VESSEL AGENT HANDBOOK

This publication is provided in continuing partnership with Vessel Agents in the Sector San Diego Area of Responsibility and is not intended to be all-inclusive.

Any suggestions for improvement can be sent to the Chief, Prevention Department at Sector San Diego.

This document is not a substitute for US Code, US Code of Federal Regulations or International Conventions; nothing herein modifies or supersedes the contents of those texts.

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TABLE OF CONTENTS CONTACT INFORMATION 3

ADVANCE NOTICE OF ARRIVAL 4

DEFINITIONS FOR CERTAIN DANGEROUS CARGOES 33 CFR § 160.202 (EXCERPT) 6

PORT STATE INFORMATION EXCHANGE (PSIX) / REQUIRED CHARTS AND PUBLICATIONS 7

REQUIRED TESTS AND DRILLS PRIOR TO ENTERING PORT / REPORTING NON-OPERATING NAVIGATION EQUIPMENT

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ITEMS THAT WILL STOP A VESSEL FROM ENTERING PORT 9

CONDITIONS OF ENTRY (COE) 10

REPORTING OF HAZARDOUS CONDITIONS / MARINE CASUALTIES 11

REPORTING OIL SPILLS 12

REQUIREMENTS FOR OIL AND HAZARDOUS MATERIALS IN BULK 13

EXPLOSIVE HANDLING PERMITS 14

ANNUAL & SEMI-ANNUAL CONTROL VERIFICATION EXAMS (PASSENGER VESSEL) / TANK VESSEL EXAMINATION (OIL/CHEMICAL/GAS)

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SCHEDULING CERTIFICATE OF COMPLIANCE EXAMS / BALLAST TANK EXAMS / MARINE CHEMIST CERTIFICATE

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USER FEE-FOREIGN TANK VESSEL EXAMS 17

FORCE MAJEURE

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APPEAL PROCEDURES 19

BALLAST WATER MANAGEMENT MANDATORY REPORTING REQUIREMENTS 20

INTERNATIONAL SHIP & PORT FACILITY SECURITY (ISPS) CODE EXAMINATION OBJECTIVES 21

ENCLOSURES 22

FOREIGN FREIGHT VESSEL EXAMINATION NOTIFICATION LETTER 23

FOREIGN TANK VESSEL EXAMINATION NOTIFICATION LETTER 24

FOREIGN GAS CARRIER EXAMINATION NOTIFICATION LETTER 25

FOREIGN VESSEL EXAM REQUIRED CERTIFICATES DURING EXAMINATION 26

WAIVER FOR CARGO OPERATIONS IN ADVANCE OF COC 27

PORT STATE CONTROL FORM CG-5437A 28

PORT STATE CONTROL FORM CG-5437B 30

LETTER OF DEVIATION NOTIFICATION FOR INOPERABLE NAVIGATION EQUIPMENT 31

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CONTACT INFORMATION

SECTOR SAN DIEGO

Phone: Fax: EMERGENCY/AFTER HOURS: Command Center (619) 278-7031/7032/7033 (619) 278-7035

MONDAY – FRIDAY DURING BUSINESS HOURS

Port State Control (619) 278-7262 (619) 278-7235Port State Control/Facility Insp. (Duty Cell) (619) 726-0168Domestic Inspections (619) 278-7241 (619) 278-7235Domestic Marine Inspector (Duty Cell) (619) 726-0174Investigations (619) 572-2904 (619) 278-7235Waterways Management (619) 278-7656 (619) 278-7235Facility Inspections (619) 278-7262 (619) 278-7235Incident Management (Pollution) (619) 278-7251 (619) 278-7674Enforcement (619) 278-7654 (619) 278-7674

Port State Control Email SectorSD-PSC@uscg.mil

Sector San Diego Website https://homeport.uscg.mil/port-directory/san-diego COFR (NATIONAL POLLUTION FUNDS CENTER)

(Mon-Fri 7:00am-4:00pm EST) COFR (202) 795-6130 (202) 795-6123Main NPFC (202) 795-6003 (202) 795-6900Website https://www.uscg.mil/Mariners/National-Pollution-Funds-

Center/COFRs/

NATIONAL VESSEL DOCUMENTATION CENTER Main Phone (304) 271-2400Toll Free (800) 799-8362Website https://www.uscg.mil/nvdc/ Email nvdc.w.webmaster@uscg.mil

OIL/HAZMAT SPILLS (NATIONAL RESPONSE CENTER) Phone (800) 424-8802NRC Watch Email NRC@uscg.mil Website http://nrc.uscg.mil/

VESSEL RESPONSE PLANS VRP Help Desk Phone (202) 372-1005Email vrp@uscg.mil Website https://homeport.uscg.mil/missions/vrp-status-board

VESSEL INSPECTION USER FEES Phone (757) 523-6958Toll Free (800) 941-3337Email FIN-DG-COIUSERFEES@uscg.mil Website http://www.fincen.uscg.mil/VIF.htm

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ADVANCE NOTICE OF ARRIVAL

SUBMITTING THE NOA

Vessel arrivals are required by regulation to be submitted to the National Vessel Movement Center.

The following information is provided to help determine which vessels need to submit advance notice of arrival and departure. These tables are tailored to the Port of San Diego. For applicability for other areas of the United States and Territories, see 33 Code of Federal Regulations Part 160 Subpart C – Notifications of Arrival (NOA), Hazardous Conditions, and Certain Dangerous Cargo.

Telephone 1-800-708-98231-304-264-2502

Fax 1-800-547-87241-304-264-2684 Excel Spread Sheet Form

E-mail enoad@nvmc.uscg.gov

e-NOA https://enoad.nvmc.uscg.gov/ Internet form for both online and offline submittal

The Coast Guard and Customs and Border Protection (CBP) require vessels to submit crew, passenger, vessel, voyage and cargo information for safety and security purposes and for the enforcement of U.S. immigration, import, and export laws, prior to arrival in a U.S port or place.

More information on the system, including online forms, can be found on the Coast Guard's National Vessel Movement Center website at http://www.nvmc.uscg.gov.

HOW A NOTICE OF ARRIVAL IS PROCESSED

The arrivals are downloaded from the National Vessel Movement Center throughout the day and will be processed when received. Depending on the time of day the Notice of Vessel Arrival is submitted, it can take 6 to 24 hours to process. After receipt of a notice of arrival, the vessel’s history is reviewed and the vessel is assigned a priority status using the targeting matrices located in the Marine Safety Manual Volume II, COMDTINST M16000.7B. This manual can be viewed or downloaded at https://media.defense.gov/2017/Mar/29/2001723817/-1/-1/0/CIM_16000_7B.PDF

Vessel Inspections fall into the following types:

1. ISPS/MTSA Security Compliance2. Port State Control Safety and Environmental Protection Compliance3. Condition of Entry (COE) / High Interest Vessels

A combination of the above inspections may be conducted depending on the priority assigned to the vessel. A vessel may be delayed from entering port if it is determined that it must be boarded at sea. Where several vessels are required to be boarded by the Coast Guard on the same day, your vessel may be delayed from entering port until a boarding can be completed. In most cases, as soon as a decision is made, the agent will receive a confirmation email. It is imperative, to help facilitate commerce, that we be kept informed of changes in the vessel’s arrival time.

HANDLING OF INCOMPLETE NOTICE OF ARRIVALS

The submitter of the Advance Notice of Vessel Arrival (ANOA) will be contacted to supply the missing information. Vessels failing to provide the required ANOA information will be required to remain outside U.S. waters until the vessel provides the required ANOA notification to the appropriate entity (National Vessel Movement Center or COTP for vessels under 300 GT) and the vessel has been cleared of any security issues that would prevent the vessel from entering port. First time offenders will be issued a Letter of Warning. Appropriate civil penalty action seeking the maximum penalty of $40,000 will be accessed for second time offenders. Offenders who continually fail to provide the required ANOA information will be required to remain outside U.S. waters for the appropriate 96 or 24-hour period depending on the vessel’s last port of call. An investigation will be undertaken to ensure the factors surrounding the lack of notification are fully known before any enforcement or penalty action is undertaken.

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ADVANCE NOTICE OF ARRIVAL (CONT.)

