Waste Handling Practices for Vessels and Waste Transfer Stations; Proposed Rule ENVIRONMENTAL PROTECTION AGENCY

SUMMARY: The Shore Protection Act of 1988 requires that the

Environmental Protection Agency (EPA) prescribe waste handling

regulations for waste sources, receiving facilities, and vessels

handling or transporting municipal or commercial waste in coastal

waters.

The EPA is requesting comments on these proposed regulations which:

Require that waste sources, receiving facilities, and vessels provide

the means and facilities to minimize waste deposited into coastal

waters during loading, offloading, and transport; require the

development, adoption, and, as appropriate, submission by each

responsible party of an Operation and Maintenance manual identifying

procedures to be used to prevent, report, and clean up any deposit of

municipal or commercial waste into coastal waters, including record

keeping requirements; and as necessary, require use of tracking systems

to assure adequate enforcement of laws preventing the deposit of

municipal or commercial waste into coastal waters.

DATES: Written comments on the proposed rule must be received on or

before October 31, 1994.

ADDRESSES: Written comments on the proposed rule should be addressed to

Waste Handling Practices Comment Clerk; Water Docket MC-4101, United

States Environmental Protection Agency, 401 M St. S.W., Washington,

D.C. 20460. Comments should include the name and address of the person

commenting, identify this proposed rule by name (Waste Handling

Practices for Vessels and Waste Transfer Stations), and cite the

specific section of the proposed rule to which each comment applies.

Commenters are also requested to submit any references cited in their

comments. Commenters are also requested to submit an original and three

copies of their written comments and enclosures. Commenters who want

receipt of their comments acknowledged should include a self-addressed,

stamped envelope. All comments must be postmarked or delivered by hand

by October 31, 1994. No fascimilies (faxes) will be accepted. For

access to the Docket materials, call (202) 260-3027 between 9 a.m. to

3:30 p.m., Monday through Friday, excluding legal holidays, for an

appointment. EPA public information regulation (40 CFR part 2) provides

that a reasonable fee may be charged for copying.

FOR FURTHER INFORMATION CONTACT: Joel Salter, Oceans and Coastal

Protection Division, United States Environmental Protection Agency,

4504F, 401 M St. S.W., Washington, D.C. 20460. Telephone: (202) 260-

8484.

SUPPLEMENTARY INFORMATION:

I. Introduction

On November 18, 1988, Congress enacted the Shore Protection Act (33

U.S.C. 2601, Public Law 100-688, 102 Stat. 4139 hereinafter referred to

as ``SPA'') to minimize trash, medical debris and other unsightly and

potentially harmful materials from being deposited into the coastal

waters of the United States as a result of inadequate waste handling

procedures by vessels transporting wastes on U.S. coastal waters and

associated loading and off-loading facilities. SPA is Title IV,

Subtitle A of P.L. 100-688. The Congressional Conference Report on P.L.

100-688 stated that landfills and their attendant barging operations

are a major source of floatable waste in harbor areas. The report

concluded that this type of waste has fouled the beaches of this

country on several occasions, reducing the quality of coastal waters,

endangering the health of humans, marine mammals, waterfowl and fish,

and causing severe declines in coastal economies dependent upon tourism

and recreational uses.

Section 4102 of SPA, titled Vessel Permits and Numbers, establishes

that a vessel may not transport municipal or commercial waste in

coastal waters without: (1) A permit from the Secretary of

Transportation; and (2) displaying a number or other marking as

prescribed by the Secretary under Chapter 123 of Section 12502(b) of

Title 46, United States Code. The Department of Transportation (DOT)

has promulgated an interim regulation on vessel permitting and vessel

numbering system (33 CFR part 151, subpart B).

Section 4103(a) of SPA requires owners and operators of waste

sources, vessels transporting waste and waste receiving facilities to

take all reasonable steps to minimize the amount of municipal or

commercial waste deposited into coastal waters both during vessel

loading and unloading operations, and during vessel transportation from

a waste source to a receiving facility.

