, 5.2, 5.3, 5.4, 5.5, 5.6, 5.7, 7.1, 

7.2, 7.2.3, 7.2.4, and 7.3.1; and 

b. Add paragraph 8.1.1 to read as 

follows: 

Appendix B To Part 155—Determining 

and Evaluating Required Response 

Resources for Vessel Response Plans 

* * * * * 

1.1 The purpose of this appendix is to 

describe the procedures for identifying 

response resources to meet the requirements 

of subparts D, E, F, G, and J of this part. 

These guidelines will be used by the vessel 

owner or operator in preparing the response 

plan and by the Coast Guard to review vessel 

response plans. Response plans submitted 

under subparts F and G of this part will be 

evaluated under the guidelines in section 2 

and Table 1 of this appendix. 

* * * * * 

2.6 The requirements of subparts D, E, F, 

G, and J of this part establish response 

resource mobilization and response times. 

The location that the vessel operates farthest 

from the storage location of the response 

resources must be used to determine whether 

the resources are capable of arriving on scene 

within the time required. A vessel owner or 

operator shall include the time for 

notification, mobilization, and travel time of 

resources identified to meet the maximum 

most probable discharge and Tier 1 worst 

case discharge requirements. For subparts D 

and E of this part, Tier 2 and 3 resources 

must be notified and mobilized as necessary 

to meet the requirements for arrival on scene. 

An on-water speed of 5 knots and a land 

speed of 35 miles per hour is assumed, 

unless the vessel owner or operator can 

demonstrate otherwise. 

2.7 For subparts D, E, and J of this part, 

in identifying equipment, the vessel owner or 

operator must list the storage location, 

quantity, and manufacturer’s make and 

model, unless the oil spill removal 

organization(s) providing the necessary 

response resources have been evaluated by 

the Coast Guard, and their capability has 

been determined to equal or exceed the 

response capability needed by the vessel. For 

oil recovery devices, the effective daily 

recovery capacity, as determined using 

section 6 of this appendix, must be included. 

For boom, the overall boom height (draft plus 

freeboard) must be included. A vessel owner 

or operator is responsible for ensuring that 

the identified boom has compatible 

connectors. 

* * * * * 

3.1 A vessel owner or operator must 

identify and ensure, by contract or other 

approved means, that sufficient response 

resources are available to respond to the 50- 

barrel average most probable discharge at the 

point of an oil transfer involving a vessel that 

carries oil as a primary cargo or a nontank 

vessel carrying oil as cargo. The equipment 

must be designed to function in the operating 

environment at the point of oil transfer. 

These resources must include— 

* * * * * 

4.2.2 Ten percent of the total oil capacity. 

* * * * * 

5.1 A vessel owner or operator, as 

applicable under the regulations prescribed 

in this part, must identify and ensure, by 

contract or other approved means, that 

sufficient response resources are available to 

respond to the worst case discharge of oil to 

the maximum extent practicable. Section 7 of 

this appendix describes the method to 

determine the required response resources. 

5.2 Oil spill recovery devices identified 

to meet the applicable worst case discharge 

planning volume must be located such that 

they can arrive at the scene of a discharge 

within the time specified for the applicable 

response tier listed in §§ 155.1050(g) and 

155.5050(g). 

5.3 The effective daily recovery capacity 

for oil recovery devices identified in a 

response plan must be determined using the 

criteria in section 6 of this appendix. A 

vessel owner or operator, as applicable under 

the regulations prescribed in this part, shall 

identify the storage locations of all 

equipment that must be used to fulfill the 

requirements for each tier. 

5.4 A vessel owner or operator, as 

applicable under the regulations prescribed 

in this part, must identify the availability of 

temporary storage capacity to meet the 

requirements of section 9.2 of this appendix. 

If available storage capacity is insufficient to 

meet this requirement, then the effective 

daily recovery capacity must be downgraded 

to the limits of the available storage capacity. 

5.5 When selecting response resources 

necessary to meet the response plan 

requirements, the vessel owner or operator, 

as applicable under the regulations 

prescribed in this part, must ensure that a 

portion of those resources are capable of 

being used in close-to-shore response 

activities in shallow water. The following 

percentages of the on-water response 

equipment identified for the applicable 

geographic area must be capable of operating 

in waters of 6 feet or less depth: 

(i) Open ocean—none. 

(ii) Offshore—10 percent. 

(iii) Nearshore, inland, Great Lakes, and 

rivers and canals—20 percent. 

5.6 In addition to oil spill recovery 

devices and temporary storage capacity, a 

vessel owner or operator, as applicable under 

the regulations prescribed in this part, must 

identify in the response plan and ensure the 

availability of, through contract or other 

approved means, sufficient boom that can 

arrive on scene within the required response 

times for oil containment and collection. The 

specific quantity of boom required for 

collection and containment will depend on 

the specific recovery equipment and 

strategies employed. Table 2 of this appendix 

lists the minimum quantities of additional 

boom required for shoreline protection that a 

vessel owner or operator shall identify in the 

response plan and ensure the availability of, 

through contract or other approved means. 

5.7 A vessel owner or operator, as 

applicable under the regulations prescribed 

in this part, must also identify in the 

response plan and ensure, by contract or 

other approved means, the availability of an 

oil spill removal organization capable of 

responding to a shoreline cleanup operation 

involving the calculated volume of 

emulsified oil that might impact the affected 

shoreline. The volume of oil for which a 

vessel owner or operator should plan for 

should be calculated through the application 

of factors contained in Tables 3 and 4 of this 

appendix. The volume calculated from these 

tables is intended to assist the vessel owner 

or operator in identifying a contractor with 

sufficient resources. This planning volume is 

not used explicitly to determine a required 

amount of equipment and personnel. 