ADVANCE NOTICE OF ARRIVAL APPLIES TO

• All foreign vessels over 300 gross tons*• Foreign vessel 300 gross tons* or less engaged in commercial service• U.S. Flagged vessels and barges over 300 gross tons* engaged in commercial service• U.S. Flagged vessels and barges under 300 gross tons* that are carrying certain dangerous cargo or controlling

another vessel carrying certain dangerous cargo• U.S. Flagged vessels under 300 gross tons* engaged in commercial service coming from a foreign port or place

*The International Tonnage Certificate shall be used in determining the 300 gross ton thresholds

ADVANCE NOTICE OF ARRIVAL DOES NOT APPLY TO

• U.S. recreational vessels under 46 U.S.C. 4301• Passenger and supply vessels when employed in the exploration for or in the removal of oil, gas or mineral

resources on the continental shelf• Oil spill recovery vessels (OSRV) when engaged in actual spill response operations or during spill response

exercise• If not carrying Certain Dangerous Cargo or controlling a vessel with CDC, the following are also exempt:• Vessels operating exclusively within a COTP Zone• Vessels arriving at a port under Force Majeure• Towing vessels and barges operating solely between ports in the continental U.S.• Public Vessel

TIME FOR SUBMITTING A NOTICE OF ARRIVAL

Voyage time of 96 hours or more Submit NOA before departure but at least 96 hours before entering the port or place of destination

Voyage time of less than 96 hours Submit NOA before departure but at least 24 hours before entering the port or place of destination

UPDATING A NOTICE OF ARRIVAL If voyage time is:

96 hours or more An updated ANOA must be submitted as soon as practicable, but at least 24 hours before entering the port or place of destination.

Less than 96 hours, but not less than 24 hours

An updated ANOA must be submitted as soon as practicable, but at least 24 hours before entering the port or place of destination.

Less than 24 hours An updated ANOA must be submitted as soon as practicable but, at least 12 hours before entering the port or place of destination.

Any changes to the arrival or departure time greater than 6 hours difference from original submission time need to be reported.

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CERTAIN DANGEROUS CARGO

CERTAIN DANGEROUS CARGOES 33 CFR § 160.202 DEFINITIONS

Carried in bulk means a commodity that is loaded or carried on board a vessel without containers or labels and received and handled without mark or count.

Certain dangerous cargo (CDC) includes any of the following:

(1) Division 1.1 or 1.2 explosives as defined in 49 CFR 173.50.(2) Division 1.5D blasting agents for which a permit is required under 49 CFR 176.415 or, for which a permit is required

as a condition of a Research and Special Programs Administration exemption.(3) Division 2.3 “poisonous gas”, as listed in 49 CFR 172.101 that is also a “material poisonous by inhalation” as

defined in 49 CFR 171.8, and that is in a quantity in excess of 1 metric ton per vessel.(4) Division 5.1 oxidizing materials for which a permit is required under 49 CFR 176.415 or for which a permit is

required as a condition of a Research and Special Programs Administration exemption.(5) A liquid material that has a primary or subsidiary classification of Division 6.1 “poisonous material” as listed in 49

CFR 172.101 that is also a “material poisonous by inhalation,” as defined in 49 CFR 171.8 and that is in a bulkpackaging, or that is in a quantity in excess of 20 metric tons per vessel when not in a bulk packaging.

(6) Class 7, “highway route controlled quantity” radioactive material or “fissile material, controlled shipment,” as definedin 49 CFR 173.403.

(7) All bulk liquefied gas cargo carried under 46 CFR 151.50-31 or listed in 46 CFR 154.7 that is flammable and/ortoxic and that is not carried as certain dangerous cargo residue (CDC residue).

(8) The following bulk liquids except when carried as CDC residue:(i) Acetone cyanohydrin(ii) Allyl alcohol(iii) Chlorosulfonic acid(iv) Crotonaldehyde(v) Ethylene chlorohydrin(vi) Ethylene dibromide(vii) Methacrylonitrile(viii) Oleum (fuming sulfuric acid)(ix) Propylene oxide, alone or mixed with ethylene oxide.

(9) The following bulk solids:(i) Ammonium nitrate listed as a Division 5.1 (oxidizing) material in 49 CFR 172.101 except when carried as CDC

residue(ii) Ammonium nitrate based fertilizer listed as a Division 5.1 (oxidizing) material in 49 CFR 172.101 except when

carried as CDC residue.

Certain dangerous cargo residue (CDC residue) includes any of the following:

(1) Ammonium nitrate in bulk or ammonium nitrate based fertilizer in bulk remaining after all saleable cargo isdischarged, not exceeding 1,000 pounds in total and not individually accumulated in quantities exceeding two cubicfeet.

(2) For bulk liquids and liquefied gases, the cargo that remains onboard in a cargo system after discharge that is notaccessible through normal transfer procedures, with the exception of the following bulk liquefied gas cargoescarried under 46 CFR 151.50-31 or listed in 46 CFR 154.7:(i) Ammonia, anhydrous(ii) Chlorine(iii) Ethane(iv) Ethylene oxide(v) Methane (LNG)(vi) Methylbromide(vii) Sulfur dioxide(viii) Vinyl chloride

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USCG PORT STATE INFORMATION EXCHANGE (PSIX)

PSIX is a database run by the Coast Guard that provides interested parties with commercial vessel information and can be accessed via Internet at http://cgmix.uscg.mil/psix.

The PSIX system contains vessel specific information derived from the United States Coast Guard's Marine Information Safety and Law Enforcement System (MISLE). The information contained in PSIX represents a weekly snapshot of Freedom of Information Act (FOIA) data on U.S. flag vessels, foreign vessels operating in U.S. waters, and Coast Guard contacts with those vessels. Information on unclosed cases or cases pending further action is considered privileged information and is precluded from the PSIX system.

In addition, the Paris and Tokyo Memorandums of Understanding (MOU) operate separate databases that can be useful in determining information about a vessel arriving to a U.S. Port for the first time. Access is free to both sites. For the Paris MOU you just have to register to receive you user ID and password, this website can be accessed at http://www.equasis.org/. The Tokyo MOU does not require registration and can be accessed at http://www.tokyo- mou.org.

REQUIRED CHARTS AND PUBLICATIONS 33 CFR 164

Each vessel to have currently corrected marine charts of large enough scale detailing the area transited.

Each vessel to have a currently corrected copy or applicable extract for the U.S. Coast Pilot and Coast Guard Light List. Below is a list of the volumes applicable to the San Diego area. Foreign equivalents are also acceptable.

Each vessel to have a current copy or applicable extract of the Tide Tables and Tidal Current Tables, published by National Ocean Service, for the area transited. Below is a list of the volumes applicable to the San Diego area. Foreign equivalents are also acceptable. Currently corrected means corrected with changes contained in all Notices to Mariners published by the National Geospatial-Intelligence Agency, or an equivalent foreign government publication, reasonably available to the vessel, and that is applicable to the vessel's transit. For U.S. Coast Pilot and Coast Guard Light List, any currently corrected edition within three (3) years is acceptable. Tide and tidal current tables must be the current edition.

LIST OF PUBLICATIONS REQUIRED FOR SAN DIEGO AREA

Coast Pilot 7Sailing Directions Pub 120 Light List Volume VI SMA List of Lights Tide Tables International/Inland Navigations Rules COMDINST M16672.2D International Code of Signals *The most recent edition of charts and publications listed in the U.S. Notice to Mariners is required to be on board.*

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REQUIRED TESTS AND DRILLS PRIOR TO ENTERING PORT

PRE-ARRIVAL TESTS 33 CFR 164.25(a)

The following tests are required to be conducted no more than twelve (12) hours prior to entering U.S. navigable waters and logged in the vessel’s log. A log entry of “Test conducted in accordance with 33 CFR 164.25” is not acceptable unless used in conjunction with a check off sheet. 1. Primary and secondary steering gear. The test procedure includes a visual inspection of the steering gear and its connecting linkage, and, where applicable, the operation of the following:

a. Each remote steering gear control system b. Each steering position located on the navigating bridge c. The main steering gear from the alternative power supply, if installed d. Each rudder angle indicator in relation to the actual position of the rudder e. Each remote steering gear power unit failure alarm f. The full movement of the rudder to the required capabilities of the steering gear

2. All internal vessel control communications and vessel control alarms 3. Standby or emergency generator for as long as necessary to show proper functioning including steady state temperature and pressure readings 4. Storage batteries for emergency lighting and power systems in vessel control and propulsion machinery space. 5. Main propulsion machinery, ahead and astern

EMERGENCY STEERING DRILL 33 CFR 164.25(d) An emergency steering drill must be conducted within 48 hours prior to entry and logged in the vessels logbook, unless the drill is conducted and logged on a regular basis at least once every three months. This drill must have a separate log entry from the equipment test unless the drill is part of the 12-hour pre-arrival check-off list. This drill must include at a minimum the following 1. Operation of the main steering gear from within the steering gear compartment. 2. Operation of the means of communications between the navigating bridge and the steering compartment. 3. Operation of the alternative power supply for the steering gear if the vessel is so equipped.

VITAL SYSTEM SURVEYS ON TANK SHIPS 33 CFR 157.435 Prior to cargo operations, vessels 5000 gross tons and greater that carry petroleum oil in bulk as cargo or cargo residue, and are not equipped with a double hull, must conduct the following surveys: 1. Cargo systems 2. Mooring systems The above surveys are to be logged in the vessel’s deck log or other on board documentation.

