
[Federal Register Volume 76, Number 189 (Thursday, September 29, 2011)]
[Proposed Rules]
[Pages 60405-60412]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-25034]


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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

46 CFR Part 160

[Docket No. USCG-2011-0076]
RIN 1625-AB60


Inflatable Personal Flotation Devices

AGENCY: Coast Guard, DHS.

ACTION: Notice of proposed rulemaking.

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SUMMARY: On March 30, 2011, the Coast Guard published a direct final 
rule that notified the public of the Coast Guard's intent to harmonize 
structural and performance standards for inflatable recreational 
personal flotation devices (PFDs) with current voluntary industry 
consensus standards, and to slightly modify regulatory text in 
anticipation of a future rulemaking addressing the population for which 
inflatable recreational PFDs are approved (76 FR 17561). As discussed 
below, we have received an adverse comment on the direct final rule, 
and have withdrawn the direct final rule in a notice of withdrawal 
published separately in this issue of the Federal Register. The Coast 
Guard seeks comment on the issues raised by the commenters and proposes 
to make the same changes to the current regulatory text, as modified 
below.

[[Page 60406]]


DATES: Comments and related material must either be submitted to our 
online docket via http://www.regulations.gov on or before November 28, 
2011 or reach the Docket Management Facility by that date.

ADDRESSES: You may submit comments identified by docket number USCG-
2011-0076 using any one of the following methods:
    (1) Federal eRulemaking Portal: http://www.regulations.gov.
    (2) Fax: 202-493-2251.
    (3) Mail: Docket Management Facility (M-30), U.S. Department of 
Transportation, West Building Ground Floor, Room W12-140, 1200 New 
Jersey Avenue, SE., Washington, DC 20590-0001.
    (4) Hand delivery: Same as mail address above, between 9 a.m. and 5 
p.m., Monday through Friday, except Federal holidays. The telephone 
number is 202-366-9329.
    To avoid duplication, please use only one of these four methods. 
See the ``Public Participation and Request for Comments'' portion of 
the SUPPLEMENTARY INFORMATION section below for instructions on 
submitting comments.
    Viewing incorporation by reference material: You may inspect the 
material proposed for incorporation by reference at U.S. Coast Guard 
Headquarters, 2100 Second Street SW., Washington, DC 20593-0001 between 
9 a.m. and 3 p.m. Monday through Friday, except Federal holidays. The 
telephone number is 202-372-1394. 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 proposed 
rule, call or e-mail Ms. Brandi Baldwin, Lifesaving and Fire Safety 
Division (CG-5214), U.S. Coast Guard, telephone 202-372-1394, e-mail 
Brandi.A.Baldwin@uscg.mil. If you have questions on viewing or 
submitting material to the docket, call Renee V. Wright, Program 
Manager, Docket Operations, telephone 202-366-9826.

SUPPLEMENTARY INFORMATION:

Table of Contents for Preamble

I. Public Participation and Request for Comments
    A. Submitting Comments
    B. Viewing Comments and Documents
    C. Privacy Act
    D. Public Meeting
II. Abbreviations
III. Regulatory History
IV. Background
V. Discussion of the Proposed Rule
    A. Incorporations by Reference
    B. Conforming Changes
    C. Regulatory Text Revisions
VI. Incorporation by Reference
VII. Regulatory Analyses
    A. Regulatory Planning and Review
    B. Small Entities
    C. Assistance for Small Entities
    D. Collection of Information
    E. Federalism
    F. Unfunded Mandates Reform Act
    G. Taking of Private Property
    H. Civil Justice Reform
    I. Protection of Children
    J. Indian Tribal Governments
    K. Energy Effects
    L. Technical Standards
    M. Coast Guard Authorization Act Section 608 (46 U.S.C. 2118(a))
    N. Environment

I. Public Participation and Request for Comments

    We encourage you to participate in this rulemaking by submitting 
comments and related materials. All comments received will be posted 
without change to http://www.regulations.gov and will include any 
personal information you have provided.

A. Submitting Comments

    If you submit a comment, please include the docket number for this 
rulemaking (USCG-2011-0076), indicate the specific section of this 
document to which each comment applies, and provide a reason for each 
suggestion or recommendation. You may submit your comments and material 
online or by fax, mail, or hand delivery, but please use only one of 
these means. We recommend that you include your name and a mailing 
address, an e-mail address, or a phone number in the body of your 
document so that we can contact you if we have questions regarding your 
submission.
    To submit your comment online, go to http://www.regulations.gov and 
insert ``USCG-2011-0076'' in the ``Keyword'' box. If you submit your 
comments 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 comments 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 may change this proposed rule based on your 
comments.

B. Viewing Comments and Documents

    To view comments, as well as documents mentioned in this preamble 
as being available in the docket, go to http://www.regulations.gov, 
click on the ``read comments'' box, which will then become highlighted 
in blue. In the ``Keyword'' box insert ``USCG-2011-0076'' and click 
``Search.'' Click the ``Open Docket Folder'' in the ``Actions'' column. 
If you do not have access to the Internet, you may view the docket 
online by visiting the Docket Management Facility in Room W12-140 on 
the ground floor of the Department of Transportation West Building, 
1200 New Jersey Avenue, SE., Washington, DC 20590, between 9 a.m. and 5 
p.m., Monday through Friday, except Federal holidays. We have an 
agreement with the Department of Transportation to use the Docket 
Management Facility.

C. Privacy Act

    Anyone can search the electronic form of comments received into any 
of our dockets by the name of the individual submitting the comment (or 
signing the comment, if submitted on behalf of an association, 
business, labor union, etc.). You may review a Privacy Act notice 
regarding our public dockets in the January 17, 2008 issue of the 
Federal Register (73 FR 3316).

