(,1 2 1/,1(...On November 27, 1997, the IMO Marine Environmental Protection Committee (MEPC) adopted Resolution A.868(20), "Guidelines for the Control and Management of Ships' Ballast

Citation: 64 Fed. Reg. 26672 1999

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Federal Register/Vol. 64, No. 94/Monday, May 17, 1999/Rules and Regulations

Approval of this supplement is basedon data and information in PublicMaster File (PMF) 5157. The notice ofavailability of a summary of the dataand information in PMF 5157 and ofpermission to use it to support approvalof a NADA or supplemental NADA waspublished in the Federal Register ofJuly 19, 1996 (61 FR 37753).

In accordance with the freedom ofinformation provisions of 21 CFR part20 and 514.11(e)(2)(ii), a summary ofsafety and effectiveness data andinformation submitted to supportapproval of this application may be seenin the Dockets Management Branch(HFA-305), Food and DrugAdministration, 5630 Fishers Lane, rm.1061, Rockville, MD 20852, between 9a.m. and 4 p.m., Monday throughFriday.

FDA has determined under 21 CFR25.33(d)(4) that this action is of a typethat does not individually orcumulatively have a significant effect onthe human environment. Therefore,neither an environmental assessmentnor an environmental impact statementis required.

List of Subjects

21 CFR Part 556

Animal drugs, Foods.

21 CFR Part 558

Animal drugs, Animal feeds.Therefore, under the Federal Food,

Drug, and Cosmetic Act and under theauthority delegated to the Commissionerof Food and Drugs and redelegated tothe Center for Veterinary Medicine, 21CFR parts 556 and 558 are amended asfollows:

PART 556-TOLERANCES FORRESIDUES OF NEW ANIMAL DRUGSIN FOOD

1. The authority citation for 21 CFRpart 556 continues to read as follows:

Authority: 21 U.S.C. 342, 360b, 371.

2. Section 556.490 is revised to readas follows:

§ 556.490 Ormetoprim.

(a) [Reserved](b) Tolerances. A tolerance of 0.1 part

per million (ppm) is established fornegligible residues of ormetoprim inuncooked edible tissues of chickens,turkeys, ducks, salmonids, catfish, andchukar partridges.

3. Section 556.640 is revised to readas follows:

(b) Tolerances. (1) A tolerance of 0.1part per million (ppm) is established fornegligible residues of sulfadimethoxinein uncooked edible tissues of chickens,turkeys, cattle, ducks, salmonids,catfish, and chukar partridges.

(2) A tolerance of 0.01 ppm isestablished for negligible residues ofsulfadimethoxine in milk.

PART 558-NEW ANIMAL DRUGS FORUSE IN ANIMAL FEEDS

4. The authority citation for 21 CFRpart 558 continues to read as follows:

Authority: 21 U.S.C. 360b, 371.

5. Section 558.575 is amended byrevising paragraph (a), redesignatingparagraph (c) as paragraph (d), reservingparagraph (c), and adding paragraph(d)(7) to read as follows:

§558.575 Sulfadimethoxine, ormetoprim.

(a) Approvals. Type A medicatedarticles to sponsors as identified in§ 510.600(c) of this chapter for uses asin paragraph (d) of this section asfollows:

(1) 25 percent sufadimethoxine and15 percent ormetoprim to 000004 foruse for poultry as in paragraphs (d)(1),(d)(2), (d)(3), (d)(4), and (d)(7) of thissection.

(2) 25 percent sulfadimethoxine and 5percent ormetoprim to 000004 for usefor fish as in paragraphs (d)(5) and (d)(6)of this section.* * * * *

(c) [Reserved]

(d) * * *

(7) Chukar partridges-(i) Amount perton. Sulfadimethoxine 113.5 grams(0.0125 percent) plus ormetoprim 68.1grams (0.0075 percent).

(ii) Indications for use. For preventionof coccidiosis caused by Eimeria kofoidiand E. legionensis.

(iii) Limitations. Feed continuously toyoung birds up to 8 weeks of age as soleration.

Dated: April 30, 1999.

Stephen F. Sundlof,

Director, Centerfor Veterinary Medicine.[FR Doc. 99 12285 Filed 5 14 99; 8:45 am]

BILLING CODE 4160-01-F

§ 556.640 Sulfadimethoxine.

(a) [Reserved]

DEPARTMENT OF TRANSPORTATION

Coast Guard

33 CFR Part 151

[USCG 1998-3423]

RIN 2115-AF55

Implementation of the NationalInvasive Species Act of 1996 (NISA)

AGENCY: Coast Guard, DOT.ACTION: Interim rule with request forcomments.

SUMMARY: To comply with the NationalInvasive Species Act of 1996 (NISA), theCoast Guard establishes both regulationsand voluntary guidelines to control theinvasion of aquatic nuisance species(ANS). Ballast water from ships is oneof the largest pathways for theintercontinental introduction andspread of ANS. This rule amendsexisting regulations for the Great Lakesecosystem, establishes voluntary ballastwater management guidelines for allother waters of the United States, andestablishes mandatory reporting fornearly all vessels entering waters of theUnited States.DATES: This interim rule is effective July1, 1999. Comments and related materialmust reach the Docket ManagementFacility on or before July 16, 1999.Comments sent to the Office ofManagement and Budget (OMB) oncollection of information must reachOMB on or before July 16, 1999.ADDRESSES: You may submit yourcomments and material by mail, handdelivery, fax, or electronic means to theDocket Management Facility at theaddress under ADDRESSES; but pleasesubmit your comments and material byonly one of the following methods tohelp us avoid confusion in the publicdocket:

(1) By mail to the Docket ManagementFacility (USCG-1998-3423), U.S.Department of Transportation, room PL-401, 400 Seventh Street SW.,Washington, DC 20590-0001.

(2) By hand delivery to room PL-401on the Plaza level of the Nassif Building,400 Seventh Street SW., Washington,DC, between 9 a.m. and 5 p.m., Mondaythrough Friday, except Federal holidays.The telephone number is 202-366-9329.

(3) By fax to Docket ManagementFacility at 202-493-2251.

(4) Electronically through the WebSite for the Docket Management Systemat http://dms.dot.gov.

You may also mail comments oncollection of information to the Office ofInformation and Regulatory Affairs,

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HeinOnline -- 64 Fed. Reg. 26672 1999


Office of Management and Budget, 72517th Street NW., Washington, DC 20503,ATTN: Desk Officer, U.S. Coast Guard.

The Docket Management Facilitymaintains the public docket for thisrulemaking. Comments and materialreceived from the public, as well asdocuments indicated in this preamble asbeing available in the docket, willbecome part of this docket and will beavailable for inspection or copying atroom PL-401 on the Plaza level of theNassif Building at the same addressbetween 9 a.m. and 5 p.m., Mondaythrough Friday, except Federal holidays.You may also find this docket on theInternet at http://dms.dot.gov.

You can get the InternationalMaritime Organization (IMO)publications and documents referred toin this preamble from the InternationalMaritime Organization, PublicationsSection, 4 Albert Embankment, LondonSE1 7SR, England.

FOR FURTHER INFORMATION CONTACT: Forquestions on this rule, contactLieutenant Mary Pat McKeown, ProjectManager, U.S. Coast GuardHeadquarters, Office of Operating andEnvironmental Standards (G-MSO),telephone 202-267-0500. For questionson viewing, or submitting material to,the docket, contact Dorothy Walker,Chief, Dockets, Department ofTransportation, telephone 202-366-9329.

SUPPLEMENTARY INFORMATION:

Request for Comments

The Coast Guard encourages you toparticipate in this rulemaking bysubmitting comments and relatedmaterial. If you do so, please includeyour name and address, identify thedocket number for this rulemaking(USCG-1998-3423), indicate thespecific section of this document towhich each comment applies, and givethe reason for each comment. If yousubmit comments by mail or handdelivery, submit them in an unboundformat, no larger than 81/2 by 11 inches,suitable for copying and electronicfiling. If you submit them by mail andwould like to know they reached theFacility, please enclose a stamped, self-addressed postcard or envelope. We willconsider all comments and materialreceived during the comment period.We may change this interim rule inview of the comments.

Public Meeting

We do not now plan to hold a publicmeeting. But you may request one bysubmitting a request to the DocketManagement Facility at the addressunder ADDRESSES explaining why one

would be beneficial. If we determinethat one would aid this rulemaking, wewill hold one at a time and placeannounced by a later notice in theFederal Register.

Regulatory History

On April 8, 1993, the Coast Guardpublished a final rule titled "BallastWater Management for Vessels Enteringthe Great Lakes" in the Federal Register(58 FR 18330). The rule establishedmandatory procedures for the GreatLakes in 33 CFR part 151, subpart C.

On December 30, 1994, we publisheda final rule titled "Ballast WaterManagement for Vessels Entering theHudson River" in the Federal Register(59 FR 67632). The rule amended theregulations in 33 CFR part 151 toinclude requirements for portions of theHudson River, which connects to theGreat Lakes.

On April 10, 1998, we published anotice of proposed rulemaking (NPRM)titled "Implementation of the NationalInvasive Species Act of 1996 (NISA)" inthe Federal Register (63 FR 17782). TheCoast Guard received 53 letterscommenting on the NPRM. Severalletters requested more time to comment.

On June 16, 1998, we published anotice (63 FR 32780) to reopen thecomment period until August 8, 1998.On June 16, 1998, we also published acorrection notice in the Federal Register(63 FR 32780), making minor editorialcorrections to the NPRM. No publicmeeting was requested, and none washeld.

Background and Purpose

Aquatic nuisance species invasionsthrough ballast water are nowrecognized as a serious problemthreatening global biological diversityand human health.

On November 29, 1990, Congressenacted the Nonindigenous AquaticNuisance Prevention and Control Act of1990 (NANPCA) (Pub. L. 101-646).Congress enacted NANPCA to preventand control infestations of zebramussels and other nonindigenousaquatic nuisance species in coastal andinland waters of the United States.On October 26, 1996, Congress

enacted the National Invasive SpeciesAct of 1996 (NISA) (Pub. L. 104-332)which amended and reauthorizedNANPCA (the Act). Congress enactedthe Act to provide for ballast watermanagement to prevent the introductionand spread of nonindigenous speciesinto the waters of the United States.

On November 27, 1997, the IMOMarine Environmental ProtectionCommittee (MEPC) adopted ResolutionA.868(20), "Guidelines for the Control

and Management of Ships' Ballast Waterto Minimize the Transfer of HarmfulAquatic Organisms and Pathogens." TheIMO recommends that all maritimenations of the world adopt and use thesevoluntary guidelines.

The regulations and guidelines in thisrule will help control the spread ofinvasive species. This rule willimplement the Act by-

* Requiring operators of vesselsentering waters of the United Statesfrom beyond the EEZ to submit a ballastwater management report;

* Providing voluntary ballast watermanagement guidelines for operators ofvessels entering waters of the UnitedStates from beyond the ExclusiveEconomic Zone (EEZ); and

* Promoting ballast watermanagement for operators of all vesselsin waters of the United States.