REPORTING NON-OPERATING EQUIPMENT 33 CFR 164.53

Upon written application, the Captain of the Port (COTP) may authorize a deviation from any rule in 33 CFR Part 164. Written Letters of Deviation (LOD) are issued for the equipment identified on the Sector San Diego LOD decision matrix. The COTP places certain restrictions or provisions on vessels when any of the listed equipment is inoperative. Inbound LOD’s expire upon arrival at the vessel’s destination. Outbound LOD’s expire when the vessel departs the San Diego COTP zone. An LOD is not a detention, however, the vessel must request a separate LOD to move within or depart the port if the equipment is not repaired. Repairs must be completed prior to departure. Departure LOD’s are only granted in extraordinary cases. For inbound or outbound LOD’s where the vessel’s Next Port of Call is a U.S. port, a separate LOD must be requested from that COTP(s) zone. Each Captain of the Port will determine what level of restrictions will be placed on a vessel’s Letter of Deviation on a case-by-case basis. If equipment becomes inoperable during a voyage, the vessel may continue to the next port of call subject to the directions of the COTP. If the vessel’s radar, radio navigation receivers, gyrocompass, echo depth sounding device, ARPA, speed log, AIS, or primary steering gear stops operating properly, it must be reported to the COTP as soon as possible.

VERIFICATION OF REPAIRS LOD’s may be cleared by one of the following methods:

1. On board verification of repairs by a Coast Guard boarding officer, vessels flag administrator, or an authorized surveyor acting on behalf of the flag administration. 2. Independent third party verification by an FCC licensed repair technician.

The COTP San Diego will make the final decision whether to clear any LOD.

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ITEMS THAT WILL STOP A VESSEL FROM ENTERING PORT

If the vessel does not have the following required items, a Captain of the Port Order will be issued ordering the vessel to remain outside U.S. Waters until proof of compliance is provided. There will be instances in which the circumstances or situation onboard the vessel must be evaluated to determine if further restrictions may apply.

VESSEL RESPONSE PLANS (VRP) (33 CFR 155)

Required for each vessel that is constructed or adapted to carry, or that carries, oil in bulk as cargo or as residue. Applies to all U.S. and foreign flag vessels operating or transferring oil in a port or place subject to the jurisdiction of the United States. A Coast Guard letter of approval must be obtained by submitting such plan for revision 60 days before the intended handle, store, transport, transfer or lighter of oil in areas subject to the jurisdiction of the United States.

NON-TANK VESSEL RESPONSE PLANS (NTVRP)

Applies to each self-propelled vessel that: (1) Carries oil of any kind as fuel for main propulsion (2) Is not a tank vessel or is not certificated as a tank vessel (3) Operates upon the navigable waters of the United States, as defined in 46 U.S.C. 2101(17a) (4) Is 400 gross tons or more as measured under the convention measurement system in 46 U.S.C. 14302 or the regulatory measurement system of 46 U.S.C. 14502 for vessels not measured under 46 U.S.C. 14302

CERTIFICATE OF FINANCIAL RESPONSIBILITY (COFR) (33 CFR 138)

Requires that the owner or operator of a U.S. or foreign flag vessel meeting the applicability criteria must obtain a proper COFR. This certificate is evidence that suitable financial responsibility is maintained in order to cover for any liability arising from Section 1016(a) of the Oil Pollution Act of 1990 (OPA 90) and Section 108 of the Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (CERCLA). It also defines “oil as fuel” as any oil or hazardous substance used or capable of being used to produce heat or power by burning, including power to operate equipment.

INTERNATIONAL SAFETY MANAGEMENT CERTIFICATES (SOLAS Chapter IX, IMO Guidelines, NVIC 4-98)

Mandatory for the following vessels that are 500 gross tons or more:

• Passenger ships, including high-speed craft (regardless of gross tonnage) • Oil tankers • Chemical tankers • Gas carriers • Bulk carriers, and cargo high-speed craft • All other cargo ships and mobile offshore drilling units

Vessels that do not provide ISM certificate information on the Notice of Vessel Arrivals form will be denied entry into U.S. Ports until such time as adequate proof is provided to the Captain of the Port that the vessel has achieved compliance. If a ship is discovered in port without ISM Code Certificates, enforcement actions will be taken. (See Heading Link)

INTERNATIONAL SHIP SECURITY CERTIFICATE

The following types of ships engaged on international voyages are required to adhere to the International Ship and Port Facility Security Code (ISPS): Passenger ships (including high-speed passenger craft), Cargo ships (including high- speed craft) of 500 gross tonnage and upwards, Mobile offshore drilling units, Port facilities serving such ships engaged on international voyages

An International Ship Security Certificate shall be issued to a vessel after the initial or renewal verification in accordance with applicable requirements in section 19.1 of the ISPS Code. The International Ship Security Certificate shall be issued for a period specified by the Administration, which shall not exceed five years.

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The Maritime Transportation Security Act of 2002 (MTSA) has mandated that the United States Coast Guard evaluate the effectiveness of anti-terrorism measures in foreign ports and provides for the imposition of conditions of entry on vessels arriving to the United States from countries that do not maintain effective anti- terrorism measures (MTSA, 46 U.S.C. §§ 70108 - 70110).

The Coast Guard releases a Port Security Advisory (PSA) with the ports and countries that have been determined as not maintaining effective anti-terrorism measures. The most recent Port Security Advisory can be found on Homeport.

Actions Required by Vessels Visiting Countries Affected:

All vessels arriving to the United States that visited the countries listed in the PSA during their last five port calls must take actions 1 through 5 listed below while in the countries listed as a condition of entry into U.S. ports:

1. Implement measures per the ship’s security plan equivalent to Security Level 2;

2. Ensure that each access point to the ship is guarded and that the guards have total visibility of the exterior (both landside and waterside) of the vessel. Guards may be:

• provided by the ship’s crew, however, additional crewmembers should be placed on the ship if necessary

to ensure that limits on maximum hours of work are not exceeded and/or minimum hours of rest are met, or

• provided by outside security forces approved by the ship’s master and Company Security Officer.

3. Attempt to execute a Declaration of Security;

4. Log all security actions in the ship’s security records; and

5. Report actions taken to the cognizant U.S. Coast Guard Captain of the Port prior to arrival in the U.S.

Vessels that visited the countries listed on or after the effective date in the PSA, during their last five port calls will be boarded or examined by the Coast Guard to ensure the vessel took the required actions. Failure to properly implement the actions listed may result in delay or denial of entry into the United States.

Actions Required by Vessels in U.S. Ports:

Based on the findings of the Coast Guard boarding or examination, the vessels that visited the countries on or after the effective date of the PSA may be required to ensure that each access point to the ship is guarded by armed security guards and that they have total visibility of the exterior (both landside and waterside) of the vessel while in U.S. ports. The number and location of the guards must be acceptable to the cognizant U.S. Coast Guard Captain of the Port. For those vessels that have demonstrated good security compliance and can document that they took the measures called, the armed security guard requirement will normally be waived.

CONDITIONS OF ENTRY (COE)

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REPORTING OF HAZARDOUS CONDITIONS

For the San Diego Captain of the Port Zone, any of the required notifications may be made 24 hours a day by calling (619) 278-7031. In addition, reports may be made by contacting the Coast Guard on VHF radio Channel 16.

Notice of Hazardous Conditions (33 CFR 160.215) Whenever there is a hazardous condition either aboard a vessel or caused by a vessel or its operation, the owner, agent, master, operator, or person in charge shall immediately notify the nearest Coast Guard Sector Office or Group Office. (Compliance with this section does not relieve responsibility for the written report required by 46 CFR 4.05-10.) Hazardous condition is defined in 33 CFR 160.204 as any condition that may adversely affect the safety of any vessel, bridge, structure, or shore area or the environmental quality of any port, harbor, or navigable waterway of the United States. It may, but need not, involve collision, allision, fire, explosion, grounding, leaking, damage, injury or illness of a person aboard, or manning-shortage.

Report of Accident to Aid to Navigation (46 CFR 4.05-20) Whenever a vessel collides with a buoy, or other aid to navigation under the jurisdiction of the Coast Guard, or is connected with any such collision, it shall be the duty of the person in charge of such vessel to report the accident to the nearest Officer in Charge, Marine Inspection (OCMI). No report on Form CG-2692 is required unless one or more of the results listed in §4.05-1 occurs.

