[Federal Register Volume 75, Number 88 (Friday, May 7, 2010)]
[Proposed Rules]
[Pages 25137-25150]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-10723]
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DEPARTMENT OF HOMELAND SECURITY
Coast Guard
33 CFR Parts 173, 174, 181, and 187
[Docket No. USCG-2003-14963]
RIN 1625-AB45
Changes to Standard Numbering System, Vessel Identification
System, and Boating Accident Report Database
AGENCY: Coast Guard, DHS.
ACTION: Notice of proposed rulemaking.
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SUMMARY: The Coast Guard proposes to amend its rules related to
numbering of undocumented vessels and reporting of casualties. These
changes would align and modernize terminology used in the Standard
Numbering System (SNS), the Vessel Identification System (VIS), and
casualty reporting; require validation of vessel hull identification
numbers; require SNS vessel owners to provide personally identifiable
information; and provide administrative flexibility for States.
Together, the proposed changes would improve recreational boating
safety efforts, enhance law enforcement capabilities, advance maritime
security, and clarify requirements for all stakeholders.
DATES: Comments and related material must either be submitted to our
online docket via http://www.regulations.gov on or before August 5,
2010 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 August 5, 2010.
ADDRESSES: You may submit comments identified by docket number USCG-
2003-14963 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.
[[Page 25138]]
(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 four methods.
See the ``Public Participation and Request for Comments'' portion of
the SUPPLEMENTARY INFORMATION section below for instructions on
submitting comments.
Collection of Information Comments: If you have comments on the
collection of information discussed in section V.D of this NPRM, 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 e-
mail to [email protected] (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, write, call or e-mail Mr. Jeff Ludwig at 2100 2nd St., SW. Stop
7581, Washington, DC 20593-7581; telephone 202-372-1061, or e-mail
[email protected]. If you have questions on viewing or
submitting material to the docket, call 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
IV. Discussion of Proposed Rule
V. Regulatory Analyses
A. Regulatory Planning and Review
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
M. Environment
I. Public Participation and Request for Comments
We encourage you to participate in this rulemaking by submitting
comments and related materials to us. All comments received will be
posted without change to http://www.regulations.gov and will include
any personal information you provide.
A. Submitting Comments
If you submit a comment, please include the docket number for this
rulemaking (USCG-2003-14963), indicate the specific section of this
document to which each comment applies, and provide a reason for each
suggestion or recommendation. You may submit your comments and material
online or by fax, mail, or hand delivery, but please use only one of
these means. 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.
To submit your comment online, go to http://www.regulations.gov,
click on the ``submit a comment'' box, which will then become
highlighted in blue. In the ``Document Type'' drop down menu select
``Proposed Rule'' and insert ``USCG-2003-14963'' in the ``Keyword''
box. Click ``Search''; 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 8\1/2\ by 11
inches, suitable for copying and electronic filing. If you submit
comments by mail and would like to know that they have reached the
Facility, please enclose a stamped, self-addressed postcard or
envelope.
We will consider 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,
click on the ``read comments'' box, which will then become highlighted
in blue. In the ``Keyword'' box insert USCG-2003-14963 and click
``Search.'' Click the ``Open Docket Folder'' in the ``Actions'' column.
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 that allows you 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 do not plan to hold a public meeting. But you may submit a
request for one to the docket using one of the methods specified under
ADDRESSES. In your request, explain why you believe a public meeting
would be beneficial. If we determine that one would aid this
rulemaking, we will hold one at a time and place to be announced by a
later notice in the Federal Register.
II. Abbreviations
BARD Boating Accident Report Database
CFR Code of Federal Regulations
DHS Department of Homeland Security
FR Federal Register
HIN Hull Identification Number
NBSAC National Boating Safety Advisory Council
PII Personally Identifiable Information
Sec. Section symbol
SNS Standard Numbering System
U.S.C. United States Code
VIS Vessel Identification System
III. Background
Coast Guard regulations in 33 CFR parts 173 and 174 implement two
statutory mandates relating to undocumented vessels equipped with
propulsion machinery of any kind. First, the regulations provide for a
Standard Numbering System (SNS) that assigns unique identification
numbers to those vessels, as required by 46 U.S.C. 12302. Each State
voluntarily uses the SNS to number vessels that are registered in that
State.\1\ Second, the regulations provide for the uniform reporting by
each State of recreational vessel casualty and accident data, as
required by 46 U.S.C. 6102. We maintain a Boating
[[Page 25139]]
Accident Report Database (BARD) for this data.
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\1\ If a State does not have a numbering system consistent with
the SNS, or does not issue identification numbers to vessels
registered in that State, the Coast Guard issues those vessels
identification numbers under the SNS. ``State'' is defined in 33 CFR
173.3 as ``a State of the United States, the Commonwealth of Puerto
Rico, the Virgin Islands, Guam, American Samoa, the Commonwealth of
the Northern Mariana Islands, and the District of Columbia.''
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We are also statutorily required to maintain a Vessel
Identification System (VIS) that covers not only the undocumented
vessels to which SNS applies, but also documented vessels and any
vessel titled under State law (46 U.S.C. 12501). VIS makes vessel
identification information available, for law enforcement or other
purposes, to the Coast Guard and to States that voluntarily comply with
its data sharing requirements. VIS was developed in coordination with
relevant State agencies and became operational in 2007. To date, many
States have opted to participate in VIS. VIS regulations appear in 33
CFR part 187.
Because of our role as the coordinator of the National Recreational
Boating Safety Program, our leadership position in maritime law
enforcement and maritime security efforts, and our partnership with
other Federal and State agencies with similar responsibilities, we seek
continual improvement in the efficiency and effectiveness of SNS, BARD,
and VIS. This rulemaking proposes several changes that are intended to
further those improvements. Many of the proposed changes were initially
suggested by the National Boating Safety Advisory Council (NBSAC), a
21-member group that operates under the Federal Advisory Committee Act
to advise the Coast Guard on recreational boating safety issues. NBSAC
consists of seven representatives of State officials responsible for
State boating safety programs; seven representatives of recreational
vessel manufacturers and associated equipment manufacturers; and seven
representatives of national recreational boating organizations and from
the general public, at least five of whom must be representatives of
national recreational boating organizations.
IV. Discussion of Proposed Rule
We propose the following changes. We intend to phase-in many of the
most substantive proposed changes over three years, and we specifically
invite public comment on whether that phase-in period is adequate.
Terminology alignment. We propose aligning the terminology used by
SNS, BARD, and VIS to describe recreational vessels and their
operation. This will leverage our ability to coordinate data from all
three databases to facilitate boating safety, law enforcement, and
maritime security purposes.
Terminology modernization and harmonization. We propose updating
the terminology used by SNS, BARD, and VIS to reflect today's
recreational boating environment. For example, we propose new language
to recognize the increased use of personal watercraft, towed
watersports, and pod drive propulsion systems; and updated terminology
to describe how recreational vessels are operated. We will also
harmonize language in our regulations with wording changes made in the
1983 revision of Title 46 of the U.S. Code.
Hull identification numbers (HINs). We propose requiring the States
administering SNS to ensure that each SNS-registered vessel built after
November 1, 1972, when the original HIN regulations took effect, has or
obtains a valid HIN. Many vessels that are required to have a valid HIN
either lack any HIN or have a HIN that does not comply with current
requirements. This proposal is intended to help deter theft and improve
law enforcement and maritime security capabilities by ensuring that law
enforcement officers can readily identify vessels by their HIN and, in
turn, identify their rightful owners.
Unique personal identifiers. For VIS vessel owners, we currently
collect personally identifiable information (PII), like taxpayer
identification numbers, as required by 46 U.S.C. 12501. This PII has
high value for law enforcement and maritime security purposes because
it provides unique information connecting individuals with the vessels
they own. Additionally, 46 U.S.C. 12501(a)(2) and (b) require that the
VIS contain the PII of the owners of vessels numbered under the SNS.
Therefore, we propose requiring the collection of PII for SNS as well
as VIS. This proposed change would align the SNS and VIS data elements
that States must collect, which will facilitate law enforcement and
maritime safety efforts by broadening and aligning the data available
in these two systems, and may make it easier for States to decide to
participate in VIS.
Administrative flexibility. We propose some changes that would
provide additional administrative flexibility for States. For example,
we propose adding waiver provisions to VIS regulations in 33 CFR
187.11. Waivers could allow a State to participate temporarily in VIS,
despite the need for new State legislation or other action to bring the
State into full compliance with our regulations, under a memorandum of
agreement that sets conditions intended to ensure effective
participation.
