Automatic Identification System; Vessel Carriage Requirement

Note: EPA no longer updates this information, but it may be useful as a reference or resource.

[Federal Register: July 1, 2003 (Volume 68, Number 126)]
[Rules and Regulations]
[Page 39353-39368]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr01jy03-19]

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DEPARTMENT OF HOMELAND SECURITY
Coast Guard
33 CFR Parts 26, 161, 164, and 165
[USCG-2003-14757]
RIN 1625-AA67

AGENCY: Coast Guard, DHS.
ACTION: Temporary interim rule with request for comments and notice of
meeting.

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SUMMARY: The Coast Guard is amending port and waterway regulations to
reflect vessel carriage requirements and establish technical and
performance standards for an Automatic Identification System (AIS).
This interim rule will implement the AIS carriage requirements of the
Maritime Transportation Security Act of 2002 (MTSA) and the
International Maritime Organization requirements adopted under
International Convention for the Safety of Life at Sea, 1974, (SOLAS)
as amended. The changes will require AIS on all vessels subject to
SOLAS, Vessel Traffic Service Users and certain other commercial
vessels. The rule will facilitate vessel-to-vessel and vessel-to-shore
communications; it will enhance good order and predictability on the
waterways, promote safe navigation; and contribute to maritime domain
awareness to protect the security of our nation's ports and waterways.
This rule is one of six interim rules in today's Federal Register
addressing the requirements for maritime security mandated by the MTSA.
These six interim rules implement national maritime security
initiatives concerning general provisions, Area Maritime Security
(ports), vessels, facilities, Outer Continental Shelf facilities, and
the Automatic Identification System. They align domestic maritime
security requirements with those of the International Ship and Port
Facility Security Code and recent amendments to SOLAS. This rule will
benefit persons and property by requiring that certain vessels carry
AIS to increase maritime domain awareness and help detect, and respond
to unlawful acts that threaten vessels. To best understand these
interim rules, first read the one titled ``Implementation of National
Maritime Security Initiatives.'' (See USCG-2003-14792).
In view of the benefit-cost ratio presented herein, the Coast Guard
will share with Congress any significant information provided by the
public that addresses the reasonableness of implementing the statute.

DATES: Effective date. This interim rule is effective July 1, 2003. The
Coast Guard intends to finalize this rule by November 25, 2003.
Material incorporated by reference was approved by the Director of the
Federal Register as of July 1, 2003.
Comments. Comments and related material must reach the Docket
Management Facility on or before July 31, 2003.
Meeting. A public meeting will be held on July 23, 2003 from 9 a.m.
to 5 p.m., in Washington, DC.

ADDRESSES: Comments. To ensure your comments and related material are
not entered more than once in the docket, please submit them by only
one of the following means:
(1) Electronically to the Docket Management System at
http://dms.dot.gov.
(2) By mail to the Docket Management Facility (USCG-2003-14757) at
the U.S. Department of Transportation, room PL-401, 400 Seventh Street
SW., Washington, DC 20590-0001.
(3) By fax to the Docket Management Facility at 202-493-2251.
(4) By delivery to room PL-401 on the Plaza level of the Nassif
Building, 400 Seventh Street SW., Washington, DC between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays. The telephone
number is 202-366-9329.

[[Page 39354]]

Meeting. A public meeting will be held on July 23, 2003 in
Washington, DC at the Grand Hyatt Washington, DC, 1000 H Street, NW.,
Washington, DC 20001.
Availability. You may inspect the material incorporated by
reference at room 1409, U.S. Coast Guard Headquarters, 2100 Second
Street SW., Washington, DC 20593-0001 between 8:30 a.m. and 3:30 p.m.,
Monday through Friday, except Federal holidays. The telephone number is
202-267-6277. Copies of the material are available as indicated in the
``Incorporation by Reference'' section of this preamble.

FOR FURTHER INFORMATION CONTACT: If you have questions on this interim
rule, contact Mr. Jorge Arroyo, Office of Vessel Traffic Management (G-
MWV), Coast Guard by telephone 202-267-1103, toll-free telephone 1-800-
842-8740 ext. 7-1103, or electronic mail msregs@comdt.uscg.mil. For
questions on viewing or submitting material to the docket, call Ms.
Dorothy Beard, Chief, Dockets, Department of Transportation, at 202-
366-5149.

SUPPLEMENTARY INFORMATION: Due to the short timeframe given to
implement these National Maritime Transportation Security initiatives,
as directed by the Maritime Transportation Security Act (MTSA) of 2002
(MTSA, Pub. L. 107-295, 116 STAT. 2064), and to ensure all comments are
in the public venue for these important rulemakings, we are not
accepting comments containing protected information for these interim
rules. We request you submit comments, as explained in the Request for
Comments section below, and discuss your concerns or support in a
manner that is not security sensitive. We also request that you not
submit proprietary information as part of your comment.
The Docket Management Facility maintains the public docket for this
rulemaking. Comments and material received from the public, as well as
documents mentioned in this preamble as being available in the docket,
will be available for inspection or copying at room PL-401 on the Plaza
level of the Nassif Building, 400 Seventh Street SW., Washington, DC,
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. You may also find this docket on the Internet at
http://dms.dot.gov.
Electronic forms of all comments received into any of our dockets
can be searched by the name of the individual submitting the comment
(or signing the comment, if submitted on behalf of an association,
business, labor unit, etc.) and is open to the public without
restriction. You may also review the Department of Transportation's
complete Privacy Act Statement published in the Federal Register on
April 11, 2000 (65 FR 19477-78), or you may visit
http://dms.dot.gov/.

Request for Comments

We encourage you to participate in this rulemaking by submitting
comments and related material. Your comments will be considered for the
final rule we plan to issue before November 25, 2003, to replace this
interim rule. If you choose to comment on this rulemaking, please
include your name and address, identify the specific docket number for
this interim rule (USCG-2003-14757), indicate the specific heading of
this document to which each comment applies, and give the reason for
each comment. If you have comments on another rule please submit those
comments in a separate letter to the docket for that rulemaking. You
may submit your comments and material by mail, hand delivery, fax, or
electronic means to the Docket Management Facility at the address under
ADDRESSES; but please submit your comments and material by only one
means. If you submit them by mail or hand delivery, submit them in an
unbound format, no larger than 8\1/2\ by 11 inches, suitable for
copying and electronic filing. If you submit them by mail and would
like to know that they reached the Facility, please enclose a stamped,
self-addressed postcard or envelope. We will consider all comments and
material received during the comment period, and we may amend this rule
and the final rule that replaces it in view of them.
Note, matters pertaining to AIS licensing, equipment certification,
and frequencies are subject to Federal Communications Commission
regulations and are not addressed in this rule, see FCC Public Notice
DA 02-1362 in the docket for further information.

Public Meeting

We will hold a public meeting on July 23, 2003, in Washington, DC
at the Grand Hyatt Hotel, at the address listed under ADDRESSES. The
meeting will be from 9 a.m. to 5 p.m. to discuss this Automatic
Identification System (AIS) rulemaking in addition to the other five
maritime security rulemakings, found elsewhere in today's Federal
Register. In addition, you may submit a request for other public
meetings to the Docket Management Facility at the address under
ADDRESSES explaining why another one would be beneficial. If we
determine that other meetings would aid this rulemaking, we will hold
them at a time and place announced by a later notice in the Federal
Register.

Regulatory Information

We did not publish a notice of proposed rulemaking for this
rulemaking and are making this interim rule effective upon publication.
Section 102(d)(1) of the Maritime Transportation Security Act of 2002
(MTSA, Public Law 107-295, 116 Stat. 2064) requires the publication of
an interim rule as soon as practicable without regard to the provisions
of chapter 5 of title 5, U.S. Code (Administrative Procedure Act). The
Coast Guard finds that harmonization of U.S. regulations with maritime
security measures adopted by the International Maritime Organization
(IMO) in December 2002, and the need to institute measures for the
protection of U.S. maritime security as soon as practicable, furnish
good cause for this interim rule to take effect immediately under both
the Administrative Procedure Act and section 808 of the Congressional
Review Act.

Recently Enacted Legislation

The provisions set forth in this rulemaking and the associated
regulatory assessment take into account: (1) The recently enacted MTSA,
which requires an AIS on most commercial vessels on all navigable
waters, and (2) the International Convention for the Safety of Life at
Sea, 1974, (SOLAS) amendments from the December 2002 International
Maritime Organization (IMO) Diplomatic Conference. This rule will amend
AIS standards to those adopted by the IMO and SOLAS and defined in the
International Telecommunication Union Radiocommunication Bureau (ITU-R)
Recommendation ITU-R M.1371-1 and International Electrotechnical
Commission (IEC) IEC 61993-2.
The recent SOLAS AIS amendments accelerate the implementation
schedule, as discussed below under ``Background and Purpose-
Acceleration of SOLAS AIS Implementation.'' Copies of the MTSA and the
SOLAS AIS amendments are available in the docket as indicated under
ADDRESSES.

Public Meetings for Rulemakings Related to Vessel Traffic Service

The Coast Guard held a public meeting on October 28, 1998, in New
Orleans, Louisiana. The meeting was announced in a notice published in
the Federal Register on September 18, 1998 (63 FR 49939). This meeting
gave the Coast Guard the opportunity to discuss the Vessel Traffic
Service (VTS) concept on the Lower Mississippi River and the envisioned
use of automatic

[[Page 39355]]

identification system technology in the VTS. At this 1998 meeting, we
reported the preliminary results of tests conducted on the Lower
Mississippi River using precursor AIS. The proposed VTS on the Lower
Mississippi River is not discussed in this rulemaking because it is the
subject of a separate rulemaking titled ``Vessel Traffic Service Lower
Mississippi River'' (65 FR 24616, April 26, 2000; docket [USCG-1998-
4399]). We copied those comments regarding the AIS that were submitted
to the VTS Lower Mississippi River docket and have placed those copies
in the docket for this interim rule. However, most of those comments
are not addressed herein either because they are no longer applicable
or because they address a previous version of AIS and not the version
required by this interim rule. We encourage all those who commented
previously on this rulemaking to comment on the new provisions set
forth in this rule. We will address those comments along with all other
comments submitted in direct response to this interim rule in the final
rule.
Over the past few years, the Coast Guard has made AIS presentations
at various public forums including Federal advisory committee meetings
(Towing Safety Advisory Committee, National Offshore Safety Advisory
Committee, Houston-Galveston Navigation Safety Advisory Committee and
Navigation Safety Advisory Council). Moreover, the AIS-based Ports and
Waterways Safety System project being installed at the VTS Lower
Mississippi River is regularly discussed at the Lower Mississippi River
Waterway Safety Advisory Committee meetings.
The Houston-Galveston Navigation Safety Advisory Committee and
Lower Mississippi River Waterway Safety Advisory Committee are
Federally chartered advisory committees charged with making
recommendations to the Coast Guard on matters relating to the safe and
efficient transit of vessels on their respective waterways. These open
forums have afforded the public, particularly those in the Gulf of
Mexico and Mississippi River areas, the opportunity to comment on both
VTS Lower Mississippi River and AIS issues. The public's input will be
taken into account throughout this rulemaking. Elsewhere in today's
Federal Register, we have published a notice requesting comments on AIS
carriage for vessels outside VTS and Vessel Movement Reporting System
(VMRS) areas that are not on an international voyage (See USCG-2003-
14878).