REPORTING MARINE CASUALTIES

Federal Law (46 U.S.C. 6101) requires the owner, agent, master, or person-in-charge of vessels involved in a marine casualty to give notice as soon as possible to the nearest Coast Guard Sector. If the vessel remains in U.S. waters, voyage records shall be retained for a minimum of 30 days; if the vessel departs U.S. waters, the voyage records must be retained for at least 30 days after the return of the vessel to a U.S. port. In addition to the immediate notice, a written report for all vessel casualties and personnel injuries shall be made on Form CG-2692, Report of Marine Casualty, Injury, or Death, no later than five (5) days after the incident. This report will provide sufficient details to allow an understanding of both the nature of the casualty and the circumstances or cause(s) thereof. If the marine casualty is determined to be a “serious marine incident” as defined by 46 CFR 4.03-2 additional information is required. 46 CFR 4.06 requires the marine employer to conduct chemical testing, no later than two hours for alcohol and no later than 32 hours for drugs, for all individuals directly involved in a serious marine incident. CG form 2692-B must be submitted (in addition to CG-2692) outlining the results of the collected specimens. The responsibility for the testing falls on the owner, operator or representative of subject vessel. Please review 46 CFR 4.06 for further guidelines regarding this issue.

ENFORCEMENT ACTION The law provides for penalties of up to $39,936 for failure to make this report within five - (5) days or as soon thereafter as possible. Questions concerning these regulations may be made to the Sector San Diego Investigations Division at (619) 572-2904.

WHAT ARE REPORTABLE MARINE CASUALTIES? (46 CFR 4.05-1) An unintended grounding, or an unintended strike of (allision with) a bridge. An intended grounding or an intended strike of a bridge, that creates a hazard to navigation, the environment, or the safety of a vessel, or that meets any criterion listed below. A loss of main propulsion, primary steering, or any associated component or control system that reduces the maneuverability of the vessel. An occurrence materially and adversely affecting the vessel's seaworthiness or fitness for service or route, including but not limited to fire, flooding, or failure of or damage to fixed fire-extinguishing systems, lifesaving equipment, auxiliary power-generating equipment, or bilge-pumping systems. A loss of life. An injury that requires professional medical treatment (treatment beyond first aid) and, if the person is engaged or employed on board a vessel in commercial service, that renders the individual unfit to perform his or her routine duties. An occurrence causing property-damage in excess of $75,000, this damage including the cost of labor and material to restore the property to its condition before the occurrence, but not including the cost of salvage, cleaning, gas-freeing, dry-docking, or demurrage. An occurrence involving significant harm to the environment as defined in §4.03-65.

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REPORTING OIL SPILLS

Sector San Diego will respond aggressively to all reports of potential or actual discharges of oil or hazardous materials in U.S. navigable waters. Our main goal is to eliminate sources of discharge and avoid further damage to our fragile ecosystem. As required by law, any oil or hazardous material discharge/release must be immediately reported to the National Response Center (NRC). In the event that the NRC cannot be reached, report the spill to the Sector San Diego Command Center and Sector San Diego Response Command.

Cleanup efforts for spilled products are required by law to be assumed by the “Responsible Party (RP)” and that response will be monitored or directed as needed by the Federal On-Scene Coordinator. If the RP takes improper or no action towards successfully cleaning/completing a discharge, the U.S. Coast Guard will assume/complete the cleanup efforts and will later bill the RP for all incurred cleanup costs.

INITIAL CONTACT

National Response Center

Phone: (800) 424-8802 (202)267-2675

Fax: (202) 267-2165 Website: http://www.nrc.uscg.mil/nrchp.html

SECONDARY CONTACT

Sector San Diego Command Center (JHOC)

Phone: (619) 278-7031 / 7032 / 7033 Fax: (619) 278-7035

MONDAY – FRIDAY DURING BUSINESS HOURS

Sector San Diego Incident Management

Phone: (619) 278-7251 Fax: (619) 278-7674

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REQUIREMENTS FOR OIL AND HAZARDOUS MATERIALS IN BULK

BUNKERING

Regulations outlining bunkering and fueling operations for vessels and shore facilities are very stringent. Requirements for conducting such operation are outlined in 33 CFR 154. A designated Person in Charge (PIC) must be assigned to conduct such an evolution in a safe manner and following the transfer criteria outlined in 33 CFR 156.

TRANSFER PROCEDURES

Proper transfer procedures (in accordance with 33 CFR 155.720) must be prepared and are required to be used while transferring oil products and hazardous materials in bulk. Such transfer procedures must be available for Coast Guard inspection during routine boardings. In addition, a proper Declaration of Inspection (DOI), following the parameters set for in 33 CFR 156.150, must be completed by the designated PIC conducting the transfer.

FIXED AND MOBILE FACILITIES

Each mobile or fixed facility providing services must be authorized by the U.S. Coast Guard and pertinent local authorities in order to conduct such operation. Upon Coast Guard request, a valid U.S. Coast approved Response Plan must be provided by the facility, meeting applicable criteria and presently conducting fueling and/or bunkering operations within this zone.

ADVANCE NOTICE OF TRANSFER

The Captain of the Port has invoked the provisions of 33 CFR 156.118 to require that all marine transportation-related facility operators in the Sector San Diego Area of Responsibility to give advance notice of transfers at least 4 hours prior to scheduled operations. This requirement applies to both fixed and mobile facilities, and to cargo as well as bunkering operations, as defined in 33 CFR 154.105.

Notice should include the following information:

• Name of facility and vessels involved • Date, time, and location of the intended transfer • Type and approximate amount of product that will be transferred • Contact name and phone number

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EXPLOSIVE HANDLING PERMITS

APPLICABILITY

Explosive Handling Permits are required to be submitted and approved by the Captain of the Port prior to loading, offloading, or handling the following products:

1. Any explosive classed as a 1.1 in accordance with 49 CFR173.50. 2. Any explosive classed as a 1.2 in accordance with 49 CFR173.50. 3. The following products in accordance with 49 CFR 176.415:

• Ammonium Nitrate, Division 5.1 (oxidizer), UN 1942, ammonium nitrate fertilizer containing more than 70

percent Ammonium Nitrate, or Division 1.5 compatibility group D Materials packaged in a paper bag, a burlap bag, or other nonrigid combustible packaging, or any rigid packaging with combustible inside packaging.

• Any other ammonium nitrate or ammonium nitrate fertilizer not listed in 49 CFR 176.410 (a) or (b).

GENERAL PERMIT REQUIREMENTS

1. A Notice of Arrival for vessels carrying certain dangerous cargo must be submitted to Sector San Diego at least 96 hours in advance of its arrival to San Diego; (33 CFR 160)

2. An application to handle hazardous materials (CG-4260) must be properly completed and submitted by the Vessel

and Terminal Owner/Operator to USCG Sector San Diego, at least 24 hours prior to handling of the products, for review and approval; (33 CFR 126.17-126.19)

3. A Dangerous Cargo Manifest, Stowage Plan, and Bill of Lading for the products must be submitted with the permit

application to Sector San Diego, ensuring vessel stowage is acceptable prior to any explosives/ammonium nitrate being handled in the port; (COTP policy)

4. Prior to a vessel offloading 1.1/1.2 explosives, a Coast Guard team will conduct an examination to ensure the

vessel meets all conditions and regulations. An exam may be required for 1.5 explosives and ammonium nitrate based on 49 CFR 176.415.

The CG Permit will be signed and returned to the Vessel and Terminal Owner/Operator by the COTP or one of his/her representatives. All conditions set forth by the COTP on the permit must be obeyed. Sector San Diego shall be notified immediately of any changes in quantity, times, dates, or of any matters that might affect the safe handling of the cargo covered by the permit.

REGULATIONS

Vessels

49 CFR 176.100 – Permit for Divisions 1.1 and 1.2 (explosive) materials

49 CFR 176.415 – Permit requirements for Division 1.5, ammonium nitrates and certain ammonium nitrate fertilizers

Facilities

33 CFR 126.17 – Permits required for handling designated dangerous cargo

33 CFR 126.28 – Ammonium nitrate, ammonium nitrate fertilizers, fertilizer mixtures, or nitro carbo nitrate general provisions

15

ANNUAL AND SEMI-ANNUAL CONTROL VERIFICATION EXAMS (PASSENGER VESSEL)

Control Verification Examinations are conducted on foreign flag passenger ships that embark passengers in the United States, for the purpose of ensuring compliance with applicable safety provisions found in SOLAS, International Load Line Convention, International Labor Convention, MARPOL, and all applicable United States regulations. Exams are conducted annually and semi-annually and the vessels are issued a Certificate of Compliance (COC).

TANK VESSEL EXAMINATIONS (OIL/CHEMICAL/GAS)

OIL PRODUCT CARRIERS

Certificates of Compliance (COC) are issued to foreign tank vessels entering territorial waters of the United States. Each vessel shall undergo a full safety examination at its initial U.S. port of call and at least annually thereafter. The purpose of this inspection is to ensure compliance with applicable safety provisions found in SOLAS, International Load Line Convention, International Labor Convention, MARPOL, and all applicable United States regulations.