D. Public Meeting

    We do not now plan to hold a public meeting. But you may submit a 
request for one to the docket using one of the methods specified under 
ADDRESSES. In your request, explain why you believe a public meeting 
would be beneficial. If we determine that one would aid this 
rulemaking, we will hold one at a time and place announced by a later 
notice in the Federal Register.

II. Abbreviations

ANSI American National Standards Institute
CFR Code of Federal Regulations
DHS Department of Homeland Security
NEPA National Environmental Policy Act of 1969
NPRM Notice of proposed rulemaking
NTTAA National Technology Transfer and Advancement Act
OMB Office of Management and Budget
PFDs Personal Flotation Devices
STP Standards Technical Panel
UL Underwriters Laboratories
USCG United States Coast Guard

III. Regulatory History

    On March 30, 2011, we published a direct final rule entitled 
``Inflatable Personal Flotation Devices'' in the Federal Register (76 
FR 17561). The Coast Guard received three submissions in response to 
the direct final rule: One supportive of the rulemaking generally, one 
which raised questions about a revision to one of the standards 
incorporated by reference, and one adverse comment related to the 
deletion of the words ``approved for use by

[[Page 60407]]

adults only'' from the regulations. Because we received an adverse 
comment, the Coast Guard is withdrawing the direct final rule in a 
notice of withdrawal published separately in this issue of the Federal 
Register, and issuing this notice of proposed rulemaking (NPRM) 
instead.
    This NPRM proposes the same content as the direct final rule with 
one change to update a version of an industry standard proposed for 
incorporation by reference. The comments received in response to the 
direct final rule are discussed below under ``Discussion of the 
Proposed Rule.''

IV. Background

    The Coast Guard is charged with establishing minimum safety 
standards, and procedures and tests required to measure conformance 
with those standards, for recreational vessels and associated 
equipment. See 46 U.S.C. 4302, and Homeland Security Delegation 
0170.1, section II, paragraph (92)(b). Under this authority, 
in 1995 the Coast Guard promulgated regulations establishing structural 
and performance standards for inflatable recreational PFDs and 
procedures and tests necessary for Coast Guard approval of such PFDs 
meeting the standards. See 46 CFR part 160, subpart 160.076 (Inflatable 
Recreational Personal Floatation Devices); 60 FR 32835 (June 23, 1995). 
Subpart 160.076 incorporates by reference three Underwriters 
Laboratories (UL) Standards 1180, ``Fully Inflatable Personal Flotation 
Devices'' (First Edition); 1191, ``Components for Personal Flotation 
Devices'' (Second Edition); and 1123, ``Marine Buoyant Devices'' (Fifth 
Edition).
    The editions of these UL Standards currently incorporated by 
reference into subpart 160.076 were current when the Coast Guard 
promulgated subpart 160.076 in 1995. However, UL has since published 
newer editions of these Standards that the Coast Guard considers to 
contain technological and safety developments since 1995 that are 
important to codify in subpart 160.076. In this proposed rule, the 
Coast Guard proposes to update the editions of the UL Standards 
incorporated by reference in subpart 160.076.
    The editions of these UL Standards currently incorporated by 
reference in subpart 160.076, as well the editions that will replace 
the currently incorporated versions, limit the use of inflatable PFDs 
to persons at least 16 years of age and weighing more than 80 pounds. 
Therefore, the Coast Guard only approves inflatable PFDs with these age 
and weight limitations. When the Coast Guard promulgated subpart 
160.076, inflatable PFD-technology was relatively new and the 
appropriateness of these devices for children had not yet been 
explored. At that time, the Coast Guard stated, ``The Coast Guard 
agrees with those comments that suggested that approval of inflatable 
PFDs for children is not appropriate at this time. * * * The issue of 
inflatable PFDs for children can be revisited after more experience is 
gained with the approval of inflatable PFDs for adults.'' 60 FR 32839, 
32841. As such, subpart 160.076 currently limits Coast Guard-approved 
inflatable PFDs to ``use by adults only.'' 46 CFR 160.076-1(b)(2).
    Although the Coast Guard is not yet ready to revisit the issue of 
inflatable PFDs for children, the industry has begun considering the 
experience it has gained from adults' usage of inflatable PFDs during 
the past 15 years, as well as advances in inflatable PFD technology, to 
explore the appropriateness of these devices for children and create an 
appropriate standard.
    In 2009, a member of the PFD industry submitted a proposal to the 
UL Standards Technical Panel (STP) proposing new standards for 
inflatable PFDs designed for children. The Coast Guard understands that 
the UL Standards development effort continues to move forward, and 
there may be other standards addressing inflatable PFDs for children in 
development. Inflatable PFDs constructed and tested to any new standard 
adopted by a consensus body, however, would not be eligible for Coast 
Guard approval until that standard is incorporated by reference into 
Coast Guard regulations after consideration of the appropriateness of 
incorporating such a new standard during a rulemaking that includes an 
opportunity for public comment. The Coast Guard plans to initiate such 
a rulemaking in the future and is using this rulemaking to prepare for 
such a rulemaking as discussed below.
    This rulemaking does not constitute approval of the use of 
inflatable PFDs for users under 16 years of age or a proposal for such 
approval. The newer editions of the UL Standards proposed to be 
incorporated by reference in this rule retain requirements for 
inflatable PFDs for adult wearers only. While there are still 
outstanding concerns relative to the considerations for designing an 
inflatable PFD intended for use by wearers under the age of 16, the 
Coast Guard recognizes that these matters are being addressed by UL's 
STP through the American National Standards Institute (ANSI)-accredited 
standards development process. The Coast Guard actively participates in 
the STP and continues to work cooperatively with the PFD industry to 
develop appropriate design, testing, and marking requirements for 
inflatable PFDs for use by children. This rule would facilitate and 
encourage the continuation of this process, but is not intended to 
resolve any technical issues.

