Document ID: USCG-2012-0924-0010
Agency: uscg
Document Type: Rule
Title: Ballast Water Management Reporting and Recordkeeping
Posted Date: 2015-11-24T05:00Z

[Federal Register Volume 80, Number 226 (Tuesday, November 24, 2015)]
[Rules and Regulations]
[Pages 73105-73115]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-29848]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 151

[Docket No. USCG-2012-0924]
RIN 1625-AB68

Ballast Water Management Reporting and Recordkeeping

AGENCY: Coast Guard, DHS.

ACTION: Final rule.

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SUMMARY: This final rule amends the Coast Guard's ballast water 
management reporting and recordkeeping requirements. Upon the effective 
date of this rule, the Coast Guard will require vessels with ballast 
tanks operating exclusively on voyages between ports or places within a 
single Captain of the Port Zone to submit an annual report of their 
ballast water management practices. This rule also simplifies and 
streamlines the ballast water report form. Finally, this rule will 
allow most vessels to submit ballast water reports after arrival at a 
port or place of destination, instead of requiring submission of such 
reports prior to arrival. This rule will reduce the administrative 
burden on the regulated population, while still providing the Coast 
Guard with the information necessary to analyze and understand ballast 
water management practices.

DATES: This final rule is effective February 22, 2016, except for the 
amendments to 33 CFR 151.2060(b) through (f) and 151.2070, which 
contain collection of information requirements that have not yet been 
approved by the Office of Management and Budget (OMB). The Coast Guard 
will publish a document in the Federal Register announcing the 
effective date of those sections.

ADDRESSES: Comments and material received from the public, as well as 
documents mentioned in this preamble as being available in the docket, 
are part of docket USCG-2012-0924 and are available on the Internet by 
going to http://www.regulations.gov, inserting USCG-2010-0924 in the 
``Keyword'' box, and then clicking ``Search.''

FOR FURTHER INFORMATION CONTACT: If you have questions on this rule, 
call or email Ms. Regina Bergner, Environmental Standards Division (CG-
OES-3), Coast Guard; telephone 202-372-1431, email 
Regina.R.Bergner@uscg.mil.

SUPPLEMENTARY INFORMATION:

Table of Contents for Preamble

I. Abbreviations
II. Background
III. Basis and Purpose
    A. Legal Authority
    B. Purposes of This Regulatory Action
IV. Regulatory History
V. Discussion of NPRM Comments and Changes
    A. Three Year Annual Reporting Requirement for Vessels Operating 
Exclusively Within a Single COTP Zone
    B. Revisions to the Ballast Water Reporting Form
    C. Timing of Report Submission
    D. Other Comments and Changes
VI. Regulatory Analyses
    A. Regulatory Planning and Review
    1. Require Vessels Operating in One COTP Zone To Report BWM 
Practices
    2. Update Current Ballast Water Report Requirements (33 CFR 
151.2070)
    3. Allow Vessels To Submit Ballast Water Reports After Arrival 
to the Port or Place of Destination
    4. Change the Format of Electronic Reports
    5. Summary of Economic Impacts of Final Rule
    B. Small Entities
    C. Assistance for Small Entities
    D. Collection of Information
    E. Federalism
    F. Unfunded Mandates Reform Act
    G. Taking of Private Property
    H. Civil Justice Reform
    I. Protection of Children
    J. Indian Tribal Governments
    K. Energy Effects
    L. Technical Standards
    M. Environment

I. Abbreviations

BWM Ballast Water Management
CFR Code of Federal Regulations
COTP Captain of the Port
EPA Environmental Protection Agency
EEZ Exclusive Economic Zone
FR Federal Register
IMO International Maritime Organization
MISLE Marine Information for Safety and Law Enforcement
NANPCA Non-Indigenous Aquatic Nuisance Prevention and Control Act of 
1990
NBIC National Ballast Information Clearinghouse
NISA National Invasive Species Act of 1996
OMB Office of Management and Budget
Pub. L. Public Law
RFA Regulatory Flexibility Act
SANS Ship Arrival Notification System
U.S.C. United States Code

II. Background

    A vessel brings water into its ballast tanks to control or maintain 
trim, draft, stability or stress of the vessel when it is fully or 
partially empty of cargo. Generally, the vessel will discharge ballast 
water when it loads cargo, often at another port of call. Vessels 
discharge more than 80 million tons of ballast water annually into U.S. 
waters.\1\
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    \1\ See the American Association of Port Authorities Web site at 
http://www.aapa-ports.org/Issues/USGovRelDetail.cfm?itemnumber=880.
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    Many invasive species have been introduced into U.S. waters through 
ballast water discharge because ballast water often contains organisms 
indigenous to the area where it was loaded. These organisms can become 
invasive species when they are discharged in a new location, often with 
damaging results.\2\
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    \2\ For a list of examples of aquatic bio-invasions causing 
major impact internationally, see the International Maritime 
Organization's Web site at: http://www.imo.org/OurWork/Environment/BallastWaterManagement/Pages/AquaticInvasiveSpecies(AIS).aspx.
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    The Great Lakes provide many examples of the damage invasive 
species can inflict on an environment. According to the U.S. 
Environmental Protection Agency (EPA),\3\ no fewer than 25 invasive 
species of fish have entered the Great Lakes. Invasive filter-feeders 
such as zebra mussels have caused severe problems at power plants and 
municipal water supplies, clogging intake screens, pipes, and cooling 
systems. Fast-growing invasive plants have displaced native plant 
populations that support wildlife habitat and prevent erosion. The 
prevalence of these invasive plant species has also hindered commercial 
and recreational activities. Similar problems with invasive species 
have occurred in U.S. waters throughout the country.\4\
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    \3\ See the EPA's Web site at http://www.epa.gov/glnpo/invasive.
    \4\ The U.S. Geological Survey maintains an online database of 
non-indigenous aquatic species at http://nas.er.usgs.gov. The 
database is searchable by several variables, including by state and 
species.
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III. Basis and Purpose

A. Legal Authority

    The Non-Indigenous Aquatic Nuisance Prevention and Control Act of 
1990 (NANPCA, Pub. L. 101-646), as amended by the National Invasive 
Species Act of 1996 (NISA), (Pub. L. 104-332), requires the Secretary 
of Homeland Security (Secretary) to ensure, to the maximum extent 
practicable, that aquatic nuisance species are not discharged into U.S. 
waters from vessels (16 U.S.C. 4701 et seq.). These statutes also 
direct the Secretary to issue regulations and collect records regarding 
vessel ballasting practices as a means for determining vessel 
compliance with the

[[Page 73106]]

ballast water management (BWM) program (16 U.S.C. 4711(c) and (f)).
    The Secretary has delegated the regulatory functions and 
authorities in 16 U.S.C. 4711 to the Commandant of the Coast Guard 
(Department of Homeland Security Delegation No. 0170.1 (II.) 57). Coast 
Guard regulations regarding BWM are located in 33 CFR part 151, 
subparts C and D. With limited exceptions, these regulations apply to 
all vessels, U.S. and foreign, equipped with ballast tanks, that 
operate in U.S. waters. (see 33 CFR 151.2005, 151.2010, 151.2015, and 
151.2025).
    This final rule revises the regulatory provisions that deal with 
BWM reporting and recordkeeping requirements. A full discussion of the 
statutory and regulatory history of the Coast Guard's broader actions 
to implement both NANPCA and NISA may be found in the preamble to the 
final rule entitled ``Standards for Living Organisms in Ships' Ballast 
Water Discharged in U.S. Waters,'' published on March 23, 2012 (77 FR 
17254).

