A Vessel Agent s Handbook

A Vessel Agent s Handbook This publication is provided as a guide in the continuing partnership with Vessel Agents in the Sector Guam Area of Responsibility and is not intended to be all-inclusive. It does not supersede or replace any International, Federal, State or local Territory laws or regulations. Any suggestions for improvement can be sent to the Chief, Inspections Department, Sector Guam. Updated: Sept. 2011 ALL PREVIOUS EDITIONS ARE OBSOLETE Page 1

TABLE OF CONTENTS CONTACT NUMBERS...3 ADVANCE NOTICE OF ARRIVAL...5 TIPS ON FILLING OUT THE NOTICE OF ARRIVAL (NOA)...6 HOW A NOTICE OF ARRIVAL IS PROCESSED...7 Table 1 APPLICABILITY OF AN ADVANCE NOTICE OF ARRIVAL...8 Table 2 TIME FOR SUBMITTING AN ADVANCE NOTICE OF ARRIVAL...9 Table 2 UPDATING AN ADVANCE NOTICE OF ARRIVAL...9 REPORTING NON-OPERATING NAVIGATION EQUIPMENT...10 ITEMS THAT WILL DELAY A VESSEL FROM ENTERING PORT...11 Failure to submit a Notice of Arrival (NOA)...11 Certificate of Responsibility (COFR)...11 International Safety Management Certificates (ISM)...12 International Ship Security Certificate (ISSC)...12 Vessel Response Plan (VRP)...12 Non-Tank Vessel Response Plan (NTVRP)...13 REPORTING OF HAZARDOUS CONDITIONS...14 USER FEE-FOREIGN TANK VESSEL EXAMS...16 APPEAL PROCEEDURES...18 ADDITIONAL RESOURCES...20 ENCLOSURES... Certificate of Compliance request...23 Letter of Deviation request...24 One-Time Waiver request 25 Page 2

CONTACT NUMBERS PREVENTION GENERAL NUMBER (671) 355-4835 Web site https://homeport.uscg.mil/guam EMERGENCIES OR AFTER HOURS Guam & Saipan Sector Guam s Command Center (24hr contact) Phone: (671) 355-4821, 4822 Fax: (671) 355-4831 MONDAY - FRIDAY (7:00 AM to 4:00 PM.) Guam Phone Fax Incident Management Division (Environmental Response) (671) 355-4815 (671) 355-4888 Inspections (671) 355-4835 (671) 355-4888 Investigations (671) 355-4835 (671) 355-4888 Licensing (671) 646-0919 Facilities (671) 355-4835 (671) 355-4888 Ports, Waterways & Coastal Security (671) 355-4835 (671) 355-4888 Vessel Arrival Scheduler Desk (671) 355-4835 (671) 355-4888 MONDAY - FRIDAY (8:00 AM to 4:00 PM.) Saipan Phone Fax MSD Saipan (670) 236-2969 (670) 236-2968 Page 3

OTHER COAST GUARD NUMBERS COFR National Pollution Fund Center (Mon-Fri 7:30am-4:00pm EST) Phone: (202) 493-6780 Fax (202) 493-6781 Web site http://www.uscg.mil/npfc/cofrs/default.asp National Vessel Documentation Center (Mon-Fri 7:30am-5:00pm EST) Phone: (800) 799-8362 (304) 271-2400 Fax: (304) 271-2405 Web site http://www.uscg.mil/hq/cg5/nvdc/ Oil/Hazmat Spills National Response Center Phone: Fax: Web site 24hrs a day, 7 days a week (800) 424-8802 (202) 267-2675 They do not accept reports that are faxed or e-mailed http://www.nrc.uscg.mil/nrchp.html Vessel Response Plans General/Status Inquiries Phone: (202) 372-1229 Fax: (202) 372-1917 Web site https://homeport.uscg.mil/vrpexpress User Fees Status Inquiries Phone: (800) 941-3337 Fax: (757)523-6734 Web site http://www.fincen.uscg.mil/vif.htm Page 4