Discussion of Comments and Changes

The Coast Guard received 53comment letters, containing 361 specificcomments on the NPRM. Theparagraphs in this section discuss thecomments we received and the CoastGuard's responses, and explain anychanges we made to the proposedregulations. General comments on therulemaking are discussed first, followedby comments on specific sections of theregulation. Other changes to theproposed rule, not based on comments,are discussed last.

General Comments

Several comments asked the CoastGuard to extend the comment period toallow adequate time to comment on theproposed requirements in the NPRM.We determined that allowing the publicmore time to comment would help usdevelop a better rule. Therefore, weextended the comment period untilAugust 8, 1998.

Numerous comments asked for morestringent regulations and morerestrictive ballast water managementcontrol methods. Other comments askedfor less strict regulations and morelenient requirements for ballast watermanagement control methods.

The Coast Guard has determined thatthe regulations adopted in this ruleaccurately reflect the requirements ofthe Act and represent the most practicaland effective ballast water managementmethod available at this time. We willcontinue to support and encourage thedevelopment of more efficient andeffective methods of protecting waters ofthe United States from non-indigenousaquatic nuisance species.

Three comments wanted to make surethat the regulations in the proposed rulewill be the national requirements. The

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comments didn't want States or otherlevels of government to issue otherregulations that exceed or makesignificant changes to these regulations.

It has long been the Coast Guard'sposition that consistent standards ofuniversal application, coupled withFederal initiatives to address uniqueregional concerns, are the best means ofmeeting local and nationalenvironmental goals with the leastdisruption to international maritimecommerce. To avoid potential conflictsand duplication, we request that anypolitical subdivision of the UnitedStates contemplating any laws,regulations, or requirements regardingthe discharge of ballast water, considerthis regulation prior to taking action.

The Coast Guard will try to maintainnationwide consistency in methods forcontrol of invasive species and iscommitted to ensuring nationalconsistency for any regulations touchingon the design, construction, equipment,manning and operation of vessels thatwere established as international rulesand regulations adopted by theInternational Maritime Organization andratified by the United States.

However, this regulation isn'tintended to preempt any State, regional,or local efforts that exceed but do notconflict with the standards set forth inthis rule. Section 1205 of the Act statesthat-

Nothing in this title shall affect theauthority of any State or political subdivisionthereof to adopt or enforce control measuresfor aquatic nuisance species, or diminish oraffect the jurisdiction of any State overspecies of fish and wildlife.

Five comments addressed statementsin the Background and Purpose sectionof the NPRM. One comment noted thatcholera was detected in ballast water;however, there wasn't conclusiveevidence that linked the strain ofcholera detected to the contaminatedshellfish in Mobile Bay. Anothercomment agreed with the statement thatmore than 40 species have appeared inthe Great Lakes since 1960. However,the comment noted that "very few(species) if any, have been introducedsince the Canadian voluntary ballastwater exchange guidelines of 1989 andthe USCG exchange requirements of1993." Another comment noted that inthe Description of the Problem sectionof the NPRM, the reference to PurpleLoosestrife implies that the speciesentered the United States only throughballast water. The comment noted thatthe species may have entered the UnitedStates through solid ballast, but thefloral industry is primarily responsiblefor bringing the Purple Loosestrife into

the United States. Therefore, thecomment suggested that we use othersuitable examples such as the roundnosed goby or the spiny waterflea.

Fifty-six comments discussed theorganization and clarity of theregulations. Four comments expressedsupport for the proposed rule andsuggested minor modifications. Onecomment supported the proposed ruleas written. Ten comments stated that theregulations were confusing as written.One comment requested a "plainEnglish guide for mariners." The CoastGuard has revised this rule to betterorganize and clarify the information.Specific changes are discussed withineach section.

We received eight comments on theIMO "Guidelines for the Control andManagement of Ships' Ballast Water toMinimize the Transfer of HarmfulAquatic Organisms and Pathogens"(IMO Resolution A.868(20), adoptedNovember 1997). Two commentswanted the Coast Guard to continue toissue regulations that are consistentwith IMO guidelines.

The Coast Guard will be consistentwith any international agreement,agreed to by the United States,governing management of the transfer ofnonindigenous aquatic species byvessel.

Five comments discussed the ballastwater management plan. Four of thecomments supported a request that aballast water management plan becarried and maintained aboard thevessel. The other comment opposed therequest to carry and maintain a ballastwater management plan.

In § 151.2035(a)(7), we request thatowners and operators develop ballastwater management plans specific totheir vessels. The Coast Guard isworking with IMO to identify whatinformation needs to be contained in theballast water management plan. Whenthat information is determined, we willpublish it in the Federal Register.

Fifteen comments related to whatwould trigger the implementation ofmandatory national ballast watermanagement regulations.

The Act requires the Coast Guard topublish national voluntary guidelinesfor the control of aquatic nuisancespecies. The Act lists the specificcriteria that will cause or allow theseguidelines to become mandatory. Theseare detailed in the following paragraphs.

Two comments asked what wouldhappen if a vessel fails to comply withthe mandatory reporting requirements.The Act directs the Coast Guard toassess the rate of compliance with theguidelines, using the ballast watermanagement reports we receive from the

owners and operators who submit thereports in accordance with the Act. Ifwe can't assess the rate of compliancewith these guidelines because we don'thave adequate reports (i.e., numbers ofreports or accurate reports), then we arerequired to issue regulations making thevoluntary guidelines mandatory.

If we find that the voluntaryguidelines are not adequate or effective,at reducing introduction and spread ofnonindigenous aquatic species intowaters of the United States, the CoastGuard must establish mandatoryrequirements.

Thirteen comments asked us to clarifywhat criteria we will use to determinethe adequacy and effectiveness of thevoluntary guidelines.

The authority and responsibility fordeveloping these criteria was given tothe Aquatic Nuisance Species TaskForce (ANSTF) by the Act. The ANSTFhas formed the Ad Hoc VoluntaryBallast Water Guidelines EffectivenessCriteria Committee to develop thesecriteria. The committee's meetings willbe open to the public. The U.S. Fish andWildlife Service will announce thedates and times for the meetings in theFederal Register. In addition, the CoastGuard worked with the SmithsonianEnvironmental Research Center andcame up with suggestions formonitoring the rate of compliance withthe guidelines. The suggestions arelisted in the "National Ballast (Water)Information Clearinghouse: Function,Design, and Implementation" ProgressReport I, which has been submitted bythe Department of Transportation toCongress and the ANSTF.

One comment asked us to considerconducting a risk assessment of the GulfCoast. The Coast Guard encouragesstudies which would detail whatspecies are present and what speciesmay threaten specific water bodies. Werecommend that you submit yourproposals to conduct these studies tothe ANSTF, and to any otherappropriate funding agency.

One comment asked the Coast Guardto develop a chart showing the 500meter (1640 feet/273 fathoms) or 2,000meter (6,650 feet/1,093 fathoms) contourline. Bathymetric charts which show themeasurement of the depth of largebodies of water are already available.You can buy the charts from a vendor,or from an organization such as theNational Oceanographic andAtmospheric Administration NationalData Center or the U.S. NationalGeophysical Data Center. However,vessel owners and operators are alreadyrequired to maintain detailed navigationcharts aboard their vessels that show thedepths of the waters where they operate.

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Several comments were concernedthat the estimate of costs for preparing,submitting, collecting, collating, andfiling the information obtained seemedto be a low estimate. Due to theexpansion of the Coast Guard AquaticNuisance Species program efforts thisfiscal year, and the current number ofvessels to be considered (as obtainedfrom the Coast Guard Marine SafetyManagement System), these commentsare correct. The Coast Guard hasreexamined these costs and the currentRegulatory Evaluation accuratelyreflects current costs.

Several comments wanted the CoastGuard to consider costs associated withballast exchange and ballast watermanagement plans in the ruleimplementing the voluntary nationalguidelines. The Coast Guard willestimate the costs and benefits ofrequired portion of the rulemaking.Costs associated with the ballast watermanagement plan and ballast waterexchange are voluntary and we didn'taddress these costs in this rule.

Two comments specified that thespread of aquatic nuisance species is anaturally occurring phenomenon andnot pollution. These comments furtherstated that nature will always "createchecks and balances in the medium andlong term." These comments also statedthat aquatic nuisance species are aquarantine problem, not a pollutionproblem.

The Coast Guard disagrees with someof these comments. We agree that somespread of exotic species does occurnaturally and nature does create"checks and balances." However,shipping allows many organisms tobypass natural barriers such as the openocean, different salinity levels, andability to reach hospitable ecosystems,etc. This means that the natural checksand balances are disrupted and can nolonger prevent introductions anddegradation of ecosystems. Further,while there is overlap with quarantineissues, anything that makes an

ecosystem less suitable for an activity,or unfit for or harmful to living thingsis a pollutant.

One comment asked the Coast Guardto accept dual load lines. The commentstated that dual load lines on the vesselwill reduce the amount of ballast waterthe vessel will carry into waters of theUnited States.

We would have to consider manyfactors not within the scope of thisrulemaking to determine whether theUnited States should accept dual loadlines. This rulemaking doesn't addressdual load lines and we didn't make anychanges based on this comment.

One comment wanted to know if theCoast Guard intended to "incorporate byreference" or require vessel operators tocarry the "Guidelines for the Controland Management of Ships' Ballast Waterto Minimize the Transfer of HarmfulAquatic Organisms and Pathogens (IMOResolution A.868(20), adoptedNovember 1997)." We want to ensurethat vessel operators are aware thatthese guidelines exist, but we aren'tincorporating them by reference orrequiring vessel operators to carry theguidelines on board their vessels. Manyof the recommendations we make in thisrule are adapted from those guidelines.However, we have made revisions basedupon the needs of our domestic waters.

Two comments wanted to know howthe Coast Guard will handle the issue ofa vessel operator who declares "NoBallast on Board (NOBOB)." A vesselwith NOBOB may not have a largequantity of ballast water on board, butthe vessel does retain sediment andresidual ballast water. The Coast Guardrequests in this regulation that allvessels remove sediments in anappropriate manner on a regular basis.We are working on identifying possiblemanagement methods to reduce thethreat of a vessel operator claimingNOBOB. However, it would bepremature to issue regulationsspecifically for these vessels at thistime. To ask a vessel operator in aNOBOB status to conduct a ballast water

exchange could destabilize a vessel,causing it to submerge its load line orcompromise seaworthiness byexceeding hull girder stress limits, orincrease the stresses on the hull to thepoint they fracture.

Comments on Specific Sections of theRule

What Vessels Does This Subpart Applyto (§ 151.1502)?

Thirty-eight comments discussed theNPRM's applicability section,§ 151.1502. Many of the commentsseemed to misunderstand theapplicability section. Others seemed tomisunderstand who is exempt from therequirements of this rule. One commentsuggested that we separate the existingmandatory ballast control regulationsfor the Great Lakes and the HudsonRiver to make it easier to understand thenational program. Two comments statedthat the NPRM proposes changes thatcould increase the chances of invasivespecies entering the Great Lakes.

