98-9429. Implementation of the National Invasive Species Act of 1996 (NISA)  

  • [Federal Register Volume 63, Number 69 (Friday, April 10, 1998)]
    [Proposed Rules]
    [Pages 17782-17792]
    From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
    [FR Doc No: 98-9429]
    
    
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    DEPARTMENT OF TRANSPORTATION
    
    Coast Guard
    
    33 CFR Part 151
    
    [USCG-98-3423]
    RIN 2115-AD98
    
    
    Implementation of the National Invasive Species Act of 1996 
    (NISA)
    
    AGENCY: Coast Guard, DOT.
    
    ACTION: Notice of proposed rulemaking.
    
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    SUMMARY: To comply with the National Invasive Species Act of 1996 
    (NISA), the Coast Guard proposes both regulations and voluntary 
    guidelines to control the invasion of aquatic nuisance species (ANS). 
    Ballast water from ships is the largest pathway for the 
    intercontinental introduction and spread of ANS. This rulemaking would 
    amend existing regulations for the Great Lakes ecosystem, establish 
    voluntary ballast water exchange guidelines for all other waters of the 
    United States, and
    
    [[Page 17783]]
    
    establish mandatory reporting and sampling procedures for nearly all 
    vessels entering U.S. waters. Under this proposed rule, a self-policing 
    program would be established where ballast water exchange is initially 
    voluntary outside of the Great Lakes ecosystem. However, if the rate of 
    compliance is found to be inadequate, or if vessel operators fail to 
    submit mandatory ballast water reports to the U.S. Coast Guard, the 
    voluntary guidelines will become mandatory and will carry civil and 
    criminal penalties. Also, the requirements of subpart C of 33 CFR part 
    151, which implements the provisions of NISA, would be rewritten in a 
    question and answer format and narrative text would be reformatted into 
    a more user-friendly table to help owners, operators, and others find 
    out which requirements of subpart C apply to them.
    
    DATES: Comments must reach the Coast Guard on or before June 9, 1998. 
    Comments sent to the Office of Management and Budget (OMB) on 
    collection of information must reach OMB on or before June 9, 1998.
    
    ADDRESSES: You may mail comments to the Docket Management Facility, 
    [USCG-98-3423], U.S. Department of Transportation (DOT), room PL-401, 
    400 Seventh Street SW., Washington DC 20590-0001, or deliver them to 
    room PL-401, located on the Plaza Level of the Nassif Building at the 
    same address between 10 a.m. and 5 p.m., Monday through Friday, except 
    Federal holidays. The telephone number is 202-366-9329. You may also E-
    mail comments using the Marine Safety and Environmental Protection 
    Regulations Web Page at http://www.uscg.mil/hq/g-m/gmhome.htm. You must 
    also mail comments on collection of information to the Office of 
    Information and Regulatory Affairs, Office of Management and Budget, 
    725 17th Street, NW., Washington, DC 20593, ATTN: Desk Officer, U.S. 
    Coast Guard.
        The Docket Management Facility maintains the public docket for this 
    rulemaking. Comments, and documents as indicated in this preamble, will 
    become part of this docket and will be available for inspection or 
    copying at room PL-401, located on the Plaza Level of the Nassif 
    Building at the same address between 10 a.m. and 5 p.m., Monday through 
    Friday, except Federal holidays. You may electronically access the 
    public docket on the Internet at http://dms.dot.gov. You can get the 
    International Maritime Organization publications and documents referred 
    to in this preamble from the International Maritime Organization, 
    Publications Section, 4 Albert Embankment, London SE1 7SR, England.
    
    FOR FURTHER INFORMATION CONTACT: For information on the public docket, 
    contact Carol Kelley, Coast Guard Dockets Team Leader, or Paulette 
    Twine, Chief, Documentary Services Division, U.S. Department of 
    Transportation, telephone 202-366-9329. For information on the notice 
    of proposed rulemaking provisions, contact Lieutenant Larry Greene, 
    Project Manager, U.S. Coast Guard Headquarters, Office of Response (G-
    MOR), telephone 202-267-0500.
    
    SUPPLEMENTARY INFORMATION:
    
    Request for Comments
    
        The Coast Guard encourages you to submit written data, views, or 
    arguments. If you submit comments, you should include your name and 
    address, identify this notice [USCG-98-3423] and the specific section 
    or question in this document to which your comments apply, and give the 
    reason for each comment. Please submit one copy of all comments and 
    attachments in an unbound format, no larger than 8\1/2\ by 11 inches, 
    suitable for copying and electronic filing to the DOT Docket Management 
    Facility at the address under ADDRESSES. If you want us to acknowledge 
    receiving your comments, please enclose a stamped, self-addressed 
    postcard or envelope.
        The Coast Guard will consider all comments received during the 
    comment period. It may change this proposed rule in view of the 
    comments.
        The Coast Guard may schedule a public meeting depending on input 
    received in response to this notice. You may request a public meeting 
    by submitting a request to the Marine Safety Council where listed under 
    ADDRESSES. The request should include the reasons why a meeting would 
    be beneficial. If the Coast Guard determines that a public meeting 
    should be held, it will hold the meeting at a time and place announced 
    by a later notice in the Federal Register.
    
    Background and Purpose
    
    The Problem
    
        Nonindigenous or exotic aquatic nuisance species (ANS) are invading 
    U.S. waters at a significant and increasing rate, causing serious 
    environmental impacts, economic losses, and threats to public health. 
    Although many nonindigenous species are benign, others have displaced 
    or threatened the existence of native species, devastated commercial 
    and recreational fish stocks, disrupted nutrient balances, and opened 
    new pathways for the spread of pathogens and the bioaccumulation of 
    toxic chemicals.
        Invasions of ANS are a form of biological pollution that is 
    qualitatively different from any other form of pollution because ANS 
    invaders can never be cleaned up or completely removed from an invaded 
    ecosystem. Once established, the biological invaders continue to spread 
    into new areas and cause further harm to native ecosystems. Every 
    successful invasion constitutes an irretrievable loss to our biological 
    heritage. The nature and seriousness of the problem is well-documented 
    by several scientific studies, including two conducted in North 
    American aquatic ecosystems--the fresh water system of the Great Lakes, 
    and the salt and brackish water system of San Francisco Bay.
        Aquatic nuisance species invasions through ballast water are now 
    recognized as a serious problem threatening global biological diversity 
    and human health. Limited control measures similar to these regulations 
    and guidelines have been adopted in Canada, Australia, New Zealand, 
    Israel, Chile, the United Kingdom, Germany, Sweden, Brazil, and Japan. 
    The International Maritime Organization (IMO) Marine Environmental 
    Protection Committee (MEPC) has issued the following voluntary 
    guidelines which it recommended be adopted by all maritime nations of 
    the world:
         IMO MEPC Resolution 50(31), adopted at the 31st Session, 
    on July 1991;
         IMO Resolution A.774(18), adopted at the 18th Assembly, on 
    November 1993;
         IMO Assembly Resolution A.868(20), approved at the 20th 
    Assembly, on November 1997.
    
    According to a recent review of the scientific literature conducted by 
    the Marine Board of the National Research Council (NRC),--
    
        It has been estimated that in the 1990s ballast water may 
    transport over 3,000 species of animals and plants a day around the 
    world * * * and there is evidence that the number of ballast-
    mediated introductions is steadily growing. More than 40 species 
    have appeared in the Great Lakes since 1960; more than 50 have 
    appeared in San Francisco Bay since 1970.
    
