80 FR 73105 - Ballast Water Management Reporting and Recordkeeping
DEPARTMENT OF HOMELAND SECURITY
Coast Guard Federal Register Volume 80, Issue 226 (November 24, 2015)
Coast Guard
Federal Register Volume 80, Issue 226 (November 24, 2015)
| Page Range | 73105-73115 | |
| FR Document | 2015-29848 |
[Federal Register Volume 80, Number 226 (Tuesday, November 24, 2015)] [Rules and Regulations] [Pages 73105-73115] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-29848] ======================================================================= ----------------------------------------------------------------------- DEPARTMENT OF HOMELAND SECURITY Coast Guard 33 CFR Part 151 [Docket No. USCG-2012-0924] RIN 1625-AB68 Ballast Water Management Reporting and Recordkeeping AGENCY: Coast Guard, DHS. ACTION: Final rule. ----------------------------------------------------------------------- SUMMARY: This final rule amends the Coast Guard's ballast water management reporting and recordkeeping requirements. Upon the effective date of this rule, the Coast Guard will require vessels with ballast tanks operating exclusively on voyages between ports or places within a single Captain of the Port Zone to submit an annual report of their ballast water management practices. This rule also simplifies and streamlines the ballast water report form. Finally, this rule will allow most vessels to submit ballast water reports after arrival at a port or place of destination, instead of requiring submission of such reports prior to arrival. This rule will reduce the administrative burden on the regulated population, while still providing the Coast Guard with the information necessary to analyze and understand ballast water management practices. DATES: This final rule is effective February 22, 2016, except for the amendments to 33 CFR 151.2060(b) through (f) and 151.2070, which contain collection of information requirements that have not yet been approved by the Office of Management and Budget (OMB). The Coast Guard will publish a document in the Federal Register announcing the effective date of those sections. ADDRESSES: Comments and material received from the public, as well as documents mentioned in this preamble as being available in the docket, are part of docket USCG-2012-0924 and are available on the Internet by going to http://www.regulations.gov, inserting USCG-2010-0924 in the ``Keyword'' box, and then clicking ``Search.'' FOR FURTHER INFORMATION CONTACT: If you have questions on this rule, call or email Ms. Regina Bergner, Environmental Standards Division (CG- OES-3), Coast Guard; telephone 202-372-1431, email [email protected]. SUPPLEMENTARY INFORMATION: Table of Contents for Preamble I. Abbreviations II. Background III. Basis and Purpose A. Legal Authority B. Purposes of This Regulatory Action IV. Regulatory History V. Discussion of NPRM Comments and Changes A. Three Year Annual Reporting Requirement for Vessels Operating Exclusively Within a Single COTP Zone B. Revisions to the Ballast Water Reporting Form C. Timing of Report Submission D. Other Comments and Changes VI. Regulatory Analyses A. Regulatory Planning and Review 1. Require Vessels Operating in One COTP Zone To Report BWM Practices 2. Update Current Ballast Water Report Requirements (33 CFR 151.2070) 3. Allow Vessels To Submit Ballast Water Reports After Arrival to the Port or Place of Destination 4. Change the Format of Electronic Reports 5. Summary of Economic Impacts of Final Rule B. Small Entities C. Assistance for Small Entities D. Collection of Information E. Federalism F. Unfunded Mandates Reform Act G. Taking of Private Property H. Civil Justice Reform I. Protection of Children J. Indian Tribal Governments K. Energy Effects L. Technical Standards M. Environment I. Abbreviations BWM Ballast Water Management CFR Code of Federal Regulations COTP Captain of the Port EPA Environmental Protection Agency EEZ Exclusive Economic Zone FR Federal Register IMO International Maritime Organization MISLE Marine Information for Safety and Law Enforcement NANPCA Non-Indigenous Aquatic Nuisance Prevention and Control Act of 1990 NBIC National Ballast Information Clearinghouse NISA National Invasive Species Act of 1996 OMB Office of Management and Budget Pub. L. Public Law RFA Regulatory Flexibility Act SANS Ship Arrival Notification System U.S.C. United States Code II. Background A vessel brings water into its ballast tanks to control or maintain trim, draft, stability or stress of the vessel when it is fully or partially empty of cargo. Generally, the vessel will discharge ballast water when it loads cargo, often at another port of call. Vessels discharge more than 80 million tons of ballast water annually into U.S. waters.\1\ --------------------------------------------------------------------------- \1\ See the American Association of Port Authorities Web site at http://www.aapa-ports.org/Issues/USGovRelDetail.cfm?itemnumber=880. --------------------------------------------------------------------------- Many invasive species have been introduced into U.S. waters through ballast water discharge because ballast water often contains organisms indigenous to the area where it was loaded. These organisms can become invasive species when they are discharged in a new location, often with damaging results.\2\ --------------------------------------------------------------------------- \2\ For a list of examples of aquatic bio-invasions causing major impact internationally, see the International Maritime Organization's Web site at: http://www.imo.org/OurWork/Environment/BallastWaterManagement/Pages/AquaticInvasiveSpecies(AIS).aspx. --------------------------------------------------------------------------- The Great Lakes provide many examples of the damage invasive species can inflict on an environment. According to the U.S. Environmental Protection Agency (EPA),\3\ no fewer than 25 invasive species of fish have entered the Great Lakes. Invasive filter-feeders such as zebra mussels have caused severe problems at power plants and municipal water supplies, clogging intake screens, pipes, and cooling systems. Fast-growing invasive plants have displaced native plant populations that support wildlife habitat and prevent erosion. The prevalence of these invasive plant species has also hindered commercial and recreational activities. Similar problems with invasive species have occurred in U.S. waters throughout the country.\4\ --------------------------------------------------------------------------- \3\ See the EPA's Web site at http://www.epa.gov/glnpo/invasive. \4\ The U.S. Geological Survey maintains an online database of non-indigenous aquatic species at http://nas.er.usgs.gov. The database is searchable by several variables, including by state and species. --------------------------------------------------------------------------- III. Basis and Purpose A. Legal Authority The Non-Indigenous Aquatic Nuisance Prevention and Control Act of 1990 (NANPCA, Pub. L. 101-646), as amended by the National Invasive Species Act of 1996 (NISA), (Pub. L. 104-332), requires the Secretary of Homeland Security (Secretary) to ensure, to the maximum extent practicable, that aquatic nuisance species are not discharged into U.S. waters from vessels (16 U.S.C. 4701 et seq.). These statutes also direct the Secretary to issue regulations and collect records regarding vessel ballasting practices as a means for determining vessel compliance with the [[Page 73106]] ballast water management (BWM) program (16 U.S.C. 4711(c) and (f)). The Secretary has delegated the regulatory functions and authorities in 16 U.S.C. 4711 to the Commandant of the Coast Guard (Department of Homeland Security Delegation No. 0170.1 (II.) 57). Coast Guard regulations regarding BWM are located in 33 CFR part 151, subparts C and D. With limited exceptions, these regulations apply to all vessels, U.S. and foreign, equipped with ballast tanks, that operate in U.S. waters. (see 33 CFR 151.2005, 151.2010, 151.2015, and 151.2025). This final rule revises the regulatory provisions that deal with BWM reporting and recordkeeping requirements. A full discussion of the statutory and regulatory history of the Coast Guard's broader actions to implement both NANPCA and NISA may be found in the preamble to the final rule entitled ``Standards for Living Organisms in Ships' Ballast Water Discharged in U.S. Waters,'' published on March 23, 2012 (77 FR 17254). B. Purposes of This Regulatory Action This regulatory action implements provisions of NANPCA and NISA by requiring the collection of records on vessel BWM practices. The Coast Guard will now require vessels with ballast tanks operating exclusively on voyages between ports or places within a single Captain of the Port (COTP) Zone to submit an annual report of their BWM practices. This rule also allows most vessels to submit ballast water reports after arrival at a port or place of destination, instead of requiring submission of such reports prior to arrival. Additionally, this rule simplifies and streamlines the ballast water report form. This rule will reduce reporting redundancies affecting the regulated population, while still providing the Coast Guard with the information necessary to analyze and understand BWM practices. By doing so, this rule is intended to improve the Coast Guard's knowledge about such practices, which will enable us to reduce the discharge of aquatic nuisance species into U.S. waters from vessels and to reduce future damage caused by such discharges. Efficient and effective BWM data collection is essential to the Coast Guard's ability to evaluate the availability of BWM technologies for the range of vessels operating in waters of the U.S. These important data directly inform the Coast Guard's decision making efforts to ensure, to the maximum extent practicable, that aquatic nuisance species are not discharged into waters of the U.S. IV. Regulatory History On June 5, 2013, the Coast Guard published a notice of proposed rulemaking (NPRM) entitled ``Ballast Water Management Reporting and Recordkeeping'' in the Federal Register (78 FR 33774). No public meeting was requested for this rulemaking and none was held. A summary of the proposals in the NPRM is provided below. The Coast Guard proposed a three-year requirement applicable to vessels equipped with ballast tanks and operating exclusively on voyages between ports and places within a single COTP Zone to submit an annual summary report of their BWM practices. Historically, the Coast Guard has not collected extensive information about the BWM practices of this segment of the vessel population because it seemed unlikely that vessels operating within a single COTP Zone would introduce invasive species from place to place within the COTP Zone. Public comments received in response to the most recent Coast Guard rulemaking on ballast water \5\ correctly indicated that COTP Zones are administrative in nature, and are not established based on any ecological or biological bases. Therefore, COTP Zones may not necessarily be appropriate boundaries for assessing invasive species. The Coast Guard proposed this new three-year annual reporting requirement to improve the breadth and quality of BWM data so it can make the most informed programmatic and regulatory decisions. Additionally, collecting this information advances the Coast Guard's efforts to meet the statutory requirement to maintain a clearinghouse of national ballast water data (16 U.S.C. 4712(f)). --------------------------------------------------------------------------- \5\ Notice of proposed rulemaking entitled ``Standards for Living Organisms in Ships' Ballast Water Discharged in U.S. Waters'' (74 FR 44632; August 28, 2009). The docket for that rulemaking is available for viewing online at www.regulations.gov, Docket Number USCG-2001-10486. --------------------------------------------------------------------------- The Coast Guard also proposed to simplify ballast water reporting for all vessels by revising the report form and encouraging electronic report submission. We proposed to streamline the reporting process and to revise the report to include only data that are essential to understanding and analyzing BWM practices. Finally, the Coast Guard proposed to allow vessels bound for a port or destination outside of the Great Lakes or the Hudson River north of the George Washington Bridge to submit ballast water reports either no later than six hours after arrival, or prior to departure, whichever is earlier. Prior to this rulemaking, the regulations required certain vessels to submit ballast water reports before arriving at the port or destination. As a practical matter, vessels often discovered information after arrival that necessitated amending the reports. Accordingly, the Coast Guard proposed the change in submission requirements to reduce the need for amended reports. V. Discussion of NPRM Comments and Changes In response to the NPRM, the Coast Guard received 6 public comment letters containing a total of 13 separate comments. The comments are available for viewing in the public docket for this rulemaking, where indicated above under ADDRESSES. This section contains a description of each comment, followed by the Coast Guard's response. Since several of the letters raised similar issues, this section is organized by comment topic. Except for the changes identified in this section, the Coast Guard adopts the regulations as proposed in the NPRM without change. A. Three-Year Annual Reporting Requirement for Vessels Operating Exclusively Within a Single COTP Zone One commenter supported the proposal to require vessels operating within a single COTP zone to submit annual reports for three years. The commenter stated that annual reporting would provide data that is useful to the Coast Guard for making regulatory decisions affecting these vessels. The Coast Guard agrees. One commenter opposed the proposal to require vessels operating within a single COTP zone to submit annual reports, arguing that the burden of the reporting requirement is not justified due to the low risk of introduction of aquatic invasive species within a single COTP zone. The Coast Guard disagrees. An annual report, limited to three years, presents a minimal burden, but will provide the essential data for the Coast Guard to determine whether vessels that operate