Background and Purpose

Section 5004 of the Oil Pollution Act of 1990, as codified in 33
U.S.C. 2734, directed the Coast Guard to operate additional equipment,
as necessary, to provide surveillance of tank vessels transiting Prince
William Sound, Alaska. We have done so since 1994 through a system then
known as ``Automated Dependent Surveillance.'' Advances have taken
place with this technology, now referred to as the AIS. Section 102 of
the MTSA mandates that AIS be installed and operating on most
commercial and passenger vessels on all navigable waters of the United
States.
The version of AIS required by this interim rule automatically
broadcasts vessel and voyage-related information that is received by
other AIS-equipped ships and shore stations. In the ship-to-shore mode,
AIS enhances maritime domain awareness and allows for the efficient
exchange of vessel traffic information that previously was only
available via voice communications with a VTS. In ship-to-ship mode, an
AIS provides essential information to other vessels, such as name,
position, course, and speed that is not otherwise readily available
onboard vessels. In either mode, an AIS enhances the mariner's
situational awareness, makes possible the accurate exchange of
navigational information, mitigates collision through reliable passing
arrangements, and facilitates vessel traffic management, while
simultaneously reducing very high frequency voice transmissions.
AISs have achieved acceptance through worldwide adoption of
performance and technical standards developed to ensure commonality,
universality, and inter-operability. These recommendations have now
been established and adopted as standards by the following diverse
international bodies: the IMO, the International Telecommunications
Union (ITU), and the International Electrotechnical Commission (IEC).
Further, installation of such equipment is required on vessels subject
to SOLAS, as amended.

Applicability and Compliance Dates

This interim rule requires the following vessels to install and
operate AIS:
? Vessels on international voyages subject to SOLAS under the
schedule set forth in SOLAS chapter V, regulation 19.2.4;
? Vessels of 65 feet or more in length, not subject to SOLAS
or transiting a VTS area, in commercial service on international
voyages by December 31, 2004; and
? The following VTS or VMRS users:
? Self-propelled vessels of 65 feet or more in length, in
commercial service;
? Towing vessel 26 feet or more in length and more than 600
horsepower;
? Vessels of 100 gross tons or more carrying one or more
passengers for hire; and
? Passenger vessels certificated to carry 50 or more
passengers for hire.
The VTS and VMRS users must comply by: December 31, 2003, within
VTS St. Marys River; by July 1, 2004, within VTS Berwick Bay, VMRS Los
Angeles/Long Beach, VTS Lower Mississippi River, VTS Port Arthur and
VTS Prince William Sound; by December 31, 2004, within VTS Houston-
Galveston, VTS New York, VTS Puget Sound, and VTS San Francisco.
Note that the compliance dates set forth in SOLAS differ from those
enacted in the MTSA. In this rule, where the dates differ, we have
sided with the internationally agreed upon dates of SOLAS, particularly
regarding tankers built before July 1, 2002, where the compliance date
is the first survey of these vessels for safety equipment on or after
July 1, 2003, which could extend compliance to July 1, 2004 (one year
later than the MTSA).
However, we accelerated AIS implementation from the revised SOLAS
schedule to meet other international obligations. As of March 25, 2003,
the Saint Lawrence Seaway Development Corporation, under an
international agreement with the St. Lawrence Seaway Management
Corporation of Canada, has required AIS on vessels transiting St.
Lawrence Seaway waters from St. Lambert, Quebec to Long Point, in mid-
Lake Erie. (68 FR 9549, February 28, 2003). We anticipate VTS St. Marys
River will be AIS-capable by December 31, 2003, and at that time we
will require all VTS users, including SOLAS vessels, transiting the
Seaway and the VTS to continue AIS operation through their entire
transit.
This acceleration also follows our plan to require AIS use in areas
where we will have an infrastructure to fully monitor and manage the
AIS data link and ensure accurate maritime domain awareness. That is
why we have, initially, decided to implement AIS predominately in VTS
and VMRS areas as they become equipped with AIS capability.
The MTSA calls for AIS use in all navigable waters, but allows this
requirement to be waived if the Secretary finds that an AIS is not
needed for safe navigation on specified navigable waters. The Coast
Guard

[[Page 39356]]

intends to carry out this mandate completely; however, at this early
stage of AIS deployment, the Coast Guard deems it important to fully
require an AIS, particularly in congested waters, where it has the
capability to manage the AIS VHF data link. An AIS permits shore-side
base stations to perform various functions to manage the AIS data link,
such as changing operating frequencies, power outputs, and reporting
rates, should the network require it. This action may be necessary to
ensure safe navigation. The Coast Guard anticipates having these
facilities in most of our major waterways; however, until then it
intends to proceed on a rollout plan by waterway. In a notice and
request for comments published elsewhere in today's Federal Register,
the Coast Guard is seeking comments on expansion of AIS implementation
to vessels not on international voyages outside VTS and VMRS areas.

Acceleration of SOLAS AIS Implementation

The December 2000 Amendments to SOLAS provided for a phased-in AIS
carriage schedule under chapter V, regulation 19.2.4 that started July
1, 2002, and extended to July 1, 2008, depending on ship type and
tonnage. After September 11, 2001, and in an effort to improve safety,
security and maritime domain awareness worldwide, the United States
initiated action through IMO to accelerate this implementation
schedule.
In November 2001, the IMO Assembly, on the recommendation of the
United States and numerous other nations, adopted resolution A.924(22)
with the goals of enhancing maritime security. This resolution
instructed the Organization to develop appropriate measures to improve
maritime security. Based upon a recommendation by the United States,
the Assembly also agreed to convene an international conference in
December 2002 to formally adopt whatever measures were developed.
In February 2002, an Intersessional Working Group of the IMO
Maritime Safety Committee (MSC) met and recommended that the AIS
carriage timeline be accelerated, in addition to several other
security-related initiatives, which are discussed in separate interim
rules published elsewhere in today's Federal Register.
In May 2002, the Maritime Safety Committee met and accepted
amendments to SOLAS related to the accelerated AIS implementation
(including several phase-in options), for consideration at a December
2002 Diplomatic Conference. The Diplomatic Conference convened in
December 2002 and adopted the phased-in AIS carriage schedule as
described in Table 1 below.

Table 1.--SOLAS AIS Schedule (Chapter V, Regulation 19.2.4) for Vessels on International Voyages
----------------------------------------------------------------------------------------------------------------
Constructed Type of vessel Implementation date
----------------------------------------------------------------------------------------------------------------
On or after July 1, 2002..................... All............................. July 1, 2002.
Before July 1, 2002.......................... Passenger ships (carrying 12 or July 1, 2003.
more passengers).
Tankers......................... First survey for safety
equipment on or after July 1,
2003
Ships, other than passenger July 1, 2004.
ships and tankers, greater than
or equal to 50,000 gross
tonnage.
Ships, other than passenger First safety equipment survey
ships and tankers, greater than after July 1, 2004, or by
or equal to 300, but less than December 31, 2004, whichever
50,000 gross tonnage. occurs earlier.
----------------------------------------------------------------------------------------------------------------

This interim rule implements this revised SOLAS schedule, as it
concerns vessels on international voyage, and through a separate notice
titled ``Automatic Identification System; Expansion of Carriage
Requirements for U.S. Waters'' [USCG-2003-14878], published elsewhere
in today's Federal Register, we seek comments regarding vessels solely
engaged in domestic voyages and not transiting a VMRS.
The Coast Guard received some unfavorable comments regarding AIS
carriage (see USCG-1998-4399-3 at http://dms.dot.gov) in the VTS Lower
Mississippi River rulemaking docket (USCG-1998-4399). There were also
AIS comments made during the Public Meetings on Maritime Security,
discussed in the preamble to the interim rule titled ``Implementation
of National Maritime Security Initiatives,'' published elsewhere in
today's Federal Register. The Coast Guard is of the strong opinion that
an AIS should be installed not only on SOLAS vessels, but also on most
commercial vessels as soon as possible, particularly in vessel traffic
monitoring areas, such as VTS and VMRS areas. Thus, the Coast Guard is
requiring AIS carriage for non-SOLAS vessels while navigating these
areas. There is a general discussion of comments on AIS carriage
included in the preamble for the interim rule titled ``Implementation
of National Maritime Security Initiatives,'' published elsewhere in
today's Federal Register.

Automatic Identification System (AIS)

The AIS integrates a number of technologies to enhance the safe and
efficient navigation of ships, protection of the environment, operation
of VTS, and maritime domain awareness. AIS does this by providing ship-
to-ship information for collision avoidance, and ship-to-shore
information about a ship and its cargo for traffic management and
increased maritime awareness. Included in these technologies are Global
Navigation Satellite System, frequency agile digital very high
frequency transceivers, self-organizing communications protocols, and
an architecture that allows input from and output to other shipborne
navigational equipment (for example, input from rate of turn indicator
and heading sensor; output to radar or electronic chart display
systems). Data from these technologies can be tailored to the mariner's
needs and desires. The automated operation of the AIS and the reduction
of voice interactions should enhance mariners' ability to navigate.
More than 5 million voice reports a year will be eliminated in existing
VTS areas alone by using AIS.
The AIS transmits and receives vessel information in near real-time
from other ships and rebroadcasts from shore stations, such as--
(1) Static Information--Vessel call sign, name, IMO identification
number, dimensions, type;
(2) Voyage-Related Information--Draft, cargo type, destination, and
estimated time of arrival; and
(3) Dynamic Information--Time in Universal Time Coordinated,
latitude/longitude position, course over ground, speed over ground,
heading, rate of turn, navigational status.
The AIS provides mariners with accurate navigation information. In
addition, shore stations will be able to

[[Page 39357]]

relay pertinent navigational data from other sources, such as the
National Oceanic and Atmospheric Administration's Physical
Oceanographic Real Time System. An AIS enhances the mariner's
situational awareness, permits more effective and reliable passing
arrangements as intended by the Vessel Bridge-to-Bridge Radiotelephone
Act (33 U.S.C. 1201-1208) and the Inland Navigational Rules (33 U.S.C.
2001-2038), and provides the Coast Guard with a comprehensive and
informative traffic image not possible with radar or video
surveillance.

