1625-0036
Supporting Statement
for
Plan
Approval and Records for
U.S. and Foreign Tank Vessels Carrying
Oil in Bulk
A. Justification.
1) Circumstances that make the collection of information necessary.
Title 46 United States Code (USC) 3703 provides the Coast Guard with general authority to regulate the design, construction, alteration, repair, maintenance, operations and equipping of vessels carrying oil in bulk. Title 46 USC 3703a requires that new tank vessels carrying oil be fitted with double hulls or retired in accordance with a phase-out schedule that began January 1, 1995, and ends on January 1, 2015. Title 46 USC 3705-3707 prescribes minimum standards for design, construction and equipment for crude oil tankers and product tankers. These regulations state that vessels must be equipped with segregated ballast tanks (SBT), dedicated clean ballast tanks (CBT), or crude oil washing (COW). Title 46 USC 3710-3711 requires a Certificate of Inspection (COI) for each U.S. vessel, or a Certificate of Compliance for each foreign vessel, to indicate compliance with the regulations issued under Chapter 37 of 46 USC as a condition of operation. All collections of information in 33 CFR Part 157 pertaining to these requirements are outlined in detail in Table A, in the appendix.
This information collection supports the following strategic goals:
Department of Homeland Security
Protection
Prevention
Coast Guard
Maritime Safety
Maritime Stewardship
Prevention Directorate (CG-3P)
Safety: Eliminate deaths, injuries, and property damage associated with commercial maritime operations.
Human and Natural Environment: Eliminate environmental damage associated with maritime transportation and operations on and around the nation’s waterways.
2) By whom, how, and for what purpose the information is to be used.
General – Requirements for Classification Societies
Under the provisions of 33 CFR 157.04, the Coast Guard may authorize classification societies to perform certain plan reviews, certifications and inspection functions on the vessels they classify. The purpose of the application is to ensure that the classification society has sufficient information available to properly certify compliance with the Coast Guard standards and that information regarding the vessel will, if necessary, be available to the Coast Guard. The Coast Guard also requires the submission of copies of all the plans, calculations, records of inspections, and other documents used by the classification societies.
Submission of Plans, Technical Information and Operating Manuals
Current regulations covering both U.S. and foreign tank vessels carrying oil in bulk are outlined in 33 CFR Part 157. To show that a new U.S. or foreign vessel complies with the double-hull, SBT, CBT and COW requirements, it must submit the following documentation before it enters the navigable waters of the United States or the U.S. Exclusive Economic Zone:
Calculations to substantiate compliance with the tank arrangement and size requirements under Section 157.19, or a letter from the government of the vessel's flag state that certifies compliance with:
Section 157.19, OR
Regulation 24 of Annex I of the International Convention for the Prevention of Pollution from Ships, 1973 (MARPOL).
Plans and calculations to substantiate compliance with applicable segregated ballast and double hull requirements in Sections 157.09, 157.10, 157.10a, 157.10b, or 15710d, or certification from the government of the vessel's flag state that the vessel complies with the segregated ballast and double hull requirements in:
Sections 157.09, 157.10, 157.10a, 157.10b, or 157.10d, as applicable; OR
For a vessel to which Section 157.10d does not apply, Regulations 13 and 13E of MARPOL.
A majority of the requirements for both U.S. and foreign tank vessels are similar and we discuss them together where overall requirements, recordkeeping, appeals and exemptions address both U.S. and foreign tank vessels. We discuss the two separately where the specific requirements for COW and CBT are outlined, as seen below.
A. U.S. Tank Vessels
This information is required to determine if a vessel’s construction, arrangement and/or equipment meet the applicable standards in 33 CFR Part 157. While the regulations presently require the information to be submitted to the Coast Guard for approval, the Coast Guard recognizes that classification societies may, in some instances, perform essentially the same review for classification purposes.1
In those instances where the Coast Guard receives information for technical review (because the vessel owner chooses to use the documentation from a classification society or because the Coast Guard/classification society agreements do not cover the particular information), the plans submitted would normally be developed by a shipyard or equipment manufacturer for fabrication and/or operation of the vessel and its equipment. All such submissions are nonrecurring; they are normally made during vessel construction. Duplicate sets of plans are not required when more than one vessel is built to the same plans.