Table 1 shows how these changes would apply to specific sections of
Title 33 of the CFR. It omits discussion of several non-substantive
style or format changes made solely to improve clarity or internal
organization.
Table 1--Changes Proposed for 33 CFR
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CFR section affected Proposed changes Discussion
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*Note: Substantive changes proposed for sections marked with an asterisk
(*) in this table would be phased in over three years.
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Purpose, Sec. 173.1....... Clarify that Part Clarification.
173 has preemptive
effect over State
or local regulation.
Definitions, Sec. 173.3... Add or revise Align with
definitions. substantive changes
elsewhere in the
proposal.
Vessel number required, Sec. Substitute ``State Modernize/harmonize
173.15. of principal terminology.
operation'' for
``State in which
the vessel is
principally used.''
Other numbers prohibited, Substitute Modernize/harmonize
Sec. 173.19. ``operate'' for terminology.
``use.''.
Certificate of number Substitute Modernize/harmonize
required, Sec. 173.21. ``operate'' and terminology.
``operated'' for
``use'' and
``used.''
Inspection of certificate, Substitute Modernize/harmonize
Sec. 173.23. ``operating'' for terminology.
``using.''.
Location of certificate of Substitute Modernize/harmonize
number, Sec. 173.25. ``operate'' for terminology.
``use.''.
Removal of number, Sec. Substitute Modernize/harmonize
173.33. ``operated'' for terminology.
``used.''.
Coast Guard validation Substitute Modernize/harmonize
sticker, Sec. 173.35. ``operate'' for terminology.
``use.''.
Applicability, Sec. 173.51 Substitute Modernize/harmonize
``operated'' for terminology.
``used.''.
[[Page 25140]]
Contents of report,* Sec. Amend current (c)(10), (c)(21)-
173.57. section so that it (c)(24): Align and
remains in effect modernize/harmonize
only until January terminology.
of the year
following the third
anniversary of the
final rule's taking
effect.
Add new (c), (c)(14), (c)(16):
containing Facilitate accident
provisions that investigations by
would take effect collecting
in January of the information about
year following the the owners of
third anniversary damaged property
of the final and about fire
rules's taking extinguishers on
effect. vessels involved in
accidents.
The phase-in period
allows adequate
time for transition
and ensures a
uniform date for
revising the data
to be reported in
all States.
Where to report, Sec. Delete option of Require report to be
173.59. reporting accident filed where
elsewhere than in accident occurred
the State where the because this has
accident occurred. greater relevance
than a report to
the State of
principal operation
or of certificate
issuance.
Application for and issuance Authorize issuance Clarify authority
of certificate of number, of original or and make it
Sec. 173.71. duplicate explicit. Modernize/
certificates. harmonize
terminology.
Duplicate certificate of Remove section...... Transfer substance
number, Sec. 173.73. to Sec. 173.71.
Validity of certificate of Substitute Modernize/harmonize
number, Sec. 173.77. ``operated'' for terminology.
``used.''.
Issuing authorities and Substitute Modernize/harmonize
reporting authorities, 33 ``operation'' for terminology.
CFR Part 173, Appendix A. ``use.''.
Applicability, Sec. 174.1. Clarify that Part Clarification.
174 has preemptive
effect over State
or local regulation.
Definitions, Sec. 174.3... Add or revise Align with
definitions. substantive changes
elsewhere in the
proposal.
Verification of hull Require States to Per text discussion
identification number,* verify vessel's of HINs.
Sec. 174.16. compliance with HIN
requirements, or to
assign valid HIN,
using methods of
the State's choice.
Allow States up to Effective date is
three years to intended to give
implement the the states up to
changes. three years to
implement the
changes. States
will have up to
three additional
years to update
boat registration
information
depending on
registration cycle.
Contents of application for Require unique Per text discussion
certificate of number,* personal identifier. of unique personal
Sec. 174.17. identifiers. Align
and modernize/
harmonize
terminology.
(c) Allow States up Up to three years
to three years to after final rule
implement the for States to
changes. implement changes.
Up to three
additional years
for States to
update boat
registration.
Contents of a certificate of Delete current Eliminate option, to
number,* Sec. 174.19. option for owners facilitate data
of vessels with verification for
HINs to omit law enforcement and
information about maritime security
the vessel's make, purposes by
manufacture date, ensuring that full
length, type, hull information is
material, available for
propulsion method, enforcement or
and fuel; and make security personnel.
other minor changes. Align and modernize/
harmonize
terminology.
Allow States up to Up to three years
three years to after final rule
implement the for States to
changes. implement changes.
Up to three
additional years
for States to
update boat
registration.
Temporary certificates,* Clarify, add HIN as Per text discussion
Sec. 174.21. required of HINs. Clarify
information, and modernize/
substitute harmonize
``operated'' for terminology.
``used.''
Allow States up to Up to three years
three years to after final rule
implement the for States to
changes. implement changes.
Up to three
additional years
for States to
update boat
registration.
Forwarding of casualty or Add electronic Allow for choices in
accident reports, Sec. submission option. reporting method,
174.121. Change address. align with Federal
e-Government
initiatives, and
update information.
Coast Guard address, Sec. Change address...... Update information.
174.125.
Purpose and applicability, Clarify that Part Clarification.
Sec. 181.1. 181 has preemptive
effect over State
or local regulation.
Definitions, Sec. 181.3... Add or revise Align with
definitions. substantive changes
elsewhere in the
proposal.
Hull identification numbers Add new (b) (revise Per text discussion
required, Sec. 181.23. and relocate of HINs.
current language
from Sec.
181.31(c)).
Substitute ``agency Provide flexibility
designated by the for States to
issuing authority'' designate, as HIN
for references to number assignor,
the State boating agencies other than
law administrator. the State boating
law administrator.
[[Page 25141]]
Manufacturer identification Remove (c)
code assignment, Sec. (relocated to Sec.
181.31. 181.23).
How is a State's Revise section...... Per text discussion
participation in VIS of administrative
documented? Sec. 187.11. flexibility.
What information must be Add ``of vessel'' in Clarify (h) and
collected to identify a (h), and revise (i)- align and modernize/
vessel? Sec. 187.103. (n). harmonize
terminology in (i)-
(n).
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V. 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. Regulatory Planning and Review
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. The Office of Management and
Budget has not reviewed it under that Order.
A combined ``Preliminary Regulatory Analysis and 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:
Coast Guard regulations in 33 CFR parts 173 and 174 implement two
statutory mandates relating to undocumented vessels equipped with
propulsion machinery of any kind. First, the regulations provide for an
SNS that assigns unique identification numbers to those vessels, as
required by 46 U.S.C. 12302. Second, the regulations provide for the
uniform reporting by each State \2\ of recreational vessel casualty and
accident data, as required by 46 U.S.C. 6102. The Coast Guard maintains
a Boating Accident Report Database (BARD) that contains this
information.
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\2\ Throughout the Regulatory Analyses section, ``State'' refers
not only to a State of the United States, but also to the
Commonwealth of Puerto Rico, the Virgin Islands, Guam, American
Samoa, the Commonwealth of the Northern Mariana Islands, and the
District of Columbia.
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The Coast Guard is statutorily required to maintain a Vessel
Identification System (VIS), which covers not only the undocumented
vessels to which SNS applies, but also documented vessels and any
vessel titled under State law. VIS comprises a nationwide information
system for identifying recreational, commercial, and public vessels
that are numbered or titled under the laws of a state or territory. VIS
includes information identifying vessels, vessel owners and information
to assist law enforcement officials in the investigation of stolen
vessels or other legal investigation, such as fraud. That information
includes the personally identifiable information required by 46 U.S.C.
12501(a)(2) and (b).
The Coast Guard proposes to amend its rules to promote uniformity
between the Standard Numbering System (SNS), the Vessel Identification
System (VIS), and Boating Accident Report Database (BARD).
The proposed changes would enhance the capabilities of Federal,
State, and local boating safety and law enforcement officials. These
proposed changes would result in additional costs and benefits. In
general, this rulemaking would:
Require issuance of a valid HIN to vessels that do not
already have one. This would be phased in only as certificates of
number are issued or renewed or upon the transfer of a vessel's
ownership.
Align terminology used by SNS, BARD, and VIS to describe
recreational vessels and their operation.
