[Code of Federal Regulations]
[Title 33, Volume 2]
[Revised as of July 1, 2003]
From the U.S. Government Printing Office via GPO Access
[CITE: 33CFR148.109]

[Page 179-185]
 
                TITLE 33--NAVIGATION AND NAVIGABLE WATERS
 
   CHAPTER I--COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED)
 
PART 148--GENERAL--Table of Contents
 
                         Subpart B--Applications
 
Sec. 148.109  Contents of application for issuance of license.

    Each application must include the following:
    (a) Identity of applicant and affiliates. (1) The name, address and 
principal business activity of the applicant and of each affiliate.
    (2) A list of all domestic subsidiaries and a list of all foreign 
subsidiaries of each applicant and of each affiliate that elects under 
Sec. 148.111(a) to furnish required information on a consolidated basis.
    (3) The name, address and principal business activity of each 
subsidiary or division of an applicant or an affiliate which 
participated directly and substantially in the planning, evaluating or 
approving of participation in the construction, financing, or operation 
of a deepwater port.
    (b) Proof of citizenship and authority. (1) If the applicant is an 
individual, group of individuals, a partnership or an association, an 
affidavit from each individual stating that he is a citizen of the 
United States of America.
    (2) If the applicant is a corporation, one copy of its charter or 
instrument by which the corporation is formed and organized under 
general corporation laws, certified by the Secretary of State or other 
appropriate authority of the State in which incorporated, and a copy of 
its by-laws certified by its Secretary or an Assistant Secretary.
    (3) If the applicant is a State, or combination of States, or any 
political subdivision, agency, or instrumentality of a State, including 
a wholly owned corporation, a copy of the laws authorizing the 
operations detailed in the application.
    (c) Address for service of documents. The name and address of a 
person upon whom service may be made if a formal hearing is held on the 
application and the name and address of a person to whom documents not 
required to be served under Sec. 148.275 may be sent.
    (d) Verification. A statement at the end of the application 
subscribed and sworn to before a notary public that the individual who 
signed the application has read it and that its contents are true to his 
best knowledge and belief.
    (e) Financial information. (1) For each applicant and affiliate:
    (i) Its most recent annual financial statement, including an income 
statement and a balance sheet, accompanied by an opinion of a certified 
public accountant; and
    (ii) An interim income statement and balance sheet for each 
subsequent fiscal quarter-year ended prior to 30 days before submission 
of the application.
    (2) The proposed location and capacity of the deepwater port, 
including all components thereof, together with a general description of 
the anticipated use of the deepwater port during the expected life of 
the project.
    (3) An estimate of construction costs, by phases together with 
estimated dates or periods for completion of each phase, or annually, 
and a detailed estimate of the cost of removal of all marine components 
of the deepwater port, other than pipelines lying below the seabed.
    (4) Annualized projections or estimates of each of the following, at 
reasonable intervals throughout the expected useful life of the 
deepwater port:
    (i) Total oil throughput together with subtotals of throughput of 
oil owned by the applicant and affiliates and of throughput of oil owned 
by others.
    (ii) Annual revenue.
    (iii) Annual operating expenses, showing separately any anticipated 
management fee, payment, allowance,

[[Page 180]]

or credit to any affiliate for management or operation of the port or 
any component.
    (5) A copy of every agreement or proposal relating to the ownership 
or management of a deepwater port or any of its components or to the 
financing of the construction or operation of the deep-water port or 
component, including those relating to throughputs, capital 
contributions, loans, guarantees, and commitment therefor.
    (6) To the extent known to the applicant or any affiliate, every 
existing or proposed:
    (i) Tariff or portion thereof to be filed with the Interstate 
Commerce Commission;
    (ii) Rate or joint rate; and
    (iii) Agreement, arrangement or understanding with respect to terms 
or conditions on which other persons may become an affiliate or with 
respect to minimum or maximum tenders or other economic restrictions on 
shipments by nonaffiliated persons.

