Seafarers' Access to Maritime Facilities, 12102-12119 [2019-06272]
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Federal Register / Vol. 84, No. 62 / Monday, April 1, 2019 / Rules and Regulations
spectator may enter the regulated area or
pass directly through the regulated area
as instructed by PATCOM. A vessel
within the regulated area must operate
at a safe speed that minimizes wake. A
spectator vessel must not loiter within
the navigable channel while within the
regulated area.
(4) A person or vessel that desires to
transit, moor, or anchor within the
regulated area must first obtain
authorization from the COTP MarylandNational Capital Region or PATCOM. A
person or vessel seeking such
permission can contact the COTP
Maryland-National Capital Region at
telephone number 410–576–2693 or on
Marine Band Radio, VHF–FM channel
16 (156.8 MHz) or the PATCOM on
Marine Band Radio, VHF–FM channel
16 (156.8 MHz).
(5) The Coast Guard will publish a
notice in the Fifth Coast Guard District
Local Notice to Mariners and issue a
marine information broadcast on VHF–
FM marine band radio announcing
specific event date and times.
(d) Enforcement period. This section
will be enforced from 7 a.m. to 1 p.m.
on June 1, 2019, and, if necessary due
to inclement weather, from 7 a.m. to 1
p.m. on June 2, 2019.
Dated: March 27, 2019.
Joseph B. Loring,
Captain, U.S. Coast Guard, Captain of the
Port Maryland-National Capital Region.
[FR Doc. 2019–06204 Filed 3–29–19; 8:45 am]
BILLING CODE 9110–04–P
Coast Guard
33 CFR Part 105
[Docket No. USCG–2013–1087]
RIN 1625–AC15
Seafarers’ Access to Maritime
Facilities
Coast Guard, DHS.
Final rule.
AGENCY:
The Coast Guard is issuing a
final rule requiring each owner or
operator of a maritime facility regulated
by the Coast Guard to implement a
system providing seafarers, pilots, and
representatives of seamen’s welfare and
labor organizations access between
vessels moored at the facility and the
facility gate, in a timely manner and at
no cost to the seafarer or other
individuals. These access procedures
must be documented in the Facility
Security Plan for each facility, and
SUMMARY:
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Table of Contents for Preamble
I. Abbreviations
II. Basis and Purpose
III. Regulatory History
IV. Discussion of Comments and Changes
V. Regulatory Analyses
A. Regulatory Planning and Review
B. Small Entities
C. Assistance for Small Entities
D. Collection of Information
E. Federalism
F. Unfunded Mandates Reform Act
G. Taking of Private Property
H. Civil Justice Reform
I. Protection of Children
J. Indian Tribal Governments
K. Energy Effects
L. Technical Standards
M. Environment
I. Abbreviations
DEPARTMENT OF HOMELAND
SECURITY
ACTION:
approved by the local Captain of the
Port. This final rule, which implements
a congressional mandate, ensures that
no facility owner or operator denies or
makes it impractical for seafarers or
other individuals to transit through the
facility.
DATES: This final rule is effective May 1,
2019.
ADDRESSES: You may view
supplemental material identified by
docket number USCG–2013–1087 using
the Federal eRulemaking Portal at
https://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: For
information about this document, call or
email LCDR Myles J. Greenway, Cargo
and Facilities Division (CG–FAC–2),
Coast Guard; telephone 202–372–1168,
email Myles.J.Greenway@uscg.mil.
SUPPLEMENTARY INFORMATION:
ASP Alternate Security Program
ATB Articulated tug barge
BLS U.S. Bureau of Labor Statistics
CBP U.S. Customs and Border Protection
CFR Code of Federal Regulations
CGAA Coast Guard Authorization Act of
2010
COTP Captain of the Port
DHS Department of Homeland Security
DoS Declaration of Security
FR Federal Register
FRFA Final Regulatory Flexibility Analysis
FSO Facility security officer
FSP Facility security plan
ISPS Code International Ship and Port
Facility Security Code
ITB Integrated tug barge
MISLE Marine Information for Safety and
Law Enforcement
MTSA Maritime Transportation Security
Act of 2002
NAICS North American Industry
Classification System
NPRM Notice of proposed rulemaking
OMB Office of Management and Budget
RA Regulatory analysis
§ Section symbol
SBA Small Business Administration
SCI Seamen’s Church Institute
SME Subject matter expert
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TWIC Transportation Worker Identification
Credential
U.S.C. United States Code
II. Basis and Purpose
Throughout the maritime sector,
vessels arrive at facilities regulated by
the Maritime Transportation Security
Act of 2002 (MTSA) (Pub. L. 107–295,
codified at 46 U.S.C. 70101 et seq.) for
any number of commercial and other
purposes. These vessels are operated by
seafarers,1 who are individuals assigned
to work on a vessel and who may be at
sea for days, weeks, or months as part
of their employment on that vessel.
Generally, transiting through a MTSAregulated facility is the only way for
seafarers to access the shore, and the
services, businesses, family members,
and friends, among other things, beyond
the vessel and the facility. Additionally,
individuals providing services for
seafarers, or having another legitimate
purpose for accessing the vessel, can
generally access a vessel moored at an
MTSA-regulated facility only by
transiting through the facility.
Section 811 of the Coast Guard
Authorization Act of 2010 (CGAA) (Pub.
L. 111–281, codified at 46 U.S.C. 70103
note) requires facility owners and
operators to ensure shore access for
seafarers and other individuals.
Specifically, section 811 requires each
MTSA-regulated facility to ‘‘provide a
system for seamen assigned to a vessel
at that facility, pilots, and
representatives of seamen’s welfare and
labor organizations to board and depart
the vessel through the facility in a
timely manner at no cost to the
individual.’’
In addition, MTSA-regulated facilities
must implement national maritime
security initiatives, including the
provision of security measures for
access control. Coast Guard accesscontrol regulations in title 33 of the
Code of Federal Regulations (CFR),
§ 105.255, require MTSA-regulated
facilities to control an individual’s
access to the facility and designate
secure areas within the facility, unless
the individual is either authorized to
access that area or is escorted by
someone who is authorized to access
that area. Accordingly, facility owners
and operators must consider the
security implications of permitting
seafarers and other individuals to transit
through their facilities. Coast Guard
regulations at 33 CFR 105.200(b)(9)
require MTSA-regulated facilities to
ensure coordination of shore leave for
1 The terms ‘‘seafarer’’ and ‘‘seaman’’ are
synonymous (as are their plural forms, ‘‘seafarers’’
and ‘‘seamen’’), and are used interchangeably in
this final rule.
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these persons. Finally, the Coast Guard
administers facility security plans under
the authority of 46 U.S.C. 70103(c),
which is delegated to the Coast Guard
by DHS delegation number 0170.1
(II)(97)(b).
This regulatory action is necessary to
help ensure that owners and operators
of MTSA-regulated facilities provide
seafarers and other covered individuals
with the ability to transit through the
facility in a timely manner, at no cost to
the individuals. In addition, this
regulatory action is necessary to help
ensure that facility owners and
operators provide the same no-cost
access between a vessel and facility gate
to covered individuals with a legitimate
purpose for accessing the vessel. By
statute, these individuals include
representatives of seafarers’ welfare and
labor organizations, and pilots. Access
by these statutorily authorized persons
will be in accordance with the Facility
Security Plan (FSP).
III. Regulatory History
On December 29, 2014, the Coast
Guard published a notice of proposed
rulemaking (NPRM) to solicit comments
on Seafarers’ Access to Maritime
Facilities (79 FR 77981). We proposed
requiring each owner or operator of a
MTSA-regulated facility to implement a
system allowing seafarers and other
individuals to have access between
vessels moored at the facility and the
facility gate. Under the proposal, access
should be in a timely manner and at no
cost to the seafarer or other individual.
In that NPRM, we also published a
notice of public meeting to solicit
additional public comments. The Coast
Guard held this public meeting in
Washington, DC, on January 23, 2015.
The initial comment period on the
NPRM closed on February 27, 2015. On
May 27, 2015, we reopened the public
comment period for an additional 60
days (80 FR 30189), based on comments
requesting an extension of the comment
period and also to specifically seek
input on our estimate of a 10.3-percent
noncompliance rate for facilities with
respect to providing seafarers’ access.
We stated that we would consider all
public comments on the NPRM received
during the reopened comment period.
The second comment period closed
on July 27, 2015 (80 FR 32512). In total,
the Coast Guard received comments
from 163 commenters. The commenters
represented private individuals, port
authorities, pilots’ associations, industry
groups, professional mariner
associations, seafarers’ unions, seafarers’
churches and centers, other mariner
non-governmental organizations, the
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World Shipping Council, and the
Company of Master Mariners of Canada.
As a result of the public comments
received on the NPRM, we made two
changes to this final rule. First, we
changed the types of individuals to
which the rule applies, to mirror section
811 of the CGAA (Pub. L. 111–281,
codified at 46 U.S.C. 70103 note), by
deleting the proposed category of ‘‘other
authorized individuals’’. Second, we
changed the regulations to address
concerns raised by commenters about
the need to modify their facility security
plans (FSPs) to accommodate the nocost mandate of the rule.
Additionally, we proposed to add
§ 101.112 on federalism, but a rule
published in 2016 put identical
language in place, so we have removed
that amendatory instruction (see 81 FR
57652, 57708, effective date August 23,
2018).
IV. Discussion of Comments and
Changes
In this section, we organize the public
comments we received into 18
categories. In each category, we feature
a brief description of the comments and
our responses to those comments.
(1) Transportation Worker Identification
Credential Issues
This section discusses comments
received on possible interaction
between Transportation Worker
Identification Credential (TWIC)
requirements and the access
requirements established by this final
rule. As we explain in our responses
that follow, this rule does not change
existing TWIC requirements, and
whether escorts are or are not required
under TWIC rules does not affect the
obligation to provide no-cost access to
the seafarer. The facility has flexibility
to decide how to comply with its TWIC
requirements and the no-cost access
requirements of this rule.
Several commenters noted that a
TWIC should be sufficient identification
for a mariner to have unescorted access
to a facility.
While it may be possible on some
facilities to design a system for
unescorted access, the concern for
secure areas of the facility remains
paramount. To be granted unescorted
access to the secure areas of a facility,
the facility security regulations in 33
CFR 105.255 require a person to have a
TWIC and to be authorized to access to
the secure areas of a facility. A TWIC,
by itself, does not satisfy the regulatory
requirement and some facilities may opt
for escorts to protect the secure areas of
the facility. Other facilities may develop
a system that does not require escorts.
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Based upon the variety of scenarios
under which a facility has the flexibility
to decide how to comply with the TWIC
and the no cost requirements of this
rule, a facility has the option to use
equipment and implement procedures
that would allow unescorted access.
Congress requires MTSA-regulated
facilities to grant access through the
facility to seafarers at no cost to the
seafarer. This rule does not change the
requirement to escort or otherwise
monitor the access of a person who is
not authorized to have unescorted
access to the facility.
A few commenters stated that
seafarers may be precluded from taking
taxis from the vessel to the facility gate
because taxi drivers do not hold TWICs.
We recognize that the method of
transfer between a vessel in port and the
port facility gate may preclude certain
options, such as taxis. It is also possible
that taxi drivers could obtain TWICs
and the Coast Guard is aware of several
taxi companies that have drivers who
have already obtained a TWIC. We are
providing facility owners with the
flexibility to implement a system to
provide access that is tailored to each
facility.
Other commenters expressed concern
that the requirements for the seafarers’
access program will duplicate existing
TWIC escort requirements. They urged
the Department of Homeland Security
(DHS) to allow individual facilities
under the Alternative Security Program
(ASP) to add a seafarers’ access system
as an annex to their current FSP and to
submit the annex to the Captain of the
Port (COTP) for review and approval.
We concur with the comment. In lieu
of amending the ASP and submitting the
entire plan to the COTP for approval,
the owner or operator of a facility
covered under an ASP may submit an
annex for each facility that explains
how the facility will comply with the
requirements of this final rule.
One commenter noted that the port of
Port Everglades, Florida, is a restricted
area inside a restricted area, and should
not be accessed by any individual who
does not possess a TWIC without a
proper escort.
This final rule provides no-cost access
for seafarers and other covered
individuals to a port facility gate.
Security of the facility or who has
access to it should already be addressed
by the FSP that was approved by the
COTP for each port. Each port facility
should ensure that its FSP is updated
and approved to reflect the mandates of
the law to provide no-cost access for
seafarers and other covered individuals.
One commenter stated that ‘‘other
authorized individuals’’ are generally
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eligible to receive TWICs, but that this
is not the case for non-U.S. seafarers.
These seafarers should not be penalized
for their inability to obtain TWICs, and,
according to the commenter, they are
treated as criminals because of their lack
of visas. Fair treatment of non-U.S.
mariners who are allowed access would
help to ensure fair treatment of U.S.
mariners abroad.
This comment is beyond the scope of
this rulemaking, as this final rule
concerns no-cost access through
facilities, not unescorted access or the
inability to obtain a TWIC. This rule
does not change the requirement to
escort or otherwise monitor the access
of a person who is not authorized to
have unescorted access to the facility.
(2) Seafarer Safety Concerning Access to
Port Facility Gates
Many commenters noted that they
have experienced unsafe conditions
while attempting to gain facility access,
and believe that safe transportation and
pedestrian walkways must be mandated.
Many commenters also complained that
the current methods of allowing
seafarers access are burdensome,
expensive, or unsafe. Another
commenter noted that they saw no
reason to make special accommodations
for seafarers if facility operators feel that
safety and security is reduced if such
seafarers are allowed on the facility.
Several commenters stated that this
rule jeopardizes the ability of private
port facilities to deny access to the
docks out of safety concerns to
mariners, and also noted the possibility
that the free movement of mariners
about the docks could impose an undue
burden on dock operators and create an
unsafe situation for mariners.
One commenter fully endorsed safe
transit for mariners to and from the
facility gate, and believed that such safe
passage must be mandated.
The purpose of this final rule is to
implement the Congressional
requirement of no-cost access for
seafarers and certain support
organizations through MTSA-regulated
facilities. The Coast Guard considered
mandating specific infrastructure, such
as pedestrian walkways, but determined
that this could be unnecessary and
costly in many facilities. Moreover, the
no-cost access required by section 811
of the CGAA and this rulemaking does
not diminish the requirement for
facilities to comply with other laws and
regulations, such as Occupational Safety
and Health Administration (OSHA)
requirements under 29 CFR. This final
rule provides facility owners and
operators with flexibility to ensure the
safe passage of seafarers to and from the
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facilities’ gates through a variety of
methods. It remains the responsibility of
the facility owner or operator to ensure
safety in accordance with the approved
FSP on file. If conditions are unsafe or
overly burdensome at certain facilities,
mariners are encouraged to contact the
local COTP to report such unsafe or
overly burdensome conditions.
(3) Cost Concerns Associated With the
Requirement for ‘‘No Cost’’ Access to
Port Facility Gates
Many commenters were concerned
with the cost of providing seafarers with
no-cost access to facility gates. Some
commenters said that the vessel owner
or operator should bear the financial
cost of providing access to facilities,
while others said that the facility should
bear the cost, and one commenter said
the cost should not be borne by only one
stakeholder. Several commenters
proposed regulatory text placing the
financial burden on one party or the
other. Two commenters said the rule
should be amended to clearly state that
costs for providing access to facilities
can be charged back to the vessel owner,
because relieving vessel owners or
operators from the financial burden of
no-cost access goes beyond the intent of
the CGAA.
The CGAA does not specify who
should pay for no-cost access for
seafarers. Ultimately, the Coast Guard
determined that it is the facility’s
responsibility to provide the no cost
service, as Coast Guard regulations
already require each facility to have an
approved FSP, which must now include
a system for providing no-cost access to
the facility for certain individuals.
However, the Coast Guard declined to
specifically prohibit charges to the
vessel, and let parties decide the
allocation of costs between facility and
vessel. This rule provides flexibility to
facilities on how to comply with the
mandate and how to provide no-cost
access for seafarers, as long as its
solution does not result in a cost to
seafarers.
Some commenters suggested that the
rule should allow ‘‘reasonable fees’’ that
can be passed on to the vessel owner to
pay for seafarers’ access. Many
commenters noted that if facility owners
are allowed to charge the vessel for
seafarer access, the vessel owner will
charge the mariner for access, and the
intent of the law will be frustrated.
We are advising COTPs, through
formal and informal communications
with field units, to be on the lookout for
this problem. Facilities that violate any
provision of this rule are subject to
enforcement by the COTP. Under 46
U.S.C. 70119 and 33 CFR 101.415(b),
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any person who does not comply with
the applicable requirements, including
33 CFR part 105, is liable to the U.S. for
a civil penalty of not more than $25,000
for each violation.2
Pursuant to the International
Convention for Safety of Life at Sea
(SOLAS) Chapter XI–2, the International
Ship and Port Facility (ISPS) Code, the
International Maritime Organization’s
‘‘Reminder in Connection with Shore
Leave and Access to Ships’’ MSC/1/
Circ.1342, and the 2016 Amendments to
the Convention on the Facilitation of
International Maritime Traffic (FAL)
Annex 1, there is an internationally
recognized obligation to protect the
interest of seafarer’s shore leave,
including shoreside access. As stated in
Annex 1 of the FAL, ‘‘Crew members
shall be allowed ashore by the public
authorities while the ship on which
they arrive is in port, provided that the
formalities on arrival of the ship have
been fulfilled and the public authorities
have no reason to refuse permission to
come ashore for public health, public
safety or public order. Shore leave shall
be allowed in a manner which excludes
discrimination such as on the grounds
of nationality, race, colour, sex, religion,
political opinion, or social origin and
irrespective of the flag State of the ship
on which they employed, engaged or
work.’’ If private actors thwart or hinder
the ability of the United States to fulfill
its international obligations, such as by
imposing fees on crewmembers as a
condition to shoreside access in the
United States, any and all legal and
diplomatic responses, to include
notification to the vessel’s flag-state,
may be taken by the U.S. Government.
Should the practice of the vessel owner
charging the seamen for access prove to
be an on-going issue for seamen, we will
consider the possibility of amending the
regulations, or even seeking new
statutory authority, to deal with the
matter.
(4) The Proposed Rule Underestimated
the Cost of Compliance for Facilities
Several commenters stated that the
Coast Guard’s regulatory analysis
underestimated the cost of compliance
for facilities. One commenter stated that
annual facility costs amount to $75,000
annually and others stated the $1,121
they reference in their comments is an
underestimation and the actual costs
will likely be higher than the costs we
estimated in the proposed rule. One
commenter also stated ‘‘the expansion
of covered individuals will likely
2 The statutory penalty amount is adjusted
annually to keep pace with inflation: The current
amount of this penalty is located in 33 CFR 27.3.
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exceed $1,121 per year’’. Another
commenter stated the annual expense
could be $50,000 as a result of the
proposed rule. Another commenter
presented a third-party cost estimate of
$185,000 for intra-terminal seafarer
shuttle services for two of five facilities.
Included in some comments is a
reference to family members and who
would bear the cost.
Based on these comments and
information provided in these
comments, we revised our regulatory
analysis for the final rule by increasing
the number of trips that a security guard
may make. As a result, the costs for
facilities that choose method 1
increased from about $64,000 initially
in the proposed rule, to about $99,000
in this final rule. For facilities that
choose method 2, costs increased from
our estimate in the proposed rule of
about $52,000 initially to about $77,000
initially in the final rule. Additionally,
estimated annual recurring costs for
method 1 increased from about $36,000
in the proposed rule to about $67,583
for the final rule. Annual recurring costs
for method 2 increased from about
$24,000 in the proposed rule to about
$45,000 in the final rule. Please see the
supporting regulatory analysis for more
detailed cost estimates.
Concerning the $1,121 cost referenced
by several commenters, apparently,
commenters divided the estimated
annualized cost of about $2.8 million
(with annual costs discounted over a 10year period at a 7 percent discount rate)
by the total number of MTSA-regulated
facilities of 2,469. However, in the
NPRM, we estimated the majority, 90%
of the facilities, were already compliant
and would not incur any additional
costs as a result of this rule. By dividing
the annualized cost by the total
population of MTSA-regulated facilities
the commenter has incorrectly
estimated a lower cost per facility than
the NPRM actually reported. The
regulatory analysis only estimated the
costs that noncompliant MTSAregulated facilities would incur.
Additionally using the average cost
per facility does not take into account
the different methods with which a
facility can choose to comply with this
rule. The five different methods of
compliance estimated in the regulatory
analysis vary significantly in cost.
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For example, in the NPRM, we
estimated that 10 percent or 42 out of
420 facilities will choose method 1,
which we estimate will cost a facility on
average about $99,143 in the initial year.
However, for method 5 the NPRM
estimated the initial year costs to be
$180. Therefore, it is more appropriate
to evaluate the estimated costs for
facilities based on the method chosen by
a given facility.
Regarding the cost of ‘‘individuals
covered’’ and the potential for securityrelated problems these individuals may
pose. In response to public comments,
the Coast Guard removed the terms
‘‘other authorized personnel’’ and
‘‘other authorized individuals’’ from
paragraph (b) of § 105.237 (see section 4
below). We expect the removal of these
terms in the final rule will reduce the
number of authorized individuals who
would have access to MTSA regulated
facilities and would potentially result in
lower costs to the facilities depending
on which method of compliance the
facility chooses.
Table 1 below provides the final rule’s
estimated costs by method.
TABLE 1—AVERAGE ANNUAL COST PER METHOD OVER A 10-YEAR PERIOD OF ANALYSIS
Compliance method
Method 1
Method 2
Method 3
Method 4
Method 5
Weighted Average Annual Cost per Method .......................
$70,795
$48,267
$3,153
$1,576
$191
Regarding the cost for allowing family
members, we have removed ‘‘family
members’’ from paragraph (b) of
§ 105.237 of this rule and the supporting
regulatory analysis does not include
costs for these individuals.
(5) The Proposed Rule Underestimated
the Noncompliance Rate
One commenter noted that the
percentage of seafarers denied access to
facilities is actually much higher than
the 10 percent noted in the proposed
rule (79 FR 77981). Several commenters
also stated that we underestimated the
number of seafarers calling on MTSAregulated facilities in the proposed rule
and the number of seafarers who would
benefit from the proposed rule estimate
is much higher.
We conducted an initial regulatory
flexibility analysis and a regulatory
impact analysis for this rule and offered
these analyses for public comment.
After receiving comments regarding the
10.3-percent noncompliance rate of
facilities, and the costs associated with
implementing the rule, we reopened the
comment period, specifically asking for
input on these figures. We received no
further comments on these matters. In
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2016, the Seamen’s Church Institute
(SCI) released its annual survey and
based on this survey, discussions with
SCI, public comments, and facility
population information, we calculated a
new non-compliance rate of 17 percent
(35 known noncompliant MSTAregulated facilities in the 2016 SCI
survey identified by the Coast Guard,
out of 203 surveyed by SCI in its 2016
survey).
SCI in its 2015 report compiled data
about shore access at facilities actually
visited by port chaplains stating, ‘‘The
data does not reflect the number of
seafarers who were detained on ships in
the terminals where chaplains and
seafarers were denied access through
the terminals. This report is based on
restrictions actually observed by
chaplains in their ship visits;
accordingly, the number of seafarers
being denied shore leave by terminal
restrictions is probably under-reported.’’
The Coast Guard concedes that there is
an underrepresentation of data based on
chaplain access to facilities in the 2015
report; however, SCI made this
statement in its 2015 report only and
not in its subsequent 2016, 2017, and
2018 annual reports. Most ports visited
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by chaplains in SCI’s 2016, 2017 and
2018 surveys allow unrestricted access
to chaplains as stated in the reports.
Moreover, their public comment
indicates the noncompliance rate could
be higher than the rate we extrapolated
from their surveys in the NPRM.
Based on their comment we reached
out to SCI and were able to specifically
identify the noncompliant MTSAregulated facilities in the 2016 SCI
survey. This allowed us to narrow the
scope of the analysis to only those
facilities that would be affected by this
rule and provided us with the best
estimate of noncompliant MTSAregulated facilities available. We were
unable to separate out the MTSAregulated facilities in SCI’s 2017 & 2018
report which is why we did not use the
more recent surveys.