V. Discussion of the Proposed Rule

    The Coast Guard proposes to revise 46 CFR part 160, subpart 160.076 
to update the editions of the UL Standards incorporated by reference 
and to make necessary conforming changes resulting from incorporating 
the updated standards. The conforming changes would include removing 
test methods, acceptance criteria, and other standards currently 
contained in subpart 160.076 that are made redundant by the newer 
editions of the UL Standards. The Coast Guard also proposes to make 
minor regulatory text revisions to subpart 160.076 that have a non-
substantive effect.
    In response to the direct final rule, which included the same 
content as proposed below, one commenter expressed support, citing the 
removal of barriers to the development of innovative PFDs as leading to 
an expected improvement in the quality and variety of inflatable 
lifejackets available to the public. The Coast Guard appreciates the 
support and seeks public comment on the proposed rule.

A. Incorporations by Reference

    The proposal to update the standards incorporated by reference in 
46 CFR 160.076-11 is intended to harmonize the requirements for Coast 
Guard approval of recreational inflatable PFDs with voluntary industry 
consensus standards.
    The updated UL Standards proposed for incorporate by reference are 
as follows:
     UL 1180, ``UL Standard for Safety for Fully Inflatable 
Recreational Personal Flotation Devices,'' is updated from the May 1995 
version (First Edition) to the February 2009 version (Second Edition);
     UL 1191, ``UL Standard for Safety for Components for 
Personal Flotation Devices'' is updated from the May 1995 version 
(Second Edition) to the August 2011 version (Fourth Edition); and
     UL 1123, ``UL Standard for Safety for Marine Buoyant 
Devices,'' is updated from the February 1995 version (Fifth Edition) to 
the October 2008 version (Seventh Edition).
    These updated versions of the UL Standards include revisions that 
have

[[Page 60408]]

been evaluated and adopted by UL's STP, the ANSI-accredited Standards 
Development Organization for these standards, and reflect the industry-
wide consensus standard for design, manufacturing, and testing of 
inflatable PFDs and PFD components. As discussed above in the 
``Background'' section, the Coast Guard participated fully in the 
development of these standards through its representation on the STP.
1. UL 1180
    UL 1180, ``UL Standard for Safety for Fully Inflatable Recreational 
Personal Flotation Devices,'' contains the design, construction, 
testing, and performance requirements for fully inflatable recreational 
PFDs for users over 16 years of age and weighing at least 80 pounds. 
Significant revisions in the Second Edition of UL 1180 from the First 
Edition include a revision to the temperature cycling test and the 
addition of testing requirements for an optional buddy line. The 
revision to the temperature cycle narrows the range of temperature 
extremes to harmonize with international test methods in the 
International Organization for Standardization's ISO 12402-9 ``Personal 
flotation devices--Part 9: Test methods.'' The additional testing 
requirements for an optional buddy line provides the test procedures 
and acceptance criteria for an inflatable PFD equipped with a buddy 
line. This addition only impacts manufacturers who choose to equip 
inflatable PFDs with the optional buddy line.
    In a response to industry seeking approval for inflatable PFD 
designs not covered by UL 1180 First Edition, the Second Edition also 
includes four new supplements containing requirements for user-assisted 
inflatable PFDs, user-convertible manual/automatic inflatable PFDs, 
manual inflators without cylinder seal indication, and inflatable work 
vests. The supplements address design innovations that manufacturers 
developed after publication of the First Edition.
    By incorporating by reference UL 1180 Second Edition with these 
four new supplements, user-assisted inflatable PFDs, user-convertible 
manual/automatic inflatable PFDs, manual inflators without cylinder 
seal indication, and inflatable work vests would be able to be approved 
under proposed 46 CFR part 160, subpart 160.076 setting forth design 
and performance standards for these types of inflatable PFDs. 
Currently, in order to review these design innovations for Coast Guard 
approval, the Coast Guard has been evaluating each submitted design 
innovation in accordance with 46 CFR 160.076-16(g)(2) for an equivalent 
measure of safety to the specific standards in subpart 160.076. Section 
160.076-13(g)(2) provides for Coast Guard approval of an inflatable PFD 
that does not meet the specific standards in subpart 160.076 if the PFD 
``provides at least the same degree of safety provided by other PFDs 
that meet the requirements of this subpart.'' See also 46 CFR 159.005-
7(e) (providing for similar ``equivalent'' approval, not specific to 
PFDs, for lifesaving equipment that ``has equivalent performance 
characteristics'' and ``is at least as effective as [equipment] that 
meets the requirements [in relevant Coast Guard regulations]''). The 
Coast Guard has been evaluating and approving user-assisted inflatable 
PFDs, user-convertible manual/automatic inflatable PFDs, manual 
inflators without cylinder seal indication, and inflatable work vests 
under 46 CFR 160.076-13(g)(2) because the Coast Guard has determined 
that they provide at least the same degree of safety that is provided 
by inflatable PFDs meeting the standards in subpart 160.076. This 
rulemaking would make this extra evaluation under 46 CFR 160.076-
13(g)(2) unnecessary for user-assisted inflatable PFDs, user-
convertible manual/automatic inflatable PFDs, manual inflators without 
cylinder seal indication, and inflatable work vests; these types of 
PFDs would be reviewed for compliance with the specific standards set 
forth in the proposed subpart 160.076.
    UL 1180 Second Edition also includes the option for the laboratory 
conducting required performance tests to use youth subjects who fit the 
necessary size requirements (e.g., weight and chest circumference) in 
the testing of adult-sized PFDs, where appropriately sized adult 
subjects are not available. This new option, however, would not affect 
the Coast Guard approval of inflatable PFDs for use by adults only. Use 
of youth subjects is limited to performance testing only.
    UL 1180 Second Edition also includes editorial changes to correct 
typos and erroneous internal references. These editorial changes 
clarify the requirements for the body, primary closure, collar, 
shoulder, and secondary closure strength tests; revise the format of 
the labels required by 46 CFR 160.076-39, but do not change the 
required information; add a definition of ``white-water paddling''; 
move component and material tests from UL 1180 to UL 1191; and renumber 
the paragraphs in UL 1180. These changes would have no substantive 
effect on Coast Guard approval of inflatable PFDs.
2. UL 1191
    UL 1191, ``UL Standard for Safety for Components for Personal 
Flotation Devices,'' contains the construction, testing, and 
performance requirements for the materials and components used in the 
construction of PFDs generally. Several revisions in the Fourth Edition 
of UL 1191 from the Second Edition are not relevant to this rulemaking 
because the revisions address only inherently buoyant and hybrid PFDs, 
not inflatable PFDs. This rulemaking only addresses inflatable PFDs, 
and incorporating by reference the Fourth Edition into 46 CFR part 160, 
subpart1 160.076 only incorporates the portions of UL 1191 pertaining 
to inflatable PFDs.
    In the direct final rule, the Coast Guard intended to incorporate 
the December 2008 version of the Fourth Edition of UL 1911 (including 
changes through February 27, 2009). One commenter expressed 
disagreement with a specific revision made to that version of UL 1191, 
which increased the tolerance for the minimum gross weight of inflation 
gas cylinders from 10% to 15%. Following publication of the direct 
final rule, UL 1191 was revised in August 2011 to return this value to 
10%. No other changes were made in the August 2011 revision. The Coast 
Guard proposes to incorporate the most current version of the Fourth 
Edition of UL 1991, which includes changes through August 2011, and 
which contains the revision to the tolerance on the minimum gross 
weight of inflation gas cylinders.
    The other most notable substantive changes in UL 1191 Fourth 
Edition specific to inflatable PFDs are the addition of testing and 
performance standards for automatic and convertible manual/automatic 
inflation systems. When the Coast Guard first promulgated 46 CFR part 
160, subpart 160.076 in 1995, the only design for an inflatable PFD 
involved manual activation of the inflation mechanism. Since then, 
automatic and convertible manual/automatic inflation systems have been 
developed, and nearly half of the inflatable PFD designs available in 
the U.S. market utilize automatic inflation. The addition of testing 
and performance standards for automatic and convertible manual/
automatic inflation systems covers the innovative designs created by 
manufacturers since the Second Edition. As discussed above, the Coast 
Guard has been approving inflatable PFDs using automatic or convertible 
manual/automatic inflation systems under 46 CFR 160.076-13(g)(2) 
because they