If any item required by this subparagraph has not been determined, an 
explanation of the basis on which it will be determined must be 
included.
    (7) To the extent known to the applicant or any affiliate, the 
anticipated:
    (i) Total annual demand for crude oil; and
    (ii) Total year-end proved reserves of crude oil for each Production 
District within the PAD District in which oil from the proposed 
deepwater port is to be landed, at reasonable intervals throughout the 
expected useful life of the deepwater port.
    (8) To the extent known to the applicant or any affiliate, the 
anticipated:
    (i) Total refinery capacity;
    (ii) Total runs to stills; and
    (iii) Total demand for gasoline, for jet aviation fuels, for 
distillate fuel oils, and for other refinery products, for each Refining 
District within the PAD District in which oil from the deepwater port is 
to be landed, at reasonable intervals throughout the expected useful 
life of the deepwater port.
    (9) If the PAD District in which oil from deepwater port is to be 
landed has a surplus:
    (i) Of crude oil production and imports over refinery capacity, the 
information required in paragraph (e)(7) of this section must also be 
set forth for each Production District within the PAD Districts to which 
surplus crude oil from the District in which oil from deepwater port is 
landed is expected to be transported; and
    (ii) Of refinery capacity over demand for refinery products, the 
information required in paragraph (e)(8) of this section must also be 
set forth for each Refining District within the PAD Districts to which 
surplus refinery products from the PAD District in which oil from the 
deepwater port is landed is expected to be transported. If this includes 
the East Coast Refining District, the information for that district must 
be separately stated for the following three components:
    (a) New England: The States of Massachusetts, Rhode Island, and 
Connecticut.
    (b) South-Atlantic: The States of Virginia, North Carolina, South 
Carolina, Georgia, and Florida.
    (c) Mid-Atlantic: The remaining area of the East Coast Refining 
District (Maine, Vermont, New Hampshire, New Jersey, Maryland, Delaware, 
District of Columbia, and the eastern parts of New York and 
Pennsylvania).
    (10) From each applicant or affiliate which is engaged in producing, 
refining, or marketing oil, its estimate of its components of the totals 
required to be included under the provisions of paragraphs (e)(7), (8) 
and (9) of this section.
    (11) From each applicant or affiliate engaged in producing, 
refining, or marketing oil, for each item it is required to supply under 
paragraph (e)(10) of this section, its actual data for each of the three 
calendar years immediately prior to the date of application.
    (12) From each applicant or affiliate which has a significant 
interest in any refinery within any refinery district on which 
information is required to be disclosed under paragraphs (e)(8) or 
(9)(ii) of this section, for each refinery, its:
    (i) Location;
    (ii) Runs to still for each of the three calendar years prior to 
date of application; and

[[Page 181]]

    (iii) Production for each of the three calendar years prior to date 
of application of gasoline, jet aviation fuel, distillate fuel oils, and 
other products.
    (13) From each applicant or affiliate engaged in producing, refining 
or marketing oil, for each of the three calendar years immediately prior 
to the date of application, its total domestic and total worldwide: 
yearend proved reserves; annual production imports into the United 
States; and annual refinery runs to still and production of gasoline, 
jet aviation fuel, distillate fuel oils and other refinery products.
    (f) General technical information. (1) A description of the 
experience of the applicant, each affiliate of the applicant that the 
applicant may want to provide, and each consultant of the applicant in 
offshore operations, with particular emphasis on involvement in offshore 
transfer and storage of liquid cargo and vessel loading and unloading 
operations.
    (2) A listing and abstract of each study relied upon by the 
applicant and a listing and abstract of each ongoing or completed study 
pertaining to deepwater ports conducted by or for the applicant, later 
supplemented by data of particular environmental or operational concern 
from specific studies identified by the Coast Guard.
    (3) The name, address, citizenship and telephone number of each 
affiliate of the applicant together with a description of the manner in 
which the affiliate is associated with the applicant.
    (4) The name, address, citizenship, telephone number and 
qualifications of each engineering firm, if known, that will design the 
deepwater port, or any portion of the port.
    (5) The ownership interest in the applicant of each affiliate having 
any ownership interest in the applicant of greater than 3 percent.
    (6) For each affiliate with whom the applicant has made, or proposes 
to make a significant contract for the construction of any part of the 
deepwater port, a description of that affiliate's experience in 
construction of marine terminal facilities, offshore structures, 
underwater pipelines, seabed foundations or any other experience that 
would bear on his qualification to participate in the construction of a 
deepwater port.
    (7) A copy of each contract made by the applicant for the 
construction of any component of the deepwater port or for the operation 
of the port.
    (g) Water. Evidence that the requirements of section 401(a)(1) of 
the Federal Water Pollution Control Act Amendments of 1972, 33 U.S.C. 
1341(a)(1), will be satisfied, except that, in those cases where 
certification under section 401(a)(1) must be obtained from the 
Administrator of the United States Environmental Protection Agency, the 
request for such certification must accompany each application for a 
license under the Act.
    (g-1) Coastal zone management. The certification, or certifications, 
required by section 307 of the Coastal Zone Management Act of 1972, as 
amended.
    (h) Lease block identification. (1) Identification of each lease 
block established either by the Secretary of the Interior under section 
5 of the Outer Continental Shelf Lands Act (43 U.S.C. 1334), or by a 
State under t--e authority of section 3 of the Submerged Lands Act (43 
U.S.C. 1311), within which any part of the proposed deepwater port or 
its approaches are located. This identification should be made using 
Official Outer Continental Shelf Leasing Maps or Protraction diagrams 
where they are available. For each identified lease block, the following 
must be provided:
    (i) A description of each pipeline, or other right-of-way crossing, 
in enough detail to allow plotting of rights-of-way and facilities to 
the nearest one-tenth of a second in latitude and longitude.
    (ii) The identity of the lessee of each pipeline or other right-of-
way.
    (2) Detailed information concerning any interest that the applicant 
and others have in each block and concerning the present and planned use 
of each block.
    (i) Overall site plan. Single-line drawings showing the location and 
type of each component of the proposed deepwater port and its necessary 
facilities, including floating structures, fixed structures, aids to 
navigation, manifold systems and onshore storage areas, pipelines, and 
refineries.

