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GLIN==> Control of Ballast Water/invasive species



Today's federal register.....notice of Coast Guard on ballast water

[Federal Register: January 6, 2003 (Volume 68, Number 3)]
[Proposed Rules]
[Page 523-530]
 >From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr06ja03-28]

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DEPARTMENT OF TRANSPORTATION
Coast Guard
33 CFR Part 151
[USCG-2002-13147]
RIN 2115-AG50

Penalties for Non-submission of Ballast Water Management Reports

AGENCY: Coast Guard, DOT.
ACTION: Notice of proposed rulemaking.

-----------------------------------------------------------------------

SUMMARY: The Coast Guard proposes penalty provisions for non-submission
of Ballast Water Management Reports. The Coast Guard also proposes
widening the applicability of the reporting and recordkeeping
requirements to all vessels bound for ports or places within the United
States, with minor exceptions. The proposed actions would increase the
Coast Guard's ability to protect against introductions of new aquatic
invasive

[[Page 524]]

species via ballast water discharges, as required by the Nonindigenous
Aquatic Nuisance Prevention and Control and the National Invasive
Species Acts.

DATES: Comments and related material must reach the Docket Management
Facility on or before April 7, 2003. Comments sent to the Office of
Management and Budget (OMB) on collection of information must reach OMB
on or before April 7, 2003.

ADDRESSES: To make sure that your comments and related material are not
entered more than once in the docket, please submit them by only one of
the following means:
     (1) By mail to the Docket Management Facility (USCG-2002-13147),
U.S. Department of Transportation, room PL-401, 400 Seventh Street SW.,
Washington, DC 20590-0001.
     (2) By delivery to room PL-401 on the Plaza level of the Nassif
Building, 400 Seventh Street SW., Washington, DC, between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays. The telephone
number is 202-366-9329.
     (3) By fax to the Docket Management Facility at 202-493-2251.
     (4) Electronically through the Web Site for the Docket Management
System at <A HREF="http://dms.dot.gov";>http://dms.dot.gov</A>.
     You must also mail comments on collection of information to the
Office of Information and Regulatory Affairs, Office of Management and
Budget, 725 17th Street NW., Washington, DC 20503, ATTN: Desk Officer,
U.S. Coast Guard.
     The Docket Management Facility maintains the public docket for this
rulemaking. Comments and material received from the public, as well as
documents mentioned in this preamble as being available in the docket,
will become part of this docket and will be available for inspection or
copying at room PL-401 on the Plaza level of the Nassif Building, 400
Seventh Street SW., Washington, DC, between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays. You may also find this docket
on the Internet at <A HREF="http://dms.dot.gov";>http://dms.dot.gov</A>.
     Anyone is able to search the electronic form of all comments
received into any of our dockets by the name of the individual
submitting the comment (or signing the comment, if submitted on behalf
of an association, business, labor union, etc.). You may review DOT's
complete Privacy Act Statement in the Federal Register published on
April 11, 2000 (Volume 65, Number 70; pages 19477-78) or you may visit
<A HREF="http://dms.dot.gov";>http://dms.dot.gov</A>.

FOR FURTHER INFORMATION CONTACT: If you have questions on this proposed
rule, call Mr. Bivan Patnaik, G-MSO-4, Coast Guard, telephone 202-267-
1744. If you have questions on viewing or submitting material to the
docket, call Dorothy Beard, Chief, Dockets, Department of
Transportation, telephone 202-366-5149.

SUPPLEMENTARY INFORMATION:

Request for Comments

     We encourage you to participate in this rulemaking by submitting
comments and related material. If you do so, please include your name
and address, identify the docket number for this rulemaking (USCG-2002-
13147), indicate the specific section of this document to which each
comment applies, and give the reason for each comment. You may submit
your comments and material by mail, hand delivery, fax, or electronic
means to the Docket Management Facility at the address under ADDRESSES;
but please submit your comments and material by only one means. If you
submit them by mail or hand delivery, submit them in an unbound format,
no larger than 8\1/2\ by 11 inches, suitable for copying and electronic
filing. If you submit them by mail and would like to know that they
reached the Facility, please enclose a stamped, self-addressed postcard
or envelope. We will consider all comments and material received during
the comment period. We may change this proposed rule in view of them.

Public Meeting

     We do not plan to hold a public meeting. But you may submit a
request for one to the Docket Management Facility at the address under
ADDRESSES explaining why one would be beneficial. If we determine that
one would aid this rulemaking, we will hold one at a time and place
announced by a later notice in the Federal Register.