[[Page 60409]]

provide at least the same degree of safety provided by inflatable PFDs 
meeting the standards in 46 CFR part 160, subpart 160.076. By 
incorporating UL 1191 Fourth Edition, inflatable PFDs using automatic 
or convertible manual/automatic inflation systems would be approved 
under the specific standards set forth in proposed subpart 160.076, 
rather than as equivalent safety devices.
    UL 1191 Fourth Edition includes minor substantive changes from the 
Second Edition that provide greater flexibility to manufacturers in 
performing required tests or clarify existing requirements. The Fourth 
Edition eliminates the perchloroethylene exposures during the 
Operability/Discharge Test because this test was determined not to be 
representative of the user environment of an inflatable PFD and 
therefore inapplicable as a safety test. The Fourth Edition also adds 
Xenon exposure as an optional accelerated weathering method to provide 
manufacturers another option to choose from for the required weathering 
tests. The Fourth Edition includes, for the first time, specifications 
for the water hardness and liquid detergent used for conditioning PFD 
components and materials to clarify certain test requirements and 
ensure repeatable test results. The Fourth Edition adds clarifying 
language to the test procedure for evaluating torsional stiffness of 
tie tapes.
    The Fourth Edition also includes one substantive change to 
incorporate directly in UL 1191 a portion of the requirements currently 
contained in subpart 160.076. The Fourth Edition contains the 
additional marking requirements for inflation systems currently 
required by 46 CFR 160.067-39(e). Because the Fourth Edition includes 
the additional marking requirements, these requirements would be 
deleted from the regulatory text in section 160.067-39(e), as discussed 
below in the ``Conforming Changes'' section.
    The Fourth Edition also includes editorial changes to correct typos 
and references to clarify the inflation system discharge test procedure 
and the maximum crack pressure for the operability test.
3. UL 1123
    UL 1123, ``UL Standard for Safety for Marine Buoyant Devices,'' 
contains the design, construction, testing, and performance 
requirements for inherently buoyant recreational PFDs. The Coast Guard 
uses this standard in 46 CFR part 160, subpart 160.076 only to define 
the format and content of the informational pamphlet required by 46 CFR 
160.076-35. The only revision in UL 1123 Seventh Edition relevant to 
inflatable PFDs is the removal of the statement in the standard 
erroneously indicating a sole publisher of the pamphlet. As such, this 
revision would have no impact on Coast Guard approval of inflatable 
PFDs.