solely in a single COTP zone should be subject to the same or similar BWM regulations as those applicable to vessels operating in multiple COTP zones. The commenter also suggested the Coast Guard could obtain all necessary ballast water operation information from advisory committees and trade associations instead of introducing new reporting requirements. The Coast Guard disagrees. Data from such sources would be limited because not all vessel owners and operators are members of trade associations or represented in advisory committee studies. [[Page 73107]] Furthermore, reports to such trade associations and advisory committees would be voluntary instead of legally required, which would limit the amount of data. For these reasons, a streamlined, annual report is the more effective approach for collecting accurate data. B. Revisions to the Ballast Water Reporting Form Two commenters supported the Coast Guard's proposal to streamline and simplify the ballast water reporting form. In this final rule, the Coast Guard is taking an additional step to simplify the regulations in Sec. Sec. 151.2060 (Reporting requirements) and 151.2070 (Recordkeeping requirements). The Coast Guard intends to align the information required for reporting and recordkeeping purposes as much as possible because the information required to satisfy both requirements is almost identical. The NPRM, however, listed the information required for reporting purposes under Sec. 151.2060, and separately listed similar information required for recordkeeping purposes in Sec. 151.2070. Upon further review of the NPRM, the Coast Guard wishes to avoid any confusion or misunderstanding regarding the lists of information required for reporting and recordkeeping. Specifically, the Coast Guard wishes to avoid a misunderstanding that there is one set of information required under Sec. 151.2060 for reporting purposes, and a separate set of information required under Sec. 151.2070 for recordkeeping purposes. Accordingly, for regulatory clarity, this final rule now lists the information required for reporting purposes in Sec. 151.2060. Instead of repeating that list of information for recordkeeping, Sec. 151.2070(a) simply states that there is a requirement to maintain records of all the information required to be reported under Sec. 151.2060. Also in Sec. 151.2070, there is an additional recordkeeping requirement regarding sediment discharge. Sediment discharge is the one data point which is subject to the recordkeeping requirement, but is not subject to the reporting requirement. Another commenter requested an additional change to the form that would enable a reporting officer to sign the form electronically. The Coast Guard is granting this request. Ballast water reporting forms are submitted to the National Ballast Information Clearinghouse (NBIC) using any of the methods on the NBIC Web site.\6\ Reporters may complete the form by filling out the fields on NBIC's online click-thru web-based version of the form. At the end of the web-based form, reporters will be asked to electronically certify the accuracy of the information provided. This certification satisfies the Coast Guard's signature requirement in Sec. 151.2070 for recordkeeping purposes. --------------------------------------------------------------------------- \6\ Forms are submitted through NBIC's Web site at http://invasions.si.edu/nbic/submit.html. --------------------------------------------------------------------------- One commenter requested an additional change to the form that would enable reporters to highlight an entire column and fill it out with one entry that stays constant (or near-constant) throughout the body of the report. The Coast Guard wishes to clarify that while we manage the content of the form, NBIC manages the functionality of the form. The Coast Guard communicated the commenter's request to NBIC for its consideration. NBIC advised against the commenter's request, noting that it implemented this option into an earlier test version of the form and found that it resulted in too many errors. Specifically, the ease of use of auto-fill columns was outweighed by the tendency of reporters to not enter data in these columns accurately. As form technology evolves, NBIC will consider adding an auto-fill function pending availability of a system that is better at identifying and eliminating errors. One commenter requested that the Coast Guard continue to allow all vessel operators the choice of reporting ballast water capacities and discharge volumes in gallons or metric tons. The Coast Guard communicated the commenter's request to NBIC for its consideration. NBIC has agreed to change the form to include a drop-down menu that enables reporters to choose gallons or cubic meters as their preferred unit of measurement. Because the form will now allow reporters to choose which volumetric unit to use, we have removed the specific reference to cubic meters from the regulatory text in 33 CFR 151.2060. One commenter noted that the form requires reporters to provide the vessel's International Maritime Organization (IMO) number, though many U.S.-flagged vessels are not issued IMO numbers. The commenter recommended an amendment to the form to specify another acceptable identification number for such vessels. In response, the Ballast Water Reporting form will be updated to offer an option for inputting either the IMO number or other documentation number. C. Timing of Report Submission Three commenters supported the Coast Guard's proposal to allow vessels to submit ballast water reports after arrival at a port or place of destination. The Coast Guard adopts the proposal without change. For purposes of clarity, we note that Coast Guard regulations in 33 CFR 151.2005 define the phrase ``[p]ort or place of destination'' to mean ``. . . any port or place to which a vessel is bound to anchor or moor.'' The Coast Guard provides further guidance on the practical application of the phrase ``port or place of destination'' for ballast water reporting purposes in Navigation and Vessel Inspection Circular NVIC 07-04, Change 1 (Oct. 29, 2004).\7\ For example, for barges equipped with ballast tanks, reports must be submitted only for stops where cargo operations are conducted. For towing vessels equipped with ballast tanks, reports must be submitted when the vessel conducts fueling operations. In both cases, reports are not required when the vessel stops for fleeting, waits for locks, or purposes other than cargo or fueling operations. --------------------------------------------------------------------------- \7\ NVIC 07-04 may be viewed online at: http://www.uscg.mil/hq/cg5/nvic/pdf/2004/NVIC_07-04_CH-1.pdf. --------------------------------------------------------------------------- One commenter requested a change to the regulations to emphasize that vessels operating on the Great Lakes are covered under the new provision permitting report submission within six hours after arrival at a port or place of destination. While the Coast Guard agrees that the vessels in question are covered under this provision, we are not granting the commenter's request to change the regulatory text because the language in 33 CFR 151.2060 is sufficiently clear on this point, and it is unnecessary to add specific language solely for Great Lakes vessels. One commenter suggested 2 alternatives for when the 6-hour post- arrival submission window should start in order to further reduce the need for amended reports. The commenter suggested that the 6-hour window should start when the vessel's cargo operations commence, even if this is some time after the vessel arrives at berth. Alternatively, the commenter suggested that the 6-hour window should start when the vessel arrives at berth. The Coast Guard rejects the commenter's preferred approach because it would mean different timing for different vessels, causing inconsistency in applying and enforcing the 6-hour submission window. Regarding the commenter's alternative approach, the Coast Guard expects that the 6-hour submission window starting upon arrival at the ``port or place of destination'' as discussed above will give the vessel crew ample time to submit an accurate ballast water report, without the need for an amended report [[Page 73108]] in most instances. The Coast Guard will, however, continue to enable vessels to submit an amended report when necessary. D. Other Comments and Changes One commenter requested that the Coast Guard provide a definition of the term ``trip'' for reporting purposes on operations exclusively within a single COTP Zone. We agree that the term ``trip'' is ambiguous. To clarify, the Coast Guard is not seeking reported information on each and every vessel movement. Instead, we are seeking reported information on the number of ballast water discharges, if any. The Coast Guard has modified the regulatory text by removing the term ``trip'' to more clearly reflect the Coast Guard's intention. Two commenters questioned the utility of BWM data to the Coast Guard, and requested that we consider eliminating BWM reporting and recordkeeping requirements altogether. For the reasons discussed below, the Coast Guard cannot grant this request. The Coast Guard requires vessels to report and to maintain records of BWM practices and activities pursuant to a statutory mandate (16 U.S.C. 4711(f)). More specifically, this information enables us to assess the rate of effective compliance with established BWM requirements and guidelines. The information provides important data on volumes of ballast water discharged by different types of vessels, patterns of ballast water transport (i.e., locations where ballast water is loaded and discharged), patterns of BWM by different types of vessels, and safety and practicability issues that affect the ability of different types of vessels to implement specific BWM practices. Additionally, the Coast Guard uses the reported information to track patterns of BWM and delivery in the U.S. over time. These data provide information on the relative amounts of ballast water that different types of vessels must manage, as well as the circumstances (e.g., voyage lengths and routes) that necessitate BWM. These data are also essential in evaluating the availability of BWM technologies for the range of vessels operating in waters of the U.S. These important data directly inform the Coast Guard's decision making efforts to ensure, to the maximum extent practicable, that aquatic nuisance species are not discharged into waters of the U.S. One commenter questioned whether this rulemaking applies to vessels that operate outside of U.S. waters (i.e., beyond 12 nautical miles of shore), but still within the Exclusive Economic Zone (EEZ), which generally extends 200 nautical miles from the territorial sea baseline.\8\ The Coast Guard confirms that this rulemaking does not apply to vessels operating exclusively outside of U.S. waters. In accordance with the applicability provision in 33 CFR 151.2010, this rulemaking ``applies to all non-recreational vessels, U.S. and foreign, that are equipped with ballast tanks and operate in the waters of the United States, except as expressly provided in Sec. 151.2015 or Sec. 151.2020 of [33 CFR part 151 subpart D].'' --------------------------------------------------------------------------- \8\ See 33 CFR 2.30. --------------------------------------------------------------------------- Two commenters requested exemptions from the ballast water reporting requirements for certain vessels, including those that do not discharge ballast water from their tanks and those that use potable water for ballast. The Coast Guard is not granting these requests for blanket exemptions. The controlling statutory provisions in 46 U.S.C. 4711(c) and (f) require the Coast Guard to apply these regulations to ``. . . all vessels equipped with ballast water tanks that operate in the waters of the United States.'' It is the presence of a ballast water tank that triggers the applicable reporting requirement, not the discharge of ballast water. When a vessel is equipped with a ballast water tank, the non-discharge of ballast water or the use of potable water for ballast is a BWM practice, and the reporting requirement provides useful information regarding the effectiveness of these measures in preventing the introduction or spread of invasive species. The purpose of the reported information is to assist the Coast Guard in evaluating BWM practices in general, regardless of whether a vessel discharges ballast water. However, we remind owners and operators that 33 CFR 151.2065 provides relief under certain circumstances (i.e., where compliance with 33 CFR 151.2060 is economically or physically impractical) to submit a request for the Coast Guard to approve an alternative equivalent reporting method. We are revising the text in 33 CFR 151.2015 in several places to refer to a ``single'' COTP zone instead of ``one'' COTP zone for clarity and consistency with the rest of that section. Additionally, we are revising the text in 33 CFR 151.2060(b)(1)(ii) to reflect the accurate name of the ``St. Lawrence Seaway Ballast Water Reporting Form.'' These are non-substantive technical changes. VI. Regulatory Analyses We developed this final rule after considering numerous statutes and executive orders related to rulemaking. Below, we summarize our analyses based on these statutes or executive orders. A. Regulatory Planning and Review Executive Orders 12866 (``Regulatory Planning and Review'') and 13563 (``Improving Regulation and Regulatory Review'') direct agencies to assess the costs and benefits of available regulatory alternatives and, if regulation is necessary, to select regulatory approaches that maximize net benefits (including potential economic, environmental, public health and safety effects, distributive impacts, and equity). Executive Order 13563 emphasizes the importance of quantifying both costs and benefits, of reducing costs, of harmonizing rules, and of promoting flexibility. This final rule has not been designated a ``significant regulatory action'' under section 3(f) of Executive Order 12866, ``Regulatory Planning and Review,'' as supplemented by Executive Order 13563, ``Improving Regulation and Regulatory Review,'' and does not require an assessment of potential costs and benefits under section 6(a)(3) of that Order. Accordingly, the final rule has not been reviewed by the Office of Management and Budget (OMB). We received no public comments that affect the Regulatory Assessment (RA); nor have we identified any new information or data that would require us to reassess the RA in the NPRM. We, therefore, adopt the NPRM's Regulatory Assessment as the final assessment to this final rule. A final Regulatory Assessment is provided as follows: Table 1 presents a summary of the economic impact of this final rule. A detailed description of the estimates is presented in the next sections. [[Page 73109]] Table 1--Summary of Regulatory Economic Impacts -------------------------------------------------------------------------------------------------------------------------------------------------------- Costs (7% discount rate) Changes Description Affected population ---------------------------------------------- Benefits Annualized Total -------------------------------------------------------------------------------------------------------------------------------------------------------- 1. Require vessels operating Owners or operators of 400 owners or $22,110.............. $155,292............. Improve the breadth exclusively on voyages between vessels with ballast operators of 1,280 and quality of BWM ports and places within a single tanks and operating vessels operating in data, enabling the COTP Zone to report BWM practices. exclusively on a single COTP Zone. Coast Guard and voyages between ports others to make the or places within a most informed single COTP Zone programmatic and would be required to regulatory actions submit an annual to prevent non- summary of their BWM indigenous species practices. This invasions in U.S. information waters. collection requirement would be for a 3 year period. 