In response to these comments, wehave changed the organization of therule. We will revise the existingregulations in 33 CFR 151 subpart C.The new subpart C will detail theadditional requirements for vesselsentering the Great Lakes and HudsonRiver. We will add a new subpart D to33 CFR part 151. Subpart D will detailmandatory and voluntary requirementsfor all vessels operating in waters of theUnited States (including the Great Lakesand Hudson River). The sectionnumbers in this rule are different fromthe section numbers in the NPRMbecause of these changes. Please use thefollowing cross-reference table to followthese changes.

Instructions for the Table: Find theold section number listed in the NPRMin the first column and read across tothe second column to find thecorresponding new section number inthis rule. The third column lists thesection numbers for subpart C.

33 CFR

Description of section Section numbers in subpart DSection numbers in the NPRM (waters of the United States in- Section numbers in subpart C

cluding the Great Lakes and Hud- (Great Lakes and Hudson River)son River)

Purpose ..........................................Applicability:

For Vessels .............................

For Ballast W ater ....................Definitions ......................................Penalties ........................................

Mandatory Requirements ...............S a fe ty .............................................

1 5 1 .1 5 0 0 .......................................

1 5 1 .1 5 0 2 .......................................

1 5 1 .1 5 0 4 .......................................1 5 1 .1 5 0 6 .......................................

1 5 1 .1 5 0 8 .......................................1 5 1 .1 5 1 0 .......................................

151.2000 .......................................

151.2005, 151.2010 and151.2015.

151.2020 .......................................151.2025 .......................................16 U.S.C. under certain provi-

sions.151.2040 .......................................151.2030 .......................................

151.1500.

151.1502.

151.1504.151.1506, 151.1508, 16 U.S.C.

151.1510.151.1512.

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33 CFR

Description of section Section numbers in subpart D

Section numbers in the NPRM (waters of the United States in- Section numbers in subpart Ccluding the Great Lakes and Hud- (Great Lakes and Hudson River)

son River)

Alternative Methods:R e q u ire d ................................. 15 1 .15 12 ..................... ................. . .......... . ...................... 15 1 .15 14 .R eq uested .............. ....................................................... 15 1.2035 (b) ..................................

Mandatory:R e po rting ................................ 15 1 .15 14 ....................................... 15 1.20 40 ....................................... 15 1 .2 04 0 .R ecordkeeping ........................ 151.1514 ....................................... 15 1.2045 ....................................... 151.2045 (also satisfies

§ 151.1516).V o lu nta ry G uide line s ...................... 15 1 .15 16 ....................................... 15 1.20 35 .......................................C om pliance and M onitoring ........... 151.1518 ....................................... 151.2050 ....................................... 151.1516.

Five comments requested that we addan exemption for other types of vesselsoperating on voyages between the Statesand Territories of the United States. Onecomment stated that there shouldn't beany exemptions for owners andoperators of passenger vessels.

The applicability and exemptions inthis rule are taken directly from the Act.Additionally, we don't have scientificand technological support to includeexemptions for other vessels, or forother voyages outside of the EEZ. TheCoast Guard can only remove theexemption for passenger vessels if wefind that their ballast water treatmentsystems are less effective than ballastwater exchange. The regulations thatapply to voyages between States andTerritories of the United States are insubparts C and D.

Two comments expressed concernabout the regulations that apply toMobile Offshore Drilling Units (MODU).One of these comments had specificconcerns about ballast procedures fortanks that may be in continuous contactwith the sea.

The Coast Guard has determined thata blanket exemption for MODUs isn'twarranted. However, we encouragevessel owners and operators to bringtheir specific ballast issues to the CoastGuard for consideration for alternativecompliance. Methods for submittingalternative compliance proposals aredetailed in § 151.2035(b)(3) of thisregulation. We will need more detailedinformation on flow rates, volumesexchanged, etc., before we can make adetermination on whether a particularMODU should be exempt.

Two comments asked us to clarifywhether this rule applies to foreignvessels. In § 151.2005, we state that thisregulation applies to the owners andoperators of U.S. and foreign vessels.

Three comments asked us to clarifywhether the mandatory requirements inthis rule apply to military vessels. In§ 151.2010, we clarify that mandatoryprovisions of this rule don't apply to

vessels of the Department of Defense,the Coast Guard, or those vessels of theArmed Forces that are subject to the"Uniform National Discharge Standardsfor Vessels of the Armed Forces(UNDS)." (Federal Water PollutionControl Act-33 U.S.C. 1322(n)). Wedon't intend for these regulations toreplace or interfere with practicesalready addressed by section 1103 of theAct or by UNDS.

Five comments suggested that we alsoprovide guidelines or requirements forowners and operators on domesticvoyages.

The Coast Guard agrees with thesecomments. In § 151.2035(a), we haveincluded guidelines (precautionarypractices) for all vessels equipped withballast tanks that operate in waters ofthe United States. However, the Actdoesn't give the Coast Guard theauthority to require owners andoperators of vessels engaged in domestictrade to perform ballast watermanagement methods such as ballastwater exchange.

One comment requested that ballastwater management methods, such asballast water exchange only apply tovessels that have operated beyond theEEZ for more than 48 hours. The CoastGuard has reviewed the legislation anddetermined that this is contrary to theintent of the Act.

One comment noted that in theregulations we consider a transit fromAlaska, or Hawaii to the continentalUnited States a voyage, but we don'tconsider a transit from a Canadian portto the continental United States, Hawaii,or Alaska a voyage. Two commentswanted to know if the proposedregulations apply to voyages from U.S.territories.

We understand that the wording ofthis section in the NPRM was unclear.We have reworded § 151.2025 to clarifywhen this regulation applies. Anyvessel, unless exempted by § 151.2010,on a voyage to a U.S. port, that in anyportion of that voyage has operated

beyond the EEZ of the United States oran equivalent zone of Canada (generally200 miles seaward of the baseline) issubject to the mandatory reportingrequirements. The vessel operator mustor may (depending on which port theyare going to) conduct ballast watermanagement practices as detailed in theregulation. This includes voyages to anyport in the U.S. or its territories, fromany other port in the U.S. or itsterritories, if the vessel has operatedmore than 200 miles from the baselineof the United States or Canada. If avessel operator remains in areas lessthan 200 miles from the baseline of theUnited States or Canada during avoyage, then they are not subject to themandatory requirements. However, werequest that the operator follow thevoluntary guidelines in § 151.2035.

One comment wanted to know if theregulations apply to only segregatedballast water. Two comments wanted toknow if all ballast water, including thatwhich was taken on in the high seas,was subject to the regulations in theNPRM. One of these comments alsostated that we shouldn't require an openocean exchange of water that has beentaken on in open ocean.

We have revised the regulations toclarify these issues. The regulationsapply to any ballast water, taken inwaters within 200 miles from any shore,or in waters less than 2,000 meters(6,650 feet/1,093 fathoms) deep, thatcould be discharged into waters of theUnited States.

One comment asked the Coast Guardto address "innocent passage" in thisrule. Innocent passage occurs when aforeign vessel navigates through the U.S.territorial sea for the purpose oftraversing the sea without entering U.S.internal waters or calling at a U.S. port.A foreign vessel is also considered ininnocent passage when in transit to orfrom a U.S. port. However, a vessel thatactually enters U.S. internal waters (i.e.,waters shoreward of the territorial seabaseline) or that enters a U.S. port no

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longer has innocent passage status, andthe mandatory reporting requirements ofthis rule, as well as the voluntary ballastwater management guidelines apply. Inplain terms, if you are bound for ordeparting from a U.S. port, theseregulations apply.

We have added a provision forinnocent passage to § 151.2015. For thepurpose of defining whether a vessel isnavigating in the territorial sea, theCoast Guard defines the territorial seafor this regulation as extending to 12nautical miles from the baseline, underPresidential Proclamation No. 5928 ofDecember 27, 1988. Innocent passagedoesn't include a vessel that enters theSnell Lock at Massena, New York, onthe St. Lawrence River, regardless of itsdestination.

Two comments questioned if themandatory regulations for the GreatLakes and Hudson River apply to avessel that operates beyond the EEZ,and then makes stops in other waters ofthe United States before entering theGreat Lakes or Hudson River.

The Coast Guard has determined thatthe mandatory regulations in 33 CFRpart 151, subpart C apply to any vesseloperated as described in the previousparagraph. In addition, §§ 151.2035(b),151.2040, and 151.2045 of subpart D donot apply to vessels that only transitbetween ports in the United States, orbetween ports in the United States orCanada without entering waters beyondthe EEZ of Canada or the United States.

What Definitions Apply to Subpart C(§ 151.1504)?

Thirty-three comments discussed thedefinitions section of the NPRM. Fourcomments concerned the definition of"environmentally sound." One of thesecomments noted that people mightmisinterpret the definition with regardto releases of "harmful concentrations"of chemicals, as some individuals don'tconsider concentrations to be harmfulwhen released into water bodies wheresignificant dilution occurs.

The Coast Guard agrees that theproposed changes to the definitioncould cause confusion. No ballast watermanagement method would be acceptedif it violated any existing water qualitystandards. Therefore, the definition of"environmentally sound" currently inforce in 33 CFR 151.1504 will not bechanged. The definition is the samedefinition used in the Act.

Two comments questioned whetherwe had scientific support for thedefinition of "reasonably effectiveballast water management system."Eight comments stated that we shouldbe cautious when we estimatepercentages for the volume of ballast

water exchanged, and for the kill orremoval rate. Four comments wanted amethod for determining when you havemet a 90 percent kill or removal rate.

The Coast Guard agrees with thesecomments and we have deleted thisdefinition. The Coast Guard willcontinue to support research that willidentify ballast water managementmethods that are "as effective as ballastwater exchange."

One comment stated that this ruleshould also address ballast water carriedin cargo tanks. In § 151.1504, we haverevised the rule to clarify that thedefinition of "ballast tanks" includesany tank or hold used for carryingballast water. In § 151.1504, we havealso added the phrase "regardless ofhow it is carried on the vessel" to thedefinition of "ballast water."

Eight comments discussed thedefinition of "reasonably completeballast water exchange." Threecomments stated that they support thestandard to exchange 90 percent of theoriginal water in the ballast tank. Twocomments suggested that we raise thestandard, and two comments suggestedthat we lower the standard.

The Coast Guard's goal is for ownersand operators to exchange 100 percentof the original water in the ballast tank.However, owners and operators shouldconsider the operating systems andphysical limitations of the vessel beforeconducting an exchange. We didn'tchange the existing regulations for theGreat Lakes and Hudson River in§ 151.1510 of subpart C. Owners andoperators of all other vessels arerequested to conduct an exchange asfollows:

* Foraflow through exchange.Exchange the equivalent of three timesthe volume of water in the ballast tank.

* For an empty/refill exchange. Ifconditions are safe and it is practical,try to replace 100 percent of the volumeof ballast water.