B. Conforming Changes

    Because of the aforementioned proposed updates to the UL Standards 
incorporated by reference, the Coast Guard proposes to make several 
conforming changes to the regulatory text to account for the revisions 
in the newer editions of the UL Standards.
    The Coast Guard proposes to remove regulatory text that addresses 
requirements for inflatable PFDs that are contained in the UL 1180 
Second Edition or UL 1191 Fourth Edition. Specifically, the Coast Guard 
proposes to delete from 46 CFR 160.076-21(b)-(c) and 160.076-
25(d)(2)(i)-(iv) the requirements and acceptance criteria for the grab 
breaking strength, tear strength, seam strength, and permeability tests 
for inflation chamber materials, which are included in the UL 1191 
Fourth Edition. The Coast Guard also proposes to delete the repacking 
and rearming test from 45 CFR 160.076-25(c) and the requirements for 
marking inflation mechanisms from 46 CFR 160.076-21(d) and 160.076-
39(e) because these provisions are included in the UL 1180 Second 
Edition. The deletion of this regulatory text would have no substantive 
effect on the requirements for Coast Guard approval of recreational 
inflatable PFDs, because the requirements are retained in the updated 
UL Standards incorporated by reference in revised 46 CFR 160.076-11. 
Because incorporating a standard by reference is treated as if the 
requirements of the standards are published in the CFR, retaining this 
regulatory text would be redundant.
    The Coast Guard also proposes to remove standards currently 
incorporated by reference in subpart 160.076 that would apply through 
the newer edition of UL 1191. Because these standards would still apply 
to inflatable PFDs through the UL 1191 Fourth Edition incorporated by 
reference in subpart 160.076, it would be redundant to retain the 
standards in subpart 160.076 text. Specifically, the Coast Guard 
proposes to remove Federal Test Method Standard No. 191A (Federal 
Standard for Textile Test Methods), American Society for Testing and 
Materials' ASTM D 751-95 (Standard Test Methods for Coated Fabrics), 
and ASTM D 1434-82 (Standard Test Method for Determining Gas 
Permeability Characteristics of Plastic Film and Sheeting), because 
those standards, or equivalent test methods, are referenced in UL 1191 
Fourth Edition.
    Finally, for the updated standards, the Coast Guard proposes 
editorial changes throughout the subpart to resolve references to 
deleted paragraphs, to update or remove cross-references to specific 
sections of the UL Standards, and to conform the formatting of 
incorporated references to current Federal Register requirements.

C. Regulatory Text Revisions

    To prepare for a future rulemaking addressing inflatable PFDs for 
use by children, the Coast Guard proposes to remove from Sec.  160.076-
1 (Scope) the words ``approved for use by adults only.'' This removal, 
however, would have no substantive effect on Coast Guard approval of 
inflatable PFDs because the editions of the UL Standards that would 
replace the editions currently incorporated by reference in subpart 
160.076 still limit the use of inflatable PFDs to persons who are at 
least 16 years of age and weigh more than 80 pounds. Removing these 
words would prepare subpart 160.076 for a future rulemaking because, if 
the Coast Guard decides as part of that future rulemaking to extend the 
use of inflatable PFDs to children, the Coast Guard anticipates it will 
do so by again updating the standards incorporated by reference, which 
would be the only place in subpart 160.076 that contains age and weight 
limitations after the effective date of this proposed rulemaking.
    In response to the direct final rule, one commenter expressed 
concern that deleting the words ``approved for use by adults only'' 
would create a perception that inflatable PFDs for youth would be 
available on the date the rule went into effect, would facilitate teens 
using existing inflatable PFDs, and would enable marketing of existing 
inflatable PFDs to youth. The commenter also expressed concern that 
this rulemaking is premature in light of work that still needs to be 
done to evaluate sizing requirements for infant or child PFDs. The 
Coast Guard seeks comment on this issue.
    The Coast Guard also proposes revising Sec.  160.076-19 (Recognized 
laboratories) to replace the reference to Underwriters Laboratories 
(UL) as the sole recognized laboratory for testing of inflatable PFDs 
and PFD components with a reference to the Coast Guard's Marine 
Information Exchange (CGMIX) Web site, where all Coast Guard-

[[Page 60410]]

recognized laboratories are listed. When subpart 160.076 was initially 
published in 1995, UL was, and currently continues to be, the only 
laboratory recognized by the Coast Guard for approval testing and 
production oversight of Coast Guard-approved inflatable PFDs under this 
subpart. However, additional laboratories may be recognized by the 
Coast Guard to perform these functions. In order to maintain a listing 
of recognized laboratories outside of the regulatory text consistent 
with such listings and information for other types of lifesaving 
equipment, the Coast Guard proposes to replace the list in subpart 
160.076 with the reference to where to find the list on the CGMIX.

VI. Incorporation by Reference

    Material proposed for incorporation by reference appears in 
proposed 46 CFR 160.076-11. 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 paragraph (b) of 
Sec.  160.076-11.
    Before publishing a binding rule, the Coast Guard will submit this 
material to the Director of the Federal Register for approval of the 
incorporation by reference.

VII. Regulatory Analyses

    We developed this rule after considering numerous statutes and 
executive orders related to rulemaking. Below we summarize our analyses 
based on 14 of these statutes or executive orders.