We acknowledge that the
noncompliance rate could be different
than our estimated 17 percent
noncompliance rate used in this final
rule, which we based on SCI’s 2016
survey. However, this is the best data
we were able to obtain. Although
several commenters provided
information on specific ports, we were
not able to estimate an overall
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compliance rate based on the data they
provided.
By using a 17 percent noncompliance
rate from known non-compliant
facilities only and applying it to the
total number of estimated MTSAregulated facilities of 2,469, we obtained
the number of about 420 facilities (2,469
facilities × 0.17) that will be modifying
operations, in addition to documenting
the changes in their FSPs.
Regarding the number of seafarers
who would benefit from the proposed
rule. In the supporting regulatory
analysis for the proposed rule, we stated
that on average from 2006 to 2014, 907
seafarers were denied access due to
terminal restrictions and that the
proposed rule would ensure access to
these seafarers. We obtained this figure
using SCI’s reports that they published
in these years. In the supporting
regulatory analysis for the final rule, we
removed this number and present a
noncompliance rate, which we apply to
facilities and not to a quantified number
of seafarers calling on MTSA-regulated
facilities or the actual number of
seafarers who would benefit from the
proposed rule. In addition, we did not
rely on another report, which references
several databases, mentioned by one
commenter because we could not use
the data in the report to determine the
number of seafarers being denied access
at MTSA-regulated facilities.
One commenter said that if only 10
percent of facilities are not providing
these services, the Coast Guard should
focus solely on those facilities instead of
changing the entire system. In addition,
other commenters complained that this
rule places too high a burden on
facilities. For example, one commenter
stated that the rule would result in
extreme changes to its FSP.
The statute directs that ‘‘each’’ FSP
‘‘shall provide a system’’ for no-cost
access to the facility. The Coast Guard
does not have discretion to waive this
requirement, or to apply it only to
certain facilities. We expect all MTSAregulated facilities to provide a system
for no-cost access to the facility and
update their FSPs to document their
system of access. As a result, these
facilities will incur operational costs
and costs to modify their FSPs.
(6) The Rule Should Explicitly Define
the Individuals Who Are Allowed NoCost Access for Seafarers to Port Facility
Gates
Several commenters discussed the
question of who should be allowed nocost access, as 33 CFR 105.237(b)
proposed access for (1) the seafarers
assigned to a vessel moored at the
facility; (2) the pilots and other
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authorized personnel performing work
for a vessel moored at the facility; (3)
representatives of seafarers’ welfare and
labor organizations; and (4) other
authorized individuals in accordance
with the DoS or other arrangement
between the vessel and facility. One
commenter believed that proposed
§ 105.237(b)(2) went beyond the intent
of the CGAA by expanding the list to
‘‘other authorized personnel.’’
Several commenters asked the Coast
Guard to define ‘‘other authorized
individuals’’ in § 105.237(b)(4), saying
that this catch-all category (1) was too
broad in scope, (2) could jeopardize the
safety and security of the facility, and
(3) could become very costly for
facilities to provide no-cost access to
such a wide array of people. On the
other hand, some commenters
encouraged the Coast Guard to extend
no-cost access to the maximum number
of individuals, including those
individuals not already enumerated in
the proposed rule. For example, one
commenter stated that the proposed
‘‘other authorized individuals’’ category
should include ship service providers.
Another commenter stated that pilots
should be their own category of
individuals covered by the seafarer’s
access requirements of this rule.
After consideration of the public
comments, we agree that the rule should
explicitly enumerate which persons or
groups are provided no-cost access, and
that the list proposed in the NPRM was
more extensive than the requirements in
Section 811 of the CGAA. As such, we
are limiting the no-cost access
requirement to the people and groups
specifically required by the Act. We
removed proposed paragraph (b)(4), the
‘‘other authorized individuals’’ category
from the list of individuals in
§ 105.237(b), for whom no-cost access
will be provided. We also removed the
category of ‘‘other authorized
personnel’’ in paragraph (b)(2),
following pilots. In striking these
additional categories of personnel, we
are not prohibiting these individuals
from accessing a facility or a vessel.
That decision is based on the individual
facility’s FSP, which is approved by the
COTP. Rather, by deleting these
categories of personnel from the no-cost
list, we are removing those types of
personnel from the list of individuals
for whom the facility must provide nocost access. Finally, as previously
stated, we also revised § 105.237(b)(2) of
this final rule to solely reference pilots
as an enumerated group to be provided
no-cost assess.
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(7) Foreign Ports Manage Seafarers’
Access Better Than U.S. Ports
Several commenters noted that many
foreign ports have systems in place to
enable seafarer access to shore
resources. One commenter noted that
the rule should ensure fair treatment of
U.S. vessels and non-U.S. vessels, and it
should ensure that all U.S. ports treat all
vessels fairly and do not place
restrictions on certain vessels.
We encourage facility owners and
COTPs to consider successful access
systems already in use—including those
in foreign ports—when designing their
own systems for seafarer access.
(8) The Coast Guard Should Extend the
Comment Period
A few commenters asked that we
extend the comment period or hold one
or more public meetings for this
rulemaking. One commenter noted that
comments were not being posted in a
timely manner, and one commenter
believes that the comment period
should be extended for 60 days to allow
facilities to realistically study how they
will be impacted.
The NPRM was published in the
Federal Register on December 29, 2014,
with a 60-day public comment. The
Coast Guard held a public meeting on
January 23, 2015. After requests for
more time were received, we extended
the comment period for an additional 60
days (by a document published in the
Federal Register on May 27, 2015). We
believe providing 4 months of public
comment and holding a public meeting
allowed ample opportunity for members
of the public and industry to read the
NPRM and reply with any comments.
During both public comment periods
and the public meeting, we received 163
comments. These commenters included
private individuals, port authorities,
pilots associations, industry groups,
professional mariner associations,
seafarers’ unions, seafarers’ churches
and centers, other mariner nongovernmental organizations, the World
Shipping Council, and the Company of
Master Mariners of Canada. We did not
exclude any comment that was
submitted to the docket.
(9) The Rule Further Restricts Seafarers
Who Are Already Restricted by Existing
Regulations That Do Not Help the
Maritime Industry
Two commenters noted that mariners
deal with burdensome security
requirements already, and the Coast
Guard should not further restrict
mariners with additional regulations
and ‘‘red tape.’’ One commenter argued
that the burdensome security
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requirements drive people away from
the maritime industry.
The purpose of this rule is to enable
seafarers to obtain no-cost access to port
facilities. This rule imposes no increase
in the regulatory burden on the seafarer.
(10) The Proposed Rule Is Burdensome
and Lacks Consistency or Enforcement
Some commenters remarked that the
proposed rule has burdensome
procedures. Other commenters noted
that the proposed rule has no means of
consistency or enforcement, and that the
Coast Guard has failed to enforce
provisions set forth by the COTP.
We disagree. The rule provides
facilities with a great deal of flexibility
in complying with the statutory
mandate to provide no-cost access for
seafarers to the facilities’ gates. This
flexibility is manifested in both the
method that a facility may employ to
provide no-cost access and in the
manner in which a facility can
determine whether the no-cost access is
timely. Facilities that violate any
provision of this rule are subject to
enforcement by the COTP. Under 46
U.S.C. 70119 and 33 CFR 101.415(b),
any person who does not comply with
the applicable requirements, including
33 CFR part 105, is liable to the U.S. for
a civil penalty of not more than $25,000
for each violation.
(11) The Proposed Rule Is
Unconstitutional
One commenter said that the
proposed rule is unconstitutional and
directly conflicts with MTSA.
We disagree. While the commenter
did not specifically cite the Takings
Clause, the Coast Guard has interpreted
the comment to invoke this provision of
the Constitution (U.S. Constitution,
Amendment V). Section 811 of the
CGAA and proposed 33 CFR 105.237
require facilities to provide access that
enables individuals to transit to and
from a vessel moored at the facility and
the facility gate, in a timely manner and
at no cost to the seafarer. Through this
rulemaking, the Coast Guard does not
mandate the facility take any particular
action that would permanently disrupt
the operations at the facility or deny the
facility owner all economic benefit of
the property. Rather, individual
facilities would have flexibility to
implement these requirements in the
manner best suited for the individual
facility when a vessel is moored at the
facility. Notwithstanding the flexibility
provided by the proposed rule for
facilities to tailor shore access
requirements to the design and needs of
the facility, the commenter did not
present the Coast Guard with any data
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or other information to support their
claim that the proposed rule would
constitute a taking (or regulatory taking)
of the facility’s property. In addition,
the commenter did not provide data or
other information to support their
statement that the proposed rule
directly conflicts with MTSA. As the
Coast Guard stated in the NPRM
preamble (79 FR 77981, 77983) and
reiterates in this final rule, the Coast
Guard is authorized to issue regulations
governing access requirements to
MTSA-regulated facilities.
(12) The Proposed Rule Will Have a
Positive Economic Impact on
Communities
One commenter predicted that this
rule will have a positive economic
impact on communities where secure
maritime facilities are located.
Whether that is true or not, Congress
has directed the Coast Guard to require
the FSP to provide a system for seafarers
to transit through the facility in a timely
manner, at no cost to the individuals,
and we have done that in this final rule.
(13) The Proposed Rule Should Use the
Same Language as the International
Ship and Port Facility Security Code
Several commenters requested that
the rule use the same language as the
International Ship and Port Facility
Security Code (ISPS) Code. Specifically,
the commenter recommended that we
utilize language from the ISPS Code in
the FSP to ‘‘facilitate’’ access to and
from a vessel.
We believe that the final rule
conforms to international conventions,
specifically the ISPS Code. We have
chosen to use the words
‘‘implementation of a system’’ in
§ 105.237 as that is a stronger imperative
than ‘‘facilitate’’ and requires positive
action on the part of the facility to
devise and put in place a system in
accordance with the mandate of Section
811 of the CGAA.
(14) The Coast Guard Should Consider
the Impact of the Proposed Rule on
Existing ASPs and FSPs
One commenter noted that they use
the Coast Guard-approved ASP,
‘‘Industry Standard for Passenger
Vessels and Small Passenger Vessels
and their Facilities,’’ and requested that
the proposed rule be amended so that
there will be no need to amend their
ASP to conform to the seafarer access
rule until the regularly-scheduled
renewal period occurs.
Another commenter believed that
developing a new access system would
be time-consuming and impossible to
complete by the deadline. This
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commenter suggested that a 10-month
submission window for an amended
FSP would be reasonable, but that the
implementation deadline should be
extended to possibly a year after receipt
of the updated plan’s approval. Two
other commenters also said the
implementation date should be
extended. In contrast, another
commenter stated that the compliance
deadline should be moved forward to 6
months (instead of 1 year) because
people should already be complying.
Each facility operating under a Coast
Guard-approved ASP must include
seafarer access as directed by the ASP
itself. This may be in the form of an
annex or appendix explaining how the
facility will comply with this rule. This
document must be submitted to and
approved by the cognizant COTP in the
location of the facility submitting the
annex.
The Coast Guard believes there are
various means by which a facility may
accomplish this mandate depending on
the facility design, equipment,
procedures and location. The Coast
Guard has worked with the Seamen’s
Church and with individual facilities to
discuss many options for complying
with this Congressional mandate and
has provided flexibility within this rule
for facility owners and operators to
comply with its TWIC requirements and
the no-cost access requirements of this
rule.
However, in light of the comments on
timing we have extended the date that
each facility owner or operator must
implement a system to 14 months after
publication of this final rule. This
additional time allows more time for the
COTP to work with each facility in the
event of deficiencies in the plan.
(15) Coordination Between Seamen’s
Missions and the Coast Guard
One commenter questioned whether a
partnership between the Coast Guard
and seamen’s missions is possible for
port control.
We agree that coordination is
possible, and currently exists at several
facilities. Information from seamen’s
missions facilitates port control. Since
the rule enhances the well-being of
seafarers by providing no-cost access
from the vessel moored at the facility to
the facility’s gate, we are hopeful that
the rule will further our relationship
with seamen’s missions.
(16) The Coast Guard Should Publish
Guidance That Includes Explanatory
Language Found in the Preamble of the
Proposed Rule
One commenter was concerned that
the explanatory language in the NPRM
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will be absent from the actual CFR,
perhaps leaving an undesirable opening
in interpretation of the rule. The
commenter stated that explicit language
is desirable and necessary in
implementing the rule. Several
commenters recommended that the
Coast Guard publish a Navigation and
Vessel Inspection Circular to
accompany the final rule to reflect the
basic explanatory language as written in
the preamble to the proposed rule.
While we have not included all the
explanatory text from the preamble in
the regulatory text itself, we rely on the
broader explanation in the preamble to
provide the support and basis for the
regulatory text. The Coast Guard does
not believe a NVIC is necessary at this
time.
(17) The Coast Guard Should Not
Invalidate Shore Passes After 29 Days
One commenter took issue with a
regulation that invalidates shore passes
after 29 days. The commenter stated that
this regulation makes it difficult for
crewmembers who have been at sea for
long periods to gain access to shore,
even if they possess approved U.S.
visas. The commenter said that
crewmembers were recently detained on
board a vessel for 2 months; they held
valid U.S. visas but expired shore
passes, and U.S. Customs and Border
Protection (CBP) in both New Orleans
and Galveston would not help them
gain shore access or return them to their
home countries.
The commenter was in favor of the
proposed rule in that it will assist
seafarers transiting between vessels and
the terminal gates. The comment about
the invalidation of shore passes after 29
days, however, does not pertain to a
Coast Guard regulation, but to a
statutory requirement imposed by
section 252 of the Immigration and
Nationality Act (8 U.S.C. 1282), which
is administered by CBP. The Coast
Guard’s regulation is concerned with
providing no-cost access to facility gates
for seafarers. Customs clearance is
beyond the scope of this regulation and
a change to the validity period of shore
passes is beyond our legal authority.
Therefore, no changes were made to the
final rule in response to this comment.
(18) Implementing the Rule With Regard
to the Use of Taxi Companies, Hybrid
Access Methods, Brown Water Vessels,
Tug and Tows, and Integrated Tug
Barge (ITB) and Articulated Tug Barge
(ATB) Crews
One commenter who favored the
proposed rule had questions regarding
facility baseline performance
evaluations: How will facilities be rated
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on use of taxi companies that meet
facility requirements? Will ‘‘hybrid’’
methods of access be acceptable to
COTPs? What is the status of brown
water vessels, tugs and tows, and ITB
and ATB crews? The commenter was
also concerned with taxi company
availability, the availability of
reasonably priced alternatives to taxis,
and the location near commercial
infrastructure and shopping centers.
This rule requires the COTP to
approve the method of seafarer access
that a facility intends to provide. As
such, the COTP will examine the
methods of access proposed by a facility
in light of that facility’s FSP to
determine if they meet the requirements
of both this rule and the FSP.
We are unclear as to what the
commenter means by ‘‘hybrid’’ methods
of access. If the commenter is referring
to the rule’s allowance for a facility to
choose between different methods of
seafarer access, all such methods will be
reviewed by the COTP for approval. We
are also unclear as to what the
commenter means by the ‘‘status of
brown water vessels, tugs and tows, and
ITB and ATB crews.’’ If the commenter
is referring to whether or not such
vessels, tugs and tows, and ITB and
ATB crews are subject to the
requirements of this rule, the rule
applies to covered facilities that may be
used by such vessels and crew. In short,
the rule ensures that facilities do not
charge seafarers for access to their gates,
irrespective of the type of vessel and
crew docked there.
Regarding the commenter’s concern
about taxi availability, reasonably
priced alternatives to taxis, and the
location near commercial infrastructure
and shopping centers, these are
conditions that each facility will need to
evaluate to determine which modes of
access make financial sense for that
facility while meeting the statutory
mandate. The rule provides the
flexibility to allow facility owners and
operators to design a system of access
that makes sense to them. Incorporation
of the system of access in the approved
FSP allows for the necessary oversight
by the local COTP.
(19) Timeliness of Seafarer Access to
Port Facility Gates
Many commenters noted that a
seafarer’s definition of ‘‘timely access’’
may vary from a facility’s definition of
‘‘timely access.’’
We believe that the issue of ‘‘timely
access’’ is best managed by the COTP.
Because of the many different types of
facilities and FSPs, the local COTP is in
the best position to evaluate concerns
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and address complaints of facilities
providing untimely access.
One commenter stated that ‘‘timely
access’’ should be agreed on by both the
facility operator and the COTP.
This rule states that facility owners
and operators are responsible for
implementing a system that provides
access for seafarers between vessels
moored at the facility and the facility
gate, in a timely manner and at no-cost
to the seafarer. Every facility is different,
which makes ‘‘timely access’’
impossible to prescribe. Ultimately, the
COTP will decide whether the proposed
timely access is adequate.
One commenter expressed concern
with seafarers having timely access to
port facility gates, especially for
seafarers who are in port for short
periods of time.
We agree. This is an important
component in ensuring that port
facilities comply with the mandates of
this rule. In § 105.237(c), we include
factors that a facility, subject to review
by the COTP, must consider in allowing
seafarers no-cost access to the facility’s
gate, in a timely fashion.
One commenter stated that the length
of stay for a vessel is irrelevant in
determining whether or not a seafarer’s
access to the facility gate is timely.
We disagree. While facilities have
great flexibility under this rule in
providing timely access between the
vessel and the facility gate, some
parameters are necessary to meet the
requirements of Section 811 of the
CGAA. We use length of time in port as
a metric for the COTP to determine
whether or not a wait time to and from
the facility gate is reasonable.
One commenter stated that the Coast
Guard needs to define ‘‘reasonable
time’’ in the regulatory text more
specifically. The commenter asks if the
Government will take into consideration
the size of the group when it comes to
‘‘reasonable time.’’
A second commenter understands
that it is impossible to develop a onesize-fits-all definition of ‘‘timely
access,’’ and that it is impractical for
facilities to provide for every potential
combination of factors in their security
plans. This commenter requested that
the Coast Guard clarify how the COTP
will determine ‘‘timely access’’ on a
case-by-case basis.
Another commenter stated that a
modest 10-minute delay waiting for
transportation during half their visits
equals more than 3,443 hours of lost
time. Additionally, the commenter
noted that waiting on transportation
potentially makes a service provider’s
day dangerously long, putting them and
others at risk. The commenter offered
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the following additional factors that a
facility must consider when establishing
timely access without unreasonable
delay: (1) The expected number of ship
service personnel who will be visiting a
ship; (2) the costs of transportation
relative to delay time costs incurred by
ship service providers; and (3) the costs
of transportation relative to safety
impacts to service providers.
One commenter noted that the
proposed rule appropriately explains
factors to consider and to document in
FSPs to provide timely access without
reasonable delay.
We appreciate the additional factors
supplied by commenters, and believe
that § 105.237(c) already covers most, if
not all, of these factors. We provide the
COTP with the authority to review these
points to ensure that the facility is
providing timely access to seafarers.
These factors in § 105.237(c) provide a
framework for the COTP to decide, on
a case-by-case basis, whether or not the
facility is complying with the mandates
of this regulation. Covered individuals
may contact the local COTP or
representatives of seafarers’ welfare and
labor organizations with any facility
access concerns.
(20) The Coast Guard Should
Reconsider Where It Intends To Place
the Seafarers’ No-Cost Access
Requirements in the CFR
One commenter asked why the new
section in 33 CFR part 105 is placed
between §§ 105.235 and 105.240. This
commenter suggested that the new
section be placed in § 105.257, entitled
‘‘Security Measures for Newly Hired
Employees,’’ as § 105.257 does not merit
its own standalone section and has
caused confusion among facilities.
While we appreciate this commenter’s
suggestions, we are implementing
section 811 of the CGAA, and changes
to 33 CFR 105.257 are outside the scope
of this rule. We will consider whether
a future rulemaking should update,
change, or improve regulations at 33
CFR 105.257.
(21) The Proposed Rule Should Clarify
‘‘Shore Leave’’ and ‘‘Access’’ To Reduce
the Risk of Seafarers’ Noncompliance
With CBP or Union Rules
One commenter supporting the rule
stated that ‘‘shore leave’’ and ‘‘access’’
should be clarified to reduce the risk of
noncompliance with CBP or union
rules.
We believe these terms do not need
defining in this rulemaking, as the rule
specifically defines the kinds of access
that is required. In addition, this rule is
concerned with providing no-cost shore
access for certain individuals and does
not concern shore leave or other terms
that may raise customs and immigration
issues. Irrespective of this rule’s
mandates and requirements, seafarers
are still required to comply with all CBP
rules when arriving in and departing
from the United States.
V. Regulatory Analyses
We developed this final rule after
considering numerous statutes and
Executive orders related to rulemaking.
Below we summarize our analyses
based on these statutes or Executive
orders.
A. Regulatory Planning and Review
Executive Orders 12866 (‘‘Regulatory
Planning and Review’’) and 13563
(‘‘Improving Regulation and Regulatory
Review’’) direct agencies to assess the
costs and benefits of available regulatory
12109
alternatives and, if regulation is
necessary, to select regulatory
approaches that maximize net benefits
(including potential economic,
environmental, public health and safety
effects, distributive impacts, and
equity). Executive Order 13563
emphasizes the importance of
quantifying both costs and benefits, of
reducing costs, of harmonizing rules,
and of promoting flexibility. Executive
Order 13771 (‘‘Reducing Regulation and
Controlling Regulatory Costs’’), directs
agencies to reduce regulation and
control regulatory costs and provides
that ‘‘for every one new regulation
issued, at least two prior regulations be
identified for elimination, and that the
cost of planned regulations be prudently
managed and controlled through a
budgeting process.’’
The Office of Management and Budget
(OMB) has not designated this rule a
significant regulatory action under
section 3(f) of Executive Order 12866.
Accordingly, OMB has not reviewed it.
Because this rule is not a significant
regulatory action, this rule is exempt
from the requirements of Executive
Order 13771. See OMB’s Memorandum
titled ‘‘Guidance Implementing
Executive Order 13771, titled ‘Reducing
Regulation and Controlling Regulatory
Costs’’’ (April 5, 2017).
Table 2 shows the impacts of the final
rule by category. A final Regulatory
Assessment is available in the docket,
and a summary follows.
We estimate the total cost to industry
and the Government to be about $53.9
million over a 10-year period of analysis
using a 7 percent discount rate. We
estimate the annualized cost to be about
$7.7 million using a 7 percent discount
rate. See Table 2.
TABLE 2—SUMMARY OF THE IMPACTS OF THE FINAL RULE
Category
Summary
Applicability .....................................
Owners or operators of MTSA facilities regulated by the Coast Guard are required to implement a system
that provides seafarers with access between the shore and vessels moored at the facility.
2,469 MTSA-regulated facilities will update FSPs, an additional 420 MTSA-regulated facilities will update
FSPs and facility operations.
10-Year: $53.9 million.
Annualized: $7.7 million.
Provides seafarers and covered individuals timely access between a vessel and a MTSA-regulated-facility
gate.
Enhances the safety, health, and welfare of seafarers, and the overall quality of life by allowing seafarers
access to fundamental human services.
Conforms to the intent of the ISPS Code and IMO’s FAL Convention.
Reduces regulatory uncertainty by harmonizing the Coast Guard’s regulations with Sec. 811 of Public Law
111–281.
Affected population .........................
Total costs to industry and Government (7% discount rate).
Unquantified benefits ......................
Affected Population
The Marine Information for Safety
and Law Enforcement (MISLE) system is
the Coast Guard’s internal database that
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contains MTSA-regulated facility
population data. According to MISLE
information reviewed in January 2017,
there were 2,469 MTSA-regulated
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facilities in 2016. This number is
consistent with facility population data
for the previous 5 years as well; the
population number remains around
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2,500 +/¥ 40 facilities. We anticipate
that all 2,469 facilities will update their
FSPs with the system of seafarer access
description within 10 months of
publication of the final rule. The total
implementation time is 14 months, with
Coast Guard COTPs having 4 months to
approve the plans for implementation.
