Ballast Water Management Reporting and Recordkeeping, 73105-73115 [2015-29848]
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Federal Register / Vol. 80, No. 226 / Tuesday, November 24, 2015 / Rules and Regulations
Dated: November 19, 2015.
Bernadette Dunham,
Director, Center for Veterinary Medicine.
email Ms. Regina Bergner,
Environmental Standards Division (CG–
OES–3), Coast Guard; telephone 202–
372–1431, email Regina.R.Bergner@
uscg.mil.
SUPPLEMENTARY INFORMATION:
[FR Doc. 2015–29902 Filed 11–23–15; 8:45 am]
BILLING CODE 4164–01–P
Table of Contents for Preamble
DEPARTMENT OF HOMELAND
SECURITY
Coast Guard
33 CFR Part 151
[Docket No. USCG–2012–0924]
RIN 1625–AB68
Ballast Water Management Reporting
and Recordkeeping
Coast Guard, DHS.
Final rule.
AGENCY:
ACTION:
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.
SUMMARY:
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
https://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
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ADDRESSES:
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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
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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
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
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 filterfeeders 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
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
1 See the American Association of Port
Authorities Web site at https://www.aapa-ports.org/
Issues/USGovRelDetail.cfm?itemnumber=880.
2 For a list of examples of aquatic bio-invasions
causing major impact internationally, see the
International Maritime Organization’s Web site at:
https://www.imo.org/OurWork/Environment/Ballast
WaterManagement/Pages/AquaticInvasive
Species(AIS).aspx.
3 See the EPA’s Web site at https://www.epa.gov/
glnpo/invasive.
4 The U.S. Geological Survey maintains an online
database of non-indigenous aquatic species at
https://nas.er.usgs.gov. The database is searchable by
several variables, including by state and species.
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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).
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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.
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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 threeyear 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)).
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
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.
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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.
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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 §§ 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 § 151.2060,
and separately listed similar
information required for recordkeeping
purposes in § 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
§ 151.2060 for reporting purposes, and a
separate set of information required
under § 151.2070 for recordkeeping
purposes. Accordingly, for regulatory
clarity, this final rule now lists the
information required for reporting
purposes in § 151.2060. Instead of
repeating that list of information for
recordkeeping, § 151.2070(a) simply
states that there is a requirement to
maintain records of all the information
required to be reported under
§ 151.2060. Also in § 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
6 Forms
are submitted through NBIC’s Web site at
https://invasions.si.edu/nbic/submit.html.
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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
§ 151.2070 for recordkeeping purposes.
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 nearconstant) 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.
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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.
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 postarrival 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
7 NVIC 07–04 may be viewed online at: https://
www.uscg.mil/hq/cg5/nvic/pdf/2004/NVIC_07-04_
CH-1.pdf.
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in most instances. The Coast Guard will,
however, continue to enable vessels to
submit an amended report when
necessary.
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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
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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 § 151.2015 or § 151.2020 of
[33 CFR part 151 subpart D].’’
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.
8 See
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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.
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73109
TABLE 1—SUMMARY OF REGULATORY ECONOMIC IMPACTS
Changes
Description
Costs
(7% discount rate)
Affected population
Benefits
Annualized
1. Require vessels operating exclusively on
voyages between ports
and places within a single COTP Zone to report BWM practices.
2. Update current ballast
water report requirements.
3. Allow vessel owners or
operators to submit ballast water reports after
arrival to the port or
place of destination.
4. Change the format of
electronic report..
Owners or operators of
vessels with ballast
tanks and operating
exclusively on voyages
between ports or
places within a single
COTP Zone would be
required to submit an
annual summary of
their BWM practices.
This information collection requirement would
be for a 3 year period.
Update current ballast
water report. Vessels
already complying with
33 CFR 151.2070 requirements would not
incur additional burden
due to the updates.
Currently, vessels are required to submit reports 24 hours prior to
arrival. Allowing vessels to report after arrival—when their
ballasting activities are
complete—should
greatly reduce the
need for post-arrival
amendments.