2. Update current ballast water Update current ballast Vessels currently $0................... $0................... Concise reporting and report requirements. water report. Vessels reporting BWM inclusion of only already complying activities under 33 essential data on with 33 CFR 151.2070 CFR 151.2070. BWM practices. requirements would not incur additional burden due to the updates. 3. Allow vessel owners or operators Currently, vessels are Vessels currently ($184,868) Cost ($1,298,437) Cost Reduce the to submit ballast water reports required to submit reporting BWM savings. savings. administrative after arrival to the port or place reports 24 hours activities under 33 burden on the of destination. prior to arrival. CFR 151.2070. regulated Allowing vessels to population. We report after arrival-- estimate that this when their ballasting final rule will activities are eliminate an average complete--should of 10,717 post- greatly reduce the arrival reports per need for post-arrival year. amendments. 4. Change the format of electronic Standardize the data Vessels currently $0................... $0................... Facilitate electronic report.. format and add pull reporting BWM report submission down menus to reduce activities under 33 and improve data entry errors.. CFR 151.2070. efficiency in data handling and analysis. -------------------------------------------------------------------------------------------------------------------------------------------------------- This final rule would modify and amend the following recordkeeping requirements and procedures: 1. Require Vessels Operating in a Single COTP Zone To Report BWM Practices In this final rule, the Coast Guard requires owners or operators of vessels with ballast tanks operating exclusively on voyages between ports or places within a single COTP Zone to submit an annual summary report of their BWM practices for a period of 3 years. Based on data from the Coast Guard Marine Information for Safety and Law Enforcement (MISLE) and the Ship Arrival Notification System (SANS), we estimate that the final rule will have an annual affect on 1,280 U.S.-flagged vessels that operate exclusively between ports or places within a single COTP Zone. Table 2 presents the vessel types affected by this requirement. These vessels are currently exempt from the ballast water reporting requirements under 33 CFR 151.2070. Owners or operators of these vessels will be required to submit an annual summary report of their BWM practices to the Coast Guard for a period of 3 years. --------------------------------------------------------------------------- \9\ Includes permanently moored vessels, school ships, and vessels with unspecified vessel type. Table 2--U.S. Flag Vessels Operating Exclusively Between Ports or Places Within a Single COTP Zone ------------------------------------------------------------------------ Affected Vessel type population ------------------------------------------------------------------------ Commercial Fishing Vessel............................... 117 Fish Processing Vessel.................................. 4 Freight Ship............................................ 117 Industrial Vessel....................................... 28 Mobile Offshore Drilling Unit........................... 5 Offshore Supply Vessel.................................. 175 Oil Recovery............................................ 6 Passenger (inspected)................................... 154 Passenger (uninspected)................................. 3 Research Vessel......................................... 11 Tank Ship............................................... 29 Towing Vessel........................................... 604 Other Vessels \9\....................................... 27 --------------- Total................................................. 1,280 ------------------------------------------------------------------------ Source: MISLE and SANS data. For the purposes of the cost analysis, we assume that all vessels discharge ballast water. We estimate the total annual burden hours required to complete the report will be approximately 40 minutes per vessel per year. We anticipate vessel owners or operators will need 15 minutes to complete and submit their annual ballasting report. Most of the information required is well known by the vessel owner or operator and does not require additional document consultation. The information that does not require additional document consultation includes: Vessel name, identification number, type, operator, tonnage, call sign, COTP Zone of operation, number of ballast water tanks, total ballast water capacity, and primary port of ballast water loading and discharge. The remaining 25 minutes accounts for the total time allocated (over the entire year) for vessel operators to assemble and review information to determine the number of times ballast water is discharged and the volume of [[Page 73110]] discharge released during such vessel operations. We also recognize that vessels that do not discharge ballast water will only be burdened with the 15 minutes to fill out and submit the annual form. We assume that the vessel owner or operator, with an estimated wage rate of $69/hr \10\, will be in charge of this reporting. The annual cost per vessel is $46.23 (.67 hrs x $69/hr) and the total cost per vessel for the 3-year period is $139. The estimated annual cost of the new reporting requirement for the 1,280 vessels, operating exclusively between ports or places within a single COTP Zone, is, $59,174 (1,280 vessels x .67 hrs x $69 hr) (undiscounted). The total cost for a 3-year reporting period is $177,522 (undiscounted) or $155,291 (at seven percent discount rate). Table 3 presents the reporting costs for vessels operating exclusively between ports or places within a single COTP Zone. --------------------------------------------------------------------------- \10\ Fully loaded wage rate for GS-12 (equivalent) out-of-govt., obtained from Enclosure (2) to COMDTINST 7310.1M and validated based on the Bureau of Labor Statistics (BLS) subcategory Managers (Occupation Code 11-9199) using a base average form years 2010-2011 data and a load factor of 1.4. \11\ The Coast Guard anticipates the information collection requirement would lapse after the completion of 3 years. Table 3--Annual and Total Cost of Reporting (in US$) for Vessels Operating Exclusively Between Ports or Places Within a Single COTP Zone ---------------------------------------------------------------------------------------------------------------- Cost ----------------------------------------------------- Year \11\ At 7 percent At 3 percent Undiscounted discount rate discount rate ---------------------------------------------------------------------------------------------------------------- 1......................................................... $59,174 $55,303 $57,450 2......................................................... 59,174 51,685 55,777 3......................................................... 59,174 48,304 54,153 4-10...................................................... 0 0 0 ----------------------------------------------------- Total................................................. 177,523 155,292 167,380 Annualized................................................ ................ 22,110 19,622 ---------------------------------------------------------------------------------------------------------------- This final rule will collect information on ballast water operations from vessels operating exclusively between ports or places within a single COTP Zone, a segment of the industry for which the Coast Guard has limited information. Therefore, the Coast Guard seeks to improve the breadth and quality of its BWM data so it can make the most informed programmatic and regulatory decisions. The Coast Guard considered several alternatives for collecting the needed information on the ballast practices for vessels operating exclusively between ports or places within a single COTP Zone. One alternative would require these vessels to complete a full ballast water reporting form (33 CFR 151.2060) upon each entry into port, similar to existing requirements for other vessels operating outside a single COTP Zone. The Coast Guard instead chose the alternative that requires only an annual summary report of ballast activities with a limited number of required data elements. The Coast Guard will also collect this data for only 3 years. The Coast Guard believes that the annual summary report for 3 years provides enough information to characterize BWM practices for vessels operating exclusively between ports or places within a single COTP Zone, while minimizing the reporting burden to these entities. 2. Update Current Ballast Water Report Requirements (33 CFR 151.2060) The Coast Guard is updating the ballast water reporting form to make it more concise and include only essential data on BWM practices. Current recordkeeping requirements in 33 CFR 151.2070 are amended to include only data fields essential for understanding and analyzing BWM practices of vessels operating in waters of the U.S. Vessel owners or operators who currently submit ballast water reports to comply with 33 CFR 151.2060 requirements will not incur additional burden due to the reporting updates. Updates to the report form will make questions more clear and concise. The most time consuming section of the report (section 5, ``Ballast Water History'') will be restructured, but the content will be maintained. We do not expect that changes to the reporting form will affect the amount of burden time necessary to fill-out the form. Currently, vessels equipped with ballast water tanks bound for ports or places within the U.S. or those entering U.S. waters are required to submit a ballast water report. According to the Coast Guard's estimate in OMB collection of information Control Number 1625-0069, it takes approximately 40 minutes to complete and submit the report. The CFR at 33 CFR 151.2060 and 151.2070 presents detailed information on reporting and recordkeeping requirements. In addition, updating the current reporting form will improve the utility of the data provided by the vessel population to the Coast Guard. 3. Allow Vessels To Submit Ballast Water Reports After Arrival to the Port or Place of Destination Prior to this final rule, 33 CFR 151.2060 required vessels to predict their ballasting operations and submit reports on BWM 24 hours before arrival at port. Often, vessel owners and operators would revise their reports with the actual ballasting information and resubmit them to NBIC. NBIC estimates that approximately 40 percent of the amended reports it receives are due to the timing of the report submission. Allowing those vessels travelling from outside of the EEZ that are not bound for the Great Lakes or the Hudson River north of the George Washington Bridge to submit ballast water reports after arrival to the port or place of destination greatly reduces the need for amended reports. We estimate that an average of 10,717 reports \12\ are amended and resubmitted every year due to the timing of submission. We estimate that it would take the vessel owner or operator approximately 15 minutes to amend and resend the reports. Therefore, we expect that this amendment will result in an annual reduction of burden by approximately 2,679 hours (10,717 reports x 0.25 hours \13\), representing a cost savings of [[Page 73111]] $184,868 (2,679 hours x $69/hr \14\) per year to the industry. The total cost savings (Table 4) that results from allowing report submittal after arrival at a port for a 10-year period is $1,298,437 (at 7 percent discount rate). --------------------------------------------------------------------------- \12\ The estimate is based on data provided by NBIC on superseded reports for 2006 to 2012. \13\ Estimation based on time reported in the OMB 1625-0069 from vessel operators currently completing ballast water management reports to comply with 33 CFR 151.2070. \14\ Wage rate obtained from Enclosure (2) to COMDTINST 7310.1M and validated based on the BLS subcategory Managers (Occupation Code 11-9199). Table 4--Annual and Total Cost Savings of Changing the Time of the Report ---------------------------------------------------------------------------------------------------------------- Cost savings ----------------------------------------------------- Year At 7 percent At 3 percent Undiscounted discount rate discount rate ---------------------------------------------------------------------------------------------------------------- 1......................................................... ($184,868) ($172,774) ($179,484) 2......................................................... (184,868) (161,471) (174,256) 3......................................................... (184,868) (150,908) (169,181) 4......................................................... (184,868) (141,035) (164,253) 5......................................................... (184,868) (131,809) (159,469) 6......................................................... (184,868) (123,186) (154,824) 7......................................................... (184,868) (115,127) (150,315) 8......................................................... (184,868) (107,595) (145,937) 9......................................................... (184,868) (100,556) (141,686) 10........................................................ (184,868) (93,978) (137,559) ----------------------------------------------------- Total................................................. (1,848,683) (1,298,437) (1,576,964) Annualized................................................ ................ (184,868) (184,868) ---------------------------------------------------------------------------------------------------------------- 4. Change the Format of Electronic Reports The Coast Guard expects reporting efficiency and data handling will improve by changing the format of the electronic report that can be found in Information Collection Request (ICR), OMB Control number 1625- 0069. The Coast Guard will standardize the data formats and add pull down menus. Since the pull down menu will make the reporting form simpler and will reduce response variability, we do not anticipate any significant change in the reporting burden. These efficiencies will not result in cost savings. Therefore, we do not expect additional costs or cost savings to the industry. According to NBIC data from the past 6 years, approximately 99 percent of reports have been submitted electronically. Within the last 2 years, 100 percent of the reports have been submitted electronically. Standardized data entry will improve data quality and, as a result, data analyses will be easier and less time consuming. 5. Summary of Economic Impacts of Final Rule This final rule will impact the industry for a limited time only (3 years). During this time, we estimate a total annual non-discounted cost savings of $125,694 and a total 10-year non-discounted cost savings of $1,671,160. We also estimate an annualized cost savings of $162,758, with a discounted ten-year saving of $1,443,145 both respectively discounted at 7 percent for a 10-year period of analysis. These estimates are developed and shown in Table 5. Table 5--Annual and Total Economic Impact of Final Rule [At 7 percent discount rate] -------------------------------------------------------------------------------------------------------------------------------------------------------- 1. Report from vessels operating 2. Update current 3. Allow vessels 4. Require reports Year exclusively in a ballast water to submit reports be submitted Economic impact of single COTP Zone report after arrival electronically final rule (cost) (cost savings) -------------------------------------------------------------------------------------------------------------------------------------------------------- 1................................................... $55,303 $0 ($172,774) $0 ($117,471) 2................................................... 51,685 0 (161,471) 0 (109,786) 3................................................... 48,304 0 (150,908) 0 (102,604) 4................................................... .................. 0 (141,035) 0 (141,035) 5................................................... .................. 0 (131,809) 0 (131,809) 6................................................... .................. 0 (123,186) 0 (123,186) 7................................................... .................. 0 (115,127) 0 (115,127) 8................................................... .................. 0 (107,595) 0 (107,595) 9................................................... .................. 0 (100,556) 0 (100,556) 10.................................................. .................. 0 (93,978) 0 (93,978) --------------------------------------------------------------------------------------------------- Total........................................... 155,292 0 (1,298,437) 0 (1,143,145) Annualized.......................................... 22,110 0 (184,868) 0 (162,758) -------------------------------------------------------------------------------------------------------------------------------------------------------- Note: Totals may not add due to rounding. B. Small Entities Under the Regulatory Flexibility Act (RFA) (5 U.S.C. 601-612), we have considered whether this final rule would have a significant economic impact on a substantial number of small entities. The term ``small entities'' comprises small businesses, not-for-profit organizations that are [[Page 73112]] independently owned and operated and are not dominant in their fields, and governmental jurisdictions with populations of less than 50,000. As described in the ``Regulatory Analyses'' section, we expect costs per vessel (an annual cost of $46.23 for a 3-year period) to owners or operators of vessels operating exclusively between ports or places within a single COTP Zone. Based on available data, we estimate that about 74 percent of entities affected by this final rule are small under the RFA and the Small Business Administration's size standards. The economic impact of the 3-year reporting requirement is less than 1 percent of revenue for 100 percent of the small entities. We determine that each entity, on average, manages a total of 3 vessels with an estimated annual cost of $139 (3 * $46.23) (non-discounted). We have estimated that for this rule to have a revenue impact of greater than 1 percent, total annual revenue for small entities must be less than $13,900. Therefore, we anticipate that this final rule will not have a significant economic impact on small entities. Through this final rule, the Coast Guard will obtain information on ballast water operations from a segment of the industry for which there is limited information, and improve the utility of the data provided to Coast Guard. Owners and operators of applicable vessels already reporting BWM practices under 33 CFR 151.2060 would incur a cost savings as a result of the elimination of post-arrival amendments due to time of the reporting. Therefore, the Coast Guard certifies that under 5 U.S.C. 605(b), this final rule will not have a significant economic impact on a substantial number of small entities. C. Assistance for Small Entities Under section 213(a) of the Small Business Regulatory Enforcement Fairness Act of 1996 (Pub. L. 104-121), we want to assist small entities in understanding this final rule so that they can better evaluate its effects on them and participate in the rulemaking. If the final rule would affect your small business, organization, or governmental jurisdiction and you have questions concerning its provisions or options for compliance, please consult Ms. Regina Bergner, Environmental Standards Division, U.S. Coast Guard (CG-OES-3); telephone 202-372-1431, email, [email protected]. The Coast Guard will not retaliate against small entities that question or complain about this rule or any policy or action of the Coast Guard. Small businesses may send comments on the actions of Federal employees who enforce, or otherwise determine compliance with, Federal regulations to the Small Business and Agriculture Regulatory Enforcement Ombudsman and the Regional Small Business Regulatory Fairness Boards. The Ombudsman evaluates these actions annually and rates each agency's responsiveness to small business. If you wish to comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR (1-888-734-3247). D. Collection of Information This final rule modifies an existing collection of information under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). As defined in 5 CFR 1320.3(c), ``collection of information'' comprises reporting, recordkeeping, monitoring, posting, labeling, and other, similar actions. The title and description of the information collection, a description of those who must collect the information, and an estimate of the total annual burden follow. The burden-hour estimates cover the time for reviewing instructions, searching existing sources of data, gathering and maintaining the data needed, and completing and reviewing the collection. Title: Ballast Water Management Reporting and Recordkeeping. OMB Control Number: 1625-0069. Summary of the Collection of Information: This final rule modifies the existing BWM recordkeeping requirements in 33 CFR 151.2070 and amends the ballast water report. In this final rule, the Coast Guard requires vessels with ballast tanks that operate exclusively on voyages between ports or places within a single COTP Zone to submit an annual summary report of their BWM practices for 3 years. The Coast Guard is also updating the ballast water report to include only data that are essential to understanding and analyzing BWM practices. These updates will not result in changes to current industry burden. The final rule also allows most vessels to submit ballast water reports after arrival at the port or place of destination. Need for Information: It is essential for the Coast Guard to improve the breadth and quality of its BWM data so it can make the most informed programmatic and regulatory decisions on how to prevent the introduction of non-indigenous aquatic species in U.S. waters. Limited information is available for vessels operating exclusively between ports or places within a single COTP Zone, since most of these vessels are exempt from the reporting requirements of 33 CFR 151.2060. Use of Information: BWM data from a segment of the industry for which the Coast Guard has limited information will improve the utility of the data provided by the currently-regulated vessel population. Description of the Respondents: The respondents are: (a) Owners and operators of vessels with ballast water tanks operating exclusively on voyages between ports or places within a single COTP Zone. (b) Owners and operators of vessels currently reporting BWM activities under 33 CFR 151.2060. Number of Respondents: The current number of respondents is 8,383. The requirements of this final rule will add 1,280 respondents from vessels with ballast water tanks operating exclusively on voyages between ports or places within a single COTP Zone. Therefore, the total number of respondents would increase by 1,280 to 9,663 (8,383 current respondents + 1,280 new respondents). Frequency of Response: Current respondents under 33 CFR 151.2060 will continue to submit their reports upon arrival to U.S. ports. New respondents (owners and operators of vessels operating exclusively on voyages between ports or places within a single COTP Zone) will report once a year for a period of 3 years. After the 3 year period, the Coast Guard will have a base understanding of ballast water practices for these vessels, and reporting requirements will no longer be necessary. Burden of Response: We estimate that the response would take approximately 40 minutes per report for vessels with ballast water tanks operating exclusively on voyages between ports or places within a single COTP Zone. Estimate of Total Annual Burden: The annual burden is estimated as follows: (a) Annual burden for new reporting requirement for vessels operating within a single COTP Zone: This rule would create a new burden of 858 hours (1,280 vessels x .67 hours) \15\ for the private sector. --------------------------------------------------------------------------- \15\ The estimation based on time required for reporting. Most information is well known by the vessel manager and does not require additional document or consultation. The questions are: Vessel name, number, identification number, type, operator, tonnage, call sign, COTP Zone of operation, number of ballast water tanks, total ballast water capacity, primary port of ballast water loading and discharge, estimated number of times ballast water is discharged and volume. --------------------------------------------------------------------------- (b) Annual burden for current reporting requirements: This final rule will result in a total annual burden increase of 858 hours due to the new requirement for vessels [[Page 73113]] operating exclusively on voyages between ports or places within a single COTP Zone. We estimate the total annual cost burden to be $59,174 (non-discounted). As required by the Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)), we will submit a copy of this final rule to the Office of Management and Budget (OMB) for its review of the collection of information. E. Federalism A rule has implications for federalism under Executive Order 13132, Federalism, if it has a substantial direct effect on the States, on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government. We have analyzed this rule under that Order and have determined that it is consistent with the fundamental federalism principles and preemption requirements described in Executive Order 13132. Our analysis is explained below. This rule revises the Coast Guard's BWM reporting and recordkeeping requirements promulgated under the authority of NANPCA, as amended by NISA. NANPCA, as amended by NISA, contains a ``savings provision'' that saves to States their authority to ``adopt or enforce control measures for aquatic nuisance species, [and nothing in the Act would] diminish or affect the jurisdiction of any State over species of fish and wildlife'' (16 U.S.C. 4725). This type of BWM reporting and recordkeeping is a ``control measure'' saved to States under the savings provision and would not be preempted unless State law makes compliance with this rule's requirements impossible or frustrates the purpose of Congress. No such State law has been identified. Additionally, the Coast Guard has long interpreted this savings provision to be a congressional mandate for a Federal-State cooperative regime in which federal preemption under NANPCA, as amended by NISA, would be unlikely. 