[[Page 182]]

    (j) Site plan for marine components. A site plan consisting of:
    (1) The proposed size and location of:
    (i) All fixed and floating structures;
    (ii) SPM swing circles;
    (iii) Maneuvering areas;
    (iv) Recommended ships' routing measures and proposed vessel traffic 
patterns in the port area;
    (v) Recommended anchorage areas;
    (vi) Recommended mooring area for support vessels;
    (vii) Required and recommended aids to navigation; and
    (viii) Pipelines and cables within the marine site;
    (2) The charted water depth throughout the proposed marine site as 
verified by the reconnaissance hydrographic survey required by this 
subpart:
    (3) A reconnaissance hydrographic survey of the proposed marine 
site.
    Note: A requirement to submit an engineering hydrographic survey of 
the final marine site will be imposed as a license condition.
    (k) Soil data. An analysis of the general character and condition of 
the ocean bottom and sub-bottom throughout the marine site and along the 
path of the pipeline to the shore, including an opinion by a registered 
professional engineer specializing in soil mechanics concerning:
    (1) The suitability of the soil to accommodate the anticipated 
design load of each marine component that will be fixed to or supported 
on the ocean floor; and
    (2) The stability of the seabed when exposed to the environmental 
forces resulting from severe storms, or to lesser forces that continue 
for an extended period, including any history of accretion or erosion of 
the coast line in proximity to the marine site.
    (l) Operational information. (1) The maximum lengths, maximum 
drafts, and maximum deadweight tonnages of the tankers to be 
accommodated at each SPM.
    (2) Calculations with supporting data and other documentation to 
show that the charted water depth at each proposed SPM location is 
sufficient to provide at least a 5 foot net under keel clearance for 
each tanker that the applicant expects to be accommodated at the SPM.
    (3) A detailed description of the manner of forecasting the wind, 
wave, and current conditions described in the draft Operations Manual 
during which the following would occur:
    (i) Shutdown of oil transfer operations.
    (ii) Departure of the tanker from the mooring.
    (iii) Prohibition on mooring to an SPM.
    (iv) Shutdown of all operations and evacuation of the port.
    (4) The speed limits proposed for tankers in the safety zone.
    (m) Floating components data. (1) A description and preliminary 
design drawing of each floating component, including the hoses and the 
anchoring or securing structure and navigation lights if the component 
is a mooring buoy.
    (2) The design criteria, developed pursuant to Part 149 of this 
chapter, to which each floating component is to be designed and built.
    (3) The design standards and codes to be used.
    (4) The title of each recommended engineering practice to be 
followed.
    (5) A description and the results of any design and evaluation 
studies performed by or for the applicant on a floating component.
    (6) A description of safety, fire fighting, and pollution prevention 
equipment to be used on each floating component.
    (7) A description of lighting to be used on floating hoses for night 
detection.
    (n) Fixed marine components data. (1) A description and preliminary 
design drawing of each fixed marine component.
    (2) The design criteria, developed pursuant to Part 149 of this 
chapter, to which each fixed marine component is to be designed and 
built.
    (3) The design standards and codes to be used.
    (4) The title of each recommended engineering practice to be 
followed.
    (5) A description and the results of any design and evaluation 
studies performed by or for the applicant for any fixed marine component 
and utilized in the development of the application.