Background and Purpose

     Congress, in the Nonindigenous Aquatic Nuisance Prevention and
Control Act of 1990 (NANPCA), as amended by the National Invasive
Species Act of 1996 (NISA), directed the Coast Guard to issue
regulations and guidelines for ballast water management (BWM). The goal
of BWM is to prevent the introduction and dispersal of nonindigenous
species (NIS) to U.S. waters via ballast water discharges. This
proposed rule would amend U.S. regulations by promulgating penalty
provisions for those who fail to submit reports of their BWM activities
in conjunction with their voyages to U.S. ports.
     Responding to NANPCA's directive, the Coast Guard published a Final
Rule (58 FR 18330, April 8, 1993) mandating BWM for the Great Lakes (33
CFR part 151, subpart C), and later extended the provisions to include
the Hudson River north of the George Washington Bridge (59 FR 67632,
Dec. 30, 1994). In 1999, responding to NISA's directive, we published
an interim rule (64 FR 26672, May 17, 1999) that set voluntary BWM
guidelines for most vessels entering all other U.S. waters, and
mandated BWM reporting and recordkeeping requirements, without penalty
provisions. Our Final Rule implementing these NISA-required regulations
was published on November 21, 2001 (66 FR 58381).
     In NISA, Congress also instructed the Secretary of Transportation
(Secretary) to submit a Report to Congress evaluating the effectiveness
of the voluntary program. Congress anticipated that, in this Report,
the Secretary might determine that either compliance with the voluntary
guidelines was inadequate, or the rate of reporting was too low to
allow for a valid assessment of the compliance. In either case,
Congress stipulated the development of additional regulations to make
the voluntary guidelines a mandatory BWM program, and providing
penalties for violations of these regulations. The Secretary's report,
signed June 3, 2002, concluded that compliance with the reporting
requirement of 33 CFR part 151, subpart D was insufficient to allow for
an accurate assessment of the voluntary BWM regime. Accordingly, the
Secretary stated his intention to make the voluntary BWM requirements
mandatory and include sanctions as an enforcement tool. A copy of the
Report to Congress has been placed in the docket for this rulemaking
(USCG-2002-13147) and is available at <A 
HREF="http://dms.dot.gov";>http://dms.dot.gov</A>.
     In carrying out Congress' intent of a stepped approach, the Coast
Guard, as the Secretary's delegate, is moving forward with the
promulgation of penalty provisions for those who fail to submit reports
of their BWM activities in conjunction with their voyages to U.S.
ports. This step will also include broadening the class of vessels
required to submit and keep, respectively, ballast water management
reports and records.
     This proposed rule will not broaden the class of vessels required
to conduct ballast water exchange. The Coast Guard will address this
subject in a separate rulemaking that is under development.

Related Projects

     The Coast Guard is currently working on a number of other projects
related to addressing the aquatic invasive species problem in U.S.
waters. As mentioned

[[Page 525]]

above, the Coast Guard is developing regulations to convert the
voluntary guidelines in 33 CFR part 151, subpart D to a mandatory BWM
program.
     NANPCA and NISA authorize the Coast Guard to approve alternate
ballast water treatment (BWT) methods that are found to be at least as
effective as ballast water exchange (BWE) in preventing and controlling
infestations of aquatic nuisance species (ANS). Therefore, in order to
evaluate the effectiveness of alternative BWT methods, the Coast Guard
must first define for programmatic purposes what ``as effective as
[BWE]'' means. On March 4, 2002, the Coast Guard published an advance
notice of proposed rulemaking (ANPRM) titled ``Standards for Living
Organisms in Ship's Ballast Water Discharged in U.S. Waters'' (67 FR
9632). Along with proposing BWT goals and standards, one of the
purposes of the ANPRM was to present our approach to clarifying this
term. The comment period on the ANPRM closed on June 3, 2002, and the
Coast Guard is now analyzing the comments.
     The Coast Guard is also planning on promulgating rules to allow for
approval of ship-board installation of experimental BWT technologies.

