[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



_______________________________________________________________________



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.

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

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