B. Purposes of This Regulatory Action

    This regulatory action implements provisions of NANPCA and NISA by 
requiring the collection of records on vessel BWM practices. The Coast 
Guard will now require vessels with ballast tanks operating exclusively 
on voyages between ports or places within a single Captain of the Port 
(COTP) Zone to submit an annual report of their BWM practices. This 
rule also allows most vessels to submit ballast water reports after 
arrival at a port or place of destination, instead of requiring 
submission of such reports prior to arrival. Additionally, this rule 
simplifies and streamlines the ballast water report form. This rule 
will reduce reporting redundancies affecting the regulated population, 
while still providing the Coast Guard with the information necessary to 
analyze and understand BWM practices. By doing so, this rule is 
intended to improve the Coast Guard's knowledge about such practices, 
which will enable us to reduce the discharge of aquatic nuisance 
species into U.S. waters from vessels and to reduce future damage 
caused by such discharges.
    Efficient and effective BWM data collection is essential to the 
Coast Guard's ability to evaluate the availability of BWM technologies 
for the range of vessels operating in waters of the U.S. These 
important data directly inform the Coast Guard's decision making 
efforts to ensure, to the maximum extent practicable, that aquatic 
nuisance species are not discharged into waters of the U.S.

IV. Regulatory History

    On June 5, 2013, the Coast Guard published a notice of proposed 
rulemaking (NPRM) entitled ``Ballast Water Management Reporting and 
Recordkeeping'' in the Federal Register (78 FR 33774). No public 
meeting was requested for this rulemaking and none was held. A summary 
of the proposals in the NPRM is provided below.
    The Coast Guard proposed a three-year requirement applicable to 
vessels equipped with ballast tanks and operating exclusively on 
voyages between ports and places within a single COTP Zone to submit an 
annual summary report of their BWM practices. Historically, the Coast 
Guard has not collected extensive information about the BWM practices 
of this segment of the vessel population because it seemed unlikely 
that vessels operating within a single COTP Zone would introduce 
invasive species from place to place within the COTP Zone. Public 
comments received in response to the most recent Coast Guard rulemaking 
on ballast water \5\ correctly indicated that COTP Zones are 
administrative in nature, and are not established based on any 
ecological or biological bases. Therefore, COTP Zones may not 
necessarily be appropriate boundaries for assessing invasive species. 
The Coast Guard proposed this new three-year annual reporting 
requirement to improve the breadth and quality of BWM data so it can 
make the most informed programmatic and regulatory decisions. 
Additionally, collecting this information advances the Coast Guard's 
efforts to meet the statutory requirement to maintain a clearinghouse 
of national ballast water data (16 U.S.C. 4712(f)).
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    \5\ Notice of proposed rulemaking entitled ``Standards for 
Living Organisms in Ships' Ballast Water Discharged in U.S. Waters'' 
(74 FR 44632; August 28, 2009). The docket for that rulemaking is 
available for viewing online at www.regulations.gov, Docket Number 
USCG-2001-10486.
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    The Coast Guard also proposed to simplify ballast water reporting 
for all vessels by revising the report form and encouraging electronic 
report submission. We proposed to streamline the reporting process and 
to revise the report to include only data that are essential to 
understanding and analyzing BWM practices.
    Finally, the Coast Guard proposed to allow vessels bound for a port 
or destination outside of the Great Lakes or the Hudson River north of 
the George Washington Bridge to submit ballast water reports either no 
later than six hours after arrival, or prior to departure, whichever is 
earlier. Prior to this rulemaking, the regulations required certain 
vessels to submit ballast water reports before arriving at the port or 
destination. As a practical matter, vessels often discovered 
information after arrival that necessitated amending the reports. 
Accordingly, the Coast Guard proposed the change in submission 
requirements to reduce the need for amended reports.

V. Discussion of NPRM Comments and Changes

    In response to the NPRM, the Coast Guard received 6 public comment 
letters containing a total of 13 separate comments. The comments are 
available for viewing in the public docket for this rulemaking, where 
indicated above under ADDRESSES.
    This section contains a description of each comment, followed by 
the Coast Guard's response. Since several of the letters raised similar 
issues, this section is organized by comment topic. Except for the 
changes identified in this section, the Coast Guard adopts the 
regulations as proposed in the NPRM without change.

A. Three-Year Annual Reporting Requirement for Vessels Operating 
Exclusively Within a Single COTP Zone

    One commenter supported the proposal to require vessels operating 
within a single COTP zone to submit annual reports for three years. The 
commenter stated that annual reporting would provide data that is 
useful to the Coast Guard for making regulatory decisions affecting 
these vessels. The Coast Guard agrees.
    One commenter opposed the proposal to require vessels operating 
within a single COTP zone to submit annual reports, arguing that the 
burden of the reporting requirement is not justified due to the low 
risk of introduction of aquatic invasive species within a single COTP 
zone. The Coast Guard disagrees. An annual report, limited to three 
years, presents a minimal burden, but will provide the essential data 
for the Coast Guard to determine whether vessels that operate solely in 
a single COTP zone should be subject to the same or similar BWM 
regulations as those applicable to vessels operating in multiple COTP 
zones.
    The commenter also suggested the Coast Guard could obtain all 
necessary ballast water operation information from advisory committees 
and trade associations instead of introducing new reporting 
requirements. The Coast Guard disagrees. Data from such sources would 
be limited because not all vessel owners and operators are members of 
trade associations or represented in advisory committee studies.

[[Page 73107]]

Furthermore, reports to such trade associations and advisory committees 
would be voluntary instead of legally required, which would limit the 
amount of data. For these reasons, a streamlined, annual report is the 
more effective approach for collecting accurate data.

B. Revisions to the Ballast Water Reporting Form

    Two commenters supported the Coast Guard's proposal to streamline 
and simplify the ballast water reporting form. In this final rule, the 
Coast Guard is taking an additional step to simplify the regulations in 
Sec. Sec.  151.2060 (Reporting requirements) and 151.2070 
(Recordkeeping requirements). The Coast Guard intends to align the 
information required for reporting and recordkeeping purposes as much 
as possible because the information required to satisfy both 
requirements is almost identical. The NPRM, however, listed the 
information required for reporting purposes under Sec.  151.2060, and 
separately listed similar information required for recordkeeping 
purposes in Sec.  151.2070. Upon further review of the NPRM, the Coast 
Guard wishes to avoid any confusion or misunderstanding regarding the 
lists of information required for reporting and recordkeeping. 
Specifically, the Coast Guard wishes to avoid a misunderstanding that 
there is one set of information required under Sec.  151.2060 for 
reporting purposes, and a separate set of information required under 
Sec.  151.2070 for recordkeeping purposes. Accordingly, for regulatory 
clarity, this final rule now lists the information required for 
reporting purposes in Sec.  151.2060. Instead of repeating that list of 
information for recordkeeping, Sec.  151.2070(a) simply states that 
there is a requirement to maintain records of all the information 
required to be reported under Sec.  151.2060. Also in Sec.  151.2070, 
there is an additional recordkeeping requirement regarding sediment 
discharge. Sediment discharge is the one data point which is subject to 
the recordkeeping requirement, but is not subject to the reporting 
requirement.
    Another commenter requested an additional change to the form that 
would enable a reporting officer to sign the form electronically. The 
Coast Guard is granting this request. Ballast water reporting forms are 
submitted to the National Ballast Information Clearinghouse (NBIC) 
using any of the methods on the NBIC Web site.\6\ Reporters may 
complete the form by filling out the fields on NBIC's online click-thru 
web-based version of the form. At the end of the web-based form, 
reporters will be asked to electronically certify the accuracy of the 
information provided. This certification satisfies the Coast Guard's 
signature requirement in Sec.  151.2070 for recordkeeping purposes.
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    \6\ Forms are submitted through NBIC's Web site at http://invasions.si.edu/nbic/submit.html.
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    One commenter requested an additional change to the form that would 
enable reporters to highlight an entire column and fill it out with one 
entry that stays constant (or near-constant) throughout the body of the 
report. The Coast Guard wishes to clarify that while we manage the 
content of the form, NBIC manages the functionality of the form. The 
Coast Guard communicated the commenter's request to NBIC for its 
consideration. NBIC advised against the commenter's request, noting 
that it implemented this option into an earlier test version of the 
form and found that it resulted in too many errors. Specifically, the 
ease of use of auto-fill columns was outweighed by the tendency of 
reporters to not enter data in these columns accurately. As form 
technology evolves, NBIC will consider adding an auto-fill function 
pending availability of a system that is better at identifying and 
eliminating errors.
    One commenter requested that the Coast Guard continue to allow all 
vessel operators the choice of reporting ballast water capacities and 
discharge volumes in gallons or metric tons. The Coast Guard 
communicated the commenter's request to NBIC for its consideration. 
NBIC has agreed to change the form to include a drop-down menu that 
enables reporters to choose gallons or cubic meters as their preferred 
unit of measurement. Because the form will now allow reporters to 
choose which volumetric unit to use, we have removed the specific 
reference to cubic meters from the regulatory text in 33 CFR 151.2060.
    One commenter noted that the form requires reporters to provide the 
vessel's International Maritime Organization (IMO) number, though many 
U.S.-flagged vessels are not issued IMO numbers. The commenter 
recommended an amendment to the form to specify another acceptable 
identification number for such vessels. In response, the Ballast Water 
Reporting form will be updated to offer an option for inputting either 
the IMO number or other documentation number.