AIS Testing

AIS tests and trials have been conducted by national maritime
safety administrations in a number of locations around the world
including Germany, Sweden, Finland, Singapore, South Korea, British
Columbia, the Panama Canal, the St. Lawrence Seaway, the Baltic Sea,
South Africa, and the Rhine River. The Coast Guard has conducted
numerous tests and simulations to identify various technical and
operational issues, such as the shoreside communications infrastructure
required to support full duplex operations; unit reliability,
development of operational procedures appropriate to an AIS-based VTS;
and identification of user requirements for graphical display
functionality.
In August 1998, the Coast Guard leased 50 early-generation (Digital
Selective Calling (DSC) ITU-R M.825-3 version) transponders that were
evaluated aboard a variety of platforms. The principal purpose of this
testing was to evaluate the performance of a DSC-based system and
identify any operational and technical problems that would have to be
resolved before implementation of the latest AIS technology (ITU-R M.
1371-1 version).

Existing AIS-Like Systems

This is not the first experience with AISs for the Coast Guard and
the maritime industry. Since July 1994, tankers operating in the Prince
William Sound area have carried DSC transponders that report to the
VTS.
The DSC transponder system used in Prince William Sound is a one-
way system of limited capability, flexibility and potential. The VTS at
Prince William Sound remains dependent on radar and very high frequency
voice radio communications and is, in essence, a traditional VTS
augmented by a DSC system. Despite the reduced capability of this type
of transponder, it has proven valuable and has demonstrated its
potential as the foremost VTS surveillance sensor.
The key difference between the DSC-based identification system used
in VTS Prince William Sound and the one required by this interim rule
is that the former only provides ship-to-shore (VTS) transmissions of
position data. The AIS technology being required ensures two-way
communication, radio frequency agility, greater capacity, non-
proprietary display interface standards, and a host of display
possibilities, including Electronic Chart Display Information System,
Automatic Radar Plotting Aid (ARPA), non-ARPA radar, Electronic Chart
System, Integrated Navigation System, or other proprietary graphical
user interfaces. See Technical Comparison Table 2.

Table 2.--Technical Comparison of ITU-R M.825 Versus ITU-R M.1371-1
Based AIS.
------------------------------------------------------------------------
Digital selective Broadcast automatic
System characteristics calling radio identification
transponder system
------------------------------------------------------------------------
Technical Standards......... ITU-R M.825-3/IEC ITU-R M.1371-1/IEC
61993-1. 61993-2.
Intended Use................ Ship-to-shore....... Ship-to-ship; ship-
to-shore; shore-to-
ship.
Message Schedule............ Shore synchronized.. Coordinated and
Synchronized. Self-
organizing timeslot
procedure.
Frequency Agility........... Full very high DSC reception locked
frequency spectrum to very high
availability. frequency Ch. 70
only. DSC
broadcasts and TDMA
reception and
broadcasts have
full very high
frequency spectrum
availability.
Radio Channels.............. One DSC (Simplex or One DSC (Simplex).
Duplex). Two TDMA (Simplex
or Duplex).
Permissive Channel Usage No more than 15% on No more than 7.5% on
(loading). Channel 70. Up to Channel 70. In
100% on dedicated excess of 100% on
channel. two dedicated
channels (AIS1/
AIS2).
Effective Data Rate......... 600 bits/second..... Reception: 19,200
bits/second.
Broadcast: 9,600
bits/second.
System Capacity............. 9 polled messages/ TDMA: 4500 messages/
minute Ch. 70-60 minute plus. DSC: 4
polled message/ to 9 polled
minute not Ch 70- messages/minute.
240 with special
shore station
control and
synchronization
using duplex
repeater.
------------------------------------------------------------------------

The Need for Standardization

As evidenced by the number of navigation systems currently in use,
there is great interest in using technology to improve navigational
safety and maritime domain awareness. However, to correctly add
beneficial traffic information while also meeting the user demand to
avoid a multiplicity of incompatible systems, standardization was
needed. Without standardization, an AIS could not operate effectively
or achieve its maximum potential.
Failure to adopt international standards would create a
proliferation of disparate units, with no guarantee that devices
offered by various manufacturers would be interoperable. In fact, the
DSC installation discussed in the Existing AIS-Like Systems section was
based on a standard communication protocol. However, it relies upon
proprietary software for data management and display. The Coast Guard
has been a leader in the drafting or adoption of technical standards
through its participation at IMO, ITU, and other international working
groups, including groups within the IEC; our goal being the universal
inter-operability of AIS.
The key differences between previous technologies and AISs are that
the latter allows for reliable Self-Organizing Time-Division Multiple
Access, two-way communication, radio frequency agility, greater
capacity, and a host of display possibilities. For these reasons,
implementing international standards for AIS was a high priority for
the Coast Guard.

[[Page 39358]]

Ports and Waterways Safety System

Recognizing the need to take advantage of this technology, the
Coast Guard has embarked in a major capitalization effort to upgrade
all existing and future VTSs with AIS capability.
The Ports and Waterways Safety System is an effort to establish a
national transportation system that collects, processes, and
disseminates information on the marine operating environment and
maritime vessel traffic in major U.S. ports and waterways.
The VTS mission is to monitor and assess vessel movements, exchange
information regarding vessel movements with other vessels and shore-
based personnel, and provide advisories to vessel Masters. The AIS
coverage capability and precision compared to other surveillance
technology (i.e., radar and closed circuit television (CCTV)), makes it
the sensor of choice for all future VTS operations.
A major goal of the Ports and Waterways Safety System is to apply
AIS and other technologies that enable information gathering and
dissemination in ways that do not create an additional operational
burden for the mariner. An AIS-based VTS will augment the mariner's
navigational capability through automatic and effortless broadcast of
vessel traffic data, navigational advisories, and safety alerts.
Through AIS-based VTS technology and this rulemaking, we can maximize
the benefits of our vessel traffic management mission, provide the same
or more services, and enhance navigation.
Each VTS has a Vessel Traffic Center (VTC) that will receive vessel
movement data from an AIS in addition to radar and CCTV, if so
equipped. An AIS-based VTS reduces the need for voice interactions,
expands situational awareness, and augments the VTS role to assist
mariners in the performance of their duties, thus mitigating the risk
of collisions.
We have started this upgrade process and expect to complete it for
the following VTS ports by 2005: Berwick Bay, LA; Houston-Galveston,
TX; Port Arthur, TX; New Orleans, LA; New York, NY; San Francisco, CA;
Prince William Sound, AK; Puget Sound, WA; and St. Marys River, MI. As
these VTSs become AIS-capable, per the schedule established today in 33
CFR 164.46, the Coast Guard will eliminate VTS Users voice position
reports and rely upon AIS broadcasting. We will require all VTS Users
within a VTS to use an AIS.
Given the reduced infrastructure needs of an AIS and associated
cost and operational efficiency, the Coast Guard intends to expand AIS
surveillance to other VMRS areas, such as the approaches to Los Angeles
and Long Beach Harbors, which is jointly operated by the Coast Guard
and the Southern California Marine Exchange (under the California Code
of Regulations, 14 CCR 852.20 through 852.30). Other VMRS areas are
envisioned and would be the subject of future rulemakings. However, the
Coast Guard in this interim rule defines VMRS centers, areas, and users
to distinguish them from VTS centers, areas, and users. This will allow
the Coast Guard to have monitoring capabilities in areas that may not
warrant the full interactivity of a VTS (that is, informational,
navigation assistance and active traffic organization services), but
that do warrant the Captain of the Port's (COTP's) vigilance and
greater situational awareness. It would also provide the COTPs a more
effective means to carry out their duties and communicate with vessels
reporting from within a vessel monitoring system area, and thus enhance
their maritime domain awareness.

Involvement of the Maritime Community

We have long recognized that use of AIS on the nation's navigable
waters is a valuable asset to all mariners. In the past, many in the
maritime community have noted that to have a successful VTS, the Coast
Guard must strive to meet the needs of the users while imposing minimal
burden, especially in terms of voice communications.
In 1997, the Coast Guard benefited from a national dialog conducted
by the Marine Board of the National Academies and its Committee on
Maritime Advanced Information Systems and ad hoc VTS committee formed
under the auspices of the Lower Mississippi River Waterway Safety
Advisory Committee. This ad hoc committee, which was made up of
representatives from the maritime community, port community,
government, and the public, was asked to define user requirements for
VTS that would accomplish the joint overall goals of safety and
efficiency. The result of this effort was a conceptual baseline VTS
plan. (See USCG-1998-4399-3 at http://dms.dot.gov). One key finding of
that plan was the need to implement AIS technology, and to incorporate
AIS as a key component of future VTS implementation. The Coast Guard
views AIS implementation not only as a key component of VTS, but also
as a valuable awareness tool that should be made available and required
in all the nation's seas and waterways.
The Coast Guard also recognizes that wider implementation of a
surveillance capability is imperative to maritime domain awareness and
homeland security. Thus, it is moving forward with AIS capability as a
component of our nation's marine distress system network-Rescue 21.
Therefore, the Coast Guard wishes to avail itself of this opportunity
to seek comments, via the Notice accompanying this interim rule
published elsewhere in today's Federal Register, regarding expanding
AIS carriage requirements beyond those vessels and areas required in
this interim rule.

Discussion of Interim Rule

This interim rule amends Vessel Bridge-to-Bridge Radiotelephone
Regulations in 33 CFR part 26, Vessel Traffic Management regulations in
part 161, Navigation Safety Regulations, in part 164, and the Prince
William Sound, Alaska regulated navigation area regulations in 33 CFR
165.1704. We are making the following changes to existing regulations.