Any changes in the following years of
analysis will be accomplished under
existing updates to FSPs; therefore, we
account for no marginal change in
opportunity cost beyond the first year of
analysis.
Additionally, some facilities will need
to modify existing operations to
implement a system of seafarer access.
In this analysis, we refer to this group
of facilities as the noncompliant
facilities. In the NPRM, we estimated
the rate of noncompliant facilities at
10.3 percent (of the 2,469 total
facilities). We estimated this rate using
the SCI’s Center for Seafarer’s Rights
annual survey from the year 2011. We
received five individual public
comments out of 163 commenters who
suggested the non-compliance rate was
higher than 10.3 percent; however, an
alternative compliance rate was not
supplied in any of the public comments.
We used facility information mentioned
in public comments, specifically SCI’s
2016 report, to calculate the new noncompliance rate of 17 percent (please
see the Coast Guard’s explanation of the
use of this rate in the comment response
section of this preamble), which we
based on known noncompliant MTSAregulated facilities divided by the
number of MTSA facilities surveyed by
SCI (35/203). Also, SCI’s surveys are
more comprehensive than any data on
seafarer access the Coast Guard can
obtain. As noted in the Regulatory
History section of this preamble, we
reopened the public comment period for
an additional 60 days (80 FR 30189),
specifically seeking input on our
estimate of a 10.3 percent
noncompliance rate for facilities with
respect to providing seafarers’ access.
We received no new information as a
result of the reopened comment period.
For the final rule’s regulatory impact
analysis, we strictly used data from
SCI’s 2016 survey. With this survey and
through discussion with the SCI, we
calculated a noncompliance rate of 17
percent for the final rule. At this rate,
420 (0.17 × 2,469, rounded) out of the
total 2,469 facilities affected by this rule
will need to develop and implement a
system of seafarer access in addition to
updating the FSP. We also calculated
operational costs for these 420 facilities.
Costs
There are two cost components in this
final rule—administrative and
operational. Prior to the publication of
this rule, all MTSA-regulated facilities
described a system of access in the FSP.
These descriptions, however, may not
contain all the necessary details
required by this final rule. Therefore, we
calculated these administrative costs for
the entire affected population. The total
cost of this provision includes 6 hours
of labor at the executive wage rate, 10
minutes of labor at the administrative
assistant wage rate, plus 10 cents for
stationery:
2,469 population × [(6 hours 3 ×
$67.59 wage rate 4) + (0.17 hours ×
$40.09 wage rate) + $0.10 stationery)] =
$1,018,352. The 420 facilities
implementing new seafarer access
operations will choose from the six
compliance options provided in section
105.237(d), as listed below:
(1) Method 1—Regularly scheduled
shuttle service;
(2) Method 2—On-call shuttle service;
(3) Method 3—Taxi service;
(4) Method 4—Arrangements with the
seafarers’ welfare organizations;
(5) Method 5—Monitoring of
pedestrian routes; or
(6) Method 6—Any other system
approved by the COTP.
Any facility implementing a thirdparty operated system of access, such as
Method 4, will need to designate a
supplemental method of access in case
the third-party organization is
unavailable or fails to provide access to
seafarers at any time. For the purposes
of this analysis, we assume such
facilities will partner with taxi services
to provide this supplemental access. We
do not include supplemental methods of
access costs for facilities complying
with Method 3, which will also provide
access via a third party (taxi drivers),
because we assume (and calculate costs
for) a sufficient number of taxis. We also
do not calculate costs for any facilities
complying with this rule through
Method 6. We assume facilities would
choose the sixth option only if that
option had a lower cost than the first
five options.
Based on information provided by
Coast Guard subject matter experts
(SMEs) in the Office of Port and Facility
Compliance and on information from
Coast Guard inspectors nationwide, we
expect that a small percentage of
facilities are sufficiently large or
dangerous enough to warrant the
purchase of a passenger van used solely
to provide a regularly scheduled or oncall gate access service to seafarers.5 A
taxi service, alternatively, provides a
flexible and relatively cheap alternative.
Some facilities would choose to partner
with a seafarers’ welfare organization to
provide transit, a presumably cost-free
option, where available, coupled with a
taxi service. Based on discussions with
several SMEs with knowledge of port
and facility access, most facilities would
choose pedestrian monitoring. Due to
current MTSA regulations most
facilities are already equipped with
security guards and monitoring. If
facilities choose this method we
anticipate an additional 1 hour of
training annually to review security
protocol in the event that a seafarer
leaves the designated passageway.
Table 3 provides the number of
affected facilities and the per-facility
costs based on chosen requirement.
TABLE 3—ADMINISTRATIVE AND OPERATIONAL COSTS PER FACILITY
[By method]
Population
Cost Per Facility (FSP Documentation) ...............................
3 In the collection of information (OMB control
number 1625–0077), we estimate that it takes 100
hours to create a new FSP made up of 18 sections.
We estimate that it would take 6 hours (100 hours
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Initial cost
2,469
$412
÷ 18 sections = 5.55 hours) to create a new section
in the FSP.
4 See Chapter 3.1 of the standalone RA for
information regarding wages.
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Fmt 4700
Sfmt 4700
Annual
recurring
cost, years
2–5, 7–10
$0
Annual
recurring
cost, year 6
Total 10-year
undiscounted
$0
5 Our MISLE database does not capture the
physical size of MTSA-regulated facilities.
E:\FR\FM\01APR1.SGM
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12111
TABLE 3—ADMINISTRATIVE AND OPERATIONAL COSTS PER FACILITY—Continued
[By method]
Population
Initial cost
Annual
recurring
cost, years
2–5, 7–10
Annual
recurring
cost, year 6
Total 10-year
undiscounted
Cost Per Facility Operations
Method
Method
Method
Method
Method
1:
2:
3:
4:
5:
24-hour Shuttle Service ......................................
On-call Shuttle Service .......................................
Taxi .....................................................................
Seafarers’ Welfare Organization ........................
Monitoring of Pedestrian Routes ........................
42
84
84
42
168
99,143
76,615
5,897
2,948
191
67,583
45,055
2,848
1,424
191
68,138
45,611
2,848
1,424
191
707,945
482,666
31,529
15,764
1,910
Table 4 provides the key costs for the
methods and an explanation of changes
from the NPRM to the final rule.
TABLE 4—KEY COST INPUTS 6
Input
Final rule
NPRM
MTSA facility noncompliance
rate.
17% .....................
10.3% ..................
Updated with information
from 2016 SCI report.
Security guard wage ...............
$20.58 ..................
$19.41 ..................
Updated to 2016 wage rates
Cargo and freight agents wage
$30.63 ..................
$30.81 ..................
Updated to 2016 wage rates
Managers ................................
$67.59 ..................
$63.35 ..................
Updated to 2016 wage rates
Administrative assistants .........
$40.09 ..................
$35.81 ..................
Updated to 2016 wage rates
Passenger van ........................
$28,995 to
$33,800.
$28,995 to
$33,800.
Updated with current information.
Cost of gas ..............................
$2.25 ....................
$4.04 ....................
Average miles per gallon, passenger van.
13.4 ......................
13 .........................
Updated with current information.
Updated with current information.
Driving speed ..........................
10 mph to 30 mph
15 mph to 30 mph
Updated with current information.
Driving time, 1 lap ...................
0.33 hours ...........
0.33 hours ...........
No change .............................
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Frm 00065
Fmt 4700
Reason for change
Sfmt 4700
E:\FR\FM\01APR1.SGM
Source
https://seamenschurch.org/sites/default/files/sci-shore-leave-survey2016.pdf.
https://www.bls.gov/oes/2016/may/
oes339032.htm.
https://www.bls.gov/oes/2016/may/
oes435011.htm.
https://www.bls.gov/oes/2016/may/
oes113071.htm.
https://www.bls.gov/oes/2016/may/
oes436011.htm.
https://www.chevrolet.com/express/
passenger-van.
https://www.ford.com/trucks/transitpassenger-van-wagon/.
https://www.gmfleet.com/chevrolet/
express-passenger-van.html.
https://www.chrysler.com/
pacifica.html#app-compare.
https://www.nissancommercialvehicles.com/nv-passenger?dcp=psn.
58700002307877422&gclid=CPm5
ttfug9QCFYFJgQodlkoMmA&
gclsrc=ds&dclid=CPOS89fug9QCF
cpkwQodGnoAJw.
https://www.eia.gov/dnav/pet/PET_
PRI_GND_DCUS_NUS_A.htm.
https://www.fueleconomy.gov/feg/
byclass/Vans__Passenger_
Type2016.shtml.
https://www.panynj.gov/port/pdf/highway-speed-limits-2008.pdf.
https://www.fmtcargo.com/terminal_
guides/fmt_guide_burns_harbor.pdf.
https://www.fmtcargo.com/terminal_
guides/fmt_guide_cleveland.pdf.
https://www.fmtcargo.com/terminal_
guides/fmt_guide_port_manatee.pdf.
https://www.fmtcargo.com/terminal_
guides/fmt_guide_lake_charles.pdf.
https://www.fmtcargo.com/terminal_
guides/fmt_guide_milwaukee.pdf.
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TABLE 4—KEY COST INPUTS 6—Continued
Input
Final rule
NPRM
Reason for change
Source
https://www.tsa.gov/for-industry/twic.
TWIC .......................................
$277.82 or
$268.04.
$401.00 ................
Taxi driver Wage .....................
$18.55 ..................
$17.92 ..................
Updated with current information; created two TWIC
costs: one for security
guards and one for taxi
drivers, respectively.
Updated to 2016 wage rates
Miles to enrollment center .......
Average commute speed, mph
100 miles .............
28.87 ....................
100 miles .............
28.87 ....................
No change .............................
No change .............................
https://www.bls.gov/oes/2016/may/
oes533041.htm.
Table 5 presents the total discounted
costs of the final rule to industry over
a 10-year period of analysis.
TABLE 5—SUMMARY OF COSTS TO INDUSTRY 10-YEAR, 7- AND 3-PERCENT DISCOUNT RATES
Discounted costs
Undiscounted
costs
Year
7%
3%
1 .......................................................................................................................................
2 .......................................................................................................................................
3 .......................................................................................................................................
4 .......................................................................................................................................
5 .......................................................................................................................................
6 .......................................................................................................................................
7 .......................................................................................................................................
8 .......................................................................................................................................
9 .......................................................................................................................................
10 .....................................................................................................................................
$12,269,354
6,954,316
6,954,316
6,954,316
6,954,316
7,024,326
6,954,316
6,954,316
6,954,316
6,954,316
$11,466,686
6,074,169
5,676,793
5,305,414
4,958,331
4,680,605
4,330,798
4,047,475
3,782,687
3,535,222
$11,911,994
6,555,110
6,364,184
6,178,820
5,998,854
5,882,762
5,654,495
5,489,801
5,329,904
5,174,664
Total ..........................................................................................................................
74,928,208
53,858,180
64,540,588
Annualized .......................................................................................................................................................
7,668,193
7,566,126
Note: Totals may not sum due to independent rounding.
The Government willincur costs as a
result of modifications made to FSPs by
MTSA-regulated facilities personnel in
Years 1 and 2 because the Coast Guard
must review and approve the
modifications to the FSPs. As a result,
MTSA-regulated facilities with FSPs
will have 10 months to submit their
plans to the respective Coast Guard
sectors for review and the sectors will
have 4 months to approve the plans for
implementation. We then divide the
one-time government cost between
Years 1 and 2 equally. Based on
information from Coast Guard SMEs, we
estimated 30 minutes for an E–4, E–5, or
E–6 to review the modified FSP. Using
the average hourly wage rate of the three
ranks, we calculate the one-time cost to
review all FSPs as follows:
2,469 FSPs × $51.33 wage rate/hour 7 ×
0.5 hours = $63,367
As explained above, we divided the
estimated government cost of $63,367
equally between Years 1 and 2, or
$31,683.50 in each year (Table 6 below
takes into account rounding). Table 6
presents the total discounted costs to
Government and industry over a 10-year
period of analysis. We estimate an
annualized cost of the final rule to
industry and government to be about
$7.7 million using a 7 percent discount
rate. See table 6.
TABLE 6—SUMMARY OF COSTS OF THE FINAL RULE TO GOVERNMENT AND INDUSTRY
[7 and 3 percent discount rates]
1
2
3
4
5
6
.......................................................................................................................................
.......................................................................................................................................
.......................................................................................................................................
.......................................................................................................................................
.......................................................................................................................................
.......................................................................................................................................
6 We present the mean hourly wage rates as
loaded wage rates in 2016 dollars using 2016 BLS
Benefits multiplier: https://www.bls.gov/ncs/ect/sp/
ececqrtn.pdf. For more information on wages, see
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Discounted costs
Undiscounted
costs
Year
$12,301,038
6,986,000
6,954,316
6,954,316
6,954,316
7,024,326
Chapter 3 of the supporting regulatory analysis in
the docket.
7 From the Commandant Instruction 7310.1Q
(https://www.uscg.mil/directives/ci/7000-7999/CI_
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Sfmt 4700
7%
$11,496,297
6,101,843
5,676,793
5,305,414
4,958,331
4,680,605
3%
$11,942,755
6,584,975
6,364,184
6,178,820
5,998,854
5,882,762
7310_1Q.pdf) for reimbursable rates, the hourly
rates for E–4s, E–5s, and E–6s are $44, $52, and $58,
respectively. These rates result in an average $51.33
per hour for reviewing the FSPs.
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TABLE 6—SUMMARY OF COSTS OF THE FINAL RULE TO GOVERNMENT AND INDUSTRY—Continued
[7 and 3 percent discount rates]
Discounted costs
Undiscounted
costs
Year
7%
3%
7 .......................................................................................................................................
8 .......................................................................................................................................
9 .......................................................................................................................................
10 .....................................................................................................................................
6,954,316
6,954,316
6,954,316
6,954,316
4,330,798
4,047,475
3,782,687
3,535,222
5,654,495
5,489,801
5,329,904
5,174,664
Total ..........................................................................................................................
74,991,575
53,915,465
64,601,214
Annualized .......................................................................................................................................................
7,676,349
7,573,233
Note: Totals may not sum due to independent rounding.
Benefits
The primary benefit of this final rule
is to provide seafarers and covered
individuals timely access between a
vessel and a MTSA-regulated facility
gate. Other benefits of this final rule
include enhancing the safety, health,
and welfare of seafarers, which in turn
improves the overall quality of life for
a seafarer. Lastly, the provisions of this
rule align with international
conventions and will reduce regulatory
uncertainty. Table 7 presents a summary
of the benefits of this final rule.
TABLE 7—SUMMARY OF BENEFITS OF THE FINAL RULE
Implications
Description of benefits
Seafarers’ Access ..............................................................
Provides seafarers and covered individuals timely access between a vessel and a
MTSA-regulated-facility gate.
Enhances the safety, health, and welfare of seafarers, and the overall quality of life
by allowing seafarers access to fundamental human services.
Conforms to the intent of the ISPS Code and IMO’s FAL Convention.
Reduces regulatory uncertainty by harmonizing the Coast Guard’s regulations with
Sec. 811 of Public Law 111–281.
International Conventions ..................................................
Regulatory Uncertainty .......................................................
The primary benefit of this final rule
is to provide seafarers and covered
individuals with access between the
vessel and the facility gate, thereby
enhancing their quality of life. Although
the Coast Guard does not collect data on
the number of seafarers denied access to
MTSA-regulated facilities, the SCI’s
Center for Seafarers’ Rights issued a
report in 2016 and found through a
survey that 29 U.S. ports denied access
through a terminal to about 18.4 percent
of seafarers or about 200 (SCI mentioned
about 81.6 percent did not have valid
visas) seafarers who possibly had valid
visas (as we explain in the supporting
regulatory analysis, SCI presents in its
report shore leave for mariners without
valid visas and other reasons are given
in its survey for the denial of shore
leave; nevertheless, it is reasonable to
assume that the remaining percentage of
denials in the report contains some
number of mariners with valid visas
who were denied shore leave).
SCI recently issued reports in 2017
and 2018; the information in these
reports is similar with the 2016 report
with 22 and 23 ports surveyed,
respectively. However, these reports, as
with the 2015 and 2016 reports, did not
specify which facilities were MTSAregulated or not, so we assumed the
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reports included facilities other than the
MTSA-regulated facilities to which the
final rule applies (the difference is, with
the 2016 report, we were able to
identify, at the time of this writing,
which facilities were MTSA-regulated
through correspondence with SCI in
2016).
As stated above, the 2016 report cites
other reasons for access denial, such as
CBP restrictions and vessel operations,
which account for about 4 percent of
denials; again, this also includes
facilities that are not MTSA-regulated.
This is important because access denials
to seafarers without valid visas would
not be counted as part of the
noncompliance rate and are not part of
the affected population. Only mariners
with valid visas who were denied port
access to MTSA-regulated facilities are
the affected population of this final rule.
Non MTSA-regulated facilities who
denied port access to seafarers are not
part of the applicable population of this
final rule. Table ES–4 of the Final
Regulatory Analysis and for this final
rule lists the website where a copy of
the 2016 SCI report may be viewed.
Combined in one document, the Final
Regulatory Analysis and the Final
Regulatory Flexibility Analysis are
available in the docket for review.
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Generally, transiting through a MTSAregulated facility is the only way for
seafarers to access shore side businesses
and amenities, and to engage in
activities such as doctor visits (which
includes obtaining prescriptions for
medications), business visits, and family
member and friend visits, among other
things such as enjoying basic leisure
time, that go beyond the confines of a
vessel. This, in turn, will enhance
seafarers’ overall quality of life by
allowing access to fundamental human
services instead of being bound to a
vessel while moored at a MTSAregulated facility. This final rule
provides seafarers and covered
individuals access through MTSAregulated facilities, and enhances the
safety, health, and welfare of seafarers.
This final rule also mandates that the
system of access provide access for
representatives of seafarers’ welfare and
labor organizations. Individuals and
organizations, who generally can only
access vessels moored at a MTSAregulated facilities by transiting through
the facility, will be able to provide
services for seafarers on board a vessel.
For example, this includes labor
organizations, port workers
organizations, and port engineers or
superintendents. This also will enhance
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the welfare and overall quality of life for
a seafarer, who otherwise would not
have access to shore side facilities while
a vessel is moored at an MTSAregulated facility.
Another benefit of this final rule is
that it will conform to international
conventions, which in turn benefits
seafarers. The provisions of this final
rule will align with the intent of the
International Ship and Port Facility
Security Code (ISPS), an amendment to
the International Convention on the
Safety of Life at Sea (SOLAS) (1974,
1988), Chapter XI–2 (Special Measures
to Enhance Maritime Security), as
entered into force under that chapter.
An IMO resolution adopted the ISPS
Code in December 2002 and another
resolution included amendments to
Chapter XI of SOLAS and added a new
chapter, which is Chapter XI–2. IMO
added amendments in 2016, which
became effective January 1, 2018, to the
Convention on Facilitation of
International Maritime Traffic, 1965 as
amended (FAL), which added a new
provision to strengthen shore leave for
seafarers, in Section 3 of the Annex, part
G.
We believe this is a benefit to
seafarers because if the U.S. does not
adhere to these international
conventions and denies shore leave to
these individuals, other countries may
engage in an act of reciprocity and deny
shore leave to U.S. seafarers abroad. The
preamble to ISPS (paragraph 11),
ratified in December 2002, states:
‘‘Recognizing that the Convention on
the Facilitation of Maritime Traffic,
1965, as amended, provides that foreign
crew members shall be allowed ashore
by the public authorities while the ship
on which they arrive is in port,
provided that the formalities on arrival
of the ship have been fulfilled and the
public authorities have no reason to
refuse permission to come ashore for
reasons of public health, public safety or
public order, Contracting Governments
when approving ship and port FSPs
should pay due cognizance to the fact
that ship’s personnel live and work on
the vessel and need shore leave and
access to shore based seafarer welfare
facilities, including medical care.’’
This rule will also reduce regulatory
uncertainty by harmonizing regulations
with Sec. 811 of Public Law 111–281.
The benefit to seafarers is that they will
be knowledgeable of the regulations as
they relate to international conventions
thereby reducing confusion and
uncertainty among the population.
Alternatives
Below, we summarize our chosen
compliance option and four discussed
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alternatives. Refer to Chapter 5 of the
standalone RA, available in the docket
where indicated under the ADDRESSES
portion of this preamble, for more cost
and descriptive information on the
alternatives analyzed.
• Preferred Alternative
The preferred alternative is to amend
Coast Guard regulations to require that
MTSA-regulated facilities implement a
system of seafarers’ access and amend
their FSPs to document this system.
This alternative was chosen for this
final rule because it provides regulatory
flexibility and the least costly options
that would comply with the intent of
the statute.
• Other Alternatives Considered
Alternative 1—No change to
regulations. Instead of amending the
current regulations, COTPs would deny
approval of FSPs that do not adequately
address shore leave procedures. While
this approach may address some
deficiencies at some facilities, we reject
this alternative because it would not
provide clear and consistent regulatory
standards for facilities to implement and
COTPs to enforce. Additionally, the
current regulation in 33 CFR
105.200(b)(9) does not explicitly require
facility owners and operators to provide
free and timely access to seafarers.
Alternative 1 does not meet the mandate
set in the CGAA, nor would it address
the existing access issues. The benefit of
Alternative 1 is that there would be zero
incremental cost.
Alternative 2—Require a section of
the DoS between the facility and the
vessel to include the facility’s seafarers’
access procedures. We reject this
alternative due to the heavy burden it
would place on industry. We do not
support this alternative because it
would not specifically target
noncompliant facilities, but, instead,
would require many facilities and
vessels that would not need a DoS to
have one, increasing the collection of
information burden. The benefits of this
alternative are the same as the preferred
alternative—the facility would be
required to work out a free and timely
access plan with each arriving vessel
and include this plan in the vessel’s
DoS.
Alternative 3—Require facilities to
implement specific and prescriptive
procedures for seafarers’ access and to
include these procedures in their FSPs.
This alternative would require facilities
to implement a prescribed space,
infrastructure, or other specific resource
as a system of seafarers’ access. We
reject this alternative because it would
impose a stricter than necessary
operational change on many facilities.
For example, this alternative could
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mandate that all facilities provide 24hour shuttle service to seafarers. This
would increase the total cost burden to
industry, and many facilities do not
require shuttle service for timely gate
access. The benefits of this alternative
are the same as the preferred alternative.
Alternative 4—Publish guidance to
industry clarifying that 33 CFR
105.200(b)(9) affirmatively requires
facility owners/operators to provide
shore leave and visitor access. We do
not support this approach. Current
regulations in 33 CFR 105.200(b)(9) do
not require facility owners and
operators to provide free and timely
access to seafarers. Some facilities deny
seafarers access altogether or make
shore access impractical based on
misinterpretations of our existing
regulations (i.e., they contend that, since
33 CFR 105.200(b)(9) only requires
coordination of shore leave if there is
actual shore leave to coordinate, if
access to shore is denied altogether,
there is no shore leave to coordinate).
Further, public comments indicate that,
while some facilities grant seafarers
access to and from vessels, they make it
impractical by placing extreme
limitations on escort availability or
charging exorbitant fees. Section 811 of
the CGAA makes access mandatory,
necessitating an update to our
regulations to avoid regulatory
uncertainty.
B. Small Entities
Under the Regulatory Flexibility Act,
5 U.S.C. 601–612, we have considered
whether this rule would have a
significant economic impact on a
substantial number of small entities.
The term ‘‘small entities’’ comprises
small businesses, not-for-profit
organizations that are independently
owned and operated and are not
dominant in their fields, and
governmental jurisdictions with
populations of less than 50,000. Based
on our analysis, we have no information
or evidence to determine, which, or how
many MTSA-regulated facilities will
need to implement a system of access.
Our estimated costs to small entities
vary greatly depending upon whether a
facility will only need to modify its FSP
or whether it will have to modify its
operations. We detail this analysis
below:
A Final Regulatory Flexibility
Analysis (FRFA) discussing the impact
of this final rule on small entities is
available in the docket where indicated
under the ADDRESSES portion of the
preamble. A summary of the FRFA
follows.