Modernize terminology to reflect statutory usage and
current recreational vessel types, operations and equipment. States
would have up to three years in which to update their systems to use
the newer terminology.
Require the collection of unique identification
information for each vessel owner who applies for an SNS number. States
would have up to three years in which to implement this change.
Provide administrative flexibility for States to
designate, as HIN number assignor, agencies other than the State
boating law administrator.
We estimate that this proposed rule would affect approximately 12.4
million recreational vessels. The harmonization of terminology and the
additional questions on the forms used to collect the data for the SNS
would affect all recreational vessels. The harmonization of terminology
and the additional questions on the forms used to collect information
from boating casualties would affect those recreational vessels
involved in boating accidents. There are approximately 5,094 boating
accidents annually. Approximately 91 percent of recreational boats
affected by this rulemaking appear to be in compliance with the HIN
requirement already, leaving 9 percent potentially needing to have the
HIN verified or affixed.\3\
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\3\ We obtained information on boat hull identification numbers
from Info-Link, which is the company that administers the Coast
Guard's Vessel Identification System.
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The implementation of these requirements would begin in the third
year of the effective date of the proposed rule, so costs would be
incurred during the third year of the period of analysis. There would
be a three-year implementation period for requirements from the third
year through the fifth year. We estimated the total average costs of
this rulemaking over a 10-year period as summarized in Table 1. Costs
are presented as undiscounted and discounted estimates.
Table 1--Summary of Costs
[Millions of dollars]
------------------------------------------------------------------------
Discount rate
Year Undiscounted -----------------
7% 3%
------------------------------------------------------------------------
1....................................... $0.0 $0.0 $0.0
2....................................... 0.0 0.0 0.0
3....................................... 16.5 13.5 15.1
4....................................... 10.2 7.8 9.0
5....................................... 7.9 5.6 6.8
6....................................... 3.8 2.5 3.2
7....................................... 3.8 2.4 3.1
8....................................... 3.8 2.2 3.0
9....................................... 3.8 2.1 2.9
10...................................... 3.8 1.9 2.8
-------------------------------
Total............................... 53.6 38.0 46.0
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* Figures may not total due to rounding.
In the initial year of implementation (year 3), we estimate the
cost of the rulemaking to be $16.5 million (undiscounted). We estimate
the annual recurring costs to be $3.8 million (undiscounted) after the
three-year implementation period. We estimate the total present value
cost over a 10-year period of analysis to be $38.0 million,
[[Page 25142]]
discounted at 7 percent, and $46.0 million, discounted at 3 percent.
The main cost driver for this proposed rule is the verification of
the HIN by the issuing authority with documentation or visual
inspection of the vessel when no proper record of the HIN exists. The
issuing authority, usually the State, would have the option to choose
the most suitable verification method. For example, some States might
require the vessel owner to take the vessel to a specific location for
verification, while others might assign personnel to conduct
verification at marinas or merely require the vessel owner to file a
sworn compliance affidavit. The HIN verification makes up over 90%
percent ($15.3 million, non-discounted) of the first-year cost of
implementation and over 70% ($2.8 million, non-discounted) of the
annual recurring cost after the three-year implementation period of
this proposed rule.
In this rulemaking, the Coast Guard is proposing requirements that
are intended to improve the information within various databases by
increasing the quality of the information and by harmonizing
terminology. This enhanced information and subsequent cross-reference
between the databases is a benefit that would accrue to all users of
these databases. The Coast Guard and other users of the SNS, VIS and
BARD information utilize it in their decision-making processes.
Sometimes these are decisions made by law enforcement in the field,
such as boarding officers, in determining how best to investigate an
accident involving a vessel.\4\ The information would also prove useful
in decision-making and analysis when it comes to future boating safety
rulemakings.
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\4\ See the Collection of Information OMB 1625-0108 supporting
documentation for further information.
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Some of the benefits of the proposed HIN verification may accrue to
the boat-owner or other entity associated with the vessel. For example,
a verified HIN properly linked to the boat-owner can aid in the return
of a stolen vessel.
The ``Preliminary Regulatory Analysis and Initial Regulatory
Flexibility Analysis'' available on the docket provides additional
detail on the costs and benefits of this rulemaking. The Coast Guard
urges interested parties to submit comments that specifically address
the economic impacts of this rulemaking. Comments can be made as
indicated in the ADDRESSES section.
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 dominant in their
fields, and governmental jurisdictions with populations of fewer than
50,000 people.
A combined ``Preliminary Regulatory Analysis and Initial Regulatory
Flexibility Analysis'' discussing the impact of this proposed rule on
small entities is available in the docket where indicated under the
ADDRESSES section of this preamble. A summary of the analysis follows:
The proposed rule would regulate recreational vessels. Individuals,
such as the recreational vessel owners regulated by this rule, are not
small entities under the definition of a small entity in the Regulatory
Flexibility Act (RFA).\5\
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\5\ These are individuals that do not use vessels for commercial
purposes.
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We estimate that there are potentially 136,209 owners of
recreational vessels used for commercial purposes that may be affected
by parts of this rulemaking. Of these, there are potentially 12,259
owners of recreational vessels used for commercial purposes that may
have to have the HIN of the vessel verified.
Based on available data, we determined that over 90 percent of
these entities are small by SBA size standards. We found that small
entities affected by this proposed rule were small businesses
consisting of owners and operators in the industry categories of engine
equipment manufacturing, boat dealers, hotels, business support
services and amusement and recreation.
Based on our assessment of the impacts, we determined that all
owners or operators affected by this rule would incur an economic
impact of less than 1 percent of revenue. At this time, we have
determined that this proposed rule would not have a significant
economic impact on a substantial number of small entities under section
605(b) of the Regulatory Flexibility Act.
We are interested in the potential impacts from this proposed rule
on small businesses and we request public comment on these potential
impacts. If you think that your business, organization, or governmental
jurisdiction qualifies as a small entity and that this rulemaking 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, how and to what degree you think this rule would
have an economic impact on you.
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 Jeff Ludwig,
Office of Auxiliary and Boating Safety, 202-372-1061. 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 affects three collections of information under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). It would
modify existing Office of Management and Budget (OMB) Collection of
Information, OMB Control Number 1625-0003, ``Coast Guard Boating
Accident Report Form,'' OMB Control Number 1625-0070, ``Vessel
Identification System,'' and OMB Control Number 1625-0108, ``Standard
Numbering System for Undocumented Vessels.''
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.
The proposed rule would add to the recordkeeping and reporting
[[Page 25143]]
requirements of recreational vessel owners and agencies involved in
issuing registrations for recreational vessels and reporting boating
accidents.
The issuing authority would have to modify the Boating Casualty
Report form, modify the Certificate of Number application and, in cases
where necessary, verify that a HIN is properly affixed to the vessel
and recorded. The owners of recreational vessels would have to answer
more questions when they or their vessels are involved in a boating
accident and when applying for a Certificate of Number. Owners of
recreational vessels that do not have a properly fixed or recorded HIN
would have to allow the issuing authorities to verify the HIN.
For additional detail and information on the burden of this
proposed rule, see the Preliminary Regulatory Analysis available in the
docket as listed under the ``Public Participation and Request for
Comments'' section of this preamble. A summary of each collection
amendment and associated burden follows:
Title: Coast Guard Boating Accident Report Form.
OMB Control Number: 1625-0003.
Summary of the Collection of Information: Federal regulations (33
CFR 173.55) require the operator of any vessel that is numbered or used
for recreational purposes to submit an accident report to the issuing
authority where the accident occurred.
Need for Information: 46 U.S.C. 6102(a) requires a uniform marine
casualty reporting system, with regulations prescribing casualties to
be reported and the manner of reporting.
Proposed Use of Information: The Coast Guard uses accident data and
statistical information received from the current collection to
establish National Recreational Boating Safety (RBS) Program goals,
objectives, strategies and performance measures; report RBS Program
performance to Congress in the performance and budget reports; identify
possible manufacturer defects in boats or equipment; develop boat
manufacturing standards; develop safe boating education and accident
prevention programs; and publish accident statistics in accordance with
Title 46 U.S.C. 6102.
Description of Respondents: Operators of recreational boats and
governments of States.
Number of Respondents/Reports: The estimated number of respondents
is 56, both current and revised. The revised estimated number of
reports is 5,094 compared to the current estimate of 5,000. The higher
number of reports is based on an increase in the average number of
reports, not a programmatic change.
