[Federal Register Volume 59, Number 75 (Tuesday, April 19, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-9409]
[[Page Unknown]]
[Federal Register: April 19, 1994]
_______________________________________________________________________
Part VIII
Department of Transportation
_______________________________________________________________________
Coast Guard
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33 CFR Part 151
Recordkeeping of Refuse Discharges From Ships; Final Rule
DEPARTMENT OF TRANSPORTATION
Coast Guard
33 CFR Part 151
[CGD 92-71]
RIN 2115-AE17
Recordkeeping of Refuse Discharges From Ships
AGENCY: Coast Guard, DOT.
ACTION: Final rule.
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SUMMARY: The Coast Guard is issuing regulations to require that all
manned, oceangoing U.S. vessels 12.2 meters (approximately 40 feet) or
more in length engaged in commerce and all manned fixed or floating
platforms subject to the jurisdiction of the United States keep records
of garbage discharges and disposals. Regulations specifying the vessels
and platforms required to maintain these records are mandated by
statute. The use of shipboard garbage discharge and disposal records
will promote compliance, facilitate enforcement, and reduce the amount
of plastics discharged into the marine environment.
EFFECTIVE DATE: May 19, 1994.
ADDRESSES: Unless otherwise indicated, documents referenced in this
preamble are available for inspection and copying at the office of the
Executive Secretary, Marine Safety Council (G-LRA/3406), U.S. Coast
Guard Headquarters, 2100 Second Street SW., room 3406, Washington, DC
20593-0001 between 8 a.m. and 3 p.m., Monday through Friday, except
Federal holidays. The telephone number is (202) 267-6234.
FOR FURTHER INFORMATION CONTACT: Lieutenant Jonathan C. Burton, Project
Manager, Marine Environmental Protection Division (G-MEP), (202) 267-
6714.
SUPPLEMENTARY INFORMATION:
Drafting Information
The principal persons involved in drafting this document are
Lieutenant Jonathan C. Burton, Project Manager, Marine Environmental
Protection Division, and Mr. Stephen H. Barber, Project Counsel, Office
of Chief Counsel.
Regulatory History
On May 20, 1993, the Coast Guard published a notice of proposed
rulemaking entitled ``Recordkeeping of Refuse Discharges From Ships''
in the Federal Register (58 FR 29482). The Coast Guard received 23
letters commenting on the proposal. A public hearing was not requested
and one was not held.
These statutory provisions had been addressed previously in a Coast
Guard notice of proposed rulemaking (54 FR 37084; September 6, 1989)
but the regulatory section, as proposed, failed to receive OMB approval
under the Paperwork Reduction Act and was deleted from the interim rule
published on May 2, 1990 (55 FR 18578).
Background and Purpose
The Marine Plastic Pollution Research and Control Act of 1987 (the
Act) (Pub. L. 100-220) implements Annex V of MARPOL 73/78. Section 2107
of the Act (33 U.S.C. 1903 (b)(2)(A)) requires that the Secretary of
the Department in which the Coast Guard is operating prescribe
regulations which (a) require certain U.S. ``ships'' (defined in the
Act to include fixed or floating platforms, as well as vessels) to
maintain refuse record books and (b) specify the ships to which the
regulations apply. Refuse record books will be used to document waste
discharges from the ships.
Despite implementation of other Coast Guard Annex V regulations to
date, large amounts of plastic continue to wash ashore, obstruct
navigation, and entangle marine life. Very likely, much of this plastic
was illegally discharged as garbage from ships. According to the Coast
Guard's ``MARPOL Reception Facility Study,'' an informal survey of all
Annex V reception facilities on the East and Gulf coasts, less than 20
percent of the vessels calling at these ports off-load garbage at a
reception facility. Yet, Coast Guard boarding officers frequently find
no trace of garbage, separated plastics, or incinerated ash on ships
that doubtlessly generate large quantities of garbage, such as vessels
on long voyages. The evidence strongly suggests that, despite current
regulations, large amounts of garbage are still being discharged
overboard before plastics are separated out for later disposal ashore
or incineration aboard.
Though no regulation can stop a crew member intent on violating the
regulation from illegally discharging garbage, certain measures can be
taken to reduce the number of intentional, as well as negligent,
illegal discharges. Under 33 CFR 151.63(a), the master or person in
charge of a ``ship'' is made personally responsible for all discharge
or disposal operations. Therefore, a requirement for the master or
person in charge to maintain detailed records of each disposal
operation will promote knowledge of the discharge regulations and
awareness of waste handling practices on the ship, and provide a means
of verifying that masters and persons in charge are carrying out their
responsibilities. These records will provide a more complete and
accurate source of information for boarding officers than would the
recollections, over the duration of a voyage, of the master or person
in charge. The Coast Guard has already identified the benefits of
records by stating in 33 CFR 151.63(b)(2) that log entries indicating
discharge operations may be considered by enforcement personnel in
evaluating compliance.