(1) A statement of the need for, and
objectives of, the rule:
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Agencies take regulatory action to
correct for market failure. This final rule
will ensure that MTSA-regulated
facilities do not deny access or make it
impractical for seafarers to obtain shore
access. The rationale given by some
facilities for denying such access is
based on a misinterpretation of existing
Coast Guard regulations; namely, that 33
CFR 105.200(b)(9) only requires
coordination of shore leave if there is
actual shore leave to coordinate, and, if
access to shore is denied altogether,
there is no shore leave to coordinate.
Some facilities provide shore access, but
make it impractical for seafarers and
other individuals by placing extreme
limitations on escort availability or
charging exorbitant fees. Furthermore,
possible costs to implement a system of
access should not be borne by those
who need access, thereby providing a
disincentive for the facilities to provide
such access.
(2) A statement of the significant
issues raised by the public comments in
response to the initial regulatory
flexibility analysis, a statement of the
assessment of the agency of such issues,
and a statement of any changes made in
the final rule as a result of such
comments:
We received five public comments
regarding the estimated per-company
cost of implementing this rule. The
commenters argued that the $1,121 cost
was too low. The Coast Guard addressed
this comment in Part IV of this
preamble.
(3) The response of the agency to any
comments filed by the Chief Counsel for
Advocacy of SBA in response to the
proposed rule, and a detailed statement
of any change made to the proposed
rule in the final rule as a result of the
comments:
The Coast Guard did not receive any
comments from the SBA Office of
Advocacy regarding the impact that this
rule would have on small entities.
(4) A description and estimate of the
number of small entities to which the
rule will apply or an explanation of why
no such estimate is available:
This rule would affect primarily
MTSA-regulated facilities, which would
need to provide seafarers’ access if they
do not currently provide this service to
seafarers. Based on MISLE data, we
estimate that there are 1,347 owners or
operators of 2,469 facilities. Of these
1,347 entities, we estimate that 69
percent of them are small businesses, as
determined by the size standards (or
threshold) of the SBA.8 We determined
this percentage by researching and
compiling the employee size and
revenue data for a random sample of
300 entities, of which 145 (included in
this number are 8 governmental
jurisdictions that we found to be small
based on the RFA’s definition) were
found to be below the threshold for
small entities, and 63 were assumed to
be below the threshold due to lack of
available information. In total, there are
208 (145 + 63) small entities for the
purposes of this analysis).9 To estimate
the sizes of these entities, we used the
12115
revenue or employee size of these
entities from referenceusagov.com and
www.Manta.com for businesses and the
most current population information
from the U.S. Census Bureau’s website
for government jurisdictions. Based on
the information from this analysis, we
found that—
• There are an estimated 1,347
entities that would be affected by the
final rule;
• The sample size consists of 300
entities;
• There were 10 government entities
above the threshold for being small, and
8 below the threshold, we found
revenue information on all 8
governmental jurisdictions by reviewing
their respective annual reports online
and U.S. Census Bureau data for one of
them;
• There were no nonprofit entities
found in the data;
• There were 92 businesses
considered above the threshold for
being small, and 145 below the
threshold; and
• Size information was not found for
the remaining 63 entities, so they were
considered small.
The SBA provides business size
standards for all sectors, defined as the
North American Industry Classification
System (NAICS). We use these codes to
assess the effect that this final rule will
have on these sectors. Table 8 provides
a list of the most prevalent NAICS codes
and their description and size
standards.
TABLE 8—BREAKDOWN OF INDUSTRIES BY NAICS CODES
NAICS
324110
488320
221122
424720
......
......
......
......
325998
483212
336611
423990
424690
561510
713930
......
......
......
......
......
......
......
Petroleum Refineries ....................................................................................
Marine Cargo Handling .................................................................................
Electric Power Distribution ............................................................................
Petroleum and Petroleum Products Merchant Wholesalers (except Bulk
Stations and Terminals).
All Other Miscellaneous Chemical Product and Preparation Manufacturing
Inland Water Passenger Transportation .......................................................
Ship Building and Repairing .........................................................................
Other Miscellaneous Durable Goods Merchant Wholesalers ......................
Other Chemical and Allied Products Merchant Wholesalers .......................
Travel Agencies ............................................................................................
Marinas .........................................................................................................
Revenue Impact on Entities
To estimate how this final rule would
affect entities that fall under the SBA
and U.S. Census Bureau for small
entities, we calculated the per-facility
cost based on each method of access.
8 As indicated by either their revenue or
personnel data for businesses.
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threshold
Industry
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Facilities that only need to modify their
FSP would only be affected by the onetime FSP cost. Those that need to
modify operations would be affected by
the FSP cost and the weighted average
SBA size standard type
1,500
$38.5
1,000
200
Employees.
Revenue in millions.
Employees.
Employees.
500
500
1,250
100
150
$20.5
$7.5
Employees.
Employees.
Employees.
Employees.
Employees.
Revenue in millions.
Revenue in millions.
of the transportation costs. Table 9
provides the range in per-facility costs.
9 The sample size of 300 entities provides a
confidence level at 95 percent and a confidence
interval of 5.
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TABLE 9—PER FACILITY COST BY MODE OF TRANSPORTATION
Cost description
Initial cost
Cost Per Facility (FSP Documentation) ......................................................................................
Annual
recurring
cost, years
2–5,
7–10
Annual
recurring cost,
year 6 10
$412
$0
$0
99,143
76,615
5,897
2,948
191
67,583
45,055
2,848
1,424
191
68,138
45,611
2,848
1,424
191
Cost Per Facility, Operations
Method
Method
Method
Method
Method
1:
2:
3:
4:
5:
Regularly scheduled escort ........................................................................................
On-call escort .............................................................................................................
Taxi .............................................................................................................................
Seafarers’ welfare organizations with supplemental taxis .........................................
Visual/equipment monitoring ......................................................................................
For facilities that will only need to
document a system of access in the FSP,
we estimate that this final rule will not
have a significant impact on a
substantial number of small entities; i.e.,
the cost to modify the FSP, $412, is less
than 1 percent of annual revenue for all
sampled small entities that were
reviewed. For facilities that have to
modify operations and document the
new system of access in their FSPs, this
final rule may have a significant impact
on a substantial number of small
entities. Because we have no way to
determine which facilities (and,
therefore, which entities) will need to
implement a system of access, we
performed two analyses.
We have revenue information for 145
of the estimated 208 small entities
including 8 small governmental
jurisdictions (these revenue data
include taxes and other revenues as
reported in the jurisdictions’ annual
reports, which is publicly available
information, in addition to data from the
U.S. Census Bureau for one of them).
Three NAICS codes represent these 8
governmental jurisdictions with two
governmental jurisdictions having a
NAICS code of 921110 (Executive
Offices), three of them having a NAICS
code of 921120 (Legislative Bodies), and
the remaining three having a NAICS
code of 926120 (Regulation and
Administration of Transportation
Programs).
Using this revenue information, we
determined that the cost of both
modifying operations and documenting
the new system of access in the FSP is:
(1) Less than 1 percent of annual
revenue for 66 percent of affected
facilities; (2) between 1 and 3 percent of
annual revenue for 14 percent of
facilities; (3) between 3 and 5 percent of
annual revenue for 5 percent of
facilities; and (4) greater than 5 percent
of annual revenue for 15 percent of
facilities. Seven of the 8 governmental
jurisdictions fell into the less than 1
percent impact category and the eighth
jurisdiction fell into the greater than 5
percent impact category. Table 10
displays this data, as well as the impacts
of annual recurring costs.
TABLE 10—ESTIMATED REVENUE IMPACT OF THE FINAL RULE, WEIGHTED AVERAGE COST
Initial
implementation
cost
Revenue impact
Annual
recurring
costs,
years 2–5,
7–10
Annual
recurring
costs, year 6
FSP Only Cost
Cost to Modify FSP .....................................................................................................................
$412
$0
$0
0% < Impact <= 1% .....................................................................................................................
FSP Plus Access Implementation
100%
........................
........................
Per facility cost (weighted average) ............................................................................................
0% < Impact <= 1% .....................................................................................................................
1% < Impact <= 3% .....................................................................................................................
3% < Impact <= 5% .....................................................................................................................
5% < Impact <= 10% ...................................................................................................................
Above 10% ..................................................................................................................................
$27,200
66%
14%
5%
10%
5%
$16,558
73%
11%
6%
7%
3%
$16,724
73
11
6
7
3
Additionally, we calculated the
estimated revenue impacts of this final
rule based on the average annual cost
per compliance method over the 10-year
period of analysis. Table 11 displays the
results of this analysis. The average
annual costs of Methods 3, 4, and 5 are
less than 1 percent of annual revenue
for 100 percent of the identified small
businesses. Method 1 has the highest
average annual cost per facility. This
cost is less than 1 percent of annual
revenue for about 50 percent of the
identified small entities, and above 10
10 Year 6 has a slightly higher average cost
because those complying with Method 1 and
Method 2 will need to renew TWIC cards for
security guards.
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percent of annual revenue for 18 percent
of the identified small entities.
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12117
TABLE 11—ESTIMATED REVENUE IMPACT OF FINAL RULE, AVERAGE ANNUAL COST PER METHOD
Compliance method
Method 1
Weighted Average Annual Cost ..........................................
Method 2
$70,795
$48,267
Method 3
Method 4
Method 5
$3,153
$1,576
$191
100%
0%
0%
0%
0%
100%
0%
0%
0%
0%
100%
0
0
0
0
Cost Per Facility, Operations
0% < Impact <= 1% .............................................................
1% < Impact <= 3% .............................................................
3% < Impact <= 5% .............................................................
5% < Impact <= 10% ...........................................................
Above 10% ...........................................................................
(5) A description of the projected
reporting, recordkeeping, and other
compliance requirements of the rule,
including an estimate of the classes of
small entities which will be subject to
the requirement and the type of
professional skills necessary for
preparation of the report or record:
This final rule adds information to an
existing collection of information. We
anticipate that all MTSA-regulated
facilities will need to add additional
security information to their FSPs, for a
total cost of $412 per facility. These
FSPs will be updated by the Facility
Security Officer (FSO). The FSO will
need to know the security protocol
regarding each facility and describe the
information required in this rule in
order to comply with the recordkeeping
requirement of this rule. We anticipate
that this recordkeeping requirement will
not have a significant impact on any
small entities, i.e., the $412
recordkeeping cost is less than 1 percent
of revenue for all sampled small
entities.
(6) A description of the steps the
agency has taken to minimize the
significant economic impact on small
entities consistent with the stated
objectives of applicable statues,
including a statement of the factual,
policy, and legal reasons for selecting
the alternative adopted in the final rule
and why each one of the other
significant alternatives to the rule
considered by the agency which affect
the impact on small entities was
rejected:
We considered other alternatives in
this final rule. Those alternatives
include no regulatory changes, requiring
changes to the DoS rather than to the
FSP, and outlining more prescriptive
measures. We rejected each alternative,
because making no regulatory changes
would not fulfill our mandate, changing
the DoS would not specifically target
noncompliant facilities, and making
more prescriptive measures would not
provide as much regulatory flexibility.
In addition, public comments
suggested that requiring escorting for a
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50%
19%
9%
5%
18%
54%
17%
6%
7%
13%
list of individuals would pose security
problems and become too costly to
implement. This rule narrows the list of
acceptable individuals to seafarers,
pilots, and welfare organizations,
reducing the scope of individuals who
will be allowed to be escorted through
the facility to those people and groups
specifically required by the Act.
The Coast Guard will not retaliate
against small entities that question or
complain about this rule or any policy
or action of the Coast Guard.
C. Assistance for Small Entities
Under section 213(a) of the Small
Business Regulatory Enforcement
Fairness Act of 1996, Public Law 104–
121, we offer to assist small entities in
understanding this rule so that they can
better evaluate its effects on them and
participate in the rulemaking. The Coast
Guard will not retaliate against small
entities that question or complain about
this rule or any policy or action of the
Coast Guard.
Small businesses may send comments
on the actions of Federal employees
who enforce, or otherwise determine
compliance with, Federal regulations to
the Small Business and Agriculture
Regulatory Enforcement Ombudsman
and the Regional Small Business
Regulatory Fairness Boards. The
Ombudsman evaluates these actions
annually and rates each agency’s
responsiveness to small business. If you
wish to comment on actions by
employees of the Coast Guard, call 1–
888–REG–FAIR (1–888–734–3247).
D. Collection of Information
This rule calls for a collection of
information under the Paperwork
Reduction Act of 1995, 44 U.S.C. 3501–
3520. As defined in 5 CFR 1320.3(c),
‘‘collection of information’’ comprises
reporting, recordkeeping, monitoring,
posting, labeling, and other, similar
actions. The title and description of the
information collection, a description of
those who must collect the information,
and an estimate of the total annual
burden follow. The estimate covers the
time for reviewing instructions,
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searching existing sources of data,
gathering and maintaining the data
needed, and completing and reviewing
the collection. Under the provisions of
this final rule, the affected facilities and
vessels are required to update their FSPs
to include provisions for seafarers’
access. This requirement would amend
an existing collection of information by
increasing the number of instances
requiring information to be collected
under OMB control number 1625–0077.
Title: Security Plans for Ports, Vessels,
Facilities, and Outer Continental Shelf
Facilities and other Security-Related
Requirements.
OMB Control Number: 1625–0077.
Summary of the Collection of
Information: This final rule modifies an
existing collection of information for
facility owners and operators of MTSAregulated facilities. MTSA-regulated
facilities are required to include a
description of a system for seafarer
access in their FSPs. This rule requires
a one-time change in previously
approved OMB Collection 1625–0077.
Final Use of Information: The Coast
Guard will use this information to
determine whether a facility is
providing adequate seafarer access and
complying with the provisions of the
final rule.
Description of the Respondents: The
respondents are owners of MTSAregulated facilities regulated by the
Coast Guard under 33 CFR chapter I,
subchapter H.
Number of Respondents: We estimate
that 2,469 MTSA-regulated facilities
with FSPs will be required to modify
their existing FSP.
Frequency of Response: There will be
a one-time response for all 2,469
respondents. The FSP would need to be
updated within 10 months of the
publication of the final rule.
Burden of Response: The burden
resulting from this final rule is 6 hours
per respondent in the initial year.
Estimate of Total Annual Burden: The
estimated implementation period
burden for facilities is 6 hours per FSP
amendment. Since there are 2,469
MTSA facilities that are required to
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modify their existing FSP, with the
inclusion of administrative time of
about 420 hours, the total burden is
15,234 hours [(2,469 facilities × 6 hours)
+ (2,469 facilities × 0.17 administrative
hours)]. The current burden listed in
this collection of information is
1,108,043. The new burden, as a result
of this final rulemaking, is 1,123,277
(1,108,043 + 15,234).
As required by the Paperwork
Reduction Act of 1995 (44 U.S.C.
3507(d)), we have submitted a copy of
this final rule to OMB for its review of
the collection of information. You are
not required to respond to a collection
of information unless it displays a
currently valid control number from
OMB. Before the requirements for this
collection of information become
effective, we will publish a notice in the
Federal Register of OMB’s decision to
approve, modify, or disapprove the final
collection.
E. Federalism
A rule has implications for federalism
under Executive Order 13132
(‘‘Federalism’’) if it has a substantial
direct effect on the States, on the
relationship between the national
government and the States, or on the
distribution of power and
responsibilities among the various
levels of government. We have analyzed
this rule under Executive Order 13132
and have determined that it is
consistent with the fundamental
federalism principles and preemption
requirements described in Executive
Order 13132. Our analysis follows.
This rule would update existing
regulations in 33 CFR part 105 by
requiring each owner or operator of a
facility regulated by the Coast Guard to
implement a system that provides
seafarers and other covered individuals
with access through the facility at no
cost to the seafarer. Additionally, this
rule requires facilities to amend facility
security plans in order to ensure
compliance.
It is well-settled that States may not
regulate in categories reserved for
regulation by the Coast Guard. (See the
decision of the Supreme Court in the
consolidated cases of United States v.
Locke and Intertanko v. Locke, 529 U.S.
89, 120 S.Ct. 1135 (2000)). The Coast
Guard believes the federalism principles
articulated in Locke apply to the
regulations promulgated under the
authority of the Maritime
Transportation Security Act. States and
local governments are foreclosed from
regulating within the fields covered by
regulations found in 33 CFR parts 101,
103, 104, and 106. However, with regard
to regulations found in 33 CFR part 105,
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State maritime facility regulations are
not preempted so long as these State
laws or regulations are more stringent
than what is required by 33 CFR part
105 and no actual conflict or frustration
of an overriding need for national
uniformity exists. Therefore, the rule is
consistent with the principles of
federalism and preemption
requirements in Executive Order 13132.
F. Unfunded Mandates Reform Act
The Unfunded Mandates Reform Act
of 1995, 2 U.S.C. 1531–1538, requires
Federal agencies to assess the effects of
their discretionary regulatory actions. In
particular, the Act addresses actions
that may result in the expenditure by a
State, local, or tribal government, in the
aggregate, or by the private sector of
$100,000,000 (adjusted for inflation) or
more in any one year. Although this rule
will not result in such an expenditure,
we do discuss the effects of this rule
elsewhere in this preamble.
G. Taking of Private Property
This rule will not cause a taking of
private property or otherwise have
taking implications under Executive
Order 12630 (‘‘Governmental Actions
and Interference with Constitutionally
Protected Property Rights’’).
H. Civil Justice Reform
This rule meets applicable standards
in sections 3(a) and 3(b)(2) of Executive
Order 12988 (‘‘Civil Justice Reform’’), to
minimize litigation, eliminate
ambiguity, and reduce burden.
I. Protection of Children
We have analyzed this rule under
Executive Order 13045 (‘‘Protection of
Children from Environmental Health
Risks and Safety Risks’’). This rule is
not an economically significant rule and
would not create an environmental risk
to health or risk to safety that might
disproportionately affect children.
J. Indian Tribal Governments
This rule does not have tribal
implications under Executive Order
13175 (‘‘Consultation and Coordination
with Indian Tribal Governments’’),
because it would not have a substantial
direct effect on one or more Indian
tribes, on the relationship between the
Federal Government and Indian tribes,
or on the distribution of power and
responsibilities between the Federal
Government and Indian tribes.
K. Energy Effects
We have analyzed this rule under
Executive Order 13211 (‘‘Actions
Concerning Regulations That
Significantly Affect Energy Supply,
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Distribution, or Use’’). We have
determined that it is not a ‘‘significant
energy action’’ under that order because
it is not a ‘‘significant regulatory action’’
under Executive Order 12866 and is not
likely to have a significant adverse effect
on the supply, distribution, or use of
energy.
L. Technical Standards
The National Technology Transfer
and Advancement Act, codified as a
note to 15 U.S.C. 272, directs agencies
to use voluntary consensus standards in
their regulatory activities unless the
agency provides Congress, through
OMB, with an explanation of why using
these standards would be inconsistent
with applicable law or otherwise
impractical. Voluntary consensus
standards are technical standards (e.g.,
specifications of materials, performance,
design, or operation; test methods;
sampling procedures; and related
management systems practices) that are
developed or adopted by voluntary
consensus standards bodies. This rule
does not use technical standards.
Therefore, we did not consider the use
of voluntary consensus standards.
M. Environment
We have analyzed this rule under
Department of Homeland Security
Management Directive 023–01 and
Commandant Instruction M16475.lD,
which guide the Coast Guard in
complying with the National
Environmental Policy Act of 1969 (42
U.S.C. 4321–4370f), and have concluded
that this action is one of a category of
actions that do not individually or
cumulatively have a significant effect on
the human environment. A final Record
of Environmental Consideration (REC)
supporting this determination is
available in the docket where indicated
in the ADDRESSES section of this
preamble. This final rule involves
providing access for seafarers to
maritime facilities. Therefore, this rule
is categorically excluded under
paragraph L54 and paragraph L56 of
Appendix A, Table 1 of DHS Instruction
Manual 023–01–001–01, Rev. 01.
Paragraph L54 pertains to regulations
which are editorial or procedural.
Paragraph L56 pertains to regulations
concerning the training, qualifying,
licensing, and disciplining of maritime
personnel.
List of Subjects in 33 CFR Part 105
Maritime security, Reporting and
recordkeeping requirements, Security
measures.
For the reasons discussed in the
preamble, the Coast Guard amends 33
CFR part 105 as follows:
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33 CFR—Navigation and Navigable
Waters
PART 105—MARITIME SECURITY:
FACILITIES
1. The authority citation for part 105
is revised to read as follows:
■
Authority: 33 U.S.C. 1226, 1231; 46 U.S.C.
70103; 50 U.S.C. 191; Sec. 811, Pub. L. 111–
281, 124 Stat. 2905; 33 CFR 1.05–1, 6.04–11,
6.14, 6.16, and 6.19; Department of
Homeland Security Delegation No. 0170.1.
§ 105.200
[Amended]
2. Amend § 105.200 as follows:
a. In paragraph (b)(1), remove the
words ‘‘security organizational
structure’’ and add in their place the
words ‘‘organizational structure of the
security personnel’’ and remove the
words ‘‘within that structure’’;
■ b. In paragraph (b)(4), remove the text
‘‘an FSP’’ and add in its place the text
‘‘a Facility Security Plan (FSP)’’;
■ c. In paragraph (b)(6) introductory
text, remove the acronym ‘‘TWIC’’ and
add in its place the words
‘‘Transportation Worker Identification
Credential (TWIC)’’;
■ d. In paragraph (b)(6)(i), after the
words ‘‘FSP are permitted to’’ add the
words ‘‘serve as an’’;
■ e. In paragraph (b)(6)(ii), remove the
word ‘‘should’’ and add in its place the
words ‘‘in the event that’’;
■ f. In paragraph (b)(6)(iii), remove the
word ‘‘what’’, and add in its place the
word ‘‘which’’ and after the words ‘‘are
secure areas and’’ add the words ‘‘which
are’’;
■ g. In paragraph (b)(9), remove the text
‘‘coordination of’’ and add in its place
the text ‘‘implementation of a system, in
accordance with § 105.237,
coordinating’’ and remove the text
‘‘(including representatives of seafarers’
welfare and labor organizations)’’ and
add in its place the text ‘‘, as described
in § 105.237(b)(3)’’; and
■ h. In paragraph (b)(14), remove the
text ‘‘TSA’’ and add in its place the text
‘‘Transportation Security
Administration (TSA)’’.
■ 3. Add § 105.237 to read as follows:
■
■
§ 105.237
System for seafarers’ access.
(a) Access required. Each facility
owner or operator must implement a
system by June 1, 2020 for providing
access through the facility that enables
individuals to transit to and from a
vessel moored at the facility and the
facility gate in accordance with the
requirements in this section. The system
must provide timely access as described
in paragraph (c) of this section and
incorporate the access methods
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described in paragraph (d) of this
section at no cost to the individuals
covered. The system must comply with
the Transportation Worker
Identification Credential (TWIC)
provisions in this part.
(b) Individuals covered. The
individuals to whom the facility owner
or operator must provide the access
described in this section include—
(1) Seafarers assigned to a vessel at
that facility;
(2) Pilots; and
(3) Representatives of seafarers’
welfare and labor organizations.
(c) Timely access. The facility owner
or operator must provide the access
described in this section without
unreasonable delay, subject to review by
the Captain of the Port (COTP). The
facility owner or operator must consider
the following when establishing timely
access without unreasonable delay:
(1) Length of time the vessel is in port.
(2) Distance of egress/ingress between
the vessel and facility gate.
(3) The vessel watch schedules.
(4) The facility’s safety and security
procedures as required by law.
(5) Any other factors specific to the
vessel or facility that could affect access
to and from the vessel.
(d) Access methods. The facility
owner or operator must ensure that the
access described in this section is
provided through one or more of the
following methods:
(1) Regularly scheduled escort
between the vessel and the facility gate
that conforms to the vessel’s watch
schedule as agreed upon between the
vessel and facility.
(2) An on-call escort between the
vessel and the facility gate.
(3) Arrangements with taxi services or
other transportation services, ensuring
that any costs for providing the access
described in this section, above the
service’s standard fees charged to any
customer, are not charged to the
individual to whom such access is
provided. If a facility provides
arrangements with taxi services or other
transportation services as the only
method for providing the access
described in this section, the facility is
responsible to pay any fees for transit
within the facility.