Frequency of Response: On occasion. Specifically, within 30 days of
their receipt of a report as prescribed by 33 CFR 174.121 (Forwarding
of casualty or accident reports).
Burden of Response: The estimated revised burden is 2,972 hours per
year. The current burden is 2,500. There is an estimated 35-minute
burden to a respondent for each report filed for an annual estimated
burden of 2,972 hours for the estimated 5,094 reports (5,094 reports *
0.583 hours = 2,972 hours).
Title: Vessel Identification System.
OMB Control Number: 1625-0070.
Summary of the Collection of Information: The Coast Guard
established a nationwide vessel identification system (VIS) and
centralized certain vessel documentation functions. VIS provides
participating States with access to data on vessels numbered by States.
Participation in VIS is voluntary.
Need for Information: Title 46 U.S.C. 12501 mandates the
establishment of a VIS. Title 33 CFR part 187 prescribes the
requirements of VIS.
Proposed Use of Information: This information collection supports
the strategic goals of the Department of Homeland Security, the Coast
Guard and the Marine Safety, Security and Stewardship Directorate (CG-
5).
Description of Respondents: Operators of recreational boats and
governments of States.
Number of Respondents and Responses: The estimated number of
respondents is 56, both revised and current. The revised estimate of
the number of responses is 117,671 compared to the current 125,716. The
decrease shown above is due to a reduction in the average number of
responses and not a programmatic change.
Frequency of Response: Daily.
Burden of Response: The estimated burden has decreased from 5,829
hours to the revised estimate of 5,456 hours a year. Each response is
expected to take approximately 3 minutes (117,671 responses * 0.046
hours = 5,456 hours; rounded).
Title: Standard Numbering System for Undocumented Vessels.
OMB Control Number: 1625-0108.
Summary of the Collection of Information: The SNS collects
information on undocumented vessels and vessel owners. States submit
reports annually to the Coast Guard on the number, size, construction,
etc., of the vessels they have numbered. That information is used by
the Coast Guard in the publication of an annual ``Boating Statistics''
report required by 46 U.S.C. 6102(b), and for allocation of Federal
funds to assist in carrying out the Recreational Boating Safety (RBS)
Program established by 46 U.S.C. Chapter 131.
Need for Information: On a daily basis or as warranted, Federal,
State, and local law enforcement personnel use SNS information from the
States' numbering systems for enforcement of boating laws or theft and
fraud investigations. In addition, when encountering a vessel suspected
of illegal activity, information from the SNS increases officer safety
by assisting boarding officers in determining how best to approach a
vessel.
Proposed Use of Information: Federal, State, and local law
enforcement personnel use SNS information from the States' numbering
systems for enforcement of boating laws or theft and fraud
investigations. The information is used by the Coast Guard for
publication of an annual ``Boating Statistics'' report required by 46
U.S.C. 6102(b) and for allocation of Federal funds to assist States in
carrying out the Recreational Boating Safety (RBS) Program established
by 46 U.S.C. Chapter 131.
Description of Respondents: Operators of recreational boats and
governments of States.
Number of Respondents and Responses: The estimated number of
respondents is 56, both revised and current. The revised estimate of
the number of responses is 4,644,142 compared to the current 4,333,333.
Frequency of Response: Daily as necessary.
Burden of Response: The revised estimate of the number of burden
hours per year is 379,852 compared to the current burden hours of
286,458. There would be an average 5-minute burden per response for
each report filed for an annual estimated burden of 379,852 hours for
the estimated 4,644,142 responses.
There are no collection costs to the Federal Government for the SNS
because States implement the program.
If you submit comments on the collection of information, submit
them both to OMB and to the Docket Management Facility as 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.
[[Page 25144]]
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.
The regulations in 33 CFR part 173 subparts A, B, and D, and Part
174 subparts A, B, and D, are issued pursuant to 46 U.S.C. 12301 and
12302 and expressly preempt conflicting State or local regulation.
The regulations in 33 CFR part 173 subpart C and part 174 subpart C
are issued pursuant to 46 U.S.C. 6101. 46 U.S.C. 6101 states that ``The
Secretary shall prescribe regulations on the marine casualties to be
reported and the manner of reporting.'' The statute requires, among
other things, the reporting of the death of an individual, serious
injury to an individual, material loss of property, material damage
affecting the seaworthiness or efficiency of the vessel, and
significant harm to the environment.
The Supreme Court has held that ``Congress intended that the Coast
Guard regulations be the sole source of a vessel's reporting
obligations * * *'' and that Coast Guard regulations promulgated
pursuant to the authority of 46 U.S.C. 6101 were not intended by
Congress ``to be cumulative to those enacted by each political
subdivision whose jurisdiction a vessel enters.'' See the decision of
the Supreme Court in the consolidated cases of United States v. Locke
and Intertanko v. Locke, 529 U.S. 89, 115-116 (2000). Therefore, the
Coast Guard's view is that regulations issued under the authority of 46
U.S.C. 6101 for marine casualty reporting requirements have preemptive
effect over State regulation in these fields, except to the extent that
Congress requires the Coast Guard to allow State casualty reporting
systems pursuant to 46 U.S.C. Chapter 131.
The regulations in 33 CFR part 181 are issued pursuant to 46 U.S.C.
4302. Under 46 U.S.C. 4306, Federal regulations establishing minimum
safety standards for recreational vessels and associated equipment, and
establishing procedures and tests required to measure conformance with
those standards preempt State law, unless the State law is identical to
a Federal regulation or a State is specifically provided an exemption
to those regulations, or permitted to regulate marine safety articles
carried or used to address a hazardous condition or circumstance unique
to that State.
The regulations in 33 CFR part 187 are currently issued pursuant to
46 U.S.C. 2103. We are proposing to add 46 U.S.C. 12501 as an
additional authority. Because State participation in the VIS is
entirely voluntary, the regulations in 33 CFR part 187 do not have
preemptive impact over State regulation in this field. However, once
electing to participate, a State must comply with the requirements of
this part to ensure integrity and uniformity of information in both the
SNS and VIS.
The Coast Guard recognizes the key role State and local governments
may have in making regulatory determinations. Additionally, sections 4
and 6 of Executive Order 13132 require that for any rules with
preemptive effect, the Coast Guard must provide elected officials of
affected State and local governments and their representative national
organizations the notice and opportunity for appropriate participation
in any rulemaking proceedings, and to consult with such officials early
in the rulemaking process. Therefore, we invite affected State and
local governments and their representative national organizations to
indicate their desire for participation and consultation in this
rulemaking process by submitting comments to the docket using one of
the methods specified under ADDRESSES. In accordance with Executive
Order 13132, the Coast Guard will provide a federalism impact statement
to document (1) the extent of the Coast Guard's consultation with State
and local officials that submit comments to this proposed rule, (2) a
summary of the nature of any concerns raised by State or local
governments and the Coast Guard's position thereon, and (3) a statement
of the extent to which the concerns of State and local officials have
been met.
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 (adjusted for
inflation) 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.
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
This proposed rule does not have tribal implications under
Executive Order 13175, Consultation and Coordination with Indian Tribal
Governments, because it would not 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.
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.
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
[[Page 25145]]
operation; test methods; sampling procedures; and related management
systems practices) that are developed or adopted by voluntary consensus
standards bodies.
This proposed rule does not use technical standards. Therefore, we
did not consider the use of voluntary consensus standards.
M. Environment
We have analyzed this proposed rule under Department of Homeland
Security Management Directive 023-01 and Commandant Instruction
M16475.lD, 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 this action is one of a
category of actions which do not individually or cumulatively have a
significant effect on the human environment. A preliminary
environmental analysis checklist supporting this determination is
available in the docket where indicated under the ``Public
Participation and Request for Comments'' section of this preamble. This
rule involves regulations which are editorial or procedural, such as
those updating addresses or establishing application procedures; and
regulations concerning manning, documentation, admeasurement,
inspection, and equipping of vessels. 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 173
Marine safety, Reporting and recordkeeping requirements.
33 CFR Part 174
Intergovernmental relations, Marine safety, Reporting and
recordkeeping requirements.
33 CFR Part 181
Labeling, Marine safety, Reporting and recordkeeping requirements.
33 CFR Part 187
Administrative practice and procedure, Marine safety, Reporting and
recordkeeping requirements.