C. Timing of Report Submission

    Three commenters supported the Coast Guard's proposal to allow 
vessels to submit ballast water reports after arrival at a port or 
place of destination. The Coast Guard adopts the proposal without 
change. For purposes of clarity, we note that Coast Guard regulations 
in 33 CFR 151.2005 define the phrase ``[p]ort or place of destination'' 
to mean ``. . . any port or place to which a vessel is bound to anchor 
or moor.'' The Coast Guard provides further guidance on the practical 
application of the phrase ``port or place of destination'' for ballast 
water reporting purposes in Navigation and Vessel Inspection Circular 
NVIC 07-04, Change 1 (Oct. 29, 2004).\7\ For example, for barges 
equipped with ballast tanks, reports must be submitted only for stops 
where cargo operations are conducted. For towing vessels equipped with 
ballast tanks, reports must be submitted when the vessel conducts 
fueling operations. In both cases, reports are not required when the 
vessel stops for fleeting, waits for locks, or purposes other than 
cargo or fueling operations.
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    \7\ NVIC 07-04 may be viewed online at: http://www.uscg.mil/hq/cg5/nvic/pdf/2004/NVIC_07-04_CH-1.pdf.
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    One commenter requested a change to the regulations to emphasize 
that vessels operating on the Great Lakes are covered under the new 
provision permitting report submission within six hours after arrival 
at a port or place of destination. While the Coast Guard agrees that 
the vessels in question are covered under this provision, we are not 
granting the commenter's request to change the regulatory text because 
the language in 33 CFR 151.2060 is sufficiently clear on this point, 
and it is unnecessary to add specific language solely for Great Lakes 
vessels.
    One commenter suggested 2 alternatives for when the 6-hour post-
arrival submission window should start in order to further reduce the 
need for amended reports. The commenter suggested that the 6-hour 
window should start when the vessel's cargo operations commence, even 
if this is some time after the vessel arrives at berth. Alternatively, 
the commenter suggested that the 6-hour window should start when the 
vessel arrives at berth. The Coast Guard rejects the commenter's 
preferred approach because it would mean different timing for different 
vessels, causing inconsistency in applying and enforcing the 6-hour 
submission window. Regarding the commenter's alternative approach, the 
Coast Guard expects that the 6-hour submission window starting upon 
arrival at the ``port or place of destination'' as discussed above will 
give the vessel crew ample time to submit an accurate ballast water 
report, without the need for an amended report

[[Page 73108]]

in most instances. The Coast Guard will, however, continue to enable 
vessels to submit an amended report when necessary.

D. Other Comments and Changes

    One commenter requested that the Coast Guard provide a definition 
of the term ``trip'' for reporting purposes on operations exclusively 
within a single COTP Zone. We agree that the term ``trip'' is 
ambiguous. To clarify, the Coast Guard is not seeking reported 
information on each and every vessel movement. Instead, we are seeking 
reported information on the number of ballast water discharges, if any. 
The Coast Guard has modified the regulatory text by removing the term 
``trip'' to more clearly reflect the Coast Guard's intention.
    Two commenters questioned the utility of BWM data to the Coast 
Guard, and requested that we consider eliminating BWM reporting and 
recordkeeping requirements altogether. For the reasons discussed below, 
the Coast Guard cannot grant this request.
    The Coast Guard requires vessels to report and to maintain records 
of BWM practices and activities pursuant to a statutory mandate (16 
U.S.C. 4711(f)). More specifically, this information enables us to 
assess the rate of effective compliance with established BWM 
requirements and guidelines. The information provides important data on 
volumes of ballast water discharged by different types of vessels, 
patterns of ballast water transport (i.e., locations where ballast 
water is loaded and discharged), patterns of BWM by different types of 
vessels, and safety and practicability issues that affect the ability 
of different types of vessels to implement specific BWM practices.
    Additionally, the Coast Guard uses the reported information to 
track patterns of BWM and delivery in the U.S. over time. These data 
provide information on the relative amounts of ballast water that 
different types of vessels must manage, as well as the circumstances 
(e.g., voyage lengths and routes) that necessitate BWM. These data are 
also essential in evaluating the availability of BWM technologies for 
the range of vessels operating in waters of the U.S. These important 
data directly inform the Coast Guard's decision making efforts to 
ensure, to the maximum extent practicable, that aquatic nuisance 
species are not discharged into waters of the U.S.
    One commenter questioned whether this rulemaking applies to vessels 
that operate outside of U.S. waters (i.e., beyond 12 nautical miles of 
shore), but still within the Exclusive Economic Zone (EEZ), which 
generally extends 200 nautical miles from the territorial sea 
baseline.\8\ The Coast Guard confirms that this rulemaking does not 
apply to vessels operating exclusively outside of U.S. waters. In 
accordance with the applicability provision in 33 CFR 151.2010, this 
rulemaking ``applies to all non-recreational vessels, U.S. and foreign, 
that are equipped with ballast tanks and operate in the waters of the 
United States, except as expressly provided in Sec.  151.2015 or Sec.  
151.2020 of [33 CFR part 151 subpart D].''
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    \8\ See 33 CFR 2.30.
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    Two commenters requested exemptions from the ballast water 
reporting requirements for certain vessels, including those that do not 
discharge ballast water from their tanks and those that use potable 
water for ballast. The Coast Guard is not granting these requests for 
blanket exemptions. The controlling statutory provisions in 46 U.S.C. 
4711(c) and (f) require the Coast Guard to apply these regulations to 
``. . . all vessels equipped with ballast water tanks that operate in 
the waters of the United States.'' It is the presence of a ballast 
water tank that triggers the applicable reporting requirement, not the 
discharge of ballast water. When a vessel is equipped with a ballast 
water tank, the non-discharge of ballast water or the use of potable 
water for ballast is a BWM practice, and the reporting requirement 
provides useful information regarding the effectiveness of these 
measures in preventing the introduction or spread of invasive species. 
The purpose of the reported information is to assist the Coast Guard in 
evaluating BWM practices in general, regardless of whether a vessel 
discharges ballast water. However, we remind owners and operators that 
33 CFR 151.2065 provides relief under certain circumstances (i.e., 
where compliance with 33 CFR 151.2060 is economically or physically 
impractical) to submit a request for the Coast Guard to approve an 
alternative equivalent reporting method.
    We are revising the text in 33 CFR 151.2015 in several places to 
refer to a ``single'' COTP zone instead of ``one'' COTP zone for 
clarity and consistency with the rest of that section. Additionally, we 
are revising the text in 33 CFR 151.2060(b)(1)(ii) to reflect the 
accurate name of the ``St. Lawrence Seaway Ballast Water Reporting 
Form.'' These are non-substantive technical changes.