Amendments to Part 26

We are deleting Table 26.03(f) and directing the reader to newly
designated Table 161.12(c) for the same information.

Amendments to Part 161

We are adding two definitions in Sec. 161.2--''navigable waters''
and ``Vessel Movement Center''; and revising definitions for ``Vessel
Movement Reporting System''; and ``Vessel Movement Reporting System
User'' to distinguish them from ``Vessel Traffic Service'', ``Vessel
Traffic Centers'', and ``Vessel Traffic Service Users''. Vessels within
a VTS receive a host of services (e.g., weather and navigation
advisories, reports of aids to navigation outages, and projected
traffic encounters) that will not necessarily be available from a VMRS
whose primary mission is to enhance Coast Guard maritime domain
awareness and homeland security.
We are amending the Table 161.12(b), and redesignating it as Table
161.12(c) to reflect existing VTS and VMRS areas and their call signs,
designated frequencies, and clarifying Notes.
We are revising Sec. 161.21 to establish a mandatory reporting and
broadcast requirement via AIS in denoted VMRS areas. The current
regulation has a voice reporting exemption for those vessels carrying
AISSE in VTS areas capable of receiving such reports, such as VTS
Prince William Sound (where the AISSE

[[Page 39359]]

requirement will remain in effect until July 1, 2004).
We are deleting the Sailing Plan Deviation Report in Sec. 161.21,
but we are still requiring this information in the general reporting
requirements in Sec. 161.18.
Throughout subpart B, we are adding ``VMRS'' after ``VTS'' to show
that the provisions of this subpart can apply to either a VTS and or a
VMRS.

Amendments to Part 164

We are adding a paragraph to Sec. 164.01 to note that Sec. 164.46
applies to some vessels less than 1600 gross tons, and we are revising
Sec. 164.01(c) to add Sec. 164.46 to the list of sections not
applicable to U.S. public vessels.
We are revising Sec. 164.02 to reflect that the AIS requirement in
part 164 applies to vessels subject to SOLAS Chapter V, Regulation
19.2.4.
We are amending Sec. 164.03, the ``Incorporation by Reference''
section, by adding the IMO's MSC AIS performance standard (MSC.74(69)),
the ITU AIS technical standard (ITU-R M.1371-1), the IMO AIS shipborne
installation guidelines (SN/Circ.277), the SOLAS 2000 Amendments and
SOLAS 2002 Amendments (Conference resolution 1), and the IEC AIS
certification and testing standard (IEC 61993-2).
We are renaming Sec. 164.43 as ``Automatic Identification System
Shipborne Equipment--Prince William Sound,'' and embedded an expiration
date. We are adding new Sec. 164.46 ``Automatic Identification System
(AIS)'' to address applicability, operation, placement, and use of AIS
units. In addition, we are extending AIS applicability to all vessels
subject to SOLAS; to commercial vessels 65 feet or more in length not
subject to SOLAS on an international voyage; and to other commercial
vessels required to participate in a VTS or VMRS (these vessels are all
passenger vessels certificated to have 50 or more passengers on board
and every vessel subject to Vessel Bridge-to-Bridge Radiotelephone
Act).
Given the similarities between vessel bridge-to-bridge
radiotelephone and AIS, the usage, maintenance, and language
requirements in 33 CFR 26.04(a) and (c), 26.05, 26.06, and 26.07 for
Vessel Bridge-to-Bridge Radiotelephones, will also apply to AIS. We are
also clarifying that proper maintenance includes accurate and timely,
data entry and transmission. For vessels over 1600 gross tons, we are
requiring the AIS Pilot Plug be readily available, placed at the
conning position, and near an AC power outlet.
The use of portable AIS units on vessels will be permissible only
if such use does not interfere with other installed navigation and
communications systems, and, such that only one unit be in operation at
a time.

Amendments to Part 165

In Sec. 165.1704, we are amending the AISSE carriage requirement
for tankers in Prince William Sound, so that it expires, and thus
reverts to the AIS requirement, on July 1, 2004.

Incorporation by Reference

The Director of the Federal Register has approved the material in
Sec. 164.03 for incorporation by reference under 5 U.S.C. 552 and 1
CFR part 51. You may inspect this material at U.S. Coast Guard
Headquarters where indicated under ADDRESSES. Copies of the material
are available from the sources listed in Sec. 164.03.

Regulatory Assessment

This interim rule is not economically significant, however, it is a
``significant regulatory action'' under Executive Order 12866, and has
been reviewed by the Office of Management and Budget (OMB). It is also
significant under the regulatory policies and procedures of the
Department of Homeland Security due to significant public interest. A
more detailed Regulatory Assessment is available in the docket as
indicated under ADDRESSES. A summary of the assessment follows.

Cost Assessment

The interim rule is requiring the carriage of an AIS on all U.S.
flag SOLAS vessels, certain domestic vessels in VTS areas, and foreign
flag vessels less than 300 gross tonnage that make ports of call in the
United States. We estimate that 438 U.S. flag SOLAS vessels, 4,121 non-
SOLAS domestic vessels, and 70 non-SOLAS foreign vessels will be
affected by the interim rule. These include the following:
(1) Vessels subject to SOLAS;
(2) All commercial, self-powered vessels of 65 feet or more in
length in VTS areas, including fishing vessels;
(3) Most passenger vessels in VTS areas;
(4) All dredges and floating plants engaged in operations in VTS
areas;
(5) Certain commercial towing vessels of 26 feet or more in length
in VTS areas; and
(6) Non-SOLAS foreign flag vessels that are 65 feet or more in
length that make port calls at any U.S. port.
The estimated cost of complying with the interim rule for domestic
vessels is Present Value (PV) $66 million (2003-2012, 7 percent
discount rate). Approximately PV $5 million of this total is
attributable to U.S. flag SOLAS vessels. The remaining PV $61 million
is attributable to domestic vessels (non-SOLAS) that are affected. In
the first year of compliance, the cost of purchasing and installing
equipment and training personnel is an estimated $40 million (non-
discounted, $2 million for the U.S. flag SOLAS fleet, $38 million for
the domestic fleet). Following initial implementation, the annual cost
of compliance is an estimated $1 million (non-discounted, $0.1 million
for the U.S. flag SOLAS fleet, $0.9 million for the domestic fleet).
Non-SOLAS foreign flag vessel costs attributed to this rule are not
included in the domestic cost calculations but are still considered
here. The PV cost for these vessels to comply with the interim rule is
estimated at $1 million over the 10-year period. The initial cost of
purchasing and installing equipment and training personnel is an
estimated $0.6 million (non-discounted). Following the initial
implementation, the annual cost of compliance is less than $0.1 million
(non-discounted).

Safety Benefits

The Coast Guard expects both quantifiable and non-quantifiable
benefits as a result of the interim rule. Quantified benefits include
avoided property damage, injuries, fatalities, and pollution events as
a result of having an AIS. Other benefits include better situational
awareness, better information, and better communications. The interim
rule will also enhance Coast Guard missions such as marine safety and
security, aids to navigation, and maritime mobility.
In order to quantify the benefits of AIS implementation, the Coast
Guard reviewed thousands of Marine Casualty Incident Reports (MCIRs)
from 1993-1999 that involved the vessel populations affected by this
interim rule. These incidents were used to develop a historical rate of
marine casualties in VTS areas to determine the effectiveness of AIS as
a mitigating factor. The estimated safety benefit of the interim rule
is PV $25 million (2003-2012, 7 percent discount rate). Approximately
PV $13 million is attributable to U.S. flag SOLAS vessels. The
remaining PV $12 million is attributable to domestic vessels (non-
SOLAS). The estimated average annual benefit is $5 million (non-
discounted).
The costs of this interim rule are presented for a 10-year period.
The Regulatory Assessment available in the public docket for this
rulemaking

[[Page 39360]]

extends the assessment to a 15-year period.

Security Benefits

This interim rule is one of six interim rules that implement
national maritime security initiatives concerning general provisions,
Area Maritime Security (ports), vessels, facilities, Outer Continental
Shelf (OCS) facilities, and AIS. The Coast Guard used the National Risk
Assessment Tool (N-RAT) to assess benefits that would result from
increased security for vessels, facilities, OCS facilities, and ports.
The N-RAT considers threat, vulnerability, and consequences for a host
of maritime entities in various security-related scenarios. For a more
detailed discussion on the N-RAT and how we employed this tool, refer
to ``Applicability of National Maritime Security Initiatives'' in the
interim rule titled ``Implementation of National Maritime Security
Initiatives'' (USCG-2003-14792) published elsewhere in today's Federal
Register. For this benefit assessment, the Coast Guard used a team of
experts to calculate a risk score for each entity and scenario before
and after the implementation of required security measures. The
difference in before and after scores indicates the benefit of the
proposed action.
We recognize that the interim rules are a ``family'' of rules that
will reinforce and support one another in their implementation. We have
ensured, however, that risk reduction that is credited in one
rulemaking is not also credited in another. For a more detailed
discussion on the benefit assessment and how we addressed the potential
to double-count the risk reduced, refer to ``Benefit Assessment'' in
the interim rule titled ``Implementation of National Maritime Security
Initiatives'' (USCG-2003-14792) published elsewhere in today's Federal
Register.
We determined annual risk points reduced for each of the six
interim rules using the N-RAT. The benefits are apportioned among the
Vessel, Facility, OCS Facility, AMS, and AIS requirements. As shown in
Table 3, the implementation of AIS for the affected population reduces
1,553 risk points annually through 2012. The benefits attributable for
part 101--General Provisions--were not considered separately since it
is an overarching section for all the parts.

Table 3.--Annual Risk Points Reduced by the Interim Rules
----------------------------------------------------------------------------------------------------------------
Annual Risk Points Reduced by Rulemaking
-------------------------------------------------------------------------------
Maritime entity Vessel Facility OCS facility
security plans security plans security plans AMS plans AIS
----------------------------------------------------------------------------------------------------------------
Vessels......................... 778,633 3,385 3,385 3,385 1,448
Facilities...................... 2,025 469,686 .............. 2,025 ..............
OCS Facilities.................. 41 .............. 9,903 .............. ..............
Port Areas...................... 587 587 .............. 129,792 105
-----------------
Total....................... 781,285 473,659 13,288 135,202 1,553
----------------------------------------------------------------------------------------------------------------

Once we determined the annual risk points reduced, we discounted
these estimates to their present value (7 percent discount rate, 2003-
2012) so that they could be compared to the costs. We presented cost
effectiveness, or dollars per risk point reduced, in two ways: first,
we compared the first-year cost and first-year benefit because first-
year cost is the highest in our assessment as companies develop
security plans and purchase equipment. Second, we compared the 10-year
PV cost and the 10-year PV benefit. The results of our assessment are
presented in Table 4.