ADVANCE NOTICE OF ARRIVAL Tables (1 & 2) are provided to help determine which vessels need to submit advance notice of arrival and departure. These tables are tailored to the Port of Guam. For applicability for other areas of the United States and Territories see 33 Code of Federal Regulations, Part 160 Subpart C Notifications of Arrival (NOA), Hazardous Conditions and Certain Dangerous Cargo. Vessel arrivals are required by regulation to be submitted to the National Vessel Movement Center. Methods of Submitting a NOA Telephone Fax E-Mail 1-800-708-9823 1-304-264-2502 Voice 1-800-547-8724 1-304-264-2684 Excel Spread Sheet sans@nvmc.uscg.gov Form e-noa http://www.nvmc.uscg.gov/download.aspx Internet Form for both online and offline submittal The Coast Guard and Customs and Border Protection (CBP) require vessels to submit crew, passenger, vessel, and voyage and cargo information for safety and security purposes and for the enforcement of U.S. immigration, import and export laws, prior to arrival in a U.S port or place. More information on the system, including online forms, can be found on the Coast Guard's National Vessel Movement Center website at http://www.nvmc.uscg.gov. The Vessel Arrival Desk in Guam is open Mon-Fri from 7:00 am to 4:00 pm. For non-emergency calls that require immediate action you may use our 24-hour line Duty Port State Control Officer at (671) 688-0380. Page 5

TIPS ON FILLING OUT THE NOTICE OF ARRIVAL (NOA) Please use the following when filling out the form to ensure arrivals can be processed by the National Vessel Movement Center. Good Bad Vessel Name SHIP SHAPE T/V SHIP SHAPE BULL ONE BULL ONE (TUG) Call Sign 2PYGR 2P-YGR Vessel ID Number 4440000 L4440000 321000 D321000 Arriving Island Port Name to Enter Captain of the Port Zone Guam Sector Guam Saipan MSD Saipan Agent 24 Hour Telephone Number A number that will be physically manned 24 hrs a day for each port included in the arrival. U.S. Destination Port/City, State U.S. Destination Receiving Facility/Terminal/Anchorage Additional Port of Call Crew list/passenger List Max Penalty $40,000 Per day in violation i.e. Apra Harbor i.e. Delta Pier Gulf Pier Anchorage Fill in completely with port & receiving facility only list U.S. Ports. Crew/Persons in addition to the crew list must have the following information: Full name, Date of birth, Nationality, Passport number or mariner s document number. You may submit a copy of INS Form I-418 to meet these requirements. Page 6

TIPS ON FILLING OUT THE NOTICE OF ARRIVAL (NOA) It is required that the charter of the vessel be included in the NOA. The following definitions of a charter were taken from 33CFR 160.204: Charterer means the person or organization that contracts for the majority of the carrying capacity of a ship for the transportation of cargo to a stated port for a specified period. This includes time charterers" and voyage charterers". Time charterer Voyage charterer means the party who hires a vessel for a specific amount of time. The owner and his crew manage the vessel, but the charterer selects the ports of destination. means the party who hires a vessel for a single voyage. The owner and his crew manage the vessel, but the charterer selects the ports of destination. HOW A NOTICE OF ARRIVAL IS PROCESSED The arrivals are downloaded from the National Vessel Movement Center throughout the day and will be processed when received. Depending on the time of day the Notice of Vessel Arrival is submitted it can take 6 to 24 hours to process. Vessel Boarding s fall into the following types: 1. ISPS/MTSA Security Compliance 2. Port State Control and Environmental Protection Compliance 3. Security Boardings A combination of the above boardings may be conducted depending on the priority assigned to the vessel. A vessel may be delayed from entering port if it is determined that it must be boarded at sea. Where multiple vessels are required to be boarded by the Coast Guard on the same day your vessel may be delayed from entering port until a boarding can be completed. In most cases as soon as a boarding decision is made the agent will receive a confirmation phone call. To help facilitate commerce, it is imperative that Sector Guam be kept informed of changes in the vessel s arrival time. Page 7

ADVANCE NOTICE OF ARRIVAL APPLIES TO: All foreign vessels 300 gross tons and above. U.S. Flagged vessels and Barges over 300 gross tons*. U.S. Flagged vessels and barges under 300 gross tons* that are carrying certain dangerous cargoes or controlling another vessel carrying certain dangerous cargo. *The International Tonnage shall be used in determining the 300 gross ton threshold. Table 1 ADVANCE NOTICE OF ARRIVAL DOES NOT APPLY TO: U.S. recreational vessels under 46 U.S.C. 4301. Passenger and supply vessels when employed in the exploration for or in the removal of oil, gas or mineral resources on the continental shelf. Oil spill recovery vessels (OSRV) when engaged in actual spill response operations or during spill response exercise. If not carrying Certain Dangerous Cargo or controlling a vessel with CDC, the following are also exempt: Vessels <300GT Vessels operating exclusively within a COTP Zone Vessels arriving at a port under Force Majeure Towing vessels and barges operating solely between Ports in the continental U.S. Page 8