VI. Regulatory Analyses

    We developed this final rule after considering numerous statutes 
and executive orders related to rulemaking. Below, we summarize our 
analyses based on these statutes or executive orders.

A. Regulatory Planning and Review

    Executive Orders 12866 (``Regulatory Planning and Review'') and 
13563 (``Improving Regulation and Regulatory Review'') direct agencies 
to assess the costs and benefits of available regulatory alternatives 
and, if regulation is necessary, to select regulatory approaches that 
maximize net benefits (including potential economic, environmental, 
public health and safety effects, distributive impacts, and equity). 
Executive Order 13563 emphasizes the importance of quantifying both 
costs and benefits, of reducing costs, of harmonizing rules, and of 
promoting flexibility.
    This final rule has not been designated a ``significant regulatory 
action'' under section 3(f) of Executive Order 12866, ``Regulatory 
Planning and Review,'' as supplemented by Executive Order 13563, 
``Improving Regulation and Regulatory Review,'' and does not require an 
assessment of potential costs and benefits under section 6(a)(3) of 
that Order. Accordingly, the final rule has not been reviewed by the 
Office of Management and Budget (OMB).
    We received no public comments that affect the Regulatory 
Assessment (RA); nor have we identified any new information or data 
that would require us to reassess the RA in the NPRM. We, therefore, 
adopt the NPRM's Regulatory Assessment as the final assessment to this 
final rule. A final Regulatory Assessment is provided as follows:
    Table 1 presents a summary of the economic impact of this final 
rule. A detailed description of the estimates is presented in the next 
sections.

[[Page 73109]]

                                                     Table 1--Summary of Regulatory Economic Impacts
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                               Costs  (7% discount rate)
              Changes                      Description         Affected population  ----------------------------------------------        Benefits
                                                                                           Annualized               Total
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1. Require vessels operating         Owners or operators of  400 owners or           $22,110..............  $155,292.............  Improve the breadth
 exclusively on voyages between       vessels with ballast    operators of 1,280                                                    and quality of BWM
 ports and places within a single     tanks and operating     vessels operating in                                                  data, enabling the
 COTP Zone to report BWM practices.   exclusively on          a single COTP Zone.                                                   Coast Guard and
                                      voyages between ports                                                                         others to make the
                                      or places within a                                                                            most informed
                                      single COTP Zone                                                                              programmatic and
                                      would be required to                                                                          regulatory actions
                                      submit an annual                                                                              to prevent non-
                                      summary of their BWM                                                                          indigenous species
                                      practices. This                                                                               invasions in U.S.
                                      information                                                                                   waters.
                                      collection
                                      requirement would be
                                      for a 3 year period.
2. Update current ballast water      Update current ballast  Vessels currently       $0...................  $0...................  Concise reporting and
 report requirements.                 water report. Vessels   reporting BWM                                                         inclusion of only
                                      already complying       activities under 33                                                   essential data on
                                      with 33 CFR 151.2070    CFR 151.2070.                                                         BWM practices.
                                      requirements would
                                      not incur additional
                                      burden due to the
                                      updates.
3. Allow vessel owners or operators  Currently, vessels are  Vessels currently       ($184,868) Cost        ($1,298,437) Cost      Reduce the
 to submit ballast water reports      required to submit      reporting BWM           savings.               savings.               administrative
 after arrival to the port or place   reports 24 hours        activities under 33                                                   burden on the
 of destination.                      prior to arrival.       CFR 151.2070.                                                         regulated
                                      Allowing vessels to                                                                           population. We
                                      report after arrival--                                                                        estimate that this
                                      when their ballasting                                                                         final rule will
                                      activities are                                                                                eliminate an average
                                      complete--should                                                                              of 10,717 post-
                                      greatly reduce the                                                                            arrival reports per
                                      need for post-arrival                                                                         year.
                                      amendments.
4. Change the format of electronic   Standardize the data    Vessels currently       $0...................  $0...................  Facilitate electronic
 report..                             format and add pull     reporting BWM                                                         report submission
                                      down menus to reduce    activities under 33                                                   and improve
                                      data entry errors..     CFR 151.2070.                                                         efficiency in data
                                                                                                                                    handling and
                                                                                                                                    analysis.
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    This final rule would modify and amend the following recordkeeping 
requirements and procedures:
1. Require Vessels Operating in a Single COTP Zone To Report BWM 
Practices
    In this final rule, the Coast Guard requires owners or operators of 
vessels with ballast tanks operating exclusively on voyages between 
ports or places within a single COTP Zone to submit an annual summary 
report of their BWM practices for a period of 3 years.
    Based on data from the Coast Guard Marine Information for Safety 
and Law Enforcement (MISLE) and the Ship Arrival Notification System 
(SANS), we estimate that the final rule will have an annual affect on 
1,280 U.S.-flagged vessels that operate exclusively between ports or 
places within a single COTP Zone. Table 2 presents the vessel types 
affected by this requirement. These vessels are currently exempt from 
the ballast water reporting requirements under 33 CFR 151.2070. Owners 
or operators of these vessels will be required to submit an annual 
summary report of their BWM practices to the Coast Guard for a period 
of 3 years.
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    \9\ Includes permanently moored vessels, school ships, and 
vessels with unspecified vessel type.

Table 2--U.S. Flag Vessels Operating Exclusively Between Ports or Places
                        Within a Single COTP Zone
------------------------------------------------------------------------
                                                             Affected
                       Vessel type                          population
------------------------------------------------------------------------
Commercial Fishing Vessel...............................             117
Fish Processing Vessel..................................               4
Freight Ship............................................             117
Industrial Vessel.......................................              28
Mobile Offshore Drilling Unit...........................               5
Offshore Supply Vessel..................................             175
Oil Recovery............................................               6
Passenger (inspected)...................................             154
Passenger (uninspected).................................               3
Research Vessel.........................................              11
Tank Ship...............................................              29
Towing Vessel...........................................             604
Other Vessels \9\.......................................              27
                                                         ---------------
  Total.................................................           1,280
------------------------------------------------------------------------
Source: MISLE and SANS data.