Four comments concerned theproposed change to the minimum depthrequirement from 2,000 meters to 500meters, for a ballast water exchange.Two comments pointed out deficienciesin the scientific support for such achange. One comment indicated thatreducing the requirement may create aconflict for complying with U.S.regulations and following Canadianvoluntary guidelines.

In response to these comments, and toensure that owners and operators areable to satisfy the requirements of theUnited States and Canada, we do notplan on changing the depth requirementuntil agreement, based upon soundscientific evidence, is reached.

Why Must I Meet the Requirements ofthe Regulations in This Subpart andWhat Are the Penalty Provisions(§ 151.1506)?

Two comments requested clarificationof the penalty provisions. The penaltyprovisions for the Great Lakes andHudson River ballast water managementrequirements will remain unchanged.The penalty provisions includerestriction of operation, revocation ofCustoms clearance, and possible civiland criminal penalties. The newvoluntary national guidelines do notcarry penalty provisions. However, ifvessel operators fail to make themandatory reports, then the Coast Guardis directed under NISA to implement amandatory national program that willcarry the same penalty provisions thatapply in Great Lakes and Hudson River.

What are the Mandatory Ballast WaterManagement Requirements(§ 151.1508)?

Three comments expressed concernthat the proposed rule may make ballastwater exchange a standard, and rule outother ballast water managementtechniques that may be more effective.

The Coast Guard agrees with thesecomments. We have revised the rule toinclude language that encourages thedevelopment of alternative technologiesfor managing ballast water.

Eleven comments discussed anacceptable salinity level for an openocean exchange as it applies tomandatory exchange for the Great Lakesand Hudson River. Four commentsquestioned the scientific support for theproposed change. One commentquestioned whether we considered"instrument error" when we proposedchanging the salinity level. Onecomment stated that measuring the levelof salinity is not enough to determine ifan exchange has been done as it appliesto coastal ports. The comment alsoasked the Coast Guard to developalternative tests.

The Coast Guard agrees with thesecomments. We are not changing thesalinity standard as proposed in theNPRM. The Coast Guard recognizes thatsalinity can't be used as the onlyverification of open ocean exchange ata coastal port. Salinity also can't be usedas the sole measure to confirm properoperation of alternative control methodsas developed. The Coast Guard isawaiting a final report on parameters tobe used for verification, and is engagedin preliminary stages of additionalstudies to obtain a full complement ofmethods to be used. Over the next 30months, we will test the identifiedparameters in the field to ensure their

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efficiency and accuracy and tostreamline sampling procedures. Wewill also test protocols and parametersduring this phase. The Coast Guardfinds it inappropriate to publishparameters under consideration forcoastal ports, other than the screeningmechanism of salinity, until thoseparameters have been confirmed asdefinitive.

Twenty-eight comments concernedalternative environmentally soundmethods of ballast water management.Twenty-eight comments asked that weclarify the requirement for approval ofother environmentally sound methodsof ballast water management. Thecomment also asked the Coast Guard toexplain the process of submittingalternative ballast water managementmethods for approval.

The Coast Guard will approvealternative methods of ballast watermanagement (under 33 CFR151.2035(b)(3)). The request to approvean alternative method must besubmitted to, and approved by, theCoast Guard before a vessel's scheduledvoyage. The requestor must provideadequate time for the Coast Guard toprocess, analyze, and consider thealternative method for approval. Sendyour request to U.S. Coast GuardHeadquarters, (G-MSO-4), 2100 SecondStreet SW., Washington, DC 20593-0001. The phone number is (202) 267-0500. Each proposal is evaluated on acase-by-case basis. The Coast Guard isworking with the ANSTF Ballast Waterand Shipping Committee to develop astandardized protocol and requirementsfor approval. Industry, governmentagencies, and non-governmentorganizations will develop therequirements. We will approve analternative method only after weconsider the following:

* Does the method conform toexisting laws and standards?

* How effective is the method inreducing the viability of organismswithin the vessel's ballast water?

* How will the vessel operator verifythat the system is operating as designed?

We will incorporate the protocol andrequirements into 33 CFR part 151subpart D when it's completed.

Four comments asked us to clarify ifretaining ballast water on board is aviable ballast water managementmethod. Section 151.2035(b)(2), statesthat retaining ballast water on board isan option.

Three comments asked the CoastGuard to consider whether discharge toan approved reception facility is aviable method of ballast water controlmanagement. We agree. Section

151.2035(b)(4) states that dischargingballast water to an approved receptionfacility is an option.

One comment suggested that we allowvessel owners and operators todischarge ballast water at publicly-owned treatment plants. The CoastGuard has determined that eachtreatment plant will have to beconsidered on a case-by-case basis. Todetermine if vessel owners andoperators can be allowed to dischargeballast water at a publicly-ownedtreatment plant, we will need specificinformation, including whether or not-

* The plant has the capacity tohandle the volume of ballast waterdischarged from a vessel;

* The treatment methods used at theplant are effective in killing the fullrange of genus and species of organismsfound in the ballast water;

* Allowing vessel owners andoperators to discharge ballast water willviolate any local or State regulations;

* The waste water treatment plantwill accept the ballast water; and

* The waste water treatment plant isaware of the salinity levels of the ballastwater.

Two comments encouraged thedevelopment of shoreside ballast waterreception facilities. Two commentssuggested that we continue to developalternative technologies to ballast waterexchange. Two comments asked that wegive chemical treatment methods fairconsideration as an alternative methodof ballast water management. Onecomment stated that chemicaltreatments are an essential tool for"integrated pest management." Fourcomments asked that we also considerby-products and concentration levels inany effluent when we consider chemicaltreatments.

The Coast Guard supports all of thesestatements. We will continue toencourage advances in methods oftreating ballast water. We will considerapplicable laws, regulations, and theconsequences of a treatment before weapprove any method.

Two comments recommended that weconsider risk-based assessment as anacceptable alternative compliancemechanism. The Coast Guard recognizesthat some waters may pose higher risksof containing potential invasive speciesthan other waters. However, it has notbeen proven that any waters pose norisk. Historical patterns show that zebramussels may have been shipped formore than 50 years before establishinga sustainable population in the GreatLakes and becoming a nuisance species.Therefore, we have determined that wedon't have a sound, definitive scientificbasis to approve risk-based assessment

as an alternative ballast watermanagement option.

Two comments requested a means ofsharing knowledge of alternativecompliance methods. The Coast Guardis working with the SmithsonianEnvironmental Research Center toincorporate a research and technologysection into the National Ballast WaterInformation Clearinghouse (NBIC)(NBIC Web site: www.serc.si.edu/invasions/ballast.htm).

Two comments discussed the researchand development of specific ballastwater control methods. The Coast Guardencourages companies to continue toresearch and develop other ballastcontrol methods. Two commentssuggested that we specify alternateballast water exchange sites in this rule.The establishment of alternativedischarge areas must be based on thebest scientific data available. Therefore,the Coast Guard leaves in place theprovisions in § 151.1514 that addressballast water management alternativesunder extraordinary conditions. Thissection applies specifically to the watersof the Great Lakes and Hudson River,North of George Washington Bridge. Therequests for alternative sites requests godirectly to the Captain of the Port(COTP) of the affected zone. In addition,the Coast Guard is reviewing a studyentitled "Ballast Exchange StudyConsideration of Back-up ExchangeZones and Environmental Effects ofBallast Exchange and Ballast Release."After this study is accepted by theANSTF, the Coast Guard will considerthe areas detailed for pre-acceptedalternate exchange sites. If accepted, wewill publish a detailed list of these areaswith a request for comments in theFederal Register. We have reserved§ 151.2055 in this rule and will list thesites in that section when they areapproved.

We received three comments on thedisposal of sediment ashore. Onecomment suggested removing thereference to "sediment ashore" from therule. One comment suggested that werequire a disposal facility be built atevery port. One comment noted that theproposed regulation might contradictexisting Federal regulations. Onecomment noted that restrictions ondisposal of sediments ashore may alsobe under the jurisdiction of entitiesother than the Coast Guard, such as theAnimal and Plant Health InspectionService, 7 CFR part 330.

We have changed § 151.2035(a)(3) tostate that sediments must be disposed inaccordance with local, State, andFederal regulations. This requirement isto ensure that vessel representatives areaware that disposal of sediments within

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the United States must be done inaccordance with existing regulations orlaws.

Three comments suggested that werefer to the owner, operator, agent, orperson-in-charge within the appropriatesections of the rule. Two commentsnoted that some types of vessels subjectto this rule might not be under thecommand of a master. One commentnoted that reporting requirements on avessel are often satisfied by the vesselagent. The Coast Guard agrees withthese comments. We refer to the owner,operator, agent, or person-in-charge inthe appropriate sections of the rule.

Is the Master Still Responsible for theSafety of the Vessel (§ 151.1510)?

Seven comments stated that theNPRM didn't adequately address safetyexemptions. The Coast Guard agreeswith this comment. In § 151.2030, wenow use language similar to the Act,which clearly states the safetyexemptions.

Three comments asked what willhappen if they use the safety exemption,and don't conduct a ballast exchange.We have included in § 151.2030(b) theprovisions of the Act which address thisconcern. Vessels subject to 33 CFR part151 subpart C must comply with therequirements of § 151.1514 subpart C(Ballast water management alternativesunder extraordinary conditions). Vesselsnot subject to 33 CFR part 151 subpartC shall not be required to perform aballast water management practicewhich the master has found to threatenthe safety of the vessel, its crew, or itspassengers because of adverse weather,vessel design limitations, equipmentfailure, or any other extraordinaryconditions.

What Are the Mandatory Reporting andRecordkeeping Requirements(§ 151.1514)?

Four comments suggested that weprovide more options for submitting therequired information to the Coast Guard.One comment noted that the proposedrequirements for submitting informationmay bypass existing Canadian reportingrequirements for shared waters. Onecomment asked that we allow theinformation to be submittedelectronically.

The Coast Guard agrees with thesecomments. In § 151.2040(c), we haveadded other options for submitting therequired information.

Two comments wanted to submit"one standard voyage profile regardingballast water management versus trip bytrip reports." The Coast Guard is notprepared to approve this. We willrequire individual reports. This

approach may be reconsidered at a laterdate depending on the quality and detailof the reports that are received.

Two comments stated that ownersand operators of container ships androll-on/roll-off (RoRo) vessels may havedifficulty submitting the information asproposed in the NPRM. Thesecomments noted that the actualdischarge amount and location ofdischarge might be different thanexpected because of operationalconsiderations.

We have determined that the ownersand operators of these vessels must stillsubmit the required information.However, in § 151.2040(d), we allowowners and operators to submit anamended form before leaving waters ofthe United States. This allowance willaccommodate the owner or operator ofany vessel who finds that theinformation they originally submitted tothe Coast Guard has changed.

Two comments stated that we shouldremove the requirement to submitinformation about the salinity of theballast water discharged, and thetemperature of the ballast water at itssource. The Coast Guard disagrees withthis comment. The Act directs the CoastGuard to consider the variouscharacteristics of the point of origin (ofballast water) and receiving waterbodies. Salinity and temperature areessential to obtaining that information.

