
[Federal Register Volume 78, Number 108 (Wednesday, June 5, 2013)]
[Proposed Rules]
[Pages 33774-33784]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-13140]


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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: Notice of proposed rulemaking.

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

SUMMARY: The Coast Guard proposes to amend its existing ballast water 
management (BWM) reporting and recordkeeping requirements. The Coast 
Guard will 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. The 
Coast Guard also proposes to update the current ballast water report to 
include only data that is essential to understanding and analyzing BWM 
practices. The proposed rule will allow most vessels to submit ballast 
water reports after arrival to the port or place of destination.

DATES: Comments and related material must either be submitted to our 
online

[[Page 33775]]

docket via http://www.regulations.gov on or before August 5, 2013 or 
reach the Docket Management Facility by that date. Comments sent to the 
Office of Management and Budget (OMB) on collection of information must 
reach OMB on or before August 5, 2013.

ADDRESSES: You may submit comments identified by docket number USCG-
2012-0924 using any one of the following methods:
    (1) Federal eRulemaking Portal: http://www.regulations.gov.
    (2) Fax: 202-493-2251.
    (3) Mail: Docket Management Facility (M-30), U.S. Department of 
Transportation, West Building Ground Floor, Room W12-140, 1200 New 
Jersey Avenue SE., Washington, DC 20590-0001.
    (4) Hand delivery: Same as mail address above, between 9 a.m. and 5 
p.m., Monday through Friday, except Federal holidays. The telephone 
number is 202-366-9329.
    To avoid duplication, please use only one of these four methods. 
See the ``Public Participation and Request for Comments'' portion of 
the SUPPLEMENTARY INFORMATION section below for instructions on 
submitting comments.
    Collection of Information Comments: If you have comments on the 
collection of information discussed in section VI.D of this NPRM, you 
must also send comments to the Office of Information and Regulatory 
Affairs (OIRA), Office of Management and Budget. To ensure that your 
comments to OIRA are received on time, the preferred methods are by 
email to oira_submission@omb.eop.gov (include the docket number and 
``Attention: Desk Officer for Coast Guard, DHS'' in the subject line of 
the email) or fax at 202-395-6566. An alternate, though slower, method 
is by U.S. mail to the Office of Information and Regulatory Affairs, 
Office of Management and Budget, 725 17th Street NW., Washington, DC 
20503, ATTN: Desk Officer, U.S. Coast Guard.

FOR FURTHER INFORMATION CONTACT: If you have questions on this proposed 
rule, call or email LCDR Rodney Wert, Environmental Standards Division, 
U.S. Coast Guard (CG-OES-3); telephone 202-372-1434, email, 
rodney.wert@uscg.mil. If you have questions on viewing or submitting 
material to the docket, call Ms. Barbara Hairston, Program Manager, 
Docket Operations, telephone 202-366-9826.

SUPPLEMENTARY INFORMATION: 

Table of Contents for Preamble

I. Public Participation and Request for Comments
    A. Submitting Comments
    B. Viewing Comments and Documents
    C. Privacy Act
    D. Public Meeting
II. Abbreviations
III. Background
IV. Discussion of Proposed Rule
V. Regulatory Analyses
    A. Regulatory Planning and Review
    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. Public Participation and Request for Comments

    We encourage you to participate in this rulemaking by submitting 
comments and related materials. All comments received will be posted 
without change to http://www.regulations.gov and will include any 
personal information you have provided.

A. Submitting Comments

    If you submit a comment, please include the docket number for this 
rulemaking (USCG-2012-0924), indicate the specific section of this 
document to which each comment applies, and provide a reason for each 
suggestion or recommendation. You may submit your comments and material 
online or by fax, mail, or hand delivery, but please use only one of 
these means. We recommend that you include your name and a mailing 
address, an email address, or a phone number in the body of your 
document so that we can contact you if we have questions regarding your 
submission.
    To submit your comment online, go to http://www.regulations.gov and 
insert ``USCG-2012-0924'' in the ``Search'' box. Click on ``Submit a 
Comment'' in the ``Actions'' column. If you submit your comments by 
mail or hand delivery, submit them in an unbound format, no larger than 
8\1/2\ by 11 inches, suitable for copying and electronic filing. If you 
submit comments by mail and would like to know that they reached the 
Facility, please enclose a stamped, self-addressed postcard or 
envelope.
    We will consider all comments and material received during the 
comment period and may change this proposed rule based on your 
comments.