(4) Arrangements with seafarers’
welfare organizations to facilitate the
access described in this section.
(5) Monitored pedestrian access
routes between the vessel and facility
gate.
(6) A method, other than those in
paragraphs (d)(1) through (5) of this
section, approved by the COTP.
PO 00000
Frm 00073
Fmt 4700
Sfmt 4700
12119
(7) If an access method relies on a
third party, a back-up access method
that will be used if the third party is
unable to or does not provide the
required access in any instance. An
owner or operator must ensure that the
access required in paragraph (a) of this
section is actually provided in all
instances.
(e) No cost to individuals. The facility
owner or operator must provide the
access described in this section at no
cost to the individual to whom such
access is provided.
(f) Described in the Facility Security
Plan (FSP). On or before February 3,
2020, the facility owner or operator
must document the facility’s system for
providing the access described in this
section in the approved FSP in
accordance with § 105.410 or § 105.415.
The description of the facility’s system
must include—
(1) Location of transit area(s) used for
providing the access described in this
section;
(2) Duties and number of facility
personnel assigned to each duty
associated with providing the access
described in this section;
(3) Methods of escorting and/or
monitoring individuals transiting
through the facility;
(4) Agreements or arrangements
between the facility and private parties,
nonprofit organizations, or other parties,
to facilitate the access described in this
section; and
(5) Maximum length of time an
individual would wait for the access
described in this section, based on the
provided access method(s).
4. Amend § 105.405 as follows:
■ a. In paragraph (a)(18), remove the text
‘‘part 105; and,’’ and add in its place
‘‘this part;’’;
■ b. In paragraph (a)(21), remove the
period at the end of the paragraph and
add in its place ‘‘; and’’; and
■ c. Add paragraph (a)(22).
The addition reads as follows:
■
§ 105.405 Format and content of the
Facility Security Plan (FSP).
(a) * * *
(22) System for seafarers’ access.
*
*
*
*
*
Dated: March 27, 2019.
Jennifer F. Williams,
Captain, U. S. Coast Guard, Director of
Inspections and Compliance.
[FR Doc. 2019–06272 Filed 3–29–19; 8:45 am]
BILLING CODE 9110–04–P
E:\FR\FM\01APR1.SGM
01APR1
Agencies
[Federal Register Volume 84, Number 62 (Monday, April 1, 2019)]
[Rules and Regulations]
[Pages 12102-12119]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-06272]
-----------------------------------------------------------------------
DEPARTMENT OF HOMELAND SECURITY
Coast Guard
33 CFR Part 105
[Docket No. USCG-2013-1087]
RIN 1625-AC15
Seafarers' Access to Maritime Facilities
AGENCY: Coast Guard, DHS.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Coast Guard is issuing a final rule requiring each owner
or operator of a maritime facility regulated by the Coast Guard to
implement a system providing seafarers, pilots, and representatives of
seamen's welfare and labor organizations access between vessels moored
at the facility and the facility gate, in a timely manner and at no
cost to the seafarer or other individuals. These access procedures must
be documented in the Facility Security Plan for each facility, and
approved by the local Captain of the Port. This final rule, which
implements a congressional mandate, ensures that no facility owner or
operator denies or makes it impractical for seafarers or other
individuals to transit through the facility.
DATES: This final rule is effective May 1, 2019.
ADDRESSES: You may view supplemental material identified by docket
number USCG-2013-1087 using the Federal eRulemaking Portal at https://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: For information about this document,
call or email LCDR Myles J. Greenway, Cargo and Facilities Division
(CG-FAC-2), Coast Guard; telephone 202-372-1168, email
[email protected].
SUPPLEMENTARY INFORMATION:
Table of Contents for Preamble
I. Abbreviations
II. Basis and Purpose
III. Regulatory History
IV. Discussion of Comments and Changes
V. Regulatory Analyses
A. Regulatory Planning and Review
B. Small Entities
C. Assistance for Small Entities
D. Collection of Information
E. Federalism
F. Unfunded Mandates Reform Act
G. Taking of Private Property
H. Civil Justice Reform
I. Protection of Children
J. Indian Tribal Governments
K. Energy Effects
L. Technical Standards
M. Environment
I. Abbreviations
ASP Alternate Security Program
ATB Articulated tug barge
BLS U.S. Bureau of Labor Statistics
CBP U.S. Customs and Border Protection
CFR Code of Federal Regulations
CGAA Coast Guard Authorization Act of 2010
COTP Captain of the Port
DHS Department of Homeland Security
DoS Declaration of Security
FR Federal Register
FRFA Final Regulatory Flexibility Analysis
FSO Facility security officer
FSP Facility security plan
ISPS Code International Ship and Port Facility Security Code
ITB Integrated tug barge
MISLE Marine Information for Safety and Law Enforcement
MTSA Maritime Transportation Security Act of 2002
NAICS North American Industry Classification System
NPRM Notice of proposed rulemaking
OMB Office of Management and Budget
RA Regulatory analysis
Sec. Section symbol
SBA Small Business Administration
SCI Seamen's Church Institute
SME Subject matter expert
TWIC Transportation Worker Identification Credential
U.S.C. United States Code
II. Basis and Purpose
Throughout the maritime sector, vessels arrive at facilities
regulated by the Maritime Transportation Security Act of 2002 (MTSA)
(Pub. L. 107-295, codified at 46 U.S.C. 70101 et seq.) for any number
of commercial and other purposes. These vessels are operated by
seafarers,\1\ who are individuals assigned to work on a vessel and who
may be at sea for days, weeks, or months as part of their employment on
that vessel. Generally, transiting through a MTSA-regulated facility is
the only way for seafarers to access the shore, and the services,
businesses, family members, and friends, among other things, beyond the
vessel and the facility. Additionally, individuals providing services
for seafarers, or having another legitimate purpose for accessing the
vessel, can generally access a vessel moored at an MTSA-regulated
facility only by transiting through the facility.
---------------------------------------------------------------------------
\1\ The terms ``seafarer'' and ``seaman'' are synonymous (as are
their plural forms, ``seafarers'' and ``seamen''), and are used
interchangeably in this final rule.
---------------------------------------------------------------------------
Section 811 of the Coast Guard Authorization Act of 2010 (CGAA)
(Pub. L. 111-281, codified at 46 U.S.C. 70103 note) requires facility
owners and operators to ensure shore access for seafarers and other
individuals. Specifically, section 811 requires each MTSA-regulated
facility to ``provide a system for seamen assigned to a vessel at that
facility, pilots, and representatives of seamen's welfare and labor
organizations to board and depart the vessel through the facility in a
timely manner at no cost to the individual.''
In addition, MTSA-regulated facilities must implement national
maritime security initiatives, including the provision of security
measures for access control. Coast Guard access-control regulations in
title 33 of the Code of Federal Regulations (CFR), Sec. 105.255,
require MTSA-regulated facilities to control an individual's access to
the facility and designate secure areas within the facility, unless the
individual is either authorized to access that area or is escorted by
someone who is authorized to access that area. Accordingly, facility
owners and operators must consider the security implications of
permitting seafarers and other individuals to transit through their
facilities. Coast Guard regulations at 33 CFR 105.200(b)(9) require
MTSA-regulated facilities to ensure coordination of shore leave for
[[Page 12103]]
these persons. Finally, the Coast Guard administers facility security
plans under the authority of 46 U.S.C. 70103(c), which is delegated to
the Coast Guard by DHS delegation number 0170.1 (II)(97)(b).
This regulatory action is necessary to help ensure that owners and
operators of MTSA-regulated facilities provide seafarers and other
covered individuals with the ability to transit through the facility in
a timely manner, at no cost to the individuals. In addition, this
regulatory action is necessary to help ensure that facility owners and
operators provide the same no-cost access between a vessel and facility
gate to covered individuals with a legitimate purpose for accessing the
vessel. By statute, these individuals include representatives of
seafarers' welfare and labor organizations, and pilots. Access by these
statutorily authorized persons will be in accordance with the Facility
Security Plan (FSP).
III. Regulatory History
On December 29, 2014, the Coast Guard published a notice of
proposed rulemaking (NPRM) to solicit comments on Seafarers' Access to
Maritime Facilities (79 FR 77981). We proposed requiring each owner or
operator of a MTSA-regulated facility to implement a system allowing
seafarers and other individuals to have access between vessels moored
at the facility and the facility gate. Under the proposal, access
should be in a timely manner and at no cost to the seafarer or other
individual.
In that NPRM, we also published a notice of public meeting to
solicit additional public comments. The Coast Guard held this public
meeting in Washington, DC, on January 23, 2015.
The initial comment period on the NPRM closed on February 27, 2015.
On May 27, 2015, we reopened the public comment period for an
additional 60 days (80 FR 30189), based on comments requesting an
extension of the comment period and also to specifically seek input on
our estimate of a 10.3-percent noncompliance rate for facilities with
respect to providing seafarers' access. We stated that we would
consider all public comments on the NPRM received during the reopened
comment period.
The second comment period closed on July 27, 2015 (80 FR 32512). In
total, the Coast Guard received comments from 163 commenters. The
commenters represented private individuals, port authorities, pilots'
associations, industry groups, professional mariner associations,
seafarers' unions, seafarers' churches and centers, other mariner non-
governmental organizations, the World Shipping Council, and the Company
of Master Mariners of Canada.
As a result of the public comments received on the NPRM, we made
two changes to this final rule. First, we changed the types of
individuals to which the rule applies, to mirror section 811 of the
CGAA (Pub. L. 111-281, codified at 46 U.S.C. 70103 note), by deleting
the proposed category of ``other authorized individuals''. Second, we
changed the regulations to address concerns raised by commenters about
the need to modify their facility security plans (FSPs) to accommodate
the no-cost mandate of the rule.
Additionally, we proposed to add Sec. 101.112 on federalism, but a
rule published in 2016 put identical language in place, so we have
removed that amendatory instruction (see 81 FR 57652, 57708, effective
date August 23, 2018).
IV. Discussion of Comments and Changes
In this section, we organize the public comments we received into
18 categories. In each category, we feature a brief description of the
comments and our responses to those comments.
(1) Transportation Worker Identification Credential Issues
This section discusses comments received on possible interaction
between Transportation Worker Identification Credential (TWIC)
requirements and the access requirements established by this final
rule. As we explain in our responses that follow, this rule does not
change existing TWIC requirements, and whether escorts are or are not
required under TWIC rules does not affect the obligation to provide no-
cost access to the seafarer. The facility has flexibility to decide how
to comply with its TWIC requirements and the no-cost access
requirements of this rule.
Several commenters noted that a TWIC should be sufficient
identification for a mariner to have unescorted access to a facility.
While it may be possible on some facilities to design a system for
unescorted access, the concern for secure areas of the facility remains
paramount. To be granted unescorted access to the secure areas of a
facility, the facility security regulations in 33 CFR 105.255 require a
person to have a TWIC and to be authorized to access to the secure
areas of a facility. A TWIC, by itself, does not satisfy the regulatory
requirement and some facilities may opt for escorts to protect the
secure areas of the facility. Other facilities may develop a system
that does not require escorts. Based upon the variety of scenarios
under which a facility has the flexibility to decide how to comply with
the TWIC and the no cost requirements of this rule, a facility has the
option to use equipment and implement procedures that would allow
unescorted access.
Congress requires MTSA-regulated facilities to grant access through
the facility to seafarers at no cost to the seafarer. This rule does
not change the requirement to escort or otherwise monitor the access of
a person who is not authorized to have unescorted access to the
facility.
A few commenters stated that seafarers may be precluded from taking
taxis from the vessel to the facility gate because taxi drivers do not
hold TWICs.
We recognize that the method of transfer between a vessel in port
and the port facility gate may preclude certain options, such as taxis.
It is also possible that taxi drivers could obtain TWICs and the Coast
Guard is aware of several taxi companies that have drivers who have
already obtained a TWIC. We are providing facility owners with the
flexibility to implement a system to provide access that is tailored to
each facility.
Other commenters expressed concern that the requirements for the
seafarers' access program will duplicate existing TWIC escort
requirements. They urged the Department of Homeland Security (DHS) to
allow individual facilities under the Alternative Security Program
(ASP) to add a seafarers' access system as an annex to their current
FSP and to submit the annex to the Captain of the Port (COTP) for
review and approval.
We concur with the comment. In lieu of amending the ASP and
submitting the entire plan to the COTP for approval, the owner or
operator of a facility covered under an ASP may submit an annex for
each facility that explains how the facility will comply with the
requirements of this final rule.
One commenter noted that the port of Port Everglades, Florida, is a
restricted area inside a restricted area, and should not be accessed by
any individual who does not possess a TWIC without a proper escort.
This final rule provides no-cost access for seafarers and other
covered individuals to a port facility gate. Security of the facility
or who has access to it should already be addressed by the FSP that was
approved by the COTP for each port. Each port facility should ensure
that its FSP is updated and approved to reflect the mandates of the law
to provide no-cost access for seafarers and other covered individuals.
One commenter stated that ``other authorized individuals'' are
generally
[[Page 12104]]
eligible to receive TWICs, but that this is not the case for non-U.S.
seafarers. These seafarers should not be penalized for their inability
to obtain TWICs, and, according to the commenter, they are treated as
criminals because of their lack of visas. Fair treatment of non-U.S.
mariners who are allowed access would help to ensure fair treatment of
U.S. mariners abroad.
This comment is beyond the scope of this rulemaking, as this final
rule concerns no-cost access through facilities, not unescorted access
or the inability to obtain a TWIC. This rule does not change the
requirement to escort or otherwise monitor the access of a person who
is not authorized to have unescorted access to the facility.
(2) Seafarer Safety Concerning Access to Port Facility Gates
Many commenters noted that they have experienced unsafe conditions
while attempting to gain facility access, and believe that safe
transportation and pedestrian walkways must be mandated. Many
commenters also complained that the current methods of allowing
seafarers access are burdensome, expensive, or unsafe. Another
commenter noted that they saw no reason to make special accommodations
for seafarers if facility operators feel that safety and security is
reduced if such seafarers are allowed on the facility.
Several commenters stated that this rule jeopardizes the ability of
private port facilities to deny access to the docks out of safety
concerns to mariners, and also noted the possibility that the free
movement of mariners about the docks could impose an undue burden on
dock operators and create an unsafe situation for mariners.
One commenter fully endorsed safe transit for mariners to and from
the facility gate, and believed that such safe passage must be
mandated.
The purpose of this final rule is to implement the Congressional
requirement of no-cost access for seafarers and certain support
organizations through MTSA-regulated facilities. The Coast Guard
considered mandating specific infrastructure, such as pedestrian
walkways, but determined that this could be unnecessary and costly in
many facilities. Moreover, the no-cost access required by section 811
of the CGAA and this rulemaking does not diminish the requirement for
facilities to comply with other laws and regulations, such as
Occupational Safety and Health Administration (OSHA) requirements under
29 CFR. This final rule provides facility owners and operators with
flexibility to ensure the safe passage of seafarers to and from the
facilities' gates through a variety of methods. It remains the
responsibility of the facility owner or operator to ensure safety in
accordance with the approved FSP on file. If conditions are unsafe or
overly burdensome at certain facilities, mariners are encouraged to
contact the local COTP to report such unsafe or overly burdensome
conditions.
(3) Cost Concerns Associated With the Requirement for ``No Cost''
Access to Port Facility Gates
Many commenters were concerned with the cost of providing seafarers
with no-cost access to facility gates. Some commenters said that the
vessel owner or operator should bear the financial cost of providing
access to facilities, while others said that the facility should bear
the cost, and one commenter said the cost should not be borne by only
one stakeholder. Several commenters proposed regulatory text placing
the financial burden on one party or the other. Two commenters said the
rule should be amended to clearly state that costs for providing access
to facilities can be charged back to the vessel owner, because
relieving vessel owners or operators from the financial burden of no-
cost access goes beyond the intent of the CGAA.
The CGAA does not specify who should pay for no-cost access for
seafarers. Ultimately, the Coast Guard determined that it is the
facility's responsibility to provide the no cost service, as Coast
Guard regulations already require each facility to have an approved
FSP, which must now include a system for providing no-cost access to
the facility for certain individuals. However, the Coast Guard declined
to specifically prohibit charges to the vessel, and let parties decide
the allocation of costs between facility and vessel. This rule provides
flexibility to facilities on how to comply with the mandate and how to
provide no-cost access for seafarers, as long as its solution does not
result in a cost to seafarers.
Some commenters suggested that the rule should allow ``reasonable
fees'' that can be passed on to the vessel owner to pay for seafarers'
access. Many commenters noted that if facility owners are allowed to
charge the vessel for seafarer access, the vessel owner will charge the
mariner for access, and the intent of the law will be frustrated.
We are advising COTPs, through formal and informal communications
with field units, to be on the lookout for this problem. Facilities
that violate any provision of this rule are subject to enforcement by
the COTP. Under 46 U.S.C. 70119 and 33 CFR 101.415(b), any person who
does not comply with the applicable requirements, including 33 CFR part
105, is liable to the U.S. for a civil penalty of not more than $25,000
for each violation.\2\
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\2\ The statutory penalty amount is adjusted annually to keep
pace with inflation: The current amount of this penalty is located
in 33 CFR 27.3.
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Pursuant to the International Convention for Safety of Life at Sea
(SOLAS) Chapter XI-2, the International Ship and Port Facility (ISPS)
Code, the International Maritime Organization's ``Reminder in
Connection with Shore Leave and Access to Ships'' MSC/1/Circ.1342, and
the 2016 Amendments to the Convention on the Facilitation of
International Maritime Traffic (FAL) Annex 1, there is an
internationally recognized obligation to protect the interest of
seafarer's shore leave, including shoreside access. As stated in Annex
1 of the FAL, ``Crew members shall be allowed ashore by the public
authorities while the ship on which they arrive is in port, provided
that the formalities on arrival of the ship have been fulfilled and the
public authorities have no reason to refuse permission to come ashore
for public health, public safety or public order. Shore leave shall be
allowed in a manner which excludes discrimination such as on the
grounds of nationality, race, colour, sex, religion, political opinion,
or social origin and irrespective of the flag State of the ship on
which they employed, engaged or work.'' If private actors thwart or
hinder the ability of the United States to fulfill its international
obligations, such as by imposing fees on crewmembers as a condition to
shoreside access in the United States, any and all legal and diplomatic
responses, to include notification to the vessel's flag-state, may be
taken by the U.S. Government. Should the practice of the vessel owner
charging the seamen for access prove to be an on-going issue for
seamen, we will consider the possibility of amending the regulations,
or even seeking new statutory authority, to deal with the matter.
(4) The Proposed Rule Underestimated the Cost of Compliance for
Facilities
Several commenters stated that the Coast Guard's regulatory
analysis underestimated the cost of compliance for facilities. One
commenter stated that annual facility costs amount to $75,000 annually
and others stated the $1,121 they reference in their comments is an
underestimation and the actual costs will likely be higher than the
costs we estimated in the proposed rule. One commenter also stated
``the expansion of covered individuals will likely
[[Page 12105]]
exceed $1,121 per year''. Another commenter stated the annual expense
could be $50,000 as a result of the proposed rule. Another commenter
presented a third-party cost estimate of $185,000 for intra-terminal
seafarer shuttle services for two of five facilities. Included in some
comments is a reference to family members and who would bear the cost.
Based on these comments and information provided in these comments,
we revised our regulatory analysis for the final rule by increasing the
number of trips that a security guard may make. As a result, the costs
for facilities that choose method 1 increased from about $64,000
initially in the proposed rule, to about $99,000 in this final rule.
For facilities that choose method 2, costs increased from our estimate
in the proposed rule of about $52,000 initially to about $77,000
initially in the final rule. Additionally, estimated annual recurring
costs for method 1 increased from about $36,000 in the proposed rule to
about $67,583 for the final rule. Annual recurring costs for method 2
increased from about $24,000 in the proposed rule to about $45,000 in
the final rule. Please see the supporting regulatory analysis for more
detailed cost estimates.
Concerning the $1,121 cost referenced by several commenters,
apparently, commenters divided the estimated annualized cost of about
$2.8 million (with annual costs discounted over a 10-year period at a 7
percent discount rate) by the total number of MTSA-regulated facilities
of 2,469. However, in the NPRM, we estimated the majority, 90% of the
facilities, were already compliant and would not incur any additional
costs as a result of this rule. By dividing the annualized cost by the
total population of MTSA-regulated facilities the commenter has
incorrectly estimated a lower cost per facility than the NPRM actually
reported. The regulatory analysis only estimated the costs that
noncompliant MTSA-regulated facilities would incur.
Additionally using the average cost per facility does not take into
account the different methods with which a facility can choose to
comply with this rule. The five different methods of compliance
estimated in the regulatory analysis vary significantly in cost.
For example, in the NPRM, we estimated that 10 percent or 42 out of
420 facilities will choose method 1, which we estimate will cost a
facility on average about $99,143 in the initial year. However, for
method 5 the NPRM estimated the initial year costs to be $180.
Therefore, it is more appropriate to evaluate the estimated costs for
facilities based on the method chosen by a given facility.
Regarding the cost of ``individuals covered'' and the potential for
security-related problems these individuals may pose. In response to
public comments, the Coast Guard removed the terms ``other authorized
personnel'' and ``other authorized individuals'' from paragraph (b) of
Sec. 105.237 (see section 4 below). We expect the removal of these
terms in the final rule will reduce the number of authorized
individuals who would have access to MTSA regulated facilities and
would potentially result in lower costs to the facilities depending on
which method of compliance the facility chooses.
Table 1 below provides the final rule's estimated costs by method.
Table 1--Average Annual Cost per Method Over a 10-Year Period of Analysis
--------------------------------------------------------------------------------------------------------------------------------------------------------
Compliance method Method 1 Method 2 Method 3 Method 4 Method 5
--------------------------------------------------------------------------------------------------------------------------------------------------------
Weighted Average Annual Cost per Method............................ $70,795 $48,267 $3,153 $1,576 $191
--------------------------------------------------------------------------------------------------------------------------------------------------------
Regarding the cost for allowing family members, we have removed
``family members'' from paragraph (b) of Sec. 105.237 of this rule and
the supporting regulatory analysis does not include costs for these
individuals.
(5) The Proposed Rule Underestimated the Noncompliance Rate
One commenter noted that the percentage of seafarers denied access
to facilities is actually much higher than the 10 percent noted in the
proposed rule (79 FR 77981). Several commenters also stated that we
underestimated the number of seafarers calling on MTSA-regulated
facilities in the proposed rule and the number of seafarers who would
benefit from the proposed rule estimate is much higher.
We conducted an initial regulatory flexibility analysis and a
regulatory impact analysis for this rule and offered these analyses for
public comment. After receiving comments regarding the 10.3-percent
noncompliance rate of facilities, and the costs associated with
implementing the rule, we reopened the comment period, specifically
asking for input on these figures. We received no further comments on
these matters. In 2016, the Seamen's Church Institute (SCI) released
its annual survey and based on this survey, discussions with SCI,
public comments, and facility population information, we calculated a
new non-compliance rate of 17 percent (35 known noncompliant MSTA-
regulated facilities in the 2016 SCI survey identified by the Coast
Guard, out of 203 surveyed by SCI in its 2016 survey).
SCI in its 2015 report compiled data about shore access at
facilities actually visited by port chaplains stating, ``The data does
not reflect the number of seafarers who were detained on ships in the
terminals where chaplains and seafarers were denied access through the
terminals. This report is based on restrictions actually observed by
chaplains in their ship visits; accordingly, the number of seafarers
being denied shore leave by terminal restrictions is probably under-
reported.'' The Coast Guard concedes that there is an
underrepresentation of data based on chaplain access to facilities in
the 2015 report; however, SCI made this statement in its 2015 report
only and not in its subsequent 2016, 2017, and 2018 annual reports.
Most ports visited by chaplains in SCI's 2016, 2017 and 2018 surveys
allow unrestricted access to chaplains as stated in the reports.