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 applicable standards in sections 3(a) and 3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize litigation, eliminate ambiguity, and reduce burden. I. Protection of Children We have analyzed this rule under Executive Order 13045, ``Protection of Children from Environmental Health Risks and Safety Risks.'' This rule is not an economically significant rule and would not create an environmental risk to health or risk to safety that might disproportionately affect children. J. Indian Tribal Governments This rule does not have tribal implications under Executive Order 13175, ``Consultation and Coordination with Indian Tribal Governments,'' because it would not have a substantial direct effect on one or more Indian tribes, on the relationship between the Federal Government and Indian tribes, or on the distribution of power and responsibilities between the Federal Government and Indian tribes. K. Energy Effects We have analyzed this rule under Executive Order 13211, ``Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use.'' We have determined that it is not a ``significant energy action'' under that order because it is not a ``significant regulatory action'' under Executive Order 12866 and is not likely to have a significant adverse effect on the supply, distribution, or use of energy. 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 (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 does not use technical standards. Therefore, we did not consider the use of voluntary consensus standards. M. Environment We have analyzed this rule under Department of Homeland Security Management Directive 023-01 and Commandant Instruction M16475.lD, which guide the Coast Guard in complying with the National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and have concluded that this action is one of a category of actions that do not individually or cumulatively have a significant effect on the human environment. A final environmental analysis checklist supporting this determination is available in the docket where indicated under the ``Addresses'' section of this preamble. This rule involves regulations that are editorial and procedural, and falls under section 2.B.2, figure 2-1, paragraph (34)(a) of the Instruction. List of Subjects in 33 CFR Part 151 Administrative practice and procedure, Ballast water management, Oil pollution, Penalties, Reporting and recordkeeping requirements, Water pollution control. For the reasons discussed in the preamble, the Coast Guard amends 33 CFR part 151 as follows: PART 151--VESSELS CARRYING OIL, NOXIOUS LIQUID SUBSTANCES, GARBAGE, MUNICIPAL OR COMMERCIAL WASTE, AND BALLAST WATER Subpart C--Ballast Water Management for Control of Non-Indigenous Species in the Great Lakes and Hudson River 0 1. The authority citation for subpart C continues to read as follows: Authority: 16 U.S.C. 4711; Department of Homeland Security Delegation No. 0170.1. 0 2. In Sec. 151.1516, revise paragraph (a) introductory text to read as follows: Sec. 151.1516 Compliance monitoring. (a) The master of each vessel equipped with ballast tanks must provide the following information, in written form, to the Captain of the Port (COTP): * * * * * [[Page 73114]] Subpart D--Ballast Water Management for Control of Non-Indigenous Species in Waters of the United States 0 3. The authority citation for subpart D continues to read as follows: Authority: 16 U.S.C. 4711; Department of Homeland Security Delegation No. 0170.1. 0 4. Amend Sec. 151.2015 as follows: 0 a. Revise paragraph (b); 0 b. Redesignate paragraph (c) as paragraph (d); 0 c. Add new paragraph (c); 0 d. Revise newly redesignated paragraphs (d)(1) and (3); and 0 e. Add Table 1 to Sec. 151.2015. The revisions and addition read as follows: Sec. 151.2015 Exemptions. * * * * * (b) Crude oil tankers engaged in coastwise trade are exempt from the requirements of Sec. Sec. 151.2025 (ballast water management (BWM) requirements), 151.2060 (reporting), and 151.2070 (recordkeeping) of this subpart. (c) Vessels that operate exclusively on voyages between ports or places within a single COTP Zone are exempt from the requirements of Sec. Sec. 151.2025 (ballast water management (BWM) requirements), and 151.2070 (recordkeeping) of this subpart. (d) * * * (1) Seagoing vessels that operate in more than a single COTP Zone, do not operate outside of the EEZ, and are less than or equal to 1,600 gross register tons or less than or equal to 3,000 gross tons (International Convention on Tonnage Measurement of Ships, 1969). * * * * * (3) Vessels that operate in more than a single COTP Zone and take on and discharge ballast water exclusively in a single COTP Zone. Table 1 to Sec. 151.2015--Table of 33 CFR 151.2015 Specific Exemptions for Types of Vessels ---------------------------------------------------------------------------------------------------------------- 151.2070 151.2025 (Management) 151.2060 (Reporting) (Recordkeeping) ---------------------------------------------------------------------------------------------------------------- Department of Defense or Coast Exempt................... Exempt................... Exempt. Guard vessel subject to 46 U.S.C. 4713. Vessel of the Armed Forces subject Exempt................... Exempt................... Exempt. to the ``Uniform National Discharge Standards for Vessels of the Armed Forces'' (33 U.S.C. 1322(n)). Crude oil tankers engaged in Exempt................... Exempt................... Exempt. coastwise trade. Vessel operates exclusively on Exempt................... Applicable............... Exempt. voyages between ports or places within a single COTP Zone. Seagoing vessel operates on voyages Exempt................... Applicable............... Applicable. between ports or places in more than a single COTP Zone, does not operate outside of EEZ, and <=1600 gross register tons or <=3000 gross tons (ITC). Non-seagoing vessel................ Exempt................... Applicable............... Applicable (unless operating exclusively on voyages between ports or places within a single COTP Zone). Vessel operates between ports or Exempt................... Applicable............... Applicable. places in more than a single COTP Zone and takes on and discharges ballast water exclusively in a single COTP Zone. ---------------------------------------------------------------------------------------------------------------- 0 5. Amend Sec. 151.2060 by revising paragraphs (b) and (c) and adding paragraphs (d) through (f) to read as follows: Sec. 151.2060 Reporting requirements. * * * * * (b) Unless operating exclusively on voyages between ports or places within a single COTP Zone, the master, owner, operator, agent, or person in charge of a vessel subject to this subpart and this section must submit a ballast water report to the National Ballast Information Clearinghouse (NBIC) by electronic ballast water report format using methods specified at NBIC's Web site at http://invasions.si.edu/nbic/submit.html. The ballast water report will include the information listed in paragraph (c) of this section and must be submitted as follows: (1) For any vessel bound for the Great Lakes from outside the EEZ. (i) Submit a ballast water report at least 24 hours before the vessel arrives in Montreal, Quebec. (ii) Non-U.S. and non-Canadian flag vessels may complete the St. Lawrence Seaway Ballast Water Reporting Form and submit it in accordance with the applicable Seaway notice as an alternative to this requirement. (2) For any vessel bound for the Hudson River north of the George Washington Bridge entering from outside the EEZ: Submit the ballast water report at least 24 hours before the vessel enters New York, NY. (3) For any vessel that is equipped with ballast water tanks and bound for ports or places in the United States and not addressed in paragraphs (b)(1) and (2) of this section: Submit the ballast water report no later than 6 hours after arrival at the port or place of destination, or prior to departure from that port or place of destination, whichever is earlier. (c) The ballast water report required by paragraph (b) of this section must include the following information: (1) Vessel information. This includes the vessel's name, International Maritime Organization (IMO) number or other vessel identification number if an IMO number is not issued, country of registry, owner or operator, type and tonnage. (2) Voyage information. This includes the port and date of arrival, name and contact information of the person submitting the form, last port and country of call, and next port and country of call. (3) Ballast water information. This includes the vessel's total ballast water capacity, total number of ballast water tanks, total volume of ballast water onboard, total number of ballast water tanks in ballast, and the identification of ballast water management method used. (4) Information on ballast water tanks that are to be discharged into the waters of the United States or to a reception facility. Include the following for each tank discharged: (i) The numerical designation, type and capacity of the ballast tank. (ii) The source of the ballast water. This includes date(s), location(s), and volume(s). If a tank has undergone ballast water exchange, provide the [[Page 73115]] loading port of the ballast water that was discharged during the exchange. (iii) The date(s), starting location(s), ending location(s), volume(s), and method(s) of ballast water management. (iv) The date(s), location(s), and volume(s) of any ballast water discharged into the waters of the United States or to a reception facility. (5) Certificate of accurate information. Include the name and title of the individual (i.e., master, owner, operator, agent, person in charge) attesting to the accuracy of the information provided and that the activities were in accordance with the ballast water management plan required by Sec. 151.2050(g). If exceptional circumstances required deviation from the plan, the details surrounding the need for deviation and associated actions must be explained. (d) If the information submitted in accordance with paragraph (c) of this section changes, the master, owner, operator, agent, or person in charge of the vessel must submit an amended report before the vessel departs the waters of the United States or not later than 24 hours after departure from the port or place, whichever is earlier. (e) The master, owner, operator, agent, or person in charge of a vessel operating on voyages exclusively between ports or places within a single COTP Zone, and subject to this subpart and this section, must submit the information required by paragraph (f) of this section to NBIC by electronic Annual Ballast Water Summary Report format using methods specified at NBIC's Web site at http://invasions.si.edu/nbic/submit.html. The Annual Ballast Water Summary Report is required for a period of three years on the following schedule: (1) Report on the vessel's ballasting practices for calendar year 2016 due no later than March 31, 2017. (2) Report on the vessel's ballasting practices for calendar year 2017 due no later than March 31, 2018. (3) Report on the vessel's ballasting practices for calendar year 2018 due no later than March 31, 2019. (f) The Annual Ballast Water Summary Report will include the following information: (1) Vessel information. This includes name, identification number, vessel type, operator, tonnage, call sign and COTP Zone of operation. (2) Ballast information. This includes the number of ballast tanks and total ballast water capacity. (3) Operational information. This includes the estimated number of times ballast water is discharged, estimated volume of ballast water discharged each time, primary port of ballast water loading, primary port of ballast water discharge, and certification of compliance with Sec. 151.2050. 0 6. Revise Sec. 151.2070 to read as follows: Sec. 151.2070 Recordkeeping requirements. (a) The master, owner, operator, agent, or person in charge of a vessel bound for a port or place in the United States, unless specifically exempted by Sec. 151.2015 of this subpart, must ensure the maintenance of written or digital records that include the information required to be reported by Sec. 151.2060 of this subpart and the sediment information in paragraph (a)(1) of this section. (1) Discharge of sediment. If sediment was discharged within the jurisdiction of the United States, include the name and location of the facility where sediment disposal took place. (2) Certification of accurate information. Include the master, owner, operator, agent, person in charge, or responsible officer's printed name, title, and signature attesting to the accuracy of the information provided and that the activities were in accordance with the ballast water management plan required by Sec. 151.2050(g). If exceptional circumstances required deviation from the plan, the details surrounding the need for deviation and associated actions must be explained. The signature requirement may be satisfied by affirming the certification portion of the electronic ballast water report. (b) The master, owner, operator, agent, or person in charge of a vessel subject to this section must retain a signed copy of this information onboard the vessel for 2 years. (c) The recordkeeping requirements in this section may be met by maintaining a copy of the reporting form completed pursuant to Sec. 151.2060 of this subpart, in addition to maintaining a record of the sediment information in paragraph (a)(1) of this section. These records may be stored on digital media but must be readily viewable by the Coast Guard during an inspection. (d) The master, owner, operator, agent, or person in charge of a vessel subject to this section must retain the monitoring records required in 46 CFR 162.060-20(b) for 2 years. These records may be stored on digital media but must be readily viewable by the Coast Guard during an inspection. Dated: November 18, 2015. F.J. Sturm, Acting Director of Commercial Regulations and Standards, U.S. Coast Guard. [FR Doc. 2015-29848 Filed 11-23-15; 8:45 am] BILLING CODE 9110-04-P
![Federal Register / Vol. 80, No. 226 / Tuesday, November 24, 2015 / Rules and Regulations 73105
Dated: November 19, 2015. email Ms. Regina Bergner, is fully or partially empty of cargo.