B. Viewing Comments and Documents

    To view comments, as well as documents mentioned in this preamble 
as being available in the docket, go to http://www.regulations.gov and 
insert ``USCG-2012-0924'' in the ``Search'' box. Click the ``Open 
Docket Folder'' in the ``Actions'' column. If you do not have access to 
the internet, you may view the docket online by visiting the Docket 
Management Facility in Room W12-140 on the ground floor of the 
Department of Transportation West Building, 1200 New Jersey Avenue SE., 
Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday, 
except Federal holidays. We have an agreement with the Department of 
Transportation to use the Docket Management Facility.

C. Privacy Act

    Anyone can search the electronic form of comments received into any 
of our dockets by the name of the individual submitting the comment (or 
signing the comment, if submitted on behalf of an association, 
business, labor union, etc.). You may review a Privacy Act notice 
regarding our public dockets in the January 17, 2008, issue of the 
Federal Register (73 FR 3316).

D. Public Meeting

    We do not now plan to hold a public meeting. You may submit a 
request for one to the docket using one of the methods specified under 
ADDRESSES. In your request, explain why you believe a public meeting 
would be beneficial. If we determine that one would aid this 
rulemaking, we will hold one at a time and place announced by a later 
notice in the Federal Register.

II. Abbreviations

BWM Ballast Water Management
CFR Code of Federal Regulations
COTP Coast Guard Captain of the Port
EEZ Exclusive Economic Zone
MISLE Marine Information for Safety and Law Enforcement
NANPCA Non-indigenous Aquatic Nuisance Prevention and Control Act of 
1990
NBIC National Ballast Information Clearinghouse
NIS Nonindigenous Species
NISA National Invasive Species Act of 1996
OMB U.S. Office of Management and Budget
RFA Regulatory Flexibility Act
SANS Ship Arrival Notification System

III. Background

    The Nonindigenous Aquatic Nuisance Prevention and Control Act of 
1990 (NANPCA), as amended by the National Invasive Species Act of 1996 
(NISA), requires the Secretary of Homeland

[[Page 33776]]

Security (the Secretary) to ensure, to the maximum extent practicable, 
that aquatic nuisance species are not discharged into waters of the 
United States from vessels. 16 U.S.C. 4711(c)(2)(A). The Secretary is 
also directed to prescribe requirements for vessels to maintain and 
submit information on their ballasting practices, as a means for the 
Secretary to determine vessels' effective compliance with the ballast 
water management (BWM) program. 16 U.S.C. 4711(c)(2)(F).
    The Commandant of the Coast Guard carries out these functions and 
authorities for the Secretary pursuant to a delegation of authority 
charging the Coast Guard with establishing and enforcing regulations to 
prevent the introduction and spread of aquatic nuisance species in the 
waters of the United States through the ballast water of vessels. 
Department of Homeland Security Delegation No. 0170.1(II.)(57).
    A full discussion of the legislative and regulatory history of the 
Coast Guard's actions to implement both NANPCA and NISA may be found in 
the final rule for ``Standards for Living Organisms in Ships' Ballast 
Water Discharged in U.S. Waters,'' published on March 23, 2012. 77 FR 
17254.
    The Coast Guard proposes to amend its existing BWM reporting and 
recordkeeping requirements (OMB Control Number 1625-0069) to require 
vessels equipped with ballast tanks and operating exclusively on 
voyages between ports or places within a single Captain of the Port 
(COTP) Zone to submit an annual summary report of their BWM practices. 
By making this change, the Coast Guard will be able to obtain a better 
understanding of the BWM practices of vessels that were previously 
exempt from reporting. This would improve the breadth and quality of 
available BWM information, enabling the Coast Guard and others to make 
the most informed programmatic and regulatory decisions.
    The Coast Guard also proposes to update the current ballast water 
report form so it includes only data that is essential to understanding 
and analyzing ballast water management practices. For those vessels 
currently required to submit BWM reports and maintain BWM records, the 
amendments are aimed at simplifying and clarifying the reporting and 
recordkeeping process and reducing the associated administrative 
burden. The proposed rule will also allow vessels that are not bound 
for the Great Lakes or the Hudson River, north of the George Washington 
Bridge from outside of the Exclusive Economic Zone, to submit ballast 
water reports after arrival to the port or place of destination.