EPA and DOT have been given authority to implement certain

provisions of SPA. DOT is responsible for issuing permits to the

appropriate vessels and for prescribing the number or marking which the

vessel must display under section 4102 of SPA. EPA is responsible for

developing the regulations, in consultation with DOT, which prescribe

waste handling practices pursuant to section 4103(b) of SPA. This

proposed rule, when promulgated, will fulfill EPA's obligation under

SPA section 4103(b). DOT is responsible for enforcing SPA, although the

Secretary of Transportation may authorize other officers or employees

of the United States Government to enforce provisions of SPA under

title 14 U.S.C. 89.

The Secretary of Transportation has designated the United States

Coast Guard (USCG) as the lead entity in implementing SPA on DOT's

behalf. Vessel permits under SPA are issued by the USCG in accordance

with 33 CFR part 151, subpart B. Under Sections 4102(d), (e) and

4104(a) of SPA, EPA has a consultation role on USCG permits and can

request that the USCG deny, suspend or revoke a permit. Specifically,

SPA section 4102(d) provides that DOT (USCG) and EPA can deny a permit

if the owner or operator of a vessel has a record indicating a pattern

of serious violations of any of the following statutes: The Shore

Protection Act (33 U.S.C. 2601 et seq.); The Solid Waste Disposal Act

(42 U.S.C. 6901 et seq.); The Marine Protection, Research, and

Sanctuaries Act of 1972 (33 U.S.C. 1401 et seq.); The Rivers and

Harbors Appropriation Act of 1899 (33 U.S.C. 401 et seq.); or The

Federal Water Pollution Control Act (33 U.S.C. 1251 et seq.). SPA

directs the USCG to provide a hearing process for denial, suspension or

revocation of a permit.

The EPA is proposing these regulations to set waste handling

practices for municipal and commercial waste transported in U.S.

coastal waters. SPA permits will require the permittee to comply with

these EPA regulations when they are promulgated in final form.

The proposed rules draw on experience from the State of New York (6

NYCRR Part 360, Solid Waste Management Facilities Document for Solid

Waste and Semi-solid Waste Handling Practices), and from the State of

Louisiana (Regulation 29-B, section pertaining to permitting of vessels

that haul municipal and commercial waste).

The USCG has issued interim final regulations which prescribe

permit application requirements for SPA permits (33 CFR part 151). The

regulations proposed today are designed to work in concert with the

USCG permit regulations to implement SPA. These regulations apply in

addition to, and not in lieu of, all applicable requirements under any

other statutes.

II. Detailed Discussion of the Proposed Rule

Purpose

Section 237.1, as proposed, essentially restates the regulatory

authority given to EPA under section 4103(b) of SPA. It requires EPA to

prescribe regulations that provide methods to minimize waste deposits

into coastal waters during loading, offloading, and transport. It

provides for the development and submission, as appropriate, of an

Operation and Maintenance manual that will identify procedures to

prevent, report and clean up deposits of waste and keep records.

Moreover, it allows the Administrator to require owners or operators of

waste sources, vessels, and receiving facilities to operate a tracking

system if the Administrator determines them necessary to assure

adequate compliance with SPA.

Applicability

Except for those exemptions described below, these proposed

regulations apply to all owners and operators of vessels transporting

municipal or commercial waste in coastal waters; waste sources from

which municipal or commercial waste is loaded onto a vessel in coastal

waters; and receiving facilities to which municipal or commercial waste

is offloaded from a vessel in coastal waters. Coastal waters is defined

in the statute (SPA section 4101(2)) and in proposed Sec. 237.3(b).

Where there is ambiguity on the applicability of SPA, we are providing

clarification below.

Vessels Included

Proposed Sec. 237.2 states that the rule would apply to vessels

which transport municipal or commercial waste in coastal waters. Owners

or operators of these vessels are required, among other things, to

obtain permits from the USCG, and to assure that any deposit of waste

into coastal waters from the vessel during transport is minimized. The

preamble to the USCG's interim permitting regulations states that a

vessel which regularly transports miscellaneous cargo in coastal waters

but is hired to transport municipal or commercial waste for a specific

voyage is required to have a permit to transport the municipal or

commercial waste for that voyage. A SPA permit and compliance with

waste handling requirements of this rule (when finalized) are required

of the vessel where the predominant business or purpose of the vessel

for that voyage is transportation of municipal or commercial waste (54

FR 22546, 22547, May 24, 1989).