A. Regulatory Planning and Review

    Executive Orders 12866 (``Regulatory Planning and Review'') and 
13563 (``Improving Regulation and Regulatory Review'') direct agencies 
to assess the costs and benefits of available regulatory alternatives 
and, if regulation is necessary, to select regulatory approaches that 
maximize net benefits (including potential economic, environmental, 
public health and safety effects, distributive impacts, and equity). 
Executive Order 13563 emphasizes the importance of quantifying both 
costs and benefits, of reducing costs, of harmonizing rules, and of 
promoting flexibility. This NPRM has not been designated a 
``significant regulatory action'' under section 3(f) of Executive Order 
12866. Accordingly, the NPRM has not been reviewed by the Office of 
Management and Budget. A draft regulatory assessment follows:
    The Coast Guard does not expect this rulemaking to result in 
additional costs to industry, as manufacturers of Coast Guard-approved 
inflatable PFDs already follow the editions of the UL Standards being 
incorporated by reference into 46 CFR part 160, subpart 160.076 by this 
rulemaking. The Coast Guard requires approval tests to be performed by 
an independent laboratory recognized by the Coast Guard under 46 CFR 
part 159, subpart 159.010. Currently, UL is the only recognized 
independent laboratory for inflatable PFDs, and UL requires 
manufacturers to conform to its most current standards, which are the 
editions being incorporated by reference into subpart 160.076. 
Additionally, UL offers a certification for recreational inflatable 
PFDs that conform to UL's most current standards. The UL certification 
provides a product liability benefit to manufacturers, and obtaining 
the UL certification has become an industry custom for manufacturers of 
commercially-sold recreational inflatable PFDs.
    As described above, industry is currently following the editions of 
the UL Standards incorporated by reference into subpart 160.076 in this 
rulemaking, and PFD manufacturers will adhere to these standards 
regardless of whether this rule is promulgated. Therefore, this 
modification to 46 CFR part 160, subpart 160.076 is not expected to 
impose a burden on industry.
    In addition, the Coast Guard does not expect removing the language 
``approved for use by adults only'' in 46 CFR 160.076-1 to have a 
substantive impact because the Coast Guard will continue approving 
recreational inflatable PFDs with the current age and weight 
limitations. As discussed above in the ``Discussion of the Rule'' 
section, the age and weight limitations are found in current editions 
of the UL Standards incorporated in subpart 160.076 and are retained in 
the newer editions of the UL Standards proposed to be incorporated by 
reference into subpart 160.076 in this rulemaking. The remaining 
changes to subpart 160.076 are minor editorial updates. Please see the 
``Discussion of the Rule'' section above for additional details.
    The primary benefit of this rulemaking would be the increase in 
regulatory efficiencies in the maritime community by harmonizing Coast 
Guard regulations in 46 CFR part 160, subpart 160.076 with current 
voluntary industry consensus standards. This rulemaking would result in 
greater consistency between Coast Guard regulations and consensus 
standards and would reduce burdens on manufacturers who currently have 
to maintain multiple editions of the UL Standards to comply with Coast 
Guard regulations, to use UL as an independent laboratory to perform 
required tests, and to obtain the UL certification. This rulemaking 
would also result in better compliance with the National Technology 
Transfer and Advancement Act (NTTAA), which directs agencies to use 
voluntary consensus standards in their regulatory activities.
    Because the rulemaking would harmonize subpart 160.076 with 
existing UL Standards, any ambiguity associated with inflatable PFD 
standards would be reduced. Harmonization of these standards is 
important to fulfill the Coast Guard's mission of establishing minimum 
safety standards, and procedures and tests required to measure 
conformance with those standards, for recreational vessels and 
associated equipment.

B. Small Entities

    Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have 
considered whether this rulemaking 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 fewer than 
50,000 people.
    The Coast Guard expects that this rule would not have an impact on 
small entities. As described in the ``Regulatory Planning and Review'' 
section, we do not expect this rule would result in additional costs to 
industry. However, this rule would improve efficiency by providing 
consistency between Coast Guard regulations and UL Standards. 
Therefore, the Coast Guard certifies that under 5 U.S.C. 605(b), this 
proposed rule, if promulgated, will not have a significant economic 
impact on a substantial number of small entities.
    If you think that your business, organization, or governmental 
jurisdiction qualifies as a small entity and that this rule would have 
a significant economic impact on it, please submit a comment to the 
Docket Management Facility at the address under ADDRESSES. In your 
comment, explain why you think your business or organization qualifies, 
as well as how and to what degree this rule will economically affect 
it.

C. Assistance for Small Entities

    Under section 213(a) of the Small Business Regulatory Enforcement 
Fairness Act of 1996 (Pub. L. 104-121), we offer to assist small 
entities in understanding the rule so that they can

[[Page 60411]]

better evaluate its effects on them and participate in the rulemaking 
process.
    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). The Coast Guard will not retaliate against small 
entities that question or complain about this rule or any policy or 
action of the Coast Guard.

D. 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).

E. Federalism

    A rule has implications for federalism under Executive Order 13132, 
Federalism, if the rule 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. We have analyzed this 
rule under that Order and have determined that it does not have 
implications for federalism.

F. Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538) 
requires Federal agencies to assess the effects of their discretionary 
regulatory actions. In particular, the Act addresses actions that may 
result in the expenditure by a State, local, or tribal government, in 
the aggregate, or by the private sector of $100,000,000 (adjusted for 
inflation) or more in any one year. Though this rule would not result 
in such an expenditure, we do discuss the effects of this rule 
elsewhere in this preamble.

G. Taking of Private Property

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

H. Civil Justice Reform

    This rule meets the applicable standards in sections 3(a) and 
3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize 
litigation, eliminate ambiguity, and reduce burden.

I. Protection of Children

    We have analyzed this rule under Executive Order 13045, Protection 
of Children from Environmental Health Risks and Safety Risks. This rule 
is not an economically significant rule and would not create an 
environmental risk to health or risk to safety that may 
disproportionately affect children.