One comment requested the removalof sea height at the time of an exchangeas required information. This commentexpressed concern that this data may bedangerously extrapolated to setdefinitive sea state standards at whichballast water exchange must beconducted.

The Coast Guard has determined thatthis information is necessary to get anaccurate collection of data on ballastwater practices. However, we willensure that any reports of data includequalifying statements. For example,"while 65 percent of vessels conductingballast water exchange did so in seaswith waves of up to 1 foot in height,complete data is not available on vesselsnot conducting an exchange for safetyreasons under those same conditions.This data should never be used todetermine safe operating parameters atwhich all ships can conduct anexchange. We must consider each ship'sunique operating, structural, andstability issues."

Are There Methods to MonitorCompliance With This Subpart(§ 151.1518)?

Three comments suggested that thephrase "may take samples" should bereplaced with "shall take samples." The

Coast Guard recognizes the concern;however, logistical constraints maypreclude the taking of samples duringeach boarding of the vessel.Additionally, as parameters areidentified for testing procedures, costper sample analysis may increase.Resources availability will determinethe number of samples taken. Use of theterm "may" leaves the Coast Guardflexibility to address these issues and toimplement valid sampling procedures.

Appendix to Subpart C of Part 151

We received nine comments about thesample ballast water reporting form andits directions. One comment suggested"streamlining the form" or making theform more efficient. One commentasked the Coast Guard to use standardforms. Two comments asked that wemake the forms consistent with IMOforms. Three comments suggestedchanges to the instructions for theforms. Two comments noted that§ 151.1514 of the NPRM affects theinformation requested on the form.

In response to these comments andbased on what we have learned duringpilot programs, we have changed theproposed form to make it easier to useand quicker to convert from a papercopy to an electronic submittal form.The Coast Guard will continue to acceptthe IMO "Ballast Water ReportingForm" and the St. Lawrence Seawayrequired "Pre-entry Information fromForeign Flagged Vessels Form" assatisfying the information and reportingrequirements of this rule. The CoastGuard will coordinate with IMO andCanada to encourage standardization ofa ballast water reporting form. The CoastGuard feels that to sacrifice an improvedproduct in attempt to maintainstandardization of the proposed form isnot in the best interest of this program.

Two comments asked the Coast Guardto ensure that the data obtained from themandatory reports will be useful forlocal, regional, and state governmentsand organizations. The Coast Guard hasbeen working to ensure that the datawill be entered in a usable form toidentify ballast patterns that areessential to sound decisions on ballastwater management. For a more detaileddescription of the NBIC, please reviewthe NBIC Web site at www.serc.si.edu/invasions/ballast.htm.

One comment wondered if there areplans to distribute the form andinstructions. The Coast Guard willdistribute copies of the form andprovide multiple copies to agencies andentities that will be able to disseminatethem. The form and instructions willalso be available at the NBIC Web site.

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Other Changes to the ProposedRegulations

In addition to the changes made to theregulations as a result of the comments,we have defined the term "voyage" in§ 151.2025 to include intermediate portcalls and avoid confusion with thedefinition of (Great Lakes or HudsonRiver) voyage in § 151.1504 of subpartC. We have also revised the definitionin § 151.2025 to clarify that theequivalent zone of Canada is consideredpart of the EEZ, as provided in the Act.

Regulatory Evaluation

The rule is not a significant regulatoryaction under section 3(f) of ExecutiveOrder 12866 and does not require anassessment of potential costs andbenefits under section 6(a)(3) of thatorder. It has not been reviewed by theOffice of Management and Budget(OMB) under that order. It is notsignificant under the regulatory policiesand procedures of the Department ofTransportation (DOT) (44 FR 11040,February 26, 1979).

The Coast Guard expects theeconomic impact of this rule to be sominimal that a full RegulatoryEvaluation under paragraph l0e of theregulatory policies and procedures ofDOT is unnecessary.

Summary of Costs

The rule will cost industry the timeand resources it will take to submit thepaperwork required by this rule. Avessel's officer is likely to be the persontasked with completing the report, sowe based our estimate on the currentannual salary for a third mate on a U.S.merchant vessel, and includedadministrative costs ($9 per report forphotocopying, etc.). We calculated thatit will cost $35 to submit each report.The following equation illustrates thecalculation:

$81,840 +2,080 hours x40 minutes +$9 = $35We used the U.S. Coast Guard Marine

Safety Management System (MSMS) todetermine that this rule will apply to30,877 vessel transits (this includestransits on the Great Lakes). Wemultiplied the cost of each report ($35)by the number of vessel arrivals fromoutside the Exclusive Economic Zone(30,877) to get a total annual cost of$1,080,695. The following equationillustrates the calculation:

$35 x 30,877 = $1,080,695The rule will cost the Federal

government the time it will take CoastGuard personnel to review ballast watermanagement record information. TheCoast Guard will add 30 E-5 billets toverify compliance and collect the

information this rule will require.Commandant Instruction 7310.1E statesthat the hourly cost for an E-1 to E-5range billet is $15 per hour. Thistranslates to yearly cost of $31,200 perbillet (2080 x $15 = $31,200). Therefore,the cost of 30 billets will equal $936,000($31,200 x 30=$936,000). We estimatethat the total cost to the Coast Guard tocollect and send the appropriatepaperwork to the National Ballast WaterInformation Clearinghouse (NBIC) is$75,000. The total annual cost wascalculated as illustrated in the followingequation:

30 [billets] x $2,500 [administrativecosts] = $75,000

The Coast Guard will also allocate$300,000 per year to the NBIC. TheNBIC will provide analysis, synthesis,and interpretation of data collectedunder the Act. Therefore, the totalgovernment cost of this rule is$1,311,000 annually. The totalgovernment cost was calculated asillustrated in the following equation:

$936,000 + $300,000 + $75,000$1,311,000

Summary of Benefits

This rule is the next step in anongoing effort to reduce the numbers ofnon-indigenous species invading thewaters of the United States.

According to the U.S. Congress' Officeof Technology Assessment, "HarmfulNon-Indigenous Species in the UnitedStates," the economic impact on theUnited States from introductions of non-indigenous species has exceeded severalbillions of dollars through-

* Efforts to prevent and reducefurther infestations;

* Repairs of damage to variousinfrastructures; and

* Lost revenues.

For example, the Great Lakes FisheryCommission estimates the Europeanruffe, a fish that entered the Great Lakesvia expelled ballast water in the early1980's, could cause annual losses of $90million if the European ruffe is notcontrolled.

As international maritime tradecontinues to expand, the economicimpact of non-indigenous speciesinvasions will continue to increase. Thisincrease may necessitate more extensivelong-term control efforts, includingimproving ballast water managementpractices. The reporting requirements inthis rule will allow the Coast Guard toreceive the information it needs to makedecisions on what measures may berequired in the future to help solve theaquatic nuisance species problem.

Impact on Small Entities

The provisions of the RegulatoryFlexibility Act (5 U.S.C. 601-612),require the Coast Guard to considerwhether the interim rule will have asignificant economic impact on asubstantial number of small entities."Small entities," include: (1) Smallbusinesses, not-for-profit organizationsthat are independently owned andoperated and are not dominant in theirfields, and (2) governmentaljurisdictions with populations of lessthan 50,000.

The rule applies to any vessel withballast tanks entering the waters of theUnited States after operating beyond theEEZ. Vessels engaged in coastwise trade(within the EEZ) and passenger vesselsequipped with treatment systemsdesigned to eliminate aquatic species intheir ballast tanks will be exempt fromthe mandatory provisions of the rule.The rule requires vessel operators toreport their ballast water managementefforts. We estimate that each report willcost the vessel operator $35. This sumis very low on an absolute dollar basis.We believe that it will account for a verylow percentage of the operating costs ofeven the smallest commercial vesseloperations. For this reason, the CoastGuard certifies under 5 U.S.C. 605(b)that the rule will not have a significanteconomic impact on a substantialnumber of small entities.

Assistance forSmall Entities

In accordance with section 213(a) ofthe Small Business RegulatoryEnforcement Fairness Act of 1996 (Pub.L. 104-121), the Coast Guard offers toassist small entities in understandingthis rule so that they can better evaluateits effects on them and participate in therulemaking process. If your smallbusiness or organization is affected bythis rule and you have questionsconcerning its provisions or options forcompliance, please contact LieutenantMary Pat McKeown, Project Manager,Office of Operating and EnvironmentalStandards (G-MSO) at 202-267-0500.

The Small Business and AgricultureRegulatory Enforcement Ombudsmanand 10 Regional Fairness Boards wereestablished to receive comments fromsmall businesses about Federal agencyenforcement actions. The Ombudsmanwill annually evaluate the enforcementactivities and rate each agency'sresponsiveness to small business. If youwish to comment on the enforcementactions of the Coast Guard, call 1-888-REG-FAIR (1-888-734-3247).

Collection of Information

The provisions of the PaperworkReduction Act of 1995 (44 U.S.C. 3501-

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3520) require the Office of Managementand Budget (OMB) to review each rulethat contains a collection-of-information. The Office of Managementand Budget must determine if thepractical value of the information isworth the burden of collecting theinformation. Collection -of-informationrequirements include reporting,recordkeeping, notification, monitoring,posting, labeling, and other similarrequirements.

The rulemaking will require theowner or operator of a vessel withballast tanks, entering the waters of theUnited States from outside the EEZ, tosubmit paperwork to the Coast Guard.The paperwork will document theowner's or operator's ballast watermanagement practices. The provisionsof the Act require the Coast Guard, inconsultation and cooperation with theAquatic Nuisance Species Task Forceand the Smithsonian InstitutionEnvironmental Research Center, todevelop and maintain the NationalBallast Water Information Clearinghouse(NBIC). The purpose of the NBIC is todetermine the patterns of ballast waterdelivery and management in the watersof the United States. The informationobtained from the mandatory reportsthat owners and operators must submitwill be entered into a database at theNBIC. The rulemaking requiressubmission of the followinginformation:

* Vessel type, owner or operator,gross tonnage, call sign, and Port ofRegistry (Flag);

* Port of arrival, vessel agent, lastport and country of call, and next portand country of call;

* Total ballast water capacity, totalvolume of ballast water on board, totalnumber ballast water tanks, and totalnumber of ballast water tanks in ballast;

* Total number of ballast tanks/holdsthat are to be discharged into the watersof the United States or at a receptionfacility, the number of tanks that wereexchanged or treated using analternative method of compliance; typeof alternative compliance method, ifused for treatment; whether the vesselhas a ballast water management planand IMO guidelines on board, andwhether the ballast water managementplan was used;

* Origin of ballast water-thisincludes date(s), location(s), volume(s)and temperature(s) (if a tank has beenexchanged this is the ballast water thatwas taken on in port and then replacedduring the exchange);

* Date(s), location(s), volume(s),method, thoroughness (percentageexchanged if exchange conducted), seaheight at time of exchange if exchange

conducted, of any ballast waterexchanged or treated;

* Expected date, location, volume,and salinity of any ballast water to bedischarged into the waters of the UnitedStates or at a reception facility; and

* Location of the facility used fordisposal of sediment carried into thewaters of the United States, if sedimentis to be discharged within thejurisdiction of the United States.