    Other studies indicate that hundreds of ANS have successfully invaded 
    North America. Some of these invaders which have made the most dramatic 
    impacts in recent years include the following:
         Zebra mussel. Invaded the U.S. in 1986 and is found in 19 
    States and 2 Canadian Provinces; expected to cost
    
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    the Great Lakes region alone over $500 million by the year 2000.
         Asian clam. Filters the entire volume of northern San 
    Francisco Bay more that once per day, severely disrupting the food 
    chain.
         Aquatic plant--hydrilla. Clogs waterways in 14 States and 
    costs Florida alone over $14 million per year to control.
         Aquatic plant--purple loosestrife. Has invaded 40 states 
    where it displaces native vegetation and disrupts ecosystems.
    
    These are only a few of the ANS that have recently invaded North 
    America. It is also important to consider the wide range of invading 
    microscopic organisms, which include viruses, bacteria, protozoan 
    (single-celled organisms), and fungi, which may be pathogenic or 
    parasitic to humans or fish. In 1991, the presence of the human 
    pathogenic strain of cholera was documented in ballast tanks of ships 
    in Mobile Bay, AL, threatening the food supply and forcing a temporary 
    closure of local shellfish beds. A 1995 study conducted for the 
    Canadian Coast Guard on ships entering the Great Lakes confirmed the 
    presence of a wide range of invertebrates and bacteria. Most of the 
    bacterial species detected can cause illness in aquatic life or humans 
    under certain conditions.
        Ships discharge ballast in the United States from all over the 
    world, including many ports with untreated sewage and other 
    contaminants. The NRC review concluded that the whole range of ANS 
    invasions--
    
        [M]ay have critical economic, industrial, human health, and 
    ecological consequences. Thus, there are compelling arguments for 
    reducing the role of ships as a vector of nonindigenous species, 
    particularly through ballast water.
    
    U.S. Legislation
    
        In response to this increasing threat to the United States, 
    Congress enacted the Nonindigenous Aquatic Nuisance Prevention and 
    Control Act of 1990 (NANPCA), Pub. L. 101-646 of November 29, 1990, and 
    the National Invasive Species Act of 1996 (NISA), Pub. L. 104-332 of 
    October 26, 1996, both of which are codified at 16 U.S.C. 4701-4751. 
    Under the authority of NANPCA, the U.S. Coast Guard promulgated 
    mandatory regulations for ballast water entering the Great Lakes in 
    1993. (58 FR 18334 of April 8, 1993 and 33 CFR part 151, subpart C.) 
    These regulations were expanded in 1994 to include portions of the 
    Hudson River, which connects to the Great Lakes ecosystem. (59 FR 31959 
    of June 21, 1994). Generally, the Great Lakes and Hudson River 
    regulations in 33 CFR part 151 required vessels entering the Great 
    Lakes ecosystem with ballast water from outside the U.S. 200 nautical 
    mile exclusive economic zone (EEZ) to exchange that ballast in the open 
    ocean at a depth of at least 2,000 meters (6,560 feet) before crossing 
    into the U.S. EEZ and discharging ballast. The regulations also allow 
    approval of alternative methods of ballast water management. To date, 
    the Coast Guard has yet to receive a formal request for approval of any 
    alternative method. To strengthen the existing authority for the Great 
    Lakes and Hudson River regulatory regime, NISA makes minor amendments 
    to NANPCA, and it directs the Coast Guard to develop a new nation-wide 
    program modeled on the existing Great Lakes and Hudson River regime. To 
    comply with this mandate, the Coast Guard must, among other things, 
    develop and issue voluntary ballast water exchange guidelines 
    applicable to all vessels entering U.S. waters, and establish reporting 
    and sampling procedures to monitor compliance with the voluntary 
    guidelines.
        It is critical that the Coast Guard receives information from 
    vessels on their ballast water management practices in order to 
    determine if the voluntary guidelines need to become mandatory 
    regulations. In the absence of mandatory reporting requirements, the 
    Coast Guard would be forced to assume that all reports that are not 
    received correspond to vessels that failed to follow the voluntary 
    guidelines. This would artificially bias the data collected and make 
    mandatory regulations much more likely in the future. By requiring 
    vessel reporting, the Coast Guard will attempt to gather the most 
    accurate information possible so as not to unfairly burden the industry 
    with additional regulations if voluntary guidelines will suffice. 
    Consequently, the Coast Guard has interpreted NISA as mandating the 
    reporting requirements proposed with this rulemaking.
        To fulfill the original mandate of NANPCA, the Coast Guard is also 
    making revisions to the mandatory Great Lakes and Hudson River regime 
    based on the 4 years of experience with it, as well as continuing 
    scientific study. The major changes to the existing standards are--
         Clarification of the ``open ocean exchange'' requirement, 
    and revision of the depth requirement from more than 2,000 meters 
    (6,560 feet) to more than 500 meters (1,640 feet); and
         Modification of the standard for compliance with the 
    exchange requirement. Previously stated in terms of the indicator of 30 
    parts per thousand salinity, now a performance standard of 90 percent 
    exchange with open ocean water by volume is proposed.
    
    To encourage development of improvements in methods of exchanging or 
    treating ballast water, the Coast Guard is also setting a consistent 
    benchmark standard of 90 percent exchange or kill, as a basis for 
    evaluating and comparing alternate methods. These methods must also be 
    environmentally sound.
    
    Discussion of Proposed Rule
    
    Overview
    
        The Coast Guard proposes to amend its pollution regulations to 
    implement the requirements of NISA. Specifically, subpart C of 33 CFR 
    part 151 would be revised to incorporate the new requirements. These 
    regulations would mandate reporting and recordkeeping so the Coast 
    Guard can determine the level of participation in the voluntary ballast 
    water exchange program. The mandatory ballast water management 
    regulations in the Great Lakes and Hudson River remain mostly 
    unchanged, but will be revised to reflect a more appropriate 
    performance standard for compliance, based on operational experience 
    and scientific study during the first 4 years. We propose two major 
    additions to the current regulations.
        First, a voluntary ballast water management program is added for 
    all vessels entering U.S. waters from outside of the EEZ (other than 
    those bound for the Great Lakes or Hudson River). This voluntary 
    program would ask the masters of all vessels with ballast tanks to 
    perform complete ballast water exchange at sea (outside the EEZ) prior 
    to entering U.S. waters.
        The second addition would be a mandatory reporting requirement for 
    all vessels with ballast tanks entering U.S. waters from outside of the 
    EEZ, if their voyage included a port or place (e.g., foreign harbor or 
    nearshore waters) beyond the EEZ. For the purpose of this rule, this 
    would also include transits between Alaska or Hawaii and any other port 
    in the United States. These reports would be used to monitor compliance 
    with the voluntary program and to collect other information that must 
    be provided to Congress on a regular basis.
        If the rate of compliance is found to be inadequate, or if vessel 
    operators fail to submit mandatory ballast water reports to the Coast 
    Guard, the voluntary guidelines will become mandatory and will carry 
    civil and criminal penalties (16 U.S.C. 4711).
    