Bernadette Dunham, Environmental Standards Division (CG– Generally, the vessel will discharge
Director, Center for Veterinary Medicine. OES–3), Coast Guard; telephone 202– ballast water when it loads cargo, often
[FR Doc. 2015–29902 Filed 11–23–15; 8:45 am] 372–1431, email Regina.R.Bergner@ at another port of call. Vessels discharge
BILLING CODE 4164–01–P
uscg.mil. more than 80 million tons of ballast
SUPPLEMENTARY INFORMATION: water annually into U.S. waters.1
Many invasive species have been
Table of Contents for Preamble introduced into U.S. waters through
DEPARTMENT OF HOMELAND
SECURITY I. Abbreviations ballast water discharge because ballast
II. Background water often contains organisms
Coast Guard III. Basis and Purpose indigenous to the area where it was
A. Legal Authority loaded. These organisms can become
B. Purposes of This Regulatory Action invasive species when they are
33 CFR Part 151
IV. Regulatory History discharged in a new location, often with
[Docket No. USCG–2012–0924] V. Discussion of NPRM Comments and
Changes
damaging results.2
RIN 1625–AB68 A. Three Year Annual Reporting The Great Lakes provide many
Requirement for Vessels Operating examples of the damage invasive
Ballast Water Management Reporting Exclusively Within a Single COTP Zone species can inflict on an environment.
and Recordkeeping B. Revisions to the Ballast Water Reporting According to the U.S. Environmental
Form Protection Agency (EPA),3 no fewer
AGENCY: Coast Guard, DHS. C. Timing of Report Submission than 25 invasive species of fish have
ACTION: Final rule. D. Other Comments and Changes entered the Great Lakes. Invasive filter-
VI. Regulatory Analyses
SUMMARY: This final rule amends the A. Regulatory Planning and Review
feeders such as zebra mussels have
Coast Guard’s ballast water management 1. Require Vessels Operating in One COTP caused severe problems at power plants
reporting and recordkeeping Zone To Report BWM Practices and municipal water supplies, clogging
requirements. Upon the effective date of 2. Update Current Ballast Water Report intake screens, pipes, and cooling
this rule, the Coast Guard will require Requirements (33 CFR 151.2070) systems. Fast-growing invasive plants
vessels with ballast tanks operating 3. Allow Vessels To Submit Ballast Water have displaced native plant populations
Reports After Arrival to the Port or Place that support wildlife habitat and
exclusively on voyages between ports or
of Destination prevent erosion. The prevalence of these
places within a single Captain of the 4. Change the Format of Electronic Reports
Port Zone to submit an annual report of invasive plant species has also hindered
5. Summary of Economic Impacts of Final
their ballast water management Rule
commercial and recreational activities.
practices. This rule also simplifies and B. Small Entities Similar problems with invasive species
streamlines the ballast water report C. Assistance for Small Entities have occurred in U.S. waters throughout
form. Finally, this rule will allow most D. Collection of Information the country.4
vessels to submit ballast water reports E. Federalism
F. Unfunded Mandates Reform Act
III. Basis and Purpose
after arrival at a port or place of
G. Taking of Private Property A. Legal Authority
destination, instead of requiring
H. Civil Justice Reform
submission of such reports prior to I. Protection of Children The Non-Indigenous Aquatic
arrival. This rule will reduce the J. Indian Tribal Governments Nuisance Prevention and Control Act of
administrative burden on the regulated K. Energy Effects 1990 (NANPCA, Pub. L. 101–646), as
population, while still providing the L. Technical Standards amended by the National Invasive
Coast Guard with the information M. Environment Species Act of 1996 (NISA), (Pub. L.
necessary to analyze and understand 104–332), requires the Secretary of
I. Abbreviations
ballast water management practices. Homeland Security (Secretary) to
DATES: This final rule is effective BWM Ballast Water Management ensure, to the maximum extent
CFR Code of Federal Regulations
February 22, 2016, except for the practicable, that aquatic nuisance
COTP Captain of the Port
amendments to 33 CFR 151.2060(b) EPA Environmental Protection Agency species are not discharged into U.S.
through (f) and 151.2070, which contain EEZ Exclusive Economic Zone waters from vessels (16 U.S.C. 4701 et
collection of information requirements FR Federal Register seq.). These statutes also direct the
that have not yet been approved by the IMO International Maritime Organization Secretary to issue regulations and
Office of Management and Budget MISLE Marine Information for Safety and collect records regarding vessel
(OMB). The Coast Guard will publish a Law Enforcement ballasting practices as a means for
document in the Federal Register NANPCA Non-Indigenous Aquatic determining vessel compliance with the
announcing the effective date of those Nuisance Prevention and Control Act of
1990
sections. 1 See the American Association of Port
NBIC National Ballast Information
Authorities Web site at http://www.aapa-ports.org/
ADDRESSES: Comments and material Clearinghouse Issues/USGovRelDetail.cfm?itemnumber=880.
received from the public, as well as NISA National Invasive Species Act of 1996 2 For a list of examples of aquatic bio-invasions
documents mentioned in this preamble OMB Office of Management and Budget causing major impact internationally, see the
as being available in the docket, are part Pub. L. Public Law International Maritime Organization’s Web site at:
RFA Regulatory Flexibility Act
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http://www.imo.org/OurWork/Environment/Ballast
of docket USCG–2012–0924 and are WaterManagement/Pages/AquaticInvasive
SANS Ship Arrival Notification System
available on the Internet by going to U.S.C. United States Code Species(AIS).aspx.
http://www.regulations.gov, inserting 3 See the EPA’s Web site at http://www.epa.gov/
USCG–2010–0924 in the ‘‘Keyword’’ II. Background glnpo/invasive.
4 The U.S. Geological Survey maintains an online
box, and then clicking ‘‘Search.’’ A vessel brings water into its ballast database of non-indigenous aquatic species at
FOR FURTHER INFORMATION CONTACT: If tanks to control or maintain trim, draft, http://nas.er.usgs.gov. The database is searchable by
you have questions on this rule, call or stability or stress of the vessel when it several variables, including by state and species.
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![Federal Register / Vol. 80, No. 226 / Tuesday, November 24, 2015 / Rules and Regulations 73107
Furthermore, reports to such trade filling out the fields on NBIC’s online The Coast Guard adopts the proposal
associations and advisory committees click-thru web-based version of the without change. For purposes of clarity,
would be voluntary instead of legally form. At the end of the web-based form, we note that Coast Guard regulations in
required, which would limit the amount reporters will be asked to electronically 33 CFR 151.2005 define the phrase
of data. For these reasons, a streamlined, certify the accuracy of the information ‘‘[p]ort or place of destination’’ to mean
annual report is the more effective provided. This certification satisfies the ‘‘. . . any port or place to which a
approach for collecting accurate data. Coast Guard’s signature requirement in vessel is bound to anchor or moor.’’ The
§ 151.2070 for recordkeeping purposes. Coast Guard provides further guidance
B. Revisions to the Ballast Water One commenter requested an on the practical application of the
Reporting Form additional change to the form that phrase ‘‘port or place of destination’’ for
Two commenters supported the Coast would enable reporters to highlight an ballast water reporting purposes in
Guard’s proposal to streamline and entire column and fill it out with one Navigation and Vessel Inspection
simplify the ballast water reporting entry that stays constant (or near- Circular NVIC 07–04, Change 1 (Oct. 29,
form. In this final rule, the Coast Guard constant) throughout the body of the 2004).7 For example, for barges
is taking an additional step to simplify report. The Coast Guard wishes to equipped with ballast tanks, reports
the regulations in §§ 151.2060 clarify that while we manage the must be submitted only for stops where
(Reporting requirements) and 151.2070 content of the form, NBIC manages the cargo operations are conducted. For
(Recordkeeping requirements). The functionality of the form. The Coast towing vessels equipped with ballast
Coast Guard intends to align the Guard communicated the commenter’s tanks, reports must be submitted when
information required for reporting and request to NBIC for its consideration. the vessel conducts fueling operations.
recordkeeping purposes as much as NBIC advised against the commenter’s In both cases, reports are not required
possible because the information request, noting that it implemented this when the vessel stops for fleeting, waits
required to satisfy both requirements is option into an earlier test version of the for locks, or purposes other than cargo
almost identical. The NPRM, however, form and found that it resulted in too or fueling operations.
listed the information required for many errors. Specifically, the ease of One commenter requested a change to
reporting purposes under § 151.2060, use of auto-fill columns was outweighed the regulations to emphasize that
and separately listed similar by the tendency of reporters to not enter vessels operating on the Great Lakes are
information required for recordkeeping data in these columns accurately. As covered under the new provision
purposes in § 151.2070. Upon further form technology evolves, NBIC will permitting report submission within six
review of the NPRM, the Coast Guard consider adding an auto-fill function hours after arrival at a port or place of
wishes to avoid any confusion or pending availability of a system that is destination. While the Coast Guard
misunderstanding regarding the lists of better at identifying and eliminating agrees that the vessels in question are
information required for reporting and errors. covered under this provision, we are not
recordkeeping. Specifically, the Coast One commenter requested that the granting the commenter’s request to
Guard wishes to avoid a Coast Guard continue to allow all vessel change the regulatory text because the
misunderstanding that there is one set operators the choice of reporting ballast language in 33 CFR 151.2060 is
of information required under water capacities and discharge volumes sufficiently clear on this point, and it is
§ 151.2060 for reporting purposes, and a in gallons or metric tons. The Coast unnecessary to add specific language
separate set of information required Guard communicated the commenter’s solely for Great Lakes vessels.
under § 151.2070 for recordkeeping request to NBIC for its consideration. One commenter suggested 2
purposes. Accordingly, for regulatory NBIC has agreed to change the form to alternatives for when the 6-hour post-
clarity, this final rule now lists the include a drop-down menu that enables arrival submission window should start
information required for reporting reporters to choose gallons or cubic in order to further reduce the need for
purposes in § 151.2060. Instead of meters as their preferred unit of amended reports. The commenter
repeating that list of information for measurement. Because the form will suggested that the 6-hour window
recordkeeping, § 151.2070(a) simply now allow reporters to choose which should start when the vessel’s cargo
states that there is a requirement to volumetric unit to use, we have operations commence, even if this is
maintain records of all the information removed the specific reference to cubic some time after the vessel arrives at
required to be reported under meters from the regulatory text in 33 berth. Alternatively, the commenter
§ 151.2060. Also in § 151.2070, there is CFR 151.2060. suggested that the 6-hour window
an additional recordkeeping One commenter noted that the form should start when the vessel arrives at
requirement regarding sediment requires reporters to provide the vessel’s berth. The Coast Guard rejects the
discharge. Sediment discharge is the International Maritime Organization commenter’s preferred approach
one data point which is subject to the (IMO) number, though many U.S.- because it would mean different timing
recordkeeping requirement, but is not flagged vessels are not issued IMO for different vessels, causing
subject to the reporting requirement. numbers. The commenter recommended inconsistency in applying and enforcing
Another commenter requested an an amendment to the form to specify the 6-hour submission window.
additional change to the form that another acceptable identification Regarding the commenter’s alternative
would enable a reporting officer to sign number for such vessels. In response, approach, the Coast Guard expects that
the form electronically. The Coast Guard the Ballast Water Reporting form will be the 6-hour submission window starting
is granting this request. Ballast water updated to offer an option for inputting upon arrival at the ‘‘port or place of
reporting forms are submitted to the either the IMO number or other destination’’ as discussed above will
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National Ballast Information documentation number. give the vessel crew ample time to
Clearinghouse (NBIC) using any of the C. Timing of Report Submission submit an accurate ballast water report,
methods on the NBIC Web site.6 without the need for an amended report
Reporters may complete the form by Three commenters supported the
Coast Guard’s proposal to allow vessels 7 NVIC 07–04 may be viewed online at: http://
6 Forms are submitted through NBIC’s Web site at to submit ballast water reports after www.uscg.mil/hq/cg5/nvic/pdf/2004/NVIC_07-04_
http://invasions.si.edu/nbic/submit.html. arrival at a port or place of destination. CH-1.pdf.