CHEMICAL AND GAS CARRIERS

Foreign tank vessels transporting chemical and gas products must hold a valid Certificate of Compliance (COC) issued by the U.S. Coast Guard in order to conduct transfer operations within territorial waters. Along with the COC, a Chemical Tanker Vessel Information Sheet will list the cargoes the vessel is prohibited from carrying in U.S. waters.

A chemical tanker whose flag state is not party to MARPOL will not be issued a COC for the Carriage of Chemicals unless a Subchapter “O” Endorsement has been issued by Commanding Officer, Marine Safety Center (Washington, D.C.) after reviewing the vessel plans and relevant IMO certificates. However, a COC may be issued to carry oil products if the International Oil Pollution Certificate is endorsed for the carriage of oil.

Gas carriers, along with the COC, will be issued a Subchapter “O” endorsement (46 CFR Subchapter O) with a list of cargoes authorized to be transported. U.S. port entry approval will be given by Commanding Officer, Marine Safety Center (Washington, D.C.) after reviewing the vessel plans and relevant IMO certificates. Once that plan review is complete, the vessel must notify the Officer in Charge Marine Inspection, for the port where the vessel is to be inspected, at least seven (7) days before the vessel arrives, to arrange the exact time and other details of the examination. The seven-day notification procedure is required by law if subject vessel is due for an initial or reissuance of a Certificate of Compliance.

PROCEDURES FOR APPLYING FOR A SUBCHAPTER “O” ENDORSEMENT

1. Procedures for Gas Tankers can be found on the USCG Homeport website: Subchapter O Endorsement(SOE) 2. Procedures for Chemical Tankers not party to MARPOL can be found in 46 CFR153.9(b)

OPERATIONS PERMITTED WITH AN EXPIRED COC – OIL TANKER, CHEMICAL, GAS

At the discretion of, and with the prior approval from the OCMI/COTP, tankers with expired COC’s (mid-period) that are not more than three months past due and with no indications that the vessel is not in compliance with applicable laws and regulations, should not be restricted from commencing cargo operations prior to an examination. However, the COC must be completed prior to departure. Vessels that are more than three months beyond the due date of their COC will continue to be inspected prior to commencement of cargo operations. To request cargo operations with an expired COC, a waiver (See Enclosure on page 33) must be submitted to Sector San Diego Prevention Command via email.

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SCHEDULING CERTIFICATE OF COMPLIANCE EXAMS

Due to the complexity and risks involved with these inspections, examinations will only be conducted during daylight hours.

Vessel owners, operators and agents are required by 46 CFR 153.809(a) or 46 CFR 154.151(b)(2) to provide an advance notice of arrival, at least 7 days in advance, to advise the OCMI/COTP that the vessel is due for a COC.

To process the COC: Email a copy of the most recent Continuous Synopsis Record, Certificate of Registry, IOPP Certificate with Form B Supplement, Class Letter Verifying Vapor Control System in accordance with 46 CFR 39.10-13(d), IGS Manual Cover Page, Ship's Particulars, Stowage Plan, Cargo SDS (if not in ballast), Copy of Previous Certificate of Compliance, and Proof of Payment.

BALLAST TANK EXAMS

Ballast Tank examinations are no longer conducted on a routine basis. If during an examination it is determined by the marine inspector that a ballast tank must be entered, a Marine Chemist Certificate will be required prior to entry by Coast Guard personnel.

MARINE CHEMIST CERTIFICATION OF SPACES CONTAINING CARGO TRANSFER EQUIPMENT

During annual and biennial Certificate of Compliance (COC) examinations, a Marine Chemist must certify that the following compartments are “SAFE FOR WORKERS” prior to entry of Coast Guard personnel:

a. Cargo pump roomb. Ballast pump room containing cargo stripping pumpsc. Compressor room on vessels carrying bulk liquefied gas

All cargo transfer equipment listed in these spaces must remain secured until the Coast Guard inspector has completed the exam. The Coast Guard inspector will notify the vessel master when this equipment can be restarted.

In accordance with NFPA 306, the Marine Chemist will perform the following tasks:

• Whenever possible, physically enter each compartment or space to conduct a visual inspection• Determine three previous cargoes carried• Verify that any pipelines that could release hazardous material into spaces are secured and tagged in

such a manner to prevent accidental operation• Test spaces for oxygen (19.5 percent minimum, 22 percent maximum)• Test spaces for flammable gases (must be below 10 percent lower explosive limit)• Test spaces for toxic substances (must be within permissible concentrations).

Upon being issued by the Marine Chemist and signed by the ship’s representative, the certificate is valid for 24 hours if conditions remain the same. The certificate should state the conditions under which the Marine Chemist should be consulted or recalled. The certificate should also list any conditions that must be maintained by the "competent person” to ensure validity of the certificate. These conditions might include

• Types of additional tests/inspections• Frequency of further tests/inspections• Required qualifications, and other pertinent instructions.

To limit potential problems, it is recommended that the Marine Chemist issue the certificate the day of the Coast Guard exam. For all offshore examinations, the certificate must be issued the day of the exam. A Directory of Marine Chemists can be found at marinechemistassociation.com

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USER FEE – FOREIGN TANK VESSEL

46 CFR 2.10-125 (PERTAINS STRICTLY TO FOREIGN TANKSHIPS) FOREIGN VESSELS SUBJECT TO USER FEES

Foreign vessels receiving Certificate of Compliance letters. (Note: Vessels of foreign nations not party to SOLAS, and vessels to which SOLAS does not apply, are subject to the same inspection requirements as U.S. vessels and therefore, are subject to fees)

FOREIGN VESSELS NOT SUBJECT TO USER FEES Foreign Passenger Vessels undergoing Control Verification examinations and Foreign Freight Vessels undergoing Freight Vessel examinations or other Port State Control examinations are not covered by these regulations.

FEE Foreign tank ships are issued a Certificate of Compliance, which is valid for two years. These tank ships are also examined annually, at which time the vessel’s COC is endorsed. The fee for each of these examinations is $1,100.00, regardless of the size of vessel. Follow up visits necessary for correction of deficiencies related to the above examinations are included in the fee established for COC examinations. There are no provisions for fee refunds.

PAYMENT PROCEDURE The fee may be paid by the vessel owner, the vessel operator, or some other designated vessel representative (e.g. the vessel’s agent); however, the primary responsibility for payment of the fees resides with the vessel owner. Payment for the examination must be received before any examination services will be provided. Payment must be in the form of a check or money order, in U.S. Currency drawn on a U.S. bank, and made payable to the U.S. Treasury. If desired, vessel owners and operators may pay examination fees for several different vessels, under the same transaction, provided that the vessel name and vessel identification number (VIN) of each vessel, for which a payment is being made, accompanies the payment. The present system has no provisions for prepayment of future year examinations for foreign vessels. The vessel’s name and the VIN must accompany all payments. Address to send fees: Payment by check should be made payable to: USCG Inspection Fees U.S. Treasury P.O. Box 531030 For payment by credit card: Atlanta, GA 30353-1030 online through www.pay.gov If a foreign vessel has not paid its examination fee, and the examination is imminent, the appropriate fee may be sent via overnight or next day service to the following address: USCG Vessel Inspection Fees Bank of America Lockbox Number 531030 (COI) 1075 Loop Road Atlanta, GA 30337-6002 In such instances, the OCMI may authorize the examination to be initiated only after first sighting the express mailing receipt and a copy of the check or money order, made out for the proper fee amount. Fees will not be accepted at U.S. Coast Guard units. Notification Letters: Foreign commercial vessels will not receive a user fee notification letter. Utilization of Fees: Fees will be deposited in the General Fund of the Treasury as offsetting receipts of the Department of Transportation and ascribed to Coast Guard activities. Fee Tracking System: The U.S. Coast Guard has developed a collection system in the Marine Safety Network (MSN). Bank of America will process payments received and within 24 hours of receipt of payment, will credit all payments to the appropriate vessels within MSN. For more specific information regarding the user fee payment process, vessel owners can contact FINCEN. See page 3 for contact information. Enforcement Actions: It is not uncommon for a foreign vessel to arrive in a U.S. port with an expired COC. Therefore, in order to meet the requirement set forth in 46 CFR 2.10-20(a), foreign vessel representatives (owners, operators, masters, and agents) need to plan accordingly. If there is no evidence of user fee payment, U.S. Coast Guard examinations will not be conducted and no cargo operations will be authorized. Last minute scheduling of COC examinations may cause delays to vessel operations. Penalties For Failure To Pay Fee: Section 2110 of Title 46 U.S.C. authorizes a civil penalty of up to $5,000 for failure to pay fees. Each District Commander or OCMI may request the Secretary of the Treasury (U.S. Customs) or the authorized representative thereof, to withhold or revoke the clearance, required by 46 U.S.C. Appendix Chapter 3 § 91, of a vessel for which a fee or charge established under this part has not been paid or until a bond is posted for the payment. The U.S. Coast Guard may assess additional charges to anyone to recover collection and enforcement costs associated with delinquent payments of, or failure to pay, a fee. The Coast Guard will treat checks returned due to insufficient funds, account closed, or any other such reason, as a delinquent payment and will seek to recover appropriate collection.