If this information were not required, compliance could still be determined by detailed inspections after completion. However, such inspections would be labor intensive (both to the Coast Guard and to vessel owners) and could result in costly modifications being required and associated delays to the vessels involved, but by submitting plans for review prior to vessel construction, the vessel owner is assured that the vessel’s design substantially complies with the applicable standards prior to fabrication.
Specific requirements for the submission of plans, technical information and operating manuals are contained in:
33 CFR 157.24 and 157.24a (Submission of calculations, plans and specifications)
33 CFR 157.10b(d) (Application for special ballast arrangement)
33 CFR 157.100, 157.108, 157.144, 157.146, 157.148, 157.150 (Requirements for crude oil washing)
33 CFR 157.200, 157.206, and 157.218 (Requirements for dedicated clean ballast systems)
The Coast Guard’s MISLE database shows that we have 6 tankships and 470 tank barges built since 2004. Tank barges, however, rarely take on ballast, so we searched the tank barge population to see how many have ballast pumps, to see how many would be affected by these requirements. We found only 12, since 2004. Thus the number of new U.S. tank vessels affected by this collection of information requirement since 2004 is 18 (= 6 + 12), which gives us an annual number of 6 new tank vessels (= 18/3).
Foreign Tank Vessels
The owner, operator or master of a new foreign tank vessel is, as described above, subject to the specific requirements for the submission of plans, technical information and operating manuals contained in:
33 CFR 157.24, 157.24a (general)
33 CFR 157.102, 157.110, 157.147, 157.148 and 157.150 (COW requirements for foreign tank vessels)
33 CFR 157.202, 157.208, 157.218 (dedicated clean ballast tanks for foreign tank vessels)
According to the Coast Guard's MISLE database, on average 59 new foreign tankships and NO tank barges (since 2001) were required to comply with regulations concerning double-hull, segregated-ballast, crude-oil-washing, and dedicated-clean ballast systems. Thus the number of new foreign vessels affected on an annual basis is 20 (=59/3). Each and every new foreign vessel must submit evidence that it complies with the double-hull, segregated-ballast, crude-oil-washing-system, and/or dedicated-clean-ballast-tank requirements before operating in U.S. waters and entering U.S. ports. According to the Coast Guard's MSMS database, 100% of the new foreign vessels are flagged in countries that comply with Annex I/II of MARPOL 73/78. Consequently, we expect all new vessels will have letters or documents from their governments or classification societies specifying compliance with equipment and construction requirements. In recent years, the Coast Guard has begun to rely more on classification societies to validate ship plans. Thus as long as the vessel’s SOLAS documentation is valid and/or they are certified by a recognized classification society the Coast Guard’s inspecting official will usually write the Certificate of Compliance during an onboard inspection. As such, the burden hours to the vessel and the government only consist of the period of time that an average vessel inspection takes.
Recordkeeping
All tank vessels, both U.S. and foreign
The Coast Guard has found that it is administratively necessary to provide letters to the vessels indicating compliance with certain of the various standards. Those letters must be maintained on board the vessel for enforcement purposes. This is because technical review of a vessel’s plans may precede by several months the inspection of the vessel and final approval (if required) of the systems, and/or amendment of the Certificate of Inspection for a U.S. tank vessel, or a Certificate of Compliance for a foreign tank vessel. Specific requirements for documentation are designed to ensure that sufficient information is provided to vessel personnel for the safe and proper operation of the vessel and its required equipment. As such, an instruction manual is required to be available on board.
33 CFR 157.23, 157.49.
33 CFR 157.116, and 157.118 to indicate approval or design compliance of COW system.
33 CFR 157.214, and 157.216 to indicated approval or design compliance of CBT.
33 CFR 157.310(e) and 157.310(f), evidence of exemption from the standards as allowed by 33 CFR 157 Subpart F.
If this information were not available Coast Guard inspection personnel would not be assured that the technical aspects of the required systems were satisfactory prior to conducting vessel inspections.