Discussion of Proposed Rule

     The proposed amendments to 33 CFR part 151 would achieve two
objectives. First, penalty provisions would be clearly spelled out in
both subparts C and D, in accordance with NANPCA and NISA. Violators of
either the mandatory exchange provisions (for vessels bound for the
Great Lakes or portions of the Hudson River) or the mandatory reporting
and recordkeeping provisions (for all vessels bound for ports or places
within the United States) would be liable for a civil penalty of up to
$25,000 for each violation, with each day of a continuing violation
equaling a separate violation. Knowing violations of either provision
would be class C felonies. These changes can be found in proposed
sections 151.1518 and 151.2007.
     The second change would increase the number of vessels subject to
the reporting and recordkeeping provisions of subpart D. This expansion
of the reporting population is being proposed in order to generate the
data that will allow for a more thorough understanding of ballast water
delivery and management practices and how these relate to invasions of
ANS from ships' ballast water on both a national and regional basis.
This information should provide a clearer picture of the realities of
BWM and ANS invasions over time and lead to a more effective and
efficient program.
     Currently, only those vessels entering United States waters after
operating outside of the EEZ (which for the purposes of NANPCA as
amended by NISA includes the equivalent zone of Canada) must submit
ballast water management reports and keep accurate ballast water
management records. Under the proposed changes, all vessels operating
in United States waters bound for ports or places in the United States
would have to submit these reports and keep records, regardless of
whether they operated outside of the EEZ. The proposed reporting
requirements are detailed in Tables 1 and 2, below. Only crude oil
tankers engaged in coastwise trade, Department of Defense and Coast
Guard vessels, and those vessels operating solely within one Captain of
the Port (COTP) zone would be exempt from the reporting and
recordkeeping requirements.
     The proposed changes to the regulatory text in subpart D (with the
exception of section 151.2007) would achieve this second objective,
while improving the readability of the subpart. One proposed change
that should be highlighted is in sections 151.2010(b) and (d), where we
are proposing the deletion of the exemptions for ``a passenger vessel
equipped with a functioning treatment system designed to kill aquatic
organisms in the ballast water'' and ``a vessel that will discharge
ballast water or sediments only at the same location where the ballast
water or sediments originated''. These exemptions were intended to
apply to a requirement to conduct a ballast water exchange (BWE). As
there are no requirements for BWE outside of the Great Lakes and Hudson
River North of George Washington Bridge, there is nothing in 33 CFR 151
Subpart D to be exempted from and the continued inclusion of this
wording only leads to confusion. Requiring these previously exempted
vessels to submit BWM reports will allow the U.S. Coast Guard to gain a
more thorough understanding of ballast water delivery and management
practices. In the future, when ballast water exchange becomes mandatory
(as we expect it will), we will ensure that these exemptions are re-
inserted into the regulations as appropriate.

    Table 1.--Where and When Must a Vessel Submit a Report If They Are
   Entering the Waters of the United States After Operating Outside the
                                   EEZ?
------------------------------------------------------------------------
                                           You must submit your report as
                Bound for:                        detailed below:
------------------------------------------------------------------------
The Great Lakes........................  Fax the information to the U.S.
                                           Coast Guard COTP Buffalo,
                                           Massena Detachment (315-764-
                                           3283) or to the St. Lawrence
                                           Seaway Development Corporation
                                           (315-764-3250) at least 24
                                           hours before the vessel
                                           arrives in Montreal, Quebec.
                                          In lieu of faxing, vessels that
                                           are not U.S. or Canadian
                                           flagged vessels may complete
                                           the ballast water information
                                           section of the St. Lawrence
                                           Seaway ``Pre-entry Information
                                           from Foreign Flagged Vessel
                                           Form''.
Hudson River north of the George         Fax the information to the COTP
  Washington Bridge.                       New York at (718-354-4249) at
                                           least 24 hours before the
                                           vessel arrives at New York,
                                           New York.
                                          *Note: Vessels entering COTP
                                           New York Zone which are not
                                           proceeding up the Hudson River
                                           north of George Washington
                                           Bridge should submit their
                                           reports in accordance with the
                                           instructions in the following
                                           block.
All U.S. ports other than the Great      Report before departing the
  Lakes or the Hudson River North of the   port or place of departure if
  George Washington Bridge.                voyage is less than 24 hours,
                                           or at least 24 hours before
                                           arrival at the port or place
                                           of destination if the voyage
                                           exceeds 24 hours; and
                                          Submit the required information
                                           to the National Ballast
                                           Information Clearinghouse
                                           (NBIC) by one of the following
                                           means:
                                          Internet at <A 
HREF="http://invasions.si.edu/ballast.htm";>http://invasions.si.edu/ballast.htm</A>;
                                           E-mail to <A 
HREF="mailto:ballast@serc.si.edu";>ballast@serc.si.edu</A>;
                                          Fax to 301-261-4319; or
                                          Mail to U.S. Coast Guard, c/o
                                           SERC, P.O. Box 28, Edgewater,
                                           MD 21037-0028.
------------------------------------------------------------------------

[[Page 526]]