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FORCE MAJEURE

GENERAL

Force Majeure is a doctrine of international law which confers limited legal immunity upon vessels that are forced to seek refuge or repairs within the jurisdiction of another nation due to uncontrollable external forces or conditions. This limited immunity prohibits coastal state enforcement of its laws that were breached due to the vessel’s entry under force majeure.

DEFINITION

Emergency entry, or force majeure, is defined as an overwhelming force or condition of such severity that it threatens loss of the vessel, cargo or crew unless immediate corrective action is taken. Force majeure is based upon the historical premise in international law that, if a vessel is compelled to move into the waters of a foreign state by some uncontrolled external force, then the vessel should be excused from compliance with domestic laws, which prohibit such entry.

BURDEN OF PROOF

The burden of proof that a vessel has a valid claim of force majeure rests with the vessel, its master and owner. A claim of force majeure is supported only by the existence of overwhelming conditions or forces of such magnitude (e.g. severe storm, fire, disablement, mutiny) that they threaten the loss of the vessel, crew, or cargo unless immediate corrective action is taken. Conversely, an invalid claim of force majeure has no effect on the authority of the coastal state to take all appropriate law enforcement action against an entering vessel.

COTP AUTHORITY

Each U.S. Coast Guard COTP, and the district commander, has the authority to verify and then accept or reject claims of force majeure for the purpose of enforcing applicable laws. Even if a vessel exhibits a valid force majeure claim, the COTP may nevertheless take action to remove a hazard to life or property under the authority of the Ports and Waterways Safety Act (33 USC 1221, et seq.). For example, in the event of fire, flooding, or collision damage which may affect the safety of a vessel or its cargo, the COTP would ascertain the condition of the vessel, determine the existence of any hazard to the port, and make any COTP order consistent with the right of entry under force majeure and the protection of the port. The COTP may direct the vessel to a specific location and not to the port of their choice. However, once a force majeure claim has been validated, the U.S. Coast Guard alone is the Federal agency responsible for granting or denying vessel entry.

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APPEAL PROCEDURES (46 CFR Subpart 1.03)

§1.03-20 APPEALS FROM DECISION OR ACTIONS OF AN OCMI

Any person directly affected by a decision or action of an OCMI may, after requesting reconsideration of the decision or action by the cognizant OCMI, make a formal appeal of that decision or action, via the office of the cognizant OCMI, to the District Commander of the district in which the office of the cognizant OCMI is located, or in the case of the Officer in Charge, Activities Europe, to the Atlantic Area Commander, in accordance with the procedures contained in §1.03-15 of this subpart.

§1.03-25 APPEALS FROM DECISION OR ACTION OF A DISTRICT COMMANDER

Any person directly affected by a decision or action of a District Commander made pursuant to §1.03-20 of this subpart, may make a formal appeal of that decision o r action, via the office of the cognizant District Commander, to the Commandant, in accordance with the procedures contained in §1.03-15 of this subpart.

§1.03-15 GENERAL

• Any person directly affected by a decision or action taken under this chapter or under chapter III of this title, by or on behalf of the Coast Guard, except for matters covered by subpart J of part 5 of this chapter dealing with suspension-and-revocation hearings, shall follow the procedures contained in this section when requesting that the decision or action be reviewed, set aside, or revised.

• When requesting that a decision or action be reconsidered or reviewed, as may be required by this subpart, such request must be made within 30 days after the decision is rendered or the action is taken.

• When making a formal appeal of a decision or action, as permitted by this subpart, such appeal must be submitted in writing and received by the authority to whom the appeal is required to be made within 30 days after the decision or action being appealed, or within 30 days after the last administrative action required by this subpart. Upon written request and for good cause, the 30 day time limit may be extended by the authority to whom the appeal is required to be made.

• A formal appeal must contain a description of the decision or action being appealed and the appellant's reason(s) why the decision or action should be set aside or revised.

• When considering an appeal, the Commandant or a District Commander may stay the effect of a decision or action being appealed pending determination of the appeal.

• While a request for reconsideration or review or a formal appeal is pending, the original decision or action remains in effect, unless otherwise stated under paragraph (e) of this section.

• The Commandant may delegate authority to act on administrative appeals under this subpart to the Assistant Commandant for Marine Safety and Environmental Protection, and appropriate office chiefs within Marine Safety and Environmental Protection.

Formal appeals made to the Commandant shall be addressed to:

• Commandant (CG-CVC) for appeals involving vessel inspection issues, load line issues, and vessel manning issues

• Commandant (CG-5PS) for appeals involving vessel plan review or tonnage measurement issues and for all appeals involving suspension or withdrawal of course approvals, merchant mariner personnel issues appealed from the National Maritime Center or from an OCMI through a District Commander.

• Commandant (CG-5PC) for all appeals regarding the documentation of a vessel under part 67 or part 68 of this title. All appeals regarding the documentation of a vessel under part 67 or part 68 of this title must be addressed to Commandant (CG-5PC), Attn: Director of Inspections and Compliance, U.S. Coast Guard Stop 7501, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7501, and a copy of each such appeal must be sent to the National Vessel Documentation Center, 792 T J Jackson Drive; Falling Waters, WV 25419

• Commandant (CG-ENG), for appeals involving the recognition of a classification society

• Failure to submit a formal appeal in accordance with the procedures and time limits contained in this subpart results in the decision or action becoming final agency action.

• Any decision made by the Commandant, or by the Deputy Commandant for Operations (DCO-D), or by the Assistant Commandant for Prevention Policy (CG-5P), or by a Director or an office chief pursuant to authority delegated by the Commandant is final agency action on the appeal.

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BALLAST WATER MANAGEMENT

References: 1. Enclosure (1) to NAVIGATION AND VESSEL INSPECTION CIRCULAR 07-04 2. 33 CFR 151 Subpart D

This enclosure explains the Ballast Water Management (BWM) reporting and record keeping requirements of 33 CFR 151, subpart D, as amended by the June 14, 2004 final rule, and provides guidance for foreign and domestic vessel owners, operators, agents, and persons-in-charge for complying with these requirements. The final rule titled “Penalties for Non-submission of Ballast Water Management Reports,” implements a maximum $35,000 a day Civil Penalty and Class C Felony provisions for failing to submit BWM reports and failing to maintain BWM records. The final rule also expands existing BWM reporting and record keeping requirements to include all vessels equipped with ballast water tanks that transit to any U.S. port or place of destination, regardless of whether the vessel operated outside the Exclusive Economic Zone (EEZ) of the U.S. or equivalent zone of Canada.

APPLICABILITY

The master, owner, operator or person-in-charge of any vessel equipped with ballast water tanks, that is bound for ports or places in U.S. waters, must ensure complete and accurate BWM reports are submitted in accordance with 33 CFR 151.2060, and signed BWM records are kept on board the vessel for a minimum of two years in accordance with 33 CFR 151.2070. Shipping agents of vessels operating in U.S. waters should, where possible, facilitate efforts to submit complete, accurate and timely reports.

EXEMPTIONS

As amended, the only vessels that are exempt from the mandatory BWM requirements under 33CFR 151.2015 are:

• Vessels that operate exclusively within one COTP zone; • Crude oil tankers engaged in coastwise trade; and • Vessels of the Department of Defense, U.S. Coast Guard, or any of the Armed Services as defined within 33

USC 1322 (a) and (n).

YOU MUST SUBMIT YOUR REPORT AS DETAILED BELOW

Submit the ballast water report no later than 6 hours after arrival at the port or place of destination, or prior to departure from that port or place of destination, whichever is earlier, and submit the required information to the National Ballast Information Clearinghouse (NBIC) by one of the following means:

Web http://invasions.si.edu/nbic/submit.html

Email NBIC@BallastReport.org

During Safety Exams, compliance with the Ballast Water Management Program will be checked. This can include reviewing the Ballast Water Log required by 33 CFR 151.2070, confirming that the Ballast Water Report has been sent to the NBIC or SERC and by taking samples of ballast water and sediments. A copy of the Ballast Water Reporting Form can be downloaded at http://invasions.si.edu/nbic/.

.

