Draft for public review with First federal Register Notice—Has not been submitted to 

OMB August 2015 

NOTE: This draft supporting statement for the First Federal Register 

Notice (August 2015) uses the estimates for the current approved 

Information Collection (EPA ICR Number 1791.07). EPA will revise the 

estimates prior to OMB submission with the Second Federal Register 

Notice. The public will have a second opportunity to comment at that 

time.

THE INFORMATION COLLECTION REQUEST (ICR)

SUPPORTING STATEMENT

Establishing No-discharge Zones (NDZs)

under Clean Water Act §312 (Renewal)

EPA ICR Number 1791.07, OMB Control Number 2040-0187

Prepared by

Environmental Protection Agency

Oceans and Coastal Protection Division

Washington, D.C.

Published Draft

August 2015

Prepared by Oceans and Coastal Protection Division of the Office of Wetlands, Oceans, 

and Watersheds
Draft for public review with First federal Register Notice—Has not been submitted to 

OMB August 2015 
Draft for public review with First federal Register Notice—Has not been submitted to 

OMB August 2015 

i

TABLE OF CONTENTS

Part A Introduction .................................................................................................................1

Organization of Information Collection Request Statement ....................................................1

Approach Taken in this Information Collection Request Statement....................................... 2

CHAPTER I

Chapter I Supporting Statement for the Establishment of No-discharge Zones for 

Discharges Incidental to the Normal Operation of Armed Forces Vessels under CWA 

Section 312(n)...................................................................................................................... 3

SECTION 1: Identification of the Information Collection ...................................................... 3

1(a): Title of the Information Collection............................................................................... 3

1(b): Short Characterization/Abstract ................................................................................. 3

SECTION 2: Need for and Use of the Collection ............................................................... 3

2(a): Need/Authority for the Collection .............................................................................. 3

2(b): Practical Utility/Users of the Data............................................................................. 4

SECTION 3: Non-duplication, Public Notice, Consultations, and Other Collection Criteria . 5

3(a): Non-duplication .......................................................................................................... 5

3(b): Public Notice Required Prior to ICR Submission to OMB ......................................... 5

3(c): Consultations ............................................................................................................ 5

3(d): Effects of Less Frequent Collection ........................................................................... 5

3(e): General Guidelines .................................................................................................... 5

3(f): Confidentiality.............................................................................................................. 6

3(g): Sensitive Questions.................................................................................................... 6
Draft for public review with First federal Register Notice—Has not been submitted to 

OMB August 2015 

ii

SECTION 4: The Respondents and the Information Requested ......................................... 6

4(a): Respondents/SIC Codes........................................................................................... 6

4(b): Information Requested ............................................................................................... 6

SECTION 5: The Information Collected–Agency Activities, Collection Methodology, and 

Information Management....................................................................................................... 8

5(a): Agency Activities........................................................................................................ 8

5(b): Collection Methodology and Management................................................................ 10

5(c): Small Entity Flexibility .............................................................................................. 10

5(d): Collection Schedule ................................................................................................. 10

SECTION 6: Estimating the Burden and Costs of the Collection....................................... 11

6(a): Estimating Respondent Burden................................................................................. 11

6(b): Estimating Respondent Costs ................................................................................... 11

6(c): Estimating Agency (EPA) Burden and Cost .............................................................13

6(d): Bottom Line Burden Hours and Cost Tables ............................................................14

6(e): Burden Statement .....................................................................................................14

CHAPTER II

Chapter II Supporting Statement for the Establishment of No-discharge Zones for Vessel 

Sewage under CWA Section 312(f)(3) and 312(f)(4)(A) and (B) ...................................24

SECTION 1: Identification of the Information Collection ....................................................24

1(a): Title of the Information Collection.............................................................................24

1(b): Short Characterization/Abstract ...............................................................................24
Draft for public review with First federal Register Notice—Has not been submitted to 

OMB August 2015 

iii

SECTION 2: Need for and Use of the Collection .............................................................24

2(a): Need/Authority for the Collection ............................................................................24

2(b): Practical Utility/Users of the Data...........................................................................26

SECTION 3: Non-duplication, Public Notice, Consultations, and Other Collection Criteria27

3(a): Non-duplication ........................................................................................................27

3(b): Public Notice Required Prior to ICR Submission to OMB .......................................28

3(c): Consultations (Not applicable) .................................................................................29

3(d): Effects of Less Frequent Collection .........................................................................29

3(e): General Guidelines ..................................................................................................29

3(f): Confidentiality............................................................................................................29

3(g): Sensitive Questions..................................................................................................29

SECTION 4: The Respondents and the Information Requested .......................................29

4(a): Respondents/SIC Codes.........................................................................................30

4(b): Information Requested .............................................................................................30

SECTION 5: The Information Collected–Agency Activities, Collection Methodology, and 

Information Management.....................................................................................................32

5(a): Agency Activities......................................................................................................32

5(b): Collection Methodology and Management................................................................33

5(c): Small Entity Flexibility ..............................................................................................34

5(d): Collection Schedule .................................................................................................34

SECTION 6: Estimating the Burden and Costs of the Collection......................................34

6(a): Estimating Respondent Burden................................................................................35

6(b): Estimating Respondent Costs ..................................................................................36

6(c): Estimating Agency (EPA) Burden and Cost ............................................................38

6(d): Bottom Line Burden Hours and Cost Tables ...........................................................40
Draft for public review with First federal Register Notice—Has not been submitted to 

OMB August 2015 

iv

6(e): Burden Statement ....................................................................................................40
TABLE OF CONTENTS (Cont'd.)

v

TABLES

Table 1 Establishment of No-discharge Zone by State Prohibition, Respondent (State 

Agency) Burden Hours and Costs [40 CFR § 1700.9] .....................................................16

Table 2 Establishment of No-discharge Zone by EPA Prohibition, Respondent (State 

Agency) Burden Hours and Costs [40 CFR § 1700.10]....................................................17

Table 3 Petition for Review, Respondent (State Agency) Burden Hours and Costs [40 

CFR § 1700.12] ..................................................................................................................18

Table 4 Establishment of No-discharge Zone by State Prohibition, Agency (EPA) Burden 

Hours and Costs [40 CFR § 1700.9] ................................................................................19

Table 5 Establishment of No-discharge Zone by EPA Prohibition, Agency (EPA) Burden 

Hours and Costs [40 CFR § 1700.10]..............................................................................20

Table 6 Petition for Review, Agency (EPA) Burden Hours and Costs [40 CFR §

1700.12]..............................................................................................................................21

Table 7 Total Estimated Respondent (State Agency) Burden and Cost Summary...........22

Table 8 Total Estimated Agency (EPA) Burden and Cost Summary................................23

Table 9 State No-discharge Zone Applications under 40 CFR 140.4(a) .........................43

Table 10 No-discharge Zone Application Review by EPA under 40 CFR 140.4(a).........45
TABLE OF CONTENTS (Cont'd.)

vi

Table 11 State No-discharge Zone Applications under 40 CFR 140.4(b) ........................47

Table 12 No-discharge Zone Application Review by EPA under 40 CFR 140.4(b).........49

Table 13 State No-discharge Zone Applications under 40 CFR 140.4(c).........................51

Table 14 No-discharge Zone Application Review by EPA under 40 CFR 140.4(c) .........53

Table 15 Total Estimated Respondent (State Agency) Burden and Cost Summary for 

Establishing NDZs for Vessel Sewage................................................................................55

Table 16 Total Estimated Agency (EPA) Burden and Cost Summary for Establishing 

NDZs for Vessel Sewage....................................................................................................56
TABLE OF CONTENTS (Cont'd.)

vii

ATTACHMENTS

Attachment A: Summary Table for Information Collection under CWA Section 312

Attachment B: 40 CFR 1700 (Uniform National Discharge Standards for Vessels of the 

Armed Forces 

Attachment C: CWA Section 312 (Marine Sanitation Devices)

Attachment D: 40 CFR 140 (Marine Sanitation Device Standard)
1

ESTABLISHING NO-DISCHARGE ZONES (NDZs)

UNDER CLEAN WATER ACT SECTION 312 (Renewal)

ICR # 1791.06

OMB Control # 2040-0187 

PART A

Introduction

This document responds to the requirements of the Paperwork Reduction Act. The 

purposes of the Paperwork Reduction Act of 1980 (P. L. 96-511) and implementing 

regulations (44 U.S.C. Chapter 35) are to: 1) minimize the Federal paperwork burden for 

small businesses, State and local governments, and other individuals; 2) minimize the 

Federal government's cost of collecting, maintaining, using, and disseminating information; 

and 3) maximize the usefulness of information collected by Federal agencies. 

This application is made by the Oceans and Coastal Protection Division in the Office of 

Water, U.S. Environmental Protection Agency (EPA). As will be demonstrated in this 

application, the proposed information collection activities are accomplished by the least

burdensome and costly means; are not duplicated by other sources; and are pivotal to 

EPA's responsibilities in establishing No-discharge Zones (NDZs) for treated or untreated 

vessel sewage discharges and for discharges incidental to the normal operation of Armed 

Forces vessels under Clean Water Act (CWA) section 312.
2

Organization of Information Collection Request Statement

This document follows the format for Information Collection Requests (ICR) outlined in the 

Information Collection Review Handbook (Office of Management and Budget, 1989) and 

the Instructions for Standard Form 83 (revised version dated September 1983). No 

exceptions to this format are taken. Those topics identified in the Information Collection 

Review Handbook, which are not relevant to this application, are noted and the basis for 

this determination stated. EPA's Information Resources Management Policy Manual (July 

1987), Regulation Development in EPA (September 1992), and EPA's Instructions for 

Preparing Information Collection Requests (June 1992) also guided the development of 

this document. This document updates the previous ICR supporting document developed 

in 2008, Establishing No-discharge Zones (NDZs) under the Clean Water Act §312.

Approach Taken in this Information Collection Request

This ICR analysis activity associated with NDZ designations for vessel sewage and for 

incidental discharges from Armed Forces vessels. It addresses these activities separately 

in Chapters I and II. The term NDZ will be used to refer to the designation as it pertains 

to that chapter. For example, NDZs discussed in Chapter I refer to designations that 

prohibit the incidental discharges from Armed Forces vessels, and NDZs in Chapter II refer 

to those areas where the discharge of vessel sewage is prohibited.

Some of the information collection and record keeping requirements under this program are 

"borderline" relative to the requirements to prepare and submit an ICR as defined in the 

Information Collection Review Handbook. However, a conservative approach (i.e., 
3

overstate potential burden and costs) has been taken throughout this analysis, and all 

information collection and record keeping requirements associated with establishing NDZs 

have been described, regardless of the magnitude of the burden. 

This ICR was developed based on program office knowledge of the process, a review of 

selected NDZ applications similar to those being called for under this ICR, a review of 

EPA's guidance on establishing NDZs under §312 of the Clean Water Act, a review of the 

literature on vessel discharge, and interviews with Federal and local officials working on 

vessel discharge issues.
4

Chapter I. Supporting Statement for the Establishment of Nodischarge Zones for Discharges Incidental to the Normal Operation of

Armed Forces Vessels under CWA Section 312(n) (Renewal).

SECTION 1: Identification of the Information Collection

1(a): Title of the Information Collection

Establishing No-Discharge Zones Under Clean Water Act §312 (Renewal)

1(b): Short Characterization/Abstract

Section 312(n) of the Clean Water Act (“Uniform National Discharge Standards for Vessels 

of the Armed Forces” or “UNDS”) calls for the promulgation of standards and regulations 

for the control of discharges (other than sewage) incidental to the normal operation of 

Armed Forces vessels. Once such regulations have been promulgated, States and their 

political subdivisions will be pre-empted from adopting or enforcing any of their own 

statutes or regulations regarding these discharges. However, No-discharge Zones 

(“NDZs”) may be established by either State prohibition or EPA prohibition following the 

procedures in proposed 40 CFR Part 139. The purpose of this chapter of the ICR is to 

discuss the information that will be required from a State if it decides to establish an NDZ 

by State prohibition or apply for an NDZ by EPA prohibition.
5

UNDS also provides that the Governor of any State may petition EPA and the Secretary of 

Defense to review any determination or standard promulgated under the UNDS program if 

there is significant new information that could reasonably result in a change to the 

determination or standard. This chapter of the ICR also discusses the information that will 

be required from a State if it decides to submit such a petition.

SECTION 2: Need for and Use of the Collection

2(a): Need/Authority for the Collection

1) NDZ by State Prohibition: In order for a State to prohibit a discharge incidental to the 

normal operation of an Armed Forces vessel, EPA must make the following determinations: 

I) that adequate facilities for the safe and sanitary removal of the discharge are reasonably 

available for the waters to which the prohibition would apply; and ii) that the prohibition will 

not have the effect of discriminating against a vessel of the Armed Forces by reason of 

the ownership or operation by the Federal Government, or the military function, of the 

vessel (see CWA section 312(n)(7)(A), 33 USC 1322(n)(7)(A)). The State must 

provide EPA enough information to be able to make those determinations. The specific 

information being requested is listed in 40 CFR 1700.9(a). 

2) NDZ by EPA Prohibition: In order for EPA to prohibit a discharge incidental to the 

normal operation of an Armed Forces vessel (upon application of a State), EPA must 

make the following determinations: I) that the protection and enhancement of the quality of 
6

the specified waters require a prohibition of the discharge; ii) that adequate facilities for 

the safe and sanitary removal of the discharge are reasonably available for the waters to 

which the prohibition would apply; and iii) that the prohibition will not have the effect of 

discriminating against a vessel of the Armed Forces by reason of the ownership or 

operation by the Federal Government, or the military function, of the vessel (see CWA 

section 312(n)(7)(B), 33 USC 1322(n)(7)(B)). The State must provide EPA enough 

information to be able to make those determinations. The specific information being 

requested is listed in proposed 40 CFR 1700.10(a).

3) Petition for review: A State may request that EPA and the Secretary of Defense 

review i) a determination of whether an UNDS discharge will require a control, or ii) a 

standard of performance for a control on an UNDS discharge, by submitting a petition 

which discusses significant new scientific and technical information that could reasonably 

result in a change to the determination or standard (see CWA section 312(n)(5)(D), 33 

USC 1322(n)(5)(D)). The State must provide EPA this information and a discussion of 

how the information is relevant to one or more of the seven factors which EPA and the 

Secretary of Defense are required to consider in making these determinations and 

standards (see CWA section 312(n)(2)(B), 33 USC 1322(n)(2)(B)). These 

requirements are listed in proposed 40 CFR 1700.12 (see Attachment B).

2(b): Practical Utility/Users of the Data

1) NDZ by State Prohibition: The information requested from the State will be used by 
7

EPA to make the determinations it is required to make by law in order for a State 

prohibition to go into effect.

2) NDZ by EPA Prohibition: The information requested from the State will be used by 

EPA to make the determinations it is required to make by law in order to establish an 

NDZ.

3) Petition for review: The information requested from the State will be used by EPA and 

the Secretary of Defense in order to review any determinations and standards promulgated 

under UNDS. 

SECTION 3: Non-duplication, Public Notice, Consultations, and Other Collection Criteria

3(a): Non-duplication

1) NDZ by State Prohibition: EPA is responsible for two determinations necessary for an 

NDZ by State prohibition to be effective under CWA section 312(n)(7)(A). There is no 

duplication of effort in the NDZ application process.

2) NDZ by EPA Prohibition: EPA is responsible for the approval of an NDZ by EPA 

prohibition under CWA section 312(n)(7)(B). There is no duplication of effort in the NDZ 

application process.

3) Petition for review: EPA and the Secretary of Defense are responsible for reviewing 
8

determinations and standards upon petition by a State. There is no duplication of effort in 

the Petition for review process.

3(b): Public Notice Required Prior to ICR Submission to OMB

The announcement of this ICR was made in the Federal Register on 07/29/2011, 76 FR

45553 under EPA-HQ-OW-2008-0150. It was titled “Agency Information Collection 

Activities; Proposed Collection; Comment Request; Establishing No-Discharge Zones Under 

Clean Water Act Section 312 (Renwal); EPA ICR No. 1791.06; OMB Control No. 2040-

0187.” EPA received 0 comments on this notice.

3(c): Consultations 

Three representatives of state environmental offices were contacted by EPA in October of 

2011 and asked to provide comments on EPA’s burden estimate (see section 6(e)): Todd 

Callaghan (Massachusetts Office of Coastal Zone Management, 617-626-1233); Renan 

Jauregui (California State Water Resources Control Board - Division of Water Quality, 

916-341-5505); and Jeff Myers (Director of the New York Bureau of Water Assessment 

and Management 518- 402-8179). The three respondents had no comment on 312(n) 

NDZs.

 

3(d): Effects of Less Frequent Collection

The information collection requirements related to the NDZ application process described in 
9

this chapter of the ICR, and the Petition for review are submitted on a one-time basis. 

Reductions below this level are not feasible.

3(e): General Guidelines

The information collection activities discussed in this chapter of the ICR are fully consistent 

with all guidelines in 5 CFR 1320.5(d)(2).

3(f): Confidentiality

The information collection activities discussed in this chapter of the ICR do not require the 

submission of any confidential information.

3(g): Sensitive Questions

The information collection activities discussed in this chapter of the ICR do not require the 

submission of any sensitive information.

SECTION 4: The Respondents and the Information Requested

4(a): Respondents/SIC Codes
10

State governments (SIC code 9511, NAICS code 924110) are the only respondents to the 

data collection activities described in this chapter of the ICR.

4(b): Information Requested

No-discharge Zone (NDZ) by State Prohibition under Section 1700.9

(I) Data Items

• Identification of discharge

• Definition of waters in proposed NDZ

• Determination of necessity for greater environmental protection

• Description of discharge removal facilities

• Information on regulation of this discharge from non-Armed Forces vessels

(ii) Respondent Activities

For the establishment of an NDZ by State Prohibition, a State must: 

• Submit to EPA a certification that it has determined that the protection and 

enhancement of the quality of the proposed waters require greater environmental 

protection, and 

• Submit to EPA a request with enough information for EPA to determine that: (1) 

adequate facilities for the safe and sanitary removal of the discharge are 

reasonably available for the waters to which the prohibition would apply; and (2) 

the prohibition will not have the effect of discriminating against Armed Forces 

vessels by reason of the ownership or operation by the Federal Government, or 
11

the military function, of the vessel.