Table 2.--Where and When Must a Vessel Submit a Report If the Vessel Did
                       Not Operate Outside the EEZ?
------------------------------------------------------------------------
                                           You must submit your report as
                Bound for:                        detailed below:
------------------------------------------------------------------------
All U.S. ports including the Great       Report before departing the
  Lakes and Hudson River North of George   port or place of departure if
  Washington Bridge.                       voyage is less than 24 hours,
                                           or at least 24 hours before
                                           arrival at the port or place
                                           of destination if the voyage
                                           exceeds 24 hours; and
                                          Submit the required information
                                           to the National Ballast
                                           Information Clearinghouse
                                           (NBIC) by one of the following
                                           means:
                                          Internet at <A 
HREF="http://invasions.si.edu/ballast.htm";>http://invasions.si.edu/ballast.htm</A>;
                                          E-mail to <A 
HREF="mailto:ballast@serc.si.edu";>ballast@serc.si.edu</A>;
                                          Fax to 301-261-4319; or
                                          Mail to U.S. Coast Guard, c/o
                                           SERC, P.O. Box 28, Edgewater,
                                           MD 21037-0028.
------------------------------------------------------------------------

     We would appreciate any comments on whether these proposed changes
have unintentionally changed the voluntary guidelines in a manner not
discussed above.

Regulatory Evaluation

     This proposed rule is a ``significant regulatory action'' under
section 3(f) of Executive Order 12866, regulatory Planning and Review.
The Office of Management and Budget has reviewed it under that order.
It is ``significant'' under the regulatory policies and procedures of
the Department of Transportation (DOT) [44 FR 11040 (February 26,
1979)]. A draft Regulatory Evaluation under paragraph 10(e) of the
regulatory policies and procedures of DOT follows:
     This Regulatory Evaluation estimates the costs and benefits of the
proposed rule for civil penalties and new reporting requirements for
vessels arriving from domestic ports of origin. The costs of collecting
and reporting ballast water information for vessels arriving from
foreign ports of origin have already been accounted for in previous
Regulatory Evaluations and an OMB-approved collection of information
(OMB 2115-0598). Therefore, in this Regulatory Evaluation, we account
only for the costs of reporting that will be incurred by vessels
arriving in U.S. ports from other U.S. ports (i.e., domestic voyages).
     According to data from the Coast Guard, the U.S. Customs Service,
and the U.S. Maritime Administration, there are approximately 70,000
arrivals in U.S. ports annually. Of these, 50,000 have a foreign port
of origin and the remaining 20,000 have a domestic port of origin.
Those vessels arriving from foreign ports of origin have already been
reporting ballast water management practices under existing
regulations. Under the proposed rule, the 20,000 arrivals from domestic
ports will now submit ballast water reports.
     Based on the current collection, we estimate that each ballast
water report takes 40 minutes (0.666 hours) to complete the form and
submit it to the Coast Guard. We estimate that it costs $35 per hour
for the labor to complete and submit each form. If there are 20,000
arrivals from domestic ports annually, this means the annual cost of
the proposed rule is $466,667 ($35 x 0.666 hours x 20,000 ballast water
reports).
     The benefit of the proposed rule is an increase in the amount and
quality of BWM information provided to the Coast Guard. This will allow
the Coast Guard to more accurately analyze and assess the BWM practices
and delivery patterns of vessels navigating in U.S. waters and take
appropriate programmatic action.

Small Entities

     Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have
considered whether this proposed 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 independently owned and operated and are not dominant in their
fields, and governmental jurisdictions with populations of less than
50,000.
     We do not expect that a substantial number of small businesses will
be significantly affected by this rulemaking. The final rule
implementing NISA, published in November of 2001 (66 FR 58381), was
able to certify that a significant number of small entities were not
substantially affected by that rule. We do not expect that this will
change by increasing the number of vessels subject to the reporting
requirements, to cover all vessels equipped with ballast water tanks
that are bound for ports or places within the United States, since the
cost per ballast water report is only $23 (40 minutes x $35/hours).
     Therefore, the Coast Guard certifies under 5 U.S.C. 605(b) that
this proposed rule would not have a significant economic impact on a
substantial number of small entities. If you think that your business,
organization, or governmental jurisdiction qualifies as a small entity
and that this rule would have a significant economic impact on it,
please submit a comment to the Docket Management Facility at the
address under ADDRESSES. In your comment, explain why you think it
qualifies and how and to what degree this rule would economically
affect it.

Assistance for Small Entities

     Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Public Law 104-121), we want to assist small
entities in understanding this proposed rule so that they can better
evaluate its effects on them and participate in the rulemaking. If the
rule would affect your small business, organization, or governmental
jurisdiction and you have questions concerning its provisions or
options for compliance, please consult Lieutenant Commander Mary Pat
McKeown at 202-267-0500.
     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).