For the reasons discussed in the preamble, the Coast Guard proposes
to amend 33 CFR parts 173, 174, 181, and 187 as follows:
PART 173--VESSEL NUMBERING AND CASUALTY AND ACCIDENT REPORTING
1. The authority citation for part 173 is revised to read as
follows:
Authority: 31 U.S.C. 9701; 46 U.S.C. 2110, 6101, 12301, 12302;
OMB Circular A-25; Department of Homeland Security Delegation No.
0170.1.
2. Revise Sec. 173.1 to read as follows:
Sec. 173.1 Purpose; preemptive effect.
This part prescribes requirements for numbering vessels and for
reporting casualties and accidents to implement sections 6101, 6102,
12301, and 12302 of Title 46, United States Code. The regulations in
subparts A, B, and D of this part have preemptive effect over
conflicting State or local regulation. The regulations in subpart C of
this part have preemptive effect over State or local regulation within
the same field, except to the extent that Congress requires the Coast
Guard to allow State casualty reporting systems pursuant to 46 U.S.C.
Chapter 131.
3. Revise Sec. 173.3 to read as follows:
Sec. 173.3 Definitions.
As used in this part:
Airboat means a vessel that is typically flat-bottomed and
propelled by an aircraft-type propeller powered by an engine.
Auxiliary sail means a vessel whose primary method of propulsion is
sail but has a secondary means of mechanical propulsion.
Cabin motorboat means a type of vessel propelled by propulsion
machinery that provides enclosed spaces inside the structure of the
vessel.
Certificate of number means a certificate issued by a State that
meets the requirements of 33 CFR 174.19, containing vessel and vessel
owner registration information for a vessel that is registered and
issued a number in that State.
Houseboat means a motorized vessel that is usually non-planing and
designed primarily for multipurpose accommodation spaces with low
freeboard and little or no foredeck or cockpit.
Hull identification number or HIN means a serial number that meets
the requirements of 33 CFR part 181, subpart C;
Inboard, in the context of an engine, means an engine mounted
inside the confines of a vessel which turns a drive shaft that runs
through the bottom of the hull and is attached to a propeller or water
jet at the other end.
Inflatable boat means a vessel that uses air-filled flexible fabric
for buoyancy.
Issuing authority means a State listed in Appendix A of this part
as having a numbering system approved by the Coast Guard, or the Coast
Guard where a State numbering system has not been approved.
Open motorboat means a type of vessel equipped with propulsion
machinery which has an open load carrying area not protected from the
entry of water by means of a continuous deck.
Operate means use, navigate, or employ.
Operator means the person who is in control or in charge of a
vessel while it is in use.
Outboard, in the context of an engine, means an engine with
propeller or water jet integrally attached which is usually mounted at
the stern of a vessel.
Owner means a person who claims lawful possession of a vessel by
virtue of a legal title or an equitable interest therein, which
entitles him to such possession and includes co-owners.
Paddlecraft means a vessel powered only by a craft's occupant(s)
using a single or double bladed paddle as a lever without the aid of a
fulcrum provided by oarlocks, thole pins, crutches, or similar
arrangements.
Permitted event means an organized water event of limited duration
which is conducted according to a prearranged schedule and approved by
the Coast Guard or by a State that has jurisdiction over the particular
body of water on which the event will take place.
Person means an individual, firm, partnership, corporation,
company, association, joint-stock association, or governmental entity
and includes a trustee, receiver, assignee, or similar representative
of any of them.
Personal watercraft means a vessel propelled by a water-jet pump or
other machinery as its primary source of motive power which is designed
to be operated by a person sitting, standing, or kneeling on the
vessel, rather than the conventional manner of sitting or standing
within the confines of the hull.
Pod drive means an engine mounted in front of the transom of a
vessel and attached through the bottom of the hull to a steerable
propulsion unit.
Pontoon boat means a vessel with a broad, flat deck that is affixed
on top of closed cylinders which are used for buoyancy, the basic
design of which is usually implemented with two rows of floats as a
catamaran or with three rows of floats as a trimaran.
Reporting authority means a State listed in Appendix A of this part
as having a numbering system approved by the Coast Guard, or the Coast
Guard
[[Page 25146]]
where a numbering system has not been approved.
Rowboat means an open vessel manually propelled by oars.
Sail only means a vessel propelled only by sails.
State means a State of the United States, Guam, the Commonwealth of
Puerto Rico, the Virgin Islands, American Samoa, the District of
Columbia, the Commonwealth of the Northern Mariana Islands, and any
other territory or possession of the United States.
State of principal operation means the State on whose waters a
vessel is or will be operated most during a calendar year.
Sterndrive means an engine mounted in front of the transom of a
vessel which is attached through the transom to a drive unit that is
similar to the lower unit of an outboard. The engine turns a drive
shaft that is attached to a propeller at the other end. A sterndrive is
also known as an inboard-outdrive or an inboard-outboard.
Towed watersports means any watersports activity that takes place
when towed or pulled behind a boat, including, but not limited to,
waterskiing, wakeboarding, parasailing, and tubing.
Whitewater boating means any activity with a vessel on Class II and
above rapid as determined by the six class International Scale of River
Difficulty. This definition applies only to the sections of any river
with such rapids and not the entire river.
Sec. 173.15 [Amended]
4. In Sec. 173.15, remove the words ``State in which the vessel is
principally used'' wherever they occur, and add, in their place, the
words ``State of principal operation.''
Sec. 173.19 [Amended]
5. In Sec. 173.19, remove the word ``use'' and add, in its place,
the word ``operate.''
Sec. 173.21 [Amended]
6. In Sec. 173.21(a) introductory text, remove the word ``use''
and add, in its place, the word ``operate,'' and in paragraph (a)(1),
remove the word ``used'' and add, in its place, the word ``operated.''
Sec. 173.23 [Amended]
7. In Sec. 173.23, remove the word ``using'' and add, in its
place, the word ``operating.''
Sec. 173.25 [Amended]
8. In Sec. 173.25, remove the word ``use'' and add, in its place,
the word ``operate.''
Sec. 173.33 [Amended]
9. In Sec. 173.33(c), remove the word ``used'' and add, in its
place, the word ``operated.''
Sec. 173.35 [Amended]
10. In Sec. 173.35, remove the word ``use'' and add, in its place,
the word ``operate.''
Sec. 173.51 [Amended]
11. In Sec. 173.51(a) introductory text and (a)(1), remove the
word ``used'' and add, in its place, the word ``operated.''
12. Revise Sec. 173.57 to read as follows:
Sec. 173.57 Contents of report.
(a) Each report required by 33 CFR 173.55 must be in writing, dated
upon completion, and signed by the person who prepared it.
(b) Until January 1, [FOURTH YEAR FOLLOWING THE YEAR OF THE
EFFECTIVE DATE OF THE FINAL RULE], each report must contain, if
available, at least the following information about the casualty or
accident:
(1) Numbers and names of each vessel involved;
(2) Name and address of each owner of each vessel involved;
(3) Name of the nearest city or town, the county, the State, and
the body of water;
(4) Time and date the casualty or accident occurred;
(5) Location on the water;
(6) Visibility, weather, and water conditions;
(7) Estimated air and water temperatures;
(8) Name, address, age, or date of birth, telephone number, vessel
operating experience, and boating safety training of the operator
making the report;
(9) Name and address of each operator of each vessel involved;
(10) Number of persons on board or towed on skis by each vessel;
(11) Name, address, and date of birth of each person injured or
killed;
(12) Cause of each death;
(13) Weather forecasts available to, and weather reports used by,
the operator before and during the use of the vessel;
(14) Name and address of each owner of property involved;
(15) Availability and use of personal flotation devices;
(16) Type and amount of each fire extinguisher used;
(17) Nature and extent of each injury;
(18) Description of all property damage and vessel damage with an
estimate of the cost of all repairs;
(19) Description of each equipment failure that caused or
contributed to the cause of the casualty;
(20) Description of the vessel casualty or accident;
(21) Type of vessel operation (cruising, drifting, fishing,
hunting, skiing, racing, or other), and the type of accident
(capsizing, sinking, fire, or explosion or other);
(22) Opinion of the person making the report as to the cause of the
casualty, including whether or not alcohol or drugs, or both, was a
cause or contributed to causing the casualty;
(23) Make, model, type (open, cabin, house, or other), beam width
at widest point, length, depth from transom to keel, horsepower,
propulsion (outboard, inboard, inboard outdrive, sail, or other), fuel
(gas, diesel, or other), construction (wood, steel, aluminum, plastic,
fiberglass, or other), and year built (model year), of the reporting
operator's vessel;
(24) Name, address, and telephone number of each witness;
(25) Manufacturer's hull identification number, if any, of the
reporting operator's vessel; and
(26) Name, address, and telephone number of the person submitting
the report.