Table 2 TIME FOR SUBMITING A NOTICE OF ARRIVAL Voyage time 96 hours or more: Voyage time of less than 96 hours: Any vessel planning to enter two or more consecutive ports or places in the United States during a single voyage: Submit NOA at least 96 hours before entering the port or place of destination. Submit NOA before departure but at least 24 hours before entering the port or place of destination. May submit one consolidated NOA at least 96 hours before entering the first port or destination. UPDATING A NOTICE OF ARRIVAL When reporting changes, submit only the following: 1. The name of the vessel. 2. Original NOA submission date. 3. The port of arrival. 4. The specific items to be corrected. 5. The new location of the vessel at the time of reporting. If Voyage time is: 96 hours or more: Less than 96 hours but not less than 24 hours: An updated ANOA must be submitted As soon as practicable but at least 24 hours before entering the port or place of destination. An updated ANOA must be submitted As soon as practicable but at least 24 hours before entering the port or place of destination. An updated ANOA must be submitted Less than 24 hours: As soon as practicable but at least 12 hours before entering the port or place of destination. Providing this information will help us keep track of vessels that are in the port and reduce the number of telephone calls inquiring on the vessel s status. Any change to the arrival or departure time That is less than 6 hours need not be reported. Page 9

REPORTING NON-OPERATING NAVIGATION EQUIPMENT REFERENCE: Reporting Non-Operating Equipment 33 CFR 164.53 POLICY: Upon written application, the COTP may authorize a deviation from any rule in 33 CFR Part 164. At Sector Guam, written Letters of Deviation (LOD) are issued only for the equipment identified in enclosure 2 because the COTP places certain restrictions or provisions on vessels when any of the listed equipment is inoperative. LOD s expire upon arrival at the vessel s destination, except transit and departure LOD s that expire when the vessel departs the COTP Guam zone. An LOD is not a detention, however, the vessel must request a separate LOD to move within or depart the port if the equipment is not repaired. Repairs must be completed prior to departure! Departure LOD s are only granted in extraordinary cases. For transit or departure LOD s where the vessel s Next Port of Call is a U.S. port, a separate LOD must be requested from that COTP(s) zone. Each Captain of the Port will determine what level of restrictions will be placed on a vessel s Letter of Deviation on a case-by-case basis. If equipment becomes inoperable during a voyage, the vessel may continue to the next port of call subject to the directions of the COTP. If the vessel s radar, radio navigation receivers, gyrocompass, echo depth sounding device, or primary steering gear stops operating properly, it must be reported to the COTP as soon as possible. Use enclosure 2 to request your LOD. Page 10

ITEMS THAT WILL DELAY A VESSEL FROM ENTERING PORT If the vessel does not have the following required items, a Captain of the Port Order will be issued ordering the vessel to remain outside U.S. Waters (12 miles) until proof of compliance is provided. These items are not all inclusive. There will be instances in which the circumstances or situation onboard the vessel must be evaluated to determine if further restrictions may apply. These situations will be evaluated on a case-by-case basis: 1. Failure to submit a NOA or a materially incomplete/inaccurate (NOA): The time requirements in the NOA regulation, particularly the 96 hour requirement allow all Federal agencies that receive the information sufficient time to screen NOA and vessel data, prioritize operations, and allocate resources as necessary. The submitter of the Notice of Vessel Arrival (NOA) will be contacted to supply the missing information. Vessels failing to provide the required NOA information will be required to remain outside U.S. waters until such time as the vessel provides the required NOA notification to the appropriate entity (National Vessel Movement Center) and the vessel has been cleared of any security issues that would prevent the vessel from entering port. Offenders who fail to provide the required NOA information will be required to remain outside U.S. waters for the appropriate 96 or 24-hour period depending on the vessel s last port of call. Additionally, First time offenders may be issued a Letter of Warning. Appropriate civil penalty action seeking the maximum penalty up to $40,000 will be accessed for Second time offenders. An investigation will be undertaken to ensure the factors surrounding the lack of notification are fully known before any enforcement or penalty action is undertaken. 2. Certificate of Financial Responsibility (COFR): Codes of Federal Regulations, Part 33, Titles 130 & 138, require that the owner or operator of a U.S. or foreign flag vessel meeting the applicable criteria (33 CFR 138.12) must obtain a proper COFR. This certificate is evidence that suitable financial responsibility is maintained in order to cover for any liability arising from Section 1002 of the Oil Pollution Act of 1990 (OPA 90) and/or Section 107 (a) (1) of the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA). All U.S. and foreign flag vessels over 300 gross tons, including non-self propelled barges, carrying oil as cargo or fuel and carrying hazardous substances are required to provide a COFR while destined for a place subject to the jurisdiction of the United States. It also defines oil as fuel as any oil or hazardous substance used or capable of being used to produce heat or power by burning, including power to operate equipment. In order to obtain a COFR you must contact the Certificate of Financial Responsibility desk at (202) 493-6780 (202-493-6781 Fax) for further information and application requirements. Page 11