In developing this regulation, EPA has worked with the USCG to

identify vessels that have applied for SPA permits. In doing so, it

became clear that there are vessels currently transporting municipal

and commercial waste that have not applied for a permit under the USCG

permitting requirements. For example, EPA is aware of a number of

vessels that support the offshore oil and gas industry by transporting

packaged garbage, drilling fluids, and drill cuttings from oil and gas

platforms and developed and undeveloped lease blocks in coastal waters

to shore for disposal. EPA believes that these vessels fall within the

scope of SPA because they are transporting commercial waste in coastal

waters. Therefore, EPA believes that vessels which are used,

contracted, or hired to transport oil field municipal and commercial

waste from offshore development and production facilities to shore

reception facilities, commonly referred to as ``supply vessels,'' are

required to comply with these regulations, when promulgated in final

form. After consulting with the USCG, the agency has been informed that

the USCG believes that these ``supply vessels'' are also subject to the

permitting requirements under 33 CFR part 151, subpart B.

Vessels used, contracted or hired for the purpose of pumping sewage

from other vessels are also covered by these regulations. The Agency

considered excluding these pump-out vessels from the universe of

regulated entities to encourage their use, but concluded that the

requirements imposed by these regulations are minimal, and should not

discourage the use of pump-out vessels.

Vessels Excluded

Section 4102(a) of SPA clearly exempts public vessels from this

regulation. Section 237.2(b)(1), as proposed, supports this exemption

by restating that these regulations do not apply to such vessels (as

defined in 33 CFR 151.1006). ``Public vessels'' are defined as vessels

that are owned or demise chartered and operated by the United States

government or a government of a foreign country and are not engaged in

commercial service. SPA states that vessels as defined in section 2101

of title 46 of the United States Code are not required to apply for a

SPA permit to transport municipal or commercial waste in coastal waters

or comply with this rule. Note that a public vessel would not include a

vessel owned by a municipality.

In addition, these proposed regulations would not apply to vessels

which transport some quantity of municipal or commercial waste

incidental to the predominant business or purpose of the vessel. For

example, a ferry transporting people and vehicles which also transports

a garbage truck loaded with municipal or commercial waste is not

required to apply for a SPA permit and would be exempt from complying

with this rule. In this example, the ferry's predominant business or

purpose is not waste transportation.

The conference report on P.L. 100-688 states that SPA was intended

``only to apply to vessels whose purpose is the transportation of

municipal or commercial waste, not all vessels. It was not intended to

apply to vessels that may generate waste during their `normal

operations'.'' Examples of vessels exempt from this rule because of the

normal operation exemption would be a cruise ship and a fishing vessel,

both of which transport waste generated by the crew and passengers

during a voyage. This ``normal operation'' exemption is set forth in

section 4101(3)(B) of SPA.

If normal operational waste meeting the definition of municipal or

commercial waste is transferred from the generating vessel to another

vessel contracted to transport waste, the vessel receiving the

municipal or commercial waste is subject to the requirements of SPA as

a vessel and receiving facility and must comply with requirements under

these regulations when finalized. The waste generating vessel is not

regulated under SPA. This clarification allows vessels, such as cruise

ships and fishing vessels, to offload their normal operational waste

without being subject to SPA requirements.

Waste Sources

SPA section 4103(a)(1) requires owners or operators of waste

sources to take all reasonable steps to assure that all municipal or

commercial waste is loaded onto a vessel in a manner that assures that

waste deposited into coastal waters is minimized. There are a variety

of entities that handle municipal or commercial waste that are

considered waste sources for purposes of these regulations. These

include trucks, certain vessels, waste transfer stations, and island

docks or piers. The following provides some examples of how and when

this regulation applies to some of these waste sources. Offshore oil

and gas exploration platforms will not be considered waste sources

under SPA, for the reasons set forth below.