Table 4. First-Year and 10-Year PV Cost and Benefit of the Interim Rules.
----------------------------------------------------------------------------------------------------------------
Interim Rule
-------------------------------------------------------------------------------
Item Vessel Facility OCS facility
security plans security plans security plans AMS plans AIS\1\
----------------------------------------------------------------------------------------------------------------
First-year cost (millions)...... $218 $1,125 $3 $120 $41
First-year benefit.............. 781,285 473,659 13,288 135,202 1,553
First-year cost effectiveness ($/ 279 2,375 205 890 26,391
risk point reduced)............
10-year PV cost (millions)...... 1,368 5,399 37 477 42
10-year PV benefit.............. 5,871,540 3,559,655 99,863 1,016,074 11,671
10-year PV cost effectiveness ($/ 233 1,517 368 469 3,624
risk point reduced)............
----------------------------------------------------------------------------------------------------------------
\1\ Cost less monetized safety benefit.

Although we have quantified these security benefits relative to
AIS, the N-RAT is limited in its ability to measure benefits
attributable to intelligence or information gathering. These
limitations are discussed in the Assessment Limitations section in the
preamble of the interim rule titled ``Implementation of National
Maritime Security Initiatives'' (USCG-2003-14792) published elsewhere
in today's Federal Register.
Congress mandated an AIS carriage requirement on domestic (non-
SOLAS) vessels in 46 U.S.C. 70114, and provided an explicit phase-in
schedule for AIS in section 102(e) of the MTSA. Strictly upon
consideration of monetized safety benefits, as measured through
decreased collisions and the resulting decrease in injuries,
mortalities, and pollution incidents, the cost of AIS installation for
the domestic fleet far outweighs the benefit over a 15-year period
(0.26 benefit-cost ratio). This ratio results from the high costs of
purchasing and installing the unit (an estimated $9,330 per vessel),
and the types of marine casualties that AIS is expected to mitigate,
where damage is not usually severe nor is there significant loss of
life. In view of the

[[Page 39361]]

benefit-cost ratio presented above, the Coast Guard will share with the
Congress any significant information provided by the public that
addresses the reasonableness of implementing the statute.
Because there is not yet a mass market for AIS, the cost per unit
in the next few years, when the domestic fleet is required to purchase
AIS, is likely to be higher than when it is replaced (around 2012).
Because the AIS market is in its infancy, we cannot estimate how much
the unit cost will decrease over the next decade. If many manufactures
enter the market, costs are likely to drop through competition. Because
manufacturers have a potential world market and a significant U.S.
market, many may attempt to capture a segment. Conversely, if only a
few players emerge worldwide, AIS costs could remain high. Because
manufacturers must engage in a rigorous approval process and cannot be
assured that they will recoup research and development costs through
unit sales, there is the potential that only a few dominant players
will emerge in the AIS market. Because we cannot determine the trend of
the AIS market, and we did not want to understate the cost for AIS, we
assumed that the cost for units in 2012 would again be approximately
$9,000 per unit. It is possible that an AIS unit will not be this
expensive to replace.
In terms of security, we estimated that we will not experience a
significant benefit from a decrease in risk, as measured in risk points
reduced in the N-RAT, as a result of AIS installation. There are two
primary reasons for this estimate. First, the N-RAT was an internal
Coast Guard tool that was modified to estimate the national benefits
attributable to the suite of security rulemakings mandated by the MTSA.
The tool was not designed to measure the security benefits of AIS
specifically. The N-RAT does not, therefore, robustly capture the risk
mitigation potential of AIS. Secondly, the Coast Guard strongly
believes that AIS is critical to maritime domain awareness. We are
unable to quantify or monetize the benefits of this Coast Guard mission
or the individual contribution of AIS.
While the monetized benefit of the rule does not exceed its cost,
the Coast Guard believes that AIS has the potential to mitigate a
Transportation Security Incident (TSI) as described in the MTSA. The
Coast Guard recognizes that a single sensor, such as AIS, will not
likely prevent a TSI alone--but if AIS can have a mitigating effect on
just a single TSI, the security benefit could be significant. The Coast
Guard must consider AIS in its suite of security rulemakings and has
developed an interim rulemaking that considers the mandates of the MTSA
in light of the high initial costs of purchasing the unit, by requiring
AIS in VTS areas only for the domestic fleet. We are concentrating our
efforts in VTS areas, since this is where we can begin accruing the
most benefit--for industry, the public, and the Coast Guard--in the
shortest period of time. Through our interim rulemaking, we are
attempting to maximize the return to our investment as quickly as
practical.

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.
This rule does not require a general notice of proposed rulemaking and,
therefore, is exempt from the requirements of the Regulatory
Flexibility Act. Although this rule is exempt, we have reviewed it for
potential economic impacts on small entities. An Initial Regulatory
Flexibility Analysis discussing the impact of this rule on small
entities is available in the docket where indicated under ADDRESSES.

Number and Types of Small Entities Affected

U.S. Flag SOLAS Vessels

Of the affected population, we estimate that 205 U.S. flag SOLAS
vessels, of 438 total, are owned by 122 small businesses. Approximately
40 large companies own the remaining 233 U.S. flag SOLAS vessels.
We estimate the cost of an AIS per vessel in the first year will be
$9,330. Of this, $7,000 is for the AIS unit, $2,000 is for
installation, and $330 is for mariner training. We estimate that
following installation, each AIS will require $250 in annual
maintenance to replace such items as the antenna, keyboard, and display
screen. The entire unit will be replaced after 8 years.
We found that annual maintenance costs will have a less-than-1-
percent impact on annual revenue for all small businesses with U.S.
flag SOLAS vessels. First-year impacts to small businesses, therefore,
are the focus of this assessment. To estimate the revenue impact on
small businesses in the first year, the cost per vessel for an AIS,
$9,330, is multiplied by the number of vessels owned by each company,
then divided by the average annual revenue for each company, as
reported in the online databases noted above. Of the 122 small
businesses that own U.S. flag SOLAS vessels, we found revenue for 59 of
them (48 percent). If we could not find revenue data for a business, we
assumed the business was small. For the remaining 63 small entities
without revenue data, we expanded the revenue impacts from the known 59
companies. For example, if 73 percent of 59 small entities (43
entities) had a 0-3 percent impact on their average annual revenues,
then 73 percent of 63 small entities (47 entities) had a 0-3 percent
impact, for a total of 90 small entities with an annual revenue impact
of 0-3 percent. Table 5 presents the revenue impact for the 59 entities
with known average annual revenue and the expanded results for the 63
entities without revenue information.

Table 5.--Effect of First-Year Cost on Average Annual Revenue for Small Entities Owning U.S. Flag SOLAS Vessels
----------------------------------------------------------------------------------------------------------------
Expanded
Number of Percent of number of Total small
Percent of annual revenue that is first-year AIS entities with entities with entities with entities per
cost known annual known annual unknown annual impact
revenues revenues revenues category
----------------------------------------------------------------------------------------------------------------
0-3%............................................ 43 73 47 90
£ 3-5%................................ 5 8 5 10
£ 5-10%............................... 4 7 4 8
£ 10-20%.............................. 6 10 6 12
£ 20-30%.............................. 0 0 0 0

[[Page 39362]]

£ 30%................................. 1 2 1 2
-----------------
Total....................................... 59 100 63 122
----------------------------------------------------------------------------------------------------------------
Detail may not calculate to total due to independent rounding.

Number and Types of Small Entities Affected: Non-SOLAS Fleet in VTS
Areas

We estimate that there are 1,491 small businesses that will be
affected by the interim rule that own non-SOLAS vessels that transit
VTS areas. These 1,491 companies own 2,360 vessels, representing 57
percent of the 4,121 non-SOLAS vessels affected by the rule. An
estimated 1,456 vessels (35 percent) are owned by 150 large businesses,
and 55 vessels (1 percent) are owned by State and local governments. We
have 248 vessels that transit VTS areas (7 percent of the non-SOLAS
fleet) that have no company associated with the vessel whatsoever, due
to missing company information in our data. We cannot be certain if
these vessels belong to small, large, or government entities and do not
apportion these 248 vessels to one type of entity or another.
As with the U.S. flag SOLAS fleet, annual cost following
installation of an AIS will have little impact on annual revenues--a
less-than-1-percent impact on annual revenue for most small businesses.
The first-year cost of the interim rule, therefore, will again have the
greatest impact on average annual revenue. To estimate the revenue
impact on small businesses in the first year, the cost per vessel for
an AIS, $9,330, multiplied by the number of vessels owned by each
company, then divided by the average annual revenue for each company.
Of the 1,491 small businesses that own non-SOLAS vessels in VTS areas,
we found revenue for 453 of them (30 percent). As with the assessment
for the U.S. flag SOLAS fleet, if we could not find revenue data for a
business, we assumed the business was small. For the remaining 1,038
small entities without revenue data, we expanded the revenue impacts
for the known 453 companies. The results of the assessment for the non-
SOLAS fleet in VTS areas are presented in Table 6.

Table 6.--Effect of First-Year Cost on Average Annual Revenue for Small Entities Owning Non-SOLAS Vessels in VTS
Areas
----------------------------------------------------------------------------------------------------------------
Expanded
Number of Percent of number of Total small
Percent of annual revenue that is first-year AIS entities with entities with entities with entities per
cost known annual known annual unknown annual impact
revenues revenues revenues category
----------------------------------------------------------------------------------------------------------------
0-3%............................................ 334 74 767 1,101
£ 3-5%................................ 47 10 104 151
£ 5-10%............................... 34 8 83 117
£ 10-20%.............................. 20 4 42 62
£ 20-30%.............................. 11 2 21 32
£ 30%................................. 7 2 21 28
-----------------
Total....................................... 453 100 1,038 1,491
----------------------------------------------------------------------------------------------------------------
Detail may not calculate to total due to independent rounding.

As shown, the interim rule will have a less-than-3-percent impact
on 74 percent of small businesses in the first year it is in effect.
Approximately 92 percent have a less-than-10-percent impact. We
conclude, therefore, that the interim rule may have a significant
economic impact on a substantial number of small entities.