If we did not require owners oroperators to provide this information, itwould be impossible to produce thestudies and congressional reports onballast water management patterns thatthe provisions of the Act require. TheCoast Guard will use the informationto-

* Ensure that an owner or operatorhas complied with the ballast watermanagement regulations; and

* Assess the rate of compliance withthe voluntary guidelines listed in therule.

As stated under RegulatoryEvaluation in this document, thevessel's officer is likely to be the persontasked with completing the report, sowe based our cost estimate on thecurrent annual salary for a third mate ona U.S. merchant vessel and includedadministrative costs. We calculated thatit will cost $35 to submit each report.We used the U.S. Coast Guard MarineSafety Management System todetermine that this rule will apply to30,877 vessel transits (this includestransits on the Great Lakes). Wemultiplied the cost of each report ($35)by the number of vessel arrivals fromoutside the EEZ (30,877) to get a totalannual cost of $1,080,695. The annualburden on industry will be 20,585 hoursper year, and the cumulative burden for3 years is 61,755 hours.

The title and description of theinformation collection, a description ofthe respondents, and an estimate of thetotal annual burden follow. Included inthe estimate is the time for reviewinginstructions, searching existing sourcesof data, gathering and maintaining thedata needed, and completing andreviewing the collection.

Title: Implementation of the NationalInvasive Species Act of 1996 (NISA)

Summary of Collection ofInformation: This rule containscollection -of-information requirementsin the following sections: §§ 151.2040and 151.2045.

Need forlnformation: This rule willrequire owners or operators of eachvessel with ballast water tanks, whoenter the United States after operatingoutside the EEZ, to provide to the U.S.Coast Guard information regardingballast water management practices.

Proposed Use of Information: Theinformation is needed to ensure that themandatory ballast water managementregulations are complied with prior toallowing the vessel to enter U.S. ports,and to assess the effectiveness of thevoluntary guidelines. The informationwill be used by the Coast GuardHeadquarters staff and researchers fromboth private and other governmentalagencies to assess the effectiveness ofvoluntary ballast-water managementguidelines for vessels with ballast tanksthat enter U.S. waters after operatingoutside the EEZ. The information willbe provided to Congress on a regularbasis as required by the Act.

Description of the Respondents: Anyvessel (owner or operator) with ballasttanks entering U.S. waters afteroperating outside the EEZ.

Number of Respondents: 30,877vessel entries.

Frequency of Response: Whenever avessel with ballast tanks enters theUnited States after operating outside theEEZ.

Burden of Response: 40 minutes perrespondent.

Estimated Total Annual Burden:20,585 hours.

As required by section 3507(d) of thePaperwork Reduction Act of 1995, theCoast Guard has submitted a copy ofthis rule to OMB for its review of thecollection of information.

If you are submitting a comment onthe collection of information, youshould submit it to OMB and to theCoast Guard where indicated underADDRESSES by the date under DATES.

No one is required to respond to acollection of information unless itdisplays a currently valid OMB controlnumber. The Coast Guard will publishnotice in the Federal Register of OMB'sdecision to approve, modify, ordisapprove the collection.

Federalism

The Coast Guard has analyzed thisrule under the principles and criteriacontained in Executive Order 12612 andhas determined that this rule does nothave sufficient federalism implicationsto warrant the preparation of aFederalism Assessment.

Unfunded Mandates

Title II of the Unfunded MandatesReform Act of 1995 (UMRA) (Pub. L.104-4, 109 Stat. 48) requires Federalagencies to assess the effects of certainregulatory actions on State, local, andtribal governments, and the privatesector. The Unfunded Mandates ReformAct requires a written statement ofeconomic and regulatory alternatives forrules that contain Federal mandates. A

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"Federal mandate" is a new oradditional enforceable duty imposed onany State, local, or tribal government, orthe private sector. If any Federalmandate causes those entities to spend,in the aggregate, $100 million or morein any one year, the UMRA analysis isrequired. This rule will not imposeFederal mandates on any State, local, ortribal governments, or the private sector.

Taking of Private Property

This rule will not effect a taking ofprivate property or otherwise havetaking implications under E.O. 12630,Governmental Actions and Interferencewith Constitutionally Protected PropertyRights.

Civil Justice Reform

This rule meets applicable standardsin sections 3(a) and 3(b)(2) of E.O.12988, Civil Justice Reform, to minimizelitigation, eliminate ambiguity, andreduce burden.

Protection of Children

We have analyzed this rule under E.O.13045, Protection of Children fromEnvironmental Health Risks and SafetyRisks. This rule is not an economicallysignificant rule and does not concern anenvironmental risk to health or risk tosafety that may disproportionately affectchildren.

Environm ent

The Coast Guard considered theenvironmental impact of this rule andconcluded that preparation of anEnvironmental Impact Statement is notnecessary. An EnvironmentalAssessment and proposed Finding of NoSignificant Impact are available in thedocket for inspection or copying whereindicated under ADDRESSES.

The Coast Guard is establishingvoluntary guidelines for all vesselsequipped with ballast tanks that operatein waters of the United States. The CoastGuard is also establishing additionalvoluntary ballast water managementguidelines and mandatory reportingrequirements for all vessels carryingballast water into the waters of theUnited States after operating beyond theexclusive economic zone. Thesereporting requirements are intended tomonitor the level of participation byvessels in the voluntary nationalguidelines program. If participationlevels in this program are inadequate,the Act requires the Secretary ofTransportation to mandate the ballastwater management guidelines. Oncereported, the information will be used todevelop and maintain a ballast waterinformation clearinghouse, which willmonitor the effectiveness of the program

and identify future needs for betterprotecting domestic waters from theintroduction of invasive species.

Therefore, the regulations toimplement provisions of the Actconcerning ballast water control, whenusing voluntary guidelines for ballastwater management and mandatoryreporting requirements, will not have asignificant impact on the environment.

List of Subjects in 33 CFR Part 151

Administrative practice andprocedure, Oil pollution, Penalties,Reporting and recordkeepingrequirements, Water pollution control.

For the reasons discussed in thepreamble, the Coast Guard amends 33CFR part 151 as follows:

PART 151-VESSELS CARRYING OIL,NOXIOUS LIQUID SUBSTANCES,GARBAGE, MUNICIPAL ORCOMMERCIAL WASTE, AND BALLASTWATER

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

Authority: 33 U.S.C. 1321 j)(1)(C) and1903; E.O. 12777, 3 CFR, 1991 Comp. p.351;49 CFR 1.46.

Subpart C-Ballast Water Managementfor Control of Nonindigenous Speciesin the Great Lakes and Hudson River

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

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

3. Revise the subpart heading to readas shown above.

4. In § 151.1504, revise the definitionof "ballast water" and add definitions inalphabetical order to read as follows:

§ 151.1504 Definitions.

Ballast water means any water andsuspended matter taken on board avessel to control or maintain, trim,draught, stability, or stresses of thevessel, regardless of how it is carried.

Ballast tank means any tank or holdon a vessel used for carrying ballastwater, whether or not the tank or holdwas designed for that purpose.

Sediments means any matter settledout of ballast water within a vessel.

5. Add subpart D, consisting of§§ 151.2000 through 151.2065, to readas follows:

Subpart D-Ballast Water Management forControl of Nonindigenous Species in watersof the United States.

Sec.151.2000 What is the purpose of this

subpart?151.2005 To which vessels does this subpart

apply?151.2010 Which vessels are exempt from the

mandatory requirements?151.2015 Is a vessel in innocent passage

exempt from the mandatoryrequirements?

151.2020 To what ballast water does thissubpart apply?

151.2025 What definitions apply to thissubpart?

151.2030 Who is responsible for determiningwhen to use the safety exemption?

151.2035 What are the voluntary ballastwater management guidelines?

151.2040 What are the mandatoryrequirements for vessels carrying ballastwater into the waters of the United Statesafter operating beyond the exclusiveeconomic zone (EEZ)?

151.2045 What are the mandatoryrecordkeeping requirements?

151.2050 What methods are used to monitorcompliance with this subpart?

151.2055 Where are the alternate exchangezones located? (Reserved)

151.2060 What must each application forapproval of an alternative compliancetechnology contain? (Reserved)

151.2065 What is the standard of adequatecompliance determined by the ANSTFfor this subpart? (Reserved)

Appendix to Subpart D of Part BallastWater Reporting Form and Instructionsfor Ballast Water Reporting Form

Subpart D-Ballast Water Managementfor Control of Nonindigenous Speciesin Waters of the United States

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

§ 151.2000 What is the purpose of thissubpart?

This subpart implements theprovisions of the NonindigenousAquatic Nuisance Prevention andControl Act of 1990 (NANPCA) (16U.S.C. 4701-4751), as amended by theNational Invasive Species Act of 1996(NISA).

§ 151.2005 To which vessels does this

subpart apply?

(a) Sections 151.2000 through151.2035(a) of this subpart apply to allvessels, U.S. and foreign, equipped withballast tanks that operate in the watersof the United States.

(b) Sections 151.2035(b) through15 1.2065 apply to all vessels, U.S. andforeign, carrying ballast water into thewaters of the United States afteroperating beyond the exclusiveeconomic zone, except those vesselsexempted in §§ 151.2010 and 151.2015.

26682



§ 151.2010 Which vessels are exempt fromthe mandatory requirements?

Four types of vessels are exempt fromthe requirements in §§ 151.2040 and151.2045:

(a) A crude oil tanker engaged in thecoastwise trade.

(b) A passenger vessel equipped witha functioning treatment system designedto kill aquatic organisms in the ballastwater. The treatment system mustoperate as designed.

(c) A Department of Defense or CoastGuard vessel subject to the requirementsof section 1103 of the Act, or any vesselof the Armed Forces, as defined in theFederal Water Pollution Control Act (33U.S.C. 1322(a)) that is subject to the"Uniform National Discharge Standardsfor Vessels of the Armed Forces" (33U.S.C. 1322(n)).

(d) A vessel that will discharge ballastwater or sediments only at the samelocation where the ballast water orsediments originated. The ballast wateror sediments must not mix with ballastwater or sediments from areas otherthan the high seas.

§ 151.2015 Is a vessel in innocent passageexempt from the mandatory requirements?

A foreign vessel merely traversing theterritorial sea of the United States (i.e.,not entering or departing a U.S. port, ornot navigating the internal waters of theU.S.) is exempt from the requirements of§§ 151.2040 and 151.2045, howeversuch vessels are requested not todischarge ballast water into the watersof the United States unless they havefollowed the voluntary guidelines of§ 151.2035.

§ 151.2020 To what ballast water does thissubpart apply?

This subpart applies to all ballastwater and associated sediments takenon a vessel in areas-

(a) Less than 200 nautical miles fromany shore, or

(b) With water that is less than 2,000meters (6,560 feet,1,093 fathoms) deep.

§ 151.2025 What definitions apply to thissubpart?