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    Performance Standard for Compliance
    
        The central issue, for both the mandatory reporting requirements 
    and the voluntary guidelines, is the performance standard. How complete 
    must an exchange or other treatment method be in order to be considered 
    reasonably effective and environmentally sound? It is important to 
    clearly explain the logic of the performance standard. In doing so, the 
    Coast Guard hopes the marine industry will participate in the voluntary 
    nationwide regime and the development of improved ballast water 
    management systems. We also expect that industry will continue to 
    comply with the Great Lakes and Hudson River regime. A complete or 100 
    percent removal of the biologically dangerous water is the goal 
    because--
         We cannot predict the level of concentration of particular 
    organisms sufficient to constitute an invasion threat; and
         Any successful invasion is irreversible.
    
    However, because existing ballast tank and piping systems in the 
    worldwide shipping fleet were not designed to deal with this need, the 
    economic costs of requiring complete retrofitting of those systems 
    makes a 100 percent standard unrealistic at this time. With future 
    development of alternative methods and improvement in ship designs, a 
    standard of 100 percent removal or kill should be our long-term goal. 
    The Coast Guard has sought, since the development of this new 
    regulatory regime in 1993, to set a standard which encourages vessel 
    operators to conduct as near to a 100 percent exchange as is practical 
    and safe, while not penalizing them for the current limitations in 
    ballast tank and piping system designs. The two currently feasible 
    methods of conducting an exchange are--
         An empty/refill exchange. The tank or a pair of tanks are 
    pumped down to the point where the pumps lose suction, and then the 
    tank is pumped back up to the original levels; or
         A flow-through exchange. New water is pumped in a full 
    tank while the old water is pumped or pushed out through another 
    opening.
        Through either method, almost all vessels should be able to obtain 
    at least a 95 percent exchange of water volume. In the case of an 
    empty/refill exchange, the pumps should be run until losing suction. At 
    that point, depending on the specific vessel size and design there may 
    be anywhere between ten to a few hundred metric tons of un-pumpable 
    slop in the bottom of the tanks or trapped in internal structure for 
    the whole vessel. Typical ballast tank capacities for the whole vessel 
    vary in the range of a few thousand to forty thousand metric tons. 
    Clearly, a reasonable effort can remove more than 95 percent of the 
    original water. (Refilling tanks containing 100 metric tons of slop 
    with 10,000 metric tons of ballast would result in an exchange ratio of 
    99 percent.). Where the total amount of reballasting is limited because 
    of ship loading or design, or where there is an unusual amount of 
    unpumpable slop due to peculiar tank configurations (after and peak 
    tanks or other tanks with irregular configurations), a high level of 
    exchange should still be feasible by simply repeating the procedure 
    once or twice. In the case of a flow-through exchange, it is clear that 
    more than one times the original water volume will be required, 
    especially when the flow-through is accomplished from the bottom of the 
    tank (via the normal ballast system) and out the top of the tank (via 
    vent pipes or hatch covers). However, both actual experiments conducted 
    on a typical ocean-going vessel by the Australian Quarantine and 
    Inspection Service, and computer simulations conducted by the Petrobras 
    Research Center in Brazil, indicate that it is feasible to obtain an 89 
    to 95 percent exchange with the use of three times the total volume of 
    the tank. Again, ships, tanks, and ballasting systems will vary in 
    design. Some vessels will need to use more than three times the volume 
    of the water to accomplish 90 percent exchange, and some vessels may 
    not be able to conduct that level of exchange because of safety 
    limitations. But 90 percent is a reasonable standard to set, which is 
    of minimal cost to the industry in that it does not require any changes 
    to current ship designs, subject to the clearly stated exemption for 
    vessels that cannot safely conduct an exchange.
        The existing regulations for the Great Lakes and Hudson River 
    require an exchange which results in a discharge of water with a 
    minimum salinity level of 30 parts per thousand (ppt). However, 
    salinity is only one indicator that a reasonably effective exchange has 
    been conducted, and is not reliable as the sole indicator. If a vessel 
    begins with completely fresh water from the mouth of a river in another 
    continent and exchanges that water with open ocean water from the 
    central part of the North Atlantic, at about 36 ppt salinity, a 
    resulting level of 30 ppt indicates an exchange by volume of only 83.33 
    percent of the water. However, the water typically does not begin as 
    fresh water, and the 30 ppt level in fact may relate to a much lower 
    level of exchange. This has been clearly demonstrated by a recent 
    review of salinity readings on vessels reporting exchanges that were 
    tested by the Coast Guard upon entry into the Great Lakes during the 
    1997 navigation season. The data show that salinity cannot be relied 
    upon alone as an indicator of an effective exchange, and it should only 
    be one factor in providing evidence that a performance standard has 
    been met. It is also clear from these data that the lower cut-off 
    point, at which it is fair to presume that an effective exchange has 
    not occurred, should be raised to at least the level of 32.4 ppt. This 
    would indicate a nominal exchange of 90 percent, if the tank began with 
    completely fresh water, and it is a level that is already obtained in 
    the great majority of the tanks in which a good exchange has been 
    conducted. In other words, meeting the nominal indicator of a 90 
    percent exchange only requires improving the exchange on the worst of 
    the poorly exchanged tanks. The need for this minimal raising of the 
    nominal level of exchange is reinforced by a recent scientific study of 
    ballast tanks on ships entering the Great Lakes, which indicates that a 
    large variety of live organisms are continuing to enter the Great 
    Lakes. When framing an appropriate enforcement policy for vessels which 
    are able to document the reasons for a good faith difficulty in meeting 
    the new standard, the Coast Guard will take into consideration the fact 
    that the salinity level has been raised slightly from the old 
    regulatory salinity standard.
        Finally, the Coast Guard hopes that a clear statement of a 90 
    percent removal or kill standard will encourage the development of 
    improvements in exchange and alternative ballast water treatment 
    systems in the near future. Up to this point, there has been no clear 
    benchmark for comparing the leading alternatives set out in the NRC 
    Marine Board Report discussed previously, which include--
         Improvement of the current exchange mechanisms;
         Filtering;
         Heat; and
         Biocides.
    
    Although a ``90 percent solution'' is most emphatically not the final 
    goal of this regulatory program, it may be a useful goal by which to 
    prompt the development of some short-term interim measures that are 
    needed. To that end, the Coast Guard encourages owners and operators to 
    experiment with alternative ballast water management methods (which 
    have been approved by the Commandant, U.S. Coast Guard) and
    
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    will consider that emerging technologies require some time to fully 
    develop when framing appropriate enforcement policies.
    
    ``Plain English'' Revision of Subpart C
    
        The Coast Guard would also rewrite subpart C to make the 
    requirements of NISA clearer and easier to understand. Each provision 
    or section would be written as a question that you, as a typical reader 
    of these regulations, might ask about the rule. This question is then 
    followed by an answer that tells you what is required. For example, you 
    might ask, ``what are the mandatory ballast water management 
    requirements?'' This question, now posed in Sec. 152.1508, is followed 
    by the answer, which is a description of the specific water management 
    practices that the master must follow to comply with subpart C.
        In addition to the question and answer format, the Coast Guard 
    would reformat the current and proposed text of Sec. 151.1502. The 
    Coast Guard proposes to replace the text with a table that is more 
    user-friendly, and would help owners, operators, and others who use 
    subpart C determine which requirements apply to them.
        Clear, more readable regulations are essential for the success of 
    our government's reinvention initiative. We encourage your comments on 
    this new way of writing regulations.
    