Moreover, their public comment indicates the noncompliance rate could
be higher than the rate we extrapolated from their surveys in the NPRM.
Based on their comment we reached out to SCI and were able to
specifically identify the noncompliant MTSA-regulated facilities in the
2016 SCI survey. This allowed us to narrow the scope of the analysis to
only those facilities that would be affected by this rule and provided
us with the best estimate of noncompliant MTSA-regulated facilities
available. We were unable to separate out the MTSA-regulated facilities
in SCI's 2017 & 2018 report which is why we did not use the more recent
surveys.
We acknowledge that the noncompliance rate could be different than
our estimated 17 percent noncompliance rate used in this final rule,
which we based on SCI's 2016 survey. However, this is the best data we
were able to obtain. Although several commenters provided information
on specific ports, we were not able to estimate an overall
[[Page 12106]]
compliance rate based on the data they provided.
By using a 17 percent noncompliance rate from known non-compliant
facilities only and applying it to the total number of estimated MTSA-
regulated facilities of 2,469, we obtained the number of about 420
facilities (2,469 facilities x 0.17) that will be modifying operations,
in addition to documenting the changes in their FSPs.
Regarding the number of seafarers who would benefit from the
proposed rule. In the supporting regulatory analysis for the proposed
rule, we stated that on average from 2006 to 2014, 907 seafarers were
denied access due to terminal restrictions and that the proposed rule
would ensure access to these seafarers. We obtained this figure using
SCI's reports that they published in these years. In the supporting
regulatory analysis for the final rule, we removed this number and
present a noncompliance rate, which we apply to facilities and not to a
quantified number of seafarers calling on MTSA-regulated facilities or
the actual number of seafarers who would benefit from the proposed
rule. In addition, we did not rely on another report, which references
several databases, mentioned by one commenter because we could not use
the data in the report to determine the number of seafarers being
denied access at MTSA-regulated facilities.
One commenter said that if only 10 percent of facilities are not
providing these services, the Coast Guard should focus solely on those
facilities instead of changing the entire system. In addition, other
commenters complained that this rule places too high a burden on
facilities. For example, one commenter stated that the rule would
result in extreme changes to its FSP.
The statute directs that ``each'' FSP ``shall provide a system''
for no-cost access to the facility. The Coast Guard does not have
discretion to waive this requirement, or to apply it only to certain
facilities. We expect all MTSA-regulated facilities to provide a system
for no-cost access to the facility and update their FSPs to document
their system of access. As a result, these facilities will incur
operational costs and costs to modify their FSPs.
(6) The Rule Should Explicitly Define the Individuals Who Are Allowed
No-Cost Access for Seafarers to Port Facility Gates
Several commenters discussed the question of who should be allowed
no-cost access, as 33 CFR 105.237(b) proposed access for (1) the
seafarers assigned to a vessel moored at the facility; (2) the pilots
and other authorized personnel performing work for a vessel moored at
the facility; (3) representatives of seafarers' welfare and labor
organizations; and (4) other authorized individuals in accordance with
the DoS or other arrangement between the vessel and facility. One
commenter believed that proposed Sec. 105.237(b)(2) went beyond the
intent of the CGAA by expanding the list to ``other authorized
personnel.''
Several commenters asked the Coast Guard to define ``other
authorized individuals'' in Sec. 105.237(b)(4), saying that this
catch-all category (1) was too broad in scope, (2) could jeopardize the
safety and security of the facility, and (3) could become very costly
for facilities to provide no-cost access to such a wide array of
people. On the other hand, some commenters encouraged the Coast Guard
to extend no-cost access to the maximum number of individuals,
including those individuals not already enumerated in the proposed
rule. For example, one commenter stated that the proposed ``other
authorized individuals'' category should include ship service
providers. Another commenter stated that pilots should be their own
category of individuals covered by the seafarer's access requirements
of this rule.
After consideration of the public comments, we agree that the rule
should explicitly enumerate which persons or groups are provided no-
cost access, and that the list proposed in the NPRM was more extensive
than the requirements in Section 811 of the CGAA. As such, we are
limiting the no-cost access requirement to the people and groups
specifically required by the Act. We removed proposed paragraph (b)(4),
the ``other authorized individuals'' category from the list of
individuals in Sec. 105.237(b), for whom no-cost access will be
provided. We also removed the category of ``other authorized
personnel'' in paragraph (b)(2), following pilots. In striking these
additional categories of personnel, we are not prohibiting these
individuals from accessing a facility or a vessel. That decision is
based on the individual facility's FSP, which is approved by the COTP.
Rather, by deleting these categories of personnel from the no-cost
list, we are removing those types of personnel from the list of
individuals for whom the facility must provide no-cost access. Finally,
as previously stated, we also revised Sec. 105.237(b)(2) of this final
rule to solely reference pilots as an enumerated group to be provided
no-cost assess.
(7) Foreign Ports Manage Seafarers' Access Better Than U.S. Ports
Several commenters noted that many foreign ports have systems in
place to enable seafarer access to shore resources. One commenter noted
that the rule should ensure fair treatment of U.S. vessels and non-U.S.
vessels, and it should ensure that all U.S. ports treat all vessels
fairly and do not place restrictions on certain vessels.
We encourage facility owners and COTPs to consider successful
access systems already in use--including those in foreign ports--when
designing their own systems for seafarer access.
(8) The Coast Guard Should Extend the Comment Period
A few commenters asked that we extend the comment period or hold
one or more public meetings for this rulemaking. One commenter noted
that comments were not being posted in a timely manner, and one
commenter believes that the comment period should be extended for 60
days to allow facilities to realistically study how they will be
impacted.
The NPRM was published in the Federal Register on December 29,
2014, with a 60-day public comment. The Coast Guard held a public
meeting on January 23, 2015. After requests for more time were
received, we extended the comment period for an additional 60 days (by
a document published in the Federal Register on May 27, 2015). We
believe providing 4 months of public comment and holding a public
meeting allowed ample opportunity for members of the public and
industry to read the NPRM and reply with any comments.
During both public comment periods and the public meeting, we
received 163 comments. These commenters included private individuals,
port authorities, pilots associations, industry groups, professional
mariner associations, seafarers' unions, seafarers' churches and
centers, other mariner non-governmental organizations, the World
Shipping Council, and the Company of Master Mariners of Canada. We did
not exclude any comment that was submitted to the docket.
(9) The Rule Further Restricts Seafarers Who Are Already Restricted by
Existing Regulations That Do Not Help the Maritime Industry
Two commenters noted that mariners deal with burdensome security
requirements already, and the Coast Guard should not further restrict
mariners with additional regulations and ``red tape.'' One commenter
argued that the burdensome security
[[Page 12107]]
requirements drive people away from the maritime industry.
The purpose of this rule is to enable seafarers to obtain no-cost
access to port facilities. This rule imposes no increase in the
regulatory burden on the seafarer.
(10) The Proposed Rule Is Burdensome and Lacks Consistency or
Enforcement
Some commenters remarked that the proposed rule has burdensome
procedures. Other commenters noted that the proposed rule has no means
of consistency or enforcement, and that the Coast Guard has failed to
enforce provisions set forth by the COTP.
We disagree. The rule provides facilities with a great deal of
flexibility in complying with the statutory mandate to provide no-cost
access for seafarers to the facilities' gates. This flexibility is
manifested in both the method that a facility may employ to provide no-
cost access and in the manner in which a facility can determine whether
the no-cost access is timely. Facilities that violate any provision of
this rule are subject to enforcement by the COTP. Under 46 U.S.C. 70119
and 33 CFR 101.415(b), any person who does not comply with the
applicable requirements, including 33 CFR part 105, is liable to the
U.S. for a civil penalty of not more than $25,000 for each violation.
(11) The Proposed Rule Is Unconstitutional
One commenter said that the proposed rule is unconstitutional and
directly conflicts with MTSA.
We disagree. While the commenter did not specifically cite the
Takings Clause, the Coast Guard has interpreted the comment to invoke
this provision of the Constitution (U.S. Constitution, Amendment V).
Section 811 of the CGAA and proposed 33 CFR 105.237 require facilities
to provide access that enables individuals to transit to and from a
vessel moored at the facility and the facility gate, in a timely manner
and at no cost to the seafarer. Through this rulemaking, the Coast
Guard does not mandate the facility take any particular action that
would permanently disrupt the operations at the facility or deny the
facility owner all economic benefit of the property. Rather, individual
facilities would have flexibility to implement these requirements in
the manner best suited for the individual facility when a vessel is
moored at the facility. Notwithstanding the flexibility provided by the
proposed rule for facilities to tailor shore access requirements to the
design and needs of the facility, the commenter did not present the
Coast Guard with any data or other information to support their claim
that the proposed rule would constitute a taking (or regulatory taking)
of the facility's property. In addition, the commenter did not provide
data or other information to support their statement that the proposed
rule directly conflicts with MTSA. As the Coast Guard stated in the
NPRM preamble (79 FR 77981, 77983) and reiterates in this final rule,
the Coast Guard is authorized to issue regulations governing access
requirements to MTSA-regulated facilities.
(12) The Proposed Rule Will Have a Positive Economic Impact on
Communities
One commenter predicted that this rule will have a positive
economic impact on communities where secure maritime facilities are
located.
Whether that is true or not, Congress has directed the Coast Guard
to require the FSP to provide a system for seafarers to transit through
the facility in a timely manner, at no cost to the individuals, and we
have done that in this final rule.
(13) The Proposed Rule Should Use the Same Language as the
International Ship and Port Facility Security Code
Several commenters requested that the rule use the same language as
the International Ship and Port Facility Security Code (ISPS) Code.
Specifically, the commenter recommended that we utilize language from
the ISPS Code in the FSP to ``facilitate'' access to and from a vessel.
We believe that the final rule conforms to international
conventions, specifically the ISPS Code. We have chosen to use the
words ``implementation of a system'' in Sec. 105.237 as that is a
stronger imperative than ``facilitate'' and requires positive action on
the part of the facility to devise and put in place a system in
accordance with the mandate of Section 811 of the CGAA.
(14) The Coast Guard Should Consider the Impact of the Proposed Rule on
Existing ASPs and FSPs
One commenter noted that they use the Coast Guard-approved ASP,
``Industry Standard for Passenger Vessels and Small Passenger Vessels
and their Facilities,'' and requested that the proposed rule be amended
so that there will be no need to amend their ASP to conform to the
seafarer access rule until the regularly-scheduled renewal period
occurs.
Another commenter believed that developing a new access system
would be time-consuming and impossible to complete by the deadline.
This commenter suggested that a 10-month submission window for an
amended FSP would be reasonable, but that the implementation deadline
should be extended to possibly a year after receipt of the updated
plan's approval. Two other commenters also said the implementation date
should be extended. In contrast, another commenter stated that the
compliance deadline should be moved forward to 6 months (instead of 1
year) because people should already be complying.
Each facility operating under a Coast Guard-approved ASP must
include seafarer access as directed by the ASP itself. This may be in
the form of an annex or appendix explaining how the facility will
comply with this rule. This document must be submitted to and approved
by the cognizant COTP in the location of the facility submitting the
annex.
The Coast Guard believes there are various means by which a
facility may accomplish this mandate depending on the facility design,
equipment, procedures and location. The Coast Guard has worked with the
Seamen's Church and with individual facilities to discuss many options
for complying with this Congressional mandate and has provided
flexibility within this rule for facility owners and operators to
comply with its TWIC requirements and the no-cost access requirements
of this rule.
However, in light of the comments on timing we have extended the
date that each facility owner or operator must implement a system to 14
months after publication of this final rule. This additional time
allows more time for the COTP to work with each facility in the event
of deficiencies in the plan.
(15) Coordination Between Seamen's Missions and the Coast Guard
One commenter questioned whether a partnership between the Coast
Guard and seamen's missions is possible for port control.
We agree that coordination is possible, and currently exists at
several facilities. Information from seamen's missions facilitates port
control. Since the rule enhances the well-being of seafarers by
providing no-cost access from the vessel moored at the facility to the
facility's gate, we are hopeful that the rule will further our
relationship with seamen's missions.
(16) The Coast Guard Should Publish Guidance That Includes Explanatory
Language Found in the Preamble of the Proposed Rule
One commenter was concerned that the explanatory language in the
NPRM
[[Page 12108]]
will be absent from the actual CFR, perhaps leaving an undesirable
opening in interpretation of the rule. The commenter stated that
explicit language is desirable and necessary in implementing the rule.
Several commenters recommended that the Coast Guard publish a
Navigation and Vessel Inspection Circular to accompany the final rule
to reflect the basic explanatory language as written in the preamble to
the proposed rule.
While we have not included all the explanatory text from the
preamble in the regulatory text itself, we rely on the broader
explanation in the preamble to provide the support and basis for the
regulatory text. The Coast Guard does not believe a NVIC is necessary
at this time.
(17) The Coast Guard Should Not Invalidate Shore Passes After 29 Days
One commenter took issue with a regulation that invalidates shore
passes after 29 days. The commenter stated that this regulation makes
it difficult for crewmembers who have been at sea for long periods to
gain access to shore, even if they possess approved U.S. visas. The
commenter said that crewmembers were recently detained on board a
vessel for 2 months; they held valid U.S. visas but expired shore
passes, and U.S. Customs and Border Protection (CBP) in both New
Orleans and Galveston would not help them gain shore access or return
them to their home countries.
The commenter was in favor of the proposed rule in that it will
assist seafarers transiting between vessels and the terminal gates. The
comment about the invalidation of shore passes after 29 days, however,
does not pertain to a Coast Guard regulation, but to a statutory
requirement imposed by section 252 of the Immigration and Nationality
Act (8 U.S.C. 1282), which is administered by CBP. The Coast Guard's
regulation is concerned with providing no-cost access to facility gates
for seafarers. Customs clearance is beyond the scope of this regulation
and a change to the validity period of shore passes is beyond our legal
authority. Therefore, no changes were made to the final rule in
response to this comment.
(18) Implementing the Rule With Regard to the Use of Taxi Companies,
Hybrid Access Methods, Brown Water Vessels, Tug and Tows, and
Integrated Tug Barge (ITB) and Articulated Tug Barge (ATB) Crews
One commenter who favored the proposed rule had questions regarding
facility baseline performance evaluations: How will facilities be rated
on use of taxi companies that meet facility requirements? Will
``hybrid'' methods of access be acceptable to COTPs? What is the status
of brown water vessels, tugs and tows, and ITB and ATB crews? The
commenter was also concerned with taxi company availability, the
availability of reasonably priced alternatives to taxis, and the
location near commercial infrastructure and shopping centers.
This rule requires the COTP to approve the method of seafarer
access that a facility intends to provide. As such, the COTP will
examine the methods of access proposed by a facility in light of that
facility's FSP to determine if they meet the requirements of both this
rule and the FSP.
We are unclear as to what the commenter means by ``hybrid'' methods
of access. If the commenter is referring to the rule's allowance for a
facility to choose between different methods of seafarer access, all
such methods will be reviewed by the COTP for approval. We are also
unclear as to what the commenter means by the ``status of brown water
vessels, tugs and tows, and ITB and ATB crews.'' If the commenter is
referring to whether or not such vessels, tugs and tows, and ITB and
ATB crews are subject to the requirements of this rule, the rule
applies to covered facilities that may be used by such vessels and
crew. In short, the rule ensures that facilities do not charge
seafarers for access to their gates, irrespective of the type of vessel
and crew docked there.
Regarding the commenter's concern about taxi availability,
reasonably priced alternatives to taxis, and the location near
commercial infrastructure and shopping centers, these are conditions
that each facility will need to evaluate to determine which modes of
access make financial sense for that facility while meeting the
statutory mandate. The rule provides the flexibility to allow facility
owners and operators to design a system of access that makes sense to
them. Incorporation of the system of access in the approved FSP allows
for the necessary oversight by the local COTP.
(19) Timeliness of Seafarer Access to Port Facility Gates
Many commenters noted that a seafarer's definition of ``timely
access'' may vary from a facility's definition of ``timely access.''
We believe that the issue of ``timely access'' is best managed by
the COTP. Because of the many different types of facilities and FSPs,
the local COTP is in the best position to evaluate concerns and address
complaints of facilities providing untimely access.
One commenter stated that ``timely access'' should be agreed on by
both the facility operator and the COTP.
This rule states that facility owners and operators are responsible
for implementing a system that provides access for seafarers between
vessels moored at the facility and the facility gate, in a timely
manner and at no-cost to the seafarer. Every facility is different,
which makes ``timely access'' impossible to prescribe. Ultimately, the
COTP will decide whether the proposed timely access is adequate.
One commenter expressed concern with seafarers having timely access
to port facility gates, especially for seafarers who are in port for
short periods of time.
We agree. This is an important component in ensuring that port
facilities comply with the mandates of this rule. In Sec. 105.237(c),
we include factors that a facility, subject to review by the COTP, must
consider in allowing seafarers no-cost access to the facility's gate,
in a timely fashion.
One commenter stated that the length of stay for a vessel is
irrelevant in determining whether or not a seafarer's access to the
facility gate is timely.
We disagree. While facilities have great flexibility under this
rule in providing timely access between the vessel and the facility
gate, some parameters are necessary to meet the requirements of Section
811 of the CGAA. We use length of time in port as a metric for the COTP
to determine whether or not a wait time to and from the facility gate
is reasonable.
One commenter stated that the Coast Guard needs to define
``reasonable time'' in the regulatory text more specifically. The
commenter asks if the Government will take into consideration the size
of the group when it comes to ``reasonable time.''
A second commenter understands that it is impossible to develop a
one-size-fits-all definition of ``timely access,'' and that it is
impractical for facilities to provide for every potential combination
of factors in their security plans. This commenter requested that the
Coast Guard clarify how the COTP will determine ``timely access'' on a
case-by-case basis.
Another commenter stated that a modest 10-minute delay waiting for
transportation during half their visits equals more than 3,443 hours of
lost time. Additionally, the commenter noted that waiting on
transportation potentially makes a service provider's day dangerously
long, putting them and others at risk. The commenter offered
[[Page 12109]]
the following additional factors that a facility must consider when
establishing timely access without unreasonable delay: (1) The expected
number of ship service personnel who will be visiting a ship; (2) the
costs of transportation relative to delay time costs incurred by ship
service providers; and (3) the costs of transportation relative to
safety impacts to service providers.
One commenter noted that the proposed rule appropriately explains
factors to consider and to document in FSPs to provide timely access
without reasonable delay.
We appreciate the additional factors supplied by commenters, and
believe that Sec. 105.237(c) already covers most, if not all, of these
factors. We provide the COTP with the authority to review these points
to ensure that the facility is providing timely access to seafarers.
These factors in Sec. 105.237(c) provide a framework for the COTP to
decide, on a case-by-case basis, whether or not the facility is
complying with the mandates of this regulation. Covered individuals may
contact the local COTP or representatives of seafarers' welfare and
labor organizations with any facility access concerns.
(20) The Coast Guard Should Reconsider Where It Intends To Place the
Seafarers' No-Cost Access Requirements in the CFR
One commenter asked why the new section in 33 CFR part 105 is
placed between Sec. Sec. 105.235 and 105.240. This commenter suggested
that the new section be placed in Sec. 105.257, entitled ``Security
Measures for Newly Hired Employees,'' as Sec. 105.257 does not merit
its own standalone section and has caused confusion among facilities.
While we appreciate this commenter's suggestions, we are
implementing section 811 of the CGAA, and changes to 33 CFR 105.257 are
outside the scope of this rule. We will consider whether a future
rulemaking should update, change, or improve regulations at 33 CFR
105.257.
(21) The Proposed Rule Should Clarify ``Shore Leave'' and ``Access'' To
Reduce the Risk of Seafarers' Noncompliance With CBP or Union Rules
One commenter supporting the rule stated that ``shore leave'' and
``access'' should be clarified to reduce the risk of noncompliance with
CBP or union rules.
We believe these terms do not need defining in this rulemaking, as
the rule specifically defines the kinds of access that is required. In
addition, this rule is concerned with providing no-cost shore access
for certain individuals and does not concern shore leave or other terms
that may raise customs and immigration issues. Irrespective of this
rule's mandates and requirements, seafarers are still required to
comply with all CBP rules when arriving in and departing from the
United States.
V. Regulatory Analyses
We developed this final rule after considering numerous statutes
and Executive orders related to rulemaking. Below we summarize our
analyses based on these statutes or Executive orders.
A. Regulatory Planning and Review
Executive Orders 12866 (``Regulatory Planning and Review'') and
13563 (``Improving Regulation and Regulatory Review'') direct agencies
to assess the costs and benefits of available regulatory alternatives
and, if regulation is necessary, to select regulatory approaches that
maximize net benefits (including potential economic, environmental,
public health and safety effects, distributive impacts, and equity).
Executive Order 13563 emphasizes the importance of quantifying both
costs and benefits, of reducing costs, of harmonizing rules, and of
promoting flexibility. Executive Order 13771 (``Reducing Regulation and
Controlling Regulatory Costs''), directs agencies to reduce regulation
and control regulatory costs and provides that ``for every one new
regulation issued, at least two prior regulations be identified for
elimination, and that the cost of planned regulations be prudently
managed and controlled through a budgeting process.''
The Office of Management and Budget (OMB) has not designated this
rule a significant regulatory action under section 3(f) of Executive
Order 12866. Accordingly, OMB has not reviewed it. Because this rule is
not a significant regulatory action, this rule is exempt from the
requirements of Executive Order 13771. See OMB's Memorandum titled
``Guidance Implementing Executive Order 13771, titled `Reducing
Regulation and Controlling Regulatory Costs''' (April 5, 2017).
Table 2 shows the impacts of the final rule by category. A final
Regulatory Assessment is available in the docket, and a summary
follows.
We estimate the total cost to industry and the Government to be
about $53.9 million over a 10-year period of analysis using a 7 percent
discount rate. We estimate the annualized cost to be about $7.7 million
using a 7 percent discount rate. See Table 2.
Table 2--Summary of the Impacts of the Final Rule
------------------------------------------------------------------------
Category Summary
------------------------------------------------------------------------
Applicability..................... Owners or operators of MTSA
facilities regulated by the Coast
Guard are required to implement a
system that provides seafarers with
access between the shore and
vessels moored at the facility.
Affected population............... 2,469 MTSA-regulated facilities will
update FSPs, an additional 420 MTSA-
regulated facilities will update
FSPs and facility operations.
Total costs to industry and 10-Year: $53.9 million.
Government (7% discount rate). Annualized: $7.7 million.
Unquantified benefits............. Provides seafarers and covered
individuals timely access between a
vessel and a MTSA-regulated-
facility gate.
Enhances the safety, health, and
welfare of seafarers, and the
overall quality of life by allowing
seafarers access to fundamental
human services.
Conforms to the intent of the ISPS
Code and IMO's FAL Convention.
Reduces regulatory uncertainty by
harmonizing the Coast Guard's
regulations with Sec. 811 of Public
Law 111-281.
------------------------------------------------------------------------
Affected Population
The Marine Information for Safety and Law Enforcement (MISLE)
system is the Coast Guard's internal database that contains MTSA-
regulated facility population data. According to MISLE information
reviewed in January 2017, there were 2,469 MTSA-regulated facilities in
2016. This number is consistent with facility population data for the
previous 5 years as well; the population number remains around
[[Page 12110]]
2,500 +/- 40 facilities. We anticipate that all 2,469 facilities will
update their FSPs with the system of seafarer access description within
10 months of publication of the final rule. The total implementation
time is 14 months, with Coast Guard COTPs having 4 months to approve
the plans for implementation. Any changes in the following years of
analysis will be accomplished under existing updates to FSPs;
therefore, we account for no marginal change in opportunity cost beyond
the first year of analysis.