Collection of Information

     Title: Ballast Water Management for Vessels with Ballast Tanks
Entering U.S. Waters
     Summary of the Collection of Information: The proposed rule will
require 46,833 hours of labor burden annually for mandatory reporting
and recordkeeping requirements.
     Need for Information: The information collection requirement
described in this section is necessary to carry out the reporting
requirement of title 16 U.S.C. 4711, which concerns the

[[Page 527]]

management of ballast water to prevent the introduction of aquatic
nuisance species into U.S. waters.
     Proposed Use of Information: The purpose of the information
collection is to more fully understand and respond to the threat posed
by ballast water. The Coast Guard and researchers, from both private
and other governmental agencies, will use the information to assess the
effectiveness of the voluntary ballast water management guidelines.
     The collection of information for the proposed rule modifies an
existing OMB-approved collection (OMB 2115-0598).
     Description of the Respondents: Under the current collection,
respondents are vessel owners and operators that make ports of call in
the United States after departing a foreign port. Under the proposed
rule, respondents will also include vessel owners and operators that
make ports of call in the United States after departing another U.S.
port.
     Number of Respondents: The existing OMB-approved collection number
of respondents is 50,000 (respondents are owners/operators of the
vessels calling on U.S. ports annually). This proposed rule will
increase the number of respondents by 20,000, since now owners and
operators of vessels arriving from domestic ports will submit ballast
water reports.
     Frequency of Response: Owners/operators of vessels making calls in
U.S. ports will submit ballast water reports as necessary. The existing
OMB-approved collection number of responses is 50,000 (responses are
arrivals at U.S. ports). This proposed rule will increase the number of
responses by 20,000 (reports for vessels arriving from domestic ports
of origin) for a net total of 70,000 responses.
     Burden of Response: The existing OMB-approved collection burden of
response is approximately 40 minutes (0.666 hours) (burden of response
is the time required to complete the paperwork requirements of the rule
for a single response). This proposed rule will not increase the burden
of response.
     Estimate of Total Annual Burden: The existing OMB-approved
collection total annual burden is 33,500 hours (total annual burden is
the time required to complete the paperwork requirements of the rule
for all responses). This proposed rule will increase the total annual
burden by 13,333 hours for a net total of 46,833 hours.
     As required by the Paperwork Reduction Act of 1995 (44 U.S.C.
3507(d)), we have submitted a copy of this proposed rule to the Office
of Management and Budget (OMB) for its review of the collection of
information.
     We ask for public comment on the proposed collection of information
to help us determine how useful the information is; whether it can help
us perform our functions better; whether it is readily available
elsewhere; how accurate our estimate of the burden of collection is;
how valid our methods for determining burden are; how we can improve
the quality, usefulness, and clarity of the information; and how we can
minimize the burden of collection.
     If you submit comments on the collection of information, submit
them both to OMB and to the Docket Management Facility where indicated
under ADDRESSES, by the date under DATES.
     You need not respond to a collection of information unless it
displays a currently valid control number from OMB. Before the
requirements for this collection of information become effective, we
will publish a notice in the Federal Register of OMB's decision to
approve, modify, or disapprove the collection.

Federalism

     We have analyzed this rule under Executive Order 13132. The Aquatic
Nuisance Prevention and Control Act contains a ``savings provision''
that saves to the states their authority to ``adopt or enforce control
measures for aquatic nuisance species, [and nothing in the Act will]
diminish or affect the jurisdiction of any States over species of fish
and wildlife.'' 16 U.S.C. 4725. It also requires that ``all actions
taken by Federal agencies in implementing the provisions of [the Act]
be consistent with all applicable Federal, State and local
environmental laws.'' Thus, the congressional mandate is clearly for a
Federal-State cooperative regime in combating the introduction of
aquatic nuisance species into U.S. waters from ship's ballast tanks.
This makes it unlikely that preemption, which would necessitate
consultation with the States under Executive Order 13132, will occur.
If, at some later point in the rulemaking process we determine that
preemption may become an issue, we will develop a plan for consultation
with affected states/localities.

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 or more in any
one year. Though this proposed rule would not result in such an
expenditure, we do discuss the effects of this rule elsewhere in this
preamble.

Taking of Private Property

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

Civil Justice Reform

     This proposed 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.

Protection of Children

     We have analyzed this proposed 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.

Indian Tribal Governments

     This proposed 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.

Energy Effects

     We have analyzed this proposed 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 likely to have a
significant adverse effect on the supply, distribution, or use of
energy. It has not been designated by the Administrator of the Office
of Information and Regulatory Affairs as a significant energy action.
Therefore, it does not require a Statement of Energy Effects under
Executive Order 13211.

Environment

     We have considered the environmental impact of this proposed rule
and concluded that, under

[[Page 528]]

paragraph 6(b) of the Appendix to ``National Environmental Policy Act:
Coast Guard Procedures for Categorical Exclusions, Notice of Final
Agency Policy'' (67 FR 48243), this rule is categorically excluded from
further environmental documentation. This rule falls under
congressionally mandated regulations. Analyses of these types of
regulations and their respective environmental reviews have determined
these actions do not normally have significant effects either
individually or cumulatively on the human environment. A ``Categorical
Exclusion Determination'' is available in the docket where indicated
under ADDRESSES.