No-discharge Zone (NDZ) by EPA Prohibition under Section 1700.10

(I) Data Items

• Identification of discharge

• Definition of waters in proposed NDZ

• Technical analysis showing why protection requires a prohibition of the discharge

• Description of discharge removal facilities

• Information on regulation of this discharge from non-Armed Forces vessels

(ii) Respondent Activities

For the establishment of an NDZ by EPA Prohibition, a State must:

• Submit an application to EPA with enough information for EPA to determine that: 

(1) the protection and enhancement of the quality of the proposed waters require 

a prohibition of the discharge; 

(2) adequate facilities for the safe and sanitary removal of the discharge are 

reasonably available for the waters to which the prohibition would apply; and 

(3) the prohibition will not have the effect of discriminating against Armed Forces 

vessels by reason of the ownership or operation by the Federal Government, 

or the military function, of the vessel.

Petition for Review under Sections 1700.11 - 1700.13

(I) Data Items
12

• Identification of discharge or standard

• Scientific and technical information on which petition is based

• An explanation of why the State believes that consideration of the information 

provided should result in a change to the determination or standard on a

nationwide basis, and an explanation of how the technical information provided is 

relevant to one or more of the seven factors considered in making the original 

determination or standard as required by the statute (CWA 312(n)(2)(B))

(ii) Respondent Activities

If a State believes there is significant new information that could reasonably result in a 

change to a determination of whether a particular discharge will require a marine pollution 

control device, or to a Federal standard of performance for a Marine Pollution Control 

Device, it may submit a petition requesting that the Secretary of Defense and EPA review 

the determination or standard.

SECTION 5: The Information Collected -- Agency Activities, Collection Methodology and 

Information Management

5(a): Agency Activities

No-discharge Zone (NDZ) by State Prohibition under Section 1700.9

Agency activities associated with a request by a State to establish an NDZ by State 
13

Prohibition consist of the following:

• Clarify any questions from State applicants

• Review the information in the request and determine whether: 

(1) adequate facilities for the safe and sanitary removal of the discharge are 

reasonably available for the waters to which the prohibition would apply; and 

(2) the prohibition will not have the effect of discriminating against Armed 

Forces vessels by reason of the ownership or operation by the Federal 

Government, or the military function, of the vessel

• Notify the State in writing of the above determinations

• Copy, store, file and maintain the State’s request and EPA’s response letter

No-discharge Zone (NDZ) by EPA Prohibition under Section 1700.10

Agency activities associated with an application from a State to establish an NDZ by EPA 

Prohibition consist of the following:

• Clarify any questions from State applicants

• Review the information in the application and determine whether:

(1) the protection and enhancement of the quality of the proposed waters require 

a prohibition of the discharge; 

(2) adequate facilities for the safe and sanitary removal of the discharge are 

reasonably available for the waters to which the prohibition would apply; and 

(3) the prohibition will have the effect of discriminating against Armed Forces 

vessels by reason of the ownership or operation by the Federal Government, 

or the military function, of the vessel.
14

• Notify the State in writing whether the application for the NDZ was approved

• If the application is approved, publish notice of proposed rulemaking in the 

Federal Register, receive and review public comments, then issue a final 

determination taking into account any comments submitted

• Copy, store, file and maintain the State’s request and EPA’s response letter

Petition for Review under Sections 1700.11 - 1700.13

Agency activities (in conjunction with the Secretary of Defense) associated with an 

application from a State to review a determination or standard consist of the following:

• Clarify any questions from State applicants

• Review petition and decide whether the requested change will be made within 

two years after receiving the complete petition

• If the change requested in the petition is approved, publish notice of proposed 

rulemaking in the Federal Register, receive and review public comments, then 

issue a final determination taking into account any comments submitted

• If the change requested in the petition is not approved, notify the State of the 

reasons in writing

• Copy, store, file and maintain the State’s request and EPA’s response letter

5(b): Collection Methodology and Management

The information described in this chapter of the ICR will be given to EPA by States in the 
15

form of a request letter, application, or petition. EPA will ensure the accuracy and 

completeness of this information by reviewing each submittal. This information will be 

made available to the public when necessary for rulemaking through the Federal Register.

5(c): Small Entity Flexibility

The only possible respondents to the activities described in this chapter of the ICR are 

States. Therefore, there are no small entities affected.

5(d): Collection Schedule:

No-discharge Zone (NDZ) by State Prohibition under Section 1700.9

EPA expects very few requests for NDZs by State prohibition because the discharges 

which will be regulated by this rulemaking are not currently regulated by most States. This 

is not a reporting requirement, nor are there any deadlines associated with these requests. 

If a State determines that it would like to establish an NDZ by State prohibition, it is 

required by statute to secure two determinations by EPA, and this chapter of the ICR 

specifies the information EPA requires in order to make those determinations. EPA is 

estimating four requests per year.

No-discharge Zone (NDZ) by EPA Prohibition under Section 1700.10

EPA expects very few applications for NDZs by EPA prohibition because the discharges 

which will be regulated by this rulemaking are not currently regulated by most States and 
16

because this process is more complex than establishing an NDZ by State prohibition. This 

is not a reporting requirement, nor are there any deadlines associated with these requests. 

If a State determines that it would like EPA to establish an NDZ by EPA prohibition, EPA 

is required by statute to make three determinations before doing so, and this chapter of 

the ICR specifies the information EPA requires in order to make those determinations. 

EPA is estimating one application per year.

Petition for Review under Sections 1700.11 - 1700.13

EPA expects few petitions for review of determinations of whether a discharge incidental to 

the normal operation of an Armed Forces vessel requires control, or of standards of 

performance for Marine Pollution Control Devices. Such petitions may only be used by a 

State if there is significant new information, not considered previously, that could 

reasonably result in a change to a particular determination or standard. This is not a 

reporting requirement, nor are there any deadlines associated with these petitions. This 

chapter of the ICR specifies the information EPA requires in order to consider such a 

petition. EPA is estimating one petition per year.

SECTION 6: Estimating the Burden and Cost of the Collection

Burden and cost estimates are in Tables 1 to 8, at the end of this section. The text in 

this section explains how these estimates were derived.
17

6(a): Estimating Respondent Burden

Respondent labor burden hours listed in Tables 1 to 3 are primarily based on data and 

assumptions presented in EPA’s 2005 ICR analysis for Clean Water Act section 312 

mandates. Where necessary, the level-of-effort determinations in the 2008 ICR were 

adjusted to correspond to the specific new information collection requirements resulting 

from the requirements of §§ 1700.9, 1700.10, and 1700.12. All of the level-of-effort 

estimates presented in Tables 1 to 3 have been reviewed for accuracy and reasonableness 

by EPA.

6(b): Estimating Respondent Costs

(I) Estimating Labor Costs

All labor cost-rate data used in Tables 1 to 3 were obtained from the U.S. Bureau of 

Labor Statistics (BLS) Compensation Cost Trends webpage published for March of 2011 

(http://www.bls.gov/news.release/ecec.t04.htm) estimating the salaries for state and 

local government employees.

Table 4 of the BLS report (http://www.bls.gov/news.release/ecec.t04.htm March, 

2011) contains employee compensation data for State and Local Government Employers. 

The labor rates for respondent management, technical, and clerical personnel in Tables 1 

to 3 of the ICR were obtained from the “White-Collar Occupations” category.
18

BLS Report (Table 4) 

White-Collar Job 

Classification Titles

ICR Respondent Job 

Classification Titles Used 

in ICR Tables 1 - 3

Corresponding Labor 

Compensation (hourly rate) 

from BLS Report

Executive, administrative, 

and managerial

Management $49.19

Professional specialty and 

technical

Technical $48.28

Administrative support 

including clerical

Clerical $28.28

The above labor rate data are “fully burdened” and include wages/salaries and benefits. 

The BLS report provides a breakdown of benefit costs, which includes paid leave, 

supplemental pay, insurance, retirement, and legally required benefit. Only fully burdened 

BLS labor cost data (i.e., total compensation) are used in the analysis described in this 

chapter of the ICR.

(ii) Estimating Capital and Operations and Maintenance (O&M) Costs

There are no predicted respondent capital or start-up costs associated with the activities 

described in this chapter of the ICR.

Nonlabor O&M includes only costs for photocopying, postage, telephone charges, and 
19

similar expenses. Item 1b of ICR Tables 1 to 3, Clarify Questions with EPA, is assumed 

to be exclusively telephone and facsimile machine expenses. Other O&M expenses listed 

in Tables 1 to 3 (i.e., under Items 3, 5, and 6) are predominantly photocopy, postage, 

and related paperwork distribution expenses.

6(c): Estimating Agency (EPA) Burden and Cost

EPA labor burden hours listed in Tables 4 to 6 are primarily based on data and 

assumptions presented in EPA’s 2008 ICR analysis for Clean Water Act section 312 

mandates [specifically, information collection effort under for CWA sections 312(f)(3), 

(f)(4)(A) and (f)(4)(B)]. Where necessary, the level-of-effort determinations in the 2008 

ICR were adjusted to correspond to the specific new information collection requirements 

resulting from the requirements of §§1700.9, 1700.10, and 1700.12. All of the level-ofeffort estimations presented in Tables 4 to 6 have been reviewed for accuracy and 

reasonableness by EPA.

Agency labor costs data associated with this chapter of the ICR were obtained using pay 

scale rates for GS-9, GS-12, and GS-14 employees. The 2011 General Schedule Locality 

Pay Tables can be found at http://www.opm.gov/oca/08tables/html/dcb.asp. The 

salary scales contained in the table were effective January 2011.

Step 1 of the GS salaries was used in this chapter of the ICR analysis. The annual GS 

salary rates were converted to hourly rates according to instructions in Section 6(c) of the 
20

EPA ICR Handbook (12/96 version). Total salaries were divided by 2,080, which 

represent the average number of hours work in a calendar year, and then multiplied by a 

factor of 1.6. The multiplier represents the benefits multiplication factor. The result is the 

true hourly cost to the Federal government to employ a Federal worker for one hour. 

These calculated hourly rates are used in Tables 4 to 6 of the ICR.

ICR Agency Job 

Classification Title 

Used in ICR 

Tables 4 - 6

January 2011 

Annual GS Salary 

(Step 1)

Work Hours 

Per Year 

Factor

Benefits 

Factor

Calculated 

Hourly Rate 

Used in

Tables 4 - 6

Management GS-14, $105,211  2,080  1.6 $ 80.93/hr

Technical GS-12, $74,872  2,080  1.6 $ 57.59/hr 

Clerical GS-9, $51,630  2,080  1.6 $ 39.72/hr 

6(d): Bottom Line Burden Hours and Cost Tables

Total estimated burdens of associated with the requirements under §§ 1700.9, §1700.10, 

and §1700.12 to the State Agency respondents and to EPA are summarized in Tables 7 

and 8, respectively. The data contained in both of these tables are transcribed from 

Tables 1 to 6. 
21

Bottom line Respondent (State Agency) Estimated Burden and Cost Summary for 312(n) (from 

table 7)

Number of 

Respondents 

Per Year

Number of 

Activities

Per Year

Total 

Hours Per 

Year

Total Labor 

Cost Per 

Year ($)

Total Cost 

Per Year ($)

Total Annual 

O&M Costs ($)

TOTAL 6 6 957 $43,740.26 $44,640.26 $900

Bottom line EPA Estimated Burden and Cost Summary for 312(n) (from table 8)

Number of 

Respondents 

Per Year

Number of 

Activities

Per Year

Total 

Hours Per 

Year

Total Labor 

Cost Per 

Year ($)

Total Cost 

Per Year ($)

Total Annual 

O&M Costs ($)

TOTAL 6 6 173 $10,386.83 $10,746.83 $360

6(e): Burden Statement

The annual public reporting and recordkeeping burden for this collection of information is 

estimated to average 160 hours per response (957 hours/6.) The combined annual public 

reporting and recordkeeping burden for this entire Information Collection Request is 

estimated to average 142 hours per response (2266 hours/16). Burden means the total 

time, effort, or financial resources expended by persons to generate, maintain, retain, or 

disclose or provide information to or for a Federal agency. This includes the time needed 

to review instructions; develop, acquire, install, and utilize technology and systems for the 

purposes of collecting, validating, and verifying information, processing and maintaining 

information, and disclosing and providing information; adjust the existing ways to comply 

with any previously applicable instructions and requirements; train personnel to be able to 
22

respond to a collection of information; search data sources; complete and review the 

collection of information; and transmit or otherwise disclose the information. An agency 

may not conduct or sponsor, and a person is not required to respond to, a collection of 

information unless it displays a currently valid OMB control number. The OMB control 

numbers for EPA's regulations are listed in 40 CFR part 9 and 48 CFR chapter 15. 

To comment on the Agency's need for this information, the accuracy of the 

provided burden estimates, and any suggested methods for minimizing respondent burden, 

including the use of automated collection techniques, EPA has established a public docket 

for this ICR under Docket ID No. EPA-HQ-OW-2008-0150,, which is available for online 

viewing at www.regulations.gov, or in person viewing at the Water Docket in the EPA 

Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Ave., NW, 

Washington, DC. The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 

4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number for 

the Reading Room is (202) 566-1744, and the telephone number for the Water Docket is

(202) 566-2426. An electronic version of the public docket is available at 

www.regulations.gov. This site can be used to submit or view public comments, access 

the index listing of the contents of the public docket, and to access those documents in 

the public docket that are available electronically. When in the system, select “search,” 

then key in the Docket ID Number identified above. Also, you can send comments to the 

Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th 

Street, NW, Washington, D.C. 20503, Attention: Desk Officer for EPA. Please include the 

EPA Docket ID EPA-HQ-OW-2008-0150, and OMB control number 2040-0187 in any 
23

correspondence. 
24

Table 1. Establishment of No-discharge Zone by State Prohibition, Respondent (State Agency) Burden Hours and Costs [40 CFR § 

1700.9]

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

$49.19/hr

Technical

$48.28/hr

Clerical

$28.28/hr

Capital/

Startup

Cost ($)

O & M

Cost ($)*

Number 

Respon.

(N = 4)

Total 

Hours/

Year

Total Cost/

Year ($)

1. Request Preparation

a. Read regulations; review guidance 

document; plan strategy

3.00 20.00 4 92.00 $4,452.68

b. Clarify questions with EPA 3.00 50 4 12.00 $779.36

2. Gather Information

a. Identification of discharge 0.25 4 1.00 $48.28

b. Definition of waters in NDZ 1.00 4 4.00 $193.12

c. Determination of necessity for greater 

environmental protection

5.00 4 20.00 $965.50

d. Description of discharge removal facilities 1.25 9.00 4 41.00 $1,984.03

e. Information on regulation of this discharge 

from non-Armed Forces vessels

2.75 4 11.00 $531.08

3. Create Information (analyze data and 

compile/write Request Letter)

8.00 59.00 10.00 40 4 308.00 $14,259.36

4. Review information 8.00 32.00 8.00 4 192.00 $8,658.88

5. Complete paperwork (e.g., Request 

Letter)

3.00 3.00 10 4 24.00 $969.64

6. Copy, store, file, and maintain information 3.00 50 4 12.00 $539.36

Subtotal (hours and costs) 23.25 132.00 24.00 0.00 150.00 4 717.00 $33,381.39

* O&M costs include photocopying, postage, telephone, etc.
25

Table 2. Establishment of No-discharge Zone by EPA Prohibition, Respondent (State Agency) Burden Hours and Costs [40 CFR 

§1700.10]

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

$49.19/hr

Technical

$48.28/hr

Clerical

$28.28/hr

Capital/

Startup

Cost ($)

O & M

Cost ($)*

Number 

Respon.

(N = 1)

Total 

Hours/

Year

Total Cost/

Year ($)

Request Preparation

a. Read regulations; review guidance 

document; plan strategy

3.00 20.00 1 23.00 $1,113.17

b. Clarify questions with EPA 3.00 $50.00 1 3.00 $194.84

2. Gather Information

a. Identification of discharge 0.25 1 0.25 $12.07

b. Definition of waters in NDZ 1.00 1 1.00 $48.28

c. Technical analysis showing why 

protection requires a prohibition of the 

discharge

9.00 1 9.00 $434.52

d. Description of discharge removal facilities 1.25 9.00 1 10.25 $496.01

e. Information on regulation of this discharge 

from non-Armed Forces vessels

2.75 1 2.75 $132.77

3. Create Information (analyze and interpret 

data)

8.00 70.00 10.00 $40.00 1 88.00 $4095.92

4. Review information and make 

determination

8.00 32.00 8.00 1 48.00 $2164.72

5. Complete paperwork (e.g., Reply Letter) 3.00 3.00 $10.00 1 6.00 $242.41

6. Disclose information (i.e., Federal 

Register notices)

$0.00

7. Copy, store, file, and maintain information 3.00 $50.00 1 3.00 $134.84

Subtotal (hours and costs) 23.25 147.00 24.00 $0.00 $150.00 1 194.25 $9069.55

* O&M costs include photocopying, postage, telephone, etc.
26

Table 3. Petition for Review, Respondent (State Agency) Burden Hours and Costs [40 CFR § 1700.12]

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

$49.19/hr

Technical

$48.28/hr

Clerical

$28.28/hr

Capital/

Startup

Cost ($)

O & M

Cost ($)*

Number 

Respon.