Additionally, some facilities will need to modify existing
operations to implement a system of seafarer access. In this analysis,
we refer to this group of facilities as the noncompliant facilities. In
the NPRM, we estimated the rate of noncompliant facilities at 10.3
percent (of the 2,469 total facilities). We estimated this rate using
the SCI's Center for Seafarer's Rights annual survey from the year
2011. We received five individual public comments out of 163 commenters
who suggested the non-compliance rate was higher than 10.3 percent;
however, an alternative compliance rate was not supplied in any of the
public comments. We used facility information mentioned in public
comments, specifically SCI's 2016 report, to calculate the new non-
compliance rate of 17 percent (please see the Coast Guard's explanation
of the use of this rate in the comment response section of this
preamble), which we based on known noncompliant MTSA-regulated
facilities divided by the number of MTSA facilities surveyed by SCI
(35/203). Also, SCI's surveys are more comprehensive than any data on
seafarer access the Coast Guard can obtain. As noted in the Regulatory
History section of this preamble, we reopened the public comment period
for an additional 60 days (80 FR 30189), specifically seeking input on
our estimate of a 10.3 percent noncompliance rate for facilities with
respect to providing seafarers' access. We received no new information
as a result of the reopened comment period.
For the final rule's regulatory impact analysis, we strictly used
data from SCI's 2016 survey. With this survey and through discussion
with the SCI, we calculated a noncompliance rate of 17 percent for the
final rule. At this rate, 420 (0.17 x 2,469, rounded) out of the total
2,469 facilities affected by this rule will need to develop and
implement a system of seafarer access in addition to updating the FSP.
We also calculated operational costs for these 420 facilities.
Costs
There are two cost components in this final rule--administrative
and operational. Prior to the publication of this rule, all MTSA-
regulated facilities described a system of access in the FSP. These
descriptions, however, may not contain all the necessary details
required by this final rule. Therefore, we calculated these
administrative costs for the entire affected population. The total cost
of this provision includes 6 hours of labor at the executive wage rate,
10 minutes of labor at the administrative assistant wage rate, plus 10
cents for stationery:
2,469 population x [(6 hours \3\ x $67.59 wage rate \4\) + (0.17
hours x $40.09 wage rate) + $0.10 stationery)] = $1,018,352. The 420
facilities implementing new seafarer access operations will choose from
the six compliance options provided in section 105.237(d), as listed
below:
---------------------------------------------------------------------------
\3\ In the collection of information (OMB control number 1625-
0077), we estimate that it takes 100 hours to create a new FSP made
up of 18 sections. We estimate that it would take 6 hours (100 hours
/ 18 sections = 5.55 hours) to create a new section in the FSP.
\4\ See Chapter 3.1 of the standalone RA for information
regarding wages.
---------------------------------------------------------------------------
(1) Method 1--Regularly scheduled shuttle service;
(2) Method 2--On-call shuttle service;
(3) Method 3--Taxi service;
(4) Method 4--Arrangements with the seafarers' welfare
organizations;
(5) Method 5--Monitoring of pedestrian routes; or
(6) Method 6--Any other system approved by the COTP.
Any facility implementing a third-party operated system of access,
such as Method 4, will need to designate a supplemental method of
access in case the third-party organization is unavailable or fails to
provide access to seafarers at any time. For the purposes of this
analysis, we assume such facilities will partner with taxi services to
provide this supplemental access. We do not include supplemental
methods of access costs for facilities complying with Method 3, which
will also provide access via a third party (taxi drivers), because we
assume (and calculate costs for) a sufficient number of taxis. We also
do not calculate costs for any facilities complying with this rule
through Method 6. We assume facilities would choose the sixth option
only if that option had a lower cost than the first five options.
Based on information provided by Coast Guard subject matter experts
(SMEs) in the Office of Port and Facility Compliance and on information
from Coast Guard inspectors nationwide, we expect that a small
percentage of facilities are sufficiently large or dangerous enough to
warrant the purchase of a passenger van used solely to provide a
regularly scheduled or on-call gate access service to seafarers.\5\ A
taxi service, alternatively, provides a flexible and relatively cheap
alternative. Some facilities would choose to partner with a seafarers'
welfare organization to provide transit, a presumably cost-free option,
where available, coupled with a taxi service. Based on discussions with
several SMEs with knowledge of port and facility access, most
facilities would choose pedestrian monitoring. Due to current MTSA
regulations most facilities are already equipped with security guards
and monitoring. If facilities choose this method we anticipate an
additional 1 hour of training annually to review security protocol in
the event that a seafarer leaves the designated passageway.
---------------------------------------------------------------------------
\5\ Our MISLE database does not capture the physical size of
MTSA-regulated facilities.
---------------------------------------------------------------------------
Table 3 provides the number of affected facilities and the per-
facility costs based on chosen requirement.
Table 3--Administrative and Operational Costs per Facility
[By method]
----------------------------------------------------------------------------------------------------------------
Annual
recurring Annual Total 10-year
Population Initial cost cost, years 2- recurring undiscounted
5, 7-10 cost, year 6
----------------------------------------------------------------------------------------------------------------
Cost Per Facility (FSP 2,469 $412 $0 $0 $412
Documentation).................
----------------------------------------------------------------------------------------------------------------
[[Page 12111]]
Cost Per Facility Operations
----------------------------------------------------------------------------------------------------------------
Method 1: 24-hour Shuttle 42 99,143 67,583 68,138 707,945
Service........................
Method 2: On-call Shuttle 84 76,615 45,055 45,611 482,666
Service........................
Method 3: Taxi.................. 84 5,897 2,848 2,848 31,529
Method 4: Seafarers' Welfare 42 2,948 1,424 1,424 15,764
Organization...................
Method 5: Monitoring of 168 191 191 191 1,910
Pedestrian Routes..............
----------------------------------------------------------------------------------------------------------------
Table 4 provides the key costs for the methods and an explanation
of changes from the NPRM to the final rule.
Table 4--Key Cost Inputs \6\
----------------------------------------------------------------------------------------------------------------
Input Final rule NPRM Reason for change Source
----------------------------------------------------------------------------------------------------------------
MTSA facility noncompliance 17%.............. 10.3%............ Updated with https://
rate. information from seamenschurch.org/
2016 SCI report. sites/default/files/
sci-shore-leave-
survey-2016.pdf.
Security guard wage........... $20.58........... $19.41........... Updated to 2016 https://www.bls.gov/oes/
wage rates. 2016/may/
oes339032.htm.
Cargo and freight agents wage. $30.63........... $30.81........... Updated to 2016 https://www.bls.gov/oes/
wage rates. 2016/may/
oes435011.htm.
Managers...................... $67.59........... $63.35........... Updated to 2016 https://www.bls.gov/oes/
wage rates. 2016/may/
oes113071.htm.
Administrative assistants..... $40.09........... $35.81........... Updated to 2016 https://www.bls.gov/oes/
wage rates. 2016/may/
oes436011.htm.
Passenger van................. $28,995 to $28,995 to Updated with https://
$33,800. $33,800. current www.chevrolet.com/
information. express/passenger-
van.
https://www.ford.com/trucks/transit-passenger-van-wagon/.
https://www.gmfleet.com/chevrolet/express-passenger-van.html.
https://www.chrysler.com/pacifica.html#app-compare compare.
https://www.nissancommercialvehicles.com/nv-passenger?dcp=psn.58700002307877422&gclid=CPm5ttfug9QCFYFJgQodlkoMmA&gclsrc=ds&dclid=CPOS89fug9QCFcpkwQodGnoAJw GnoAJw.
Cost of gas................... $2.25............ $4.04............ Updated with https://www.eia.gov/
current dnav/pet/
information. PET_PRI_GND_DCUS_NUS_
A.htm.
Average miles per gallon, 13.4............. 13............... Updated with https://
passenger van. current www.fueleconomy.gov/
information. feg/byclass/
Vans__Passenger_Type2
016.shtml.
Driving speed................. 10 mph to 30 mph. 15 mph to 30 mph. Updated with https://www.panynj.gov/
current port/pdf/highway-
information. speed-limits-
2008.pdf.
https://www.fmtcargo.com/terminal_guides/fmt_guide_burns_harbor.pdf.
https://www.fmtcargo.com/terminal_guides/fmt_guide_cleveland.pdf df.
https://www.fmtcargo.com/terminal_guides/fmt_guide_port_manatee.pdf.
https://www.fmtcargo.com/terminal_guides/fmt_guide_lake_charles.pdf.
https://www.fmtcargo.com/terminal_guides/fmt_guide_milwaukee.pdf df.
Driving time, 1 lap........... 0.33 hours....... 0.33 hours....... No change......... ......................
[[Page 12112]]
TWIC.......................... $277.82 or $401.00.......... Updated with https://www.tsa.gov/
$268.04. current for-industry/twic.
information;
created two TWIC
costs: one for
security guards
and one for taxi
drivers,
respectively.
Taxi driver Wage.............. $18.55........... $17.92........... Updated to 2016 https://www.bls.gov/oes/
wage rates. 2016/may/
oes533041.htm.
Miles to enrollment center.... 100 miles........ 100 miles........ No change......... ......................
Average commute speed, mph.... 28.87............ 28.87............ No change......... ......................
----------------------------------------------------------------------------------------------------------------
Table 5 presents the total discounted costs of the final rule to
industry over a 10-year period of analysis.
Table 5--Summary of Costs to Industry 10-year, 7- and 3-Percent Discount Rates
----------------------------------------------------------------------------------------------------------------
Discounted costs
Year Undiscounted -----------------------------------
costs 7% 3%
----------------------------------------------------------------------------------------------------------------
1......................................................... $12,269,354 $11,466,686 $11,911,994
2......................................................... 6,954,316 6,074,169 6,555,110
3......................................................... 6,954,316 5,676,793 6,364,184
4......................................................... 6,954,316 5,305,414 6,178,820
5......................................................... 6,954,316 4,958,331 5,998,854
6......................................................... 7,024,326 4,680,605 5,882,762
7......................................................... 6,954,316 4,330,798 5,654,495
8......................................................... 6,954,316 4,047,475 5,489,801
9......................................................... 6,954,316 3,782,687 5,329,904
10........................................................ 6,954,316 3,535,222 5,174,664
-----------------------------------------------------
Total................................................. 74,928,208 53,858,180 64,540,588
----------------------------------------------------------------------------------------------------------------
Annualized.................................................................. 7,668,193 7,566,126
----------------------------------------------------------------------------------------------------------------
Note: Totals may not sum due to independent rounding.
The Government will incur costs as a result of modifications made
to FSPs by MTSA-regulated facilities personnel in Years 1 and 2 because
the Coast Guard must review and approve the modifications to the FSPs.
As a result, MTSA-regulated facilities with FSPs will have 10 months to
submit their plans to the respective Coast Guard sectors for review and
the sectors will have 4 months to approve the plans for implementation.
We then divide the one-time government cost between Years 1 and 2
equally. Based on information from Coast Guard SMEs, we estimated 30
minutes for an E-4, E-5, or E-6 to review the modified FSP. Using the
average hourly wage rate of the three ranks, we calculate the one-time
cost to review all FSPs as follows:
\6\ We present the mean hourly wage rates as loaded wage rates
in 2016 dollars using 2016 BLS Benefits multiplier: https://www.bls.gov/ncs/ect/sp/ececqrtn.pdf. For more information on wages,
see Chapter 3 of the supporting regulatory analysis in the docket.
---------------------------------------------------------------------------
2,469 FSPs x $51.33 wage rate/hour \7\ x 0.5 hours = $63,367
---------------------------------------------------------------------------
\7\ From the Commandant Instruction 7310.1Q (https://www.uscg.mil/directives/ci/7000-7999/CI_7310_1Q.pdf) for
reimbursable rates, the hourly rates for E-4s, E-5s, and E-6s are
$44, $52, and $58, respectively. These rates result in an average
$51.33 per hour for reviewing the FSPs.
As explained above, we divided the estimated government cost of $63,367
equally between Years 1 and 2, or $31,683.50 in each year (Table 6
below takes into account rounding). Table 6 presents the total
discounted costs to Government and industry over a 10-year period of
analysis. We estimate an annualized cost of the final rule to industry
and government to be about $7.7 million using a 7 percent discount
rate. See table 6.
Table 6--Summary of Costs of the Final Rule to Government and Industry
[7 and 3 percent discount rates]
----------------------------------------------------------------------------------------------------------------
Discounted costs
Year Undiscounted -----------------------------------
costs 7% 3%
----------------------------------------------------------------------------------------------------------------
1......................................................... $12,301,038 $11,496,297 $11,942,755
2......................................................... 6,986,000 6,101,843 6,584,975
3......................................................... 6,954,316 5,676,793 6,364,184
4......................................................... 6,954,316 5,305,414 6,178,820
5......................................................... 6,954,316 4,958,331 5,998,854
6......................................................... 7,024,326 4,680,605 5,882,762
[[Page 12113]]
7......................................................... 6,954,316 4,330,798 5,654,495
8......................................................... 6,954,316 4,047,475 5,489,801
9......................................................... 6,954,316 3,782,687 5,329,904
10........................................................ 6,954,316 3,535,222 5,174,664
-----------------------------------------------------
Total................................................. 74,991,575 53,915,465 64,601,214
----------------------------------------------------------------------------------------------------------------
Annualized.................................................................. 7,676,349 7,573,233
----------------------------------------------------------------------------------------------------------------
Note: Totals may not sum due to independent rounding.
Benefits
The primary benefit of this final rule is to provide seafarers and
covered individuals timely access between a vessel and a MTSA-regulated
facility gate. Other benefits of this final rule include enhancing the
safety, health, and welfare of seafarers, which in turn improves the
overall quality of life for a seafarer. Lastly, the provisions of this
rule align with international conventions and will reduce regulatory
uncertainty. Table 7 presents a summary of the benefits of this final
rule.
Table 7--Summary of Benefits of the Final Rule
------------------------------------------------------------------------
Implications Description of benefits
------------------------------------------------------------------------
Seafarers' Access................. Provides seafarers and covered
individuals timely access between a
vessel and a MTSA-regulated-
facility gate.
Enhances the safety, health, and
welfare of seafarers, and the
overall quality of life by allowing
seafarers access to fundamental
human services.
International Conventions......... Conforms to the intent of the ISPS
Code and IMO's FAL Convention.
Regulatory Uncertainty............ Reduces regulatory uncertainty by
harmonizing the Coast Guard's
regulations with Sec. 811 of Public
Law 111-281.
------------------------------------------------------------------------
The primary benefit of this final rule is to provide seafarers and
covered individuals with access between the vessel and the facility
gate, thereby enhancing their quality of life. Although the Coast Guard
does not collect data on the number of seafarers denied access to MTSA-
regulated facilities, the SCI's Center for Seafarers' Rights issued a
report in 2016 and found through a survey that 29 U.S. ports denied
access through a terminal to about 18.4 percent of seafarers or about
200 (SCI mentioned about 81.6 percent did not have valid visas)
seafarers who possibly had valid visas (as we explain in the supporting
regulatory analysis, SCI presents in its report shore leave for
mariners without valid visas and other reasons are given in its survey
for the denial of shore leave; nevertheless, it is reasonable to assume
that the remaining percentage of denials in the report contains some
number of mariners with valid visas who were denied shore leave).
SCI recently issued reports in 2017 and 2018; the information in
these reports is similar with the 2016 report with 22 and 23 ports
surveyed, respectively. However, these reports, as with the 2015 and
2016 reports, did not specify which facilities were MTSA-regulated or
not, so we assumed the reports included facilities other than the MTSA-
regulated facilities to which the final rule applies (the difference
is, with the 2016 report, we were able to identify, at the time of this
writing, which facilities were MTSA-regulated through correspondence
with SCI in 2016).
As stated above, the 2016 report cites other reasons for access
denial, such as CBP restrictions and vessel operations, which account
for about 4 percent of denials; again, this also includes facilities
that are not MTSA-regulated. This is important because access denials
to seafarers without valid visas would not be counted as part of the
noncompliance rate and are not part of the affected population. Only
mariners with valid visas who were denied port access to MTSA-regulated
facilities are the affected population of this final rule. Non MTSA-
regulated facilities who denied port access to seafarers are not part
of the applicable population of this final rule. Table ES-4 of the
Final Regulatory Analysis and for this final rule lists the website
where a copy of the 2016 SCI report may be viewed. Combined in one
document, the Final Regulatory Analysis and the Final Regulatory
Flexibility Analysis are available in the docket for review.
Generally, transiting through a MTSA-regulated facility is the only
way for seafarers to access shore side businesses and amenities, and to
engage in activities such as doctor visits (which includes obtaining
prescriptions for medications), business visits, and family member and
friend visits, among other things such as enjoying basic leisure time,
that go beyond the confines of a vessel. This, in turn, will enhance
seafarers' overall quality of life by allowing access to fundamental
human services instead of being bound to a vessel while moored at a
MTSA-regulated facility. This final rule provides seafarers and covered
individuals access through MTSA-regulated facilities, and enhances the
safety, health, and welfare of seafarers. This final rule also mandates
that the system of access provide access for representatives of
seafarers' welfare and labor organizations. Individuals and
organizations, who generally can only access vessels moored at a MTSA-
regulated facilities by transiting through the facility, will be able
to provide services for seafarers on board a vessel. For example, this
includes labor organizations, port workers organizations, and port
engineers or superintendents. This also will enhance
[[Page 12114]]
the welfare and overall quality of life for a seafarer, who otherwise
would not have access to shore side facilities while a vessel is moored
at an MTSA-regulated facility.
Another benefit of this final rule is that it will conform to
international conventions, which in turn benefits seafarers. The
provisions of this final rule will align with the intent of the
International Ship and Port Facility Security Code (ISPS), an amendment
to the International Convention on the Safety of Life at Sea (SOLAS)
(1974, 1988), Chapter XI-2 (Special Measures to Enhance Maritime
Security), as entered into force under that chapter. An IMO resolution
adopted the ISPS Code in December 2002 and another resolution included
amendments to Chapter XI of SOLAS and added a new chapter, which is
Chapter XI-2. IMO added amendments in 2016, which became effective
January 1, 2018, to the Convention on Facilitation of International
Maritime Traffic, 1965 as amended (FAL), which added a new provision to
strengthen shore leave for seafarers, in Section 3 of the Annex, part
G.
We believe this is a benefit to seafarers because if the U.S. does
not adhere to these international conventions and denies shore leave to
these individuals, other countries may engage in an act of reciprocity
and deny shore leave to U.S. seafarers abroad. The preamble to ISPS
(paragraph 11), ratified in December 2002, states: ``Recognizing that
the Convention on the Facilitation of Maritime Traffic, 1965, as
amended, provides that foreign crew members shall be allowed ashore by
the public authorities while the ship on which they arrive is in port,
provided that the formalities on arrival of the ship have been
fulfilled and the public authorities have no reason to refuse
permission to come ashore for reasons of public health, public safety
or public order, Contracting Governments when approving ship and port
FSPs should pay due cognizance to the fact that ship's personnel live
and work on the vessel and need shore leave and access to shore based
seafarer welfare facilities, including medical care.''
This rule will also reduce regulatory uncertainty by harmonizing
regulations with Sec. 811 of Public Law 111-281. The benefit to
seafarers is that they will be knowledgeable of the regulations as they
relate to international conventions thereby reducing confusion and
uncertainty among the population.
Alternatives
Below, we summarize our chosen compliance option and four discussed
alternatives. Refer to Chapter 5 of the standalone RA, available in the
docket where indicated under the ADDRESSES portion of this preamble,
for more cost and descriptive information on the alternatives analyzed.
Preferred Alternative
The preferred alternative is to amend Coast Guard regulations to
require that MTSA-regulated facilities implement a system of seafarers'
access and amend their FSPs to document this system. This alternative
was chosen for this final rule because it provides regulatory
flexibility and the least costly options that would comply with the
intent of the statute.
Other Alternatives Considered
Alternative 1--No change to regulations. Instead of amending the
current regulations, COTPs would deny approval of FSPs that do not
adequately address shore leave procedures. While this approach may
address some deficiencies at some facilities, we reject this
alternative because it would not provide clear and consistent
regulatory standards for facilities to implement and COTPs to enforce.
Additionally, the current regulation in 33 CFR 105.200(b)(9) does not
explicitly require facility owners and operators to provide free and
timely access to seafarers. Alternative 1 does not meet the mandate set
in the CGAA, nor would it address the existing access issues. The
benefit of Alternative 1 is that there would be zero incremental cost.
Alternative 2--Require a section of the DoS between the facility
and the vessel to include the facility's seafarers' access procedures.
We reject this alternative due to the heavy burden it would place on
industry. We do not support this alternative because it would not
specifically target noncompliant facilities, but, instead, would
require many facilities and vessels that would not need a DoS to have
one, increasing the collection of information burden. The benefits of
this alternative are the same as the preferred alternative--the
facility would be required to work out a free and timely access plan
with each arriving vessel and include this plan in the vessel's DoS.
Alternative 3--Require facilities to implement specific and
prescriptive procedures for seafarers' access and to include these
procedures in their FSPs. This alternative would require facilities to
implement a prescribed space, infrastructure, or other specific
resource as a system of seafarers' access. We reject this alternative
because it would impose a stricter than necessary operational change on
many facilities. For example, this alternative could mandate that all
facilities provide 24-hour shuttle service to seafarers. This would
increase the total cost burden to industry, and many facilities do not
require shuttle service for timely gate access. The benefits of this
alternative are the same as the preferred alternative.
Alternative 4--Publish guidance to industry clarifying that 33 CFR
105.200(b)(9) affirmatively requires facility owners/operators to
provide shore leave and visitor access. We do not support this
approach. Current regulations in 33 CFR 105.200(b)(9) do not require
facility owners and operators to provide free and timely access to
seafarers. Some facilities deny seafarers access altogether or make
shore access impractical based on misinterpretations of our existing
regulations (i.e., they contend that, since 33 CFR 105.200(b)(9) only
requires coordination of shore leave if there is actual shore leave to
coordinate, if access to shore is denied altogether, there is no shore
leave to coordinate). Further, public comments indicate that, while
some facilities grant seafarers access to and from vessels, they make
it impractical by placing extreme limitations on escort availability or
charging exorbitant fees. Section 811 of the CGAA makes access
mandatory, necessitating an update to our regulations to avoid
regulatory uncertainty.
B. Small Entities
Under the Regulatory Flexibility Act, 5 U.S.C. 601-612, we have
considered whether this rule would have a significant economic impact
on a substantial number of small entities. The term ``small entities''
comprises small businesses, not-for-profit organizations that are
independently owned and operated and are not dominant in their fields,
and governmental jurisdictions with populations of less than 50,000.
Based on our analysis, we have no information or evidence to determine,
which, or how many MTSA-regulated facilities will need to implement a
system of access. Our estimated costs to small entities vary greatly
depending upon whether a facility will only need to modify its FSP or
whether it will have to modify its operations. We detail this analysis
below:
A Final Regulatory Flexibility Analysis (FRFA) discussing the
impact of this final rule on small entities is available in the docket
where indicated under the ADDRESSES portion of the preamble. A summary
of the FRFA follows.
(1) A statement of the need for, and objectives of, the rule:
[[Page 12115]]
Agencies take regulatory action to correct for market failure. This
final rule will ensure that MTSA-regulated facilities do not deny
access or make it impractical for seafarers to obtain shore access. The
rationale given by some facilities for denying such access is based on
a misinterpretation of existing Coast Guard regulations; namely, that
33 CFR 105.200(b)(9) only requires coordination of shore leave if there
is actual shore leave to coordinate, and, if access to shore is denied
altogether, there is no shore leave to coordinate. Some facilities
provide shore access, but make it impractical for seafarers and other
individuals by placing extreme limitations on escort availability or
charging exorbitant fees. Furthermore, possible costs to implement a
system of access should not be borne by those who need access, thereby
providing a disincentive for the facilities to provide such access.
(2) A statement of the significant issues raised by the public
comments in response to the initial regulatory flexibility analysis, a
statement of the assessment of the agency of such issues, and a
statement of any changes made in the final rule as a result of such
comments:
We received five public comments regarding the estimated per-
company cost of implementing this rule. The commenters argued that the
$1,121 cost was too low. The Coast Guard addressed this comment in Part
IV of this preamble.
(3) The response of the agency to any comments filed by the Chief
Counsel for Advocacy of SBA in response to the proposed rule, and a
detailed statement of any change made to the proposed rule in the final
rule as a result of the comments:
The Coast Guard did not receive any comments from the SBA Office of
Advocacy regarding the impact that this rule would have on small
entities.