3. International Safety Management (ISM) Certificates: Compliance is mandatory for the following vessels that are 500 gross tons or more: Passenger ships, including high-speed craft, Oil tankers, Chemical tankers, Gas carriers, Bulk carriers and cargo high-speed craft All other cargo ships Vessels that do not provide ISM certificate information on the NOA form will be denied entry into U.S. Ports until such time as adequate proof is provided to the Captain of the Port that the vessel has achieved compliance (i.e. proof indicating that the ship has been certified, and a Document of Compliance and Safety Management Certificated has been issued by the Administration or authorized classification society). 4. International Ship Safety Security Certificate: As of July 1, 2004 the following types of ships engaged on international voyagers, are required to adhere to the International Ship & Port Facility Security Code (ISPS). This code applies to Passenger ships including high-speed passenger craft, cargo ships including high-speed craft of 500 gross tonnages and upwards. An International Ship Security Certificate shall be issued to a vessel that verifies that the security system and any associated security equipment of the ship fully complies with the applicable requirements in chapter 19.2 of the ISPS Code. The International Ship Security Certificate shall be issued for a period specified by the Administration, which shall not exceed five years. 5. Vessel Response Plans: Vessel Response Plans are required for each vessel that is constructed or adapted to carry, or that carries, oil in bulk as cargo or as residue. It applies to all U.S. and foreign flag vessels operating or transferring oil in a port or place subject to the jurisdiction of the United States. Requirements and exceptions are outlined in 33 CFR 155. A Coast Guard letter of approval must be obtained by submitting such plan for revision 60 days before the intended handle, store, transport, transfer or lighter of oil in areas subject to the jurisdiction of the United States. 1.) One-Time Waiver. When a vessel comes to a COTP zone for the first time, the vessel owner or operator can request a one-time waiver from the COTP in accordance with 33 CFR 155.1025 (e). Meeting all the requirements does not in itself guarantee that the waiver will be issued; the COTP has the final decision authority. If the vessel desires to return to that COTP zone, the COTP is not authorized to issue an additional one time waiver. The vessel must have an approved vessel response plan (VRP) for that COTP zone or request an Interim Operation Authorization (IOA). Tank vessels are authorized a one-time waiver if all the following requirements are met: Page 12

A. Owner or operator has a valid VRP or Shipboard Oil Pollution Emergency Plan (SOPEP); B. The Plan is onboard the vessel; C. A Qualified Individual (QI) has been identified to the master of the vessel; and D. The owner or operator has identified through a contract or other approved means the private resources necessary to respond to the maximum extent practicable or a worst case discharge from the vessel in that zone. 2.) Interim Operating Authorization (IOA). If the vessel owner/operator has submitted an alternative planning criteria request but there is insufficient time for the Coast Guard to complete a review of the request before the vessel plans to conduct operations in the COTP zone, the owner/operator can request the issuance of an IOA. 33 CFR 155.1025 (c)(1) allows a vessel to handle, store, transport, or lighter oil after the submission of a response plan pending approval of that plan, if the vessel owner or operator has received written authorization of continued operations from the Coast Guard. The Coast Guard may issue an IOA for a temporary period of time as long as the owner/operator has submitted an alternate planning criteria request to the Coast Guard. 3.) Requesting an IOA. To receive a Coast Guard IOA, the vessel s owner/operator must certify in writing to the Coast Guard that they have identified and ensured the availability of, through contract or other approved means, the necessary private resources to respond, to the maximum extent practible, to a worst case discharge or substantial threat of such a discharge from their vessel as described in 33 CFR Sec. 155.1052, 155.1230, or 155.2230, as appropriate. 6. Non-Tank Vessel Response Plans (NTVRP): Coast Guard has screened all non- tank vessel arrivals to verify the submission of NTVRPs. This is done to devote enforcement resources to those non tank vessels which pose the greatest risk to the environment in the event of a worst case discharge. How does a non-tank vessel above 1600GT comply? NTVRP must be prepared and submitted by owners and operators. Each plan must meet the self-executing elements of 33 U.S.C. 1321 (j) (5) (D): 1) Consistent with National Contingency Plan and Area Contingency Plan; 2) Identify a Qualified Individual; 3) Ensure by contract or other approved means approved by the President the availability of private personnel and equipment necessary to remove to the maximum extent practicable a worst case discharge (including a discharge resulting from fire or explosion), and to mitigate or prevent a substantial threat of such a discharge; and 4) Describe training, equipment testing, periodic unannounced drills, and response actions of crew. NTVRPs will receive an Interim Operating Authorization (IOA) Letter identifying the Geographic Specific Areas (GSA) that meets all required elements. Page 13