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INTERNATIONAL SHIP & PORT FACILITY SECURITY (ISPS) CODE EXAMINATION OBJECTIVES

OBJECTIVES

1. To establish an international framework involving cooperation between Contracting Governments, Government

agencies, local administrations, and the shipping and port industries to detect security threats and take preventive measures against security incidents affecting ships or port facilities use in international trade

2. To establish the respective roles and responsibilities of the Contracting Governments, Governments agencies, local

administrations and the shipping and port industries, at the national and international level, for ensuring maritime security

3. To ensure the early and efficient collection and exchange of security related information

4. To provide a methodology for security assessments so as to have in place plans and procedures to react to

changing security levels

5. To ensure confidence that adequate and proportionate maritime security measures are in place

BASELINE REQUIREMENTS

1. Gathering and assessing information with respect to security threats and exchanging such information with

appropriate Contracting Governments

2. Requiring the maintenance of communication protocols for ships and port facilities

3. Preventing unauthorized access to ships, port facilities and their restricted areas

4. Preventing the introduction of unauthorized weapons, incendiary devices or explosives to ships or port facilities

5. Providing means for raising the alarm in reaction to security threats or security incidents

6. Requiring ship and port facility security plans based upon security assessments

7. Requiring training drills and exercises to ensure familiarity with security plans and procedures

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ENCLOSURES

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FOREIGN FREIGHT VESSEL EXAMINATION

The Coast Guard is on board to conduct an examination of your vessel to ensure it complies with all applicable U.S. and International standards. If you have any outstanding conditions of class, ISM non-conformities or other known deficiencies with your vessel let the inspector know. This will prevent misunderstandings and possible delays for the vessel.

NOTE: To expedite the inspection and to minimize delays to your vessel or cargo operations, we request one engineer and one deck officer, both with hand-held communications, to accompany our inspectors for the duration of the examination. Their undivided attention would be greatly appreciated.

During the annual examination the following tests and examinations may be required at the discretion of the Boarding Officer; however this list is not all-inclusive:

1) Review of all documents, logs, plans, and manuals:

a. SOLAS, LOADLINE, MARPOL certificates b. Class certificates including the most recent class society survey report c. Officers’ STCW licenses and endorsements d. Hazmat Training records (Container Vessels Only) e. Oil Record Book for machinery spaces, f. ISM documents and manuals g. Non Tank Vessel Response Plan/SOPEP/SMPEP h. Vessel General Permit and Notice of Intent i. Cargo Securing Manual j. Garbage Management Plan and Log k. Lifesaving and Fire extinguishing servicing records l. Evidence of a hydrostatic test of bunker piping m. Ballast Water Management Plan and Log n. Loading Manual o. Ship Security Certificate/ Security Logs p. LRIT conformance test report

2) Test of all navigation equipment and examination of navigation charts and publications.

3) Walk through of the accommodation spaces and galley.

4) Operational test of:

a. Steering gear and associated alarms in all modes of operation and from all control locations b. Main and emergency fire pump, simultaneous charging of two fire hoses, one at the bow and one on the bridge

wing c. Bilge/Ballast pumps d. Emergency generator e. Oily Water Separator

5) Examination of the Marine Sanitation Device

6) Cargo deck examination, including piping, vents, flame screens, cargo hatches

7) Spot-check of firefighting equipment

8) Spot-check of lifesaving equipment

9) Conduct fire drill and abandon ship drill

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FOREIGN TANK VESSEL EXAMINATION NOTIFICATION LETTER The Coast Guard is conducting an examination of your vessel to ensure it complies with all applicable U.S. and International standards. If you have any outstanding conditions of class, ISM non-conformities or other known deficiencies with your vessel, let the inspector know upon their arrival. This will prevent misunderstandings and possible delays for the vessel.

NOTE: To expedite the exam and to minimize delays to your vessel or cargo operations, we request one engineer and one deck officer, each with hand-held communications, to accompany our Port State Control Officers (PSCO) for the duration of the examination. Their undivided attention would be greatly appreciated.

During the annual examination the following tests and examinations may be required at the discretion of the PSCO; however this list is not all-inclusive:

1) Review of all, documents, logs, plans, and manuals:

a. SOLAS, MARPOL, Load line certificates b. Class certificates including the most recent class society survey report c. Officers’ STCW licenses endorsements d. Oil Record Books for cargo and machinery spaces e. ISM documents and manuals f. Vessel Response Plan/SOPEP/SMPEP g. Vessel General Permit and Notice of Intent h. Loading and Ballast Systems Manual i. Procedures and Arrangements Manual (NLS) if applicable j. Inert Gas, ODME, Vapor Control, and VOC Manuals k. Cargo stowage plan and MSDS l. Garbage Management Plan and Log m. Life raft and fire fighting servicing reports including foam analysis n. Evidence of a hydrostatic test of cargo and bunker piping o. Cargo and Bunkering Transfer Procedures p. Ship Security Certificate/ Security Logs q. Ballast Water and Biofouling Management Plan r. Lifesaving and Fire extinguishing servicing records

2) Test of all navigation equipment and examination of navigation charts and publications.

3) Walk through of the accommodation spaces, hospital and galley.

4) Operational test of Life/Rescue boats.

5) Operational test of:

a. Steering gear and associated alarms in all modes of operation and from all control locations b. Main fire pump and simultaneous charging of two fire hoses, one at the bow and one on the bridge wing.

Please have hoses pre rigged and ready for test. c. Emergency fire pump d. Bilge/Ballast pumps e. Deck foam system USING WATER ONLY f. Emergency generator g. Cargo pump emergency shut-down system h. Inert Gas System i. Cargo tank level alarms j. Portable instruments; oxygen, flammable gas, toxic including calibration certificates k. Oily Water Separator and Oily Discharge Monitor

6) Examination of the Marine Sanitation Device.

7) Cargo deck examination, including piping, vents, flame screens, hatches and fire extinguishing systems.

8) Spot-check of firefighting equipment and personal protective equipment.

9) Spot-check of lifesaving equipment. 10) Conduct fire drill and abandon ship drill.

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FOREIGN GAS CARRIER EXAMINATION

The Coast Guard is conducting an examination of your vessel to ensure it complies with all applicable U.S. and International standards. If you have any outstanding conditions of class, ISM non-conformities or other known deficiencies with your vessel, let the inspector know upon their arrival. This will prevent misunderstandings and possible delays for the vessel.

NOTE: To expedite the exam and to minimize delays to your vessel or cargo operations, we request one engineer and one deck officer, each with hand-held communications, to accompany our Port State Control Officers (PSCO) for the duration of the examination. Their undivided attention would be greatly appreciated.

During the annual examination the following tests and examinations may be required at the discretion of the PSCO; however this list is not all-inclusive:

1) Review of all documents, logs, plans, and manuals:

a. SOLAS, MARPOL, Load line certificates b. Class certificates including the most recent class society survey report c. Officers’ STCW licenses and endorsements d. Oil Record Books for cargo and machinery spaces e. ISM documents and manuals f. Shipboard Oil Pollution Emergency Plan/ Shipboard Marine Pollution Emergency Plan/NTVRP g. Loading and Ballast Systems Manual h. Procedures and Arrangements Manual (NLS) if applicable i. Pressure setting of cargo tank relief valves and date serviced j. Garbage Management Plan and Log k. Lifesaving and Fire extinguishing servicing records l. Evidence of a hydrostatic test of cargo and bunker piping m. Cargo and Bunkering Transfer Procedures n. Ship Security Certificate/ Security Logs o. Ballast Water and Biofouling Management Plan

2) Test of all navigation equipment and examination of navigation charts and publications.

3) Walk through of the accommodation spaces, hospital and galley.

4) Operational test of Life/Rescue boats.

5) Operational test of: a. Steering gear and associated alarms in all modes of operation and from all control locations b. Main and emergency fire pump, simultaneous charging of two fire hoses, one at the bow and one on the bridge wing c. Motor room: Air lock alarm, Ventilation shut-down alarm d. Emergency generator and/or batteries e. Quick closing valves, cargo manifold, cargo tank domes f. Calibration of fixed and portable gas detection. Test of oxygen meters g. Cargo tank high and low pressure alarms h. Cargo tank temperature alarms (if inter barrier -55 degrees Celsius) i. Inert Gas System, if applicable j. Deck spray system

6) Examination of the Marine Sanitation Device.

7) Cargo deck examination, including compressor room, piping, vents, flame screens, hatches and fire extinguishing

systems.

8) Spot-check of firefighting equipment and personal protective equipment. 9) Spot-check of lifesaving equipment.

10) Conduct fire drill and abandon ship drill.