(4) A description and estimate of the number of small entities to
which the rule will apply or an explanation of why no such estimate is
available:
This rule would affect primarily MTSA-regulated facilities, which
would need to provide seafarers' access if they do not currently
provide this service to seafarers. Based on MISLE data, we estimate
that there are 1,347 owners or operators of 2,469 facilities. Of these
1,347 entities, we estimate that 69 percent of them are small
businesses, as determined by the size standards (or threshold) of the
SBA.\8\ We determined this percentage by researching and compiling the
employee size and revenue data for a random sample of 300 entities, of
which 145 (included in this number are 8 governmental jurisdictions
that we found to be small based on the RFA's definition) were found to
be below the threshold for small entities, and 63 were assumed to be
below the threshold due to lack of available information. In total,
there are 208 (145 + 63) small entities for the purposes of this
analysis).\9\ To estimate the sizes of these entities, we used the
revenue or employee size of these entities from referenceusagov.com and
www.Manta.com for businesses and the most current population
information from the U.S. Census Bureau's website for government
jurisdictions. Based on the information from this analysis, we found
that--
---------------------------------------------------------------------------
\8\ As indicated by either their revenue or personnel data for
businesses.
\9\ The sample size of 300 entities provides a confidence level
at 95 percent and a confidence interval of 5.
---------------------------------------------------------------------------
There are an estimated 1,347 entities that would be
affected by the final rule;
The sample size consists of 300 entities;
There were 10 government entities above the threshold for
being small, and 8 below the threshold, we found revenue information on
all 8 governmental jurisdictions by reviewing their respective annual
reports online and U.S. Census Bureau data for one of them;
There were no nonprofit entities found in the data;
There were 92 businesses considered above the threshold
for being small, and 145 below the threshold; and
Size information was not found for the remaining 63
entities, so they were considered small.
The SBA provides business size standards for all sectors, defined
as the North American Industry Classification System (NAICS). We use
these codes to assess the effect that this final rule will have on
these sectors. Table 8 provides a list of the most prevalent NAICS
codes and their description and size standards.
Table 8--Breakdown of Industries by NAICS Codes
------------------------------------------------------------------------
SBA size SBA size
NAICS Industry threshold standard type
------------------------------------------------------------------------
324110......... Petroleum Refineries. 1,500 Employees.
488320......... Marine Cargo Handling $38.5 Revenue in
millions.
221122......... Electric Power 1,000 Employees.
Distribution.
424720......... Petroleum and 200 Employees.
Petroleum Products
Merchant Wholesalers
(except Bulk
Stations and
Terminals).
325998......... All Other 500 Employees.
Miscellaneous
Chemical Product and
Preparation
Manufacturing.
483212......... Inland Water 500 Employees.
Passenger
Transportation.
336611......... Ship Building and 1,250 Employees.
Repairing.
423990......... Other Miscellaneous 100 Employees.
Durable Goods
Merchant Wholesalers.
424690......... Other Chemical and 150 Employees.
Allied Products
Merchant Wholesalers.
561510......... Travel Agencies...... $20.5 Revenue in
millions.
713930......... Marinas.............. $7.5 Revenue in
millions.
------------------------------------------------------------------------
Revenue Impact on Entities
To estimate how this final rule would affect entities that fall
under the SBA and U.S. Census Bureau for small entities, we calculated
the per-facility cost based on each method of access. Facilities that
only need to modify their FSP would only be affected by the one-time
FSP cost. Those that need to modify operations would be affected by the
FSP cost and the weighted average of the transportation costs. Table 9
provides the range in per-facility costs.
[[Page 12116]]
Table 9--Per Facility Cost by Mode of Transportation
----------------------------------------------------------------------------------------------------------------
Annual Annual
recurring recurring
Cost description Initial cost cost, years 2- cost, year 6
5, 7-10 \10\
----------------------------------------------------------------------------------------------------------------
Cost Per Facility (FSP Documentation)........................... $412 $0 $0
----------------------------------------------------------------------------------------------------------------
Cost Per Facility, Operations
----------------------------------------------------------------------------------------------------------------
Method 1: Regularly scheduled escort............................ 99,143 67,583 68,138
Method 2: On-call escort........................................ 76,615 45,055 45,611
Method 3: Taxi.................................................. 5,897 2,848 2,848
Method 4: Seafarers' welfare organizations with supplemental 2,948 1,424 1,424
taxis..........................................................
Method 5: Visual/equipment monitoring........................... 191 191 191
----------------------------------------------------------------------------------------------------------------
For facilities that will only need to document a system of access
in the FSP, we estimate that this final rule will not have a
significant impact on a substantial number of small entities; i.e., the
cost to modify the FSP, $412, is less than 1 percent of annual revenue
for all sampled small entities that were reviewed. For facilities that
have to modify operations and document the new system of access in
their FSPs, this final rule may have a significant impact on a
substantial number of small entities. Because we have no way to
determine which facilities (and, therefore, which entities) will need
to implement a system of access, we performed two analyses.
---------------------------------------------------------------------------
\10\ Year 6 has a slightly higher average cost because those
complying with Method 1 and Method 2 will need to renew TWIC cards
for security guards.
---------------------------------------------------------------------------
We have revenue information for 145 of the estimated 208 small
entities including 8 small governmental jurisdictions (these revenue
data include taxes and other revenues as reported in the jurisdictions'
annual reports, which is publicly available information, in addition to
data from the U.S. Census Bureau for one of them).
Three NAICS codes represent these 8 governmental jurisdictions with
two governmental jurisdictions having a NAICS code of 921110 (Executive
Offices), three of them having a NAICS code of 921120 (Legislative
Bodies), and the remaining three having a NAICS code of 926120
(Regulation and Administration of Transportation Programs).
Using this revenue information, we determined that the cost of both
modifying operations and documenting the new system of access in the
FSP is: (1) Less than 1 percent of annual revenue for 66 percent of
affected facilities; (2) between 1 and 3 percent of annual revenue for
14 percent of facilities; (3) between 3 and 5 percent of annual revenue
for 5 percent of facilities; and (4) greater than 5 percent of annual
revenue for 15 percent of facilities. Seven of the 8 governmental
jurisdictions fell into the less than 1 percent impact category and the
eighth jurisdiction fell into the greater than 5 percent impact
category. Table 10 displays this data, as well as the impacts of annual
recurring costs.
Table 10--Estimated Revenue Impact of the Final Rule, Weighted Average Cost
----------------------------------------------------------------------------------------------------------------
Annual
Initial recurring Annual
Revenue impact implementation costs, years 2- recurring
cost 5, 7-10 costs, year 6
----------------------------------------------------------------------------------------------------------------
FSP Only Cost
----------------------------------------------------------------------------------------------------------------
Cost to Modify FSP.............................................. $412 $0 $0
----------------------------------------------------------------------------------------------------------------
0% < Impact <= 1%............................................... 100% .............. ..............
FSP Plus Access Implementation
----------------------------------------------------------------------------------------------------------------
Per facility cost (weighted average)............................ $27,200 $16,558 $16,724
0% < Impact <= 1%............................................... 66% 73% 73
1% < Impact <= 3%............................................... 14% 11% 11
3% < Impact <= 5%............................................... 5% 6% 6
5% < Impact <= 10%.............................................. 10% 7% 7
Above 10%....................................................... 5% 3% 3
----------------------------------------------------------------------------------------------------------------
Additionally, we calculated the estimated revenue impacts of this
final rule based on the average annual cost per compliance method over
the 10-year period of analysis. Table 11 displays the results of this
analysis. The average annual costs of Methods 3, 4, and 5 are less than
1 percent of annual revenue for 100 percent of the identified small
businesses. Method 1 has the highest average annual cost per facility.
This cost is less than 1 percent of annual revenue for about 50 percent
of the identified small entities, and above 10 percent of annual
revenue for 18 percent of the identified small entities.
[[Page 12117]]
Table 11--Estimated Revenue Impact of Final Rule, Average Annual Cost per Method
----------------------------------------------------------------------------------------------------------------
Compliance method Method 1 Method 2 Method 3 Method 4 Method 5
----------------------------------------------------------------------------------------------------------------
Weighted Average Annual Cost.... $70,795 $48,267 $3,153 $1,576 $191
----------------------------------------------------------------------------------------------------------------
Cost Per Facility, Operations
----------------------------------------------------------------------------------------------------------------
0% < Impact <= 1%............... 50% 54% 100% 100% 100%
1% < Impact <= 3%............... 19% 17% 0% 0% 0
3% < Impact <= 5%............... 9% 6% 0% 0% 0
5% < Impact <= 10%.............. 5% 7% 0% 0% 0
Above 10%....................... 18% 13% 0% 0% 0
----------------------------------------------------------------------------------------------------------------
(5) A description of the projected reporting, recordkeeping, and
other compliance requirements of the rule, including an estimate of the
classes of small entities which will be subject to the requirement and
the type of professional skills necessary for preparation of the report
or record:
This final rule adds information to an existing collection of
information. We anticipate that all MTSA-regulated facilities will need
to add additional security information to their FSPs, for a total cost
of $412 per facility. These FSPs will be updated by the Facility
Security Officer (FSO). The FSO will need to know the security protocol
regarding each facility and describe the information required in this
rule in order to comply with the recordkeeping requirement of this
rule. We anticipate that this recordkeeping requirement will not have a
significant impact on any small entities, i.e., the $412 recordkeeping
cost is less than 1 percent of revenue for all sampled small entities.
(6) A description of the steps the agency has taken to minimize the
significant economic impact on small entities consistent with the
stated objectives of applicable statues, including a statement of the
factual, policy, and legal reasons for selecting the alternative
adopted in the final rule and why each one of the other significant
alternatives to the rule considered by the agency which affect the
impact on small entities was rejected:
We considered other alternatives in this final rule. Those
alternatives include no regulatory changes, requiring changes to the
DoS rather than to the FSP, and outlining more prescriptive measures.
We rejected each alternative, because making no regulatory changes
would not fulfill our mandate, changing the DoS would not specifically
target noncompliant facilities, and making more prescriptive measures
would not provide as much regulatory flexibility.
In addition, public comments suggested that requiring escorting for
a list of individuals would pose security problems and become too
costly to implement. This rule narrows the list of acceptable
individuals to seafarers, pilots, and welfare organizations, reducing
the scope of individuals who will be allowed to be escorted through the
facility to those people and groups specifically required by the Act.
The Coast Guard will not retaliate against small entities that
question or complain about this rule or any policy or action of the
Coast Guard.
C. Assistance for Small Entities
Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996, Public Law 104-121, we offer to assist small
entities in understanding this rule so that they can better evaluate
its effects on them and participate in the rulemaking. The Coast Guard
will not retaliate against small entities that question or complain
about this rule or any policy or action of the Coast Guard.
Small businesses may send comments on the actions of Federal
employees who enforce, or otherwise determine compliance with, Federal
regulations to the Small Business and Agriculture Regulatory
Enforcement Ombudsman and the Regional Small Business Regulatory
Fairness Boards. The Ombudsman evaluates these actions annually and
rates each agency's responsiveness to small business. If you wish to
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR
(1-888-734-3247).
D. Collection of Information
This rule calls for a collection of information under the Paperwork
Reduction Act of 1995, 44 U.S.C. 3501-3520. As defined in 5 CFR
1320.3(c), ``collection of information'' comprises reporting,
recordkeeping, monitoring, posting, labeling, and other, similar
actions. The title and description of the information collection, a
description of those who must collect the information, and an estimate
of the total annual burden follow. The estimate covers the time for
reviewing instructions, searching existing sources of data, gathering
and maintaining the data needed, and completing and reviewing the
collection. Under the provisions of this final rule, the affected
facilities and vessels are required to update their FSPs to include
provisions for seafarers' access. This requirement would amend an
existing collection of information by increasing the number of
instances requiring information to be collected under OMB control
number 1625-0077.
Title: Security Plans for Ports, Vessels, Facilities, and Outer
Continental Shelf Facilities and other Security-Related Requirements.
OMB Control Number: 1625-0077.
Summary of the Collection of Information: This final rule modifies
an existing collection of information for facility owners and operators
of MTSA-regulated facilities. MTSA-regulated facilities are required to
include a description of a system for seafarer access in their FSPs.
This rule requires a one-time change in previously approved OMB
Collection 1625-0077.
Final Use of Information: The Coast Guard will use this information
to determine whether a facility is providing adequate seafarer access
and complying with the provisions of the final rule.
Description of the Respondents: The respondents are owners of MTSA-
regulated facilities regulated by the Coast Guard under 33 CFR chapter
I, subchapter H.
Number of Respondents: We estimate that 2,469 MTSA-regulated
facilities with FSPs will be required to modify their existing FSP.
Frequency of Response: There will be a one-time response for all
2,469 respondents. The FSP would need to be updated within 10 months of
the publication of the final rule.
Burden of Response: The burden resulting from this final rule is 6
hours per respondent in the initial year.
Estimate of Total Annual Burden: The estimated implementation
period burden for facilities is 6 hours per FSP amendment. Since there
are 2,469 MTSA facilities that are required to
[[Page 12118]]
modify their existing FSP, with the inclusion of administrative time of
about 420 hours, the total burden is 15,234 hours [(2,469 facilities x
6 hours) + (2,469 facilities x 0.17 administrative hours)]. The current
burden listed in this collection of information is 1,108,043. The new
burden, as a result of this final rulemaking, is 1,123,277 (1,108,043 +
15,234).
As required by the Paperwork Reduction Act of 1995 (44 U.S.C.
3507(d)), we have submitted a copy of this final rule to OMB for its
review of the collection of information. You are not required to
respond to a collection of information unless it displays a currently
valid control number from OMB. Before the requirements for this
collection of information become effective, we will publish a notice in
the Federal Register of OMB's decision to approve, modify, or
disapprove the final collection.
E. Federalism
A rule has implications for federalism under Executive Order 13132
(``Federalism'') if it has a substantial direct effect on the States,
on the relationship between the national government and the States, or
on the distribution of power and responsibilities among the various
levels of government. We have analyzed this rule under Executive Order
13132 and have determined that it is consistent with the fundamental
federalism principles and preemption requirements described in
Executive Order 13132. Our analysis follows.
This rule would update existing regulations in 33 CFR part 105 by
requiring each owner or operator of a facility regulated by the Coast
Guard to implement a system that provides seafarers and other covered
individuals with access through the facility at no cost to the
seafarer. Additionally, this rule requires facilities to amend facility
security plans in order to ensure compliance.
It is well-settled that States may not regulate in categories
reserved for regulation by the Coast Guard. (See the decision of the
Supreme Court in the consolidated cases of United States v. Locke and
Intertanko v. Locke, 529 U.S. 89, 120 S.Ct. 1135 (2000)). The Coast
Guard believes the federalism principles articulated in Locke apply to
the regulations promulgated under the authority of the Maritime
Transportation Security Act. States and local governments are
foreclosed from regulating within the fields covered by regulations
found in 33 CFR parts 101, 103, 104, and 106. However, with regard to
regulations found in 33 CFR part 105, State maritime facility
regulations are not preempted so long as these State laws or
regulations are more stringent than what is required by 33 CFR part 105
and no actual conflict or frustration of an overriding need for
national uniformity exists. Therefore, the rule is consistent with the
principles of federalism and preemption requirements in Executive Order
13132.
F. Unfunded Mandates Reform Act
The Unfunded Mandates Reform Act of 1995, 2 U.S.C. 1531-1538,
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 (adjusted for
inflation) or more in any one year. Although this rule will not result
in such an expenditure, we do discuss the effects of this rule
elsewhere in this preamble.
G. Taking of Private Property
This rule will not cause a taking of private property or otherwise
have taking implications under Executive Order 12630 (``Governmental
Actions and Interference with Constitutionally Protected Property
Rights'').
H. Civil Justice Reform
This rule meets applicable standards in sections 3(a) and 3(b)(2)
of Executive Order 12988 (``Civil Justice Reform''), to minimize
litigation, eliminate ambiguity, and reduce burden.
I. Protection of Children
We have analyzed this rule under Executive Order 13045
(``Protection of Children from Environmental Health Risks and Safety
Risks''). This rule is not an economically significant rule and would
not create an environmental risk to health or risk to safety that might
disproportionately affect children.
J. Indian Tribal Governments
This rule does not have tribal implications under Executive Order
13175 (``Consultation and Coordination with Indian Tribal
Governments''), because it would not have a substantial direct effect
on one or more Indian tribes, on the relationship between the Federal
Government and Indian tribes, or on the distribution of power and
responsibilities between the Federal Government and Indian tribes.
K. Energy Effects
We have analyzed this rule under Executive Order 13211 (``Actions
Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use''). We have determined that it is not a
``significant energy action'' under that order because it is not a
``significant regulatory action'' under Executive Order 12866 and is
not likely to have a significant adverse effect on the supply,
distribution, or use of energy.
L. Technical Standards
The National Technology Transfer and Advancement Act, codified as a
note to 15 U.S.C. 272, directs agencies to use voluntary consensus
standards in their regulatory activities unless the agency provides
Congress, through OMB, with an explanation of why using these standards
would be inconsistent with applicable law or otherwise impractical.
Voluntary consensus standards are technical standards (e.g.,
specifications of materials, performance, design, or operation; test
methods; sampling procedures; and related management systems practices)
that are developed or adopted by voluntary consensus standards bodies.
This rule does not use technical standards. Therefore, we did not
consider the use of voluntary consensus standards.
M. Environment
We have analyzed this rule under Department of Homeland Security
Management Directive 023-01 and Commandant Instruction M16475.lD, which
guide the Coast Guard in complying with the National Environmental
Policy Act of 1969 (42 U.S.C. 4321-4370f), and have concluded that this
action is one of a category of actions that do not individually or
cumulatively have a significant effect on the human environment. A
final Record of Environmental Consideration (REC) supporting this
determination is available in the docket where indicated in the
ADDRESSES section of this preamble. This final rule involves providing
access for seafarers to maritime facilities. Therefore, this rule is
categorically excluded under paragraph L54 and paragraph L56 of
Appendix A, Table 1 of DHS Instruction Manual 023-01-001-01, Rev. 01.
Paragraph L54 pertains to regulations which are editorial or
procedural. Paragraph L56 pertains to regulations concerning the
training, qualifying, licensing, and disciplining of maritime
personnel.
List of Subjects in 33 CFR Part 105
Maritime security, Reporting and recordkeeping requirements,
Security measures.
For the reasons discussed in the preamble, the Coast Guard amends
33 CFR part 105 as follows:
[[Page 12119]]
33 CFR--Navigation and Navigable Waters
PART 105--MARITIME SECURITY: FACILITIES
0
1. The authority citation for part 105 is revised to read as follows:
Authority: 33 U.S.C. 1226, 1231; 46 U.S.C. 70103; 50 U.S.C.
191; Sec. 811, Pub. L. 111-281, 124 Stat. 2905; 33 CFR 1.05-1, 6.04-
11, 6.14, 6.16, and 6.19; Department of Homeland Security Delegation
No. 0170.1.
Sec. 105.200 [Amended]
0
2. Amend Sec. 105.200 as follows:
0
a. In paragraph (b)(1), remove the words ``security organizational
structure'' and add in their place the words ``organizational structure
of the security personnel'' and remove the words ``within that
structure'';
0
b. In paragraph (b)(4), remove the text ``an FSP'' and add in its place
the text ``a Facility Security Plan (FSP)'';
0
c. In paragraph (b)(6) introductory text, remove the acronym ``TWIC''
and add in its place the words ``Transportation Worker Identification
Credential (TWIC)'';
0
d. In paragraph (b)(6)(i), after the words ``FSP are permitted to'' add
the words ``serve as an'';
0
e. In paragraph (b)(6)(ii), remove the word ``should'' and add in its
place the words ``in the event that'';
0
f. In paragraph (b)(6)(iii), remove the word ``what'', and add in its
place the word ``which'' and after the words ``are secure areas and''
add the words ``which are'';
0
g. In paragraph (b)(9), remove the text ``coordination of'' and add in
its place the text ``implementation of a system, in accordance with
Sec. 105.237, coordinating'' and remove the text ``(including
representatives of seafarers' welfare and labor organizations)'' and
add in its place the text ``, as described in Sec. 105.237(b)(3)'';
and
0
h. In paragraph (b)(14), remove the text ``TSA'' and add in its place
the text ``Transportation Security Administration (TSA)''.
0
3. Add Sec. 105.237 to read as follows:
Sec. 105.237 System for seafarers' access.
(a) Access required. Each facility owner or operator must implement
a system by June 1, 2020 for providing access through the facility that
enables individuals to transit to and from a vessel moored at the
facility and the facility gate in accordance with the requirements in
this section. The system must provide timely access as described in
paragraph (c) of this section and incorporate the access methods
described in paragraph (d) of this section at no cost to the
individuals covered. The system must comply with the Transportation
Worker Identification Credential (TWIC) provisions in this part.
(b) Individuals covered. The individuals to whom the facility owner
or operator must provide the access described in this section include--
(1) Seafarers assigned to a vessel at that facility;
(2) Pilots; and
(3) Representatives of seafarers' welfare and labor organizations.
(c) Timely access. The facility owner or operator must provide the
access described in this section without unreasonable delay, subject to
review by the Captain of the Port (COTP). The facility owner or
operator must consider the following when establishing timely access
without unreasonable delay:
(1) Length of time the vessel is in port.
(2) Distance of egress/ingress between the vessel and facility
gate.
(3) The vessel watch schedules.
(4) The facility's safety and security procedures as required by
law.
(5) Any other factors specific to the vessel or facility that could
affect access to and from the vessel.
(d) Access methods. The facility owner or operator must ensure that
the access described in this section is provided through one or more of
the following methods:
(1) Regularly scheduled escort between the vessel and the facility
gate that conforms to the vessel's watch schedule as agreed upon
between the vessel and facility.
(2) An on-call escort between the vessel and the facility gate.
(3) Arrangements with taxi services or other transportation
services, ensuring that any costs for providing the access described in
this section, above the service's standard fees charged to any
customer, are not charged to the individual to whom such access is
provided. If a facility provides arrangements with taxi services or
other transportation services as the only method for providing the
access described in this section, the facility is responsible to pay
any fees for transit within the facility.
(4) Arrangements with seafarers' welfare organizations to
facilitate the access described in this section.
(5) Monitored pedestrian access routes between the vessel and
facility gate.
(6) A method, other than those in paragraphs (d)(1) through (5) of
this section, approved by the COTP.
(7) If an access method relies on a third party, a back-up access
method that will be used if the third party is unable to or does not
provide the required access in any instance. An owner or operator must
ensure that the access required in paragraph (a) of this section is
actually provided in all instances.
(e) No cost to individuals. The facility owner or operator must
provide the access described in this section at no cost to the
individual to whom such access is provided.
(f) Described in the Facility Security Plan (FSP). On or before
February 3, 2020, the facility owner or operator must document the
facility's system for providing the access described in this section in
the approved FSP in accordance with Sec. 105.410 or Sec. 105.415. The
description of the facility's system must include--
(1) Location of transit area(s) used for providing the access
described in this section;
(2) Duties and number of facility personnel assigned to each duty
associated with providing the access described in this section;
(3) Methods of escorting and/or monitoring individuals transiting
through the facility;
(4) Agreements or arrangements between the facility and private
parties, nonprofit organizations, or other parties, to facilitate the
access described in this section; and
(5) Maximum length of time an individual would wait for the access
described in this section, based on the provided access method(s).
0
4. Amend Sec. 105.405 as follows:
0
a. In paragraph (a)(18), remove the text ``part 105; and,'' and add in
its place ``this part;'';
0
b. In paragraph (a)(21), remove the period at the end of the paragraph
and add in its place ``; and''; and
0
c. Add paragraph (a)(22).
The addition reads as follows:
Sec. 105.405 Format and content of the Facility Security Plan (FSP).
(a) * * *
(22) System for seafarers' access.
* * * * *
Dated: March 27, 2019.
Jennifer F. Williams,
Captain, U. S. Coast Guard, Director of Inspections and Compliance.
[FR Doc. 2019-06272 Filed 3-29-19; 8:45 am]
BILLING CODE 9110-04-P