    For the purposes of the cost analysis, we assume that all vessels 
discharge ballast water. We estimate the total annual burden hours 
required to complete the report will be approximately 40 minutes per 
vessel per year. We anticipate vessel owners or operators will need 15 
minutes to complete and submit their annual ballasting report. Most of 
the information required is well known by the vessel owner or operator 
and does not require additional document consultation. The information 
that does not require additional document consultation includes: Vessel 
name, identification number, type, operator, tonnage, call sign, COTP 
Zone of operation, number of ballast water tanks, total ballast water 
capacity, and primary port of ballast water loading and discharge.
    The remaining 25 minutes accounts for the total time allocated 
(over the entire year) for vessel operators to assemble and review 
information to determine the number of times ballast water is 
discharged and the volume of

[[Page 73110]]

discharge released during such vessel operations. We also recognize 
that vessels that do not discharge ballast water will only be burdened 
with the 15 minutes to fill out and submit the annual form.
    We assume that the vessel owner or operator, with an estimated wage 
rate of $69/hr \10\, will be in charge of this reporting. The annual 
cost per vessel is $46.23 (.67 hrs x $69/hr) and the total cost per 
vessel for the 3-year period is $139. The estimated annual cost of the 
new reporting requirement for the 1,280 vessels, operating exclusively 
between ports or places within a single COTP Zone, is, $59,174 (1,280 
vessels x .67 hrs x $69 hr) (undiscounted). The total cost for a 3-year 
reporting period is $177,522 (undiscounted) or $155,291 (at seven 
percent discount rate). Table 3 presents the reporting costs for 
vessels operating exclusively between ports or places within a single 
COTP Zone.
---------------------------------------------------------------------------

    \10\ Fully loaded wage rate for GS-12 (equivalent) out-of-govt., 
obtained from Enclosure (2) to COMDTINST 7310.1M and validated based 
on the Bureau of Labor Statistics (BLS) subcategory Managers 
(Occupation Code 11-9199) using a base average form years 2010-2011 
data and a load factor of 1.4.
    \11\ The Coast Guard anticipates the information collection 
requirement would lapse after the completion of 3 years.

 Table 3--Annual and Total Cost of Reporting (in US$) for Vessels Operating Exclusively Between Ports or Places
                                            Within a Single COTP Zone
----------------------------------------------------------------------------------------------------------------
                                                                                    Cost
                                                           -----------------------------------------------------
                         Year \11\                                              At 7 percent      At 3 percent
                                                              Undiscounted      discount rate     discount rate
----------------------------------------------------------------------------------------------------------------
1.........................................................           $59,174           $55,303           $57,450
2.........................................................            59,174            51,685            55,777
3.........................................................            59,174            48,304            54,153
4-10......................................................                 0                 0                 0
                                                           -----------------------------------------------------
    Total.................................................           177,523           155,292           167,380
Annualized................................................  ................            22,110            19,622
----------------------------------------------------------------------------------------------------------------

    This final rule will collect information on ballast water 
operations from vessels operating exclusively between ports or places 
within a single COTP Zone, a segment of the industry for which the 
Coast Guard has limited information. Therefore, the Coast Guard seeks 
to improve the breadth and quality of its BWM data so it can make the 
most informed programmatic and regulatory decisions.
    The Coast Guard considered several alternatives for collecting the 
needed information on the ballast practices for vessels operating 
exclusively between ports or places within a single COTP Zone. One 
alternative would require these vessels to complete a full ballast 
water reporting form (33 CFR 151.2060) upon each entry into port, 
similar to existing requirements for other vessels operating outside a 
single COTP Zone. The Coast Guard instead chose the alternative that 
requires only an annual summary report of ballast activities with a 
limited number of required data elements. The Coast Guard will also 
collect this data for only 3 years. The Coast Guard believes that the 
annual summary report for 3 years provides enough information to 
characterize BWM practices for vessels operating exclusively between 
ports or places within a single COTP Zone, while minimizing the 
reporting burden to these entities.
2. Update Current Ballast Water Report Requirements (33 CFR 151.2060)
    The Coast Guard is updating the ballast water reporting form to 
make it more concise and include only essential data on BWM practices. 
Current recordkeeping requirements in 33 CFR 151.2070 are amended to 
include only data fields essential for understanding and analyzing BWM 
practices of vessels operating in waters of the U.S.
    Vessel owners or operators who currently submit ballast water 
reports to comply with 33 CFR 151.2060 requirements will not incur 
additional burden due to the reporting updates. Updates to the report 
form will make questions more clear and concise. The most time 
consuming section of the report (section 5, ``Ballast Water History'') 
will be restructured, but the content will be maintained. We do not 
expect that changes to the reporting form will affect the amount of 
burden time necessary to fill-out the form. Currently, vessels equipped 
with ballast water tanks bound for ports or places within the U.S. or 
those entering U.S. waters are required to submit a ballast water 
report. According to the Coast Guard's estimate in OMB collection of 
information Control Number 1625-0069, it takes approximately 40 minutes 
to complete and submit the report. The CFR at 33 CFR 151.2060 and 
151.2070 presents detailed information on reporting and recordkeeping 
requirements.
    In addition, updating the current reporting form will improve the 
utility of the data provided by the vessel population to the Coast 
Guard.
3. Allow Vessels To Submit Ballast Water Reports After Arrival to the 
Port or Place of Destination
    Prior to this final rule, 33 CFR 151.2060 required vessels to 
predict their ballasting operations and submit reports on BWM 24 hours 
before arrival at port. Often, vessel owners and operators would revise 
their reports with the actual ballasting information and resubmit them 
to NBIC. NBIC estimates that approximately 40 percent of the amended 
reports it receives are due to the timing of the report submission. 
Allowing those vessels travelling from outside of the EEZ that are not 
bound for the Great Lakes or the Hudson River north of the George 
Washington Bridge to submit ballast water reports after arrival to the 
port or place of destination greatly reduces the need for amended 
reports. We estimate that an average of 10,717 reports \12\ are amended 
and resubmitted every year due to the timing of submission. We estimate 
that it would take the vessel owner or operator approximately 15 
minutes to amend and resend the reports. Therefore, we expect that this 
amendment will result in an annual reduction of burden by approximately 
2,679 hours (10,717 reports x 0.25 hours \13\), representing a cost 
savings of

[[Page 73111]]

$184,868 (2,679 hours x $69/hr \14\) per year to the industry. The 
total cost savings (Table 4) that results from allowing report 
submittal after arrival at a port for a 10-year period is $1,298,437 
(at 7 percent discount rate).
---------------------------------------------------------------------------

    \12\ The estimate is based on data provided by NBIC on 
superseded reports for 2006 to 2012.
    \13\ Estimation based on time reported in the OMB 1625-0069 from 
vessel operators currently completing ballast water management 
reports to comply with 33 CFR 151.2070.
    \14\ Wage rate obtained from Enclosure (2) to COMDTINST 7310.1M 
and validated based on the BLS subcategory Managers (Occupation Code 
11-9199).

                    Table 4--Annual and Total Cost Savings of Changing the Time of the Report
----------------------------------------------------------------------------------------------------------------
                                                                                Cost savings
                                                           -----------------------------------------------------
                           Year                                                 At 7 percent      At 3 percent
                                                              Undiscounted      discount rate     discount rate
----------------------------------------------------------------------------------------------------------------
1.........................................................        ($184,868)        ($172,774)        ($179,484)
2.........................................................         (184,868)         (161,471)         (174,256)
3.........................................................         (184,868)         (150,908)         (169,181)
4.........................................................         (184,868)         (141,035)         (164,253)
5.........................................................         (184,868)         (131,809)         (159,469)
6.........................................................         (184,868)         (123,186)         (154,824)
7.........................................................         (184,868)         (115,127)         (150,315)
8.........................................................         (184,868)         (107,595)         (145,937)
9.........................................................         (184,868)         (100,556)         (141,686)
10........................................................         (184,868)          (93,978)         (137,559)
                                                           -----------------------------------------------------
    Total.................................................       (1,848,683)       (1,298,437)       (1,576,964)
Annualized................................................  ................         (184,868)         (184,868)
----------------------------------------------------------------------------------------------------------------

4. Change the Format of Electronic Reports
    The Coast Guard expects reporting efficiency and data handling will 
improve by changing the format of the electronic report that can be 
found in Information Collection Request (ICR), OMB Control number 1625-
0069. The Coast Guard will standardize the data formats and add pull 
down menus. Since the pull down menu will make the reporting form 
simpler and will reduce response variability, we do not anticipate any 
significant change in the reporting burden. These efficiencies will not 
result in cost savings. Therefore, we do not expect additional costs or 
cost savings to the industry. According to NBIC data from the past 6 
years, approximately 99 percent of reports have been submitted 
electronically. Within the last 2 years, 100 percent of the reports 
have been submitted electronically. Standardized data entry will 
improve data quality and, as a result, data analyses will be easier and 
less time consuming.
5. Summary of Economic Impacts of Final Rule
    This final rule will impact the industry for a limited time only (3 
years). During this time, we estimate a total annual non-discounted 
cost savings of $125,694 and a total 10-year non-discounted cost 
savings of $1,671,160. We also estimate an annualized cost savings of 
$162,758, with a discounted ten-year saving of $1,443,145 both 
respectively discounted at 7 percent for a 10-year period of analysis. 
These estimates are developed and shown in Table 5.