(c) Effective January 1, [THE FOURTH YEAR FOLLOWING THE YEAR OF THE
EFFECTIVE DATE OF THE FINAL RULE], each report must contain, if
available, at least the following information about the casualty or
accident:
(1) Numbers and names of each vessel involved;
(2) Name and address of each owner of each vessel involved;
(3) Name of the nearest city or town, the county, the State, and
the body of water;
(4) Time and date the incident occurred;
(5) Location on the water;
(6) Visibility, weather, and water conditions;
(7) Estimated air and water temperatures;
(8) Name, address, age or date of birth, telephone number, vessel
operating experience, and boating safety training of the operator
making the report;
(9) Name and address of each operator of each vessel involved;
(10) Number of persons on board (including people participating in
towed watersports);
(11) Name, address, and date of birth of each person injured or
killed;
(12) Cause of each death;
(13) Weather forecasts available to, and weather reports used by,
the operator before and during the use of the vessel;
(14) Name, address, and telephone number of each owner of property
damaged;
[[Page 25147]]
(15) Availability and use of personal flotation devices;
(16) Number and type of each fire extinguisher aboard the vessel;
(17) Nature and extent of each injury;
(18) Description of all property damage and vessel damage with an
estimate of the cost of all repairs;
(19) Description of each equipment failure that caused or
contributed to the cause of the incident;
(20) Description of the incident;
(21) Characteristics of the reporting owner's or operator's vessel,
as follows:
(i) Make of vessel;
(ii) Model;
(iii) Model year;
(iv) Manufacturer's hull identification number, if any;
(v) Vessel type: Authorized terms are ``open motorboat'', ``cabin
motorboat'', ``air boat'', ``inflatable boat'', ``auxiliary sail'',
``sail only'', ``paddlecraft'', ``personal watercraft'', ``pontoon
boat'', ``houseboat'', ``rowboat'', or ``other'';
(vi) Overall length of vessel;
(vii) Horsepower;
(viii) Engine drive type: Authorized terms are ``inboard'',
``outboard'', ``pod drive'', ``sterndrive'', or ``other'';
(ix) Propulsion type: Authorized terms are ``propeller'', ``sail'',
``water jet'', ``air thrust'', ``manual'', or ``other'';
(x) Fuel: Authorized terms are ``gas'', ``diesel'', ``electric'',
or ``other'';
(xi) Hull material: Authorized terms are ``wood'', ``aluminum'',
``steel'', ``fiberglass'', ``plastic'', ``rubber/vinyl/canvas'', or
``other'';
(22) Operation of vessel at time of incident: Authorized terms are
``maintaining course and speed'', ``changing course'' or ``changing
speed'';
(23) Activity at time of incident: Authorized terms are ``at
anchor'', ``being towed'', ``commercial activity'', ``cruising'',
``docking/undocking'', ``drifting'', ``fishing'', ``fueling'',
``hunting'', ``launching'', ``making repairs'', ``racing'', ``rowing/
paddling'', ``sailing'', ``scuba diving/snorkeling'', ``starting
engine'', ``swimming'', ``tied to dock/moored'', ``towed watersports'',
``towing another vessel'', ``whitewater boating'', or ``other'';
(24) Whether the incident took place during a permitted event (yes
or no);
(25) Type of incident: Authorized terms are ``capsizing'', ``carbon
monoxide exposure'', ``collision with fixed object'', ``collision with
floating object'', ``collision with vessel'', ``electrocution'', ``fall
on/within a vessel'', ``fall overboard'', ``fire or explosion (fuel)'',
``fire or explosion (other)'', ``flooding/swamping'', ``grounding'',
``person leaves a vessel'', ``person ejected from vessel'',
``sinking'', ``towed watersports mishap'', ``struck by vessel'',
``struck by propeller or propulsion unit'', ``struck submerged
object'', or ``other'';
(26) Cause of incident, in the opinion of the person making the
report, including whether or not alcohol or drugs, or both, was a cause
or contributed to causing the incident;
(27) Name, address, and telephone number of each witness; and
(28) Name, address, and telephone number of the person submitting
the report.
13. Revise Sec. 173.59 to read as follows:
Sec. 173.59 Where to report.
The report required by 33 CFR 173.55 must be submitted to the
reporting authority, listed in Appendix A of this part, where the
casualty or accident occurred.
14. Revise Sec. 173.71 to read as follows:
Sec. 173.71 Application for and issuance of certificate of number.
(a) The owner of a vessel to which 33 CFR 173.11 applies and for
which a certificate of number is required may apply for that
certificate to the issuing authority for the vessel's State of
principal operation listed in Appendix A of this part. The application
must be made in the manner specified by the issuing authority and must
be accompanied by payment of any fee required by the issuing authority.
(b) Upon determination that the owner's application for a
certificate of number complies with the requirements of paragraph (a)
of this section, the issuing authority may issue a certificate of
number.
(c) A duplicate certificate of number may be applied for and issued
as provided by paragraphs (a) and (b) of this section, upon the owner's
statement that the original certificate has been lost or destroyed.
Sec. 173.73 [Removed]
15. Remove Sec. 173.73.
Sec. 173.77 [Amended]
16. In Sec. 173.77(d), remove the word ``used'' and add, in its
place, the word ``operated''.
Appendix A [Amended]
17. In Appendix A to Part 173, in paragraph (c), remove the word
``use'' and add, in its place, the word ``operation''.
PART 174--STATE NUMBERING AND CASUALTY REPORTING SYSTEMS
18. The authority citation for part 174 continues to read as
follows:
Authority: 46 U.S.C. 6101 and 12302; Department of Homeland
Security Delegation No. 0170.1(92).
19. Revise Sec. 174.1 to read as follows:
Sec. 174.1 Applicability; preemptive effect.
This part establishes a standard numbering system for vessels and a
uniform vessel casualty reporting system for vessels by prescribing
requirements applicable to the States for approval of State numbering
systems. The regulations in subparts A, B, and D of this part have
preemptive effect over conflicting State or local regulation. The
regulations in subpart C of this part have preemptive effect over State
or local regulation within the same field, except to the extent that
Congress requires the Coast Guard to allow State casualty reporting
systems pursuant to 46 U.S.C. Chapter 131.
20. Revise Sec. 174.3 to read as follows:
Sec. 174.3 Definitions.
As used in this part:
Airboat means a vessel that is typically flat-bottomed and
propelled by an aircraft-type propeller and powered by an engine.
Auxiliary sail means a vessel whose primary method of propulsion is
sail but has a secondary means of mechanical propulsion.
Cabin motorboat means a type of vessel propelled by propulsion
machinery that provides enclosed spaces inside the structure of the
vessel.
Certificate of number means a certificate issued by a State that
meets the requirements of 33 CFR 174.19, containing vessel and vessel
owner registration information for a vessel that is registered and
issued a number in that State.
Charter fishing means a vessel carrying a passenger(s) for hire who
is (are) engaged in recreational fishing.
Commercial fishing means a vessel that commercially engages in the
catching, taking, or harvesting of fish which, either in whole or in
part, is intended to enter commerce through sale, barter or trade.
Houseboat means a motorized vessel that is usually non-planing and
designed primarily for multipurpose accommodation spaces with low
freeboard and little or no foredeck or cockpit.
Hull identification number or HIN means a serial number that meets
the requirements of 33 CFR part 181, subpart C.
Inboard, in the context of an engine, means an engine mounted
inside the confines of a vessel which turns a drive shaft that runs
through the bottom of the hull and is attached to a propeller or water
jet at the other end.
Inflatable boat means a vessel that uses air-filled flexible fabric
for buoyancy.
[[Page 25148]]
Open motorboat means a type of vessel equipped with propulsion
machinery which has an open load carrying area not protected from the
entry of water by means of a continuous deck.
Operator means the person who is in control or in charge of a
vessel while it is in use.
Outboard, in the context of an engine, means an engine with
propeller or water jet integrally attached, which is usually mounted at
the stern of a vessel.
Owner means a person who claims lawful possession of a vessel by
virtue of a legal title or an equitable interest therein, which
entitles him to such possession and includes co-owners.
Paddlecraft means a vessel powered only by a craft's occupant(s)
using a single or double bladed paddle as a lever without the aid of a
fulcrum provided by oarlocks, thole pins, crutches or similar
arrangements.