    Regulatory Evaluation
    
        This proposed rule is not a significant regulatory action under 
    section 3(f) of Executive Order 12866 and does not require an 
    assessment of potential costs and benefits under section 6(a)(3) of 
    that Order. It has not been reviewed by the Office of Management and 
    Budget under that Order. It is not significant under the regulatory 
    policies and procedures of the Department of Transportation (DOT) (44 
    FR 11040; February 26, 1979). The proposed rule would not have an 
    annual effect on the economy of $100 million or more. It would not 
    adversely affect the economy, a sector of the economy, productivity, 
    competition, jobs, the environment, public health or safety, or State, 
    local or tribal governments or communities, and it would not initiate a 
    substantial new regulatory program for the Coast Guard. A draft 
    Regulatory Evaluation under paragraph 10e of the regulatory policies 
    and procedures of DOT is available in the docket for inspection or 
    copying where indicated under ADDRESSES. A summary of the Evaluation 
    follows:
    
    Summary of Costs
    
        Mandatory paperwork requirements would generate all of the costs 
    associated with this proposed rule. The Coast Guard proposes to use 
    this information to--
         Ensure that vessels have complied with mandatory ballast 
    water management regulations, where applicable, prior to allowing 
    vessels to enter U.S. ports; and
         Assess the effectiveness of the voluntary guidelines in 
    this proposed rule.
    
    Coast Guard Headquarters staff and researchers from private and other 
    government agencies would conduct the assessment for vessels (with 
    ballast tanks) entering U.S. waters after operating outside the EEZ. 
    The Coast Guard will report this information to Congress on a regular 
    basis as required by the National Invasive Species Act of 1996 (NISA). 
    Based on typical pay (including overtime) for a third mate on a modern 
    U.S. merchant vessel and administrative costs of up to $9, $35 was 
    calculated as the cost per report ($81,840/year/2,080 hours/year  x  40 
    minutes + $9). The Coast Guard used figures from the U.S. Coast Guard 
    Marine Safety Management System (MSMS) to determine that 10,305 vessel 
    transits were subject to this proposed rule (including the Great Lakes) 
    with a cost of $35 per vessel arrival ($35  x  10,305 = $360,675) for a 
    total annual cost of $360,675. However, vessels operating on the Great 
    Lakes already file reports, so they would incur no additional cost 
    (even though they are included in the total industry-cost figure). 
    Owners or operators would not be required to install new equipment on 
    the vessel to comply with either the mandatory requirements on the 
    Great Lakes or Hudson River, or the voluntary exchange requirements in 
    this proposed rule. This proposed rule requires only minor changes in 
    operational procedures that are not expected to incur new costs. Costs 
    to the Federal Government will come from reviewing and reporting 
    ballast water management record information. To collect, collate, and 
    file this information to the responsible research center will cost the 
    Coast Guard about $5,000 annually.
    
    Summary of Benefits
    
        This proposed rule, which provides for reporting and recordkeeping 
    on ballast water exchanges, is the next step in an ongoing effort to 
    prevent non-indigenous species from being introduced into U.S. waters. 
    Ultimately, this effort is expected to provide significant benefit to 
    the U.S. economy, environment, and public health. For example, the 
    fishing industry, the general public, and the marine environment would 
    benefit from protecting native fish and shellfish from certain invading 
    species. According to the U.S. Congress Office of Technology 
    Assessment, the economic impact on the United States from introductions 
    of non-indigenous species has exceeded several billion dollars 
    through--
         Efforts to prevent and reduce further infestation;
         Repairs of damage to various infrastructures; and
         Lost revenues.
    
    The Aquatic Nuisance Species Task Force found the nationwide potential 
    costs averted from non-indigenous species invasions could exceed $30 
    billion (1997 dollars) over the next 5 years. However, as international 
    maritime trade continues to expand, the economic impact of non-
    indigenous species invasions may result in more extensive and costly 
    long-term control efforts, including cost associated with improving 
    ballast water management.
    
    Small Entities
    
        Under the Regulatory Flexibility Act (5 U.S.C. 601-612), the Coast 
    Guard considers whether this proposed rulemaking, if adopted, will have 
    a significant economic impact on a substantial number of small 
    entities. ``Small entities'' include 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 proposed rule applies to any 
    vessel with ballast tanks, which operates on the waters beyond the 
    Exclusive Economic Zone (EEZ), during any part of its voyage, and then 
    enters the waters of the United States (except those vessels that are 
    expressly exempted in this proposed rule). However, data records 
    indicate that no small businesses have been identified that are 
    involved in U.S. trade and arriving from outside the Exclusive Economic 
    Zone (EEZ). Therefore, the Coast Guard certifies under 5 U.S.C. 605(b) 
    that this proposed rule, if adopted, will not have a significant 
    economic impact on small entities. If, however, you think that your 
    business or organization qualifies as a small entity and that this 
    proposed rule will have a significant economic impact on your business 
    or organization, please submit a comment (see ADDRESSES) explaining why 
    you think it qualifies and in what way and to what degree this proposed 
    rule will economically affect it. This proposed rule might economically 
    affect recreational vessels
    
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    with ballast tanks. We encourage owners and operators of these vessels 
    to comment on this proposed rule.
    
    Assistance for Small Entities
    
        In accordance with section 213(a) of the Small Business Regulatory 
    Enforcement Fairness Act of 1996 (Pub. L. 104-121), the Coast Guard 
    wants to assist small entities in understanding this proposed rule so 
    that they can better evaluate its effects on them and participate in 
    the rulemaking process. If your small business or organization is 
    affected by this rule and you have questions concerning its provisions 
    or options for compliance, please contact Lieutenant Larry Greene, 
    Project Manager, Office of Response (G-MOR), at 202-267-0500.
    