                                                 Table 5--Annual and Total Economic Impact of Final Rule
                                                              [At 7 percent discount rate]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                        1. Report from
                                                       vessels operating   2. Update current   3. Allow vessels   4. Require reports
                        Year                           exclusively in a      ballast water     to submit reports     be submitted     Economic impact of
                                                       single COTP Zone         report           after arrival      electronically        final rule
                                                            (cost)                              (cost savings)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1...................................................             $55,303                  $0          ($172,774)                  $0          ($117,471)
2...................................................              51,685                   0           (161,471)                   0           (109,786)
3...................................................              48,304                   0           (150,908)                   0           (102,604)
4...................................................  ..................                   0           (141,035)                   0           (141,035)
5...................................................  ..................                   0           (131,809)                   0           (131,809)
6...................................................  ..................                   0           (123,186)                   0           (123,186)
7...................................................  ..................                   0           (115,127)                   0           (115,127)
8...................................................  ..................                   0           (107,595)                   0           (107,595)
9...................................................  ..................                   0           (100,556)                   0           (100,556)
10..................................................  ..................                   0            (93,978)                   0            (93,978)
                                                     ---------------------------------------------------------------------------------------------------
    Total...........................................             155,292                   0         (1,298,437)                   0         (1,143,145)
Annualized..........................................              22,110                   0           (184,868)                   0           (162,758)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note: Totals may not add due to rounding.

B. Small Entities

    Under the Regulatory Flexibility Act (RFA) (5 U.S.C. 601-612), we 
have considered whether this final rule would have a significant 
economic impact on a substantial number of small entities. The term 
``small entities'' comprises small businesses, not-for-profit 
organizations that are

[[Page 73112]]

independently owned and operated and are not dominant in their fields, 
and governmental jurisdictions with populations of less than 50,000.
    As described in the ``Regulatory Analyses'' section, we expect 
costs per vessel (an annual cost of $46.23 for a 3-year period) to 
owners or operators of vessels operating exclusively between ports or 
places within a single COTP Zone. Based on available data, we estimate 
that about 74 percent of entities affected by this final rule are small 
under the RFA and the Small Business Administration's size standards. 
The economic impact of the 3-year reporting requirement is less than 1 
percent of revenue for 100 percent of the small entities. We determine 
that each entity, on average, manages a total of 3 vessels with an 
estimated annual cost of $139 (3 * $46.23) (non-discounted). We have 
estimated that for this rule to have a revenue impact of greater than 1 
percent, total annual revenue for small entities must be less than 
$13,900. Therefore, we anticipate that this final rule will not have a 
significant economic impact on small entities. Through this final rule, 
the Coast Guard will obtain information on ballast water operations 
from a segment of the industry for which there is limited information, 
and improve the utility of the data provided to Coast Guard.
    Owners and operators of applicable vessels already reporting BWM 
practices under 33 CFR 151.2060 would incur a cost savings as a result 
of the elimination of post-arrival amendments due to time of the 
reporting.
    Therefore, the Coast Guard certifies that under 5 U.S.C. 605(b), 
this final rule will not have a significant economic impact on a 
substantial number of small entities.

C. Assistance for Small Entities

    Under section 213(a) of the Small Business Regulatory Enforcement 
Fairness Act of 1996 (Pub. L. 104-121), we want to assist small 
entities in understanding this final rule so that they can better 
evaluate its effects on them and participate in the rulemaking. If the 
final rule would affect your small business, organization, or 
governmental jurisdiction and you have questions concerning its 
provisions or options for compliance, please consult Ms. Regina 
Bergner, Environmental Standards Division, U.S. Coast Guard (CG-OES-3); 
telephone 202-372-1431, email, Regina.r.bergner@uscg.mil. The Coast 
Guard will not retaliate against small entities that question or 
complain about this rule or any policy or action of the Coast Guard.
    Small businesses may send comments on the actions of Federal 
employees who enforce, or otherwise determine compliance with, Federal 
regulations to the Small Business and Agriculture Regulatory 
Enforcement Ombudsman and the Regional Small Business Regulatory 
Fairness Boards. The Ombudsman evaluates these actions annually and 
rates each agency's responsiveness to small business. If you wish to 
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR 
(1-888-734-3247).

D. Collection of Information

    This final rule modifies an existing collection of information 
under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). As 
defined in 5 CFR 1320.3(c), ``collection of information'' comprises 
reporting, recordkeeping, monitoring, posting, labeling, and other, 
similar actions. The title and description of the information 
collection, a description of those who must collect the information, 
and an estimate of the total annual burden follow. The burden-hour 
estimates cover the time for reviewing instructions, searching existing 
sources of data, gathering and maintaining the data needed, and 
completing and reviewing the collection.
    Title: Ballast Water Management Reporting and Recordkeeping.
    OMB Control Number: 1625-0069.
    Summary of the Collection of Information: This final rule modifies 
the existing BWM recordkeeping requirements in 33 CFR 151.2070 and 
amends the ballast water report. In this final rule, the Coast Guard 
requires vessels with ballast tanks that operate exclusively on voyages 
between ports or places within a single COTP Zone to submit an annual 
summary report of their BWM practices for 3 years. The Coast Guard is 
also updating the ballast water report to include only data that are 
essential to understanding and analyzing BWM practices. These updates 
will not result in changes to current industry burden. The final rule 
also allows most vessels to submit ballast water reports after arrival 
at the port or place of destination.
    Need for Information: It is essential for the Coast Guard to 
improve the breadth and quality of its BWM data so it can make the most 
informed programmatic and regulatory decisions on how to prevent the 
introduction of non-indigenous aquatic species in U.S. waters. Limited 
information is available for vessels operating exclusively between 
ports or places within a single COTP Zone, since most of these vessels 
are exempt from the reporting requirements of 33 CFR 151.2060.
    Use of Information: BWM data from a segment of the industry for 
which the Coast Guard has limited information will improve the utility 
of the data provided by the currently-regulated vessel population.
    Description of the Respondents: The respondents are:
    (a) Owners and operators of vessels with ballast water tanks 
operating exclusively on voyages between ports or places within a 
single COTP Zone.
    (b) Owners and operators of vessels currently reporting BWM 
activities under 33 CFR 151.2060.
    Number of Respondents: The current number of respondents is 8,383. 
The requirements of this final rule will add 1,280 respondents from 
vessels with ballast water tanks operating exclusively on voyages 
between ports or places within a single COTP Zone. Therefore, the total 
number of respondents would increase by 1,280 to 9,663 (8,383 current 
respondents + 1,280 new respondents).
    Frequency of Response: Current respondents under 33 CFR 151.2060 
will continue to submit their reports upon arrival to U.S. ports. New 
respondents (owners and operators of vessels operating exclusively on 
voyages between ports or places within a single COTP Zone) will report 
once a year for a period of 3 years. After the 3 year period, the Coast 
Guard will have a base understanding of ballast water practices for 
these vessels, and reporting requirements will no longer be necessary.
    Burden of Response: We estimate that the response would take 
approximately 40 minutes per report for vessels with ballast water 
tanks operating exclusively on voyages between ports or places within a 
single COTP Zone.
    Estimate of Total Annual Burden: The annual burden is estimated as 
follows:
    (a) Annual burden for new reporting requirement for vessels 
operating within a single COTP Zone: This rule would create a new 
burden of 858 hours (1,280 vessels x .67 hours) \15\ for the private 
sector.
---------------------------------------------------------------------------