Assistance for Small Entities

Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Public Law 104-121), we want to assist small
entities in understanding this rule so that they can better evaluate
its effects on them and participate in the rulemaking. If the rule
would affect your small business, organization, or governmental
jurisdiction and you have questions concerning its provisions or
options for compliance, please consult Mr. Jorge Arroyo (G-MWV) by
telephone 202-267-1103, toll-free telephone 1-800-842-8740 ext. 7-1103,
or electronic mail msregs@comdt.uscg.mil.
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).

Collection of Information

This rule calls for no new collection of information under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). The reports
required by this rule are considered to be operational communications,
transitory in nature, and, therefore, do not constitute the collection
of information under the Paperwork Reduction Act.

[[Page 39363]]

Federalism

A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on State or local
governments and would either preempt State law or impose a substantial
direct cost of compliance on them. It is well settled that States may
not regulate in categories reserved for regulation by the Coast Guard.
It is also well settled, now, that all of the categories covered in 46
U.S.C. 3306, 3703, 7101, and 8101 (design, construction, alteration,
repair, maintenance, operation, equipping, personnel qualification, and
manning of vessels), as well as the reporting of casualties and any
other category in which Congress intended the Coast Guard to be the
sole source of a vessel's obligations, are within the field foreclosed
from regulation by the States. In addition, under the authority of
Title I of the Ports and Waterways Safety Act, 33 U.S.C. 1221-1232
(specifically 33 U.S.C. 1223) and the MTSA our regulation will preempt
any State action on the subject of automatic identification system
carriage requirements. (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 (March 6, 2000).) Our AIS carriage
requirement rule falls into the category of equipping of vessels.
Because the States may not regulate within this category, preemption
under Executive Order 13132 is not an issue.

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 regulatory
actions not specifically required by law. 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 million or more in any one year. We do discuss the effects of this
interim rule elsewhere in this preamble. However, this interim rule is
exempted from assessing the effects of the regulatory action as
required by the Act because it is necessary for the national security
of the United States (2 U.S.C. 1503(5)).

Taking of Private Property

This interim rule will not effect a taking of private property or
otherwise have taking implications under Executive Order 12630,
Governmental Actions and Interference with Constitutionally Protected
Property Rights.

Civil Justice Reform

This interim 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.

Protection of Children

The Coast Guard has analyzed this interim rule under Executive
Order 13045, Protection of Children from Environmental Health Risks and
Safety Risks. This interim rule is not an economically significant
rule, and does not concern an environmental risk to health or risk to
safety that may disproportionately affect children.

Indian Tribal Governments

This interim 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. We
invite your comments, however, on how this interim rule might impact
tribal governments, even if that impact may not constitute a ``tribal
implication'' under the Order.

Energy Effects

We have analyzed this interim 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 an economically
significant regulatory action and is therefore not likely to have a
significant adverse effect on the supply, distribution, or use of
energy even though it is a ``significant regulatory action'' under
Executive Order 12866. It has not been designated by the Administrator
of the Office of Information and Regulatory Affairs as a significant
energy action. Therefore, it does not require a Statement of Energy
Effects under Executive Order 13211.

Trade Impact Assessment

The Trade Agreement Act of 1979 (19 U.S.C. 2501-2582) prohibits
Federal agencies from engaging in any standards or related activities
that create unnecessary obstacles to the foreign commerce of the United
States. Legitimate domestic objectives, such as safety and security,
are not considered unnecessary obstacles. The Act also requires
consideration of international standards and, where appropriate, that
they be the basis for U.S. standards. We have assessed the potential
effect of this interim rule and have determined that it is not likely
to create substantial obstacles to the foreign commerce of the United
States because we are implementing an international standards (IEC/IMO/
ITU). In addition, because these regulations are being put in place in
order to further a legitimate domestic objective, namely to increase
the safety of vessels and the security of the United States, any
obstacles created by the regulation are not considered unnecessary
obstacles.

Environment

We have considered the environmental impact of this rule and
concluded that under figure 2-1, paragraphs (34)(d), (34)(e), and
(34)(i) of Commandant Instruction M16475.lD, this rule is categorically
excluded from further environmental documentation. This interim rule
concerns vessel equipment requirements that will contribute to higher
levels of marine safety and maritime domain awareness for U.S. ports
and waterways. A ``Categorical Exclusion Determination'' is available
in the docket where indicated under ADDRESSES or SUPPLEMENTARY
INFORMATION.
This rulemaking will not significantly impact the coastal zone.
Further, the rulemaking and the execution of this rule will be done in
conjunction with appropriate State coastal authorities. The Coast Guard
will, therefore, comply with the requirements of the Coastal Zone
Management Act while furthering its intent to protect the coastal zone.

List of Subjects

33 CFR Part 26

Communications equipment, Marine safety, Radiotelephone, Vessels.

33 CFR Part 161

Harbors, Navigation (water), Reporting and recordkeeping
requirements, Vessels, Waterways.

33 CFR Part 164

Incorporation by reference, Marine safety, Navigation (water),
Reporting and recordkeeping requirements, Waterways.

33 CFR Part 165

Harbors, Marine safety, Navigation (water), Reporting and
recordkeeping requirements, Security measures, Waterways.

? For the reasons discussed in the preamble, the Coast Guard amends 33
CFR parts 26, 161, 164, and 165 as follows:

[[Page 39364]]

PART 26--VESSEL BRIDGE-TO-BRIDGE RADIOTELEPHONE REGULATIONS

? 1. Revise the authority for part 26 to read as follows:

Authority: 14 U.S.C. 2; 33 U.S.C. 1201-1208; Pub. L. 107-295,
116 Stat. 2064; Department of Homeland Security Delegation No. 0170;
Rule 1, International Regulations for the Prevention of Collisions
at Sea.

? 2. In Sec. 26.03, in paragraph (f), remove the words, ``Table 26.03(f)
(VTS Call Signs, Designated Frequencies, and Monitoring Areas).'', and
add, in their place, the words ``Table 161.12(c) (VTS and VMRS Centers,
Call Signs/MMSI, Designated Frequencies, and Monitoring Areas).'', and
delete Table 26.03(f).

PART 161--VESSEL TRAFFIC MANAGEMENT

? 3. Revise the authority for part 161 to read as follows:

Authority: 33 U.S.C. 1223, 1231; 46 U.S.C. 70114, 70117; Pub. L.
107-295, 116 Stat. 2064; Department of Homeland Security Delegation
No. 0170.

? 4. In Sec. 161.2--
? a. Revise the definitions for ``Vessel Movement Reporting System
(VMRS)'', ``Vessel Movement Reporting System (VMRS) User''; and
? b. Add the definitions for ``navigable waters'' and ``Vessel Movement
Center (VMC)'', in alphabetical order, to read as follows:

Sec. 161.2 Definitions.

* * * * *
Navigable waters means all navigable waters of the United States
including the territorial sea of the United States, extending to 12
nautical miles from United States baselines, as described in
Presidential Proclamation No. 5928 of December 27, 1988.
* * * * *
Vessel Movement Center (VMC) means the shore-based facility that
operates the vessel tracking system for a Vessel Movement Reporting
System (VMRS) area or sector within such an area. The VMC does not
necessarily have the capability or qualified personnel to interact with
marine traffic, nor does it necessarily respond to traffic situations
developing in the area, as does a Vessel Traffic Service (VTS).
Vessel Movement Reporting System (VMRS) means a mandatory reporting
system used to monitor and track vessel movements. This is accomplished
by a vessel providing information under established procedures as set
forth in this part in the areas defined in Table 161.12(c) (VTS and
VMRS Centers, Call Signs/MMSI, Designated Frequencies, and Monitoring
Areas).
Vessel Movement Reporting System (VMRS) User means a vessel, or an
owner, operator, charterer, Master, or person directing the movement of
a vessel that is required to participate in a VMRS.
* * * * *

? 5. In Sec. 161.12--
? a. Redesignate paragraphs (a)(1), (b), Table 161.12(b), and paragraph
(c) as (b), (c), Table 161.12(c), and (d), respectively;
? b. Revise newly designated paragraph (c) and newly designated Table
161.12(c) to read as follows:

Sec. 161.12 Vessel operating requirements.

* * * * *
(c) When not exchanging voice communications, a VTS User must
maintain a listening watch as required by Sec. 26.04(e) of this
chapter on the VTS frequency designated in Table 161.12(c) (VTS and
VMRS Centers, Call Signs/MMSI, Designated Frequencies, and Monitoring
Areas). In addition, the VTS User must respond promptly when hailed and
communicate in the English language.

Note to Sec. 161.12(c): As stated in 47 CFR 80.148(b), a very
high frequency watch on Channel 16 (156.800 MHz) is not required on
vessels subject to the Vessel Bridge-to-Bridge Radiotelephone Act
and participating in a Vessel Traffic Service (VTS) system when the
watch is maintained on both the vessel bridge-to-bridge frequency
and a designated VTS frequency.

Table 161.12(c).--VTS and VMRS Centers, Call Signs/MMSI, Designated Frequencies, and Monitoring Areas
----------------------------------------------------------------------------------------------------------------
Designated frequency (Channel
Center MMSI 1 Call Sign designation)--purpose 2 Monitoring area 3 4
----------------------------------------------------------------------------------------------------------------
Berwick Bay 003669950--
Berwick Traffic.......................... 156.550 MHz (Ch. 11).............. The waters south of 29[deg]45'
N., west of 91[deg]10' W., north
of 29[deg]37' N., and east of
91[deg]18' W.
Houston-Galveston--003669954............. .................................. The navigable waters north of
29[deg]
N., west of 94[deg]20'
W., south of 29[deg]49' N., and
east of 95[deg]20' W.
Houston Traffic.......................... 156.550 MHz (Ch. 11).............. The navigable waters north of a
156.250 Mhz (Ch. 5A).............. line extending due west from the
--For Sailing Plans only.......... southern most end of Exxon Dock
#1 (20[deg]43.37' N.,
95[deg]01.27' W.).
Houston Traffic.......................... 156.600 MHz (Ch. 12).............. The navigable waters south of a
156.250 Mhz (Ch. 5A).............. line extending due west from the
--For Sailing Plans only.......... southern most end of Exxon Dock
#1 (29[deg]43.37' N.,
95[deg]01.27' W.)
Los Angeles/Long Beach: MMSI/To be .................................
determined
San Pedro Traffic........................ 156.700 MHz (Ch.14)............... Vessel Movement Reporting System
Area: The navigable waters
within a 25 nautical mile radius
of Point Fermin Light
(33[deg]42.3' N., 118[deg]17.6'
W.).
Louisville: Not applicable
Louisville Traffic....................... 156.650 MHz (Ch. 13) The waters of the Ohio River
between McAlpine Locks (Mile
606) and Twelve Mile Island
(Mile 593), only when the
McAlpine upper pool gauge is at
approximately 13.0 feet or
above.
Lower Mississippi River 5--0036699952 .................................
New Orleans Traffic...................... 156.700 MHz (Ch.14)............... The navigable waters of the Lower
Mississippi River below
30[deg]38.7' N., 91[deg]17.5' W.
(Port Hudson Light at 255 miles
Above Head of Passes (AHP)), the
Southwest Pass, and, within a 12
nautical miles radius around
28[deg]54.3' N., 89[deg]25.7' W.
(Southwest Pass Entrance Light
at 19.9 miles Below Head of
Passes).