REPORTING OF HAZARDOUS CONDITIONS For vessels calling on Guam, Rota, Saipan and Tinian, any of the hazardous conditions should be reported as soon as safely practical by calling Sector Guam Command Center at (671) 355-4821/4822. In addition, reports may be made by contacting the Coast Guard on VHF radio Channel 16. Federal regulations that require reports to the U.S. Coast Guard: Reporting Non-Operating Navigation Equipment (33 CFR 164.53): If the vessel s radar, radio navigation receivers, gyrocompass, echo depth sounding device, or primary steering gear stops operating properly, the person directing the movement of the vessel must report or cause to be reported that it is not operating properly to the nearest Captain of the Port and request a letter of deviation Enclosure (2). Notice of Hazardous Conditions (33 CFR 160.215): Whenever there is a hazardous condition either aboard a vessel or caused by a vessel or its operation, the owner, agent, master, operator or person in charge shall immediately notify the nearest Coast Guard Sector or MSD Office. Hazardous condition is defined in 33 CFR 160.203 as any condition that may adversely affect the safety of any vessel, bridge, structure, or shore area; or the environmental quality of any port, harbor, or navigable waterway of the U.S. Report of Accident to Aid to Navigation (46 CFR 4.05-20): Whenever a vessel collides with a buoy, or other aid to navigation, or is connected with any such collision, it is the duty of the person in charge of such vessel to report the accident to the nearest Officer in Charge, Marine Inspection (OCMI). Marine Casualties: Federal Law (46 U.S.C. 6101) requires the owner, agent, Master, or person-in-charge of vessels involved in a marine casualty to give notice as soon as possible to the nearest Coast Guard Sector. If the vessel remains in U.S. waters, voyage records shall be retained for a minimum of 30 days; if the vessel departs U.S. waters, the voyage records must be retained for at least 30 days after the return of the vessel to a U.S. port. In addition to the immediate notice a written report required for all vessel casualties and personnel injuries shall be made on Form CG-2692 Report of Marine Casualty, Injury, or Death no later than five (5) days after the incident. This report will provide sufficient details to allow an understanding of both the nature of the casualty and the circumstances or cause(s) thereof. If the marine casualty is determined to be a serious marine incident as defined by 46 CFR 4.03-2 additional information is required. 46 CFR 4.06 requires the marine employer to conduct chemical testing, no later than two hours for alcohol and no later than 32 hours for drugs, to all individuals directly involved in a serious marine incident. CG form 2692-B must be submitted (in addition to CG- 2692) outlining the results of the collected specimens. The responsibility for the testing falls on the owner, operator or representative of subject vessel. Page 14

What are Marine Casualties? 1. An unintended grounding, or an unintended strike (allision with) a bridge or pier. 2. An unintended grounding or an intended strike of a bridge or pier that creates a hazard to navigation, the environment or the safety of the vessel. 3. A loss of main propulsion, primary steering, or any associated component or control system that reduces the maneuverability of the vessel. 4. An occurrence materially and adversely affecting the vessel s seaworthiness or fitness for service or route, including but not limited to fire, flooding, failure or damage to fixed fire extinguishing systems, lifesaving equipment, auxiliary power-generating equipment, or bilge pumping systems. 5. A loss of life. 6. An injury that requires professional medical treatment (treatment beyond first aid) and, if the person is engaged or employed on board a vessel in commercial service, that renders the individual unfit to perform his or her routine duties. 7. An occurrence causing property damage in excess of $25,000, this damage including the cost of labor and material to restore the property to its condition before the occurrence, but not including the cost of salvage, cleaning, gas-freeing, dry docking or demurrage. Page 15