IV. Discussion of Proposed Rule

    As detailed in Section V.A.4 of the final rule ``Standards for 
Living Organisms in Ships' Ballast Water Discharged in U.S. Waters,'' 
(March 23, 2012-77 FR 17254), the Coast Guard postponed amending BWM 
reporting and recordkeeping requirements to a future rulemaking 
project. The Coast Guard now proposes to update the reporting and 
recordkeeping requirements.
    This proposed rule would require vessels with ballast tanks and 
operating exclusively on voyages between ports or places within a 
single COTP Zone to submit an annual summary report of their BWM 
practices. The Coast Guard does not currently collect BWM information 
on this segment of the maritime population. The ``Standards for Living 
Organisms in Ships' Ballast Water Discharged in U.S. Waters'' 
rulemaking highlighted the need for additional data to be reported by 
these vessels. The Coast Guard is proposing a streamlined approach to 
meet this need with minimal burden to the public, requiring an annual 
submission summarizing the applicable BWM practices. This information 
will assist the Coast Guard in meeting the statutory requirements for 
maintaining a clearinghouse on national ballast water data and collect 
additional data for use in future rulemakings, if needed.
    The Coast Guard proposes this annual summary report be required for 
a three year period. The first report would be due no later than March 
31 of the first full year following publication of this rule and report 
on a vessel's ballasting practices for the previous calendar year. For 
example, if this rule publishes in 2013, the first report would be due 
no later than March 31, 2015 and report on the vessel's ballasting 
practices for the calendar year ending December 31, 2014. The third and 
final report would be due no later than March 31, 2017 and cover the 
2016 calendar year.
    The Coast Guard also proposes several changes to the recordkeeping 
and reporting requirements currently prepared by vessels with ballast 
water tanks that enter U.S. waters. These changes are intended to: (1) 
Facilitate compliance by aligning Federal recordkeeping requirements 
with international practices to the greatest extent practicable; (2) 
minimize the administrative burden on the regulated population by 
allowing those vessels that are not bound for the Great Lakes or the 
Hudson River, north of the George Washington Bridge from outside of the 
Exclusive Economic Zone, to submit ballast water reports after arrival 
to the port or place of destination, thereby greatly reducing the need 
for amended reports; and (3) improve efficiency in data handling by 
changing the reporting format and encouraging electronic report 
submission. Due to additional compliance monitoring for vessels bound 
for the Great Lakes and Hudson River, above George Washington Bridge, 
those vessels will still need to submit reports 24 hours prior to their 
arrival.
    The revised form is discussed below in section VI.D, Collection of 
Information. The form is available in the docket for this rulemaking 
(USCG-2012-0924).

V. Regulatory Analyses

    We developed this proposed rule after considering numerous statutes 
and executive orders related to rulemaking. Below we summarize our 
analyses based on 14 of 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, reducing costs, harmonizing rules, and promoting 
flexibility.
    This proposed rule is not 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. The Office of 
Management and Budget (OMB) has not reviewed it under that Order. 
Nonetheless, we developed an analysis of the costs and benefits of the 
proposed rule to ascertain its probable impacts on industry. We 
consider all estimates and analysis in this Regulatory Analysis to be 
draft and subject to change in consideration of public comments. Table 
1 presents a summary of the economic impact of the proposed rule. A 
detailed description of the estimates is presented in the next 
sections.

[[Page 33777]]