    Collection of Information
    
        This proposed rule provides for a collection of information under 
    the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). As defined 
    in 5 CFR 1320.3(c), ``collection of information'' includes reporting, 
    recordkeeping, monitoring, posting, labeling, and other, similar 
    actions. The title and description of the information collections, a 
    description of the respondents, and an estimate of the total annual 
    burden follow. Included in the estimate is the time for reviewing 
    instructions, searching existing sources of data, gathering and 
    maintaining the data needed, and completing and reviewing the 
    collection.
        Title: Implementation of the National Invasive Species Act of 1996 
    (NISA).
        Summary of Collection of Information: This proposed rule contains 
    collection-of-information requirements in the following section: 
    Sec. 151.1514.
        Need for Information: This proposed rule would require owners or 
    operators of each vessel with ballast water tanks, who enter the United 
    States after operating outside the EEZ, to provide to the U.S. Coast 
    Guard information regarding ballast water management practices.
        Proposed Use of Information: The proposed use of this information 
    is to ensure that the mandatory ballast water management regulations 
    have been complied with prior to allowing the vessel to enter U.S. 
    ports, and to assess the effectiveness of the voluntary guidelines. The 
    information will be used by the Coast Guard Headquarters staff and 
    researchers from both private and other governmental agencies to assess 
    the effectiveness of voluntary ballast water management guidelines for 
    vessels with ballast tanks which enter U.S. waters after operating 
    outside the EEZ. The information will be provided to Congress on a 
    regular basis as required by NISA.
        Description of the Respondents: A vessel owner or operator who 
    enters the United States after operating outside the EEZ.
        Number of Respondents: 10,305 vessel entries.
        Frequency of Response: Whenever a vessel with ballast tanks enters 
    the United States after operating outside the EEZ.
        Burden of Response: 40 minutes (0.67 hours) per respondent.
        Estimated Total Annual Burden: 6,904 hours.
        As required by section 3507(d) of the Paperwork Reduction Act of 
    1995, the Coast Guard has submitted a copy of this proposed rule to the 
    Office of Management and Budget (OMB) for its review of the collection 
    of information.
        The Coast Guard solicits public comment on the proposed collection 
    of information to (1) evaluate whether the information is necessary for 
    the proper performance of the functions of the Coast Guard, including 
    whether the information would have practical utility; (2) evaluate the 
    accuracy of the Coast Guard's estimate of the burden of the collection, 
    including the validity of the methodology and assumptions used; (3) 
    enhance the quality, utility, and clarity of the information to be 
    collected; and (4) minimize the burden of the collection on those who 
    are to respond, as by allowing the submittal of responses by electronic 
    means or the use of other forms of information technology.
        If you are submitting comments on the collection of information, 
    you should submit your comments both to OMB and to the Coast Guard 
    where indicated under ADDRESSES by the date under DATES.
        No one is required to respond to a collection of information unless 
    it displays a currently valid OMB control number. Before the 
    requirements for this collection of information become effective, the 
    Coast Guard will publish notice in the Federal Register of OMB's 
    decision to approve, modify, or disapprove the collection.
    
    Federalism
    
        The Coast Guard has analyzed this proposed rule under the 
    principles and criteria contained in Executive Order 12612 and has 
    determined that this proposed rule does not have sufficient federalism 
    implications to warrant the preparation of a Federalism Assessment.
    
    Environment
    
        The Coast Guard considered the environmental impact of this 
    proposed rule and concluded that preparation of an Environmental Impact 
    Statement is not necessary. An Environmental Assessment and draft 
    Finding of No Significant Impact are available in the docket for 
    inspection or copying where indicated under ADDRESSES.
        The Coast Guard is establishing ballast water exchange guidelines 
    for all vessels with ballast water tanks entering U.S. waters, as well 
    as mandatory reporting for monitoring participation levels. If 
    participation levels in this program are lacking, the National Invasive 
    Species Act of 1996 (NISA) requires the Secretary of Transportation to 
    mandate the ballast water exchange guidelines. Once reported, the 
    information will be used to develop and maintain a ballast water 
    information clearinghouse, which will monitor the effectiveness of the 
    program and identify future needs for better protecting domestic waters 
    from the introduction of invasive species.
        The effectiveness of this recommended alternative substantiates the 
    baseline for creating compliance in incremental stages. The solution to 
    this problem is long-term and the most promising technology to resolve 
    the ANS issue is in the foreseeable future. Therefore, the proposed 
    regulations to implement provisions of NISA concerning ballast water 
    control, when using voluntary guidelines for ballast water exchange as 
    the control method, would not have a significant impact on the 
    environment.
    
    List of Subjects in 33 CFR Part 151
    
        Administrative practice and procedure, Oil Pollution, Penalties, 
    Reporting and recordkeeping requirements, Water pollution control.
    
        For the reasons discussed in the preamble, the Coast Guard proposes 
    to amend 33 CFR part 151 as follows:
    
    PART 151--VESSELS CARRYING OIL, NOXIOUS LIQUID SUBSTANCES, GARBAGE, 
    MUNICIPAL OR COMMERCIAL WASTE, AND BALLAST WATER
    
        1. Revise subpart C, consisting of Secs. 151.1500 through 151.1516, 
    to read as follows:
    
    Subpart C--Ballast Water Management for Control of Nonindigenous 
    Species
    
    Sec.
    151.1500  What is the purpose of this subpart?
    151.1502  What vessels does this subpart apply to?
    
    [[Page 17788]]
    
    151.1504  What definitions apply to this subpart?
    151.1506  Why must I meet the requirements of the regulations in 
    this subpart and what are the penalty provisions?
    151.1508  What are the mandatory ballast water management 
    requirements?
    151.1510  Is the master still responsible for the safety of the 
    vessel?
    151.1512  When must the master employ ballast water management 
    alternatives?
    151.1514  What are the mandatory reporting and recordkeeping 
    requirements?
    151.1516  What are the voluntary ballast water management 
    guidelines?
    151.1518  Are there methods to monitor compliance with this subpart?
    
    Appendix to Subpart C of Part 151--Guidelines for Filling Out Ballast 
    Water Reporting Form
    
        Authority: 16 U.S.C. 4711; 49 CFR 1.46.
    
    Subpart C--Ballast Water Management for Control of Nonindigenous 
    Species
    
    
    Sec. 151.1500  What is the purpose of this subpart?
    
        This subpart implements the provisions of the Nonindigenous Aquatic 
    Nuisance Prevention and Control Act of 1990 (16 U.S.C. 4701-4751), as 
    amended by the National Invasive Species Act of 1996 (NISA).
    
    
    Sec. 151.1502  What vessels does this subpart apply to?
    
        (a) This subpart applies to all vessels (except those specifically 
    exempted below) equipped with ballast water tanks which operate in both 
    waters outside the Exclusive Economic Zone of the United States (the 
    EEZ, within 200 nautical miles of the baseline) and waters of the 
    United States (within 12 miles of the baseline). Vessels bound for 
    different parts of the United States are subject to different 
    requirements:
        (1) Vessels with ballast tanks which enter the Great Lakes or the 
    Hudson River north of the George Washington Bridge after operating 
    beyond the EEZ are subject to the mandatory ballast water management 
    requirements in Sec. 151.1508 and the reporting requirements in 
    Sec. 151.1514, regardless of other ports of call during their voyage to 
    the Great Lakes or Hudson River. Vessels not conducting a ballast water 
    exchange after operating beyond the EEZ and prior to entering U.S. or 
    Canadian waters, that--
        (i) Take on new ballast in a North American port, and
        (ii) Plan to discharge ballast water in the Great Lakes or the 
    Hudson River north of the George Washington Bridge, must--
        (A) Conduct an exchange outside the EEZ in accordance with 
    Sec. 151.1508, or
        (B) Obtain permission from the Captain of the Port (COTP) for use 
    of an alternate exchange zone.
        (2) Vessels with ballast tanks which enter other waters of the 
    United States (within 12 miles from the baseline) after operating 
    beyond the EEZ during any part of a voyage are requested but not 
    required to comply with the voluntary ballast water management 
    guidelines in Sec. 151.1516, and are still required to comply with the 
    mandatory reporting requirements in Sec. 151.1514 whether or not they 
    comply with the voluntary management guidelines.
        (b) Two categories of vessels are exempt from this subpart:
        (1) Crude oil tankers engaged in the coastwise trade, unless 
    paragraph (c) of this section applies. Coastwise trade is conducted 
    exclusively between U.S. ports.
        (2) Passenger vessels equipped with treatment systems designed to 
    kill aquatic organisms in their ballast water, and which operate those 
    systems as designed, unless the Coast Guard determines that such 
    treatment systems are less effective than ballast water exchange.
        (c) Crude oil tankers engaged in the export of Alaskan North Slope 
    Crude Oil may be subject to separate requirements to conduct an 
    exchange of ballast water in 2000 meters of depth under the terms and 
    conditions stated in Presidential Memorandum of April 28, 1996 (61 FR 
    19507). These vessels are also subject to the mandatory reporting 
    requirements in Sec. 151.1514 under the authority of NISA.
        (d) Use the table 151.1502 as a guide to which sections of this 
    regulation apply to you:
    