USER FEE FOREIGN TANK VESSEL EXAMS 46 CFR 2.10-125 the following pertains strictly to foreign vessels. Foreign Vessels: Foreign vessels receiving Certificate of Compliance Letters. (Note: Vessels of foreign nations not party to SOLAS, and vessels to which SOLAS does not apply, are subject to the same inspection requirements as U.S. vessels. Fee: Foreign tank ships are issued a Certificate of Compliance, which is valid for two years. These tank ships are also examined annually, at which time the vessel s COC is endorsed. Follow up visits necessary for corrections of deficiencies related to the above examinations are included in the fees established for COC examinations. Payment Procedure: The fee may be paid by the vessel owner, the vessel operator, or some other designated vessel representative (e.g. the vessel s agent); however, the primary responsibility for payment of the fees resides with the vessel owner. Payment for the examination must be received before any examination services will be provided. Payment must be in the form of a check or money order, in U.S. Currency drawn on a U.S. bank, and made payable to the U.S. Treasury. Wire transfers and credit cards are not acceptable payment options at this time. If desired, vessel owners and operators may pay examination fees for several different vessels under the same transaction, provided that the vessel name and vessel identification number (VIN) of each vessel for which a payment is being made accompanies the payment. The present system has no provisions for prepayment of future year examinations for foreign vessels. The vessel s name and the VIN must accompany all payments. Address To Send Fees: UNITED STATES COAST GUARD VESSEL INSPECTIONS PO BOX 531030 ATLANTA, GA 30353-1030 If a foreign vessel has not paid its examination fee and the examination is imminent, the appropriate fee may be sent via overnight or next day service to the following address: BANK OF AMERICA LOCKBOX 53103 (COI) 1075 LOOP ROAD ATLANTA, GA 30337-6002 In such instances, the OCMI may authorize the examination to be initiated only after first sighting the express mailing receipt and a copy of the check or money order, made out for the proper fee amount. Fees will not be accepted at Coast Guard Sector s or Marine Safety Detachments. Page 16

USER FEE FOREIGN TANK VESSEL EXAMS (Continued) Notification Letters: Foreign commercial vessels will not receive a user fee notification letter. Refunds: There are no provisions for user fee refunds. Utilization of Fees: The fees do not go to the Coast Guard. Instead, fees will be deposited in the General Fund of the Treasury as offsetting receipts of the Department of Homeland Security and ascribed to Coast Guard activities. Enforcement Actions: As noted in the final rule preamble, it is not uncommon for a foreign vessel to arrive in a U.S. port with an expired TVE or LOC. Therefore, in order to meet the requirement set forth in 46 CFR 2.10-20(a), foreign vessel representatives (owners, operators, masters, and agents) need to plan accordingly. Remember if there is no evidence of user fee payment, Coast Guard examinations will not be conducted and no cargo operations will be authorized. If the Certificate of Compliance (COC) is expired, or the vessel does not have a valid COC, cargo operations will not commence until a COC exam has been conducted by the Coast Guard, and a valid COC is issued to the vessel. There is a minimum 7 day notification request to the OCMI for conducting COC exams. Penalties for Failure to Pay Fee: Section 2110 of Title 46 U.S.C. authorizes a civil penalty of up to $5,000 for failure to pay fees. Each District Commander or OCMI may request the Secretary of the Treasury (U.S. Customs) or the authorized representative thereof, to withhold or revoke the clearance required by 46 U.S.C. app. 91 of a vessel for which a fee or charge established under this part has not been paid or until a bond is posted for the payment. The Coast Guard may assess additional charges to anyone to recover collection and enforcement costs associated with delinquent payments of, or failure to pay, a fee. The Coast Guard will treat checks returned due to insufficient funds, account closed, or any other such reason, as a delinquent payment and will seek to recover appropriate collection. Page 17