(N = 1)

Total 

Hours/

Year

Total Cost/

Year ($)

Request Preparation

Read regulations; review guidance 

document; plan strategy 1.00 4.00 1 5.00 $242.31

Clarify questions with EPA 1.00 $50.00 1 1.00 $98.26

Gather Information

Identification of discharge or standard 0.25 1 0.25 $12.07

Scientific and technical information on 

which petition is based 0.50 6.00 1 6.50 $314.28

Explanation on how information relates to 

statutory factors 0.50 2.00 1 2.50 $121.16

Create Information (analyze and interpret 

data) 1.00 12.00 2.00 $40.00 1 15.00 $725.11

Review petition information for accuracy 

and make determination 2.00 4.00 4.00 $10.00 1 10.00 $414.62

Complete paperwork (e.g., Petition) 2.00 2.00 1 4.00 $154.94

Disclose Information (i.e., Federal 

Register notices) $0.00

Copy, store, file, and maintain information 2.00 $50.00 1 2.00 $106.56

Subtotal (hours and costs) 7.00 29.25 10.00 $150.00 1.00 46.25 $2,189.32

* O&M costs include photocopying, postage, telephone, etc.
27

Table 4. Establishment of No-discharge Zone by State Prohibition, Agency (EPA) Burden Hours and Costs [40 CFR § 1700.9]

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

$80.93/hr

(GS-14)

Technical

$57.59/hr

(GS-12)

Clerical

$39.72/hr

(GS-9)

Capital/

Startup

Cost ($)

O & M

Cost ($)*

Number 

Respon.

(N = 4)

Total 

Hours/

Year

Total Cost/

Year ($)

Request Preparation

Read regulations; review guidance 

document; plan strategy

Clarify questions with EPA 2.00 4 8.00 $460.72

Gather Information

Identification of discharge $0.00

Definition of waters in NDZ $0.00

Determination of necessity for greater 

environmental protection $0.00

Description of discharge removal facilities $0.00

Information on regulation of this discharge 

from non-Armed Forces vessels $0.00

Create Information (analyze data and 

compile/write Request) $0.00

Review information and make 

determination 4.00 16.00 4 80.00 $4,980.64

Complete paperwork (e.g., Reply Letter) 1.50 1.50 $10.00 4 12.00 $763.90

Copy, store, file, and maintain information 1.50 $50.00 4 6.00 $438.32

Subtotal (hours and costs) 5.50 18.00 3.00 $60.00 4 106.00 $6,643.58

* O&M costs include photocopying, postage, telephone, etc.
28

Table 5. Establishment of No-discharge Zone by EPA Prohibition, Agency (EPA) Burden Hours and Costs [40 CFR §1700.10]

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

$80.93/hr

(GS-14)

Technical

$57.59/hr

(GS-12)

Clerical

$39.72/hr

(GS-9)

Capital/

Startup

Cost ($)

O & M

Cost ($)*

Number 

Respon.

(N = 1)

Total 

Hours/

Year

Total Cost/

Year ($)

1. Request Preparation

a. Read regulations; review guidance 

document; plan strategy

b. Clarify questions with EPA 2.00 1 2.00 $115.18

2. Gather Information $0.00

a. Identification of discharge $0.00

b. Definition of waters in NDZ $0.00

c. Technical analysis showing why 

protection requires a prohibition of the 

discharge

$0.00

d. Description of discharge removal facilities $0.00

e. Information on regulation of this discharge 

from non-Armed Forces vessels

$0.00

3. Create Information (analyze and interpret 

data)

$0.00

4. Review information and make 

determination

4.00 16.00 1 20.00 $1,245.16

5. Complete paperwork (e.g., Reply Letter) 1.50 1.50 $10.00 1 3.00 $190.98

6. Disclose information (i.e., Federal 

Register notices)

1.00 4.00 2.00 1 7.00 $390.73

7. Copy, store, file, and maintain information 1.50 $50.00 1 1.50 $109.58

Subtotal (hours and costs) 6.50 22.00 5.00 $60.00 1 33.50 $2,051.63

* O&M costs include photocopying, postage, telephone, etc.
29

Table 6. Petition for Review, Agency (EPA) Burden Hours and Costs [40 CFR § 1700.12]

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

$80.93/hr

(GS-14)

Technical

$57.59/hr

(GS-12)

Clerical

$39.72/hr

(GS-9)

Capital/

Startup

Cost ($)

O & M

Cost ($)*

Number 

Respon.

(N = 1)

Total 

Hours/

Year

Total Cost/

Year ($)

1. Request Preparation

a. Read regulations; review guidance 

document; plan strategy

b. Clarify questions with EPA 2.00 1 2.00 $115.18

2 Gather Information

a. Identification of discharge or standard $0.00

b. Scientific and technical information on 

which petition is based

$0.00

c. Explanation on how information relates to 

statutory factors

$0.00

3. Create Information (analyze and interpret 

data)

$0.00

4. Review petition information for accuracy 

and make determination

4.00 16.00 1 20.00 $1,245.16

5. Complete paperwork (e.g., Reply Letter) 1.50 1.50 $10.00 1 3.00 $190.98

6. Disclose Information (i.e., Federal 

Register notices)

1.00 4.00 2.00 1 7.00 $390.73

7. Copy, store, file, and maintain information 1.50 $50.00 1 1.50 $109.58

Subtotal (hours and costs) 6.50 22.00 5.00 $60.00 1 33.50 $2,051.63

* O&M costs include photocopying, postage, telephone, etc.
30

Table 7. Total Estimated Respondent (State Agency) Burden and Cost Summary

Number of 

Respondents

Number of 

Activities

Per Year

Total Number 

of Hours Per 

Year

Total Labor 

Cost Per 

Year ($)

Total Annual 

Capital 

Costs ($)

Total Annual 

O&M Costs 

($)

Total Cost 

Per Year ($)

No-discharge Zone by 

State Prohibition [40 CFR 

§ 1700.9; Table 1]

4 4 717 $32,781.39 $0.00 $600.00 $33,381.39

No-discharge Zone by 

EPA Prohibition [40 CFR 

§ 1700.10; Table 2]

1 1 194 $8,919.55 $0.00

$150.00

$150.00 $9,069.55

Petition for Review [40 

CFR § 1700.12; Table 3] 1 1 46

$2,039

$2,039.32 $0.00 $150.00 $2,189.32

TOTAL 6 6 957 $43,740.26 $0.00 $900.00 $44,640.26
31

Table 8. Total Estimated Agency (EPA) Burden and Cost Summary

Number of 

Respondents

Number of 

Activities

Per Year

Total Number 

of Hours Per 

Year

Total Labor 

Cost Per 

Year ($)

Total Annual 

Capital 

Costs ($)

Total Annual 

O&M Costs 

($)

Total Cost

Per Year 

($)

No-discharge Zone by 

State Prohibition [40 

CFR § 1700.9; Table 4]

4 4 106.00 $6,403.58 $0.00 $240.00 $6,643.58

No-discharge Zone by 

EPA Prohibition [40 CFR 

§ 1700.10; Table 5]

1 1 33.50 1,991.63 $0.00 $60.00 $2,051.63

Petition for Review [40 

CFR § 1700.12; Table 6] 1 1 33.50 1,991.63 $0.00 $60.00 $2,051.63

TOTAL 6 6 173.00 10,386.83 $0.00 $360.00 $10,746.83
32

Chapter II. Supporting Statement for the Establishment of No-discharge 

Zones for Vessel Sewage under CWA Sections 312(f)(3) and 312(f)(4)(A) 

and 312(f)(4B)

SECTION 1: Identification of the Information Collection

1(a): Title of the Information Collection

Establishing No-Discharge Zones Under Clean Water Act §312 (Renewal)

1(b): Short Characterization/Abstract

EPA requires the collection of information by States interested in designating State waters 

under the Clean Water Act §312(f) as areas prohibiting the discharge of treated or 

untreated sewage from vessels. The CWA mandates under §312 (f)(3) and (f)(4)(A) 

and (f)(4)(B), that EPA review State requests for prohibiting the discharge of vessel 

sewage into waters identified by the State. If the State applies under §312(f)(3), EPA 

must determine from the State application whether there are adequate and reasonably 

available pumpout facilities for such waters to which such a prohibition would apply. A 

State can petition EPA to designate its waters as an NDZ for vessel sewage if the 

protection of the waters require a complete prohibition of the discharge of vessel sewage. 

Under §312(f)(4)(A), upon application by a State, EPA may by regulation establish a Nodischarge Zone for waters which protection and enhancement of the quality of specified 

waters within such State require such a prohibition. Finally, under §312(f)(4)(B), upon 

application by a State, EPA may, by regulation, establish a drinking water intake zone in 

any waters within that State and prohibit the discharge of sewage from vessels within that 

zone. For EPA to make the approvals and designations related to establishing Nodischarge Zones (NDZs), States are required under the regulations to provide information 

relevant to this decision-making process thus triggering the requirement for EPA to have 
33

an ICR in compliance with the Paperwork Reduction Act. 

SECTION 2: Need for and Use of the Collection

This section describes the statutory and regulatory authorities associated with this 

information collection. It also summarizes the use of the information designating NDZs.

2(a): Need/Authority for the Collection

The need for EPA to obtain information to establish NDZs stems from statutory authority 

and subsequent regulations. The establishment of NDZs provide State and local 

governments with a tool to protect waters from treated or untreated vessel sewage 

discharges, which is one of many types of water pollution. A summary of the statutory 

authority and subsequent regulations, follows. A copy of the relevant sections of the 

statute is included in Attachment C and the relevant sections of the implementing 

regulations are included in Attachment D.

1) Statutory Authority: Section 312(f) (33 U.S.C. 1322) of the Clean Water Act (CWA) 

provides States with the opportunity to apply to EPA for a complete prohibition of vessel 

sewage (treated and untreated) in all or some of a State's waters. The area designated 

as no discharge, if approved by EPA, is called an NDZ. EPA has delegated its authority 

to establish NDZs under §§312(f)(3), (f)(4)(A), and (f)(4)(B) to EPA Regional 

Administrators (Administrator). There are three parts of CWA §312 that are related to the 

establishment of NDZs. They are:

§312(f)(3). After the effective date of the initial standards and regulations 

promulgated under this section, if any State determines that the protection 

and enhancement of the quality of some or all of the waters within such 

States require greater environmental protection, such State may completely 
34

prohibit the discharge from all vessels of any sewage, whether treated or 

not, into such waters, except that no such prohibition shall apply until the 

Administrator determines that adequate facilities for the safe and sanitary 

removal and treatment of sewage from all vessels are reasonably available 

for such water to which such prohibition would apply. Upon application of 

the State, the Administrator shall make such determination within 90 days of 

the date of such application.

§312(f)(4)(A). If the Administrator determines upon application by a State 

that the protection and enhancement of the quality of specified waters within 

such State require such a prohibition, the Administrator shall by regulation 

completely prohibit the discharge from a vessel of any sewage (whether 

treated or not) into such waters.

§312(f)(4)(B). Upon application by a State, the Administrator shall, by 

regulation, establish a drinking water intake zone in any waters within such 

State and prohibit the discharge of sewage from vessels within that zone.

Most States which have designated and gained approval of NDZs have done so under 

§312(f)(3). This method requires the State to demonstrate a need for the discharge 

prohibition and the existence of adequate sanitary waste reception facilities (i.e., pumpout 

facilities). The other two methods under CWA §312(f) typically have fewer conditions to 

meet because the proposed NDZ is an area of particular environmental importance 

[§312(f)(4)(A)] or is a proposed drinking water intake zone [§312(f)(4)(B)]. The 

relevant regulations promulgated under CWA §312 are described in the following section.
35

2) Regulatory Authority: CWA §312(f) authorizes the EPA to develop regulations on the 

standard of performance for marine sanitation devices (MSDs) (see 40 CFR Part 140.3). 

The standard only applies to vessels equipped with installed toilets. The first part of the 

standard applies to vessels traveling on waters which are land-locked and do not have 

interstate traffic. MSDs on these vessels must be designed and operated so that no 

discharge of sewage, either treated or untreated, occurs. The second part of the standard 

pertains to all other waters and provides specific effluent levels that MSDs must meet. 

As provided for in CWA §312, the EPA regulations also provide States with the opportunity 

to apply for a No-discharge Zone, or a complete prohibition of vessel sewage (treated and 

untreated) in all or some of a State's waters. The regulations are found at 40 CFR 

140.4.

Under 40 CFR 140.4(a), the Administrator must review State applications for prohibiting 

the discharge of vessel sewage into waters identified by the State and must determine 

from the State application whether there are adequate and reasonably available pumpout 

facilities for such waters to which such a prohibition would apply [§312(f)(3)].

Under 40 CFR 140.4(b), States may make a written application to EPA to designate an 

NDZ in waters which are of particular environmental importance (e.g., Boundary Waters 

Canoe Area) [§312(f)(4)(A)]. 

Under 40 CFR 140.4(c), States may make written application to EPA to designate an 

NDZ in waters which are used for drinking purposes [§312(f)(4)(B)]. 
36

2(b): Practical Utility/Users of the Data

The State environmental agency uses the information collected under this chapter of the 

ICR to prepare the application to be submitted to the EPA Regional Administrator. An 

NDZ application is submitted by a State environmental agency to the EPA Regional 

Administrator. Depending on the type of NDZ sought by the State, EPA uses the 

information to assist the State NDZ designation. EPA Headquarters and EPA Regional 

Offices use the information collected under this ICR to carry out their responsibilities under 

the CWA with respect to reviewing applications for proposed NDZs and granting approval 

of qualifying NDZs. 

(1) NDZ Designation under 312(f)(3) and 40 CFR 140(a): The information requested 

from the State will be used by EPA to make the determination of the availability of 

pumpout or dump stations in the area supporting a State’s potential NDZ for vessel 

sewage designation.

(2) NDZ Designation under 312(f)(4)(A) and 40 CFR 140(b): The information requested 

by EPA from the State will be used by EPA to designate the particular waters as an NDZ 

for vessel sewage. This type of designation is sought when the State believes and EPA 

certifies that the waters require additional protection because of its recreational, economic,

ecological, or scientific value.

(3) NDZ Designation under 312(f)(4)(B) and 40 CFR 140(c): The information requested 
37

by EPA from the State will be used by EPA to designate the particular waters as an NDZ 

for vessel sewage because the waters will be used for drinking purposes.

SECTION 3: Non-duplication, Public Notice, Consultations, and Other Collection Criteria

This section describes EPA’s efforts to ensure that the information collected for the 

establishment of NDZs is not duplicative, appropriate consultations have occurred, the 

public has had an opportunity to comment on the proposed requirements, and other 

collection criteria.

3(a): Non-duplication

No similar information is currently available in the form required for EPA to make a 

decision on designating waters as NDZs. Each application for an NDZ by definition needs 

to be site-specific. 

NDZ Designation under 40 CFR 140.4(a)

If a State applies for an NDZ under 40 CFR 140.4(a), EPA is responsible for determining 

if there are adequate pumpout and dump stations. Upon a favorable determination by 

EPA, the State can designate its waters as an NDZ. There is no duplication of effort in 

the NDZ application process.

NDZ Designation under 40 CFR 140.4(b)
38

If a State applies to EPA for the designation of its waters as an NDZ under 40 CFR 

140.4(b) because of the environmental or economic importance of the waters, EPA can 

designate the waters as an NDZ by regulation. There is no duplication of effort in the 

NDZ application process.

3) NDZ Designation under 40 CFR 140.4(c)

If a State applies to EPA for the designation of its waters as an NDZ under 40 CFR 

140.4(c) because of the waters use as a drinking water intake zone, EPA can designate 

the waters as an NDZ by regulation. 

There is no duplication of effort in the NDZ application process. The application can be 

prepared using existing sources of data. EPA has developed a guidance document to 

help States prepare their NDZ for vessel sewage applications, and it includes suggestions 

on where to find the information required. The document is titled “Protecting Coastal 

Waters from Vessel and Marina Discharges: A Guide for State and Local Officials” (EPA 

842-B-94-004). Only when secondary sources of information have been exhausted will 

primary data collection be required.

3(b): Public Notice Required Prior to ICR Submission to OMB

The announcement of this ICR was made in the Federal Register on 07/29/2011, 76 FR

45553 under EPA-HQ-OW-2008-0150. It was titled “Agency Information Collection 

Activities; Proposed Collection; Comment Request; Establishing No-Discharge Zones Under 

Clean Water Act Section 312 (Renwal); EPA ICR No. 1791.06; OMB Control No. 2040-
39

0187.” EPA received 0 comments on this notice.

3(c): Consultations

Three representatives of state environmental offices were contacted by EPA in October of 

2011 and asked to provide oral comments on EPA’s burden estimate (see section 6(e)): 

Todd Callaghan (Massachusetts Office of Coastal Zone Management, 617-626-1233); 

Renan Jauregui (California State Water Resources Control Board - Division of Water 

Quality, 916-341-5505); and Jeff Myers (Director of the New York Bureau of Water 

Assessment and Management 518- 402-8179). One commentor felt like the estimates 

were reasonable. The other two felt like the estimates were too low and provided specific 

markups to the estimates. EPA made changes in this assessment to reflect their 

comments. 

3(d): Effects of Less Frequent Collection

The information collection requirements related to the NDZ application process are 

submitted on a one-time basis. Reductions below this level are not feasible.

3(e): General Guidelines

The information collection activities discussed in this chapter of the ICR are fully consistent 

with all guidelines in 5 CFR 1320.5(d)(2).
40

3(f): Confidentiality

The information collection activities discussed in this chapter of the ICR do not require the 

submission of any confidential information.

3(g): Sensitive Questions

The information collection activities discussed in this chapter of the ICR do not require the 

submission of any sensitive information.

SECTION 4: The Respondents and the Information Requested

This section provides a description of the information collection requirements affiliated with 

the NDZ for vessel sewage application process. Although the three types of NDZ 

applications under 40 CFR 140.4 (a-c) have different information collection requirements, 

the application development and submittal process is similar. 

4(a): Respondents/SIC Codes

Under Section 312(f)(3) and (f)(4)(A) and (B) of the CWA, States have the authority to 

designate an NDZ for vessel sewage with EPA’s concurrence or have EPA designate 

portions of their waters as an NDZ for vessel sewage. State Governments (SIC 9511, 

NAICS code 924110) are the only respondents to the data collection activities described in 
41

this chapter of the ICR.

4(b): Information Requested

NDZ Designation under 40 CFR 140.4(a)

(I) Data Items

There are seven application and information requirements listed in 40 CFR §140.4(a). 