(a) Unless otherwise stated in thissection, the definitions in 33 CFR151.1504, 33 CFR 160.203, and theUnited Nations Convention on the Lawof the Sea apply to this part.

(b) As used in this part-ANSTFmeans the Aquatic Nuisance

Species Task Force mandated under theNonindigenous Aquatic NuisancePrevention and Control Act of 1990(NANPCA).

Captain of the Port (COTP) means theCoast Guard officer designated as theCOTP, or a person designated by thatofficer, for the COTP zone covering the

first U.S. port of destination. TheseCOTP zones are listed in 33 CFR part 3.

Exchange means to replace the waterin a ballast tank using one of thefollowing methods:

(a) Flow through exchange means toflush out ballast water by pumping inmid-ocean water at the bottom of thetank and continuously overflowing thetank from the top until three fullvolumes of water has been changed-tominimize the number of originalorganisms remaining in the tank.

(2) Empty/refill exchange means topump out the ballast water taken on inports, estuarine, or territorial watersuntil the tank is empty, then refilling itwith mid-ocean water; masters/operators should pump out as close to100 percent of the ballast water as issafe to do so.

IMO guidelines mean the Guidelinesfor the Control and Management ofShips' Ballast Water to Minimize theTransfer of Harmful Aquatic Organismsand Pathogens (IMO Resolution A.868(20), adopted November 1997).

NANCPA means the NonindigenousAquatic Nuisance Prevention andControl Act of 1990.

NBIC means the National BallastWater Information Clearinghouseoperated by the Coast Guard and theSmithsonian Environmental ResearchCenter as mandated under NISA.

NISA means the National InvasiveSpecies Act of 1996, which reauthorizedand amended NANCPA.

United States means the States, theDistrict of Columbia, theCommonwealth of Puerto Rico, Guam,American Samoa, the Virgin Islands,and the Trust Territory of the PacificIslands.

Voyage means any transit by a vesseldestined for any United States port froma port or place outside of the EEZ,including intermediate stops at a port orplace within the EEZ. For the purposeof this rule, a transit by a vessel from aUnited States port to any other UnitedStates port, if at any time the vesseloperates outside the EEZ or equivalentzone of Canada, is also considered avoyage.

Waters of the United States meanswaters subject to the jurisdiction of theUnited States as defined in 33 CFR§ 2.05-30, including the navigablewaters of the United States. For thisregulation, the navigable waters includethe territorial sea as extended to 12nautical miles from the baseline,pursuant to Presidential ProclamationNo. 5928 of December 27, 1988.

§ 151.2030 Who is responsible fordetermining when to use the safetyexemption?

(a) The master, operator, or person-in-charge of a vessel is responsible for thesafety of the vessel, its crew, and itspassengers.

(b) The master, operator, or person-in-charge of a vessel is not required toconduct a ballast water managementpractice (including exchange), if themaster decides that the practice wouldthreaten the safety of the vessel, itscrew, or its passengers because ofadverse weather, vessel designlimitations, equipment failure, or anyother extraordinary conditions. If themaster uses this section, and the-

(1) Vessel is on a voyage to the GreatLakes or Hudson River, the vessel mustcomply with the requirements of§ 151.1514 of subpart C of this part(Ballast water management alternativesunder extraordinary conditions); or

(2) Vessel is on a voyage to any portother than the Great Lakes or HudsonRiver, the vessel shall not be required toperform a ballast water managementpractice which the master has found tothreaten the safety of the vessel, itscrew, or its passengers because ofadverse weather, vessel designlimitations, equipment failure, or anyother extraordinary conditions.

(c) Nothing in this subpart relieves themaster, operator, or person-in-charge ofa vessel, of the responsibility forensuring the safety and stability of thevessel or the safety of the crew andpassengers, or any other responsibility.

§ 151.2035 What are the voluntary ballastwater management guidelines?

(a) Masters, owners, operators, orpersons-in-charge of all vesselsequipped with ballast water tanks thatoperate in the waters of the UnitedStates are requested to take thefollowing voluntary precautions tominimize the uptake and the release ofharmful aquatic organisms, pathogens,and sediments:

(1) Avoid the discharge or uptake ofballast water in areas within or that maydirectly affect marine sanctuaries,marine preserves, marine parks, or coralreefs.

(2) Minimize or avoid uptake ofballast water in the following areas andsituations:

(i) Areas known to have infestationsor populations of harmful organismsand pathogens (e.g., toxic algal blooms).

(ii) Areas near sewage outfalls.(iii) Areas near dredging operations.(iv) Areas where tidal flushing is

known to be poor or times when a tidalstream is known to be more turbid.

26683



(v) In darkness when bottom-dwellingorganisms may rise up in the watercolumn.

(vi) Where propellers may stir up thesediment.

(3) Clean the ballast tanks regularly toremove sediments. Clean the tanks inmid-ocean or under controlledarrangements in port, or at dry dock.Dispose of your sediments inaccordance with local, State, andFederal regulations.

(4) Discharge only the minimalamount of ballast water essential forvessel operations while in the waters ofthe United States.

(5) Rinse anchors and anchor chainswhen you retrieve the anchor to removeorganisms and sediments at their placeof origin.

(6) Remove fouling organisms fromhull, piping, and tanks on a regularbasis and dispose of any removedsubstances in accordance with local,State and Federal regulations.

(7) Maintain a ballast watermanagement plan that was developedspecifically for the vessel.

(8) Train the master, operator, person-in-charge, and crew, on the applicationof ballast water and sedimentmanagement and treatment procedures.

(b) In addition to the provisions of§ 151.2035(a), you (the master, operator,or person-in-charge of a vessel) arerequested to employ at least one of thefollowing ballast water managementpractices, if you carry ballast water intothe waters of the United States afteroperating beyond the EEZ:

(1) Exchange ballast water beyond theEEZ, from an area no less than 200nautical miles from any shore, and inwaters more than 2,000 meters (6,560feet, 1,093 fathoms) deep, beforeentering waters of the United States.

(2) Retain the ballast water on boardthe vessel.

(3) Use an alternative environmentallysound method of ballast watermanagement that has been approved bythe Coast Guard before the vessel beginsthe voyage. Submit the requests forapproval of alternative ballast watermanagement methods to theCommandant (G-MSO-4), U.S. CoastGuard Headquarters, 2100 Second StreetSW., Washington, DC 20593-0001. Thephone number is 202-267-0500.

(4) Discharge ballast water to anapproved reception facility.

(5) Under extraordinary conditions,conduct a ballast water exchange withinan area agreed to by the COTP at thetime of the request.

§ 151.2040 What are the mandatoryrequirements for vessels carrying ballastwater into the waters of the United Statesafter operating beyond the ExclusiveEconomic Zone (EEZ)?

(a) The master, owner, operator,person-in-charge of a vessel bound forthe Great Lakes or Hudson River, whichhas operated beyond the EEZ during anypart of its voyage, regardless ofintermediate ports of calls within thewaters of the United States or Canada,must comply with paragraphs (c)through (f) of this section, all of§ 151.2045, and with the provisions ofthis part 151 subpart C.

(b) A vessel engaged in the foreignexport of Alaskan North Slope CrudeOil must comply with paragraphs (c)through (f) of this section, all of§ 151.2045, and with the provisions of15 CFR 754.2(j)(1)(iii). That section (15CFR 754.2(j)(iii)) requires a mandatoryprogram of deep water ballast exchange(i.e., at least 2,000 meters water depthand recordkeeping), unless doing sowould endanger the safety of the vesselor crew.

(c) The master, owner, operator, agent,or person-in-charge of a vessel carryingballast water into the waters of theUnited States after operating beyond theEEZ, unless specifically exempted by§ 151.2010 or § 151.2015, must providethe information required by § 151.2045in electronic or written form to theCommandant, U.S. Coast Guard or theappropriate COTP as follows:

(1) For a United States or CanadianFlag vessel bound for the Great Lakes.You must fax the required informationto the COTP Buffalo 315-764-3283 atleast 24 hours before the vessel arrivesin Montreal, Quebec.

(2) Fora foreign flagged vessel boundfor the Great Lakes. You must-

(i) Fax the required information to theCOTP Buffalo 315-764-3283 at least 24hours before the vessel arrives inMontreal, Quebec; or

(ii) Complete the ballast waterinformation section of the St. LawrenceSeaway required "Pre-entry Informationfrom Foreign Flagged Vessels Form"and submit it in accordance with theapplicable Seaway notice.

(3) For a vessel bound for the HudsonRiver north of the George WashingtonBridge. You must telefax theinformation to the COTP New York at718-354-4249 before the vessel entersthe waters of the United States (12 milesfrom the baseline).

(4) For a vessel not addressed inparagraphs (c)(1), (c)(2), and (c)(3) ofthis section. Before the vessel departsfrom the first port of call in the watersof the United States, you must-

(i) Mail the information to U.S. CoastGuard, c/o Smithsonian EnvironmentalResearch Center (SERC), P.O. Box 28,Edgewater, MD 21037-0028; or

(ii) Transmit the informationelectronically to the NBIC atwww .serc.si.edu/invasions/ballast.htm;or

(iii) Fax the information to theCommandant, U.S. Coast Guard, c/o theNBIC at 301-261-4319.

(d) If the information submitted inaccordance with paragraph (c) of thissection changes, you must submit anamended form before the vessel departsthe waters of the United States.

(e) This subpart does not authorizethe discharge of oil or noxious liquidsubstances (NLS) in a mannerprohibited by United States orinternational laws or regulations. Ballastwater carried in any tank containing aresidue of oil, NLS, or any otherpollutant must be discharged inaccordance with the applicableregulations.

(f) This subpart does not affect orsupersede any requirement orprohibition pertaining to the dischargeof ballast water into the waters of theUnited States under the Federal WaterPollution Control Act (33 U.S.C. 1251 to1376).

§ 151.2045 What are the mandatoryrecordkeeping requirements?

(a) The master, owner, operator, orperson in charge of a vessel carryingballast water into the waters of theUnited States after operating beyond theEEZ, unless specifically exempted by§ 151.2010 or § 151.2015 shall keep inwritten form, records that include thefollowing information (Note: Ballasttank is any tank or hold that carriesballast water regardless of design):

(1) Vessel information. Include the-(i) Name;(ii) International Maritime

Organization (IMO) Number (officialnumber if IMO number not issued);

(iii) Vessel type;(iv) Owner or operator;(v) Gross tonnage;(vi) Call sign; and(vii) Port of Registry (Flag).(2) Voyage information. Include the

date and port of arrival, vessel agent,last port and country of call, and nextport and country of call.

(3) Total ballast water information.Include the total ballast water capacity,total volume of ballast water on board,total number of ballast water tanks, andtotal number of ballast water tanks inballast. Use units of measurements suchas metric tons (MT), cubic meters (m3),long tons (LT), and short tons (ST).