APPEAL PROCEEDURES COTP ORDERS You may appeal this order in writing within 30 days. Should you be aggrieved by this order, you may, under the procedures as prescribed in 33 CFR 160.7, appeal orally or in writing to the Commander (dp), Fourteenth Coast Guard District, 300 Ala Moana Blvd, 9 th Floor, Honolulu, HI 96850-4982. However, if the initial appeal is made orally, a written submission is required within five days of the oral presentation. While any request or appeal is pending, all provisions of this order remain in effect. PORT STATE CONTROL FORM CG-5437A/B (Reference: Title 46, Code of Federal Regulations, Subpart 1.03) Any directly affected person wishing to dispute the validity of a PSC action or their association with an IMO reportable control action should follow the appeal procedures contained in 46 CFR 1.03 and as outlined below: For Non-Class Related Detentions (Safety and /or Security) 1) All IMO reportable control actions should be appealed first to the cognizant Officer in Charge of Marine Inspection (OCMI) who issued the control action. 2) Appeals must be submitted in writing within 30 days after the decision or action being appealed was made. The appeal must contain a description of the decision or action being appealed and the reason why the decision or action should be set aside or revised.. 3) If not satisfied with the OCMI decision on appeal, a request for reconsideration of the appeal may be forwarded, in writing and within 30 days after the decision of the OCMI, to the cognizant USCG District Commander via the OCMI. 4) If not satisfied with the District Commander s decision on appeal, a request for reconsideration of the appeal may be forwarded, in writing and within 30 days after the decision of the District Commander, to Commandant (CG-543) via the District Commander. 5) Commandant (CG-543) is final agency action on the appeal. For Class Related Detentions (Safety and/ or Security) 1) All Class Related IMO reportable control actions should be appealed in writing, and within 30 days after the last administrative action DIRECTLY to Commandant (CG-5432) at the following address: United States Coast Guard Headquarters Foreign and Offshore Vessels Division (CG-5432) 2100 2 nd Street SW Washington, DC 20593-0001 Page 18

2) Class Related Appeals may also be submitted electronically to the following email address: Hqs-pf-fldr-CG-543@uscg.mil To appeal an order or direction issued by a Captain of the Port (COTP), the procedures outlined in 33CFR 160.7 and /or 33 CFR 101.420 should be followed. Page 19

ADDITIONAL RESOURCES THE PORT STATE INFORMATION EXCHANGE SYSTEM (PSIX) PSIX is a database run by the Coast Guard that provides interested parties with commercial vessel information and can be accessed via Internet at http://cgmix.uscg.mil/psix. The information contained in PSIX represents a weekly snapshot of Freedom of Information Act (FOIA) data compiled within the MISLE database. Information on unclosed cases or cases pending further action is considered privileged information and is precluded from the PSIX system. In addition, the Paris and Tokyo MOU s operate separate databases that can be useful in determining information about a vessel arriving to a U.S. Port for the first time. Access is free to both sites. For the Paris MOU you just have to register to receive your user ID and password, this website can be accessed at http://www.equasis.org/. The Tokyo MOU does not require registration and can be accessed at http://www.tokyo-mou.org U.S. COAST GUARD PORT STATE CONTROL For information on the U.S. Coast Guard s Port State Control (PSC) Program, you may visit our website at: www.homeport.uscg.mil CHARTS AND PUBLICATIONS FOR GUAM, ROTA, SAIPAN AND TINIAN The most recent edition of charts and publications listed in the U.S. Notice to Mariners is required to be on board. CHARTS GUAM 81048 Marianas Island of Guam Territory of Guam; Cocos Lagoon 81054 Marianas Islands Apra Harbor, Guam CHARTS ROTA 81063 Commonwealth of the Northern Mariana Islands Rota CHARTS SAIPAN & TINIAN Commonwealth of the Northern Mariana Islands Saipan and 81067 Tinian Commonwealth of the Northern Mariana Islands Bahia 81071 Laolao, Saipan Island and Tinian Harbor, Tinian Island Commonwealth of the Northern Mariana Islands Saipan 81076 Harbor PUBLICATIONS NOAA Coast Pilot #7 National Geospatial-Intelligence Agency Sailing Directions (Pub 126) Admiralty Sailing Directions, Pacific Islands Pilot Volume I Light List Vol. VI, Pacific Coast and Pacific Islands Admiralty Tide Tables Vol. IV International/Inland Navigation Rules International Code of Signals (Pub 102) Page 20

Additionally, here are a couple of links that you can review charts for the area. www.nauticalcharts.noaa.gov/nsd/cpdownload.htm www.charts.noaa.gov/onlineviewer/pacificcoastviewertable.shtml ELECTRONIC CODE OF FEDERAL REGULATIONS (CFR) http://www.gpo.gov/fdsys/browse/collectioncfr.action?collectioncode=cfr Page 21