A truck transporting municipal or commercial waste will be

considered a waste source (i.e., rolling stock or motor vehicle) if it

directly loads its waste onto a vessel. If a truck will be transferring

municipal or commercial waste to a vessel by means of a waste transfer

station, EPA is proposing in Sec. 237.2(b)(4) that the truck not be

considered a waste source, and therefore not be subject to the

requirements of these regulations on its own. Instead, the waste

transfer station would be considered the waste source responsible for

ensuring that the waste transfer meets the waste handling standards for

these regulations. Section 237.4(e)(1)(ii) should be interpreted to

require the owner or operator of a waste source to incorporate

guidelines in the Operation and Maintenance manual that accounts for

the truck or vessel transfer. The waste transfer station more typically

will have the necessary equipment and personnel to comply with these

regulations. Rolling stock and motor vehicles typically are not

equipped with containment or diversionary structures e.g. dip nets,

oily water separators etc., and will not, in most cases, be able to

comply with requirements being proposed in Sec. 237.4.

In the situation where waste is transferred from an offshore oil

and gas development and production facility, the oil and gas facility

is not a waste source for purposes of these regulations. That transfer

is governed by the Clean Water Act (National Pollution Discharge

Elimination System), which regulates, among other things, the discharge

of pollutants from point sources, including offshore oil and gas

development and production facilities, and the Marine Plastic Pollution

Research and Control Act (MPPRCA) which governs the regulation of

garbage generated by ships. Under the Clean Water Act, EPA has

promulgated effluent limitation guidelines and new source performance

standards for the offshore oil and gas industry (58 FR 12453, March 4,

1993). Coverage of these offshore oil and gas development and

production facilities under SPA would be duplicative and unnecessary.

Definitions

Section 237.3 lays out definitions to be used to interpret and

implement these regulations. Some of the definitions are the same as

the definitions in SPA. Others are clarifications or additions to those

definitions. Unless otherwise noted, those terms are consistent with

USCG definitions under 33 CFR part 151. The definitions proposed today

that are different or in addition to those in SPA include definitions

for the terms waste source, receiving facility, operator, owner, SPA,

waste deposit, and waste transfer station.

EPA proposes to include within the coverage of this regulation a

typical waste transfer from vessel to vessel (with exceptions noted in

the discussion of vessels excluded under the applicability section) by

including the term ``vessel'' in the definition of waste source and the

definition of receiving facility. This is clearly within the intent of

the statute. Vessels which transfer municipal or commercial waste to

other vessels, unless excluded as described above, will be required to

comply with these regulations as a waste source or receiving facility

(depending on whether the transfer is loading onto or offloading from

the vessel) and to clean up waste deposited into U.S. coastal waters as

a result of inadequate waste transport or transfer practices.

The definition of ``vessel'' includes non self-propelled vessels

and the attendant towing vessel. This is included to ensure that barges

tied to a towing vessel are covered by these regulations. They would be

considered one vessel.

The definition of ``waste source'' includes any rolling stock or

motor vehicles from which waste is directly loaded onto vessels. As

explained infra, once rolling stock (e.g., a garbage truck) enters a

waste transfer station, the transfer station, and not the rolling stock

would be the sole waste source responsible for all appropriate waste

handling practices and requirements under these proposed regulations.

Note that the definition of ``municipal and commercial waste'' is

proposed as defined in section 4103 of SPA, as ``solid waste'' and

includes solid, semi-solid, and liquid materials (as defined in section

1004 of the Solid Waste Disposal Act, 42 U.S.C. 6903), with exceptions

as defined in Section 4101(3) of SPA. It also includes waste drilling

fluids and drill cuttings.