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![73108 Federal Register / Vol. 80, No. 226 / Tuesday, November 24, 2015 / Rules and Regulations
in most instances. The Coast Guard will, aquatic nuisance species are not We are revising the text in 33 CFR
however, continue to enable vessels to discharged into waters of the U.S. 151.2015 in several places to refer to a
submit an amended report when One commenter questioned whether ‘‘single’’ COTP zone instead of ‘‘one’’
necessary. this rulemaking applies to vessels that COTP zone for clarity and consistency
operate outside of U.S. waters (i.e., with the rest of that section.
D. Other Comments and Changes
beyond 12 nautical miles of shore), but Additionally, we are revising the text in
One commenter requested that the 33 CFR 151.2060(b)(1)(ii) to reflect the
still within the Exclusive Economic
Coast Guard provide a definition of the accurate name of the ‘‘St. Lawrence
Zone (EEZ), which generally extends
term ‘‘trip’’ for reporting purposes on Seaway Ballast Water Reporting Form.’’
200 nautical miles from the territorial
operations exclusively within a single These are non-substantive technical
sea baseline.8 The Coast Guard confirms
COTP Zone. We agree that the term changes.
that this rulemaking does not apply to
‘‘trip’’ is ambiguous. To clarify, the
vessels operating exclusively outside of VI. Regulatory Analyses
Coast Guard is not seeking reported
U.S. waters. In accordance with the
information on each and every vessel We developed this final rule after
applicability provision in 33 CFR
movement. Instead, we are seeking considering numerous statutes and
151.2010, this rulemaking ‘‘applies to
reported information on the number of executive orders related to rulemaking.
all non-recreational vessels, U.S. and
ballast water discharges, if any. The Below, we summarize our analyses
foreign, that are equipped with ballast
Coast Guard has modified the regulatory based on these statutes or executive
tanks and operate in the waters of the
text by removing the term ‘‘trip’’ to more orders.
United States, except as expressly
clearly reflect the Coast Guard’s
provided in § 151.2015 or § 151.2020 of A. Regulatory Planning and Review
intention.
Two commenters questioned the [33 CFR part 151 subpart D].’’ Executive Orders 12866 (‘‘Regulatory
utility of BWM data to the Coast Guard, Two commenters requested Planning and Review’’) and 13563
and requested that we consider exemptions from the ballast water (‘‘Improving Regulation and Regulatory
eliminating BWM reporting and reporting requirements for certain Review’’) direct agencies to assess the
recordkeeping requirements altogether. vessels, including those that do not costs and benefits of available regulatory
For the reasons discussed below, the discharge ballast water from their tanks alternatives and, if regulation is
Coast Guard cannot grant this request. and those that use potable water for necessary, to select regulatory
The Coast Guard requires vessels to ballast. The Coast Guard is not granting approaches that maximize net benefits
report and to maintain records of BWM these requests for blanket exemptions. (including potential economic,
practices and activities pursuant to a The controlling statutory provisions in environmental, public health and safety
statutory mandate (16 U.S.C. 4711(f)). 46 U.S.C. 4711(c) and (f) require the effects, distributive impacts, and
More specifically, this information Coast Guard to apply these regulations equity). Executive Order 13563
enables us to assess the rate of effective to ‘‘. . . all vessels equipped with emphasizes the importance of
compliance with established BWM ballast water tanks that operate in the quantifying both costs and benefits, of
requirements and guidelines. The waters of the United States.’’ It is the reducing costs, of harmonizing rules,
information provides important data on presence of a ballast water tank that and of promoting flexibility.
volumes of ballast water discharged by triggers the applicable reporting This final rule has not been
different types of vessels, patterns of requirement, not the discharge of ballast designated a ‘‘significant regulatory
ballast water transport (i.e., locations water. When a vessel is equipped with action’’ under section 3(f) of Executive
where ballast water is loaded and a ballast water tank, the non-discharge Order 12866, ‘‘Regulatory Planning and
discharged), patterns of BWM by of ballast water or the use of potable Review,’’ as supplemented by Executive
different types of vessels, and safety and water for ballast is a BWM practice, and Order 13563, ‘‘Improving Regulation
practicability issues that affect the the reporting requirement provides and Regulatory Review,’’ and does not
ability of different types of vessels to useful information regarding the require an assessment of potential costs
implement specific BWM practices. effectiveness of these measures in and benefits under section 6(a)(3) of that
Additionally, the Coast Guard uses preventing the introduction or spread of Order. Accordingly, the final rule has
the reported information to track invasive species. The purpose of the not been reviewed by the Office of
patterns of BWM and delivery in the reported information is to assist the Management and Budget (OMB).
U.S. over time. These data provide Coast Guard in evaluating BWM We received no public comments that
information on the relative amounts of practices in general, regardless of affect the Regulatory Assessment (RA);
ballast water that different types of whether a vessel discharges ballast nor have we identified any new
vessels must manage, as well as the water. However, we remind owners and information or data that would require
circumstances (e.g., voyage lengths and operators that 33 CFR 151.2065 provides us to reassess the RA in the NPRM. We,
routes) that necessitate BWM. These relief under certain circumstances (i.e., therefore, adopt the NPRM’s Regulatory
data are also essential in evaluating the where compliance with 33 CFR Assessment as the final assessment to
availability of BWM technologies for the 151.2060 is economically or physically this final rule. A final Regulatory
range of vessels operating in waters of impractical) to submit a request for the Assessment is provided as follows:
the U.S. These important data directly Coast Guard to approve an alternative Table 1 presents a summary of the
inform the Coast Guard’s decision equivalent reporting method. economic impact of this final rule. A
making efforts to ensure, to the detailed description of the estimates is
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maximum extent practicable, that 8 See 33 CFR 2.30. presented in the next sections.
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$184,868 (2,679 hours × $69/hr 14) per savings (Table 4) that results from a port for a 10-year period is $1,298,437
year to the industry. The total cost allowing report submittal after arrival at (at 7 percent discount rate).
TABLE 4—ANNUAL AND TOTAL COST SAVINGS OF CHANGING THE TIME OF THE REPORT
Cost savings
Year At 7 percent At 3 percent
Undiscounted discount rate discount rate
1 ....................................................................................................................................... ($184,868) ($172,774) ($179,484)
2 ....................................................................................................................................... (184,868) (161,471) (174,256)
3 ....................................................................................................................................... (184,868) (150,908) (169,181)
4 ....................................................................................................................................... (184,868) (141,035) (164,253)
5 ....................................................................................................................................... (184,868) (131,809) (159,469)
6 ....................................................................................................................................... (184,868) (123,186) (154,824)
7 ....................................................................................................................................... (184,868) (115,127) (150,315)
8 ....................................................................................................................................... (184,868) (107,595) (145,937)
9 ....................................................................................................................................... (184,868) (100,556) (141,686)
10 ..................................................................................................................................... (184,868) (93,978) (137,559)
Total .......................................................................................................................... (1,848,683) (1,298,437) (1,576,964)
Annualized ....................................................................................................................... ............................ (184,868) (184,868)
4. Change the Format of Electronic not result in cost savings. Therefore, we 5. Summary of Economic Impacts of
Reports do not expect additional costs or cost Final Rule
The Coast Guard expects reporting savings to the industry. According to This final rule will impact the
efficiency and data handling will NBIC data from the past 6 years, industry for a limited time only (3
improve by changing the format of the approximately 99 percent of reports years). During this time, we estimate a
electronic report that can be found in have been submitted electronically. total annual non-discounted cost
Information Collection Request (ICR), Within the last 2 years, 100 percent of savings of $125,694 and a total 10-year
OMB Control number 1625–0069. The the reports have been submitted non-discounted cost savings of
Coast Guard will standardize the data electronically. Standardized data entry $1,671,160. We also estimate an
formats and add pull down menus. will improve data quality and, as a annualized cost savings of $162,758,
Since the pull down menu will make result, data analyses will be easier and with a discounted ten-year saving of
the reporting form simpler and will less time consuming. $1,443,145 both respectively discounted
reduce response variability, we do not at 7 percent for a 10-year period of
anticipate any significant change in the analysis. These estimates are developed
reporting burden. These efficiencies will and shown in Table 5.
TABLE 5—ANNUAL AND TOTAL ECONOMIC IMPACT OF FINAL RULE
[At 7 percent discount rate]
1. Report from 3. Allow vessels to
vessels operating 4. Require reports
2. Update current submit reports Economic impact of
Year exclusively in a be submitted
ballast water report after arrival final rule
single COTP Zone electronically
(cost savings)
(cost)
1 ................................................... $55,303 $0 ($172,774) $0 ($117,471)
2 ................................................... 51,685 0 (161,471) 0 (109,786)
3 ................................................... 48,304 0 (150,908) 0 (102,604)
4 ................................................... ................................ 0 (141,035) 0 (141,035)
5 ................................................... ................................ 0 (131,809) 0 (131,809)
6 ................................................... ................................ 0 (123,186) 0 (123,186)
7 ................................................... ................................ 0 (115,127) 0 (115,127)
8 ................................................... ................................ 0 (107,595) 0 (107,595)
9 ................................................... ................................ 0 (100,556) 0 (100,556)
10 ................................................. ................................ 0 (93,978) 0 (93,978)
Total ...................................... 155,292 0 (1,298,437) 0 (1,143,145)
Annualized ................................... 22,110 0 (184,868) 0 (162,758)
Note: Totals may not add due to rounding.
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B. Small Entities considered whether this final rule entities. The term ‘‘small entities’’
Under the Regulatory Flexibility Act would have a significant economic comprises small businesses, not-for-
(RFA) (5 U.S.C. 601–612), we have impact on a substantial number of small profit organizations that are
completing ballast water management reports to 14 Wage rate obtained from Enclosure (2) to BLS subcategory Managers (Occupation Code 11–
comply with 33 CFR 151.2070. COMDTINST 7310.1M and validated based on the 9199).
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operating exclusively on voyages G. Taking of Private Property technical standards (e.g., specifications
between ports or places within a single This rule would not cause a taking of of materials, performance, design, or
COTP Zone. We estimate the total private property or otherwise have operation; test methods; sampling
annual cost burden to be $59,174 (non- taking implications under Executive procedures; and related management
discounted). Order 12630, ‘‘Governmental Actions systems practices) that are developed or
As required by the Paperwork and Interference with Constitutionally adopted by voluntary consensus
Reduction Act of 1995 (44 U.S.C. Protected Property Rights.’’ standards bodies.
3507(d)), we will submit a copy of this This rule does not use technical
final rule to the Office of Management H. Civil Justice Reform standards. Therefore, we did not
and Budget (OMB) for its review of the This rule meets applicable standards consider the use of voluntary consensus
collection of information. in sections 3(a) and 3(b)(2) of Executive standards.
Order 12988, Civil Justice Reform, to M. Environment
E. Federalism minimize litigation, eliminate
A rule has implications for federalism ambiguity, and reduce burden. We have analyzed this rule under
under Executive Order 13132, Department of Homeland Security
I. Protection of Children Management Directive 023–01 and
Federalism, if it has a substantial direct
effect on the States, on the relationship We have analyzed this rule under Commandant Instruction M16475.lD,
between the national government and Executive Order 13045, ‘‘Protection of which guide the Coast Guard in
the States, or on the distribution of Children from Environmental Health complying with the National
power and responsibilities among the Risks and Safety Risks.’’ This rule is not Environmental Policy Act of 1969
various levels of government. We have an economically significant rule and (NEPA) (42 U.S.C. 4321–4370f), and
analyzed this rule under that Order and would not create an environmental risk have concluded that this action is one
have determined that it is consistent to health or risk to safety that might of a category of actions that do not
with the fundamental federalism disproportionately affect children. individually or cumulatively have a
principles and preemption requirements significant effect on the human
J. Indian Tribal Governments environment. A final environmental
described in Executive Order 13132.