The information required includes:

1. A certification that the protection and enhancement of the waters described 

in the petition require greater environmental protection than the applicable 

Federal standard;

2. A map showing the location of commercial and recreational pumpout 

facilities;

3. A description of the location of pumpout facilities within waters 

designated for no discharge;

4. The general schedule of operating hours of the pumpout facilities;

5. The draft requirements on vessels that may be excluded because of 

insufficient water depth adjacent to the facility;

6. Information indicating that treatment of wastes from such pumpout 

facilities is in conformance with Federal law; and

7. Information on vessel population and vessel usage of the subject 

waters.

Respondent Activities

1. An NDZ application under 40 CFR 140.4(a) is prepared by the State 

environmental agency.
42

2. The State environmental agency, in turn, submits the application to the EPA 

Regional office for approval of an NDZ designation.

3. This approval involves the determination of available pumpouts.

4. Upon a finding of adequate or inadequate pumpout station availability, EPA 

issues a Notice of Determination stating such.

5. A State then may designate the particular waters as an NDZ depending on 

EPA’s finding.

NDZ Designation under 40 CFR 140.4 (b)

If a State applies to EPA for the designation of its waters as an NDZ under 40 CFR 

140.4(b) because of the environmental, scientific, recreational, or economic importance of 

the waters, EPA can designate the waters as an NDZ by regulation.

(I) Data Items

The regulations at 40 CFR 140.4(b) require the following information to be submitted for 

the establishment of an NDZ for waters of particular environmental importance:

1. Specification of the waters or portions thereof for which a complete 

prohibition is desired;

2. Identification of water recreational areas, and/or;

3. Identification of aquatic sanctuaries, and/or;

4. Identification of identifiable fish-spawning and nursery areas, and/or;

5. Identification of areas of intensive boating activities; and

6. A map of the waters to be designated as an NDZ.
43

(ii) Respondent Activities

1. An application submitted under 40 CFR 140.4(b) is prepared by the State 

environmental agency. 

2. The State environmental agency, in turn, submits the application to EPA for 

designation of an NDZ.

3. The application development process includes five types of information 

collection activities.

4. EPA, after evaluation of the application, can designate by regulation an NDZ 

for the particular waters.

5. EPA can modify the size of the NDZ at its discretion.

NDZ Designation under 40 CFR 140.4(c)

If a State applies to EPA for the designation of its waters as an NDZ under 40 CFR 

140.4(c) because of the waters use as a drinking water intake zone, EPA can designate 

the waters as an NDZ by regulation.

(I) Data Items

According to 40 CFR 140.4(c), to establish an NDZ under these provisions, the following 

information is required in the application:

1. Specification and description of the location of the drinking water supply 

intake(s) and the community served by the intakes;

2. Specification and description of the waters for which a complete prohibition is 

desired;

3. A map of the waters to be designated as a drinking water intake zone; and
44

4. A statement justifying the size of the requested drinking water intake zone.

(ii) Respondent Activities

1. An application submitted under 40 CFR 140.4(c) is prepared by the State 

environmental agency.

2. The State environmental agency, in turn, submits the application to the EPA 

Regional office for approval of an NDZ designation.

3. The application development process includes four types of information 

collection activities.

4. EPA, after evaluation of the application, can designate by regulation an NDZ 

for the particular waters. 

5. EPA can modify the size of the NDZ at its own discretion.

SECTION 5: The Information Collected–Agency Activities, Collection Methodology, and 

Information Management

This section describes Agency activities involved in implementing the process for the NDZ 

for vessel sewage designations.

5(a): Agency Activities

NDZ Designation under 40 CFR 140.4(a)

Agency activities associated with a request by a State to establish an NDZ for vessel

sewage under 40 CFR 140.4(a) consists of the following:

1. Clarify any questions from State applicants;
45

2. Review the information in the request and determine whether: adequate 

facilities for the safe and sanitary removal of the discharges are reasonably 

available for the waters to which the prohibition would apply;

3. Notify the State in writing of the above determinations including a Federal 

Register Notice of Determination; and

4. Copy, store, file, and maintain the State’s request and EPA’s response 

letter.

NDZ Designation under 40 CFR 140.4 (b)

Agency activities associated with a request by a State to establish an NDZ for vessel 

sewage under 40 CFR 140.4 (b) consists of the following:

1. Clarify any questions from State applicants;

2. Review the information in the request and determine whether: the water for 

which the prohibition would apply are of environmental importance;

3. Notify the State in writing of the above determinations;

4. Prepare the regulation for the NDZ designation;

5. Copy, store, file, and maintain the State’s request and EPA’s response 

letter.

NDZ Designation under 40 CFR 140.4(c) 

Agency activities associated with a request by a State to establish an NDZ for vessel 

sewage under 40 CFR 140.4(c) consist of the following:

1. Clarify any questions from State applicants;

2. Review the information in the request and determine whether: the water for 
46

which the prohibition would apply are suitable for drinking purposes;

3. Notify the State in writing of the above determinations;

4. Prepare the regulation for the NDZ designation;

5. Copy, store, file, and maintain the State’s request and EPA’s response 

letter.

5(b): Collection Methodology and Management

The information collection associated with this chapter of the ICR will be given to EPA by 

States in the form of a request letter and/or application. EPA will ensure the accuracy 

and completeness of this information by reviewing each submittal. This information will be 

made available to the public for rulemaking through the Federal Register.

5(c): Small Entity Flexibility

The only respondents to the activities described in this chapter of the ICR are States. 

Therefore, there are no small entities affected.

5(d): Collection Schedule

NDZ Designation under 40 CFR 140.4(a)

NDZ designations under this provision have been established significantly more frequently 

than under the other two provisions. EPA has to determine if there are adequate pumpout 

facilities available. The designation does not require any additional information collection 

other than the one-time application. 

NDZ Designation under 40 CFR 140.4(b)
47

There are two NDZs designated under this provision. A State applies for the NDZ and 

EPA determines if such an NDZ is warranted based on the environmental importance of 

the waters. Upon a favorable determination, EPA establishes the NDZ by regulation. The 

designation does not require any additional information collection other than the one-time 

application. 

NDZ Designation under 40 CFR 140.4(c)

There is one NDZ designated under this provision. A State applies for the NDZ and EPA 

determines if the waters are for drinking purposes and the size of the NDZ. Upon a 

favorable determination, EPA establishes the NDZ by regulation. NDZs established under 

this provision (like those established under the other provisions) do not require any 

additional information collection other than the one-time application.

SECTION 6: Estimating the Burden and Cost of the Collection

Burden and Costs associated with the information collection activities described in this 

chapter are in Tables 9-16 at the end of this section. The text below explains how the 

burden and costs estimates were derived.

6(a): Estimating Respondent burden 

Respondent labor burden hours listed in Tables 9, 11, and 13 were based on EPA’s 

experience in assisting States in establishing NDZs for vessel sewage in their waters. 

These burden hours were also derived using information collection activities gathered for 
48

previous ICRs that have similar information collection activities. The level-of-effort 

estimates presented for these tables were reviewed by EPA’s staff and managers, all of 

whom have experience in assessing information collection work similar to that described in 

this chapter of the ICR. 

Burden hours by task for each of the three application types were estimated based on the 

amount of time needed to complete the "model" application in the guidance document, 

and estimates of the time needed to complete the previously submitted applications 

reviewed as part of the development of the ICR. Each application is assumed to be 

reviewed twice by the State government and by EPA. In other words, EPA is assumed to 

request additional information or to deny the application, thus triggering a second round of 

review. This is a conservative estimate and likely overstates the associated costs.

Listed below are some of the major activities associated with the designation of NDZ for 

vessel sewage described in this chapter of the ICR for which burden hours have been 

categorized:

· The application preparation process includes the following type of personnel by 

stage of the process

1. Read regulation and review guidance document: management and technical

2. Information gathering: technical

3. Preparing application: management, technical, and clerical

· The application review process includes management and technical personnel.

· Information storage involves clerical time for State personnel.
49

NDZ Designation under 40 CFR 140.4(a)

Applications are submitted to EPA by States. Based on EPA forecasts, eight applications 

per year were assumed. The average application was assumed to be about 15 pages in 

length. This is based on the average number of pages in previously submitted 

applications and assumes some optional information is provided in the application

NDZ Designation under 40 CFR 140.4(b)

Applications are submitted to EPA by States. Based on past experience, EPA estimates 

that one application will be received every three years. The average application was 

assumed to be about 50 pages in length. This is based on the number of pages in a 

previously submitted application which provides the information required for this type of 

NDZ application.

NDZ Designation under 40 CFR 140.4(c)

Applications are also submitted to EPA by States. EPA estimates that there will be one 

application each year. The application was assumed to be about 15 pages in length. 

This is based on the type of information requested and examples of this information 

included in previously submitted NDZ applications.

6(b): Estimating Respondent Costs

(I) Estimating Labor Costs

All labor cost-rate data used in Tables 9, 11, and 13 were obtained from the U.S. Bureau 

of Labor Statistics (BLS) Compensation Cost Trends homepage 
50

(http://www.bls.gov/ncs/ect/). The BLS homepage has a variety of links to publications 

and reports related to labor costs by category. The BLS report used in this ICR was titled 

Employer Costs for Employee Compensation, available on-line at: 

ftp://ftp.bls.gov/pub/news.release/ecec.txt.

Table 4 of the BLS report (http://www.bls.gov/news.release/ecec.t04.htm March 2011) 

contains employee compensation data for State and Local Government Employers. The 

labor rates for respondent management, technical, and clerical personnel in Tables 9, 11, 

and 13 of the ICR were obtained from the “White-Collar Occupations” category.
51

BLS Report (Table 4) 

White-Collar Job 

Classification Titles

ICR Respondent Job 

Classification Titles Used in 

ICR Tables 9, 11, and 13

Corresponding Labor 

Compensation (hourly rate)

from BLS Report

Executive, administrative, 

and managerial

Management $49.19

Professional specialty and 

technical

Technical $48.28

Administrative support 

including clerical

Clerical $28.28

The above labor rate data are “fully burdened” and include wages/salaries and benefits. 

The BLS report provides a breakdown of benefit costs, which includes paid leave, 

supplemental pay, insurance, retirement, and legally required benefits. Only fully burdened 

BLS labor cost data (i.e., total compensation) are used in the analysis described in this 

chapter of the ICR.

The unit costs were multiplied by the appropriate units of activity (e.g., burden hours) to 

estimate costs per application for States seeking an NDZ for vessel sewage. Annualized 

costs were based on the number of applications expected per year. 

(ii) Estimating Capital and Operations and Maintenance (O&M) Costs

There are no predicted respondent capital or start-up costs associated with the activities 
52

described in this chapter of the ICR.

Non labor O&M includes only costs for photocopying, postage, telephone charges, and 

similar expenses. Item 1b of ICR Tables 9, 11, and 13, Clarify Questions with EPA, is 

assumed to be exclusively telephone and facsimile machine expenses. Other O&M 

expenses listed in Tables 9, 11, and 13 are predominantly photocopy, postage, and related 

paperwork distribution expenses.

6(c): Estimating Agency (EPA) Burden and Cost

Agency Burden

EPA labor burden hours listed in Tables 10, 12, and 14 are primarily based on EPA’s 

experience in dealing with States in establishing NDZs for vessel sewage. Also data from 

the 2003 ICR addressing NDZs for vessel sewage were evaluated. Where necessary, the 

level-of-effort determinations and cost estimates in the 2003 ICR were adjusted to 

correspond to the new cost information. All of the level-of-effort estimations presented in 

Tables 10, 12 and 14 have been reviewed for accuracy and reasonableness by EPA staff 

and managers, all of whom have had considerable project-management experience doing 

information-collection work similar to that required by 40 CFR 140.4 (a-c).

Listed below are some of the major activities associated with the designation of NDZ for 

vessel sewage described in this chapter of the ICR for which burden hours have been 

categorized:
53

· Questions from the applicant's technical personnel are answered by EPA technical 

personnel.

· The application review process includes management and technical personnel.

· The Federal Register Notice process includes the following type of personnel:

management, technical, and clerical.

· Information storage involves clerical time

The estimation of EPA’s burden hours depends on the type of NDZ for vessel sewage that 

the State is seeking.

NDZ Designation under 40 CFR 140.4(a)

EPA reviews application by States focusing on the availability of pumpout facilities. Based 

on EPA forecasts, eight applications per year were assumed. The average application 

was assumed to be about 15 pages in length. EPA discloses its determination in the 

Federal Register by Notice of Determination.

NDZ Designation under 40 CFR 140.4(b)

EPA reviews application from States focusing on the preservation of environmentally 

important habitats. Based on past experience, EPA estimates that one application will be 

received every three years. The average application was assumed to be about 50 pages 

in length. EPA discloses its determination in the Federal Register either by rule or by 

Notice of Determination.

NDZ Designation under 40 CFR 140.4(c)
54

EPA reviews application from States focusing on the use of the waters for drinking 

purposes. EPA estimates that there will be one application each year. The application 

was assumed to be about 15 pages in length. EPA discloses its determination in the 

Federal Register either by rule or by Notice of Determination.

Agency Costs

Agency labor costs data associated with this chapter of the ICR were obtained using pay 

scale rates for GS-9, GS-12, and GS-14 employees. The 2011 General Schedule Locality 

Pay Tables can be found at http://www.opm.gov/oca/11tables/html/dcb.asp. The salary 

scales contained in the table were effective January 2011. Step 1 of the GS salaries was 

used in this chapter of the ICR analysis. The annual GS salary rates were converted to 

hourly rates according to instructions in Section 6(c) if the EPA ICR Handbook (12/96 

version). Total salaries were divided by 2,080, which represent the average number of 

hours work in a calendar year, and then multiplied by a factor of 1.6. The multiplier 

represents the benefits multiplication factor. The result is the true hourly cost to the 

Federal government to employ a Federal worker for one hour. These calculated hourly 

rates are used in Tables 10, 12, and 14 of the ICR.

ICR Agency Job 

Classification Title 

Used in ICR Tables 

10, 12, 14

January 2011 Annual 

GS Salary (Step 1)

Work Hours 

Per Year 

Factor

Benefits 

Factor

Calculated Hourly 

Rate Used in

Tables 10, 12, 14
55

Management GS-14, $105,211  2,080  1.6 $ 80.93/hr

Technical GS-12, $74,872  2,080  1.6 $ 57.59/hr 

Clerical GS-9, $51,630  2,080  1.6 $ 39.72/hr 

The unit costs were multiplied by the appropriate units of activity (e.g., burden hours) to 

estimate costs per application for EPA. Annualized costs were based on the number of 

applications expected per year. 

6(d): Bottom Line Burden Hours and Cost Tables

Total estimated burdens of associated with 40 CFR 140.4(a-c) to the State Agency 

respondents and to EPA are summarized in Tables 15 and 16, respectively. 

Estimated Respondent (State Agency) Burden and Cost Summary for Establishing NDZs for Vessel 

Sewage under CWA 312(f) (from table 15)

Number of 

Respondents

Number of 

Activities

Per Year

Total Number 

of Hours Per 

Year

Total Annual 

O&M Costs 

($)

Total Labor 

Cost Per 

Year ($)

Total Cost 

Per Year 

($)

10 9.33 1309 $1,399.50 $62,581.83 $63,981
56

Estimated Agency (EPA) Burden and Cost Summary for Establishing NDZs for Vessel Sewage under 

CWA 312(f) (from table 16)

Number of 

Respondents

Number of 

Activities

Per Year

Total Number 

of Hours Per 

Year

Total Annual 

O&M Costs 

($)

Total Labor 

Cost Per 

Year ($)

Total Cost

Per Year 

($)

10 9.33 313 $600.00 $18,648.28 $19,248.28

6(e): Burden Statement

The annual public reporting and recordkeeping burden for this collection of information is 

estimated to average 140 hours per response (1309 hours/9.33). The combined annual 

public reporting and recordkeeping burden for this entire Information Collection Request is 

estimated to average 142 hours per response (2266 hours/16). Burden means the total 

time, effort, or financial resources expended by persons to generate, maintain, retain, or 

disclose or provide information to or for a Federal agency. This includes the time needed 

to review instructions; develop, acquire, install, and utilize technology and systems for the 

purposes of collecting, validating, and verifying information, processing and maintaining 

information, and disclosing and providing information; adjust the existing ways to comply 

with any previously applicable instructions and requirements; train personnel to be able to 

respond to a collection of information; search data sources; complete and review the 

collection of information; and transmit or otherwise disclose the information. An agency 

may not conduct or sponsor, and a person is not required to respond to, a collection of 
57

information unless it displays a currently valid OMB control number. The OMB control 

numbers for EPA's regulations are listed in 40 CFR part 9 and 48 CFR chapter 15. 

To comment on the Agency's need for this information, the accuracy of the 

provided burden estimates, and any suggested methods for minimizing respondent burden, 

including the use of automated collection techniques, EPA has established a public docket 

for this ICR under Docket ID No. EPA-HQ-OW-2008-0150,, which is available for online 

viewing at www.regulations.gov, or in person viewing at the Water Docket in the EPA 

Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Ave., NW, 

Washington, DC. The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 

4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number for 

the Reading Room is (202) 566-1744, and the telephone number for the Water Docket is 

(202) 566-2426. An electronic version of the public docket is available at 

www.regulations.gov. This site can be used to submit or view public comments, access 

the index listing of the contents of the public docket, and to access those documents in 

the public docket that are available electronically. When in the system, select “search,” 

then key in the Docket ID Number identified above. Also, you can send comments to the 

Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th 

Street, NW, Washington, D.C. 20503, Attention: Desk Officer for EPA. Please include the 

EPA Docket ID EPA-HQ-OW-2008-0150, and OMB control number 2040-0187 in any 

correspondence. 
58

Table 9. State No-Discharge Zone Applications under 40 CFR 140.4(a)

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

$49.19/hr

Technical

$48.28/hr

Clerical

$28.28/hr

Capital/

Startup

Cost ($)

O & M

Cost ($)*

Number 

Respon.