Specific Waste Handling Practices for Waste Sources and Receiving

Facilities During Loading and Offloading

Proposed Sec. 237.4 would require the owner or operator of a waste

source or receiving facility to: (1) Meet standards related to loading

and offloading municipal or commercial waste to assure that any deposit

of waste in coastal waters is minimized; (2) provide methods and

procedures to promptly clean up waste deposited in coastal waters; (3)

have fixed lighting; (4) develop, adopt, and submit, as appropriate, an

Operation and Maintenance manual; and (5) maintain records of waste

deposited in coastal waters. EPA considered other alternatives to the

regulations proposed today, such as identifying specific methods and

tools for clean up required by the regulations instead of generic waste

handling practice standards. Rather than require the use of specific

methods or tools, EPA believes that the generic waste handling

practices contained in the proposed regulations, if promulgated in

final form, will be sufficient to eliminate the waste problems

resulting from inadequate municipal and commercial waste handling

activities in coastal waters while preserving necessary flexibility on

how to best achieve that result.

Among the proposed waste handling practices for waste sources and

receiving facilities are requirements for containment or diversionary

structures. EPA believes this equipment, e.g., booms, dip nets, and

oily water separating equipment, is necessary to control or contain the

waste that is deposited in coastal waters. In addition, EPA proposes

that waste sources and receiving facilities must have fixed lighting

when conducting loading and offloading operations between sunset and

sunrise. Such lighting is necessary to provide waste handling personnel

with the visual ability to control and contain waste transfers with a

minimum of improper disposal into coastal waters.

The proposal also contains requirements for owner or operators of

waste sources and receiving facilities to clean up all municipal or

commercial waste that may have been deposited into coastal waters

during loading or offloading. EPA is proposing that such clean up must

occur before the first high tide after the disposal occurs. EPA

believes that requiring this time frame for the clean up is appropriate

because otherwise the waste would disperse at high tide beyond the

waste source or receiving facilities' ability to contain or control the

waste. Among the cleanup methods set forth in the proposed rule are

sweeper boats, manned boats with nets, booms or other equipment, and/or

shoreline cleanup personnel. The proposed rule would require that

cleanup resources be in continuous operation or on standby for loading

and offloading operations which take place during an ebb tide. EPA

believes that this requirement will ensure that waste that is deposited

into coastal waters is contained or controlled before it has the chance

to disperse with an ebb tide.

The proposal also would require waste sources and receiving

facilities to have a placard located at the facility which is readily

visible to persons involved in waste handling practices. Such placard

would need to display the name and telephone number of the individual

responsible for notifying the USCG National Response Center (NRC) at 1-

800-424-8802 in the event of a deposit of waste into coastal waters

that is not cleaned up.

SPA section 4103(b)(2) provides that the Administrator may require

responsible parties to submit Operation and Maintenance manuals, as

appropriate. EPA proposes to require that all waste sources and

receiving facilities covered under SPA (with the exceptions noted in

Sec. 237.2), develop and adopt these manuals and that each of the waste

sources and receiving facilities submit to the EPA a letter certifying

that the manual was developed in accordance with the guidelines

provided. The Operation and Maintenance manual shall then be submitted

to the Administrator only upon request, and, if requested, within two

weeks of the request by the Administrator for the manual.

Alternatives, such as requiring the submission of operation and

maintenance manuals by a subset of the regulated community, or ``as

appropriate,'' depending on the circumstances, would be difficult to

implement and more likely an obstacle to meeting the intent of SPA. The

development of operation and maintenance manuals by all of the

regulated community will ensure that owners and operators are aware of

waste handling procedures, including who shall be responsible for the

cleanup of waste deposits, notification and reporting requirements, and

equipment needed to contain and or clean up a waste deposit. Submission

of manuals upon request will help assure that there is a minimum

standard of waste handling practices for the regulated community. To

facilitate implementation of this requirement, EPA is proposing as an

appendix to this regulation information on developing an operation and

maintenance manual. The proposal leaves the content of the manual

flexible--each responsible party will develop its own procedures and

document these procedures in the manual, following the general guidance

in the appendix. EPA encourages those that have already developed

operation and maintenance manuals consistent with the guidelines

prescribed in Appendix A to use these manuals. Those that have not yet

developed a relevant operation and maintenance manual are encouraged to

use the guidelines provided in Appendix A to develop a manual.