Standardize the data format and add pull down
menus to reduce data
entry errors..
mstockstill on DSK4VPTVN1PROD with RULES
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
23:14 Nov 23, 2015
Jkt 238001
400 owners or operators
of 1,280 vessels operating in a single COTP
Zone.
$22,110 .............
$155,292 ....
Improve the breadth and
quality of BWM data,
enabling the Coast
Guard and others to
make the most informed programmatic
and regulatory actions
to prevent non-indigenous species invasions
in U.S. waters.
Vessels currently reporting BWM activities
under 33 CFR
151.2070.
$0 ......................
$0 ...............
Concise reporting and inclusion of only essential data on BWM practices.
Vessels currently reporting BWM activities
under 33 CFR
151.2070.
($184,868) Cost
savings.
($1,298,437)
Cost savings.
Reduce the administrative burden on the regulated population. We
estimate that this final
rule will eliminate an
average of 10,717
post-arrival reports per
year.
Vessels currently reporting BWM activities
under 33 CFR
151.2070.
$0 ......................
$0 ...............
Facilitate electronic report
submission and improve efficiency in data
handling and analysis.
report of their BWM practices to the
Coast Guard for a period of 3 years.
This final rule would modify and
amend the following recordkeeping
requirements and procedures:
VerDate Sep<11>2014
Total
TABLE 2—U.S. FLAG VESSELS OPERATING
EXCLUSIVELY
BETWEEN
PORTS OR PLACES WITHIN A SINGLE
COTP ZONE
Affected
population
Vessel type
Commercial Fishing Vessel ..
Fish Processing Vessel ........
Freight Ship ..........................
Industrial Vessel ...................
Mobile Offshore Drilling Unit
Offshore Supply Vessel ........
Oil Recovery .........................
Passenger (inspected) ..........
Passenger (uninspected) ......
Research Vessel ..................
Tank Ship .............................
Towing Vessel ......................
Other Vessels 9 .....................
117
4
117
28
5
175
6
154
3
11
29
604
27
Total ..................................
1,280
Source: MISLE and SANS data.
9 Includes permanently moored vessels, school
ships, and vessels with unspecified vessel type.
PO 00000
Frm 00023
Fmt 4700
Sfmt 4700
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
E:\FR\FM\24NOR1.SGM
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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 × $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 × .67 hrs
× $69 hr) (undiscounted). The total cost
for a 3-year reporting period is $177,522
(undiscounted) or $155,291 (at seven
percent discount rate). Table 3 presents
the reporting costs for vessels operating
exclusively between ports or places
within a single COTP Zone.
TABLE 3—ANNUAL AND TOTAL COST OF REPORTING (IN US$) FOR VESSELS OPERATING EXCLUSIVELY BETWEEN PORTS
OR PLACES WITHIN A SINGLE COTP ZONE
Cost
Year 11
Undiscounted
At 7 percent
discount rate
At 3 percent
discount rate
$59,174
59,174
59,174
0
$55,303
51,685
48,304
0
$57,450
55,777
54,153
0
Total ..........................................................................................................................
Annualized .......................................................................................................................
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1 .......................................................................................................................................
2 .......................................................................................................................................
3 .......................................................................................................................................
4–10 .................................................................................................................................
177,523
............................
155,292
22,110
167,380
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)
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.
VerDate Sep<11>2014
23:14 Nov 23, 2015
Jkt 238001
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.
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Fmt 4700
Sfmt 4700
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 × 0.25
hours 13), representing a cost savings of
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
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$184,868 (2,679 hours × $69/hr 14) per
year to the industry. The total cost
savings (Table 4) that results from
allowing report submittal after arrival at
73111
a port for a 10-year period is $1,298,437
(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
discount rate
Undiscounted
At 3 percent
discount rate
1 .......................................................................................................................................
2 .......................................................................................................................................
3 .......................................................................................................................................
4 .......................................................................................................................................
5 .......................................................................................................................................
6 .......................................................................................................................................
7 .......................................................................................................................................
8 .......................................................................................................................................
9 .......................................................................................................................................
10 .....................................................................................................................................