J. Indian Tribal Governments

    This rule does not have tribal implications under Executive Order 
13175, Consultation and Coordination with Indian Tribal Governments, 
because it would not have a substantial direct effect on one or more 
Indian tribes, on the relationship between the Federal Government and 
Indian tribes, or on the distribution of power and responsibilities 
between the Federal Government and Indian tribes.

K. Energy Effects

    We have analyzed this rule under Executive Order 13211, Actions 
Concerning Regulations That Significantly Affect Energy Supply, 
Distribution, or Use. We have determined that it is not a ``significant 
energy action'' under that order because it is not a ``significant 
regulatory action'' under Executive Order 12866 and is not likely to 
have a significant adverse effect on the supply, distribution, or use 
of energy. The Administrator of the Office of Information and 
Regulatory Affairs has not designated it as a significant energy 
action. Therefore, it does not require a Statement of Energy Effects 
under Executive Order 13211.

L. Technical Standards

    The National Technology Transfer and Advancement Act (NTTAA) (15 
U.S.C. 272 note) directs agencies to use voluntary consensus standards 
in their regulatory activities unless the agency provides Congress, 
through the Office of Management and Budget, with an explanation of why 
using these standards would be inconsistent with applicable law or 
otherwise impractical. Voluntary consensus standards are technical 
standards (e.g., specifications of materials, performance, design, or 
operation; test methods; sampling procedures; and related management 
systems practices) that are developed or adopted by voluntary consensus 
standards bodies.
    This rule uses the following voluntary consensus standards: UL 
1123, ``UL Standard for Safety for Marine Buoyant Devices''; UL 1180, 
``UL Standard for Safety for Fully Inflatable Recreational Personal 
Flotation Devices''; and UL 1191, ``UL Standard for Safety for 
Components for Personal Flotation Devices.''

M. Coast Guard Authorization Act Sec. 608 (46 U.S.C. 2118(a))

    Section 608 of the Coast Guard Authorization Act of 2010 (Pub. L. 
111-281) adds new section 2118 to 46 U.S.C. Subtitle II (Vessels and 
Seamen), Chapter 21 (General). New section 2118(a) sets forth 
requirements for standards established for approved equipment required 
on vessels subject to 46 U.S.C. Subtitle II (Vessels and Seamen), Part 
B (Inspection and Regulation of Vessels). Those standards must be ``(1) 
based on performance using the best available technology that is 
economically achievable; and (2) operationally practical.'' See 46 
U.S.C. 2118(a). This rulemaking addresses inflatable recreational PFDs 
for Coast Guard approval that are required on vessels subject to 46 
U.S.C. Subtitle II, Part B, and the Coast Guard has ensured this rule 
satisfies the requirements of 46 U.S.C. 2118(a), as necessary.

N. Environment

    We have analyzed this rule under Department of Homeland Security 
Management Directive 023-01 and Commandant Instruction M16475.lD, which 
guide the Coast Guard in complying with the National Environmental 
Policy Act of 1969 (NEPA)(42 U.S.C. 4321-4370f), and have made a 
preliminary determination that this action is one of a category of 
actions that does not individually or cumulatively have a significant 
effect on the human environment. A preliminary environmental analysis 
checklist supporting this determination is available in the docket 
where indicated under the ``Public Participation and Request for 
Comments'' section of this preamble. This rule involves personal 
flotation device standards and falls under regulations concerning 
safety equipment described in section 6(a) of the ``Appendix to 
National Environmental Policy Act: Coast Guard Procedures for 
Categorical Exclusions, Notice of Final Agency Policy'' (67 FR 48244, 
July 23, 2002). We seek any comments or information that may lead to 
the discovery of a significant environmental impact from this proposed 
rule.

List of Subjects in 46 CFR Part 160

    Marine safety, Incorporation by reference, Reporting and 
recordkeeping requirements.

    For the reasons discussed in the preamble, the Coast Guard proposes 
to amend 46 CFR part 160 as follows:

[[Page 60412]]

PART 160--LIFESAVING EQUIPMENT

    1. The authority citation for part 160 is revised to read as 
follows:

    Authority: 46 U.S.C. 2103, 3306, 3703 and 4302; E.O. 12234; 45 
FR 58801; 3 CFR, 1980 Comp., p. 277; 49 CFR 1.46; and Department of 
Homeland Security Delegation No. 0170.1.

    2. Revise Sec.  160.076-1 to read as follows:


Sec.  160.076-1  Scope.

* * * * *
    (b) Inflatable PFDs approved under this subpart rely entirely upon 
inflation for buoyancy.


Sec.  160.076-7  [Amended]

    3. Amend Sec.  160.076-7(b) by adding the words ``(incorporated by 
reference, see 160.076-11)'' after the words ``UL 1180''.


Sec.  160.076-9  [Amended]

    4. Amend Sec.  160.076-9(b) by adding the words ``(incorporated by 
reference, see 160.076-11)'' after the words ``UL 1180''.
    5. Amend Sec.  160.076-11 as follows:
    a. In paragraph (a), remove the first occurrence of the words 
``paragraph (b) of'', which appears after the words ``one listed in''.
    b. Revise paragraph (b) to read as follows:


Sec.  160.076-11  Incorporation by reference.