(N = 1)

Total Hours/

Year

Total Cost/

Year ($)

1. Request Preparation

a. Read regulations; review guidance 

document; plan strategy

0.00 4.00 0.00 $0 $0 8 32 $1544.96

b. Clarify questions with EPA 0.00 1.00 0.00 $0 $50 8 8 $786.24

2. 2. Gather Information 

 a. Certification of necessity for greater 

environmental protection

0.00 16.00 0.00 $0 $0 8 128 $6179.84

 b. Pumpout facility map 0.00 8.00 0.00 $0 $0 8 64 $3089.92

 c. Description of pumpout facilities 0.00 2.00 0.00 $0 $0 8 16 $772.48

 d. Schedule of operating hours of 

pumpout facilities

0.00 1.00 0.00 $0 $0 8 8 $386.24

 e. Draft requirements and water 

depth adjacent to pumpout facilities

0.00 1.00 0.00 $0 $0 8 8 $386.24
59

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

$49.19/hr

Technical

$48.28/hr

Clerical

$28.28/hr

Capital/

Startup

Cost ($)

O & M

Cost ($)*

Number 

Respon.

(N = 1)

Total Hours/

Year

Total Cost/

Year ($)

 f. Waste disposal methods for 

pumpout facilities 

0.00 1.00 0.00 $0 $0 8 8 $386.24

 g. Vessel population and vessel usage 0.00 16.00 0.00 $0 $0 8 128 $6179.84

3. Create information (analyze data and 

compile/write application

0.00 45.00 0.00 $0 $40 8 360 $17700.80

4. Review and edit information for 

accuracy

0.00 40.00 0.00 $0 $0 8 320 $15449.60

5. Complete paperwork (e.g. submittal 

letter)

1.00 3.00 0.00 $0 $10 8 32 $1632.24

6. Disclose information (i.e. Federal 

Register notices)

0.00 0.00 0.00 $0 $0 8 0 $0.00

7. Copy, store, file, and maintain 

information 

0.00 1.00 0.00 $0 $50 8 8 $786.24

Subtotal (hours and costs) 1 139 0 $0 $150 8 1120 $55,280.88

* O&M costs include photocopying, postage, telephone, etc. Multiplied by 8 responses. 
60
61

Table 10. No-Discharge Zone Application Review by EPA under 40 CFR 140.4(a)

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

$80.93/hr

Technical

$57.59/hr

Clerical

$39.72/hr

Capital/

Startup

Cost ($)

O & M

Cost ($)*

Number 

Respon.

(N = 1)

Total 

Hours/

Year

Total Cost/

Year ($)

1. Request Preparation

a. Read regulations; review guidance 

document; plan strategy

0.00 0.00 0.00 $0 $0 8 0 $0.00

b. Clarify questions with EPA 0.00 0.00 0.00 $0 $0 8 0 $0.00

2. Gather Information 0 $0.00

 a. Certification of necessity for greater 

environmental protection

0.00 0.00 0.00 $0 $0 8 0 $0.00

 b. pumpout facility map 0.00 0.00 0.00 $0 $0 8 0 $0.00

 c. Description of pumpout facilities 0.00 0.00 0.00 $0 $0 8 0 $0.00

 d. Schedule of operating hours of 

pumpout facilities

0.00 0.00 0.00 $0 $0 8 0 $0.00

 e. Draft requirements and water 

depth adjacent to pumpout facilities

0.00 0.00 0.00 $0 $0 8 0 $0.00
62

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

$80.93/hr

Technical

$57.59/hr

Clerical

$39.72/hr

Capital/

Startup

Cost ($)

O & M

Cost ($)*

Number 

Respon.

(N = 1)

Total 

Hours/

Year

Total Cost/

Year ($)

 f. Waste disposal methods for 

pumpout facilities 

0.00 0.00 0.00 $0 $0 8 0 $0.00

 g. vessel population and vessel usage 0.00 0.00 0.00 $0 $0 8 0 $0.00

3. Create information (analyze data and 

compile/write application

0.00 0.00 0.00 $0 $0 8 0 $0.00

4. Review and edit information for 

accuracy

4.00 16.00 0.00 $0 $0 8 160 $9,961.28

5. Complete paperwork (e.g. submittal 

letter)

1.50 0.00 1.50 $0 $10 8 24 $1,527.80

6. Disclose information (i.e. Federal 

Register notices)

1.00 4.00 2.00 $0 $0 8 56 $3,125.84

7. Copy, store, file, and maintain 

information 

0.00 0.00 1.50 $0 $50 8 12 $876.64

Subtotal (hours and costs) 6.5 20 5 $0 $60 8 252 $15,491.56

* O&M costs include photocopying, postage, telephone, etc. Multiplied by 8 responses.
63

Table 11. State No-Discharge Zone Applications under 40 CFR 140.4(b) 

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

$49.19/hr

Technical

$48.28/hr

Clerical

$28.28/hr

Capital/

Startup

Cost ($)

O & M

Cost ($)*

Number 

Respon.

(N = 1)

Total 

Hours/

Year

Total Cost/

Year ($)

1. Request Preparation

a. Read regulations; review guidance 

document; plan strategy

1.00 5.50 0.00 $0 $0 .33 2.145 $103.86

b. Clarify questions with EPA 0.00 10.00 0.00 $0 $50 .33 3.3 $175.82

2. 2. Gather Information 

 a. Specification of the waters or 

portions thereof for which a 

complete prohibition is desired

1.00 2.00 0.00 $0 $0 .33 0.99 $48.10

 b. Identification of water recreational 

areas

1.00 2.00 0.00 $0 $0 .33 0.99 $48.10

 c. Identification of aquatic sanctuaries 1.00 2.00 0.00 $0 $0 .33 0.99 $48.10

 d. Identification of identifiable fishspawning and nursery areas

1.00 2.00 0.00 $0 $0 .33 0.99 $48.10
64

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

$49.19/hr

Technical

$48.28/hr

Clerical

$28.28/hr

Capital/

Startup

Cost ($)

O & M

Cost ($)*

Number 

Respon.

(N = 1)

Total 

Hours/

Year

Total Cost/

Year ($)

 e. Identification of areas of intensive 

boating activities

1.00 2.00 0.00 $0 $0 .33 0.99 $48.10

 f. A map of the waters to be 

designated as an NDZ

1.00 2.00 0.00 $0 $0 .33 0.99 $48.10

3. Create information (analyze data and 

compile/write application

2.00 35.00 10.00 $0 $40 .33 15.51 $696.62

4. Review and edit information for 

accuracy

8.00 32.00 8.00 $0 $0 .33 15.84 $714.36

5. Complete paperwork (e.g. submittal 

letter)

1.00 3.00 3.00 $0 $10 .33 2.31 $95.33

6. Disclose information (i.e. Federal 

Register notices)

0.00 0.00 0.00 $0 $0 .33 0 $0.00

7. Copy, store, file, and maintain 

information 

0.00 0.00 1.50 $0 $50 .33 0.495 $30.50
65

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

$49.19/hr

Technical

$48.28/hr

Clerical

$28.28/hr

Capital/

Startup

Cost ($)

O & M

Cost ($)*

Number 

Respon.

(N = 1)

Total 

Hours/

Year

Total Cost/

Year ($)

Subtotal (hours and costs) 18 97.5 22.5 $0 $150 .33 45.54 $2,105.08

* O&M costs include photocopying, postage, telephone, etc. Multiplied by .33 responses.
66

Table 12. No-Discharge Zone Application Review by EPA under 40 CFR 140.4(b) 

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

$80.93/hr

Technical

$57.59/hr

Clerical

$39.72/hr

Capital/

Startup

Cost ($)

O & M

Cost ($)*

Number 

Respon.

(N = 1)

Total Hours/

Year

Total Cost/

Year ($)

1. Request Preparation

a. Read regulations; review guidance 

document; plan strategy

1.00 2.00 0.00 $0 $0 .33 0.99 $64.72

b. Clarify questions with EPA 0.00 6.00 0.00 $0 $0 .33 1.98 $114.03

2. 2. Gather Information 

 a. Specification of the waters or 

portions thereof for which a 

complete prohibition is desired

1.00 3.00 0.00 $0 $0 .33 1.32 $83.72

 b. Identification of water 

recreational areas

1.00 2.00 0.00 $0 $0 .33 0.99 $64.72

 c.Identification of aquatic sanctuaries 1.00 3.00 0.00 $0 $0 .33 1.32 $83.72

 d. Identification of identifiable 

fish- spawning and 

1.00 2.00 0.00 $0 $0 .33 0.99 $64.72
67

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

$80.93/hr

Technical

$57.59/hr

Clerical

$39.72/hr

Capital/

Startup

Cost ($)

O & M

Cost ($)*

Number 

Respon.

(N = 1)

Total Hours/

Year

Total Cost/

Year ($)

nursery areas

 e. Identification of areas of intensive 

boating activities

1.00 2.00 0.00 $0 $0 .33 0.99 $64.72

 f. A map of the waters to be 

designated as an NDZ 

1.00 2.00 0.00 $0 $0 .33 0.99 $64.72

 3. Create information (analyze data and 

compile/write application

0.00 0.00 0.00 $0 $0 .33 0 $0.00

 4. Review and edit information for 

accuracy

1.00 4.00 2.00 $0 $0 .33 2.31 $128.94

 5. Complete paperwork (e.g. submittal 

letter)

0.00 1.00 0.00 $0 $10 .33 0.33 $22.30

 6. Disclose information (i.e. Federal 

Register notices, publish regulation)

1.00 4.00 2.00 $0 $0 .33 2.31 $128.94

 7. Copy, store, file, and maintain 

information 

0.00 0.00 1.50 $0 $50 .33 0.495 $36.16
68

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

$80.93/hr

Technical

$57.59/hr

Clerical

$39.72/hr

Capital/

Startup

Cost ($)

O & M

Cost ($)*

Number 

Respon.

(N = 1)

Total Hours/

Year

Total Cost/

Year ($)

 Subtotal (hours and costs) 9 31 5.5 $0 $60 .33 15.02 $921.40

 * O&M costs include photocopying, postage, telephone, etc. Multiplied by .33 responses.
69

Table 13. State No-Discharge Zone Applications under 40 CFR 140.4(c) 

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

 $49.19/hr

Technical

 $48.28/hr

Clerical

 $28.28/hr

Capital/

Startup

Cost ($)

O & M

 Cost ($)*

Number

 Respon.

(N = 1)

Total 

Hours/

Year

Total Cost/

Year ($)

 1. Request Preparation

 a. Read regulations; review guidance 

document; plan strategy

2.00 16.00 0.00 $0 $0 1 18 $870.86

 b. Clarify questions with EPA 0.00 3.00 0.00 $0 $50 1 3 $194.84

2. 2. Gather Information $0.00

 a. Specification of the waters or 

portions thereof for which a 

complete prohibition is desired

1.00 6.00 0.00 $0 $0 1 7 $338.87

 b. Specification and 

description of the location of 

the drinking water supply 

intake(s) and the 

community served by the intakes

1.00 3.00 0.00 $0 $0 1 4 $194.03
70

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

 $49.19/hr

Technical

 $48.28/hr

Clerical

 $28.28/hr

Capital/

Startup

Cost ($)

O & M

 Cost ($)*

Number

 Respon.

(N = 1)

Total 

Hours/

Year

Total Cost/

Year ($)

 c. A map of the waters to be 

designated as a drinking water 

intake zone

1.00 3.00 0.00 $0 $0 1 4 $194.03

 d. A statement justifying the 

size of the requested drinking 

water intake zone

1.00 2.00 0.00 $0 $0 1 3 $145.75

 3. Create information (analyze data and 

compile/write application

2.00 35.00 10.00 $0 $40 1 47 $2,110.98

 4. Review and edit information for 

accuracy

8.00 32.00 8.00 $0 $10 1 48 $2,174.72

 5. Complete paperwork (e.g. submittal 

letter)

1.00 3.00 3.00 $0 $0 1 7 $278.87

 6. Disclose information (i.e. Federal 

Register notices)

0.00 0.00 0.00 $0 $0 1 0 $0.00

 7. Copy, store, file, and maintain 0.00 0.00 1.50 $0 $50 1 1.5 $92.42
71

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

 $49.19/hr

Technical

 $48.28/hr

Clerical

 $28.28/hr

Capital/

Startup

Cost ($)

O & M

 Cost ($)*

Number

 Respon.

(N = 1)

Total 

Hours/

Year

Total Cost/

Year ($)

information 

 Subtotal (hours and costs) 17 103 22.5 $0 $150 1 142.5 $6,595.37

 * O&M costs include photocopying, postage, telephone, etc. 
72

 Table 14. No-Discharge Zone Application Review by EPA under 40 CFR 140.4(c) 

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

 $80.93/hr

Technical

 $57.59/hr

Clerical

 $39.72/hr

Capital/

Startup

Cost ($)

O & M

 Cost ($)*

 Number 

Respon.

 (N = 1)

Total 

Hours/

Year

 Total Cost/

 Year ($)

 1. Request Preparation

 a. Read regulations; review guidance 

document; plan strategy

1.00 2.00 0.00 $0 $0 1 3 $196.11

 b. Clarify questions with EPA 0.00 0.00 0.00 $0 $0 1 0 $0.00

2. 2. Gather Information 0 $0.00

 a. Specification of the waters or 

portions thereof for which a 

complete prohibition is desired

1.00 3.00 0.00 $0 $0 1 4 $253.7

 b. Specification and description 

of the location of the 

drinking water supply 

intake(s) and the 

community served by the intakes

1.00 2.00 0.00 $0 $0 1 3 $196.11
73

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

 $80.93/hr

Technical

 $57.59/hr

Clerical

 $39.72/hr

Capital/

Startup

Cost ($)

O & M

 Cost ($)*

 Number 

Respon.

 (N = 1)

Total 

Hours/

Year

 Total Cost/

 Year ($)

 c. A map of the waters to be 

designated as a drinking water 

intake zone

1.00 3.00 0.00 $0 $0 1 4 $253.70

 d. A statement justifying the 

size of the requested 

drinking water intake 

zone

1.00 2.00 0.00 $0 $0 1 3 $196.11

 3. Create information (analyze data and 

compile/write application

0.00 0.00 0.00 $0 $0 1 0 $0.00

 4. Review and edit information for 

accuracy

1.00 3.00 0.00 $0 $0 1 4 $253.70

 5. Complete paperwork (e.g. submittal 

letter)

1.00 3.00 0.00 $0 $10 1 4 $263.7

 6. Disclose information (i.e. Federal 

Register notices, publish regulation)

3.00 12.00 6.00 $0 $0 1 21 $1,172.19
74

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs Per Year

Mgmt.

 $80.93/hr

Technical

 $57.59/hr

Clerical

 $39.72/hr

Capital/

Startup

Cost ($)

O & M

 Cost ($)*

 Number 

Respon.

 (N = 1)

Total 

Hours/

Year

 Total Cost/

 Year ($)

 7. Copy, store, file, and maintain 

 information 

0.00 0.00 0.00 $0 $50 1 0 $50.00

 Subtotal (hours and costs) 10 30 6 $0 $60 1 46 $2,835.32

 * O&M costs include photocopying, postage, telephone, etc.
75

Table 15. Total Estimated Respondent (State Agency) Burden and Cost Summary for Establishing NDZs for Vessel Sewage

Number of 

Respondents

Number of 

Activities

Per Year

Total Number 

of Hours Per 

Year

Total Labor 

Cost Per Year 

($)

Total Cost 

Per Year ($)

Total Annual 

Capital Costs 

($)

Total Annual 

O&M Costs 

($)

No-discharge Zone 

under 40 CFR 

140.4(a) (Table 9)

8 8 1120 $54,081 $55,281 $0.00 $1,200.00

No-discharge Zone 

under 40 CFR 

140.4(b) (Table 11)

1 0.33 46 $2,055.58 $2105 $0.00 $49.50

No-discharge Zone 

under 40 CFR 

140.4(c)] (Table 13)

1 1 143 $6,445.37 $6595 $0.00 $150.00

TOTAL

10 9.33 1309 $62,581.83 $63,981 $0.00 $1,399.50
76

Table 16. Total Estimated Agency (EPA) Burden and Cost Summary for Establishing NDZs for Vessel Sewage

Number of 

Respondents

Number of 

Activities

Per Year

Total Number 

of Hours Per 

Year

Total Labor Cost 

Per Year ($)

Total Cost

Per Year ($)

Total Annual 

Capital Costs 

($)

Total Annual 

O&M Costs ($)

No-discharge Zone 

under 40 CFR 

140.4(a) (Table 10)

8 8 252 $15,011.56

$15,491.56 $0.00 $480.00

No-discharge Zone 

under 40 CFR 

140.4(b) (Table 12)

1 0.33 15 $861.40 $921.40 $0.00 $60.00

No-discharge Zone 

under 40 CFR 

140.4(c) (Table 14)

1 1 46 $2,775.32

$2835.32 $0.00 $60.00

TOTAL 10 9.33 313 $18,648.28 $19,248.28 $0.00 $600.00
77

Attachment A

Summary Table for Information Collection under CWA Section 312

Table 17: Total CWA Section 312 Estimated Respondent (State Agency) Burden and Cost Summary

Number of 

Respondents 

Per Year

Number or 

Activities Per 

Year

Total Number of 

Hours Per Year

Total Annual 

O&M Costs ($)

Total Labor Cost 

Per Year ($)

Total Cost Per 

Year ($)

Armed Forces Vessels

Table 7 6 6 957 $900 $43,740 $44,641

Vessel Sewage 

Table 15 10 9.33 1309 $1,400 $62,582 $63,981

Total 16 15.33 2,266 $2,300 $106,322 $108,622

* This data is taken from Tables 7 and 15 of this ICR

Table 18: Total CWA Section 312 Estimated Agency (EPA) Burden and Cost Summary

Number of 

Respondents 

Per Year

Number or

Activities Per 

Year

Total Number of 

Hours Per Year

Total Annual 

O&M Costs ($)

Total Labor Cost 

Per Year ($)

Total Cost Per 

Year ($)

Armed Forces Vessels

Table 8 6 6 173 $360 $10,386.83 $10,746.83

Vessel Sewage 

Table 15 10 9.33 313 $600 $18,648.28 $19,248.28

Total 16 15.33 486 $960 $29,035.11 $29,995.11

* This data is taken from Tables 8 and 16 of this ICR
78

Attachment B

40 CFR 1700 (Uniform National Discharge Standards of the Armed Forces)
79

Authority: 33 U.S.C. 1322, 1361.

Source: 64 FR 25134, May 10, 1999, unless otherwise noted.