($184,868)
(184,868)
(184,868)
(184,868)
(184,868)
(184,868)
(184,868)
(184,868)
(184,868)
(184,868)
($172,774)
(161,471)
(150,908)
(141,035)
(131,809)
(123,186)
(115,127)
(107,595)
(100,556)
(93,978)
($179,484)
(174,256)
(169,181)
(164,253)
(159,469)
(154,824)
(150,315)
(145,937)
(141,686)
(137,559)
Total ..........................................................................................................................
Annualized .......................................................................................................................
(1,848,683)
............................
(1,298,437)
(184,868)
(1,576,964)
(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]
Year
1. Report from
vessels operating
exclusively in a
single COTP Zone
(cost)
2. Update current
ballast water report
3. Allow vessels to
submit reports
after arrival
(cost savings)
1 ...................................................
2 ...................................................
3 ...................................................
4 ...................................................
5 ...................................................
6 ...................................................
7 ...................................................
8 ...................................................
9 ...................................................
10 .................................................
$55,303
51,685
48,304
................................
................................
................................
................................
................................
................................
................................
$0
0
0
0
0
0
0
0
0
0
($172,774)
(161,471)
(150,908)
(141,035)
(131,809)
(123,186)
(115,127)
(107,595)
(100,556)
(93,978)
$0
0
0
0
0
0
0
0
0
0
($117,471)
(109,786)
(102,604)
(141,035)
(131,809)
(123,186)
(115,127)
(107,595)
(100,556)
(93,978)
Total ......................................
Annualized ...................................
155,292
22,110
0
0
(1,298,437)
(184,868)
0
0
(1,143,145)
(162,758)
4. Require reports
be submitted
electronically
Economic impact of
final rule
mstockstill on DSK4VPTVN1PROD with RULES
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-forprofit organizations that are
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).
VerDate Sep<11>2014
23:14 Nov 23, 2015
Jkt 238001
PO 00000
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Fmt 4700
Sfmt 4700
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Federal Register / Vol. 80, No. 226 / Tuesday, November 24, 2015 / Rules and Regulations
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 3year 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.
mstockstill on DSK4VPTVN1PROD with RULES
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,
Regina.r.bergner@uscg.mil. 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.
VerDate Sep<11>2014
23:14 Nov 23, 2015
Jkt 238001
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
PO 00000
Frm 00026
Fmt 4700
Sfmt 4700
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 × .67 hours) 15 for the private
sector.
(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
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.
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operating exclusively on voyages
between ports or places within a single
COTP Zone. We estimate the total
annual cost burden to be $59,174 (nondiscounted).
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 FederalState cooperative regime in which
federal preemption under NANPCA, as
amended by NISA, would be unlikely.
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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.
VerDate Sep<11>2014
23:32 Nov 23, 2015
Jkt 238001
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
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73113
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
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.
2. In § 151.1516, revise paragraph (a)
introductory text to read as follows:
■
§ 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):
*
*
*
*
*
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Federal Register / Vol. 80, No. 226 / Tuesday, November 24, 2015 / Rules and Regulations
Subpart D—Ballast Water Management
for Control of Non-Indigenous Species
in Waters of the United States
The revisions and addition read as
follows:
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.
4. Amend § 151.2015 as follows:
a. Revise paragraph (b);
b. Redesignate paragraph (c) as
paragraph (d);
■ c. Add new paragraph (c);
■ d. Revise newly redesignated
paragraphs (d)(1) and (3); and
■ e. Add Table 1 to § 151.2015.
■
■
■
§ 151.2015
Exemptions.
*
*
*
*
(b) Crude oil tankers engaged in
coastwise trade are exempt from the
requirements of §§ 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 §§ 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 § 151.2015—TABLE OF 33 CFR 151.2015 SPECIFIC EXEMPTIONS FOR TYPES OF VESSELS
151.2025
(Management)
151.2060
(Reporting)
Department of Defense or Coast Guard vessel subject to 46
U.S.C. 4713.
Vessel of the Armed Forces subject to the ‘‘Uniform National
Discharge Standards for Vessels of the Armed Forces’’
(33 U.S.C. 1322(n)).