(4) Ballast Water Management.Include the total number of ballast

26684



tanks/holds that are to be dischargedinto the waters of the United States orto a reception facility. If an alternativeballast water management method isused, please note the number of tanksthat were managed using an alternativemethod, as well as the type of methodused. Indicate whether the vessel has aballast water management plan and IMOguidelines on board, and whether theballast water management plan is used.

(5) Information on ballast water tanksthat are to be discharged into the watersof the United States or to a receptionfacility. Include the following:

(i) The origin of ballast water. Thisincludes date(s), location(s), volume(s)and temperature(s) (If a tank has beenexchanged, list the loading port of theballast water that was discharged duringthe exchange.).

(ii) The date(s), location(s), volume(s),method, thoroughness (percentageexchanged if exchange conducted), seaheight at time of exchange if exchangeconducted, of any ballast waterexchanged or otherwise managed.

(iii) The expected date, location,volume, and salinity of any ballast waterto be discharged into the waters of theUnited States or a reception facility.

(6) Discharge of sediment. If sedimentis to be discharged within thejurisdiction of the United States include

the location of the facility where thedisposal will take place.

(7) Certification of accurateinformation. Include the master, owner,operator, person in charge, orresponsible officer's printed name, title,and signature attesting to the accuracyof the information provided andcertifying compliance with therequirements of this subpart.

(8) Change to previously submittedinform ation.

(i) Indicate whether the information isa change to information previouslysubmitted for this voyage.

(ii) The master, owner, operator, orperson in charge of a vessel subject tothis section, must retain a signed copyof this information on board the vesselfor 2 years.

(iii) The information required of thissubpart may be used to satisfy theballast water recordkeepingrequirements for vessels subject to§ 151.2040(a) and (b).

(iv) A sample form and theinstructions for completing the form arein the appendix to this subpart. If youcomplete the "Ballast Water ReportingForm" contained in the IMO Guidelinesor complete the ballast waterinformation section of the St. LawrenceSeaway required "Pre-entry InformationFlagged Vessels Form," then you havemet the requirements of this section.

§ 151.2050 What methods are used tomonitor compliance with this subpart?

(a) The COTP may take samples ofballast water and sediment, examinedocuments, and make other appropriateinquiries to assess the compliance ofany vessel subject to this subpart.

(b) The master, owner, operator, orperson in charge of a vessel subject tothis section, shall make available to theCOTP the records required by§ 151.2045 upon request.

(c) The NBIC will compile the dataobtained from submitted reports. Thisdata will be used, in conjunction withexisting databases on the number ofvessel arrivals, to assess vessel reportingrates.

§ 151.2055 Where are the alternateexchange zones located? [Reserved]

§ 151.2060 What must each application forapproval of an alternative compliancetechnology contain? [Reserved]

§ 151.2065 What is the standard ofadequate compliance determined by theANSTF for this subpart? [Reserved]

Appendix to Subpart D of Part 151-Ballast Water Reporting Form andInstructions for Ballast WaterReporting Form

BILLING CODE 4910-15-P

26685


26686 Federal Register/Vol. 64, No. 94/Monday, May 17, 1999/Rules and Regulations

INSTRUCTIONS FOR BALLAST WATER REPORTING FORM(Please write in English and PRINT legibly.)

Is this an Amended Ballast Reporting Form?: Check Yes or No. Amendments should be submitted if there are any

differences between actual ballast discharges and discharge information reported in a prior form. Please mark "Yes" if

this form amends a previously submitted ballast reporting form.

SECTION 1. VESSEL INFORMATIONVessel Name: Print the name of the vessel clearly.

IMO Number: Fill in identification number of the vessel used by the International Maritime Organization.

Owner: Write in the name of the registered owner(s) of the vessel. If under charter, enter Operator name.

Type: List specific vessel type. Use the following abbreviations: bulk (bc), roro (rr), container (cs), tanker (ts),

passenger (pa), oil/bulk ore (ob), general cargo (gc), reefer (rf). Write out any additional vessel types.

GT: What is the Gross Tonnage of the vessel?

Call Sign: Write in the official call sign.

Flag: Fill in the full name of the country under whose authority the ship is operating. No abbreviations please.

SECTION 2. VOYAGE INFORMATION

Arrival Port: Write in the name of your first port of call after entering the U.S. EEZ or St. Lawrence Seaway. No abbreviations.

Arrival Date: Fill in the arrival date to the above port. Please use European date format (DDMMYY).

Agent: List agent used for current port.

Last Port: Fill in the last port at which the vessel called immediately before entering the U.S. EEZ.

No abbreviations please.

Country of Last Port: Fill in the last country at which the vessel called immediately before entering the U.S. EEZ.

No abbreviations please.

Next Port: Fill in the port at which the vessel will call immediately after departing the current port

("Current Port"="Arrival Port" above). No abbreviations please.

Country of Next Port: Fill in the country of "Next Port" at which the vessel will call immediately after current port. No

abbreviations please.

SECTION 3. BALLAST WATER

Total Ballast Water on Board:Volume: What was the total volume of ballast water on board upon arrival into the waters of U.S. EEZ? Do not count potable

water.Units: Please include volume units (M3, MT, LT, ST).Number of Tanks in Ballast: Count the number of ballast tanks and holds with ballast as vessel enters waters inside the

United States EEZ.

Total Ballast Water Capacity:Volume: What is the maximum volume of ballast water used when no cargo is on board?

Units: Please include volume units (in3, MT, LT, ST).Total Number of Tanks on Ship: Count all tanks and holds that can carry ballast water (do not include tanks that carry

potable water).

SECTION 4. BALLAST WATER MANAGEMENT

Total No. of tanks to be discharged: Count only tanks and holds with ballast to be discharged into waters inside the United

States EEZ or into an approved reception facility. Count all tanks and holds separately (e.g., port and starboard tanks should be

counted separately).

Of tanks to be discharged, how many Underwent Exchange: Count all tanks that are to be discharged into waters of the

United States or into an approved reception facility.

Of tanks to be discharged, how many Underwent Alternative Management: Count all tanks that are to be discharged into

waters of the United States or an approved reception facility.

Please specify alternative method(s) used, if any: Specifically, describe methods used for ballast management.

If no ballast treatment conducted, state reason why not: This applies to all tanks and holds being discharged into waters of the



United States or into an approved reception facility.

Ballast Management Plan on board?: Is there a written document on board, specific to your vessel, describing theprocedure for ballast management? This should include safety and exchange procedures (usually provided by vessel's owner oroperator). Check Yes or No.

Management Plan implemented?: Do you follow the above management plan? Check Yes or No.

IMO Ballast Water Guidelines on board?: Is there a copy of the International Maritime Organization (IMO) BallastWater Guidelines on board this vessel (i.e. "Guidelines for the Control and Management of Ship's Ballast Water toMinimize the Transfer Aquatic Organisms and Pathogens", [Res. A.868(20)])? Check Yes or No.

SECTION 5. BALLAST WATER HISTORY(Record all tanks to be deballasted in port state of arrival: If none, go to #6)

Tanks/Holds: Please list all tanks and holds that you have discharged or plan to discharge into waters of the United Statesorinto an approved reception facility (write out, or use codes listed below table). Follow each tank across the page listing allsource(s), exchange events, and/or discharge events separately. List each tank on a separate line. Port and starboard tankswith identical ballast water histories may be included on same line. Please use an additional page if necessary, being carefulto include ship name, date, and IMO number at the top of each. For tanks with multiple sources: list 3 largest sources fromlast 30 days on separate lines. If more than 3 sources, include a 4th line for the respective tank(s) that indicated "Multiple" inport column and list the remaining tank volume not included in the 3 largest sources (i.e., total tank volume minus volume ofthe 3 largest sources). See example # I on sample ballast reporting form.

-BWSOURCESDate: Record date of ballast water uptake. Use European format (DDMMvIYY).

Port or latitude/longitude: Record location of ballast water uptake, no abbreviations for ports.

Volume: Record total volume of ballast water uptake, with volume units.

Temp: Record water temperature at time of ballast water uptake, in degrees Celsius (include units).

-B WMANAGEMENT PRACTICES-Date: Date of ballast water management practice. If exchanges occurred over multiple days, list the day whenexchanges were completed. Use European format (DDMMvIYY).

Endpoint or latitude/longitude: Report location of ballast water management practice. If an exchange occurred over anextended distance, list the end point latitude and longitude.

Volume: Report total volume of ballast water moved (i.e., gravitated and pumped into tanks, discharged to reception facility)during management practice, with units.

% Exch.: (Note: for effective flow through exchange, this value should be at least 300%).

% Exchange = Total Volume added by Refill or Flow Through × (100%)Capacity of Ballast Tank or Hold

Method: Indicate management method using code (ER = empty/refill, FT = flow through, ALT = alternative method).

Sea Ht. (m): Estimate the sea height in meters at the time of the ballast water exchange if this method was used. (Note: this isthe combined height of the wind-seas and swell, and does not refer to water depth).

-BWDISCHARGES-Date: Date of ballast water discharge. Use European format (DDMMYY).

Port or latitude/longitude: Report location of ballast water discharge, no abbreviations for ports.

Volume: Report volume of ballast water discharged, with units.

Salinity: Document salinity of ballast water at the time of discharge, with units (i.e., specific gravity (sg) or partsper thousand (ppt)).

SECTION 6. TITLE AND SIGNATURE

Responsible officer's name and title (printed) and signature: Print name and title, include signature.

26687



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Where to send this form.

Vessels bound for Great Lakes: J

United States or Canadian Flag vessel bound for the Great Lakes

Fax the form to the COTP Buffalo 315-764-3283 at least 24 hours before the vessel arrives in

Montreal, Quebec.

Any other Flag vessel bound for the Great Lakes

Fax the form to the COTP Buffalo 315-764-3283 at least 24 hours before the vessel arrives inMontreal, Quebec, or;

Complete the ballast water information section of the St. Lawrence Seaway required "Pre-entryInformation from Foreign Flagged Vessels Form" and submit it in accordance with theapplicable Seaway notice.

Vessels bound for the Hudson River North Of George Washington Bridge

Vessel bound for the Hudson River north of the George Washington Bridge

Fax the form to the COTP New York at 718-354-4249 before the vessel enters the waters of theUnited States (12 miles from the baseline).

Vessels bound for all other United States Ports

Vessel bound for all ports within the waters of the United States other than the GreatLakes or Hudson River north of the George Washington Bridge

Before the vessel departs from the first port of call in the waters of the United States send theform by one of the three following methods:

" Mail the form to the U.S. Coast Guard, c/o Smithsonian Environmental ResearchCenter (SERC), P.O. Box 28, Edgewater, MD 21037-0028;

• Transmit the form electronically to the National Ballast Information Clearinghouse(NBIC) at www.serc.si.edu\invasions\ballast.htm); or

* Fax the form to the Commandant, U.S. Coast Guard, c/o the NBIC at 301-261-4319.

If any information changes, send an amended form before the vesseldeparts the waters of the United States.

26689


Documents

(,1 2 1/,1(...On November 27, 1997, the IMO Marine Environmental Protection Committee (MEPC) adopted Resolution A.868(20), "Guidelines for the Control and Management of Ships' Ballast