Subpart A—Scope

§ 1700.1 Applicability.

(a) This part applies to the owners and operators of Armed Forces vessels, except where the Secretary of Defense finds that compliance with this part 

is not in the interest of the national security of the United States. This part does not apply to vessels while they are under construction, vessels in 

drydock, amphibious vehicles, or vessels under the jurisdiction of the Department of Transportation other than those of the Coast Guard.

(b) This part also applies to States and political subdivisions of States.

§ 1700.2 Effect.

(a) This part identifies those discharges, other than sewage, incidental to the normal operation of Armed Forces vessels that require control within the 

navigable waters of the United States and the waters of the contiguous zone, and those discharges that do not require control. Discharges requiring 

control are identified in §1700.4. Discharges not requiring control are identified in §1700.5. Federal standards of performance for each required Marine 

Pollution Control Device are listed in §1700.14. This part is not applicable beyond the contiguous zone.

(b) This part prohibits States and their political subdivisions from adopting or enforcing State or local statutes or regulations controlling the discharges 

from Armed Forces vessels listed in §§1700.4 and 1700.5 according to the timing provisions in §1700.6, except to establish a no-discharge zone by 

State prohibition in accordance with §1700.9, or to apply for a no-discharge zone by EPA prohibition in accordance with §1700.10. This part also 

provides a mechanism for States to petition the Administrator and the Secretary to review a determination of whether a discharge requires control, or to 

review a Federal standard of performance for a Marine Pollution Control Device, in accordance with §§1700.11 through 1700.13.

§ 1700.3 Definitions.

Administrator means the Administrator of the United States Environmental Protection Agency or that person's authorized representative.

Armed Forces vessel means a vessel owned or operated by the United States Department of Defense or the United States Coast Guard, other than 

vessels that are time or voyage chartered by the Armed Forces, vessels of the U.S. Army Corps of Engineers, or vessels that are memorials or 

museums.

Discharge incidental to the normal operation of a vessel means a discharge, including, but not limited to: graywater, bilgewater, cooling water, weather 

deck runoff, ballast water, oil water separator effluent, and any other pollutant discharge from the operation of a marine propulsion system, shipboard 

maneuvering system, crew habitability system, or installed major equipment, such as an aircraft carrier elevator or a catapult, or from a protective, 

preservative, or absorptive application to the hull of a vessel; and a discharge in connection with the testing, maintenance, and repair of any of the 

aforementioned systems whenever the vessel is waterborne, including pierside. A discharge incidental to normal operation does not include:

(1) Sewage;

(2) A discharge of rubbish, trash, or garbage;

(3) A discharge of air emissions resulting from the operation of a vessel propulsion system, motor driven equipment, or incinerator;

(4) A discharge that requires a National Pollutant Discharge Elimination System (NPDES) permit under the Clean Water Act; or

(5) A discharge containing source, special nuclear, or byproduct materials regulated by the Atomic Energy Act.

Environmental Protection Agency, abbreviated EPA, means the United States Environmental Protection Agency.

Marine Pollution Control Device, abbreviated MPCD, means any equipment or management practice installed or used on an Armed Forces vessel that 

is designed to receive, retain, treat, control, or discharge a discharge incidental to the normal operation of a vessel, and that is determined by the 

Administrator and Secretary to be the most effective equipment or management practice to reduce the environmental impacts of the discharge 

consistent with the considerations in Clean Water Act section 312(n)(2)(B).

No-discharge zone means an area of specified waters established pursuant to this regulation into which one or more specified discharges incidental to 

the normal operation of Armed Forces vessels, whether treated or untreated, are prohibited.

Secretary means the Secretary of the United States Department of Defense or that person's authorized representative.
80

United States includes the States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, the Canal 

Zone, and the Trust Territory of the Pacific Islands.

Vessel includes every description of watercraft or other artificial contrivance used, or capable of being used, as a means of transportation on navigable 

waters of the United States or waters of the contiguous zone, but does not include amphibious vehicles.

Subpart B—Discharge Determinations

§ 1700.4 Discharges requiring control.

For the following discharges incidental to the normal operation of Armed Forces vessels, the Administrator and the Secretary have determined that it is 

reasonable and practicable to require use of a Marine Pollution Control Device for at least one class of vessel to mitigate adverse impacts on the 

marine environment:

(a) Aqueous Film-Forming Foam: the firefighting foam and seawater mixture discharged during training, testing, or maintenance operations.

(b) Catapult Water Brake Tank & Post-Launch Retraction Exhaust: the oily water skimmed from the water tank used to stop the forward motion of an 

aircraft carrier catapult, and the condensed steam discharged when the catapult is retracted.

(c) Chain Locker Effluent: the accumulated precipitation and seawater that is emptied from the compartment used to store the vessel's anchor chain.

(d) Clean Ballast: the seawater taken into, and discharged from, dedicated ballast tanks to maintain the stability of the vessel and to adjust the 

buoyancy of submarines.

(e) Compensated Fuel Ballast: the seawater taken into, and discharged from, ballast tanks designed to hold both ballast water and fuel to maintain the 

stability of the vessel.

(f) Controllable Pitch Propeller Hydraulic Fluid: the hydraulic fluid that discharges into the surrounding seawater from propeller seals as part of normal 

operation, and the hydraulic fluid released during routine maintenance of the propellers.

(g) Deck Runoff: the precipitation, washdowns, and seawater falling on the weather deck of a vessel and discharged overboard through deck openings.

(h) Dirty Ballast: the seawater taken into, and discharged from, empty fuel tanks to maintain the stability of the vessel.

(i) Distillation and Reverse Osmosis Brine: the concentrated seawater (brine) produced as a byproduct of the processes used to generate freshwater 

from seawater.

(j) Elevator Pit Effluent: the liquid that accumulates in, and is discharged from, the sumps of elevator wells on vessels.

(k) Firemain Systems: the seawater pumped through the firemain system for firemain testing, maintenance, and training, and to supply water for the 

operation of certain vessel systems.

(l) Gas Turbine Water Wash: the water released from washing gas turbine components.

(m) Graywater: galley, bath, and shower water, as well as wastewater from lavatory sinks, laundry, interior deck drains, water fountains, and shop 

sinks.

(n) Hull Coating Leachate: the constituents that leach, dissolve, ablate, or erode from the paint on the hull into the surrounding seawater.

(o) Motor Gasoline and Compensating Discharge: the seawater taken into, and discharged from, motor gasoline tanks to eliminate free space where 

vapors could accumulate.

(p) Non-Oily machinery wastewater: the combined wastewater from the operation of distilling plants, water chillers, valve packings, water piping, lowand high-pressure air compressors, and propulsion engine jacket coolers.

(q) Photographic Laboratory Drains: the laboratory wastewater resulting from processing of photographic film.

(r) Seawater Cooling Overboard Discharge: the discharge of seawater from a dedicated system that provides noncontact cooling water for other vessel 

systems.

(s) Seawater Piping Biofouling Prevention: the discharge of seawater containing additives used to prevent the growth and attachment of biofouling 

organisms in dedicated seawater cooling systems on selected vessels.

(t) Small Boat Engine Wet Exhaust: the seawater that is mixed and discharged with small boat propulsion engine exhaust to cool the exhaust and quiet 

the engine.
81

(u) Sonar Dome Discharge: the leaching of antifoulant materials into the surrounding seawater and the release of seawater or freshwater retained 

within the sonar dome.

(v) Submarine Bilgewater: the wastewater from a variety of sources that accumulates in the lowest part of the submarine (i.e., bilge).

(w) Surface Vessel Bilgewater/Oil-Water Separator Effluent: the wastewater from a variety of sources that accumulates in the lowest part of the vessel 

(the bilge), and the effluent produced when the wastewater is processed by an oil water separator.

(x) Underwater Ship Husbandry: the materials discharged during the inspection, maintenance, cleaning, and repair of hulls performed while the vessel 

is waterborne.

(y) Welldeck Discharges: the water that accumulates from seawater flooding of the docking well (welldeck) of a vessel used to transport, load, and 

unload amphibious vessels, and from maintenance and freshwater washings of the welldeck and equipment and vessels stored in the welldeck.

§ 1700.5 Discharges not requiring control.

For the following discharges incidental to the normal operation of Armed Forces vessels, the Administrator and the Secretary have determined that it is 

not reasonable or practicable to require use of a Marine Pollution Control Device to mitigate adverse impacts on the marine environment:

(a) Boiler Blowdown: the water and steam discharged when a steam boiler is blown down, or when a steam safety valve is tested.

(b) Catapult Wet Accumulator Discharge: the water discharged from a catapult wet accumulator, which stores a steam/water mixture for launching 

aircraft from an aircraft carrier.

(c) Cathodic Protection: the constituents released into surrounding water from sacrificial anode or impressed current cathodic hull corrosion protection 

systems.

(d) Freshwater Lay-up: the potable water that is discharged from the seawater cooling system while the vessel is in port, and the cooling system is in 

lay-up mode (a standby mode where seawater in the system is replaced with potable water for corrosion protection).

(e) Mine Countermeasures Equipment Lubrication: the constituents released into the surrounding seawater by erosion or dissolution from lubricated 

mine countermeasures equipment when the equipment is deployed and towed.

(f) Portable Damage Control Drain Pump Discharge: the seawater pumped through the portable damage control drain pump and discharged overboard 

during testing, maintenance, and training activities.

(g) Portable Damage Control Drain Pump Wet Exhaust: the seawater mixed and discharged with portable damage control drain pump exhaust to cool 

the exhaust and quiet the engine.

(h) Refrigeration and Air Conditioning Condensate: the drainage of condensed moisture from air conditioning units, refrigerators, freezers, and 

refrigerated spaces.

(i) Rudder Bearing Lubrication: the oil or grease released by the erosion or dissolution from lubricated bearings that support the rudder and allow it to 

turn freely.

(j) Steam Condensate: the condensed steam discharged from a vessel in port, where the steam originates from port facilities.

(k) Stern Tube Seals and Underwater Bearing Lubrication: the seawater pumped through stern tube seals and underwater bearings to lubricate and 

cool them during normal operation.

(l) Submarine Acoustic Countermeasures Launcher Discharge: the seawater that is mixed with acoustic countermeasure device propulsion gas 

following a countermeasure launch that is then exchanged with surrounding seawater, or partially drained when the launch assembly is removed from 

the submarine for maintenance.

(m) Submarine Emergency Diesel Engine Wet Exhaust: the seawater that is mixed and discharged with submarine emergency diesel engine exhaust 

to cool the exhaust and quiet the engine.

(n) Submarine Outboard Equipment Grease and External Hydraulics: the grease released into the surrounding seawater by erosion or dissolution from 

submarine equipment exposed to seawater.

Subpart C—Effect on States

§ 1700.6 Effect on State and local statutes and regulations.
82

(a) After the effective date of a final rule determining that it is not reasonable and practicable to require use of a Marine Pollution Control Device 

regarding a particular discharge incidental to the normal operation of an Armed Forces vessel, States or political subdivisions of States may not adopt 

or enforce any State or local statute or regulation, including issuance or enforcement of permits under the National Pollutant Discharge Elimination 

System, controlling that discharge, except that States may establish a no-discharge zone by State prohibition (as provided in §1700.9), or apply for a 

no-discharge zone by EPA prohibition (as provided in §1700.10).

(b)(1) After the effective date of a final rule determining that it is reasonable and practicable to require use of a Marine Pollution Control Device 

regarding a particular discharge incidental to the normal operation of an Armed Forces vessel, States may apply for a no-discharge zone by EPA 

prohibition (as provided in §1700.10) for that discharge.

(2) After the effective date of a final rule promulgated by the Secretary governing the design, construction, installation, and use of a Marine Pollution 

Control Device for a discharge listed in §1700.4, States or political subdivisions of States may not adopt or enforce any State or local statute or 

regulation, including issuance or enforcement of permits under the National Pollutant Discharge Elimination System, controlling that discharge except 

that States may establish a no-discharge zone by State prohibition (as provided in §1700.9), or apply for a no-discharge zone by EPA prohibition (as 

provided in §1700.10).

(c) The Governor of any State may submit a petition requesting that the Administrator and Secretary review a determination of whether a Marine 

Pollution Control Device is required for any discharge listed in §1700.4 or §1700.5, or review a Federal standard of performance for a Marine Pollution 

Control Device.

No-Discharge Zones

§ 1700.7 No-discharge zones.

For this part, a no-discharge zone is a waterbody, or portion thereof, where one or more discharges incidental to the normal operation of Armed Forces 

vessels, whether treated or not, are prohibited. A no-discharge zone is established either by State prohibition using the procedures in §1700.9, or by 

EPA prohibition, upon application of a State, using the procedures in §1700.10.

§ 1700.8 Discharges for which no-discharge zones can be established.

(a) A no-discharge zone may be established by State prohibition for any discharge listed in §1700.4 or §1700.5 following the procedures in §1700.9. A 

no-discharge zone established by a State using these procedures may apply only to those discharges that have been preempted from other State or 

local regulation pursuant to §1700.6.

(b) A no-discharge zone may be established by EPA prohibition for any discharge listed in §1700.4 or §1700.5 following the procedures in §1700.10.

§ 1700.9 No-discharge zones by State prohibition.

(a) A State seeking to establish a no-discharge zone by State prohibition must send to the Administrator the following information:

(1) The discharge from §1700.4 or §1700.5 to be prohibited within the no-discharge zone.

(2) A detailed description of the waterbody, or portions thereof, to be included in the prohibition. The description must include a map, preferably a 

USGS topographic quadrant map, clearly marking the zone boundaries by latitude and longitude.

(3) A determination that the protection and enhancement of the waters described in paragraph (a)(2) of this section require greater environmental 

protection than provided by existing Federal standards.

(4) A complete description of the facilities reasonably available for collecting the discharge including:

(i) A map showing their location(s) and a written location description.

(ii) A demonstration that the facilities have the capacity and capability to provide safe and sanitary removal of the volume of discharge being prohibited 

in terms of both vessel berthing and discharge reception.

(iii) The schedule of operating hours of the facilities.

(iv) The draft requirements of the vessel(s) that will be required to use the facilities and the available water depth at the facilities.

(v) Information showing that handling of the discharge at the facilities is in conformance with Federal law.

(5) Information on whether vessels other than those of the Armed Forces are subject to the same type of prohibition. If the State is not applying the 

prohibition to all vessels in the area, the State must demonstrate the technical or environmental basis for applying the prohibition only to Armed Forces 

vessels. The following information must be included in the technical or environmental basis for treating Armed Forces vessels differently:
83

(i) An analysis showing the relative contributions of the discharge from Armed Forces and non-Armed Forces vessels.

(ii) A description of State efforts to control the discharge from non-Armed Forces vessels.

(b) The information provided under paragraph (a) of this section must be sufficient to enable EPA to make the two determinations listed below. Prior to 

making these determinations, EPA will consult with the Secretary on the adequacy of the facilities and the operational impact of any prohibition on 

Armed Forces vessels.

(1) Adequate facilities for the safe and sanitary removal of the discharge are reasonably available for the specified waters.

(2) The prohibition will not have the effect of discriminating against vessels of the Armed Forces by reason of the ownership or operation by the Federal 

Government, or the military function, of the vessels.

(c) EPA will notify the State in writing of the result of the determinations under paragraph (b) of this section, and will provide a written explanation of 

any negative determinations. A no-discharge zone established by State prohibition will not go into effect until EPA determines that the conditions of 

paragraph (b) of this section have been met.

§ 1700.10 No-discharge zones by EPA prohibition.

(a) A State requesting EPA to establish a no-discharge zone must send to the Administrator an application containing the following information:

(1) The discharge from §1700.4 or §1700.5 to be prohibited within the no-discharge zone.

(2) A detailed description of the waterbody, or portions thereof, to be included in the prohibition. The description must include a map, preferably a 

USGS topographic quadrant map, clearly marking the zone boundaries by latitude and longitude.

(3) A technical analysis showing why protection and enhancement of the waters described in paragraph (a)(2) of this section require a prohibition of the 

discharge. The analysis must provide specific information on why the discharge adversely impacts the zone and how prohibition will protect the zone. 

In addition, the analysis should characterize any sensitive areas, such as aquatic sanctuaries, fish-spawning and nursery areas, pristine areas, areas 

not meeting water quality standards, drinking water intakes, and recreational areas.

(4) A complete description of the facilities reasonably available for collecting the discharge including:

(i) A map showing their location(s) and a written location description.

(ii) A demonstration that the facilities have the capacity and capability to provide safe and sanitary removal of the volume of discharge being prohibited 

in terms of both vessel berthing and discharge reception.

(iii) The schedule of operating hours of the facilities.

(iv) The draft requirements of the vessel(s) that will be required to use the facilities and the available water depth at the facilities.

(v) Information showing that handling of the discharge at the facilities is in conformance with Federal law.

(5) Information on whether vessels other than those of the Armed Forces are subject to the same type of prohibition. If the State is not applying a 

prohibition to other vessels in the area, the State must demonstrate the technical or environmental basis for applying a prohibition only to Armed 

Forces vessels. The following information must be included in the technical or environmental basis for treating Armed Forces vessels differently:

(i) An analysis showing the relative contributions of the discharge from Armed Forces and non-Armed Forces vessels.

(ii) A description of State efforts to control the discharge from non-Armed Forces vessels.

(b) The information provided under paragraph (a) of this section must be sufficient to enable EPA to make the three determinations listed below. Prior 

to making these determinations, EPA will consult with the Secretary on the adequacy of the facilities and the operational impact of the prohibition on 

Armed Forces vessels.

(1) The protection and enhancement of the specified waters require a prohibition of the discharge.

(2) Adequate facilities for the safe and sanitary removal of the discharge are reasonably available for the specified waters.

(3) The prohibition will not have the effect of discriminating against vessels of the Armed Forces by reason of the ownership or operation by the Federal 

Government, or the military function, or the vessels.

(c) If the three conditions in paragraph (b) of this section are met, EPA will by regulation establish the no-discharge zone. If the conditions in 

paragraphs (b) (1) and (3) of this section are met, but the condition in paragraph (b)(2) of this section is not met, EPA may establish the no-discharge 
84

zone if it determines that the significance of the waters and the potential impact of the discharge are of sufficient magnitude to warrant any resulting 

constraints on Armed Forces vessels.