This rule does not have tribal analysis checklist supporting this
Our analysis is explained below.
implications under Executive Order determination is available in the docket
This rule revises the Coast Guard’s 13175, ‘‘Consultation and Coordination where indicated under the ‘‘Addresses’’
BWM reporting and recordkeeping with Indian Tribal Governments,’’ section of this preamble. This rule
requirements promulgated under the because it would not have a substantial involves regulations that are editorial
authority of NANPCA, as amended by direct effect on one or more Indian and procedural, and falls under section
NISA. NANPCA, as amended by NISA, tribes, on the relationship between the 2.B.2, figure 2–1, paragraph (34)(a) of
contains a ‘‘savings provision’’ that Federal Government and Indian tribes, the Instruction.
saves to States their authority to ‘‘adopt or on the distribution of power and
or enforce control measures for aquatic responsibilities between the Federal List of Subjects in 33 CFR Part 151
nuisance species, [and nothing in the Government and Indian tribes. Administrative practice and
Act would] diminish or affect the procedure, Ballast water management,
jurisdiction of any State over species of K. Energy Effects
Oil pollution, Penalties, Reporting and
fish and wildlife’’ (16 U.S.C. 4725). This We have analyzed this rule under recordkeeping requirements, Water
type of BWM reporting and Executive Order 13211, ‘‘Actions pollution control.
recordkeeping is a ‘‘control measure’’ Concerning Regulations That For the reasons discussed in the
saved to States under the savings Significantly Affect Energy Supply, preamble, the Coast Guard amends 33
provision and would not be preempted Distribution, or Use.’’ We have CFR part 151 as follows:
unless State law makes compliance with determined that it is not a ‘‘significant
this rule’s requirements impossible or energy action’’ under that order because PART 151—VESSELS CARRYING OIL,
frustrates the purpose of Congress. No it is not a ‘‘significant regulatory action’’ NOXIOUS LIQUID SUBSTANCES,
such State law has been identified. under Executive Order 12866 and is not GARBAGE, MUNICIPAL OR
Additionally, the Coast Guard has long likely to have a significant adverse effect COMMERCIAL WASTE, AND BALLAST
interpreted this savings provision to be on the supply, distribution, or use of WATER
a congressional mandate for a Federal- energy. The Administrator of the Office
State cooperative regime in which of Information and Regulatory Affairs Subpart C—Ballast Water Management
federal preemption under NANPCA, as has not designated it as a significant for Control of Non-Indigenous Species
amended by NISA, would be unlikely. energy action. Therefore, it does not in the Great Lakes and Hudson River
F. Unfunded Mandates Reform Act require a Statement of Energy Effects
under Executive Order 13211. ■ 1. The authority citation for subpart C
The Unfunded Mandates Reform Act continues to read as follows:
of 1995 (2 U.S.C. 1531–1538) requires L. Technical Standards Authority: 16 U.S.C. 4711; Department of
Federal agencies to assess the effects of The National Technology Transfer Homeland Security Delegation No. 0170.1.
their discretionary regulatory actions. In and Advancement Act (15 U.S.C. 272 ■ 2. In § 151.1516, revise paragraph (a)
particular, the Act addresses actions note) directs agencies to use voluntary introductory text to read as follows:
that may result in the expenditure by a consensus standards in their regulatory
mstockstill on DSK4VPTVN1PROD with RULES
State, local, or tribal government, in the activities unless the agency provides § 151.1516 Compliance monitoring.
aggregate, or by the private sector of Congress, through the Office of (a) The master of each vessel
$100,000,000 (adjusted for inflation) or Management and Budget, with an equipped with ballast tanks must
more in any one year. Though this rule explanation of why using these provide the following information, in
would not result in such an standards would be inconsistent with written form, to the Captain of the Port
expenditure, we do discuss the effects of applicable law or otherwise impractical. (COTP):
this rule elsewhere in this preamble. Voluntary consensus standards are * * * * *
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loading port of the ballast water that loading, primary port of ballast water DEPARTMENT OF HOMELAND
was discharged during the exchange. discharge, and certification of SECURITY
(iii) The date(s), starting location(s), compliance with § 151.2050.
ending location(s), volume(s), and ■ 6. Revise § 151.2070 to read as Coast Guard
method(s) of ballast water management. follows:
(iv) The date(s), location(s), and 33 CFR Part 165
volume(s) of any ballast water § 151.2070 Recordkeeping requirements.
[Docket Number USCG–2015–1032]
discharged into the waters of the United (a) The master, owner, operator, agent,
States or to a reception facility. or person in charge of a vessel bound for RIN 1625–AA00
(5) Certificate of accurate information. a port or place in the United States,
Include the name and title of the unless specifically exempted by Safety Zone, Delaware River; New
individual (i.e., master, owner, operator, § 151.2015 of this subpart, must ensure Castle, DE
agent, person in charge) attesting to the the maintenance of written or digital AGENCY: Coast Guard, DHS.
accuracy of the information provided records that include the information ACTION: Temporary final rule.
and that the activities were in required to be reported by § 151.2060 of
accordance with the ballast water this subpart and the sediment SUMMARY: The Coast Guard is
management plan required by information in paragraph (a)(1) of this establishing a temporary safety zone on
§ 151.2050(g). If exceptional section. the waters encompassing Pea Patch
circumstances required deviation from (1) Discharge of sediment. If sediment Island Anchorage No. 5 and the upper
the plan, the details surrounding the was discharged within the jurisdiction portion of Reedy Point South Anchorage
need for deviation and associated of the United States, include the name No. 3 to facilitate dredging in New
actions must be explained. and location of the facility where Castle Range in the Delaware River. This
(d) If the information submitted in sediment disposal took place. regulation is necessary to provide for
accordance with paragraph (c) of this (2) Certification of accurate the safety of life on the navigable waters
section changes, the master, owner, information. Include the master, owner, of the Delaware River in the vicinity of
operator, agent, or person in charge of operator, agent, person in charge, or Pea Patch Island Anchorage No. 5 and
the vessel must submit an amended responsible officer’s printed name, title, Reedy Point South Anchorage No. 3.
report before the vessel departs the and signature attesting to the accuracy These closures are intended to restrict
waters of the United States or not later of the information provided and that the vessel anchoring to protect mariners
than 24 hours after departure from the activities were in accordance with the from the hazards associated with
port or place, whichever is earlier. ballast water management plan required ongoing pipe-laying and dredging
(e) The master, owner, operator, agent, by § 151.2050(g). If exceptional operations.
or person in charge of a vessel operating circumstances required deviation from DATES: This rule is effective without
on voyages exclusively between ports or the plan, the details surrounding the actual notice from November 24, 2015
places within a single COTP Zone, and need for deviation and associated through December 31, 2015. For
subject to this subpart and this section, actions must be explained. The purposes of enforcement, actual notice
must submit the information required signature requirement may be satisfied will be used from November 20, 2015
by paragraph (f) of this section to NBIC by affirming the certification portion of through November 24, 2015.
by electronic Annual Ballast Water the electronic ballast water report. ADDRESSES: To view documents
Summary Report format using methods (b) The master, owner, operator, mentioned in this preamble as being
specified at NBIC’s Web site at http:// agent, or person in charge of a vessel available in the docket, go to http://
invasions.si.edu/nbic/submit.html. The subject to this section must retain a www.regulations.gov, type USCG–2015–
Annual Ballast Water Summary Report signed copy of this information onboard 1032 in the ‘‘SEARCH’’ box and click
is required for a period of three years on the vessel for 2 years. ‘‘SEARCH.’’ Click on Open Docket
the following schedule: (c) The recordkeeping requirements in
(1) Report on the vessel’s ballasting Folder on the line associated with this
this section may be met by maintaining
practices for calendar year 2016 due no rule.
a copy of the reporting form completed
later than March 31, 2017. FOR FURTHER INFORMATION CONTACT: If
pursuant to § 151.2060 of this subpart,
(2) Report on the vessel’s ballasting in addition to maintaining a record of you have questions on this rule, call or
practices for calendar year 2017 due no the sediment information in paragraph email Lieutenant Brennan Dougherty,
later than March 31, 2018. (a)(1) of this section. These records may U.S. Coast Guard, Sector Delaware Bay,
(3) Report on the vessel’s ballasting be stored on digital media but must be Chief Waterways Management Division,
practices for calendar year 2018 due no readily viewable by the Coast Guard Coast Guard; telephone (215) 271–4851,
later than March 31, 2019. during an inspection. email Brennan.P.Dougherty@uscg.mil.
(f) The Annual Ballast Water (d) The master, owner, operator, SUPPLEMENTARY INFORMATION:
Summary Report will include the agent, or person in charge of a vessel I. Table of Abbreviations
following information: subject to this section must retain the
(1) Vessel information. This includes monitoring records required in 46 CFR CFR Code of Federal Regulations
name, identification number, vessel DHS Department of Homeland Security
162.060–20(b) for 2 years. These records E.O. Executive order
type, operator, tonnage, call sign and may be stored on digital media but must FR Federal Register
COTP Zone of operation. be readily viewable by the Coast Guard Pub. L. Public Law
(2) Ballast information. This includes during an inspection.
mstockstill on DSK4VPTVN1PROD with RULES
§ Section
the number of ballast tanks and total U.S.C. United States Code
ballast water capacity. Dated: November 18, 2015.
COTP Captain of the Port
(3) Operational information. This F.J. Sturm,
includes the estimated number of times Acting Director of Commercial Regulations II. Background Information and
ballast water is discharged, estimated and Standards, U.S. Coast Guard. Regulatory History
volume of ballast water discharged each [FR Doc. 2015–29848 Filed 11–23–15; 8:45 am] The Coast Guard is issuing this
time, primary port of ballast water BILLING CODE 9110–04–P temporary rule without prior notice and
VerDate Sep<11>2014 23:14 Nov 23, 2015 Jkt 238001 PO 00000 Frm 00029 Fmt 4700 Sfmt 4700 E:\FR\FM\24NOR1.SGM 24NOR1](https://thefederalregister.org/doc/80_FR_73331/page/11.svg)
Document Created: 2015-12-14 14:09:21
Document Modified: 2015-12-14 14:09:21
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Rules and Regulations | |
| Action | Final rule. | |
| Dates | This final rule is effective February 22, 2016, except for the amendments to 33 CFR 151.2060(b) through (f) and 151.2070, which contain collection of information requirements that have not yet been approved by the Office of Management and Budget (OMB). The Coast Guard will publish a document in the Federal Register announcing the effective date of those sections. | |
| Contact | If you have questions on this rule, call or email Ms. Regina Bergner, Environmental Standards Division (CG- OES-3), Coast Guard; telephone 202-372-1431, email [email protected] | |
| FR Citation | 80 FR 73105 | |
| RIN Number | 1625-AB68 | |
| CFR Associated | Administrative Practice and Procedure; Ballast Water Management; Oil Pollution; Penalties; Reporting and Recordkeeping Requirements and Water Pollution Control |
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