    \15\ The estimation based on time required for reporting. Most 
information is well known by the vessel manager and does not require 
additional document or consultation. The questions are: Vessel name, 
number, identification number, type, operator, tonnage, call sign, 
COTP Zone of operation, number of ballast water tanks, total ballast 
water capacity, primary port of ballast water loading and discharge, 
estimated number of times ballast water is discharged and volume.
---------------------------------------------------------------------------

    (b) Annual burden for current reporting requirements:
    This final rule will result in a total annual burden increase of 
858 hours due to the new requirement for vessels

[[Page 73113]]

operating exclusively on voyages between ports or places within a 
single COTP Zone. We estimate the total annual cost burden to be 
$59,174 (non-discounted).
    As required by the Paperwork Reduction Act of 1995 (44 U.S.C. 
3507(d)), we will submit a copy of this final rule to the Office of 
Management and Budget (OMB) for its review of the collection of 
information.

E. Federalism

    A rule has implications for federalism under Executive Order 13132, 
Federalism, if it has a substantial direct effect on the States, on the 
relationship between the national government and the States, or on the 
distribution of power and responsibilities among the various levels of 
government. We have analyzed this rule under that Order and have 
determined that it is consistent with the fundamental federalism 
principles and preemption requirements described in Executive Order 
13132. Our analysis is explained below.
    This rule revises the Coast Guard's BWM reporting and recordkeeping 
requirements promulgated under the authority of NANPCA, as amended by 
NISA. NANPCA, as amended by NISA, contains a ``savings provision'' that 
saves to States their authority to ``adopt or enforce control measures 
for aquatic nuisance species, [and nothing in the Act would] diminish 
or affect the jurisdiction of any State over species of fish and 
wildlife'' (16 U.S.C. 4725). This type of BWM reporting and 
recordkeeping is a ``control measure'' saved to States under the 
savings provision and would not be preempted unless State law makes 
compliance with this rule's requirements impossible or frustrates the 
purpose of Congress. No such State law has been identified. 
Additionally, the Coast Guard has long interpreted this savings 
provision to be a congressional mandate for a Federal-State cooperative 
regime in which federal preemption under NANPCA, as amended by NISA, 
would be unlikely.

F. Unfunded Mandates Reform Act

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

G. Taking of Private Property

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

H. Civil Justice Reform

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

I. Protection of Children

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

J. Indian Tribal Governments

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

K. Energy Effects

    We have analyzed this rule under Executive Order 13211, ``Actions 
Concerning Regulations That Significantly Affect Energy Supply, 
Distribution, or Use.'' We have determined that it is not a 
``significant energy action'' under that order because it is not a 
``significant regulatory action'' under Executive Order 12866 and is 
not likely to have a significant adverse effect on the supply, 
distribution, or use of energy. The Administrator of the Office of 
Information and Regulatory Affairs has not designated it as a 
significant energy action. Therefore, it does not require a Statement 
of Energy Effects under Executive Order 13211.

L. Technical Standards

    The National Technology Transfer and Advancement Act (15 U.S.C. 272 
note) directs agencies to use voluntary consensus standards in their 
regulatory activities unless the agency provides Congress, through the 
Office of Management and Budget, with an explanation of why using these 
standards would be inconsistent with applicable law or otherwise 
impractical. Voluntary consensus standards are technical standards 
(e.g., specifications of materials, performance, design, or operation; 
test methods; sampling procedures; and related management systems 
practices) that are developed or adopted by voluntary consensus 
standards bodies.
    This rule does not use technical standards. Therefore, we did not 
consider the use of voluntary consensus standards.

M. Environment

    We have analyzed this rule under Department of Homeland Security 
Management Directive 023-01 and Commandant Instruction M16475.lD, which 
guide the Coast Guard in complying with the National Environmental 
Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and have concluded 
that this action is one of a category of actions that do not 
individually or cumulatively have a significant effect on the human 
environment. A final environmental analysis checklist supporting this 
determination is available in the docket where indicated under the 
``Addresses'' section of this preamble. This rule involves regulations 
that are editorial and procedural, and falls under section 2.B.2, 
figure 2-1, paragraph (34)(a) of the Instruction.

List of Subjects in 33 CFR Part 151

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

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

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

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

0
1. The authority citation for subpart C continues to read as follows:

    Authority: 16 U.S.C. 4711; Department of Homeland Security 
Delegation No. 0170.1.

0
2. In Sec.  151.1516, revise paragraph (a) introductory text to read as 
follows:

Sec.  151.1516  Compliance monitoring.

    (a) The master of each vessel equipped with ballast tanks must 
provide the following information, in written form, to the Captain of 
the Port (COTP):
* * * * *

[[Page 73114]]

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

0
3. The authority citation for subpart D continues to read as follows:

    Authority: 16 U.S.C. 4711; Department of Homeland Security 
Delegation No. 0170.1.

0
4. Amend Sec.  151.2015 as follows:
0
a. Revise paragraph (b);
0
b. Redesignate paragraph (c) as paragraph (d);
0
c. Add new paragraph (c);
0
d. Revise newly redesignated paragraphs (d)(1) and (3); and
0
e. Add Table 1 to Sec.  151.2015.
    The revisions and addition read as follows:

Sec.  151.2015  Exemptions.

* * * * *
    (b) Crude oil tankers engaged in coastwise trade are exempt from 
the requirements of Sec. Sec.  151.2025 (ballast water management (BWM) 
requirements), 151.2060 (reporting), and 151.2070 (recordkeeping) of 
this subpart.
    (c) Vessels that operate exclusively on voyages between ports or 
places within a single COTP Zone are exempt from the requirements of 
Sec. Sec.  151.2025 (ballast water management (BWM) requirements), and 
151.2070 (recordkeeping) of this subpart.
    (d) * * *
    (1) Seagoing vessels that operate in more than a single COTP Zone, 
do not operate outside of the EEZ, and are less than or equal to 1,600 
gross register tons or less than or equal to 3,000 gross tons 
(International Convention on Tonnage Measurement of Ships, 1969).
* * * * *
    (3) Vessels that operate in more than a single COTP Zone and take 
on and discharge ballast water exclusively in a single COTP Zone.