[[Page 183]]

    (6) A description of navigational lighting, safety, lifesaving, fire 
fighting, pollution prevention and removal, and waste treatment 
equipment to be installed.
    (7) A description and preliminary design drawing of the oil pumping 
equipment, piping system, control and instrumentation system, and any 
associated equipment, including the oil throughput measuring equipment, 
leak detection equipment, alarm system, and emergency shutdown 
equipment.
    (8) The personnel capacity of each PPC.
    (o) Offshore pipeline data. (1) A description and preliminary design 
drawing of the marine pipeline, including size, throughput capacity, 
length, depth and protective devices.
    (2) The design criteria to which the marine pipeline is to be 
designed and built.
    (3) The design standards and codes to be used.
    (4) The title of each recommended engineering practice to be 
followed.
    (5) A description of the metering system to be used to measure flow 
rate.
    (6) Information concerning all submerged or buried pipelines that 
will be crossed by the offshore pipeline and the manner in which the 
crossing will be made.
    (p) Onshore components data. (1) A description of the location, 
capacity, and ownership of, and a preliminary design drawing for 
construction of new or expansion of existing onshore pipelines, storage 
facilities, refineries, petro-chemical facilities, and transshipment 
facilities to be served by the deepwater port.
    (2) Location, capacity, and ownership of existing onshore pipelines, 
storage facilities, refineries, petrochemical facilities, and 
transshipment facilities to be served by the deepwater port.
    (3) A chart showing the location of all planned and existing onshore 
pipelines, storage facilities, refineries, and petrochemical facilities 
and transshipment facilities to be served by the deepwater port.
    (4) From each applicant or affiliate which is engaged in producing, 
refining or marketing oil, throughput of crude oil, of gasoline, of jet 
aviation fuel, of distillate fuel oils and of other refinery products, 
for the calendar year preceding the date of application, and a copy of 
each existing or proposed throughput agreement.
    (5) A facility is served by the deep-water port if it is within a 
PAD District for which information is required under paragraph (e)(7), 
(8) or (9) of this section and is either served by connection with a 
common carrier pipeline or a component of or appurtenant to a common 
carrier pipeline.
    (6) Crude oil gathering lines and lines wholly within a facility 
must be included only if specifically required under paragraph (z) of 
this section. Entry points and major connections between lines and with 
bulk purchasers must be included.
    (q) Miscellaneous components data. (1) A description of the 
communications systems to be used in operation of the deepwater port.
    (2) A description of the radar navigation system to be used in 
operation of the deepwater port to include the type and characteristics 
of the radar and the antenna location.
    (3) A description of plans and method of bunkering vessels using the 
deepwater port.
    (4) Type, size and number of vessels to be used in bunkering, 
mooring, and servicing the vessels using the deepwater port.
    (5) A description and exact location of any shore based support 
facilities to be provided for vessels described in paragraph (q)(4) of 
this section.
    (r) Construction procedures. A description of the method and 
procedures to be used in constructing each component of the deepwater 
port and a description of each phase, including anticipated dates of 
completion for each of the specific components.
    (s) Draft Operations Manual. A draft Operations Manual for the 
proposed port prepared in accordance with the ``Guidelines for 
Preparation of a Deepwater Port Operations Manual''. If required 
information is not available, an applicant should so state, show why, 
and state when the information can be expected to be provided.

[[Page 184]]