Furthermore, the Coast Guard's ``MARPOL Reception Facility Study''
states that refuse recordkeeping is critical to strengthening
enforcement efforts. It is clear that the previous regulations have
failed to curtail the growing pollution problem. The waste management
plans required by 33 CFR 151.57, which, it was hoped, would satisfy the
statutory mandate for a refuse record book, have in and of themselves
produced inadequate results. It is now believed that, in conjunction
with waste management plans, refuse recordkeeping will measurably
improve the management of refuse aboard ships. In addition, it will
provide data for evaluating this regulatory program and its effect on
the environment. Coast Guard boarding officers are noting with
continued frequency that foreign vessels are maintaining refuse records
in order to demonstrate that they follow proper discharge procedures.
In addition to this rulemaking, the Coast Guard is pursuing
adoption of an international requirement for refuse recordkeeping
through the International Maritime Organization (IMO). In this regard,
the Coast Guard submitted an action paper at IMO's Marine Environment
Protection Committee meeting in July 1993.
Discussion of Comments and Changes
I. General Comments
(1) Three comments were in favor of the regulations. Of these
three, one saw no problems with the rule and the other two encouraged
vigorous enforcement.
The Coast Guard intends to vigorously enforce these regulations.
(2) One comment stated that the rule would have no effect on the
discharge of garbage in the marine environment since those who
illegally dump would merely falsify records and continue the practice.
The recording of waste disposal will aid in enforcement by
identifying those ships that do not appear to have policies and
disposal methods that support the records they provide.
(3) One comment suggested that methods other than recordkeeping be
used to reduce the amount of garbage in the marine environment.
Specifically, they proposed that plastic packaging materials be banned
and replaced with biodegradable materials, that ship operators be
required to provide garbage handling personnel, and that on board waste
processing equipment be required.
These ideas may have merit and deserve future consideration.
However, they are outside of the scope of this rulemaking, which is
limited to implementing 33 U.S.C. 1903(b)(2)(A).
(4) One comment stated that this recordkeeping should be required
on the international level to avoid duplicative national laws.
Though this idea may have merit, it is outside of the scope of this
rulemaking.
II. Applicability (Section 151.55(a))
(1) The Coast Guard is in the process of converting measurements in
many of its regulations to the metric system. Therefore,
Sec. 151.55(a)(1) has been changed to refer to vessels of ``12.2 meters
(approximately 40 feet).''
(2) Eleven comments were received from representatives of the
offshore oil and gas industry indicating that regulations on discharges
already exist for fixed and floating platforms and that this additional
requirement would be unnecessary and redundant.
Offshore platforms are made subject to the recordkeeping
requirement in 33 U.S.C. 1903(b)(2)(A)(i) because platforms are
included in the term ``ship'' as used in that provision. However, this
rulemaking should have little effect on platform operators as all
discharges, except for ground victual waste beyond 12 nautical miles,
are prohibited already under 33 CFR 151.73.
(3) One comment suggested that vessels or platforms discharging
garbage to offshore supply vessels (OSV's) be required to provide the
OSV with records indicating the generator and amount of waste so that
the OSV can make an accurate record of waste it discharges ashore.
The records required by this rule are for establishing compliance
and maintaining a statistical record of garbage discharged at sea. This
will be done by inspections on the ships in question. Therefore, there
is no justification to put an additional burden on vessels and
platforms by requiring them to provide OSV's with garbage records.
Furthermore, an OSV is not required under this rule to keep records of
garbage it takes as cargo from another vessel or platform. The word
``garbage'', as used throughout part 151, is defined in 33 CFR 151.05
as waste generated during the normal operation of the ship. Garbage
taken from a vessel or platform for shipment ashore is considered cargo
on the OSV and is regulated by the Shore Protection Act of 1988 (33
U.S.C. 2601 et seq.). It can not be mixed with the OSV's ship-generated
garbage and disposed of at sea.
(4) One comment from an association representing a large segment of
the passenger vessel industry recommended that passenger vessels
certificated for ocean service, though engaged exclusively in inland
trade, not be required to maintain refuse records.