[[Page 39365]]

New Orleans Traffic...................... 156.600 MHz (Ch.12)............... New Orleans Sector. The navigable
waters of the Lower Mississippi
River bounded on the north by a
line drawn perpendicularly at
29[deg]56.4' N., 90[deg]08.36'
W. and on the south by a line
drawn perpendicularly at
29[deg]56.24' N., 89[deg]59.86'
W. (88 and 106 miles AHP).
New York--003669951
New York Traffic......................... 156.550 MHz (Ch. 11).............. The area consists of the
--For Sailing Plans only.......... navigable waters of the Lower
156.600 MHz (Ch. 12).............. New York Bay bounded on the east
--For vessels at anchor........... by a line drawn from Norton
Point to Breezy Point; on the
south by a line connecting the
entrance buoys at the Ambrose
Channel, Swash Channel, and
Sandy Hook Channel to Sandy Hook
Point; and on the southeast
including the waters of Sandy
Hook Bay south to a line drawn
at latitude 40 25' N; then west
in the Raritan Bay to the
Raritan River Railroad Bridge,
then north into waters of the
Arthur Kill and Newark Bay to
the Lehigh Valley Draw Bridge at
latitude 40 41.9N; and then east
including the waters of the Kill
Van Kull and the Upper New York
Bay north to a line drawn east-
west from the Holland Tunnel
ventilator shaft at latitude 40
43.7' N, longitude 74 01.6' W,
in the Hudson River; and then
continuing east including the
waters of the East River to the
Throgs Neck Bridge, excluding
the Harlem River.
New York Traffic......................... 156.700 MHz (Ch. 14).............. The navigable waters of the Lower
New York Bay west of a line
drawn from Norton Point to
Breezy Point; and north of a
line connecting the entrance
buoys of Ambrose Channel, Swash
Channel, and Sandy Hook Channel,
to Sandy Hook Point; on the
southeast including the waters
of the Sandy Hook Bay south to a
line drawn at latitude 40 25' N;
then west into the waters of
Raritan Bay East Reach to a line
drawn from Great Kills Light
south through Raritan Bay East
Reach LGB #14 to Comfort
PT, NJ; then north including the
waters of the Upper New York Bay
south of 40 42.40' N (Brooklyn
Bridge) and 40 43.70' N (Holland
Tunnel Ventilator Shaft); west
through the KVK into the Arthur
Kill north of 40 38.25' N
(Arthur Kill Railroad Bridge);
then north into the waters of
the Newark Bay, south of 40
41.95' N (Lehigh Valley Draw
Bridge).
New York Traffic......................... 156.600 MHz (Ch. 12).............. The navigable waters of the
Raritan Bay south to a line
drawn at latitude 40 26' N; then
west of a line drawn from Great
Kills Light south through the
Raritan Bay East Reach LGB
#14 to Point Comfort,
NJ; then west to the Raritan
River Railroad Bridge; and north
including the waters of the
Arthur Kill to 40 28.25' N
(Arthur Kill Railroad Bridge);
including the waters of the East
River north of 40 42.40' N
(Brooklyn Bridge) to the Throgs
Neck Bridge, excluding the
Harlem River.
Port Arthur 5--003669955 .................................. .................................
Sabine Traffic........................... To be determined.................. The navigable waters south of
30[deg]10' N., east of
94[deg]20' W., west of
93[deg]22' W, and, north of
29[deg]
10' N.
Prince William Sound--003669958 .................................. .................................
Valdez Traffic........................... 156.650 MHz (Ch. 13).............. The navigable waters south of
61[deg]05' N., east of
147[deg]20' W., north of 60[deg]
N., and west of 146[deg]30' W.;
and, all navigable waters in
Port Valdez.
Puget Sound 6 .................................. .................................
Seattle Traffic--003669957............... 156.700 MHz (Ch. 14).............. The waters of Puget Sound, Hood
Canal and adjacent waters south
of a line connecting Marrowstone
Point and Lagoon Point in
Admiralty Inlet and south of a
line drawn due east from the
southernmost tip of Possession
Point on Whidbey Island to the
shoreline.
Seattle Traffic--003669957............... 156.250 MHz (Ch. 5A).............. The waters of the Strait of Juan
de Fuca east of 124[deg]40' W.
excluding the waters in the
central portion of the Strait of
Juan de Fuca north and east of
Race Rocks; the navigable waters
of the Strait of Georgia east of
122[deg]52' W.; the San Juan
Island Archipelago, Rosario
Strait, Bellingham Bay;
Admiralty Inlet north of a line
connecting Marrowstone Point and
Lagoon Point and all waters east
of Whidbey Island North of a
line drawn due east from the
southernmost tip of Possession
Point on Whidbey Island to the
shoreline.
Tofino Traffic--003160012................ 156.725 MHz (Ch. 74).............. The waters west of 124[deg]40' W.
within 50 nautical miles of the
coast of Vancouver Island
including the waters north of
48[deg]
N., and east of 127[deg]
W.
Victoria Traffi--003160010............... 156.550 MHz (Ch. 11).............. The waters of the Strait of
Georgia west of 122[deg]
52' W.,
the navigable waters of the
central Strait of Juan de Fuca
north and east of Race Rocks,
including the Gulf Island
Archipelago, Boundary Pass and
Haro Strait.

[[Page 39366]]

San Francisco--003669956 .................................
San Francisco Traffic.................... 156.700 MHz (Ch. 14).............. The navigable waters of the San
Francisco Offshore Precautionary
Area, the navigable waters
shoreward of the San Francisco
Offshore Precautionary Area east
of 122[deg]42.0' W. and north of
37[deg]40.0' N. extending
eastward through the Golden
Gate, and the navigable waters
of San Francisco Bay and as far
east as the port of Stockton on
the San Joaquin River, as far
north as the port of Sacramento
on the Sacramento River.
San Francisco Traffic.................... 156.600 MHz (Ch. 12).............. The navigable waters within a 38
nautical mile radius of Mount
Tamalpais (37[deg]55.8' N.,
122[deg]34.6' W.) west of
122[deg]42.0' W. and south of
37[deg]40.0' N and excluding the
San Francisco Offshore
Precautionary Area.
St. Marys River--003669953
Soo Traffic.............................. 156.600 MHz (Ch. 12).............. The waters of the St. Marys River
between 45[deg]57' N. (De Tour
Reef Light) and 46[deg]38.7' N.
(lle Parisienne Light), except
the St. Marys Falls Canal and
those navigable waters east of a
line from 46[deg]04.16' N. and
46[deg]01.57' N. (La Pointe to
Sims Point in Potagannissing Bay
and Worsley Bay).
----------------------------------------------------------------------------------------------------------------
Notes:
1 Maritime Mobile Service Identifier (MMSI) is a unique nine-digit number assigned that identifies ship
stations, ship earth stations, coast stations, coast earth stations, and group calls for use by a digital
selective calling (DSC) radio, an INMARSAT ship earth station or AIS. AIS requirements are set forth in Sec.
Sec. 161.21 and 164.46 of this subchapter.
2 In the event of a communication failure, difficulties or other safety factors, the Center may direct or permit
a user to monitor and report on any other designated monitoring frequency or the bridge-to-bridge navigational
frequency, 156.650 MHz (Channel 13) or 156.375 MHz (Ch. 67), to the extent that doing so provides a level of
safety beyond that provided by other means. The bridge-to-bridge navigational frequency, 156.650 MHz (Ch. 13),
is used in certain monitoring areas where the level of reporting does not warrant a designated frequency.
3 All geographic coordinates (latitude and longitude) are expressed in North American Datum of 1983 (NAD 83).
4 Some monitoring areas extend beyond navigable waters. Although not required, users are strongly encouraged to
maintain a listening watch on the designated monitoring frequency in these areas. Otherwise, they are required
to maintain watch as stated in 47 CFR 80.148.
5 Until rules regarding VTS Lower Mississippi River and VTS Port Arthur are published, vessels are exempted of
all VTS and VMRS requirements set forth in 33 CFR part 161, except those set forth in Sec. Sec. 161.21 and
164.46 of this subchapter.
6 A Cooperative Vessel Traffic Service was established by the United States and Canada within adjoining waters.
The appropriate Center administers the rules issued by both nations; however, enforces only its own set of
rules within its jurisdiction. Note, the bridge-to-bridge navigational frequency, 156.650 MHz (Ch. 13), is not
so designated in Canadian waters, therefore users are encouraged and permitted to make passing arrangements on
the designated monitoring frequencies.

* * * * *

Sec. 161.15 [Amended]

? 6. In Sec. 161.15--
? a. In paragraph (a), remove the word ``manage'' and add, in its place,
the word ``monitor'';
? b. In paragraph (a), following the words ``within a VTS'', add the
words ``or VMRS'';
? c. In paragraph (a) following the words ``directed by the'', remove the
word ``VTS'' and add, in its place, the word ``Center'';
? d. In paragraph (b), remove the word ``four'' and add, in its place,
the word ``three''; and
? e. In paragraph (b), following the word ``position'', remove the words
``sailing plan deviation''.

? 7. In Sec. 161.16, revise the introductory text to read as follows:

Sec. 161.16 Applicability.

Unless otherwise stated, the provisions of this subpart apply to
the following vessels and VMRS Users:
* * * * *

? 8. Revise Sec. 161.17 to read as follows:

Sec. 161.17 Definitions.