* * * * * 

7.1 A vessel owner or operator, as 

applicable under the regulations prescribed 

in this part, must plan for a response to a 

vessel’s worst case discharge oil planning 

volume. The planning for on-water recovery 

must take into account a loss of some oil to 

the environment due to evaporations and 

natural dissipation, potential increases in 

volume due to emulsification, and the 

potential for deposit of some oil on the 

shoreline. 

7.2 The following procedures must be 

used to calculate the planning volume used 

by a vessel owner or operator, as applicable 

under the regulations prescribed in this part, 

for determining required on-water recovery 

capacity: 

* * * * * 

7.2.3 The adjusted volume is multiplied 

by the on-water oil recovery resource 

mobilization factor found in Table 5 of this 

appendix from the appropriate operating area 

and response tier to determine the total onwater oil recovery capacity in barrels per day 

that must be identified or contracted for to 

arrive on scene within the applicable time for 

each response tier. Three tiers are specified. 

For higher volume port areas, the contracted 

tiers of resources must be located such that 

they can arrive on scene within 12, 36, and 

60 hours of the discovery of an oil discharge. 

For the Great Lakes, these tiers are 18, 42, 

and 66 hours. For rivers and canals, inland, 

nearshore, and offshore, these tiers are 24, 48, 

and 72 hours. For the open ocean area, these 

tiers are 24, 48, and 72 hours with an 

additional travel time allowance of 1 hour for 

every additional 5 nautical miles from shore. 

For nontank vessels, only Tier 1 is specified. 

7.2.4 The resulting on-water recovery 

capacity in barrels per day for each tier is 

used to identify response resources necessary 

to sustain operations in the applicable 

geographic area. The equipment must be 

capable of sustaining operations for the time 

period specified in Table 3 of this appendix. 

A vessel owner or operator, as applicable 

under the regulations prescribed in this part, 

shall identify and ensure the availability of, 

through contract or other approved means, 

sufficient oil spill recovery devices to 

provide the effective daily oil recovery 

capacity required. If the required capacity 

exceeds the applicable cap described in 

Table 6 of this appendix, then a vessel owner 

or operator must contract only for the 

quantity of resources required to meet the 

cap, but shall identify sources of additional 

resources as indicated in § 155.1050(p). For 

a vessel that carries multiple groups of oil, 

the required effective daily recovery capacity 


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for each group is calculated and summed 

before applying the cap. 

* * * * * 

7.3.1 The following must be determined: 

The total volume of oil carried; the 

appropriate group for the type of petroleum 

oil carried [persistent (groups II, III, and IV) 

or non-persistent (group I)]; and the 

geographic area(s) in which the vessel 

operates. For a vessel carrying different oil 

groups, each group must be calculated 

separately. Using this information, Table 3 of 

this appendix must be used to determine the 

percentages of the total oil volume to be used 

for shoreline cleanup resource planning. 

* * * * * 

8.1.1 A vessel owner or operator, as 

applicable under the regulations prescribed 

in this part, must plan either for a dispersant 

capacity to respond to a vessel’s worst case 

discharge (WCD) of oil, or for the amount of 

the dispersant resource capability as required 

by § 155.1050(k)(3) of this chapter, whichever 

is the lesser amount. When planning for the 

cumulative application capacity that is 

required, the calculations should account for 

the loss of some oil to the environment due 

to natural dissipation causes (primarily 

evaporation). The following procedure 

should be used to determine the cumulative 

application requirements: 

* * * * * 

16. In appendix C to Part 155— 

a. Revise paragraphs 2.2.3.1, 2.2.14, 

2.2.15, 2.2.15.1, 2.2.15.2, 2.2.15.3, 

2.2.15.4, and 2.2.15.5 to read as follows: 

Appendix C to Part 155—Training 

Elements for Oil Spill Response Plans 

* * * * * 

2.2.3.1 Operational activities associated 

with internal or external fuel and cargo 

transfers; 

* * * * * 

2.2.14 Actions to take, in accordance with 

designated job responsibilities, in the event 

of a transfer system leak, tank overflow, or 

suspected fuel or cargo tank or hull leak. 

2.2.15 Information on the oil handled by 

the vessel or facility, including familiarity 

with: 

2.2.15.1 Cargo material safety data sheets 

(including oil carried as fuel); 

2.2.15.2 Chemical characteristics of all 

oils carried as fuel or cargo; 

2.2.15.3 Special handling procedures for 

all oils carried as fuel or cargo; 

2.2.15.4 Health and safety hazards 

associated with all oils carried as fuel or 

cargo; and 

2.2.15.5 Spill and firefighting procedures 

for all oils carried as fuel or cargo. 

* * * * * 

PART 160—PORTS AND WATERWAYS 

SAFETY—GENERAL 

17. The authority citation for part 160 

continues to read as follows: 

Authority: 33 U.S.C. 1223, 1231; 46 U.S.C. 

Chapter 701; Department of Homeland 

Security Delegation No. 0170.1. Subpart C is 

also issued under the authority of 33 U.S.C. 

1225 and 46 U.S.C. 3715. 

§ 160.206 [Amended] 

18. In § 160.206, in Table 160.206— 

a. In Required information column, 

after item (1)(viii), add ‘‘(ix) USCG 

Vessel Response Plan Control Number, 

if applicable’’ and 

b. In each of remaining three columns 

of the newly added row (1)(ix), add an 

‘‘X’’. 

Dated: August 14, 2009. 

Lincoln D. Stroh, 

Captain, U.S. Coast Guard, Acting Director 

of Prevention Policy. 

[FR Doc. E9–20310 Filed 8–28–09; 8:45 am] 

BILLING CODE 4910–15–P 


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