                                    Table 151.1502.--Who Does This Subpart Apply To?                                
    ----------------------------------------------------------------------------------------------------------------
                                                                   And if during any part                           
            If you operate a--                 And you--             of your voyage you     Then you are subject to--
                                                                           enter--                                  
    ----------------------------------------------------------------------------------------------------------------
    Vessel with ballast water tanks.   Operate on waters beyond   The Snell Lock at         The mandatory ballast   
     See Sec.  151.1502(a)(1).          the EEZ (within 200        Massena, NY, or the       water management       
                                        miles of the baseline).    Hudson River north of     requirements in Sec.   
                                                                   the George Washington     151.1508 and the       
                                                                   Bridge, regardless of     mandatory reporting    
                                                                   other port calls.         requirements in Sec.   
                                                                                             151.1514.              
    Vessel with ballast water tanks.   Operate on waters beyond   U.S. waters (within 12    The voluntary ballast   
     See Sec.  151.1502(a)(2).          the EEZ (within 200        miles of the baseline)    water management       
                                        miles of the baseline).    other than those listed   guidelines in Sec.     
                                                                   above.                    151.1516 and the       
                                                                                             mandatory reporting    
                                                                                             requirements in Sec.   
                                                                                             151.1514.              
    Crude oil tanker. See Sec.         Engage in coastwise trade  N/A.....................  No requirements.        
     151.1502(b)(1).                    (trade exclusively                                                          
                                        between U.S. ports).                                                        
    Crude oil tanker. See Sec.         Engage in the export of    U.S. waters, for the      The requirements of     
     151.1502(c).                       Alaskan North Slope        purpose of exporting      Presidential Memorandum
                                        crude oil.                 Alaska North Slope        of April 28, 1996 and  
                                                                   crude oil.                the mandatory reporting
                                                                                             requirements in Sec.   
                                                                                             151.1514.              
    Passenger vessel. See Sec.         Use an operating           N/A.....................  No requirements.        
     151.1502(b)(2).                    treatment system                                                            
                                        designed to kill aquatic                                                    
                                        organisms in ballast                                                        
                                        water which has not been                                                    
                                        determined to be                                                            
                                        ineffective.                                                                
    ----------------------------------------------------------------------------------------------------------------
    
    Sec. 151.1504  What definitions apply to this subpart?
    
        As used in this subpart--
        Ballast tank means any tank or hold on a vessel used for carrying 
    ballast, whether or not designed for that purpose.
        Ballast water means any water used to manipulate the draft, trim, 
    or stability of a vessel, regardless of how it is carried
    
    [[Page 17789]]
    
    on the vessel, including any slop or sediment remaining from such 
    water.
        Captain of the Port (COTP) means the Coast Guard officer designated 
    as the COTP, or a person designated by that officer, for the COTP Zone 
    covering the first U.S. port of destination. These COTP Zones are 
    listed in 33 CFR part 3. For any vessel bound for the Great Lakes, 
    regardless of the first commercial port of call inside the Great Lakes, 
    the COTP is COTP Buffalo.
        Commandant means the Commandant of the U.S. Coast Guard or an 
    authorized representative.
        Exclusive Economic Zone (EEZ) means the area established by 
    Presidential Proclamation No. 5030 of March 10, 1983, which extends 
    from the baseline of the territorial sea of the United States seaward 
    200 nautical miles, and the equivalent zone of Canada.
        Environmentally sound method means methods, efforts, actions, or 
    programs, either to prevent introductions or to control infestations of 
    aquatic nuisance species, that minimize adverse impacts on non-target 
    organisms and ecosystems and that emphasize integrated pest management 
    techniques and non-chemical measures. With respect to alternative 
    ballast water treatment methods, chemical treatment of the ballast 
    water will not be considered environmentally sound if it results, or is 
    likely to result, in the release of harmful concentrations of chemicals 
    or by-products into the environment outside the ballast tank.
        Great Lakes means Lake Ontario, Lake Erie, Lake Huron (including 
    Lake Saint Clair), Lake Michigan, Lake Superior, and the connecting 
    channels (Saint Mary's River, Saint Clair River, Detroit River, Niagara 
    River, and Saint Lawrence River to the Canadian border), and includes 
    all other bodies of water within the drainage basin of such lakes and 
    connecting channels.
        Open ocean means waters of the Atlantic, Pacific, Arctic, 
    Antarctic, or Indian Oceans which are beyond the EEZ of the United 
    States (beyond 200 nautical miles), beyond 200 miles from the baseline 
    of other countries, and with a depth of more than 500 meters. It does 
    not include the Gulf of Mexico, the Baltic Sea, the Mediterranean Sea, 
    or other Seas.
        Port means a terminal or group of terminals or any place or 
    facility that has been designated as a port by the COTP.
        Reasonably complete ballast water exchange means an exchange which 
    results in replacement of at least 90 percent of the original water by 
    volume with water from the open ocean or other waters approved in 
    advance by the COTP.
        Reasonably effective ballast water management system means a system 
    determined by the Coast Guard to be effective in removing or killing at 
    least 90 percent of the organisms in the ballast water, in terms of 
    both individual organisms and range of species, and which is otherwise 
    practical, safe, and environmentally acceptable.
        Voyage means any transit by a vessel destined for any United States 
    port from a port or place outside of the EEZ, including intermediate 
    stops at a port or place within the EEZ. For the purpose of this rule, 
    a transit by a vessel from a port in Hawaii or Alaska to any other 
    United States port, or vice versa, is also considered a voyage.
        Waters of the United States means the navigable waters and 
    territorial sea of the United States, including the territorial sea 
    extended to 12 nautical miles from the baseline established by 
    Presidential Proclamation No. 5928 of December 27, 1988.
    
    
    Sec. 151.1506  Why must I meet the requirements of the regulations in 
    this subpart and what are the penalty provisions?
    
        (a) To operate unrestricted. A vessel subject to the requirements 
    of this subpart may not operate in the Great Lakes or the Hudson River, 
    north of the George Washington Bridge, unless the master of the vessel 
    has certified, in accordance with Sec. 151.1514, that the requirements 
    of this subpart have been met.
        (b) To maintain the required clearance. If you are the owner or 
    operator of a vessel not in compliance with this subpart, a COTP may 
    request the District Director of Customs to withhold or revoke the 
    clearance required by 46 U.S.C. app. 91.
        (c) To avoid civil penalties. Failure to comply with these 
    regulations may result in civil penalties up to $25,000 per day.
        (d) To avoid criminal prosecution. Any person who knowingly 
    violates these regulations is guilty of a class C felony.
    
    
    Sec. 151.1508  What are the mandatory ballast water management 
    requirements?
    