Crude oil tankers engaged in coastwise trade ........................
Vessel operates exclusively on voyages between ports or
places within a single COTP Zone.
Seagoing vessel operates on voyages 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 ...........
Exempt ...........
Exempt.
Exempt ...........
Exempt ...........
Exempt.
Exempt ...........
Exempt ...........
Exempt ...........
Applicable .......
Exempt.
Exempt.
Exempt ...........
Applicable .......
Applicable.
Exempt ...........
Applicable .......
Vessel operates between ports or places in more than a single COTP Zone and takes on and discharges ballast water
exclusively in a single COTP Zone.
Exempt ...........
Applicable .......
Applicable (unless operating exclusively on
voyages between ports or places within a
single COTP Zone).
Applicable.
5. Amend § 151.2060 by revising
paragraphs (b) and (c) and adding
paragraphs (d) through (f) to read as
follows:
■
§ 151.2060
Reporting requirements.
mstockstill on DSK4VPTVN1PROD with RULES
*
*
*
*
*
(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 https://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.
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Jkt 238001
(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
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151.2070
(Recordkeeping)
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
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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
§ 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 https://
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
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23:14 Nov 23, 2015
Jkt 238001
loading, primary port of ballast water
discharge, and certification of
compliance with § 151.2050.
■ 6. Revise § 151.2070 to read as
follows:
§ 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
§ 151.2015 of this subpart, must ensure
the maintenance of written or digital
records that include the information
required to be reported by § 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 § 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 § 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
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73115
DEPARTMENT OF HOMELAND
SECURITY
Coast Guard
33 CFR Part 165
[Docket Number USCG–2015–1032]
RIN 1625–AA00
Safety Zone, Delaware River; New
Castle, DE
Coast Guard, DHS.
Temporary final rule.
AGENCY:
ACTION:
The Coast Guard is
establishing a temporary safety zone on
the waters encompassing Pea Patch
Island Anchorage No. 5 and the upper
portion of Reedy Point South Anchorage
No. 3 to facilitate dredging in New
Castle Range in the Delaware River. This
regulation is necessary to provide for
the safety of life on the navigable waters
of the Delaware River in the vicinity of
Pea Patch Island Anchorage No. 5 and
Reedy Point South Anchorage No. 3.
These closures are intended to restrict
vessel anchoring to protect mariners
from the hazards associated with
ongoing pipe-laying and dredging
operations.
DATES: This rule is effective without
actual notice from November 24, 2015
through December 31, 2015. For
purposes of enforcement, actual notice
will be used from November 20, 2015
through November 24, 2015.
ADDRESSES: To view documents
mentioned in this preamble as being
available in the docket, go to https://
www.regulations.gov, type USCG–2015–
1032 in the ‘‘SEARCH’’ box and click
‘‘SEARCH.’’ Click on Open Docket
Folder on the line associated with this
rule.
FOR FURTHER INFORMATION CONTACT: If
you have questions on this rule, call or
email Lieutenant Brennan Dougherty,
U.S. Coast Guard, Sector Delaware Bay,
Chief Waterways Management Division,
Coast Guard; telephone (215) 271–4851,
email Brennan.P.Dougherty@uscg.mil.
SUPPLEMENTARY INFORMATION:
SUMMARY:
I. Table of Abbreviations
CFR Code of Federal Regulations
DHS Department of Homeland Security
E.O. Executive order
FR Federal Register
Pub. L. Public Law
§ Section
U.S.C. United States Code
COTP Captain of the Port
II. Background Information and
Regulatory History
The Coast Guard is issuing this
temporary rule without prior notice and
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]]>Agencies
[Federal Register Volume 80, Number 226 (Tuesday, November 24, 2015)]
[Rules and Regulations]
[Pages 73105-73115]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[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 https://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
Regina.R.Bergner@uscg.mil.
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
https://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: https://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 https://www.epa.gov/glnpo/invasive.
\4\ The U.S. Geological Survey maintains an online database of
non-indigenous aquatic species at https://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 https://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: https://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, Regina.r.bergner@uscg.mil. 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 https://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 https://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