Appeals
All tank vessels, both U.S. and foreign
These regulations provide a means of appealing requirements or applying for waivers or exemptions from the regulatory standards or requirements. These are “on occasion” reports. They must be made in writing except that provision is made for an initial oral appeal if the delay involved in presenting a written appeal would have an adverse impact on the appellant. Provisions for such reports are contained in:
33 CFR 157.06 for appeal of any decision made by the Coast Guard under 33 CFR Part 157. The appeal is initially made to the Coast Guard official who made the decision.
Exemptions
All tank vessels, both U.S. and foreign
Applications for exemption from the rules are permitted and outlined in:
33 CFR 157.302, which allows for application for exemption from the requirements for CBT, SBT, or COW as provided by 46 USC 3709. The application is made only one time per vessel.
If this information were not collected, administrative appeal of Coast Guard decisions would be hampered.
3) Consideration of the use of improved information technology.
The information specified above is vessel specific: they are one-time or on occasion submissions and generally take the form of vessel or equipment plans or operating manuals. The Coast Guard Marine Safety Center (MSC) has a Web site that details how a respondent may submit plans electronically for review. The MSC, using its MASCOT database, estimates that 30% of all materials they receive come in via electronic format.
4) Efforts to identify duplication. Why similar information cannot be used.
The Coast Guard is the only Federal agency that requires or collects this information from foreign and U.S. ships. In cases where a foreign vessel is duly certified as meeting an equivalent international standard in MARPOL 73/78, plan submission is not required. Areas have been identified where the Coast Guard’s standards parallel those of the American Bureau of Shipping (ABS) (a classification society). In areas where the standards are similar, the Coast Guard has developed procedures (published under NVIC 1-81, NVIC 10-82, and NVIC 2-95), to eliminate duplication of effort. Under these procedures the Coast Guard accepts ABS approval of plans for hull structures and certain engineering systems, such as COW systems, on those vessels that the owner/operator chooses to voluntarily classify with ABS. On foreign vessels the flag state government or a classification society often has similar standards. The regulations contain procedures for Coast Guard acceptance of certification by flag states or classification societies. No similar information is available. The regulations allow foreign vessel owners to seek certification their vessel’s compliance with these standards through the use of the load line authorities and classification societies authorized by the vessel’s flag state. This decreases the paperwork submitted to the Coast Guard.
5) Methods to minimize the burden to small businesses if involved.
There are small entities that operate smaller vessels, such as inland tank barges. However, the information currently submitted for those vessels under 46 CFR 31.10-5 (1625-0038) will contain the information required under 33 CFR 157. Since duplicate submittals are not required, those small entities will have no additional collection of information burden under 33 CFR Part 157. No specific effort is made to reduce the burden on small organizations; however, the burden is minimized through the use of the procedures in NVIC 1-81, NVIC 10-82 (CH-2), and NVIC 2-95 accepting those plans/manuals developed as a standard business practice for review.
6) Consequences to the Federal program if collection were conducted less frequently.
The information collections specified above are on-occasion, required prior to initial issuance of a Certificate of Inspection or Certificate of Compliance, or as the need arises. They are generally one-time submissions on a per-vessel basis. If the data were collected less frequently, the Coast Guard would not be assured that U.S. and foreign tank vessels operating in U.S. waters comply with the applicable standards
7) Explain any special circumstances that would cause the information collection to be conducted in a manner inconsistent with guidelines.
The information collection and recordkeeping requirements are consistent with 5 CFR 1320.6.
8) Consultation.
A 60 day Notice was published in the Federal Register to obtain public comment on this collection. (See [USCG-2007-29053], October 5, 2007 72 FR 57053) The USCG has not received any comments on this information collection.
9) Explain any decision to provide any payment or gift to respondents.
No payments or gifts are being provided to respondents.