        (a) The master of each vessel subject to this subpart must employ 
    one of the following ballast water management practices:
        (1) Carry out a reasonably complete ballast water exchange in the 
    open ocean or in other waters approved in advance by the COTP, prior to 
    entering the Snell Lock, at Massena, NY, or the Hudson River north of 
    the George Washington Bridge. A level of salinity below 32.4 parts per 
    thousand is a basis for presuming that a reasonably complete exchange 
    has not occurred. However, a salinity of 32.4 parts per thousand or 
    above is not a basis for presuming that a reasonably complete exchange 
    has occurred unless supported by other evidence that the original water 
    in the tank was fresh. The existence or non-existence of a reasonably 
    complete exchange may be evidenced by any logical combination of 
    salinity, other chemical or biological indicators, the voyage and 
    ballasting history of the vessel, and shipboard records.
        (2) Retain the ballast water on board the vessel. If this method of 
    ballast water management is employed, the COTP may seal any tank or 
    hold containing ballast water for the duration of the voyage upon the 
    Great Lakes, or the Hudson River north of the George Washington Bridge.
        (3) Use a reasonably effective ballast water management system 
    which is consistent with an environmentally sound method, and which has 
    been approved by the Commandant prior to the voyage. Requests for 
    approval of alternative ballast water management methods must be 
    submitted to the Commandant (G-M), U.S. Coast Guard Headquarters, 2100 
    Second Street SW., Washington, DC 20593-0001.
        (b) The master of a vessel subject to this section may not 
    separately discharge sediment from tanks or holds containing ballast 
    water, unless it is disposed of ashore in accordance with local 
    requirements.
        (c) Nothing in this subpart authorizes the discharge of oil or 
    noxious liquid substances (NLS) in a manner prohibited by United States 
    or international laws or regulations. Ballast water carried in any tank 
    containing a residue of oil, NLS, or any other pollutant must be 
    discharged in accordance with the applicable regulations. Nothing in 
    this subpart affects or supersedes any requirement or prohibition 
    pertaining to the discharge of ballast water into the waters of the 
    United States under the Federal Water Pollution Control Act (33 U.S.C. 
    1251 to 1376).
    
    
    Sec. 151.1510  Is the master still responsible for the safety of the 
    vessel?
    
        Nothing in this subpart relieves the master of the responsibility 
    for ensuring the safety and stability of the vessel or the safety of 
    the crew and passengers, or any other responsibility.
    
    [[Page 17790]]
    
    Sec. 151.1512  When must the master employ ballast water management 
    alternatives?
    
        The master of any vessel subject to this subpart who, due to 
    weather, vessel architectural design, equipment failure, or other 
    extraordinary conditions, is unable to effect a ballast water exchange 
    before entering the EEZ, must--
        (a) Employ another method of ballast water management listed in 
    Sec. 151.1508; or
        (b) Request permission from the COTP to exchange the vessel's 
    ballast water within an area agreed to by the COTP. The master must 
    discharge the vessel's ballast water within that designated area after 
    permission is granted by the COTP.
    
    
    Sec. 151.1514  What are the mandatory reporting and recordkeeping 
    requirements?
    
        (a) The master of each vessel subject to this subpart must provide 
    the following information to the Commandant, U.S. Coast Guard or the 
    COTP as described in paragraph (b) of this section (Note: A sample form 
    and guidelines for completing it appear in the Appendix to this 
    subpart):
        (1) The vessel's: Name, type, International Maritime Organization 
    (IMO) number, owner, gross tonnage, call sign, flag, agent, current 
    location, date of arrival, last port and country of call, and next port 
    and country of call.
        (2) The total amount of ballast water being carried, and total 
    ballast water capacity (with units).
        (3) Whether or not there is a ballast water management plan on 
    board and in use on the vessel, the total number of ballast tanks and 
    holds on board, total number of tanks and holds in ballast, total 
    number of tanks and holds that were exchanged, and the total number of 
    tanks and holds that were not exchanged.
        (4) The original date(s) of uptake, location(s), volumes(s) and 
    temperature(s) of any ballast water (taken on prior to an exchange) 
    that will be discharged into U.S. waters.
        (5) The dates(s), location(s), volumes(s), thoroughness (percentage 
    exchanged) of any ballast water exchanged, and the combined sea height 
    (sea+swell) in meters (m) at the time of the ballast water exchange.
        (6) The proposed date, location, volume, and salinity of any 
    ballast water to be discharged into the territorial waters of the 
    United States.
        (7) The location for disposal of sediment carried upon entry into 
    the territorial waters of the United States, if sediment is to be 
    discharged.
        (8) If ballast water was not exchanged, state other control 
    action(s) taken. If none, state reason why not.
        (9) Whether or not there is a copy of the IMO voluntary ballast 
    water management guidelines on board (IMO Resolution A.868(20), adopted 
    November 1997).
        (10) The master's or responsible officer's printed name, title, and 
    signature attesting to the accuracy of the information provided and 
    certifying compliance with the requirements of this subpart.
        (b) This information must be transmitted to the Coast Guard as 
    follows:
        (1) The master of a vessel bound for the Great Lakes must telefax 
    the information to the COTP Buffalo at (315) 764-3283 before passing 
    through the Cabot Strait at the entrance to the Gulf of Saint Lawrence.
        (2) The master of a vessel bound for the Hudson River north of the 
    George Washington Bridge must telefax the information to the COTP New 
    York at (718) 354-4249 before entering the waters of the United States 
    (12 miles from the baseline).
        (3) Masters of other vessels subject to this section must telefax 
    the information to the Commandant, U.S. Coast Guard at (301) 261-4319, 
    or mail to U.S. Coast Guard, c/o Smithsonian, PO Box 28, Edgewater, MD 
    21037-0028, before departing the first port of call in the United 
    States.
        (c) The master or owner of the vessel must retain a copy of the 
    information on the vessel for 2 years.
    
    
    Sec. 151.1516  What are the voluntary ballast water management 
    guidelines?
    
        Masters of all vessels with ballast tanks, except those 
    specifically exempted under Sec. 151.1502(b), are requested to adopt 
    and carry out the ballast water management practices described in this 
    subpart when operating on the waters beyond the EEZ during any part of 
    a voyage.
    
    
    Sec. 151.1518  Are there methods to monitor compliance with this 
    subpart?
    
        The COTP may take samples of ballast water and sediment, examine 
    documents, and make other appropriate inquires to assess the compliance 
    with, and the effectiveness of, this subpart.
    
    Appendix to Subpart C of Part 151--Guidelines for Filling out Ballast 
    Water Reporting Form
    
    Please fill out in English and make every effort to PRINT legibly!
    