                                                     Table 1--Summary of Regulatory Economic Impacts
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                                                                                             Costs  (7% discount rate)
         Proposed changes                 Description         Affected  population --------------------------------------------         Benefits
                                                                                         Annualized               Total
--------------------------------------------------------------------------------------------------------------------------------------------------------
1. Require vessels operating       Owners and operators of    400 owners and        $22,110.............  $155,292............  Improve the breadth and
 exclusively on voyages between     vessels with ballast       operators of 1,280                                                quality of BWM data,
 ports and places within one COTP   tanks and operating        vessels operating                                                 enabling the Coast
 Zone to report ballast water       exclusively on voyages     in one COTP Zone.                                                 Guard and others to
 management practices.              between ports or places                                                                      make the most informed
                                    within one COTP Zone                                                                         programmatic and
                                    would be required to                                                                         regulatory actions to
                                    submit an annual summary                                                                     prevent nonindigenous
                                    of their ballast water                                                                       species (NIS) invasions
                                    management practices.                                                                        in U.S. waters.
                                    This information
                                    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 ballast                                                 inclusion of only
                                    already complying with     water management                                                  essential data on
                                    33 CFR 151.2070            activities under 33                                               ballast water
                                    requirements would not     CFR 151.2070.                                                     management practices.
                                    incur additional burden
                                    due to the updates.
3. Allow vessel owners and         Currently, vessels are     Vessels currently     ($184,868) Cost       ($1,298,437) Cost     Reduce the
 operators to submit ballast        required to submit         reporting ballast     savings.              savings.              administrative burden
 water reports after arrival to     reports 24 hours prior     water management                                                  on the regulated
 the port or place of destination.  to arrival. Allowing       activities under 33                                               population. We estimate
                                    vessels to report after    CFR 151.2070.                                                     that this proposed rule
                                    arrival--when their                                                                          will eliminate an
                                    ballasting activities                                                                        average of 10,717 post-
                                    are complete--should                                                                         arrival reports per
                                    greatly reduce the need                                                                      year.
                                    for post-arrival
                                    amendments.
4. Change the format of            Standardize the data       Vessels currently     $0..................  $0..................  Facilitate electronic
 electronic report.                 format and add pull down   reporting ballast                                                 report submission and
                                    menus to reduce data       water management                                                  improve efficiency in
                                    entry errors.              activities under 33                                               data handling and
                                                               CFR 151.2070.                                                     analysis.
--------------------------------------------------------------------------------------------------------------------------------------------------------

    A draft Regulatory Analysis follows. This proposed rule would 
modify and amend the following recordkeeping requirements and 
procedures:

1. Require Vessels Operating in One COTP Zone To Report Ballast Water 
Management Practices

    In this proposed rule, the Coast Guard would require owners and 
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 ballast water management 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 proposed rule would have an annual affect 
on 1,280 U.S.-flagged vessels that operate exclusively between ports or 
places within one COTP Zone. Table 2 presents the vessel types affected 
by this requirement. These vessels are currently exempted from the 
ballast water reporting requirements under 33 CFR 151.2070. Owners and 
operators of these vessels would be required to submit an annual 
summary report of their BWM practices to the Coast Guard for a period 
of 3 years.

Table 2--U.S. Flag Vessels Operating Exclusively Between Ports or Places
                          Within One 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 \1\.......................................              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 estimated that the total annual burden 
hours required would be approximately 40 minutes per vessel per year.
---------------------------------------------------------------------------

    \1\ Includes permanently moored vessels, school ships, and 
vessels with unspecified vessel type.
---------------------------------------------------------------------------

    We anticipate vessels would need 15 minutes to fill out and submit 
their annual ballasting report. Most of the information required is 
well known by the vessel manager and does not require additional 
document consultation. The information that does not require additional 
document consultation

[[Page 33778]]

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.
    We formulate that the remaining 25 minutes is the total time 
allocated (over the entire year) for vessel operators to assemble and 
evaluate information to estimate the number of trips where ballast 
water is discharged and the volume of discharge occurring during vessel 
operations. While there is certainly the possibility that some vessels 
may take longer for this, vessels that do not discharge ballast water 
will incur only 15 minutes to fill out and submit the annual form.
    We assume that the vessel manager, with an estimated wage rate of 
$69/hr \2\, would 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 $137. 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 
reporting period of 3 years 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.
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    \2\ 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).