Person means an individual, firm, partnership, corporation,
company, association, joint-stock association, or governmental entity
and includes a trustee, receiver, assignee, or similar representative
of any of them.
Personal watercraft means a vessel propelled by a water-jet pump or
other machinery as its primary source of motive power which is designed
to be operated by a person sitting, standing, or kneeling on the
vessel, rather than the conventional manner of sitting or standing
within the confines of the hull.
Pod drive means an engine mounted in front of the transom of a
vessel and attached through the bottom of the hull to a steerable
propulsion unit.
Pontoon boat means a vessel with a broad, flat deck that is affixed
on top of closed cylinders which are used for buoyancy, the basic
design of which is usually implemented with two rows of floats as a
catamaran or with three rows of floats as a trimaran.
Reporting authority means a State listed in 33 CFR part 173,
Appendix A, as having a numbering system approved by the Coast Guard,
or the Coast Guard where a numbering system has not been approved.
Rowboat means an open vessel manually propelled by oars.
Sail only means a vessel propelled only by sails.
State means a State of the United States, Guam, the Commonwealth of
Puerto Rico, the Virgin Islands, American Samoa, the District of
Columbia, the Commonwealth of the Northern Mariana Islands, and any
other territory or possession of the United States.
State of principal operation means the State in whose waters a
vessel is or will be operated most during a calendar year.
Sterndrive means an engine mounted in front of the transom of a
vessel which is attached through the transom to a drive unit that is
similar to the lower unit of an outboard. The engine turns a drive
shaft that is attached to a propeller at the other end. A sterndrive is
also known as an inboard-outdrive or an inboard-outboard.
21. Add new Sec. 174.16 to read as follows:
Sec. 174.16 Verification of hull identification number.
(a) As used in this section, ``action'' means an action by an
issuing authority listed in 33 CFR part 173, Appendix A, to issue,
renew, or update the ownership information for a certificate of number
under this part.
(b) Effective [DATE 3 YEARS FROM EFFECTIVE DATE OF FINAL RULE],
before taking any action relating to a vessel imported or manufactured
on or after November 1, 1972, the issuing authority must determine
whether the vessel has a HIN meeting the requirements of 33 CFR part
181, subpart C.
(c) If, pursuant to paragraph (b) of this section, the issuing
authority determines that the vessel does not have a HIN meeting the
requirements of 33 CFR part 181, subpart C, then before taking any
action the issuing authority must:
(1) Assign such a HIN to the vessel; and
(2) Require the owner to make the vessel available to a
representative of the issuing authority's State so that the
representative can permanently affix the HIN to the vessel in
compliance with 33 CFR part 181, subpart C.
22. Revise Sec. 174.17 to read as follows:
Sec. 174.17 Contents of application for certificate of number.
(a) An application for a certificate of number must contain the
following information:
(1) Name of owner;
(2) Address of owner;
(3) Owner identifier, which must be the owner's tax identification
number; date of birth together with driver's license number; or other
unique number;
(4) [Reserved]
(5) State of principal operation;
(6) Number previously issued by an issuing authority;
(7) Application type: Authorized terms are ``new number'',
``renewal of number'', or ``transfer of ownership'';
(8) Primary operation: Authorized terms are ``pleasure'', ``rent or
lease'', ``dealer or manufacturer demonstration'', ``charter fishing'',
``commercial fishing'', ``commercial passenger carrying'', or ``other
commercial operation'';
(9) Make and model of vessel;
(10) Model year;
(11) Hull identification number, if any;
(12) Overall length of vessel;
(13) Vessel type: Authorized terms are ``open motorboat'', ``cabin
motorboat'', ``air boat'', ``inflatable boat'', ``auxiliary sail'',
``sail only'', ``paddlecraft'', ``personal watercraft'', ``pontoon
boat'', ``houseboat'', ``rowboat'', or ``other'';
(14) Hull material: Authorized terms are ``wood'', ``aluminum'',
``steel'', ``fiberglass'', ``plastic'', ``rubber/vinyl/canvas'', or
``other'';
(15) Propulsion type: Authorized terms are ``propeller'', ``sail'',
``water jet'', ``air thrust'', ``manual'', or ``other'';
(16) Engine drive type: Authorized terms are ``inboard'',
``outboard'', ``pod drive'', ``sterndrive'', or ``other'';
(17) Fuel: Authorized terms are ``gas'', ``diesel'', ``electric'',
or ``other''; and
(18) Signature of the owner.
(b)(1) An application made by a manufacturer or dealer for a number
that is to be temporarily affixed to a vessel for demonstration or test
purposes may omit the information under paragraphs (a)(9) through
(a)(17) of this section.
(2) An application made by an owner of a vessel without propulsion
machinery may omit the information under paragraphs (a)(16) and (a)(17)
of this section.
(c) For an issuing authority listed in 33 CFR part 173, Appendix A
on [EFFECTIVE DATE OF FINAL RULE], the requirements of paragraphs (a)
and (b) of this section apply on [DATE 3 YEARS FROM EFFECTIVE DATE OF
FINAL RULE]. Between [EFFECTIVE DATE OF FINAL RULE] and [DATE 3 YEARS
FROM EFFECTIVE DATE OF FINAL RULE], the issuing authority may continue
to accept applications containing the contents required by that
reporting authority prior to [EFFECTIVE DATE OF FINAL RULE].
23. Revise Sec. 174.19 to read as follows:
Sec. 174.19 Contents of a certificate of number.
(a) Except as allowed in paragraph (b) of this section, each
certificate of number must contain the following information:
(1) Number issued to the vessel;
(2) Expiration date of the certificate;
(3) State of principal operation;
(4) Name of owner;
(5) Address of owner;
(6) Primary operation: Includes pleasure, rent or lease, dealer or
[[Page 25149]]
manufacturer demonstration, charter fishing, commercial fishing,
commercial passenger carrying, or other commercial operation;
(7) Hull identification number, if any;
(8) Make and model of vessel;
(9) Model year;
(10) Overall length of vessel;
(11) Vessel type: Includes open motorboat, cabin motorboat, air
boat, inflatable boat, auxiliary sail, sail only, paddlecraft, personal
watercraft, pontoon boat, houseboat, rowboat, or ``other'';
(12) Hull material: Includes wood, aluminum, steel, fiberglass,
plastic, rubber/vinyl/canvas, or ``other'';
(13) Propulsion type: Includes propeller, sail, water jet, air
thrust, manual, or ``other'';
(14) Engine drive type: Includes inboard, outboard, pod drive,
sterndrive, or ``other''; and
(15) Fuel: Includes gas, diesel, electric, or ``other.''
(b)(1) A certificate of number issued to a manufacturer or dealer
for use on a vessel for test or demonstration purposes may omit the
information under paragraphs (a)(7) through (a)(15) of this section if
the word ``manufacturer'' or ``dealer'' is plainly marked on the
certificate.
(2) A certificate of number issued for a vessel without propulsion
machinery may omit paragraphs (a)(14) and (a)(15) of this section if
the words ``manual vessel'' are plainly marked on the certificate.
(3) An issuing authority may print on the certificate of number a
quotation of State boating regulations or other boating-related
information, such as safety reminders, or registration or law
enforcement contact information.
(c) For an issuing authority listed in Appendix A of this part on
[EFFECTIVE DATE OF FINAL RULE], the requirements of paragraphs (a) and
(b) of this section apply on [DATE 3 YEARS FROM EFFECTIVE DATE OF FINAL
RULE]. Between [EFFECTIVE DATE OF FINAL RULE] and [DATE 3 YEARS FROM
EFFECTIVE DATE OF FINAL RULE], the issuing authority may continue to
issue certificates of number containing the contents in effect on
[EFFECTIVE DATE OF FINAL RULE].
24. Revise Sec. 174.21 to read as follows:
Sec. 174.21 Temporary certificates.
(a) An issuing authority may issue a temporary certificate of
number, valid for no more than 60 days from its date of issuance.
(b) Each temporary certificate must contain the following
information:
(1) Vessel's hull identification number, if any;
(2) Make of vessel;
(3) Length of vessel;
(4) Type of propulsion;
(5) State in which vessel is principally operated;
(6) Name of owner;
(7) Address of owner, including ZIP code;
(8) Signature of owner;
(9) Date of issuance; and
(10) Notice to the owner that the temporary certificate is valid
for the time it specifies, not to exceed 60 days from the date of
issuance.