        SECTION 1. VESSEL INFORMATION--
        Vessel Name: Print the name of the vessel clearly.
        Owner: The registered owner(s) or operator(s) of the vessel.
        Flag: Country under which the ship normally operates, write out, 
    no abbreviations please!
        Last Port and Country: Last port and country at which the vessel 
    called before arrival in the current port, no abbreviations please!
        Next Port and Country: Next port and country at which the vessel 
    will call, upon departure from current port, no abbreviations 
    please!
        Type: List specific vessel type, write out or use the following 
    abbreviations: bulk (bc), roro (rr), container (cs), tanker (ts), 
    passenger (pa), oil/bulk ore (ob), general cargo (gc). Write out any 
    additional vessel types.
        GT: Gross tonnage.
        Arrival Date: Arrival date to current port (i.e., the first U.S. 
    port of arrival after entering the U.S. exclusive economic zone 
    (EEZ)). Please use European date format (DDMMYY).
        IMO Number: Identification number of the vessel used by the 
    International Maritime Organization.
        Call Sign: Official call sign.
        Agent: Agent used for this voyage.
        Arrival Port: This is the current port (i.e., the first U.S. 
    port of arrival). No abbreviations please!
        SECTION 2. BALLAST WATER--(Note: Segregated ballast water = 
    clean, non-oily ballast).
        Total Ballast Water On Board: Total segregated ballast water 
    upon arrival to current port, with units.
        Total Ballast Water Capacity: Total volume of all ballastable, 
    tanks or holds, with units!
        SECTION 3. BALLAST WATER TANKS--Count all tanks and holds 
    separately (e.g., port and starboard tanks should be counted 
    separately).
        Total No. of Tanks On Board: Count all tanks and holds that can 
    carry segregated ballast water.
        Ballast Water Management Plan On Board? Do you have a ballast 
    water management plan specific to your vessel on board? Check yes or 
    no.
        Management Plan Implemented? Do you follow the above management 
    plan? Check yes or no.
        No. of Tanks in Ballast: Number of segregated ballast water 
    tanks and holds with ballast at the onset of the voyage to the 
    current port. If you have no ballast water on board, go to section 
    5.
        No. of Tanks Exchanged: This refers only to tanks and holds with 
    ballast at the onset of the voyage to the current port.
        No. of Tanks Not Exchanged: This refers only to tanks and holds 
    with ballast at the onset of the voyage to the current port.
        SECTION 4. BALLAST WATER HISTORY--BW SOURCE
        Please list all tanks and holds that you have discharged or plan 
    to discharge in U.S. waters (carefully write out, or use codes 
    listed below table). Follow each tank across the page listing all 
    source(s), exchange events, and/or discharge events separately. If 
    the ballast water history is identical (i.e. same source, exchange, 
    and discharge dates and locations), like tanks can be combined 
    (example: wing tank 1 with wing tank 2 both with water from Belgium, 
    exchanged Oct. 3, mid-ocean--can be combined. See first line of the 
    table in the sample form). Please use an additional page if you need 
    it, being careful to include ship name, date, and IMO number at the 
    top.
    
    [[Page 17791]]
    
        Date: Date of ballast water uptake. Use European format 
    (DDMMYY).
        Port or Latitude/Longitude: Location of ballast water uptake, no 
    abbreviations for ports!
        Volume: Volume of ballast water uptake, with units.
        Temperature: Water temperature at time of ballast water uptake, 
    in degrees Centigrade, with units.
        BW EXCHANGE Indicate Exchange Method: By circling empty/refill 
    or flow through.
        Date: Date of ballast water exchange. Use European format 
    (DDMMYY).
        Endpoint or Latitude/Longitude: Location of ballast water 
    exchange. If it occurred over an extended distance, list the end 
    point latitude and longitude.
        Volume: Volume of ballast water exchanged, with units.
        Percentage Exchanged: Percentage of ballast water exchanged. 
    Calculate this by dividing the number of units of water exchanged by 
    the original volume of ballast water in the tank. If necessary, 
    estimate based on pump rate. (NOTE: For effective flow through 
    exchange, this value should be at least 300%.)
        Sea Height (m): Document the sea height in meters at the time of 
    the ballast water exchange (Note: this is the combined height of the 
    wind-seas, and swell, and does not refer to depth).
        BW DISCHARGE
        Date: Date of ballast water discharge. Use European format 
    (DDMMYY).
        Port or latitude/longitude: Location of ballast water discharge, 
    no abbreviations for ports.
        Volume: Volume of ballast water discharged, with units.
        Salinity: Document salinity of ballast water at the time of 
    discharge, with units (i.e., specific gravity (sg) or parts per 
    thousand (ppt)).
        If exchanges were not conducted, state other control actions(s) 
    taken: If exchanges were not made on all tanks and holds to be 
    discharged in U.S. waters, what other actions were taken? (i.e., 
    transfer of water to a land based holding facility or other approved 
    treatment).
        If none, state reason why not: List specific reasons why ballast 
    water exchange was not done. This applies to all tanks and holds 
    being discharged in U.S. waters.
        SECTION 5--IMO BALLAST WATER GUIDELINES ON BOARD? Check yes or 
    no.
        Responsible officers name and title (printed) and signature: 
    e.g., the first mate, Captain, or Chief Engineer must print their 
    name and title and sign the form.
        THIS INFORMATION MUST BE TRANSMITTED TO THE U.S. COAST GUARD AS 
    FOLLOWS:
        (1) The master of a vessel bound for the Great Lakes must 
    telefax the information to the:
        COTP Buffalo at (315) 764-3283
        Before passing through the Cabot Strait at the entrance to the 
    Gulf of Saint Lawrence.
        (2) The master of a vessel bound for the Hudson River, north of 
    the George Washington Bridge must telefax the information to the:
        COTP New York at (718) 354-4249
        Before entering the waters of the United States (12 miles from 
    the baseline).
        (3) Masters of other vessels subject to this section must 
    telefax the information to the:
        Commandant, U.S. Coast Guard at (301) 261-4319 or mail to: U.S. 
    Coast Guard, c/o Smithsonian, P.O. Box 28, Edgewater, MD 21037-0028 
    before departing the first port of call in the United States.
        An agency may not conduct or sponsor and a person is not 
    required to respond to a collection of information unless it 
    displays a valid OMB control number.
        The Coast Guard estimates that the average burden for this 
    report is 40 minutes. You may submit any comments concerning the 
    accuracy of this burden estimate or any suggestions for reducing the 
    burden to: Commandant (G-MOR), U.S. Coast Guard, Washington, DC 
    20593-0001 or Office of Management and Budget, Paperwork Reduction 
    Project (2115-0598), Washington, DC 20503.
    
    BILLING CODE 4910-15-P
    
    [[Page 17792]]
    
    [GRAPHIC] [TIFF OMITTED] TP10AP98.000
    
    
        Dated: April 6, 1998.
    R.C. North,
    Rear Admiral, U.S. Coast Guard, Assistant Commandant for Marine Safety 
    and Environmental Protection.
    [FR Doc. 98-9429 Filed 4-09-98; 8:45 am]
    BILLING CODE 4910-15-C
    
    
    

Document Information

Published:
04/10/1998
Department:
Coast Guard
Entry Type:
Proposed Rule
Action:
Notice of proposed rulemaking.
Document Number:
98-9429
Dates:
Comments must reach the Coast Guard on or before June 9, 1998. Comments sent to the Office of Management and Budget (OMB) on collection of information must reach OMB on or before June 9, 1998.
Pages:
17782-17792 (11 pages)
Docket Numbers:
USCG-98-3423
RINs:
2115-AD98: Reporting Marine Casualties (USCG-2000-6927)
RIN Links:
https://www.federalregister.gov/regulations/2115-AD98/reporting-marine-casualties-uscg-2000-6927-
PDF File:
98-9429.pdf
CFR: (13)
33 CFR 151.1502(b)(1)
33 CFR 151.1502(b)(2)
33 CFR 151.1502(c)
33 CFR 151.1500
33 CFR 151.1502
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