List of Subjects in 33 CFR Part 151

     Administrative practice and procedure, Oil pollution, Penalties,
Reporting and recordkeeping requirements, Water pollution control.

     For the reasons discussed in the preamble, the Coast Guard proposes
to amend 33 CFR part 151 as follows:

PART 151--VESSELS CARRYING OIL, NOXIOUS LIQUID SUBSTANCES, GARBAGE,
MUNICIPAL OR COMMERCIAL WASTE, AND BALLAST WATER

Subpart C--Ballast Water Management for Control of Nonindigenous
Species in the Great Lakes and Hudson River

     1. The authority citation for part 151 subpart C continues to read
as follows:

     Authority: 16 U.S.C. 4711; 49 CFR 1.46.

     2. Add Sec.  151.1518 to read as follows:

Sec.  151.1518  Penalties for failure to conduct ballast water
exchange.

     (a) A person who violates this subpart is liable for a civil
penalty in an amount not to exceed $25,000. Each day of a continuing
violation constitutes a separate violation. A vessel operated in
violation of the regulations is liable in rem for any civil penalty
assessed under this subpart for that violation.
     (b) A person who knowingly violates the regulations of this subpart
is guilty of a class C felony.

Subpart D--Ballast Water Management for Control of Nonindigenous
Species in Waters of the United States

     3. The authority citation for 33 CFR part 151 subpart D continues
to read as follows:

     Authority: 16 U.S.C. 4711; 49 CFR 1.46.
     4. Revise Sec.  151.2005 to read as follows:

Sec.  151.2005  To which vessels does this subpart apply?

     Unless exempted in Sec. Sec.  151.2010 or 151.2015, this subpart
applies to all vessels, U.S. and foreign, equipped with ballast tanks,
that operate in the waters of the United States and are bound for ports
or places in the United States.
     5. Add Sec.  151.2007 to read as follows:

Sec.  151.2007  What are the penalties for violations of the mandatory
provisions of this subpart?

     (a) A person who violates this subpart is liable for a civil
penalty not to exceed $25,000. Each day of a continuing violation
constitutes a separate violation. A vessel operated in violation of the
regulations is liable in rem for any civil penalty assessed under this
subpart for that violation.
     (b) A person who knowingly violates the regulations of this subpart
is guilty of a class C felony.

Sec.  151.2010  [Amended]

     6. In Sec.  151.2010:
     (a) remove from the introductory text, the word ``Four'' and add,
in its place, the word ``Three'';
     (b) remove paragraphs (b) and (d);
     (c) redesignate paragraph (c) as (b);
     (d) and add new paragraph (c) to read as follows:

Sec.  151.2010  Which vessels are exempt from the mandatory
requirements?

     (c) A vessel that operates exclusively within one Captain of the
Port (COTP) Zone.

Sec.  151.2015  [Amended]

     7. In Sec.  151.2015 remove the number ``151.2040'' and add in its
place the number ``151.2041''.

Sec.  151.2025  [Revised]

     8. Amend Sec.  151.2025(b) by adding, in alphabetical order, the
definitions for ``Exclusive Economic Zone (EEZ)'', ``port or place of
departure'' and ``port or place of destination'', and revise the
definitions of ``Captain of the Port (COTP)'' and ``Voyage''. The new
and revised definitions read as follows:

Sec.  151.2025  What definitions apply to this subpart?

     (a) * * *
     (b) * * *
     Captain of the Port (COTP) means the Coast Guard officer designated
as the COTP, or a person designated by that officer, for the COTP zone
covering the U.S. port of destination. These COTP zones are listed in
33 CFR part 3.
* * * * *
     Exclusive Economic Zone (EEZ) means the area established by
Presidential Proclamation Number 5030, dated March 10, 1983 (48 FR
10605, 3 CFR, 1983 Comp., p. 22) which extends from the base line of
the territorial sea of the United States seaward 200 miles, and the
equivalent zone of Canada.
* * * * *
     Port or place of departure means any port or place in which a
vessel is anchored or moored.
     Port or place of destination means any port or place to which a
vessel is bound to anchor or moor.
* * * * *
     Voyage means any transit by a vessel destined for any United States
port or place.
* * * * *
     9. Revise Sec.  151.2040 and its section heading to read as
follows:

Sec.  151.2040  What are the mandatory Ballast Water Management
requirements for vessels equipped with ballast tanks that operate in
the waters of the United States and are bound for ports or places in
the United States?