As used in this subpart:
Center means a Vessel Traffic Center or Vessel Movement Center.
Published means available in a widely-distributed and publicly
available medium (e.g., VTS User's Manual, ferry schedule, Notice to
Mariners).

Sec. 161.18 [Amended]

? 9. In Sec. 161.18--
? a. In paragraph (a), remove the word ``VTS'' and add, in its place
``Center'';
? b. In paragraphs (b) and (c), remove the words ``Table 161.12(b) (VTS
Call Signs, Designated Frequencies, and Monitoring Areas)'' and add, in
their place ``Table 161.12(c) (VTS and VMRS Centers, Call Signs/MMSI,
Designated Frequencies, and Monitoring Areas)'';
? c. Redesignate paragraph (d) as paragraph (e); and
? d. Add new paragraph (d) to read as follows:

Sec. 161.18 Reporting requirements.

* * * * *
(d) A vessel must report:
(1) Any significant deviation from its Sailing Plan, as defined in
Sec. 161.19, or from previously reported information; or
(2) Any intention to deviate from a VTS issued measure or vessel
traffic routing system.
* * * * *

Sec. 161.20 [Amended]

? 10. In Sec. 161.20--
? a. In paragraph (a), remove the word ``VTS'' and add, in its place, the
word ``VMRS'';
? b. In paragraph (c), remove the word ``VTC'' and add, in its place, the
word ``Center''; and
? c. Remove the note at the end of the section.

? 11. Revise Sec. 161.21 to read as follows:

Sec. 161.21 Automated reporting.

(a) Unless otherwise directed, vessels equipped with an Automatic
Identification System (AIS) are required to make continuous, all
stations, AIS broadcasts, in lieu of voice Position Reports, to those
Centers denoted in Table 161.12(c) of this part.
(b) Should an AIS become non-operational, while or prior to
navigating a VMRS area, it should be restored to

[[Page 39367]]

operating condition as soon as possible, and, until restored a vessel
must:
(1) Notify the Center;
(2) Make voice radio Position Reports at designated reporting
points as required by Sec. 161.20(b) of this part; and
(3) Make any other reports as directed by the Center.

Sec. 161.23 [Amended]

? 12. In Sec. 161.23, in paragraph (b)(1), remove the word ``VTS'' and,
in its place, add the word ``VMRS''; remove paragraph (c); and remove
the note at the end of the section.

Subpart C-Vessel Traffic Service and Vessel Movement Reporting
System Areas and Reporting Points

? 13. Revise the heading for subpart C to read as set forth immediately
above.

PART 164--NAVIGATION SAFETY REGULATIONS

? 14. Revise the authority citation for part 164 to read as follows:

Authority: 33 U.S.C. 1223, 1231; 46 U.S.C. 2103, 3703, 70114,
70117; Pub. L. 107-295, 116 Stat. 2064; Department of Homeland
Security Delegation No. 0170. Sec. 164.13 also issued under 46
U.S.C. 8502. Sec. 164.61 also issued under 46 U.S.C. 6101.

? 15. In Sec. 164.01--
? a. In paragraph (a) following the words ``except as provided in'',
remove the words ``paragraph (c)'' and, in their place, add the words
``paragraphs (c) and (d)'';
? b. In paragraph (c) remove the words ``and 164.33'', and, in their
place, add the words ``164.33, and 164.46''; and
? c. Add a new paragraph (d) to read as follows:

Sec. 164.01 Applicability.

* * * * *
(d) Provisions of Sec. 164.46 apply to some self-propelled vessels
of less than 1600 gross tonnage.

Sec. 164.02 [Amended]

? 16. In Sec. 164.02, at the beginning of paragraph (a), remove the
words ``This part'', and, add in their place, the words ``Except as
provided in Sec. 164.46(a)(2) of this part''.

? 17. In Sec. 164.03(b), add the entry for ``International
Electrotechnical Commission''; under the entry for ``International
Maritime Organization (IMO),'' add entries for Resolution MSC.74(69),
SN/Circ.277, SOLAS 2000 Amendments, Conference resolution 1; and under
the entry for ``International Telecommunications Union
Radiocommunication Bureau (ITU-R)'', add an entry for ITU-R
Recommendation M.1371-1 to read as follows:

Sec. 164.03 Incorporation of reference.

* * * * *
(b) * * *

International Electrotechnical Commission (IEC)

3, rue de Varemb, Geneva, Switzerland.

IEC 61993-2, Maritime navigation and radiocommunication 164.46
equipment and systems--Automatic identification systems
(AIS)--part 2: Class A shipborne equipment of the universal
automatic identification system (AIS)--Operational and
performance requirements, methods of test and required test
results First edition, 2001-12..............................

International Maritime Organization (IMO)

Publication Section, 4 Albert Embankment, London SE1 7SR, United
Kingdom.

Resolution MSC.74(69), Annex 3, Recommendation on Performance 164.46
Standards for a Universal Shipborne Automatic Identification
System (AIS), adopted May 12, 1998..........................
SN/Circ.277, Guidelines for the Installation of a Shipborne 164.46
Automatic Identification System (AIS), dated January 6, 2003
SOLAS, International Convention for Safety of Life at Sea, 164.46
1974, and 1988 Protocol relating thereto, 2000 Amendments,
effective January and July 2002, (SOLAS 2000 Amendments)....
Conference resolution 1, Adoption of amendments to the Annex 164.46
to the International Convention for the Safety of Life at
Sea, 1974, and amendments to Chapter V of SOLAS 1974,
adopted December 12, 2002...................................

International Telecommunication Union Radiocommunication Bureau (ITU-R)

Place de Nations, CH-1211 Geneva 20 Switzerland.

ITU-R Recommendation M.1371-1, Technical characteristics for 164.46
a universal shipborne automatic identification system using
time division multiple access in the VHF maritime mobile
band, 1998-2001.............................................

Sec. 164.43 [Amended]

? 18. In Sec. 164.43--
? a. Revise the section heading to read ``Automatic Identification System
Shipborne Equipment--Prince William Sound'' ; and
? b. In paragraph (a), remove the word ``Each'', and add, in its place,
the words ``Until July 1, 2004, each''; and add the words ``under Sec.
165.1704 of this subchapter'' immediately after the words ``Vessel
Traffic Service (VTS)''.

? 19. Add new Sec. 164.46 to read as follows:

Sec. 164.46 Automatic Identification System (AIS).

(a) The following vessels must have an installed, operational AIS
that complies with the IMO Resolution MSC.74(69), ITU-R Recommendation
M.1371-1, and IEC 61993-2, and that is installed using IMO SN/Circ.277
(Incorporated by reference, see Sec. 164.03) as of the date specified.
``Length'' refers to ``registered length'' as defined in 46 CFR, part
69.
(1) Self-propelled vessels of 65 feet or more in length engaged in
commercial service and on an international voyage, not later than
December 31, 2004.
(2) Notwithstanding paragraph (a)(1) of this section, the following
vessels subject to the International Convention for Safety at Life at
Sea, 1974, (SOLAS) as amended, that are on an international voyage must
also comply with SOLAS, chapter V, as amended by SOLAS 2000 Amendments
and Conference resolution 1 (Incorporated by reference, see Sec.
164.03):
(i) Passenger vessels, of 150 gross tonnage or more, not later than
July 1, 2003;
(ii) Tankers, regardless of tonnage, not later than the first
safety survey for safety equipment on or after July 1, 2003;
(iii) Vessels, other than passenger vessels or tankers, of 50,000
gross tonnage or more, not later than July 1, 2004; and
(iv) Vessels, other than passenger vessels or tankers, of 300 gross
tonnage or more but less than 50,000 gross tonnage, not later than the
first safety survey for safety equipment on or after July 1, 2004, but
no later than December 31, 2004.
(b) Notwithstanding paragraphs (a)(1) and (a)(2) of this section,
the following vessels, transiting an area listed in table 161.12(c) of
Sec. 161.12 of this part.
(1) Each self-propelled vessel of 65 feet or more in length,
engaged in commercial service;
(2) Each towing vessel of 26 feet or more in length and more than
600 horsepower;
(3) Each vessel of 100 gross tons or more carrying one or more
passengers for hire; and
(4) Each passenger vessel certificated to carry 50 or more
passengers for hire.

[[Page 39368]]

(c) The vessels listed in paragraph (b) of this section must comply
according to the following schedule:
(1) For VTS St. Marys River, not later than December 31, 2003;
(2) For VTS Berwick Bay, VMRS Los Angeles/Long Beach, VTS Lower
Mississippi River, VTS Port Arthur and VTS Prince William Sound, not
later than July 1, 2004; and
(3) For VTS Houston-Galveston, VTS New York, VTS Puget Sound, and
VTS San Francisco, not later than December 31, 2004.
(d) The requirements for Vessel Bridge-to-Bridge radiotelephones in
Sec. Sec. 26.04(a) and (c), 26.05, 26.06 and 26.07 of this chapter,
also apply to AIS. The term ``effective operating condition'' used in
Sec. 26.06 includes accurate input and upkeep of all AIS data fields,
including estimated time of arrival, destination, and number of people
on board.
(e) The use of a portable AIS is permissible, only to the extent
that electromagnetic interference does not affect the proper function
of existing navigation and communication equipment on board, and such
that only one AIS unit may be in operation at any one time.
(f) The AIS Pilot Plug, on each vessel over 1,600 gross tons, on
international voyage, shall be available for pilot use, easily
accessible from the primary conning position of the vessel, and near an
AC power receptacle.

PART 165--REGULATED NAVIGATION AREAS AND LIMITED ACCESS AREAS

? 20. Revise the authority citation for part 165 to read as follows:

Authority: 33 U.S.C. 1226, 1231; 46 U.S.C. Chapter 701; 50
U.S.C. 191, 195; 33 CFR 1.05-1(g), 6.04-1, 6.04-6, and 160.5; Pub.
L. 107-295, 116 Stat. 2064; Department of Homeland Security
Delegation No. 0170.

Sec. 165.1704 [Amended]

? 21. In Sec. 165.1704, at the beginning of paragraph (c)(6) remove the
words ``Not later than July 1, 1994,'', and, add in their place, the
words ``Until July 1, 2004,''.

Dated: June 23, 2003.
Thomas H. Collins,
Admiral, Coast Guard, Commandant.
[FR Doc. 03-16191 Filed 6-27-03; 8:45 am]
BILLING CODE 4910-15-P

Notices For
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2001
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1996
1995
1994

Automatic Identification System; Vessel Carriage Requirement

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