 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 \3\                                               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 proposed rule would 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. Comments to the recent ballast 
water discharge standard regulatory docket (Docket No. USCG-2001-10486) 
asserted that the Coast Guard does not fully understand ballasting 
practices of this segment of the maritime industry. The Coast Guard 
seeks to improve the breadth and quality of its BWM data so it can make 
the most informed programmatic and regulatory actions, to evaluate if 
the need for further regulation is required for this specific 
population.
---------------------------------------------------------------------------

    \3\ The Coast Guard anticipates the information collection 
requirement would lapse after the completion of 3 years.
---------------------------------------------------------------------------

    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 151.2070) upon each entry into port, 
similar to existing requirements for other vessels operating outside a 
single COTP Zone. The Coast Guard instead chose the proposed 
alternative that requires only an annual summary report of ballast 
activities with a limited number of required data elements. The Coast 
Guard is also proposing to collect this data for only 3 years. Coast 
Guard believes that the annual summary report for 3 years provides 
sufficient information necessary to characterize ballast 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 151.2070)
    The Coast Guard proposes to update the ballast water reporting form 
to make it more concise and include only essential data on ballast 
water management practices. Current recordkeeping requirements on 33 
CFR 151.2070 would be amended to include only data fields essential for 
understanding and analyzing ballast water management practices of 
vessels operating in waters of the U.S.
    Vessels that are already submitting ballast water reports to comply 
with 33 CFR 151.2070 requirements would not incur additional burden due 
to the reporting updates. Updates to the reporting would make questions 
clear and concise. We do not expect a significant reduction in burden 
due to these changes because two additional required items would be 
likely to offset any time savings. The most time consuming report 
section (section 5, ``Ballast Water History'') would be restructured, 
but the content would be maintained. Currently, vessels equipped with 
ballast water tanks bound for ports or places within the U.S. or 
entering U.S. waters are required to submit a ballast water report. 
According to the OMB collection of information 1625-0069, it takes 
approximately 40 minutes to complete and submit the report. The Code of 
Federal Regulations at 33 CFR 151.2070 presents detailed information on 
reporting and recordkeeping requirements. This proposed rule would make 
updates to the reporting that would not result in a significant change 
of burden. Therefore, there is no additional cost associated with these 
changes.
    In updating the current reporting form, the Coast Guard would 
improve the utility of the data provided by the vessel population 
already required under existing regulations to submit reports to the 
Coast Guard.
3. Allow Vessels To Submit Ballast Water Reports After Arrival to the 
Port or Place of Destination
    Under the current 33 CFR 151.2060, vessels are required to submit 
reports on ballast water management 24 hours before arrival and predict 
their ballasting operations. The National Ballast Information 
Clearinghouse (NBIC) estimates that approximately 40 percent of the 
amended reports it

[[Page 33779]]

receives are due to the timing of the reports. In these cases, vessels 
owners and operators revise their reports with the actual ballasting 
information and resubmit them to the NBIC. Allowing those vessels that 
are not bound for the Great Lakes or the Hudson River, north of the 
George Washington Bridge from outside of the Exclusive Economic Zone, 
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 \4\ are amended and resubmitted every 
year due to the timing of submission. We estimate that it would take 
the vessel manager approximately 15 minutes to amend and resend the 
reports. Therefore, we expect that this amendment will result in an 
annual reduction of burden of approximately 2,679 hours (10,717 reports 
x 0.25 hours \5\), representing a cost savings of $184,868 (2,679 hours 
x $69/hr \6\) 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).
---------------------------------------------------------------------------

    \4\ The estimate is based on data provided by NBIC on superseded 
reports for 2006 to 2012.
    \5\ 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.
    \6\ 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 to improve reporting efficiency and data 
handling by changing the format of the electronic report that can be 
found in Information Collection Request (ICR), OMB Control number 1625-
0069. The proposed changes include standardized data formats and the 
addition of pull down menus. We do not anticipate any significant 
change in the reporting burden and, therefore, expect no additional 
costs or cost savings to the industry. According to the NBIC data from 
the past 6 years, approximately 99 percent of reports have been 
submitted electronically. In recent years, 100 percent of the reports 
have been submitted electronically. Standardized data entry would 
improve data quality and, as a result, data analyses would be easier 
and less time consuming.
5. Summary of Economic Impact of Proposed Rule
    We estimate that this proposed rule would result in a total and 
annualized cost savings of $1,143,145 and $162,758 respectively, at 7 
percent discount rate, over a 10-year period of analysis. These 
estimates are developed and shown in Table 5.

                           Table 5--Annual and Total Economic Impact of Proposed Rule
                                          [At 7 percent discount rate]
----------------------------------------------------------------------------------------------------------------
                                  1. Report from
                                      vessels        2. Update       3. Allow       4. Require
                                     operating        Current       vessels to      reports be       Economic
              Year                exclusively in   Ballast Water  submit reports     submitted       impact of
                                   one COTP Zone      Report       after arrival  electronically   proposed 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.