While these vessels usually discharge at shore reception
facilities, it would be difficult, if not impossible, for enforcement
officials to determine that these vessels never operate outside of
inland waters. However, Sec. 151.55(c)(6) has been changed to exclude
garbage discharged to shore reception facilities from the requirement
that garbage be described by category. Shore discharges do not have the
limitations as to contents as to discharges at sea. This change
significantly reduces the reporting burden for passenger, as well as
other, vessels that discharge to shore.
(5) One comment from a representative of the coastal towing
industry stated that their vessels rarely operate outside of 20 miles,
have small crews, and are able to retain their garbage on board for
shore disposal. Therefore, they should be exempt from the rule.
The capability of retaining garbage on board for disposal ashore is
not sufficient justification to be exempted from this rule. However, as
with other vessels, if towing vessels retain their garbage on board for
disposal to a shore reception facility, they would be exempt from the
requirements that they categorize their garbage under
Sec. 151.55(d)(6).
(6) Two comments stated that foreign ships were a major contributor
to debris in the marine environment and should be included in this
rule.
These regulations are limited by 33 U.S.C. 1903(b)(2)(A) to ships
of United States registry or nationality or operated under the
authority of the United States.
(7) One comment stated that recreational vessels were a major cause
of garbage in the marine environment and should be included in this
requirement.
As discussed in the preamble of the proposed rule, the majority of
recreational vessels do not operate outside of the inland or coastal
waters of the United States. They usually are engaged in voyages of
short duration and do not generate large amounts of garbage.
Recreational vessels have a greater ability to retain garbage on board
until returning to port, where they usually have access to trash
receptacles at the marina. Additionally, there is no requirement for
recreational vessels to maintain a log of any kind, making
recordkeeping a greater burden.
(8) One comment stated that there is no evidence that vessels are
the problem and that the major cause of garbage in the water is sewage
outflows.
An increasing number of Coast Guard pollution cases clearly
document a pattern of illegal garbage discharges from vessels. This is
confirmed each year by the beach cleanups conducted under the guidance
of the Center for Marine Conservation. While sewage outflows may be a
significant cause of garbage in the marine environment, regulation of
these outflows is outside of the scope of this rulemaking.
(9) One comment stated that public vessels are a major cause of
garbage in the water.
Public vessels were not required to be in compliance with the
Marine Plastic Pollution Research and Control Act of 1987 until
December 31, 1993. Guidance has been, or will be, developed by the
agencies responsible for these vessels.
(10) One comment questioned why this rule applies to vessels of 40
feet or more, where the 1989 proposal applied to vessels of 79 feet or
more.
The Coast Guard lowered the size requirement in order to include
classes of vessels that have been identified as possible polluters in a
study conducted by the Coast Guard and submitted to Congress on the
implementation of MARPOL, Annex V. This study, entitled ``Compliance
with the Marine Plastic Pollution Research and Control Act of 1987'',
was required by that Act. There is further discussion of the 40 foot
threshold in the preamble to the May 20, 1993, notice of proposed
rulemaking (58 FR 29483).
III. Information on Discharge or Disposal Operations (Section
151.55(c))
(1) The MARPOL protocols request that the quantity of garbage
disposed of at a shore reception facility be recorded in cubic meters.
Therefore, Sec. 151.55(c)(5) has been changed to this standard.
(2) One comment stated that the requirement to log the distance to
shore in addition to recording the latitude and longitude was
unnecessary. The comment stated that many vessels do not routinely keep
track of the vessels's distance from shore.
The provisions in Secs. 151.51 through 151.77 that specify where
each type of garbage can be discharged are based on the distance of the
vessel from shore. Effective enforcement depends on knowing how far
from shore a particular type of garbage was discharged. However,
recognizing that calculating the precise distance from shore using the
latitude and longitude is burdensome, the Coast Guard has changed
Sec. 151.55(c)(4) to allow the distance from shore to be estimated.
This alleviates the need for a specific calculation.
(2) One comment recommended that the number of categories for
recording of the contents of garbage be reduced.
Categories are necessary because the discharge regulations in
Secs. 151.51 through 151.77 are based on garbage contents. However,
upon review of the various regulations, it was determined that none of
the regulations applicable to vessels made a distinction between ground
and unground victual waste. [Section 151.73 for platforms refers to
ground victual wastes, but this is the only category allowed to be
discharged from a platform.] Therefore, Sec. 151.55(c)(6) has been
changed to combine ground and unground victual waste into a single
category. The word ``victual'' replaces ``food'', as used in the
proposed rule, because it is a defined word used throughout part 151.