    (t) Environmental analysis. An environmental analysis prepared in 
accordance with ``Guide to Preparation of Environmental Analyses for 
Deepwater Ports.''
    (u) Aids to Navigation. (1) For each proposed aid to navigation, the 
proposed position of the aid described by latitude and longitude 
coordinates to the nearest second or tenth of a second as determined 
from the largest scale chart of the area in which the aid is to be 
located. (Latitude and longitude should be specified to a level obtained 
by visual interpolation between the finest graduation of the latitude 
and longitude scales on the chart.)
    (2) For each proposed obstruction light and the proposed rotating 
lighted beacon, the color, characteristic, effective intensity, height 
above water, and general description of illumination apparatus.
    (3) For each proposed fog signal on a structure, a general 
description of the apparatus.
    (4) For each proposed buoy, the shape, color, number or letter, and 
depth of water in which located, and a general description of any light 
or fog signal apparatus installed.
    (5) For the proposed radar beacon (RACON), height above water and a 
general description of the apparatus.
    (v) Telecommunications equipment. A description of the radio 
stations or other communications facilities and the proposed concept of 
operation to serve the deepwater port during construction or operation.
    Note: Federal Communications Commission application for these 
facilities may be submitted directly to the Federal Communications 
Commission when sufficient technical information is available to meet 
the rules of that agency. The holding of appropriate Federal 
Communications Commission licenses will be made a condition on a 
deepwater port license.
    (w) National Pollutant Discharge Elimination System Information. To 
the extent available, the information prescribed by, and submitted on, 
the ``National Pollutant Discharge Elimination System'' (NPDES). 
Application for Permit to Discharge, Short Form ``D'' for applying for 
issuance of a discharge permit to the Administrator of the Environmental 
Protection Agency (EPA). If complete information is not available by the 
time the Secretary must either approve or deny the application for a 
designated application area, under section 5(i)(1) of the Act, the 
license is conditioned upon the applicant receiving the required 
discharge permit from the EPA prior to the commencement of any discharge 
requiring the same.
    (x) Discharge of dredged or fill material. The information 
prescribed by, and submitted on, Form EP 1145-2-1 contained as Appendix 
B of ``Application for Department of Army Permits for Activities in 
Waterways, EP 1145-2-1 of 1 October 1974'' for each permit issued by the 
Secretary of the Army in compliance with:
    (1) Section 10 of the Rivers and Harbors Act of 1899 (30 Stat. 1151; 
33 U.S.C. 403);
    (2) Section 404(b) of the Federal Water Pollution Control Act 
Amendments of 1972 (86 Stat. 816; 33 U.S.C. 1251); or
    (3) Section 103 of the Marine Protection, Research, and Sanctuaries 
Act of 1972 (86 Stat. 1052; 33 U.S.C. 1401).
    (y) Additional Federal authorizations required. All other 
applications for Federal authorizations required for ownership, 
construction, and operation of a deepwater port not listed elsewhere in 
this subpart.
    (z) Supplemental information. (1) A designation of locations where 
the applicant and each affiliate has segregated and filed documents in 
its possession relating to deepwater ports which were prepared within 
four years of the date of application and which fall under one or more 
of the following categories:
    (i) Prepared by or for, or submitted to, a Board of Directors or an 
executive, management or planning committee.
    (ii) Concern the financing of construction or operation of a 
deepwater port, including throughput nominations and membership in and 
financing of any existing or proposed joint venture.
    (iii) Concern existing or proposed or anticipated rates or joint 
rates.
    (iv) Determined by the Secretary to be required to review and 
process the application.
    (2) Documents referred to in paragraph (z)(1) of this section must 
be

[[Page 185]]

available during normal business hours to the Secretary or the General 
Counsel of the Department of Transportation or the designate of either 
of them, for inspection and copying, at the locations designated in the 
application unless the General Counsel requires consolidation of 
documents from two or more locations. If any claim of privilege or 
immunity is asserted with respect to any document or record designated 
for inspection or copying, the person making the claim shall furnish to 
the Secretary or the General Counsel or his designate as the case may 
be, in accordance with Sec. 148.219(c), an identification of the 
document and statement of the claim.
    (3) The Secretary may require an applicant or affiliate to make 
available for examination under oath or for interview persons having, or 
believed to have, designated information. Interviews and examinations 
are conducted by or at the direction of the General Counsel.
    (4) The Secretary may require an applicant or affiliate to file as a 
supplement to the application any analysis, explanation or detailing of 
information in the application or any other information determined by 
the Secretary to be required to review or process the application.
    (5) Any Federal or State department or agency or other interested 
person may file with the clerk a request or recommendation for further 
information. Requests and recommendations received within 30 days after 
notice of the initial application has been published will be fully 
considered before any final determination is made under this paragraph 
(z). Requests and recommendations must include a brief statement of the 
purpose of any proposed requirement, including, if it relates to 
conduct, the nature of the conduct and the probable consequences, or if 
the proposed requirement relates to physical characteristics, the nature 
of any safety, health, environmental or economic concerns.
    (6) In exercising the authority to require supplemental information 
under paragraph (z)(2), (3) or (4) of this section, the Secretary, the 
General Counsel, or the designate, as the case may be, may fix a time by 
which an applicant or affiliate must meet the requirement. If an 
application states that required information is not yet available but 
will be furnished at a later date, the Commandant may specify a time by 
which the information must be provided. If any requirement is not met by 
a time fixed in accordance with this subparagraph, the Secretary shall 
determine whether compliance with the requirement is material to 
processing of the application within the time prescribed in the Act. If 
the Secretary determines that it is material, he may disapprove the 
application, or may suspend the application pending a determination that 
processing can be resumed. The period of any suspension shall not be 
counted in determining the date prescribed by the time limit set forth 
in sections 4(c)(6), 5(d)(3), 5(e)(2), 5(g), 7(b)(1) or 9(b)(1) of the 
Act.

[CGD 75-002, 40 FR 52553, Nov. 11, 1975; 40 FR 58144, Dec. 15, 1975, as 
amended by CGD 76-096, 45 FR 85647, Dec. 29, 1980]