[[Page 33780]]

B. Small Entities

    Under the Regulatory Flexibility Act (RFA) (5 U.S.C. 601-612), we 
have considered whether this proposed rule would have a significant 
economic impact on a substantial number of small entities. The term 
``small entities'' comprises small businesses, not-for-profit 
organizations that are independently owned and operated and are not 
dominant in their fields, and governmental jurisdictions with 
populations of less than 50,000.
    As described in the ``Regulatory Analyses'' section, we expect 
minimal costs per vessel (an annual cost of $45.54 for a 3-year period) 
to owners 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 proposed 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 estimate 
that small entities will experience an average annual cost of $139 
(non-discounted) (cost is based on small entities managing, on average, 
3 vessels). Therefore, the Coast Guard expects that this proposed rule 
would not have a significant economic impact on small entities. Through 
this proposed rule, the Coast Guard would 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 
ballast water management practices under 33 CFR 151.2070 would incur a 
cost savings as a result of the elimination of post-arrival amendments 
due to time of the reporting.\7\
---------------------------------------------------------------------------

    \7\ In this proposed rule, most vessel owners and operators 
would be allowed to report ballast water management practices after 
arrival instead of 24 hours prior to arrival, as it is currently 
required under 33 CFR 151.2070. Due to additional compliance 
monitoring for vessels bound for the Great Lakes and Hudson River, 
above George Washington Bridge, those vessels will still need to 
submit reports 24 hours prior to their arrival under 33 CFR 
151.1516.
---------------------------------------------------------------------------

    Therefore, the Coast Guard certifies that under 5 U.S.C. 605(b), 
this proposed rule, if promulgated, will not have a significant 
economic impact on a substantial number of small entities.
    If you think that your business, organization, or governmental 
jurisdiction qualifies as a small entity and that this rule would have 
a significant economic impact on it, please submit a comment to the 
Docket Management Facility at the address under ADDRESSES. In your 
comment, explain why you think it qualifies and how and to what degree 
this rule would economically affect it.

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 proposed rule so that they can better 
evaluate its effects on them and participate in the rulemaking. If the 
proposed rule would affect your small business, organization, or 
governmental jurisdiction and you have questions concerning its 
provisions or options for compliance, please consult LCDR Rodney Wert, 
Environmental Standards Division, U.S. Coast Guard (CG-OES-3); 
telephone 202-372-1434, email, rodney.wert@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 proposed rule would modify 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 
collections, 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 proposed rule would 
modify the existing BWM recordkeeping requirements in 33 CFR 151.2070 
and amend the ballast water report (OMB Control Number 1625-0069). In 
this proposed rule, the Coast Guard would require vessels with ballast 
tanks and operating 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 also proposes to update the 
ballast water report to include only data that are essential to 
understanding and analyzing ballast water management practices. The 
proposed rule would also allow most vessels to submit ballast water 
reports after arrival to the port or place of destination.
    Need For Information: It is essential for the Coast Guard to 
improve the breadth and quality of its ballast water management data so 
it can make the most informed programmatic and regulatory actions to 
prevent the introduction of aquatic NIS 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 exempted from the reporting requirements of 33 CFR 151.2070.
    Proposed Use of Information: Obtain BWM data for a segment of the 
industry for which the Coast Guard has limited information and improve 
the utility of the data provided by the currently regulated vessel 
population. Additionally, this proposed rule will minimize the 
administrative burden on the currently regulated population (under 33 
CFR 151.2070) by allowing most vessels to submit ballast water reports 
after arrival and make reporting more concise by including only 
essential data.
    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. These vessel owners and operators are currently 
exempted from reporting ballast water practices under 33 CFR 151.2070. 
This proposed rule would require them to submit annual summary reports 
of their ballast water management practices. The Coast Guard proposes 
that the information collection requirement end after 3 years.
    (b) Owners and operators of vessels currently reporting ballast 
water management activities under 33 CFR 151.2070.
    Number of Respondents: The current approved collection of 
information (OMB 1625-0069) includes owners and operators of vessels 
currently reporting ballast water management activities under 33 CFR 
151.2070. The current reported number of respondents is