10) Describe any assurance of confidentiality provided to respondents.
All information collected complies with the Freedom of Information Act (FOIA), the Privacy Act, and OMB Circular A-108. Information is collected only on a vessel-by-vessel basis. There are no personal or organizational identifiers used and none of the information collected concerns individuals. Confidentiality is promised, when requested, for information exempt from the mandatory public disclosure requirements of FOIA, or when the information is proprietary in nature and identified as such. The basis for confidentiality is contained in 49 CFR 7, Public Availability of Information.
11) Additional justification for any questions of a sensitive nature.
All necessary justification has been outlined in the above sections and in section 12 below.
12) Estimates of reporting and recordkeeping hour and cost burdens of the collection of information.
There are 6,015 oil carrying U.S. and foreign tank vessels and 5 classification societies affected, for a total of 6,020 annual respondents.
There are 6,062 responses called by the requirements in this collection.
The total annual burden of the requirements in this collection is 1,253 hours. A cost per hour of $81 is used for all submissions, appeals, recordkeeping, etc., which is a wage rate equivalent of an O-5 Coast Guard personnel in industry per Enclosure (2) to COMDINST 73101.1J. The total annual cost as shown below is $101,493.
Table 2
Annual Paperwork Burden and Cost for
Tank Vessels Carrying Oil in Bulk
Subject |
33 CFR Part 157 cite |
# of Respondents |
# of Responses |
Burden per Response (hours) |
Annual Burden (hours) |
Annual Cost ($81/hour wage rate) |
Classification Societies
|
157.04 (b), (c)(3) thru (6) |
5 |
20 |
1 |
20 |
$1,620 |
U.S. Tank Vessels – submission of plans, technical information and operating manuals |
157.10b(d), 24, 24a, 100, 108, 144, 146, 148, 150, 200, 206, 218 |
2 tankships; 4 tank barges |
6 |
1 |
6 |
$486 |
Foreign Tank Vessels –submission of plans, technical information and operating manuals |
157.24, 24a, 102, 110, 147, 148, 150, 202, 208, 218 |
20 tankships; 0 tank barges |
20 |
1 |
20 |
$1,620 |
Recordkeeping – U.S. and foreign vessels |
157.23, 24, 24a, 49, 116, 118, 214, 216, 310 (e) and (f)
|
178 U.S. tankships; 2,558 U.S. tank barges; 3,279foreign tankships |
6,015 |
0.20 |
1,203 |
$97,443 |
Appeals – U.S. and foreign vessels |
157.06 |
|
1 |
4 |
4 |
$324 |
Exemptions – U.S. and foreign vessels |
157.302 |
|
0 |
8 |
0 |
|
TOTAL
|
|
|
6,062 |
|
1,253 |
$101,493 |
Requirements for classification societies.
The Coast Guard does not expect new classification societies to apply for authorization to perform plan reviews, certifications, and inspections. Currently there are 5 societies recognized by the U.S. Coast Guard that must send copies of their reviews, certifications, and inspections to the Coast Guard. They are the following:
American Bureau of Shipping (ABS)
Det Norske Veritas (DNV)
Germanischer Lloyd (GL)
Lloyd’s Register (LR)
Bureau Veritas (BV)
The Coast Guard estimates that classification societies perform 75% all reviews, certifications and inspections that relate to the requirements in this submission. Since there are a total of 26 new U.S. and foreign tank vessels, we assume 75% of those – 20 of them – are handled by the classification societies. We assume it takes approximately an hour for the classification societies to make copies to submit to the Coast Guard.
Submission of plans, technical information or operating manuals.
U.S. Tank Vessels: Plan submissions are made during vessel construction or prior to a vessel modification. From informal contacts with the industry it has been determined that the incremental burden of preparing an additional copy of a plan or manual for submission to the Coast Guard (plans are normally submitted by the shipyard or design agent to the vessel owner, and additional copies are made for distribution within the shipyard, etc.) is approximately 1 hour. An hour is assumed for vessels approved by classification societies and for those approved by the Coast Guard, since it is an overall average of the time needed.