* * * * *
    (b) Underwriters Laboratories (UL) Underwriters Laboratories, Inc., 
333 Pfingsten Road, Northbrook, IL 60062-2096 (Phone (847) 272-8800; 
Facsimile: (847) 272-8129).
    (1) UL Standard for Safety for Marine Buoyant Devices, UL 1123, 
Seventh Edition including revisions through February 14, 2011, October 
1, 2008, (``UL 1123''), incorporation by reference approved for Sec.  
160.076-35.
    (2) UL Standard for Safety for Fully Inflatable Recreational 
Personal Flotation Devices, UL 1180, Second Edition including revisions 
through December 3, 2010, February 13, 2009, (``UL 1180''), 
incorporation by reference approved for Sec. Sec.  160.076-7; 160-076-
9; 160.076-21; 160.076-23; 160.076-25; 160.076-31; 160.076-37; and 
160.076-39.
    (3) UL Standard for Safety for Components for Personal Flotation 
Devices, UL1191, Fourth Edition including revisions through August 24, 
2011, December 12, 2008, (``UL 1191''), incorporation by reference 
approved for Sec. Sec.  160.076-21; 160.076-25; 160.076-29; and 
160.076-31.
    6. Revise Sec.  160.076-19 to read as follows:


Sec.  160.076-19  Recognized laboratories.

    The approval and production oversight functions that this subpart 
requires to be conducted by a recognized laboratory must be conducted 
by an independent laboratory recognized by the Coast Guard under 
subpart 159.010 of part 159 of this chapter to perform such functions. 
A list of recognized independent laboratories is available from the 
Commandant and online at http://cgmix.uscg.mil.
    7. Revise Sec.  160.076-21 to read as follows:


Sec.  160.076-21  Component materials.

    Each component material used in the manufacture of an inflatable 
PFD must--
    (a) Meet the applicable requirements of subpart 164.019 of this 
chapter, UL 1191 and UL 1180 (incorporated by reference, see Sec.  
160.076-11), and this section; and
    (b) Be of good quality and suitable for the purpose intended.


Sec.  160.076-23  [Amended]

    8. Amend Sec.  160.076-23 by adding the words ``(incorporated by 
reference, see Sec.  160.076-11)'' after the words ``UL 1180''.
    9. Amend Sec.  160.076-25 as follows:
    a. In paragraph (a), after the words ``UL 1180'', add the words 
``(incorporated by reference, see Sec.  160.076-11)'';
    b. Remove and reserve paragraph (c); and
    c. Revise paragraph (d) to read as follows.


Sec.  160.076-25  Approval Testing.

* * * * *
    (d) Each PFD design must be visually examined for compliance with 
the construction and performance requirements of Sec. Sec.  160.076-21 
and 160.076-23 and UL 1180 and UL 1191 (incorporated by reference, see 
Sec.  160.076-11).
* * * * *
    10. Amend Sec.  160.076-29 as follows:
    a. In paragraph (d), remove the words ``in accordance with UL 
1180''; and
    b. Revise paragraph (e)(4)(i) to read as follows:


Sec.  160.076-29  Production oversight.

* * * * *
    (e) * * *
    (4) * * *
    (i) Samples must be selected from each lot of incoming material. 
Unless otherwise specified, Table 29.1 of UL 1191 (incorporated by 
reference, see Sec.  160.076-11) prescribes the number of samples to 
select.
* * * * *


Sec.  160.076-31  [Amended]

    11. Amend Sec.  160.076-31 as follows:
    a. In paragraph (c)(1), remove the words ``The average and 
individual results of testing the minimum number of samples prescribed 
by Sec.  160.076-25(d)(2)'' and add, in their place, the words ``The 
materials in each inflatable chamber''; and remove the words ``Sec.  
160.076-21(b) and (c)'' and add, in their place, the words ``Table 29.1 
of UL 1191 (incorporated by reference, see Sec.  160.076-11)'';
    b. In paragraph (c)(2), remove the words ``Sec.  160.076-
21(d)(2)(iv). The results for each inflation chamber must be at least 
90% of the results obtained in approval testing'' and add, in their 
place, the words ``Table 29.1 of UL 1191.'';
    c. In paragraph (c)(3), after the words ``UL 1180'', add the words 
``(incorporated by reference, see Sec.  160.076-11)'', and remove the 
number ``7.15'', and add, in its place, the number ``41'';
    d. In paragraph (c)(4), after the words ``UL 1180'', remove the 
number ``7.16'', and add, in its place, the number ``42'';
    e. In paragraph (c)(5), after the words ``UL 1180'', remove the 
words ``7.2.2, 7.2.10, except 7.2.5'' and add, in their place, the 
number ``29''; and
    f. In paragraph (c)(6), after the words ``UL 1180'', remove the 
words ``7.4.1 and .2'' and add, in their place, the number ``31''.


Sec.  160.076-35  [Amended]

    12. Amend Sec.  160.076-35 by adding the words ``(incorporated by 
reference, see Sec.  160.076-11)'' after the words ``UL 1123''.


Sec.  160.076-37  [Amended]

    13. Amend Sec.  160.076-37(b) by removing the words ``section 11 of 
'' after the words ``specified in'' and by adding the words 
``(incorporated by reference, see Sec.  160.076-11)'' after the words 
``UL 1180''.


Sec.  160.076-39  [Amended]

    14. Amend Sec.  160.076-39 as follows:
    a. In Sec.  160.076-39(a), remove the words ``section 10'' after 
the words ``UL 1180'' and add, in their place, the words 
``(incorporated by reference, see Sec.  160.076-11)''; and
    b. Remove paragraph (e).

    Dated: September 23, 2011.
J.G. Lantz,
Director of Commercial Regulations and Standards, U.S. Coast Guard.
[FR Doc. 2011-25034 Filed 9-28-11; 8:45 am]
BILLING CODE 9110-04-P