[See Sec. 151.05.]
(3) One comment stated that a single book should be developed to
record the discharge of oil, noxious liquid substances, and garbage.
This rule allows ship operators to use such a book at their option.
To require such a book is unnecessarily restrictive.
IV. Cost to Industry
(1) One comment stated that the estimate used in the draft
Regulatory Evaluation of two minutes to sort garbage and record its
disposal was too short a time.
The two minute estimate was intended only to cover the recording of
the disposal of garbage, not the sorting as well. The sorting of
garbage for disposal is an action that already must be undertaken to
comply with the discharge restrictions of Secs. 151.51 through 151.77,
regardless of whether or not a ship is required to record that
disposal. Sorting was not considered when determining the two minute
estimate. Nevertheless, the Coast Guard has reevaluated the time
necessary to determine and record the amount and type of garbage being
discharged and has found that five minutes per entry is a more
reasonable estimate.
(2) One comment was received from an association representing the
towing industry stating that the Coast Guard's estimate of the number
of coastal towing boats that would be subject to this rule was
incorrect. Rather than the number 23, as used in the draft Regulatory
Evaluation, they stated that the correct number was closer to 350.
The Regulatory Evaluation has been changed accordingly. In
preparing the draft Regulatory Evaluation, the wrong number was
inadvertently transposed and misstated. The Coast Guard agrees with the
number provided by the comment.
Regulatory Evaluation
This rule is not a significant regulatory action under section 3(f)
of Executive Order 12866 and does not require an assessment of
potential costs and benefits under section 6(a)(3) of that order. It is
not significant under the ``Department of Transportation Regulatory
Policies and Procedures'' (44 FR 11040; February 26, 1979). A final
Regulatory Evaluation has been prepared and is available in the docket
for inspection or copying where indicated under ADDRESSES. The
following is a summary of the Evaluation.
The total annual projected cost to industry of requiring that
refuse records be maintained is estimated to be $12,370,915.54. The
increase in this total, as compared to that in the draft Regulatory
Evaluation, is due to the increase in the estimated recording time from
two to five minutes. The total annual projected cost does not reflect
the potential reduction in reporting time for ships discharging at
shore facilities or incinerating on board. In the final rule, ship
operators who discharge on shore or who incinerate on board no longer
need to categorize the contents of their garbage. Nor does the
projected cost reflect the potential reduction in reporting time
resulting from the deletion of the requirement that the ship's distance
from shore be precisely calculated. In the final rule, the distance may
be estimated.
The Coast Guard based the implementation costs of these regulations
on the following categories of U.S. ships: freight and tank vessels,
tug and tow vessels, small fishing vessels (less than 300 gross tons),
large fishing vessels (300 gross tons or more), passenger vessels,
cruise vessels, vessels engaged in offshore oil and gas operations,
research and other miscellaneous classes of vessels, and manned fixed
and floating platforms. The annual cost for a ship to comply with these
regulations was calculated by multiplying the time it would take to
complete a refuse record entry (five minutes), by the number of
discharges per day (one), by the average wage per minute of the deck
officer, chief steward, or operator aboard each category of ship, and
by the average number of discharges per year for each category of ship.
The annual cost per ship in each category is estimated to be:
freight or tank vessel: $2,145.79; tug or tow vessel: $804.67; small
fishing vessel: $468.48; large fishing vessel: $585.21; passenger
vessel: $804.67; cruise vessel: $6,437.37; offshore oil or mineral
vessel: $890.01; research or other miscellaneous class of vessel:
$420.62; and manned fixed or floating platform: $128.01.
The estimated numbers of vessels affected in each category are: 586
freight and tank vessels, 350 tug and tow vessels, 16,948 small fishing
vessels, 224 large fishing vessels, 2,870 passenger vessels, 4 cruise
vessels, 276 offshore oil and mineral vessels, 124 research and other
miscellaneous classes of vessels, and 1,000 manned fixed and floating
platforms.
The total annual cost for each category of ship was calculated by
multiplying annual cost per ship by the estimated number of ships
effected in each category: freight and tank vessels: $1,257,432.94; tug
and tow vessels: $281,634.50; small fishing vessels: $7,939,799.04;
large fishing vessels: $131,087.04; passenger vessels: $2,309,402.90;
cruise vessels: $25,749.48; offshore oil and mineral vessels:
$245,642.76; research and other miscellaneous classes of vessels:
$52,156.88; and manned fixed and floating platforms: $128,010.00.