[[Page 33781]]

8,383. These respondents would be subjected to the amendments of the 
ballast water reporting (for more information, see Section V. 
Regulatory Analyses, A.1, A.2 and A.4 of this preamble) and changes to 
reporting time (for more information, see Section V. Regulatory 
Analyses, A.3 of this preamble).
    The requirements of this proposed rule would also 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 due to the 
requirements of this proposed rule).
    Frequency of Response: Current respondents under 33 CFR 151.2070 
would continue to report 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) would have to report 
once a year for a period of 3 years.
    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 \8\) for the private 
sector.
---------------------------------------------------------------------------

    \8\ 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, 
COTPZ of operation, number of ballast water tanks, total ballast 
water capacity, primary port of ballast water loading and discharge, 
estimated number of trips where ballast water is discharged and 
volume.
---------------------------------------------------------------------------

    (b) Annual burden for current reporting requirements: As described 
in section V. of this preamble, this proposed rule would allow most 
vessels to report no later than six hours after arrival (instead of 24 
hours prior to arrival as it is currently required under 33 CFR 
151.2070). Therefore, this population of vessels would not see a change 
in the amount of annual burden, since this proposed rulemaking only 
changes when vessels have to submit the report.
    This proposed rule would result in a total annual burden increase 
of 858 hours due to the new requirement for vessels 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 proposed rule to the Office of 
Management and Budget (OMB) for its review of the collection of 
information.
    We ask for public comment on the proposed collection of information 
to help us determine how useful the information is; whether it can help 
us perform our functions better; whether it is readily available 
elsewhere; how accurate our estimate of the burden of collection is; 
how valid our methods for determining burden are; how we can improve 
the quality, usefulness, and clarity of the information; and how we can 
minimize the burden of collection.
    If you submit comments on the collection of information, submit 
them both to OMB and to the Docket Management Facility where indicated 
under ADDRESSES, by the date under DATES.
    You need not respond to a collection of information unless it 
displays a currently valid control number from OMB. Before the Coast 
Guard could enforce the collection of information requirements in this 
proposed rule, OMB would need to approve the Coast Guard's request to 
collect this 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 does not have implications for federalism. NANPCA, as amended 
by NISA, contains a ``savings provision'' that saves 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. It also requires that ``[a]ll actions taken by Federal 
agencies in implementing the provisions of [the Act] be consistent with 
all applicable Federal, State, and local environmental laws.'' Thus, 
the congressional mandate is clearly for a Federal-State cooperative 
regime in combating the introduction of aquatic NIS into the waters of 
the United States from ships' ballast water.

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

I. Protection of Children

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

J. Indian Tribal Governments

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

K. Energy Effects

    We have analyzed this proposed rule under Executive Order 13211, 
Actions Concerning Regulations That Significantly Affect Energy Supply, 
Distribution, or Use. We have determined that it is not a ``significant 
energy action'' under that order because it is not 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

[[Page 33782]]

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 proposed rule does not use technical standards. Therefore, we 
did not consider the use of voluntary consensus standards.

M. Environment

    We have analyzed this proposed 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 made a preliminary determination 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 preliminary 
environmental analysis checklist supporting this determination is 
available in the docket where indicated under the ``Public 
Participation and Request for Comments'' section of this preamble. This 
rule is likely to be categorically excluded under section 2.B.2, figure 
2-1, paragraph (34)(a) of the Instruction. This rule involves 
regulations that are editorial and procedural. An environmental 
analysis checklist is available in the docket where indicated under 
ADDRESSES. We seek any comments or information that may lead to the 
discovery of a significant environmental impact from this proposed 
rule.

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 proposes 
to amend 33 CFR part 151 as follows:

Title 33--Navigation and Navigable Waters

CHAPTER I--COAST GUARD

Subchapter O--Pollution

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

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

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) 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):
* * * * *

Subpart D--Ballast Water Management for Control of Nonindigenous 
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 paragraph (d)(3); and
0
e. Add Table 1 to paragraph (d) to 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) * * *
* * * * *
    (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--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 Guard   Exempt.................  Exempt.................  Exempt.
 vessel subject to 46 U.S.C. 4713.
Vessel of the Armed Forces subject to  Exempt.................  Exempt.................  Exempt.
 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
 one 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).