     (a) A vessel bound for the Great Lakes or Hudson River, which has
operated beyond the EEZ (which includes the equivalent zone of Canada)
during any part of its voyage regardless of intermediate ports of call
within the waters of the United States or Canada, must comply with
Sec. Sec.  151.2041 and 151.2045 of this subpart, as well as with the
provisions of subpart C of this part.
     (b) A vessel engaged in the foreign export of Alaskan North Slope
Crude Oil must comply with Sec. Sec.  151.2041 and 151.2045 of this
subpart, as well as with the provisions of 15 CFR 754.2(j)(1)(iii).
That section (15 CFR 754.2(j)(1)(iii)) requires a mandatory program of
deep water ballast exchange unless doing so would endanger the safety
of the vessel or crew.
     (c) A vessel not included in paragraphs (a) or (b) of this section
that operates in the waters of the United States and is bound for ports
or places in the United States must comply with Sec. Sec.  151.2041 and
151.2045 of this subpart.
     (d) This subpart does not authorize the discharge of oil or noxious
liquid substances (NLS) in a manner prohibited by United States or
international laws or regulations. Ballast water carried in any tank
containing a residue of oil, NLS, or any other pollutant must be
discharged in accordance with applicable regulations.
     (e) This subpart does not affect or supercede any requirement or
prohibition pertaining to the discharge of ballast water into the
waters of the United States under the Federal Water Pollution Control
Act (33 U.S.C. 1251 to 1376).

[[Page 529]]

Sec.  151.2041  [Redesignated]

     10. Redesignate the old Sec.  151.2041 as the new Sec.  151.2043.
     11. Add new Sec.  151.2041 to read as follows:

Sec.  151.2041  What are the Mandatory Ballast Water Reporting
Requirements for all vessels equipped with ballast tanks bound for
ports or places in the United States?

     (a) Reporting requirements exist for each vessel bound for ports or
places in the United States regardless of whether vessel operated
outside of the EEZ (which includes the equivalent zone of Canada),
unless exempted in Sec. Sec.  151.2010 or 151.2015.
     (b) The master, owner, operator, agent, or person-in-charge of a
vessel to whom this section applies must provide the information
required by Sec.  151.2045 in electronic or written form to the
Commandant, U.S. Coast Guard or the appropriate COTP as follows:
     (1) For any vessel bound for the Great Lakes from outside the EEZ
(which includes the equivalent zone of Canada).
     (i) You must fax the required information at least 24 hours before
the vessel arrives in Montreal, Quebec to either the USCG COTP Buffalo,
Massena Detachment (315-764-3283), or the St. Lawrence Seaway
Development Corporation (315-764-3250); or
     (ii) If you are not a U.S. or Canadian Flag vessel, you may
complete the ballast water information section of the St. Lawrence
Seaway required ``Pre-entry Information from Foreign Flagged Vessels
Form'' and submit it in accordance with the applicable Seaway Notice in
lieu of this requirement.
     (2) For a vessel bound for the Hudson River north of the George
Washington Bridge entering from outside the EEZ (which includes the
equivalent zone of Canada). You must fax the information to the COTP
New York (718-354-4249) at least 24 hours before the vessel enters New
York, New York.
     (3) For any vessel not addressed in paragraphs (b)(1) and (b)(2) of
this section, which is equipped with ballast water tanks and bound for
ports or places in the United States. If your voyage is less than 24
hours, you must report before departing your port or place of
departure. If your voyage exceeds 24 hours, you must report at least 24
hours before arrival at your port or place of destination. All required
information is to be sent to the National Ballast Information
Clearinghouse (NBIC) using only one of the following means:
     (i) Internet at <A 
HREF="http://invasions.si.edu/ballast.htm";>http://invasions.si.edu/ballast.htm</A>; 
or
     (ii) E-mail to <A 
HREF="mailto:ballast@serc.si.edu";>ballast@serc.si.edu</A>; or
     (iii) Fax to 301-261-4319; or
     (iv) Mail to U.S. Coast Guard, c/o SERC (Smithsonian Environmental
Research Center), P.O. Box 28, Edgewater, MD 21037-0028.
     (c) A single report that includes the ballast discharge information
for consecutive voyages between U.S. ports, or between U.S. and
Canadian ports on the Great Lakes, will be accepted.
     (d) If the information submitted in accordance with this section
changes, you must submit an amended form before the vessel departs the
waters of the United States.

Sec.  151.2043  [Amended]

     12. In newly designated Sec.  151.2043:
     (a) In the section heading, after the words ``Hudson River,'' add
the words ``after operating outside the EEZ or Canadian equivalent'';
and
     (b) In paragraphs 151.2043(a) and 151.2043(a)(1) remove the number
``Sec.  151.2040(c)(4)'' and add in its place the number, ``Sec.
151.2041''.