          Table 1 to Sec.   151.2015--Table of 33 CFR 151.2015 Specific Exemptions for Types of Vessels
----------------------------------------------------------------------------------------------------------------
                                                                                                  151.2070
                                       151.2025  (Management)     151.2060  (Reporting)       (Recordkeeping)
----------------------------------------------------------------------------------------------------------------
Department of Defense or Coast       Exempt...................  Exempt...................  Exempt.
 Guard vessel subject to 46 U.S.C.
 4713.
Vessel of the Armed Forces subject   Exempt...................  Exempt...................  Exempt.
 to the ``Uniform National
 Discharge Standards for Vessels of
 the Armed Forces'' (33 U.S.C.
 1322(n)).
Crude oil tankers engaged in         Exempt...................  Exempt...................  Exempt.
 coastwise trade.
Vessel operates exclusively on       Exempt...................  Applicable...............  Exempt.
 voyages between ports or places
 within a single COTP Zone.
Seagoing vessel operates on voyages  Exempt...................  Applicable...............  Applicable.
 between ports or places in more
 than a single COTP Zone, does not
 operate outside of EEZ, and <=1600
 gross register tons or <=3000
 gross tons (ITC).
Non-seagoing vessel................  Exempt...................  Applicable...............  Applicable (unless
                                                                                            operating
                                                                                            exclusively on
                                                                                            voyages between
                                                                                            ports or places
                                                                                            within a single COTP
                                                                                            Zone).
Vessel operates between ports or     Exempt...................  Applicable...............  Applicable.
 places in more than a single COTP
 Zone and takes on and discharges
 ballast water exclusively in a
 single COTP Zone.
----------------------------------------------------------------------------------------------------------------

0
5. Amend Sec.  151.2060 by revising paragraphs (b) and (c) and adding 
paragraphs (d) through (f) to read as follows:

Sec.  151.2060  Reporting requirements.

* * * * *
    (b) Unless operating exclusively on voyages between ports or places 
within a single COTP Zone, the master, owner, operator, agent, or 
person in charge of a vessel subject to this subpart and this section 
must submit a ballast water report to the National Ballast Information 
Clearinghouse (NBIC) by electronic ballast water report format using 
methods specified at NBIC's Web site at http://invasions.si.edu/nbic/submit.html. The ballast water report will include the information 
listed in paragraph (c) of this section and must be submitted as 
follows:
    (1) For any vessel bound for the Great Lakes from outside the EEZ. 
(i) Submit a ballast water report at least 24 hours before the vessel 
arrives in Montreal, Quebec.
    (ii) Non-U.S. and non-Canadian flag vessels may complete the St. 
Lawrence Seaway Ballast Water Reporting Form and submit it in 
accordance with the applicable Seaway notice as an alternative to this 
requirement.
    (2) For any vessel bound for the Hudson River north of the George 
Washington Bridge entering from outside the EEZ: Submit the ballast 
water report at least 24 hours before the vessel enters New York, NY.
    (3) For any vessel that is equipped with ballast water tanks and 
bound for ports or places in the United States and not addressed in 
paragraphs (b)(1) and (2) of this section: Submit the ballast water 
report no later than 6 hours after arrival at the port or place of 
destination, or prior to departure from that port or place of 
destination, whichever is earlier.
    (c) The ballast water report required by paragraph (b) of this 
section must include the following information:
    (1) Vessel information. This includes the vessel's name, 
International Maritime Organization (IMO) number or other vessel 
identification number if an IMO number is not issued, country of 
registry, owner or operator, type and tonnage.
    (2) Voyage information. This includes the port and date of arrival, 
name and contact information of the person submitting the form, last 
port and country of call, and next port and country of call.
    (3) Ballast water information. This includes the vessel's total 
ballast water capacity, total number of ballast water tanks, total 
volume of ballast water onboard, total number of ballast water tanks in 
ballast, and the identification of ballast water management method 
used.
    (4) Information on ballast water tanks that are to be discharged 
into the waters of the United States or to a reception facility. 
Include the following for each tank discharged:
    (i) The numerical designation, type and capacity of the ballast 
tank.
    (ii) The source of the ballast water. This includes date(s), 
location(s), and volume(s). If a tank has undergone ballast water 
exchange, provide the

[[Page 73115]]

loading port of the ballast water that was discharged during the 
exchange.
    (iii) The date(s), starting location(s), ending location(s), 
volume(s), and method(s) of ballast water management.
    (iv) The date(s), location(s), and volume(s) of any ballast water 
discharged into the waters of the United States or to a reception 
facility.
    (5) Certificate of accurate information. Include the name and title 
of the individual (i.e., master, owner, operator, agent, person in 
charge) attesting to the accuracy of the information provided and that 
the activities were in accordance with the ballast water management 
plan required by Sec.  151.2050(g). If exceptional circumstances 
required deviation from the plan, the details surrounding the need for 
deviation and associated actions must be explained.
    (d) If the information submitted in accordance with paragraph (c) 
of this section changes, the master, owner, operator, agent, or person 
in charge of the vessel must submit an amended report before the vessel 
departs the waters of the United States or not later than 24 hours 
after departure from the port or place, whichever is earlier.
    (e) The master, owner, operator, agent, or person in charge of a 
vessel operating on voyages exclusively between ports or places within 
a single COTP Zone, and subject to this subpart and this section, must 
submit the information required by paragraph (f) of this section to 
NBIC by electronic Annual Ballast Water Summary Report format using 
methods specified at NBIC's Web site at http://invasions.si.edu/nbic/submit.html. The Annual Ballast Water Summary Report is required for a 
period of three years on the following schedule:
    (1) Report on the vessel's ballasting practices for calendar year 
2016 due no later than March 31, 2017.
    (2) Report on the vessel's ballasting practices for calendar year 
2017 due no later than March 31, 2018.
    (3) Report on the vessel's ballasting practices for calendar year 
2018 due no later than March 31, 2019.
    (f) The Annual Ballast Water Summary Report will include the 
following information:
    (1) Vessel information. This includes name, identification number, 
vessel type, operator, tonnage, call sign and COTP Zone of operation.
    (2) Ballast information. This includes the number of ballast tanks 
and total ballast water capacity.
    (3) Operational information. This includes the estimated number of 
times ballast water is discharged, estimated volume of ballast water 
discharged each time, primary port of ballast water loading, primary 
port of ballast water discharge, and certification of compliance with 
Sec.  151.2050.

0
6. Revise Sec.  151.2070 to read as follows:

Sec.  151.2070  Recordkeeping requirements.

    (a) The master, owner, operator, agent, or person in charge of a 
vessel bound for a port or place in the United States, unless 
specifically exempted by Sec.  151.2015 of this subpart, must ensure 
the maintenance of written or digital records that include the 
information required to be reported by Sec.  151.2060 of this subpart 
and the sediment information in paragraph (a)(1) of this section.
    (1) Discharge of sediment. If sediment was discharged within the 
jurisdiction of the United States, include the name and location of the 
facility where sediment disposal took place.
    (2) Certification of accurate information. Include the master, 
owner, operator, agent, person in charge, or responsible officer's 
printed name, title, and signature attesting to the accuracy of the 
information provided and that the activities were in accordance with 
the ballast water management plan required by Sec.  151.2050(g). If 
exceptional circumstances required deviation from the plan, the details 
surrounding the need for deviation and associated actions must be 
explained. The signature requirement may be satisfied by affirming the 
certification portion of the electronic ballast water report.
    (b) The master, owner, operator, agent, or person in charge of a 
vessel subject to this section must retain a signed copy of this 
information onboard the vessel for 2 years.
    (c) The recordkeeping requirements in this section may be met by 
maintaining a copy of the reporting form completed pursuant to Sec.  
151.2060 of this subpart, in addition to maintaining a record of the 
sediment information in paragraph (a)(1) of this section. These records 
may be stored on digital media but must be readily viewable by the 
Coast Guard during an inspection.
    (d) The master, owner, operator, agent, or person in charge of a 
vessel subject to this section must retain the monitoring records 
required in 46 CFR 162.060-20(b) for 2 years. These records may be 
stored on digital media but must be readily viewable by the Coast Guard 
during an inspection.

    Dated: November 18, 2015.
F.J. Sturm,
Acting Director of Commercial Regulations and Standards, U.S. Coast 
Guard.
[FR Doc. 2015-29848 Filed 11-23-15; 8:45 am]
 BILLING CODE 9110-04-P