[[Page 33783]]

 
Vessel operates between ports or       Exempt.................  Applicable.............  Applicable.
 places in more than one COTP Zone
 and takes on and discharges ballast
 water exclusively in one COTP Zone.
----------------------------------------------------------------------------------------------------------------

0
5. Amend Sec.  151.2060 as follows:
0
a. Revise paragraph (b);
0
b. Redesignate paragraph (c) as paragraph (d);
0
c. Add paragraph (c);
0
b. Revise newly designated paragraph (d);
0
c. Add paragraphs (e) and (f) to read as set out below:


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 the NBIC's Web site at http://invasions.si.edu/nbic/submit.html. The ballast water report will include the information 
listed in paragraph (c) 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 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 (b)(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) will 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, operator, type and tonnage.
    (2) Voyage information. This includes the port and date of arrival, 
vessel agent name and contact information, 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, and total number of ballast water 
tanks in ballast. All volumes are reported in cubic meters (m\3\).
    (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 loading port of the ballast water that was 
discharged during the exchange.
    (iii) The date(s), starting location(s), ending location(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) Certification 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) 
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) to the National 
Ballast Information Clearinghouse (NBIC) by electronic Annual Ballast 
Water Summary Report format using methods specified at the NBIC's Web 
site at http://invasions.si.edu/nbic/submit.html. The Annual Ballast 
Water Summary Report will be required for a period of three years on 
the following schedule:
    (1) Report on the vessel's ballasting practices for calendar year 
[INSERT 1 YEAR AFTER THE DATE OF PUBLICATION OF FINAL RULE] due no 
later than March 31,[INSERT 2 YEAR AFTER THE DATE OF PUBLICATION OF 
FINAL RULE).
    (2) Report on the vessel's ballasting practices for calendar year 
[INSERT 2 YEAR AFTER DATE OF PUBLICATION OF THE FINAL RULE] due no 
later than March 31, [INSERT 3 YEARS AFTER DATE OF PUBLICATION OF FINAL 
RULE].
    (3) Report on the vessel's ballasting practices for calendar year 
[INSERT 3 YEARS AFTER DATE OF PUBLICATION OF FINAL RULE] due no later 
than March 31, [INSERT 4 YEARS AFTER DATE OF PUBLICATION OF FINAL 
RULE].
    (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 primary port of ballast 
water loading, primary port of ballast water discharge, estimated 
number of trips where ballast water is discharged, estimated volume of 
ballast water discharged per trip and certification of compliance with 
Sec.  151.2050.
0
6. Revise Sec.  151.2070 to read as follows:

[[Page 33784]]

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 records that include the following 
information:
    (1) Vessel information. This includes the vessel's name, 
International Maritime Organization (IMO) number (or other vessel 
identification number if IMO number is not issued), gross tonnage, 
total ballast water capacity, and country of registry (flag).
    (2) Ballast water uptake information. This includes the date(s) and 
location(s) where the ballast water was taken on board, the volume(s) 
of the ballast water taken on board, and the numerical designation(s) 
of the tank(s) receiving the ballast water. Record all volumes in cubic 
meters (m\3\).
    (3) Ballast water management information. This includes the date(s) 
and location(s) where the management takes place, the volume(s) of 
ballast water managed, the numerical designation(s) of the tank(s) 
managed, and the management method used. Record all volumes in cubic 
meters (m\3\).
    (4) Ballast water discharge information. This includes the date(s) 
and location(s) of where the ballast water was discharged, the 
volume(s) of ballast water discharged, the numerical designation(s) of 
the tank(s) from which the ballast water was discharged, and whether 
the discharge was into the surrounding waters or to a reception 
facility. Record all volumes in cubic meters (m\3\).
    (5) Discharge of sediment. If sediment was discharged within the 
jurisdiction of the United States, include the name and location of the 
facility where the sediment discharge took place.
    (6) 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.
    (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 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 for Coast Guard 
inspection.

    Dated: May 29, 2013.
J. G. Lantz,
Director of Commercial Regulations and Standards, U.S. Coast Guard.
[FR Doc. 2013-13140 Filed 6-4-13; 8:45 am]
BILLING CODE 9110-04-P