Sec.  151.2045  [Amended]

     13. In Sec.  151.2045(a) remove the phrase ``entering the waters of
the United States after operating beyond the EEZ'' and add in its
place, the phrase ``bound for a port or place in the United States''.
     14. Amend Appendix to Subpart D of Part 151--BALLAST WATER
REPORTING FORM AND INSTRUCTIONS FOR BALLAST WATER REPORTING FORM by
revising the ``Where to send this form'' instructions to read as
follows:
* * * * *

Where To Send This Form

[Vessels equipped with ballast water tanks bound for all ports or places
  within the waters of the United States after operating outside the EEZ
             (which includes the equivalent zone of Canada).]
------------------------------------------------------------------------
                                 You must submit your report as detailed
           Bound for:                             below:
------------------------------------------------------------------------
The Great Lakes..............  Fax the information at least 24 hours
                                 before the vessel arrives in Montreal,
                                 Quebec, to the USCG COTP Buffalo,
                                 Massena Detachment (315-764-3283) or to
                                 the Saint Lawrence Seaway Development
                                 Corporation (315-764-3250).
                                In lieu of faxing, vessels that are not
                                 U.S. or Canadian flagged may complete
                                 the ballast water information section of
                                 the St. Lawrence Seaway ``Pre-entry
                                 Information from Foreign Flagged Vessel
                                 Form''.
Hudson River north of the      Fax the information to the COTP New York
  George Washington Bridge.      at (718-354-4249) at least 24 hours
                                 before the vessel arrives at New York,
                                 New York.
                                *Note: Vessels entering COTP New York
                                 Zone which are not bound up the Hudson
                                 River north of George Washington Bridge
                                 should submit the form in accordance
                                 with the instructions in the following
                                 block.
All other U.S. Ports.........  Report before departing the port or place
                                 of departure if voyage is less than 24
                                 hours, or at least 24 hours before
                                 arrival at the port or place of
                                 destination if the voyage exceeds 24
                                 hours; and submit the required
                                 information to the National Ballast
                                 Information Clearinghouse (NBIC) by one
                                 of the following means:
                                Via the Internet at <A 
HREF="http://invasions.si.edu/ballast.htm";>http://invasions.si.edu/ballast.htm</A>;
                                E-mail to <A 
HREF="mailto:ballast@serc.si.edu";>ballast@serc.si.edu</A>;
                                Fax to 301-261-4319; or
                                Mail the information to U.S. Coast Guard,
                                 c/o SERC. P.O. Box 28, Edgewater, MD
                                 21037-0028.
------------------------------------------------------------------------

[[Page 530]]

[Vessels that have not operated outside the EEZ, which are equipped with
   ballast water tanks and are bound for all ports or places within the
                       waters of the United States.]
------------------------------------------------------------------------
                                 You must submit your report as detailed
           Bound for:                             below:
------------------------------------------------------------------------
All U.S. ports including the   Report before departing the port or place
  Great Lakes and Hudson River   of departure if voyage is less than 24
  North of George Washington     hours, or at least 24 hours before
  Bridge.                        arrival at the port or place of
                                 destination if the voyage exceeds 24
                                 hours; and submit the required
                                 information to the National Ballast
                                 Information Clearinghouse (NBIC) by one
                                 of the following means:
                                Via the Internet at <A 
HREF="http://invasions.si.edu/ballast.htm";>http://invasions.si.edu/ballast.htm</A>;
                                E-mail to <A 
HREF="mailto:ballast@serc.si.edu";>ballast@serc.si.edu</A>; Fax to 301-
                                 261-4319; or Mail to U.S. Coast Guard, c/
                                 o SERC, PO Box 28, Edgewater, MD 21037-
                                 0028.
------------------------------------------------------------------------

     If any information changes, send an amended form before the vessel
departs the waters of the United States.
     An agency may not conduct or sponsor, and a person is not required
to respond to a collection of information unless it displays a valid
OMB control number. The Coast Guard estimates that the average burden
for this report is 35 minutes. You may submit any comments concerning
the accuracy of this burden estimate or any suggestions for reducing
the burden to: Commandant (G-MSO), U.S. Coast Guard, 2100 Second St.
SW, Washington, DC 20593-0001, or Office of Management and Budget,
Paperwork Reduction Project (2115-0598), Washington, DC 20503.

     Dated: December 23, 2002.
Thomas H. Collins,
Admiral, U.S. Coast Guard, Commandant.
[FR Doc. 03-100 Filed 1-3-03; 8:45 am]
BILLING CODE 4910-15-P


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Environmental Enforcement, Technical Review, Public Policy and
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PO Box 39,  East Lansing, MI  48826-0039
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