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For Foreign Vessel Examinations, Please Provide the Following:

□ Copies of: o Vessel Particulars o IMO Crew List o Most Recent Continuous Synopsis Record

□ Ships Certificates □ Crew Licenses, Flag State Endorsements, medical certificates and VSO training □ Servicing Certificates including Lifeboat / Life-raft / Fire extinguishing servicing reports □ Foam Analysis Report (If Present) and/or CO2 Servicing Certificate □ SOPEP/VRP approvals and plans □ LRIT conformance test report □ SSAS test □ Ballast Water Management Manual/Records □ Cargo Securing Manual □ Vessel General Permit approval / weekly / monthly checks □ Garbage Record Book and Management Plan □ Declaration of Inspection (DOI) / Bunkering Checklist / Transfer Procedures for Bunkering □ Hose and piping test records □ ISPS Records; Changes to security level, threats, incidents, breaches, drills, training and exercises □ Fire and Abandon Ship Drill records □ Pollution Prevention exercise and drill documentation (QI Drill, Emergency Procedures) □ Dangerous Cargo Manifest (If Present)

For Engineer □ Oil Record Book □ Bunker Delivery Notes □ OWS Calibration Log

For Foreign Tank Vessels, provide the above and the following:

□ Inert Gas System Manual □ Crude Oil Washing Manual □ Oil Record Book Part II □ Top off procedures □ Hoses and Piping Test Records □ Vapor Emission Control System Manual □ Oil Discharge Monitoring Equipment Manual □ O2 and LEL calibration letters / witness calibration (during exam) □ Declaration of Inspection (DOI) / transfer procedures (during exam) □ Ship to Shore Safety Checklist Prior to Commencing Cargo or Ballast Operations □ Enhanced Survey Records (if vessel’s age is more than 5 years

Attention: Sector San Diego – Foreign Vessels Branch

In accordance with Coast Guard Sector San Diego’s Maritime Safety and Security Bulletin: 003-12; Cargo Operations in Advance of Certificate of Compliance (COC) Examination, and the Coast Guard Marine Safety Manual Vol. II Ch. 6, I request a waiver to conduct lightering operations prior to the vessels COC examination.

I, the Master of: T/V , IMO#

Here by affirm that ALL have been successfully examined, tested and / or verified

a) Cargo Pump Room [ ] b) Cargo Emergency Shutdowns [ ] c) IGS Calibration and Operation [ ] d) Approved VRP for Area [ ] e) Vapor and Cargo Overflow Protection [ ] f) Main & Emergency Fire Main System [ ] g) The ship will not loiter in the lightering [ ]

area for more than 24-hrs before commencing cargo operations

h) The ship’s crew has not changed more [ ] than 25% since the most recent cargo transfer

i) The ship intends to venture no closer than [ ] 50 nautical miles from the U.S. mainland

j) Navigation Equipment Checked IAW [ ] 33CFR164.24

For each item above, mark the blocks as follows: S = Satisfactory, U = Unsatisfactory, N = Not Required/ Installed.

If “Unsatisfactory”, cargo transfer is prohibited without written approval by the Officer in Charge of Marine Inspections (OCMI) Sector San Diego.

I have also attached a scanned copy of the current Certificate of Compliance (COC) and International Oil Pollution Prevention Certificate (IOPP) and Form B of the IOPP, and latest Continuous Synopsis Record.

The vessel is currently located at position; N. W,

with the anticipation of the scheduled lightering operation (date) through (date) at the

following position; N. W,

Additionally; we have scheduled a COC inspection with Coast Guard Sector on (date) .

Vessel FAX:

Vessel telephone:

Agent telephone:

(Master Signature)

License #:

A RECEIPT FROM SECTOR SAN DIEGO IS NECESSARY BEFORE CARGO TRANSFER Fax request to (619) 278-7235 or Email to: SectorSD-PSC@uscg.mil

RECEIPT

From: OCMI Sector San Diego To: Master, T/V , IMO#

1. Your statements above have been reviewed as well as the provided documentation and your cargo transfer is authorized and valid until (date) .

2. This approval is contingent upon all statutory certificates (including Certificate of Fitness, if applicable) being valid and on board the vessel or available in port due to regulatory clearance.

(Signature) (Date) OCMI Questions may be directed to the U.S.C.G. Sector San Diego Foreign Vessel Branch Office at (619) 278-7262.

CID Policy Note # 27 rev. 1 CARGO OPERATIONS IN ADVANCED OF TANK SHIP

COC Waiver Request Worksheet - Enclosure (1)

Commander U. S. Coast Guard Sector San Diego

2710 N. Harbor Drive San Diego, CA 92101 Phone: (619) 278-7262 Fax: (619) 278-7235

Appeal Procedures

(Reference: Title 46, Code of Federal Regulations, Subpart 1.03)

Any person directly affected by a decision or wishing to dispute the validity of a PSC action or their association with an IMO reportable control action should follow the appeal procedures contained in 46 CFR 1.03 and as outlined below:

Detentions (Safety and/or Security) not related with RO/RSC/Charterer

1) Appeals must be submitted in writing within 30 days after the decision or action being appealed was made. The appealmust contain a description of the decision or action appealed and the reason why the decision or action should be set asideor revised.

2) All IMO reportable control action appeals must be submitted first to the cognizant Officer in Charge of MarineInspection (OCMI) for reconsideration. The issuing unit's name/address is located in the bottom left corner of the Form A.

3) If not satisfied by the decision or action of an OCMI after requesting reconsideration, a formal appeal of that decision oraction may be made within 30 days, via the office of the cognizant OCMI, to the District Commander of the district in whichthe office of the cognizant OCMI is located.

4) If not satisfied by the District Commander's decision or action on appeal, a formal appeal of that decision or action maybe made within 30 days, via the office of the cognizant District Commander to Commandant (CG-CVC).

5) Commandant (CG-CVC) is final agency action on the appeal.

RO/RSC/Charterer Related Detentions (Safety and Security)

1) Any RO/RSO/Charterer wishing to dispute their association with a detention must make their appeal in writing within 30days after the last administrative action is taken by the Coast Guard DIRECTLY to Commandant (CG-CVC) at the followingaddress:

United States Coast Guard Headquarters COMMANDANT (CG-CVC)

Attn: Foreign and Offshore Vessel Compliance Division 2793 Martin Luther King Jr Ave, SE

Stop 7501 Washington , DC 20593-7501

Or

Email: portstatecontrol@uscg.mil

U.S. COAST GUARD PORT STATE CONTROL

For information on the U.S. Coast Guard's Port State Control (PSC) Program, you may visit our website at:

http://www.uscg.mil/hq/cgcvc

DEVIATION REQUEST AND NOTIFICATION FORM

U.S. COAST GUARD SECTOR SAN DIEGO

Port State Control: (619) 278-7262 24 hr. Duty: (619) 726-0168 Email: sectorsd-psc@uscg.mil

JHOC: (619) 278-7033

Rev. DEC 2015

Date of Request:

Inbound or Outbound

Vessel Name: IMO number:

Check all that apply:

Primary Radar System-X Band, 9 GHz (164.53) Automatic Radar Plotting Aid (ARPA) (164.55) 1600 gross tons or above (164.01) 10,000 gross tons or above (164.37)

Secondary Radar System-S Band, 3 GHz (at a minimum) Speed Log (164.55) (164.53). 10,000 gross tons or above (164.37) 10,000 gross tons or above (164.37)

Echo Depth Sounding Device (164.53) Automated Identification System (AIS) (164.55) 1600 gross tons or above (164.01) 65 feet long or greater (164.46)

Gyro Compass (164.53) ANY Other Equipment inoperable (Specify): 1600 gross tons or above (164.01) (164.55)

Radio Navigation Receivers (164.53) _ _ 1600 gross tons or above (164.01)

Additional Vessel Details Agency Name: Flag State:

POC: Call Sign:

Phone: Vessel Type:

Fax: Year of Build/ Gross Tonnage:

Email (optional): Class Society:

------------------------------------------------------------------ COAST GUARD use below this line --------------------------------------------------------------------

-Under the provisions of 33 CFR 164.55, the Captain of the Port of San Diego hereby acknowledges your request to deviate from the requirements of 33 CFR 164 for the equipment identified above.

-The vessel will be restricted to daylight transit only and the pilot must be satisfied that the ability to safely navigate the ship will not be affected by the inoperable equipment. -This deviation applies to only one INBOUND or OUTBOUND voyage, as indicated above, for the Port of San Diego. -Vessels which are granted an INBOUND deviation are based on the understanding that the equipment will be operational prior to departure.

-Written notification of the repairs must be submitted to this officer to release your vessel from the specified restrictions. In Addition, the following restrictions are placed on your transit through the Port of San Diego:

Your vessel must use tug assistance of adequate horsepower as determined by the San Diego Pilots. No shifting is permitted within the Port of San Diego without prior authorization.

Other:

Granted by: Denied by: / Released by:

Signature / Date Signature / Date

Coast Guard will return to Agent and e-mail to: Pilots SDPILOT05@GMAIL.COM

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