ENCLOSURES Page 22

Commander United States Coast Guard Sector Guam PSC 455 BOX 176 FPO AP 96540-1056 Phone: (671) 355-4835 Fax: (671) 355-4888 d14-pf-gu-qss@uscg.mil SECTOR GUAM CERTIFICATE OF COMPLIANCE REQUEST FORM NAME OF VESSEL: IMO: TYPE OF VESSEL: (OIL) (CHEMICAL) (OIL/CHEMICAL) (GAS) DATE COC REQUEST RECEIVED BY USCG: DATE LAST COC WAS CONDUCTED: DATE AND TIME COC REQUESTED: VESSEL S ETA/ETD: VESSEL S RECEIVING FACILITY & DATE: CURRENT CARGO (ES): AGENT AND/OR COMPANY CONTACT INFORMATION: THE FOLLOWING ITEMS MUST BE SUBMITTED IN ORDER TO SCHEDULE COC: OIL/PRODUCT TANKSHIPS CURRENT CONTIUOUS SYNOPSIS RECORD COPY OF CURRENT OR EXPIRED COC PROOF OF PAYMENT CERTIFICATE OF REGISTRY STOWAGE PLAN MSDS FOR CARGO LIST OF LAST 5 CARGOES COPY OF IOPP SUPPLEMENT FORM B VAPOR EMISSION CONTROL SYSTEM 46CFR APPROVAL LETTER SHIP S PARTICULARS DOES VESSEL HAVE A PUMP ROOM? YES NO IF VESSEL HAS A PUMP ROOM HAS MARINE CHEMIST BEEN ARRANGED? YES NO ADDITIONAL ITEMS FOR CHEMICAL TANKSHIPS CERTIFICATE OF FITNESS WITH AMMENDMENT LIST OF CARGO ADDITIONAL ITEMS FOR GAS CARRIERS COPY OF SUBCHAPTER O ENDORSEMENT (SOE) PER 46 CFR 153.809, REQUEST MUST BE GIVEN AT LEAST 7 DAYS PRIOR TO VESSEL ARRIVAL. Enclosure (1) Page 23

LETTER OF DEVIATION REQUEST SEND TO: Sector Guam (7:00 AM TO 4:00 PM) PH: (671) 355-4835 Prevention Department Daily FAX: (671) 355-4888 Command Center AT ALL OTHER TIMES PH: (671) 355-4821/4822 FAX: (671) 355-4831 SUBMITTED BY: Name: Phone Number: Fax Number: VESSEL INFORMATION: Vessel Name: IMO Number: Destination: Arrival Departure Date: Time: EQUIPMENT AFFECTED (Check all that applies) All Vessels >1600 Gross Tons (GT): Primary Radar Gyro compass Echo Depth Sounding Device 33 CFR 164.35(a) 33 CFR 164.35(d) 33 CFR 164.35(h) Electronic Position Fixing Device 33 CFR 164.41 Radio Navigation Receivers Primary Steering System 33 CFR 164.53(b) 33 CFR 164.53(b) Automatic Identification System 33 CFR 164.46 If a deviation request is approved and a Letter of Deviation is issued, I agree that my client vessel will abide by the requirements listed therein, as well as all other applicable Federal, State and Local regulations. Further, I realize that upon arrival in port my client vessel will not be allowed to depart until proof of repairs of specified equipment has been submitted. I will e-mail, fax, or deliver a copy of the repair report or invoice as proof of repair to the Inspections Division of U.S. Coast Guard Sector Guam. Enclosure (2) Page 24

ONE TIME WAIVER CHECK LIST If a Tank Vessel coming in to COTP Zone Guam (including Saipan) and does not have a Tank Vessel Response Plan (TVRP) with the Guam listed as one of the approved Captain of the Port Zones. The vessel and agent needs to provide the following information ASAP: 1. A copy of the Shipboard Oil Pollution Emergency Plan (SOPEP) Approval/Cover letter 2. The valid Certificate of Financial Responsibility (COFR) 3. The name of the individual on board who is designated to contact the Qualified Individual (QI). 4. The signed Oil Spill Recovery Organization (OSRO) contract. 5. A letter of request for a One Time Waiver. Once this information is provided to the Coast Guard, the One Time Waiver (OTW) can be processed. NEXT TIME TO GUAM: If the vessel is planning on calling Guam again an Interim Operating Authorization (IOA) will be required. If the vessel has an updated and current Interim Operating Authorization (IOA) letter from CG- 5431 with Guam listed, kindly forward our office a copy. If the vessel does not possess an updated IOA with Guam listed, the owner/operator must submit an updated TVRP to our Headquarters Office (CG- 5431) with Guam as one of the COTP Zones in the plan's Geographic Specific Areas prior to the vessel's port call to Guam. In addition, the owner/operator must provide proof of contract with an Oil Spill Response Organization (OSRO) for the COTP Zone Guam to CG-5431. Enclosure (3) Page 25