(c) For an issuing authority listed in 33 CFR part 173, Appendix A
on [EFFECTIVE DATE OF FINAL RULE], the requirements of paragraph (b) of
this section apply on [DATE 3 YEARS FROM EFFECTIVE DATE OF FINAL RULE].
Between [EFFECTIVE DATE OF FINAL RULE] and [DATE 3 YEARS FROM EFFECTIVE
DATE OF FINAL RULE], the issuing authority may continue to issue
temporary certificates containing the contents in effect on [EFFECTIVE
DATE OF FINAL RULE].
25. Revise Sec. 174.121 to read as follows:
Sec. 174.121 Forwarding of casualty or accident reports.
Within 30 days of the receipt of a casualty or accident report, the
reporting authority receiving the report must forward a paper or
electronic copy of that report to the Commandant (CG-5422), U.S. Coast
Guard, 2100 Second Street, SW., Stop 7581, Washington, DC 20593-7581.
26. Revise Sec. 174.125 to read as follows:
Sec. 174.125 Coast Guard address.
The report required by 33 CFR 174.123 must be sent to the
Commandant (CG-5422), U.S. Coast Guard, 2100 Second Street, SW., Stop
7581, Washington, DC 20593-7581.
PART 181--MANUFACTURER REQUIREMENTS
27. The authority citation for part 181 is revised to read as
follows:
Authority: 46 U.S.C. 4302; Department of Homeland Security
Delegation No. 0170.1 (92).
28. Revise Sec. 181.1 to read as follows:
Sec. 181.1 Purpose and applicability; preemptive effect.
This part prescribes requirements for the certification of boats
and associated equipment and identification of boats to which 46 U.S.C.
Chapter 43 applies. The regulations in this part have the preemptive
effect described in 46 U.S.C. 4306.
29. In Sec. 181.3, revise the definition for ``Manufacturer'' and
add, in alphabetical order, a definition for ``State'' to read as
follows:
Sec. 181.3 Definitions.
* * * * *
Manufacturer means any person engaged in:
(1) The manufacture, construction, or assembly of boats or
associated equipment; or
(2) The importation into the United States of boats, associated
equipment, or components thereof.
* * * * *
State means a State of the United States, Guam, the Commonwealth of
Puerto Rico, the Virgin Islands, American Samoa, the District of
Columbia, the Commonwealth of the Northern Mariana Islands, and any
other territory or possession of the United States.
30. Revise Sec. 181.23 to read as follows:
Sec. 181.23 Hull identification numbers required.
(a) A manufacturer, as defined in Sec. 181.3 of this part, must
identify each boat produced or imported with two hull identification
numbers (HIN) that meet the requirements of this subpart:
(1) A primary HIN affixed in accordance with Sec. Sec. 181.29(a)
and (c) of this subpart; and
(2) A duplicate HIN affixed in accordance with Sec. Sec. 181.29(b)
and (c) of this subpart.
(b) A person who manufactures or imports a boat for his or her own
use and not for sale must obtain the required hull identification
number in accordance with the requirements of the issuing authority
listed in 33 CFR part 173, Appendix A for the boat's State of principal
operation, as defined in 33 CFR 173.3, and make the boat available to a
representative of the issuing authority who will permanently affix the
HINs.
(c) No person may assign the same HIN to more than one boat.
31. Revise Sec. 181.31 to read as follows:
Sec. 181.31 Manufacturer identification code assignment.
(a) Each person required by 33 CFR 181.23(a) to affix hull
identification numbers must request a manufacturer identification code
in writing from the Commandant (CG-54223), 2100 Second Street, SW.,
Stop 7581, Washington, DC 20593-7581. The request must indicate the
manufacturer's name and U.S. address along with the general types and
lengths of boats that will be manufactured.
(b) For boats manufactured outside of the jurisdiction of the
United States, a U.S. importer must obtain a
[[Page 25150]]
manufacturer identification code as required by paragraph (a) of this
section. The request must indicate the importer's name and U.S. address
along with a list of the manufacturers, their addresses, and the
general types and sizes of boats that will be imported. If a nation has
a hull identification number system which has been accepted by the
Coast Guard for the purpose of importing boats, it may be used by the
importer instead of the one specified within this subpart. To request a
list of those nations having such a numbering system, write to the
Commandant (CG-54223), 2100 Second Street, SW., Stop 7581, Washington,
DC 20593-7581.
PART 187--VESSEL IDENTIFICATION SYSTEM
32. The authority citation for part 187 is revised to read as
follows:
Authority: 46 U.S.C. 2103, 12501; Department of Homeland
Security Delegation No. 0170.1 (92).
33. Revise Sec. 187.11 to read as follows:
Sec. 187.11 What are the procedures to participate in VIS?
(a) A State wanting to participate in VIS must inform the
Commandant, in writing, describing its willingness and ability to
comply with each requirement of 33 CFR 187.201. If the Commandant is
satisfied that the State will comply fully with 33 CFR 187.201, the
State will be allowed to participate in VIS and will be listed in
Appendix A to this part, for so long as the Commandant determines that
the State complies fully with 33 CFR 187.201.
(b) A State wanting to participate in VIS, but unable to comply
with one or more requirements of 33 CFR 187.201, may participate in VIS
under one or more waivers, for good cause shown. For purposes of this
section, ``good cause'' includes the existence of State law prohibiting
full compliance. A State wanting to participate in VIS under one or
more waivers:
(1) So informs the Commandant, in writing;
(2) Describes the requirement or requirements for which waiver is
sought, and the good cause for noncompliance; and
(3) Describes the steps the State intends to take to remove the
good cause and the anticipated time needed to do so.
(c) The Commandant may allow a State to participate in VIS under
one or more waivers, pursuant to a memorandum of agreement between the
Coast Guard and the State.
(1) The memorandum of agreement recites the information provided by
the State under paragraph (b) of this section, and is valid for not
more than three years, during which time the State will be deemed to
participate in VIS and be listed in Appendix A to this part.
(2) The State may withdraw from the memorandum of agreement and
participation in VIS upon written notice to the Commandant. The
Commandant may terminate the memorandum of agreement and the State's
participation in VIS for noncompliance with the terms of the
memorandum.
(3) Participation in VIS under one or more waivers beyond the term
of the initial memorandum of agreement requires a new memorandum.
(4) If the good cause for waivers is eliminated within the term of
the memorandum of agreement, the State may so inform the Commandant in
writing. The Commandant may then consider the State to participate in
VIS under paragraph (a) of this section.
34. Revise Sec. 187.103 to read as follows:
Sec. 187.103 What information must be collected to identify a vessel?
A participating State must collect the following information on a
vessel it has numbered or titled and make it available to VIS:
(a) Manufacturer's hull identification number, if any;
(b) Official number, if any, assigned by the Coast Guard or its
predecessor;
(c) Number on certificate of number assigned by the issuing
authority of the State;
(d) Expiration date of certificate of number;
(e) Number previously issued by an issuing authority;
(f) Make and model of vessel;
(g) Model year: Includes model year, manufacture year, or year
built;
(h) Overall length;
(i) Vessel type: Authorized terms are ``open motorboat'', ``cabin
motorboat'', ``air boat'', ``inflatable boat'', ``auxiliary sail'',
``sail only'', ``paddlecraft'', ``personal watercraft'', ``pontoon
boat'', ``houseboat'', ``rowboat'', or ``other'';
(j) Hull material: Authorized terms are ``wood'', ``aluminum'',
``steel'', ``fiberglass'', ``plastic'', ``rubber/vinyl/canvas'', or
``other'';
(k) Propulsion type: Authorized terms are ``propeller'', ``sail'',
``water jet'', ``air thrust'', ``manual'', or ``other'';
(l) Engine drive type: Authorized terms are ``inboard'',
``outboard'', ``pod drive'', ``sterndrive'', or ``other'';
(m) Fuel: Authorized terms are ``gas'', ``diesel'', ``electric'',
or ``other''; and
(n) Primary use: Authorized terms are ``pleasure'', ``rent or
lease'', ``dealer or manufacturer demonstration'', ``charter fishing'',
``commercial fishing'', ``commercial passenger carrying'', or ``other
commercial operation''.
Dated: May 3, 2010.
Kevin S. Cook,
Rear Admiral, U.S. Coast Guard, Director of Prevention Policy.
[FR Doc. 2010-10723 Filed 5-6-10; 8:45 am]
BILLING CODE 9110-04-P