Foreign Tank Vessels:
Using the Coast Guard's MISLE database, we estimate 59 new foreign vessels were introduced to U.S. waters since 2001, and thus we assume there are approximately 20 each year (=59/3). Each and every new foreign vessel must submit evidence that it complies with the double-hull, segregated-ballast, crude-oil-washing-system, and dedicated-clean-ballast-tank requirements before operating in U.S. waters and entering U.S. ports. According to the Coast Guard's database, 100% of the new foreign vessels are flagged in countries that comply with Annex I/II of MARPOL 73/78. Consequently, we expect all new vessels will have letters or documents from their governments or classification societies specifying compliance with equipment and construction requirements.
In recent years, the Coast Guard has begun to rely more on classification societies to validate ship plans. Thus, as long as the vessel’s SOLAS documentation is valid and/or they are certified by a recognized classification society, the Coast Guard’s inspecting official will usually write the Certificate of Compliance during an onboard inspection. As such, the burden hours to the vessel and the government consist primarily of the time period that an average vessel inspection takes and we estimate it to take approximately 1 hour per vessel total.
Recordkeeping requirements to ensure availability of information to vessel operating personnel.
These recordkeeping requirements are for maintaining instructions or operating manuals on board a vessel, and to retain evidence of compliance with regulatory standards; none require the periodic tabulation of data. We estimate approximately 12 minutes (0.20 hours) are taken per recordkeeping item. Based on the Coast Guard’s MISLE database, we estimate that 6,015 U.S. and foreign tank vessels currently operating are required to retain this documentation on board annually. There are 178 U.S. tankships, 2,558 U.S. tank barges with ballast pumps, and 3,279 foreign tankships (we estimate that about 50% of a total of 6,538 foreign tankships come in to U.S. waters annually – a conservative estimate), which gives us the total of 6,015. The recordkeeping requirements and their estimated annual burden hours are listed above in Table 1.
Appeals and Exemptions
Appeals, exemption requests and waivers are made “on occasion,” as determined by the appellant. It is assumed that the preparation of an appeal requires approximately 4 hours, and the preparation of an exemption request requires about 8 hours. The Coast Guard estimates there will be one appeal annually and no applications for exemptions.
13) Estimates of annualized capital and start-up costs.
There are no annualized and start-up capital costs.
14) Estimates of annualized Federal Government costs.
The cost to the Federal government is 1) the cost of reviewing the plans and documents relating to CBT, COW, double hull, etc. submitted to the Coast Guard for approval, and 2) checking documents submitted to the Coast Guard for all other vessels approved by the classifications societies. The cost of the FIRST component has been determined by deriving the cost to the Coast Guard for processing a single plan submitted for technical review, and estimating the number of plans to be submitted for review under this supporting statement. Since the Coast Guard has, under the provision of 33 CFR 157.04, delegated the plan review required by the applicable regulations to five classification societies, the classification societies now review approximately 75% of all plans. Thus the number of submissions left to the Coast Guard is about 25% of all tank vessels, which amounts to 7 (=0.25*(20+6)). Coast Guard’s Marine Safety Center, which conducts all the reviews, estimates that it takes approximately 10 hours per review for a new vessel. The SECOND component is smaller since only some parts of the review are checked since it has already been approved by the classification societies, and takes approximately 5 hours per vessel.
Virtually all the Federal burden of items covered by this supporting statement is borne by the Coast Guard’s Marine Safety Center (MSC). The MSC has the primary responsibility for review and processing of vessel plans and technical drawings for construction and/or modification of U.S. vessels subject to inspection requirements. Table 2 below outlines the hour burden and cost to the Coast Guard resulting from the requirements in this submission.