The average annual burden of this requirement per respondent is
estimated to be 20.9 hours. This average was calculated by dividing the
total number of hours spent on recordkeeping annually, by the total
number of applicable ships.
Small Entities
The Coast Guard does not have accurate information on how many
vessels or manned fixed or floating platforms would qualify as small
entities and what the economic impact on them would be. However,
because the recordkeeping is expected to require only five minutes per
day and no particular record book or format is prescribed, the Coast
Guard certifies under 5 U.S.C. 605(b) that this rule will not have a
significant economic impact on a substantial number of small entities.
Collection of Information
This rule contains a collection of information requirement. The
Coast Guard has submitted the requirements to the Office of Management
and Budget (OMB) for review under section 3504(h) of the Paperwork
Reduction Act (44 U.S.C. 3501 et seq.), and OMB has approved them. The
section number is Sec. 151.55 and the corresponding OMB approval number
is OMB Control Number 2115-0613.
Federalism
The Coast Guard has analyzed this rule under the principles and
criteria contained in Executive Order 12612 and has determined that
this rule does not have sufficient federalism implications to warrant
the preparation of a Federalism Assessment.
Environment
The Coast Guard considered the environmental impact of this rule
and concluded that, under section 2.B.2 of Commandant Instruction
M16475.1B, this rule is categorically excluded from further
environmental documentation. The regulations are administrative in
nature and are expected to have some positive but no negative impact on
the environment. The regulations should contribute to the reduction of
the occurrence of plastic, as well as other ship-generated garbage, in
the marine environment. A Categorical Exclusion Determination is
available in the docket for inspection or copying where indicated under
ADDRESSES.
List of Subjects in 33 CFR Part 151
Oil pollution, Reporting and recordkeeping requirements, Water
pollution control.
For the reasons set out 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
1. The authority citation for part 151 continues to read as
follows:
Authority: 33 U.S.C. 1321(j)(1)(C) and 1903(b); E.O. 11735, 3
CFR, 1971-1975 Comp., p. 793; 49 CFR 1.46.
2. Section 151.55 is added to read as follows:
Sec. 151.55 Recordkeeping requirements.
(a) This section applies to the following:
(1) Each manned oceangoing ship (other than a fixed or floating
platform) of 12.2 meters (approximately 40 feet) or more in length that
is engaged in commerce and that is documented under the laws of the
United States or numbered by a State.
(2) Each manned fixed or floating platform subject to the
jurisdiction of the United States.
(b) The master or person in charge of each ship under paragraph
(a)(1) or (a)(2) of this section shall ensure that a written record is
maintained on the ship of each of the following garbage discharge or
disposal operations:
(1) Discharge overboard.
(2) Discharge to another ship.
(3) Discharge to a reception facility.
(4) Incineration on the ship.
(c) The record under paragraph (b) of this section must contain the
following information on each discharge or disposal operation:
(1) The type of operation as described under paragraphs (b)(1)
through (b)(4) of this section.
(2) The date and time of the operation.
(3) If the operation was conducted at a port, the name of the port.
(4) If the operation was not conducted at a port, the latitude and
longitude of the location where the operation was conducted and the
estimated distance of that location from shore. If the operation
involved off-loading to another ship, the identity of the receiving
ship by name and official number.
(5) The amount of garbage involved, described by volume in cubic
meters.
(6) For discharges into the sea, a description of the contents of
the garbage, described by the following categories:
(i) Plastic material.
(ii) Floating dunnage, lining, or packing material.
(iii) Ground paper products, rags, glass, metal, bottles, crockery,
or other similar garbage.
(iv) Unground paper products, rags, glass, metal, bottles,
crockery, or other similar garbage.
(v) Victual wastes.
(vi) Incinerated ash.
(vii) Incinerated plastic residue.
(d) The record under paragraph (b) of this section must be prepared
at the time of the operation, certified as correct by the master or
person in charge of the ship, maintained on the ship for two years
following the operation, and made available for inspection by the Coast
Guard.
3. In Sec. 151.63, paragraph (b)(2) is revised to read as follows:
Sec. 151.63 Shipboard control of garbage.
* * * * *
(b) * * *
(2) Records under Sec. 151.55 or log entries of garbage discharges.
* * * * *
Dated: April 1, 1994.
A.E. Henn,
Rear Admiral, U.S. Coast Guard Chief, Office of Marine Safety, Security
and Environmental Protection.
[FR Doc. 94-9409 Filed 4-18-94; 8:45 am]
BILLING CODE 4910-14-M