(d) EPA will notify the State of its decision on the no-discharge zone application in writing. If EPA approves the no-discharge zone application, EPA will 

by regulation establish the no-discharge zone by modification to this part. A no-discharge zone established by EPA prohibition will not go into effect 

until the effective date of the regulation.

State Petition for Review

§ 1700.11 State petition for review of determinations or standards.

The Governor of any State may submit a petition requesting that the Administrator and Secretary review a determination of whether a Marine Pollution 

Control Device is required for any discharge listed in §1700.4 or §1700.5, or review a Federal standard of performance for a Marine Pollution Control 

Device. A State may submit a petition only where there is new, significant information not considered previously by the Administrator and Secretary.

§ 1700.12 Petition requirements.

A petition for review of a determination or standard must include:

(a) The discharge from §1700.4 or §1700.5 for which a change in determination is requested, or the performance standard from §1700.14 for which 

review is requested.

(b) The scientific and technical information on which the petition is based.

(c) A detailed explanation of why the State believes that consideration of the new information should result in a change to the determination or the 

standard on a nationwide basis, and an explanation of how the new information is relevant to one or more of the following factors:

(1) The nature of the discharge.

(2) The environmental effects of the discharge.

(3) The practicability of using a Marine Pollution Control Device.

(4) The effect that installation or use of the Marine Pollution Control Device would have on the operation or operational capability of the vessel.

(5) Applicable United States law.

(6) Applicable international standards.

(7) The economic costs of the installation and use of the Marine Pollution Control Device.

§ 1700.13 Petition decisions.

The Administrator and the Secretary will evaluate the petition and grant or deny the petition no later than two years after the date of receipt of the

petition. If the Administrator and Secretary grant the petition, they will undertake rulemaking to amend this part. If the Administrator and Secretary deny 

the petition, they will provide the State with a written explanation of why they denied it.

Subpart D—Marine Pollution Control Device (MPCD) Performance 

Standards

§ 1700.14 Marine Pollution Control Device (MPCD) Performance 

Standards. [Reserved]
85
86

Attachment C

CWA Section 312 (Marine Sanitation Devices)
87

Sec. 312 FEDERAL WATER POLLUTION CONTROL ACT 

MARINE SANITATION DEVICES

SEC. 312. (a) For the purpose of this section, the term—

(1) ‘‘new vessel’’ includes every description of watercraft or other artificial contrivance used, or capable of being 

used, as a means of transportation on the navigable waters, the construction of which is initiated after promulgation 

of standards and regulations under this section;

(2) ‘‘existing vessel’’ includes every description of watercraft or other artificial contrivance used, or capable of

being used, as a means of transportation on the navigable waters, the construction of which is initiated before 

promulgation of standards and regulations under this section;

(3) ‘‘public vessel’’ means a vessel owned or bareboat chartered and operated by the United States, by a State or 

political subdivision thereof, or by a foreign nation, except when such vessel is engaged in commerce;

(4) ‘‘United States’’ includes the States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin 

Islands,

Guam, American Samoa, the Canal Zone, and the Trust Territory of the Pacific Islands;

(5) ‘‘marine sanitation device’’ includes any equipment for installation on board a vessel which is designed to 

receive, retain, treat, or discharge sewage, and any process to treat such sewage;

(6) ‘‘sewage’’ means human body wastes and the wastes from toilets and other receptacles intended to receive or 

retain

body wastes except that, with respect to commercial vessels on the Great Lakes, such term shall include graywater;

(7) ‘‘manufacture’’ means any person engaged in the manufacturing, assembling, or importation of marine 

sanitation devices or of vessels subject to standards and regulations promulgated under this section;

(8) ‘‘person’’ means an individual, partnership, firm, corporation, association, or agency of the United States, but 

does

not include an individual on board a public vessel;

(9) ‘‘discharge’’ includes, but is not limited to, any spilling, leaking, pumping, pouring, emitting, emptying or 

dumping;

(10) ‘‘commercial vessels’’ means those vessels used in the business of transporting property for compensation or 

hire, or in transporting property in the business of the owner, lessee, or operator of the vessel;

(11) ‘‘graywater’’ means galley, bath, and shower water;

(12) ‘‘discharge incidental to the normal operation of a vessel’’—

(A) means a discharge, including—

(i) graywater, bilge water, cooling water, weather deck runoff, ballast water, oil water separator effluent, and any 

other pollutant discharge from the operation of a marine propulsion system, shipboard maneuvering system, crew 

habitability system, or installed major equipment, such as an aircraft carrier elevator or a catapult, or from a 

protective, preservative, or absorptive application to the hull of the vessel; and

(ii) a discharge in connection with the testing, maintenance, and repair of a system described in

clause (i) whenever the vessel is waterborne; and (B) does not include—

(i) a discharge of rubbish, trash, garbage, or other such material discharged overboard;

(ii) an air emission resulting from the operation of a vessel propulsion system, motor driven equipment,

or incinerator; or

(iii) a discharge that is not covered by part 122.3 of title 40, Code of Federal Regulations (as in effect on

the date of the enactment of subsection (n));

(13) ‘‘marine pollution control device’’ means any equipment or management practice, for installation or use on 

board

a vessel of the Armed Forces, that is—

(A) designed to receive, retain, treat, control, or discharge a discharge incidental to the normal operation of a

vessel; and

(B) determined by the Administrator and the Secretary of Defense to be the most effective equipment or

management practice to reduce the environmental impacts of the discharge consistent with the considerations set

forth in subsection (n)(2)(B); and

(14) ‘‘vessel of the Armed Forces’’ means—

(A) any vessel owned or operated by the Department of Defense, other than a time or voyage chartered vessel;and

(B) any vessel owned or operated by the Department of Transportation that is designated by the Secretary of

the department in which the Coast Guard is operating as a vessel equivalent to a vessel described in subparagraph

(A).

(b)(1) As soon as possible, after the enactment of this section and subject to the provisions of section 104(j) of this 

Act, the Administrator, after consultation with the Secretary of the department in which the Coast Guard is 

operating, after giving appropriate consideration to the economic costs involved, and within the limits of available 
88

technology, shall promulgate Federal standards of performance for marine sanitation devices (hereinafter in this 

section referred to as ‘‘standards’’) which shall be designed to prevent the discharge of untreated or inadequately 

treated sewage into or upon the navigable waters from new vessels and existing vessels, except vessels not equipped 

with installed toilet facilities.

Such standards and standards established under subsection (c)(1)(B) of this section shall be consistent with maritime 

safety and the marine and navigation laws and regulations and shall be coordinated with the regulations issued under 

this subsection by the Secretary of the department in which the Coast Guard is operating. The Secretary of the 

department in which the Coast Guard is operating shall promulgate regulations, which are consistent with standards 

promulgated under this subsection and subsection (c) of this section and with maritime safety and the marine and 

navigation

laws and regulations governing the design, construction, installation, and operation of any marine sanitation device 

on board such vessels.

(2) Any existing vessel equipped with a marine sanitation device on the date of promulgation of initial standards and 

regulations under this section, which device is in compliance with such initial standards and regulations, shall be 

deemed in compliance with this section until such time as the device is replaced or is found not to be in compliance 

with such initial standards and regulations. 

(c)(1)(A) Initial standards and regulations under this section shall become effective for new vessels two years after 

promulgation; and for existing vessels five years after promulgation. Revisions of standards and regulations shall be 

effective upon promulgation, unless another effective date is specified, except that no revision shall take effect 

before the effective date of the standard or regulation being revised.

(B) The Administrator shall, with respect to commercial vessels on the Great Lakes, establish standards which 

require at a minimum the equivalent of secondary treatment as defined under section 304(d) of this Act. Such 

standards and regulations shall take effect for existing vessels after such time as the Administrator determines to be 

reasonable for the upgrading of marine sanitation devices to attain such standard.

(2) The Secretary of the department in which the Coast Guard is operating with regard to his regulatory authority 

established by this section, after consultation with the Administrator, may distinguish among classes, types, and 

sizes of vessels as well as between new and existing vessels, and may waive applicability of standards and 

regulations as necessary or appropriate for such classes, types, and sizes of vessels (including existing vessels 

equipped with marine

sanitation devices on the date of promulgation of the initial standards required by this section), and, upon 

application, for individual vessels.

(d) The provisions of this section and the standards and regulations promulgated hereunder apply to vessels owned 

and operated by the United States unless the Secretary of Defense finds that compliance would not be in the interest 

of national security. With respect to vessels owned and operated by the Department of Defense, regulations under 

the last sentence of subsection (b)(1) of this section and certifications under subsection (g)(2) of this section shall be 

promulgated and issued by the Secretary of Defense.

(e) Before the standards and regulations under this section are promulgated, the Administrator and the Secretary of 

the department in which the Coast Guard is operating shall consult with the Secretary of State; the Secretary of 

Health, Education, and Welfare; the Secretary of Defense; the Secretary of the Treasury; the Secretary of 

Commerce; other interested Federal agencies; and the States and industries interested; and otherwise comply with 

the requirements

of section 553 of title 5 of the United States Code.

(f)(1)(A) Except as provided in subparagraph (B), after the effective date of the initial standards and regulations 

promulgated under this section, no State or political subdivision thereof shall adopt or enforce any statute or 

regulation of such State or political subdivision with respect to the design, manufacture, or installation or use of any 

marine sanitation device on any vessel subject to the provisions of this section.

(B) A State may adopt and enforce a statute or regulation with respect to the design, manufacture, or installation or 

use of any marine sanitation device on a houseboat, if such statute or regulation is more stringent than the standards 

and regulations promulgated under this section. For purposes of this paragraph, the term ‘‘houseboat’’ means a 

vessel which, for a period of time determined by the State in which the vessel is located, is used primarily as a 

residence and is not used primarily as a means of transportation.

(2) If, after promulgation of the initial standards and regulations and prior to their effective date, a vessel is equipped 

with a marine sanitation device in compliance with such standards and regulations and the installation and operation 

of such device is in accordance with such standards and regulations, such standards and regulations shall, for the 

purposes of paragraph (1) of this subsection, become effective with respect to such vessel on the date of

such compliance.

(3) After the effective date of the initial standards and regulations promulgated under this section, if any State 

determines that the protection and enhancement of the quality of some or all of the waters within such State require 

greater environmental protection, such State may completely prohibit the discharge from all vessels of any sewage, 
89

whether treated or not, into such waters, except that no such prohibition shall apply until the Administrator 

determines

that adequate facilities for the safe and sanitary removal and treatment of sewage from all vessels are reasonably 

available for such water to which such prohibition would apply. Upon application of the State, the Administrator 

shall make such determination within 90 days of the date of such application. 

(4)(A) If the Administrator determines upon application by a State that the protection and enhancement of the 

quality of specified waters within such State requires such a prohibition, he shall by regulation completely prohibit 

the discharge from a vessel of any sewage (whether treated or not) into such waters.

(B) Upon application by a State, the Administrator shall, by regulation, establish a drinking water intake zone in any 

waters within such State and prohibit the discharge of sewage from vessels

within that zone.

(g)(1) No manufacturer of a marine sanitation device shall sell, offer for sale, or introduce or deliver for introduction 

in interstate commerce, or import into the United States for sale or resale any marine sanitation device manufactured 

after the effective date of the standards and regulations promulgated under this section unless such device is in all 

material respects substantially the same as a test device certified under this subsection.

(2) Upon application of the manufacturer, the Secretary of the department in which the Coast Guard is operating 

shall so certify a marine sanitation device if he determines, in accordance with the provisions of this paragraph, that 

it meets the appropriate standards and regulations promulgated under this section. The Secretary of the department 

in which the Coast Guard is operating shall test or require such testing of the device in accordance with procedures 

set forth by the Administrator as to standards of performance andfor such other purposes as may be appropriate. If 

the Secretary of

the department in which the Coast Guard is operating determines that the device is satisfactory from the standpoint 

of safety and any other requirements of maritime law or regulation, and after consideration of the design, 

installation, operation, material, or other appropriate factors, he shall certify the device. Any device manufactured by 

such manufacturer which is in all material respects substantially the same as the certified test device shall be deemed 

to be in conformity with the appropriate standards and regulations established under this section.

(3) Every manufacturer shall establish and maintain such records, make such reports, and provide such information 

as the Administrator or the Secretary of the department in which the Coast Guard is operating may reasonably 

require to enable him to determine whether such manufacturer has acted or is acting in compliance with this section 

and regulations issued thereunder and shall, upon request of an officer or employee duly designated by the 

Administrator or the Secretary of the department in which the Coast Guard is operating, permit such officer or 

employee at reasonable times to have access to and copy such records. All information reported to or otherwise 

obtained by the Administrator or the Secretary of the department in which the Coast Guard is operating or their 

representatives pursuant to this subsection which contains or relates to a trade secret or other matter referred in 

section 1905 of title 18 of the United States Code shall be considered confidential for the purpose of that section, 

except that such information may be disclosed to other officers or employees concerned with carrying out this 

section. This paragraph shall not apply in the case of the construction of a vessel by an individual for his own use.

(h) After the effective date of standards and regulations promulgated under this section, it shall be unlawful—

(1) for the manufacturer of any vessel subject to such standards and regulations to manufacture for sale, to sell or 

offer for sale, or to distribute for sale or resale any such vessel unless it is equipped with a marine sanitation device 

which is in all material respects substantially the same as the appropriate test device certified pursuant to this 

section; 

(2) for any person, prior to the sale or delivery of a vessel subject to such standards and regulations to the ultimate 

purchaser, wrongfully to remove or render inoperative any certified marine sanitation device or element of design of 

such device installed in such vessel;

(3) for any person to fail or refuse to permit access to or copying of records or to fail to make reports or provide 

information required under this section; and

(4) for a vessel subject to such standards and regulations to operate on the navigable waters of the United States, if 

such vessel is not equipped with an operable marine sanitation device certified pursuant to this section.

(i) The district courts of the United States shall have jurisdictions to restrain violations of subsection (g)(1) of this 

section and subsections (h)(1) through (3) of this section. Actions to restrain such violations shall be brought by, and 

in, the name of the United States. In case of contumacy or refusal to obey a subpena served upon any person under 

this subsection, the district court of the United States for any district in which such person is found or resides or 

transacts business, upon application by the United States and after notice to such person, shall have jurisdiction to 

issue an order requiring such person to appear and give testimony or to appear and produce documents, and any 

failure to obey such order of the court may be punished by such court as a contempt thereof.

(j) Any person who violates subsection (g)(1), clause (1) or (2) of subsection (h), or subsection (n)(8) shall be liable 

to a civil penalty of not more than $5,000 for each violation. Any person who violates clause (4) of subsection (h) of 

this section or any regulation issued pursuant to this section shall be liable to a civil penalty of not more than $2,000 
90

for each violation. Each violation shall be a separate offense. The Secretary of the department in which the Coast 

Guard is operating may assess and compromise any such penalty. No penalty shall be assessed until the person 

charged shall have been given notice and an opportunity for a hearing on such charge. In determining the amount of 

the penalty, or the amount agreed upon in compromise, the gravity of the violation, and the demonstrated good faith 

of the person charged in attempting to achieve rapid compliance, after notification of a violation, shall be considered 

by said Secretary.

(k) The provisions of this section shall be enforced by the Secretary of the department in which the Coast Guard is 

operating and he may utilize by agreement, with or without reimbursement, law enforcement officers or other 

personnel and facilities of the Administrator, other Federal agencies, or the States to carry out the provisions of this 

section. The provisions of this section may also be enforced by a State.

(l) Anyone authorized by the Secretary of the department in which the Coast Guard is operating to enforce the 

provisions of this section may, except as to public vessels, (1) board and inspect any vessel upon the navigable 

waters of the United States and (2) execute any warrant or other process issued by an officer or court of competent 

jurisdiction.

(m) In the case of Guam and the Trust Territory of the Pacific Islands, actions arising under this section may be 

brought in the district court of Guam, and in the case of the Virgin Islands such actions may be brought in the 

district court of the Virgin Islands. In the case of American Samoa and the Trust Territory of the Pacific Islands, 

such actions may be brought in the District Court of the United States for the District of Hawaii and such court shall 

have jurisdiction of such actions. In the case of the Canal Zone, such actions may be brought in the District Court for 

the District of the Canal Zone.

(n) UNIFORM NATIONAL DISCHARGE STANDARDS FOR VESSELS OF THE ARMED FORCES.—

(1) APPLICABILITY.—This subsection shall apply to vessels of the Armed Forces and discharges, other than sewage, 

incidental to the normal operation of a vessel of the Armed Forces, unless the Secretary of Defense finds that 

compliance with this subsection would not be in the national security interests of the United States.

(2) DETERMINATION OF DISCHARGES REQUIRED TO BE CONTROLLED BY MARINE POLLUTION CONTROL DEVICES.—

(A) IN GENERAL.—The Administrator and the Secretary of Defense, after consultation with the Secretary of the 

department in which the Coast Guard is operating, the Secretary of Commerce, and interested States, shall jointly 

determine the discharges incidental to the normal operation of a vessel of the Armed Forces for which it is 

reasonable and practicable to require use of a marine pollution control device to mitigate adverse impacts on the 

marine environment. Notwithstanding subsection (a)(1) of section 553 of title 5, United States Code, the 

Administrator and the Secretary of Defense shall promulgate the determinations in accordance with such section. 

The Secretary of Defense shall require the use of a marine pollution control device on board a vessel of the Armed 

Forces in any case in which it is determined that the use of such a device is reasonable and practicable. 

(B) CONSIDERATIONS.—In making a determination under subparagraph (A), the Administrator and the Secretary of 

Defense shall take into consideration—

(i) the nature of the discharge;

(ii) the environmental effects of the discharge;

(iii) the practicability of using the marine pollution

control device;

(iv) the effect that installation or use of the marine pollution control device would have on the operation

or operational capability of the vessel;

(v) applicable United States law;

(vi) applicable international standards; and

(vii) the economic costs of the installation and use of the marine pollution control device.

