[Federal Register Volume 68, Number 3 (Monday, January 6, 2003)]
[Proposed Rules]
[Pages 523-530]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 03-100]


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DEPARTMENT OF TRANSPORTATION

Coast Guard

33 CFR Part 151

[USCG-2002-13147]
RIN 2115-AG50


Penalties for Non-submission of Ballast Water Management Reports

AGENCY: Coast Guard, DOT.

ACTION: Notice of proposed rulemaking.

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

[[Page 524]]

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

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

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

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

SUPPLEMENTARY INFORMATION:

Request for Comments

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

Public Meeting

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

Background and Purpose

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

Related Projects

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

[[Page 525]]

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

Discussion of Proposed Rule

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

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


[[Page 526]]


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

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

Regulatory Evaluation

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

Small Entities

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

Assistance for Small Entities

    Under section 213(a) of the Small Business Regulatory Enforcement 
Fairness Act of 1996 (Public Law 104-121), we want to assist small 
entities in understanding this proposed rule so that they can better 
evaluate its effects on them and participate in the rulemaking. If the 
rule would affect your small business, organization, or governmental 
jurisdiction and you have questions concerning its provisions or 
options for compliance, please consult Lieutenant Commander Mary Pat 
McKeown at 202-267-0500.
    Small businesses may send comments on the actions of Federal 
employees who enforce, or otherwise determine compliance with, Federal 
regulations to the Small Business and Agriculture Regulatory 
Enforcement Ombudsman and the Regional Small Business Regulatory 
Fairness Boards. The Ombudsman evaluates these actions annually and 
rates each agency's responsiveness to small business. If you wish to 
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR 
(1-888-734-3247).

Collection of Information

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

[[Page 527]]

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

Federalism

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

Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538) 
requires Federal agencies to assess the effects of their discretionary 
regulatory actions. In particular, the Act addresses actions that may 
result in the expenditure by a State, local, or tribal government, in 
the aggregate, or by the private sector of $100,000,000 or more in any 
one year. Though this proposed rule would not result in such an 
expenditure, we do discuss the effects of this rule elsewhere in this 
preamble.

Taking of Private Property

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

Civil Justice Reform

    This proposed rule meets applicable standards in sections 3(a) and 
3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize 
litigation, eliminate ambiguity, and reduce burden.

Protection of Children

    We have analyzed this proposed rule under Executive Order 13045, 
Protection of Children from Environmental Health Risks and Safety 
Risks. This rule is not an economically significant rule and would not 
create an environmental risk to health or risk to safety that might 
disproportionately affect children.

Indian Tribal Governments

    This proposed rule does not have tribal implications under 
Executive Order 13175, Consultation and Coordination with Indian Tribal 
Governments, because it would not have a substantial direct effect on 
one or more Indian tribes, on the relationship between the Federal 
Government and Indian tribes, or on the distribution of power and 
responsibilities between the Federal Government and Indian tribes.

Energy Effects

    We have analyzed this proposed rule under Executive Order 13211, 
Actions Concerning Regulations That Significantly Affect Energy Supply, 
Distribution, or Use. We have determined that it is not a ``significant 
energy action'' under that order because it is not likely to have a 
significant adverse effect on the supply, distribution, or use of 
energy. It has not been designated by the Administrator of the Office 
of Information and Regulatory Affairs as a significant energy action. 
Therefore, it does not require a Statement of Energy Effects under 
Executive Order 13211.

Environment

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

[[Page 528]]

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

List of Subjects in 33 CFR Part 151

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

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

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

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

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

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

    2. Add Sec.  151.1518 to read as follows:


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

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

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

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

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


Sec.  151.2005  To which vessels does this subpart apply?

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


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

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


Sec.  151.2010  [Amended]

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


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

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


Sec.  151.2015  [Amended]

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


Sec.  151.2025  [Revised]

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


Sec.  151.2025  What definitions apply to this subpart?

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


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

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

[[Page 529]]

Sec.  151.2041  [Redesignated]

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


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

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


Sec.  151.2043  [Amended]

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


Sec.  151.2045  [Amended]

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

Where To Send This Form

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


[[Page 530]]


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

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

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