Table
2
Annual Burden and Cost to the Coast Guard
|
Number of Responses |
Burden per Response (Hours) |
Annual Burden (Hours) |
Annual Cost ($) |
Review of plans, certifications and inspections of U.S. vessels or foreign vessels that wish to be approved by the Coast Guard.
|
7 |
10 |
70 |
$5,110 |
Review of documentation for vessels approved by classification societies
|
20 |
5 |
100 |
$7,300 |
Preparation of appeals.
|
1 |
40 |
40 |
$2,920 |
Total Hours
|
|
|
210 |
$15,330 |
Using a $73 dollars per hour wage2, the annual cost to the Coast Guard is $15,330.
15) Explain the reasons for the change in burden.
The change in burden is an ADJUSTMENT due to a change in the tank vessel population. The large change in estimated tank vessel population is due to a correction in the database query used to determine populations and the use of the new vessel database (MISLE vs. MSIS).
16) For collections of information whose results are planned to be published for statistical use, outline plans for tabulation, statistical analysis and publication.
This information is not to be published for statistical use.
17) Explain the reasons for seeking not to display the expiration date for OMB approval of the information of collection.
We are not seeking such approval. The OMB Number will appear on appropriate PRA disclosure information.
18) Explain each exception to the certification statement.
There are no exceptions to the certification statement.
B. Collection of Information Employing Statistical Methods.
This information collection does not employ statistical methods.
APPENDIX
Table
A
Subject and Affected Population, CFR and Number of Respondents
Subject and Affected Population |
33 CFR |
Respondents |
Subpart A – General |
|
|
Authorizing classification societies to perform plan reviews, certifications and inspections & Appeals.
|
157.04(b), (c)(3) – (6)
157.06 |
5 (Classification societies perform 75% of all plan reviews).
1 appeal annually. |
Subpart B – Design, Equipment, and Installation |
|
|
|
157.10b(d)
157.23
157.24
157.24a |
6 U.S. and 20 foreign new tank vessels, for a total of 26 new vessels. |
Subpart C – Vessel Operation |
|
|
Availability and use of the cargo and ballast system instruction manual.
|
157.49 |
6,015 U.S. and foreign tank vessels annually in U.S. waters. |
Table A (Continued)
Subject and Affected Population |
33 CFR |
Respondents |
Subpart D – Crude Oil Washing (COW) System on Tank Vessels |
|
|
Submission of COW plans for U.S. tank vessels.
|
157.100
157.108
157.116
157.144
157.146
157.148
157.150 |
6 new U.S. tank vessels. |
Submission of COW plans for foreign tank vessels.
|
157.102
157.110
157.118
157.147
157.148
157.150 |
20 new foreign tank vessels. |
Table A (Continued)
Subject and Affected Population |
46 CFR |
Respondents |
Subpart E – Dedicated Clean Ballast Tanks on Tank Vessels |
|
|
Dedicated clean ballast tanks for U.S. tank vessels.
|
157.200
157.206
157.214
157.218 |
6 new U.S. tank vessels. |
Dedicated clean ballast tanks for foreign tank vessels.
|
157.202
157.208
157.216
157.218 |
20 new foreign tank vessels. |
Exemptions |
||
|
157.302
157.310(e) and (f) |
None.
None. |
1 To eliminate duplication of efforts, the Coast Guard has issued three Navigation and Vessel Inspection Circulars (NVICs), “Guidance for Enforcement of the Requirements of the Port and Tanker Safety Act of 1978 (PTSA) pertaining to SBT, CBT, COW, IGS, Steering Gear, And Navigation Equipment for Tank Vessels,” (NVIC 1-81), “Vessel Plan Review and Inspection by the American Bureau of Shipping (ABS)” (NVIC 10-82, CH-2), and “U.S. Coast Guard’s ABS Based Alternate Compliance Program” (NVIC 2-95), that indicate those areas where Coast Guard Officers in Charge, Marine Inspection, should accept documentation from classification societies as evidence of compliance.
2 This is the equivalent of an O-4 Coast Guard personnel in government per Enclosure (2) to COMDINST 73101.1J.
| File Type | application/msword |
| File Title | Supporting Statement |
| Author | USCG |
| Last Modified By | Kenlinishia Ann Tyler |
| File Modified | 2008-02-13 |
| File Created | 2008-02-13 |