(3) PERFORMANCE STANDARDS FOR MARINE POLLUTION CONTROL

DEVICES.—

(A) IN GENERAL.—For each discharge for which a marine pollution control device is determined to be required under 

paragraph (2), the Administrator and the Secretary of Defense, in consultation with the Secretary of the department 

in which the Coast Guard is operating, the Secretary of State, the Secretary of Commerce, other interested Federal 

agencies, and interested States, shall jointly promulgate Federal standards of performance for each marine pollution 

control device required with respect to the discharge. Notwithstanding subsection (a)(1) of section 553 of title 5, 

United States Code, the Administrator and the Secretary of Defense shall promulgate the standards in accordance 

with such section. 

(B) CONSIDERATIONS.—In promulgating standards under this paragraph, the Administrator and the Secretary

of Defense shall take into consideration the matters set forth in paragraph (2)(B).

(C) CLASSES, TYPES, AND SIZES OF VESSELS.—The standards promulgated under this paragraph may—

(i) distinguish among classes, types, and sizes of

vessels;

(ii) distinguish between new and existing vessels; and
91

(iii) provide for a waiver of the applicability of the standards as necessary or appropriate to a particular class, type, 

age, or size of vessel.

(4) REGULATIONS FOR USE OF MARINE POLLUTION CONTROL DEVICES.—The Secretary of Defense, after consultation with 

the Administrator and the Secretary of the department in which the Coast Guard is operating, shall promulgate such 

regulations governing the design, construction, installation, and use of marine pollution control devices on board 

vessels of the Armed Forces as are necessary to achieve the standards promulgated under paragraph (3).

(5) DEADLINES; EFFECTIVE DATE.—

(A) DETERMINATIONS.—The Administrator and the Secretary of Defense shall—

(i) make the initial determinations under paragraph

(2) not later than 2 years after the date of the enactment of this subsection; and

(ii) every 5 years—

(I) review the determinations; and

(II) if necessary, revise the determinations based on significant new information.

(B) STANDARDS.—The Administrator and the Secretary of Defense shall—

(i) promulgate standards of performance for a marine pollution control device under paragraph (3) not later than 2 

years after the date of a determination under paragraph (2) that the marine pollution control device is required; and

(ii) every 5 years—

(I) review the standards; and

(II) if necessary, revise the standards, consistent with paragraph (3)(B) and based on significant new information.

(C) REGULATIONS.—The Secretary of Defense shall promulgate regulations with respect to a marine pollution 

control device under paragraph (4) as soon as practicable after the Administrator and the Secretary of Defense 

promulgate standards with respect to the device under paragraph

(3), but not later than 1 year after the Administrator and the Secretary of Defense promulgate the standards. The 

regulations promulgated by the Secretary of Defense under paragraph (4) shall become effective upon promulgation 

unless another effective date is specified in the regulations.

(D) PETITION FOR REVIEW.—The Governor of any State may submit a petition requesting that the Secretary of 

Defense

and the Administrator review a determination under paragraph (2) or a standard under paragraph (3), if there is 

significant new information, not considered previously, that could reasonably result in a change to the particular 

determination or standard after consideration of the matters set forth in paragraph (2)(B). The petition shall be 

accompanied by the scientific and technical information on which the petition is based. The Administrator and the 

Secretary of Defense shall grant or deny the petition not later than 2 years after the date of receipt of the petition.

(6) EFFECT ON OTHER LAWS.— (A) PROHIBITION ON REGULATION BY STATES OR POLITICAL SUBDIVISIONS OF STATES.—

Beginning on the effective date of—

(i) a determination under paragraph (2) that it is not reasonable and practicable to require use of a marine pollution 

control device regarding a particular discharge incidental to the normal operation of a vessel of the Armed Forces; or

(ii) regulations promulgated by the Secretary of Defense under paragraph (4); except as provided in paragraph (7), 

neither a State nor a political subdivision of a State may adopt or enforce any statute or regulation of the State or 

political subdivision with respect to the discharge or the design, construction, installation, or use of any marine 

pollution control device required to control discharges from a vessel of the Armed Forces.

(B) FEDERAL LAWS.—This subsection shall not affect the application of section 311 to discharges incidental to the 

normal operation of a vessel.

(7) ESTABLISHMENT OF STATE NO-DISCHARGE ZONES.—

(A) STATE PROHIBITION.—

(i) IN GENERAL.—After the effective date of— (I) a determination under paragraph (2) that

it is not reasonable and practicable to require use of a marine pollution control device regarding a

particular discharge incidental to the normal operation of a vessel of the Armed Forces; or

(II) regulations promulgated by the Secretary of Defense under paragraph (4);

if a State determines that the protection and enhancement of the quality of some or all of the waters within

the State require greater environmental protection, the State may prohibit 1 or more discharges incidental

to the normal operation of a vessel, whether treated or not treated, into the waters. No prohibition shall apply

until the Administrator makes the determinations described in subclauses (II) and (III) of subparagraph

(B)(i).

(ii) DOCUMENTATION.—To the extent that a prohibition under this paragraph would apply to vessels of

the Armed Forces and not to other types of vessels, the State shall document the technical or environmental

basis for the distinction.

(B) PROHIBITION BY THE ADMINISTRATOR.—

(i) IN GENERAL.—Upon application of a State, the Administrator shall by regulation prohibit the discharge

from a vessel of 1 or more discharges incidental to the normal operation of a vessel, whether treated or
92

not treated, into the waters covered by the application if the Administrator determines that—

(I) the protection and enhancement of the quality of the specified waters within the State require

a prohibition of the discharge into the waters;

(II) adequate facilities for the safe and sanitary removal of the discharge incidental to the

normal operation of a vessel are reasonably available for the waters to which the prohibition would

apply; and

(III) the prohibition will not have the effect of discriminating against a vessel of the Armed

Forces by reason of the ownership or operation by the Federal Government, or the military function,

of the vessel.

(ii) APPROVAL OR DISAPPROVAL.—The Administrator shall approve or disapprove an application submitted

under clause (i) not later than 90 days after the date on which the application is submitted to the Administrator.

Notwithstanding clause (i)(II), the Administrator shall not disapprove an application for the

sole reason that there are not adequate facilities to remove any discharge incidental to the normal operation

of a vessel from vessels of the Armed Forces. 

(C) APPLICABILITY TO FOREIGN FLAGGED VESSELS.—A prohibition under this paragraph—

(i) shall not impose any design, construction, manning, or equipment standard on a foreign flagged vessel engaged in innocent passage unless the prohibition implements a generally accepted international rule or

standard; and

(ii) that relates to the prevention, reduction, and control of pollution shall not apply to a foreign flagged

vessel engaged in transit passage unless the prohibition implements an applicable international regulation

regarding the discharge of oil, oily waste, or any other noxious substance into the waters.

(8) PROHIBITION RELATING TO VESSELS OF THE ARMED FORCES.—After the effective date of the regulations promulgated

by the Secretary of Defense under paragraph (4), it shall be unlawful for any vessel of the Armed Forces subject to 

the

regulations to—

(A) operate in the navigable waters of the United States or the waters of the contiguous zone, if the vessel

is not equipped with any required marine pollution control device meeting standards established under this 

subsection;

or

(B) discharge overboard any discharge incidental to the normal operation of a vessel in waters with respect to

which a prohibition on the discharge has been established under paragraph (7).

(9) ENFORCEMENT.—This subsection shall be enforceable, as provided in subsections (j) and (k), against any agency 

of the United States responsible for vessels of the Armed Forces notwithstanding any immunity asserted by the 

agency.

(33 U.S.C. 1322)
93

Attachment D

40 CFR 140 (Marine Sanitation Device Standard)
94

§ 140.1 Definitions.

For the purpose of these standards the following definitions shall apply: 

(a) Sewage means human body wastes and the wastes from toilets and other receptacles intended to 

receive or retain body wastes; 

(b) Discharge includes, but is not limited to, any spilling, leaking, pumping, pouring, emitting, 

emptying, or dumping; 

(c) Marine sanitation device includes any equipment for installation onboard a vessel and which is 

designed to receive, retain, treat, or discharge sewage and any process to treat such sewage; 

(d) Vessel includes every description of watercraft or other artificial contrivance used, or capable of 

being used, as a means of transportation on waters of the United States; 

(e) New vessel refers to any vessel on which construction was initiated on or after January 30, 1975; 

(f) Existing vessel refers to any vessel on which construction was initiated before January 30, 1975; 

(g) Fecal coliform bacteria are those organisms associated with the intestines of warm-blooded 

animals that are commonly used to indicate the presence of fecal material and the potential 

presence of organisms capable of causing human disease. 

§ 140.2 Scope of standard.

 

The standard adopted herein applies only to vessels on which a marine sanitation device has been 

installed. The standard does not require the installation of a marine sanitation device on any vessel 

that is not so equipped. The standard applies to vessels owned and operated by the United States 

unless the Secretary of Defense finds that compliance would not be in the interest of national 

security. 

§ 140.3 Standard.

 

(a) (1) In freshwater lakes, freshwater reservoirs or other freshwater impoundments whose inlets or 

outlets are such as to prevent the ingress or egress by vessel traffic subject to this regulation, or in 

rivers not capable of navigation by interstate vessel traffic subject to this regulation, marine 

sanitation devices certified by the U.S. Coast Guard (see 33 CFR part 159, published in 40 FR 4622, 

January 30, 1975), installed on all vessels shall be designed and operated to prevent the overboard 

discharge of sewage, treated or untreated, or of any waste derived from sewage. This shall not be 

construed to prohibit the carriage of Coast Guard-certified flow-through treatment devices which 

have been secured so as to prevent such discharges. 

(2) In all other waters, Coast Guard-certified marine sanitation devices installed on all vessels shall 

be designed and operated to either retain, dispose of, or discharge sewage. If the device has a 

discharge, subject to paragraph (d) of this section, the effluent shall not have a fecal coliform 

bacterial count of greater than 1,000 per 100 milliliters nor visible floating solids. Waters where a 

Coast Guard-certified marine sanitation device permitting discharge is allowed include coastal 

waters and estuaries, the Great Lakes and inter-connected waterways, fresh-water lakes and 

impoundments accessible through locks, and other flowing waters that are navigable interstate by 

vessels subject to this regulation. 

(b) This standard shall become effective on January 30, 1977 for new vessels and on January 30, 

1980 for existing vessels (or, in the case of vessels owned and operated by the Department of 
95

Defense, two years and five years, for new and existing vessels, respectively, after promulgation of 

implementing regulations by the Secretary of Defense under section 312(d) of the Act). 

(c) Any vessel which is equipped as of the date of promulgation of this regulation with a Coast 

Guard-certified flow-through marine sanitation device meeting the requirements of paragraph 

(a)(2) of this section, shall not be required to comply with the provisions designed to prevent the 

overboard discharge of sewage, treated or untreated, in paragraph (a)(1) of this section, for the 

operable life of that device. 

(d) After January 30, 1980, subject to paragraphs (e) and (f) of this section, marine sanitation 

devices on all vessels on waters that are not subject to a prohibition of the overboard discharge of 

sewage, treated or untreated, as specified in paragraph (a)(1) of this section, shall be designed and 

operated to either retain, dispose of, or discharge sewage, and shall be certified by the U.S. Coast 

Guard. If the device has a discharge, the effluent shall not have a fecal coliform bacterial count of 

greater than 200 per 100 milliliters, nor suspended solids greater than 150 mg/1. 

(e) Any existing vessel on waters not subject to a prohibition of the overboard discharge of sewage 

in paragraph (a)(1) of this section, and which is equipped with a certified device on or before 

January 30, 1978, shall not be required to comply with paragraph (d) of this section, for the 

operable life of that device. 

(f) Any new vessel on waters not subject to the prohibition of the overboard discharge of sewage in 

paragraph (a)(1) of this section, and on which construction is initiated before January 31, 1980, 

which is equipped with a marine sanitation device before January 31, 1980, certified under 

paragraph (a)(2) of this section, shall not be required to comply with paragraph (d) of this section, 

for the operable life of that device. 

(g) The degrees of treatment described in paragraphs (a) and (d) of this section are “appropriate 

standards” for purposes of Coast Guard and Department of Defense certification pursuant to 

section 312(g)(2) of the Act. 

[41 FR 4453, Jan. 29, 1976, as amended at 60 FR 33932, June 29, 1995]

§ 140.4 Complete prohibition.

 

(a) Prohibition pursuant to CWA section 312(f)(3): a State may completely prohibit the discharge 

from all vessels of any sewage, whether treated or not, into some or all of the waters within such 

State by making a written application to the Administrator, Environmental Protection Agency, and 

by receiving the Administrator's affirmative determination pursuant to section 312(f)(3) of the Act. 

Upon receipt of an application under section 312(f)(3) of the Act, the Administrator will determine 

within 90 days whether adequate facilities for the safe and sanitary removal and treatment of 

sewage from all vessels using such waters are reasonably available. Applications made by States 

pursuant to section 312(f)(3) of the Act shall include:

(1) A certification that the protection and enhancement of the waters described in the petition 

require greater environmental protection than the applicable Federal standard;

(2) A map showing the location of commercial and recreational pump-out facilities;

(3) A description of the location of pump-out facilities within waters designated for no discharge;

(4) The general schedule of operating hours of the pump-out facilities;

(5) The draught requirements on vessels that may be excluded because of insufficient water depth 

adjacent to the facility;
96

(6) Information indicating that treatment of wastes from such pump-out facilities is in conformance 

with Federal law; and

(7) Information on vessel population and vessel usage of the subject waters. 

(b) Prohibition pursuant to CWA section 312(f)(4)(A): a State may make a written application to 

the Administrator, Environmental Protection Agency, under section 312(f)(4)(A) of the Act, for the 

issuance of a regulation completely prohibiting discharge from a vessel of any sewage, whether 

treated or not, into particular waters of the United States or specified portions thereof, which 

waters are located within the boundaries of such State. Such application shall specify with 

particularly the waters, or portions thereof, for which a complete prohibition is desired. The 

application shall include identification of water recreational areas, drinking water intakes, aquatic 

sanctuaries, identifiable fish-spawning and nursery areas, and areas of intensive boating activities. 

If, on the basis of the State's application and any other information available to him, the 

Administrator is unable to make a finding that the waters listed in the application require a 

complete prohibition of any discharge in the waters or portions thereof covered by the application, 

he shall state the reasons why he cannot make such a finding, and shall deny the application. If the 

Administrator makes a finding that the waters listed in the application require a complete 

prohibition of any discharge in all or any part of the waters or portions thereof covered by the 

State's application, he shall publish notice of such findings together with a notice of proposed rule 

making, and then shall proceed in accordance with 5 U.S.C. 553. If the Administrator's finding is 

that applicable water quality standards require a complete prohibition covering a more restricted 

or more expanded area than that applied for by the State, he shall state the reasons why his finding 

differs in scope from that requested in the State's application. 

(1) For the following waters the discharge from a vessel of any sewage (whether treated or not) is 

completely prohibited pursuant to CWA section 312(f)(4)(A):

(i) Boundary Waters Canoe Area, formerly designated as the Superior, Little Indian Sioux, and 

Caribou Roadless Areas, in the Superior National Forest, Minnesota, as described in 16 U.S.C. 577–

577d1.

(ii) Waters of the State of Florida within the boundaries of the Florida Keys National Marine 

Sanctuary as delineated on a map of the Sanctuary at http://www.fknms.nos.noaa.gov/.

(c)(1) Prohibition pursuant to CWA section 312(f)(4)(B): A State may make written application to 

the Administrator of the Environmental Protection Agency under section 312(f)(4)(B) of the Act for 

the issuance of a regulation establishing a drinking water intake no discharge zone which 

completely prohibits discharge from a vessel of any sewage, whether treated or untreated, into that 

zone in particular waters, or portions thereof, within such State. Such application shall:

(i) Identify and describe exactly and in detail the location of the drinking water supply intake(s) 

and the community served by the intake(s), including average and maximum expected amounts of 

inflow;

(ii) Specify and describe exactly and in detail, the waters, or portions thereof, for which a complete 

prohibition is desired, and where appropriate, average, maximum and low flows in million gallons 

per day (MGD) or the metric equivalent;

(iii) Include a map, either a USGS topographic quadrant map or a NOAA nautical chart, as 

applicable, clearly marking by latitude and longitude the waters or portions thereof to be 

designated a drinking water intake zone; and

(iv) Include a statement of basis justifying the size of the requested drinking water intake zone, for 
97

example, identifying areas of intensive boating activities.

(2) If the Administrator finds that a complete prohibition is appropriate under this paragraph, he 

or she shall publish notice of such finding together with a notice of proposed rulemaking, and then 

shall proceed in accordance with 5 U.S.C. 553. If the Administrator's finding is that a complete 

prohibition covering a more restricted or more expanded area than that applied for by the State is 

appropriate, he or she shall also include a statement of the reasons why the finding differs in scope 

from that requested in the State's application.

(3) If the Administrator finds that a complete prohibition is inappropriate under this paragraph, he 

or she shall deny the application and state the reasons for such denial.

(4) For the following waters the discharge from a vessel of any sewage, whether treated or not, is 

completely prohibited pursuant to CWA section 312(f)(4)(B):

(i) Two portions of the Hudson River in New York State, the first is bounded by an east-west line 

through the most northern confluence of the Mohawk River which will be designated by the 

Troy-Waterford Bridge (126th Street Bridge) on the south and Lock 2 on the north, and the second 

of which is bounded on the north by the southern end of Houghtaling Island and on the south by a 

line between the Village of Roseton on the western shore and Low Point on the eastern shore in the 

vicinity of Chelsea, as described in Items 2 and 3 of 6 NYCRR Part 858.4.

(ii) [Reserved]

[41 FR 4453, Jan. 29, 1976, as amended at 42 FR 43837, Aug. 31, 1977; 60 FR 63945, Dec. 13, 1995; 

63 FR 1320, Jan. 8, 1998; 67 FR 35743, May 21, 2002]

§ 140.5 Analytical procedures.

 

In determining the composition and quality of effluent discharge from marine sanitation devices, 

the procedures contained in 40 CFR part 136, “Guidelines Establishing Test Procedures for the 

Analysis of Pollutants,” or subsequent revisions or amendments thereto, shall be employed.