Under this proposal, the Administrator or the Secretary may review

these manuals and either accept the manual or reject the manual with

comment if the manual fails to provide the necessary information

prescribed in the regulations. Operations may continue during this

review process. Failure to develop an operation and maintenance manual,

or to follow the procedures adopted in the facility's manual, would be

a violation of these regulations.

The Operation and Maintenance manual must include procedures for

notifying the USCG in the event of a deposit of regulated waste into

coastal waters that is beyond the capacity of the owner or operator to

clean up. In addition, it must identify an individual responsible for

such notification. This individual must be designated by the owner or

operator of the waste source or receiving facility. The identification

of this person and his or her responsibilities shall provide a process

for reporting and requesting assistance in the case of a deposit beyond

the capacity of the waste source, vessel or receiving facility to

contain and clean up after implementing clean up procedures outlined in

the operation and maintenance manual. The responsible individual must

be a supervisory employee responsible for waste handling activities or

an officer of the company owning or operating the waste source, vessel

or receiving facility, who is responsible for some aspect of waste

handling activities (e.g. vice president in charge of operations).

Therefore, the responsible individual can be an owner or operator of

the company. When a municipal or commercial waste deposit is beyond the

capacity of the regulated entity to clean up after implementing the

clean up procedures outlined in the Operation and Maintenance manual,

the responsible individual is accountable for notifying the USCG NRC in

the case of a deposit of waste into coastal waters.

The regulations would require that the Operation and Maintenance

manual be accessible to all employees involved in waste handling

activities. In addition to the notification requirements, any person

witnessing a deposit of municipal or commercial waste into coastal

waters is encouraged to contact the USCG NRC when it is suspected that

there is a violation of these regulations. Owners and operators are

encouraged to put this USCG NRC number on the placard.

Specific Waste Handling Practices for Vessels During Transport

Proposed Sec. 237.5 provides a standard for waste handling

practices for vessels during transport of municipal or commercial waste

in coastal waters. This standard requires that the owner or operator

ensure that the deposit of waste into coastal waters from a vessel is

minimized. For example, open hopper barges transporting municipal solid

waste could comply by covering the entire open area of the hopper barge

with a net suitable for minimizing waste deposits into coastal waters

during transport. In addition to meeting this standard, all vessels

requiring a SPA permit will be required to submit an Operation and

Maintenance manual to the appropriate USCG office with their permit

application. The permittee or applicant should call the USCG NRC to

obtain the address of the appropriate USCG office for the area in which

the vessel will operate. The owners or operators of vessels which have

already obtained a conditional permit under the USCG interim permitting

rule (33 CFR Part 151) would be required to submit an Operation and

Maintenance manual within 180 days of the effective date of the rule.

Owners and operators of vessels not yet permitted would need to submit

an Operation and Maintenance manual at the time they submit a permit

application to the USCG.

Operation and Maintenance manual requirements for vessels are

similar to those proposed for waste sources and receiving facilities

discussed above. EPA considered requiring vessel owners and operators

to submit to the USCG a letter certifying the development of the

Operation and Maintenance manual rather than the manual itself;

however, EPA decided that because vessels are required to submit an

application for a permit it is logical to include a copy of their

manual. Submission of the manual with the permit application ensures

that the permit applicant has fully considered these waste handling

practices, cleanup measures, record keeping, and reporting requirements

and has documented them accordingly. Guidance for development of a

vessel Operation and Maintenance manual is found in Appendix A of this

proposal. Failure to develop an Operation and Maintenance manual is a

violation of SPA and these regulations.

EPA is proposing that the owner or operator of a vessel subject to

this regulation must secure the waste to ensure that deposit in coastal

waters is minimized. In particular, vessels must not be loaded in

excess of their design capacity or in a manner inconsistent with the

vessel's Operation and Maintenance manual. Loading of a vessel in

excess of its capacity would clearly pose risks of waste deposition in

coastal waters. In addition, the proposal contains a provision which

would require vessels to have and use a drainage containment system.

Such a system will reduce the amount of leachate discharge into coastal

waters. EPA is also proposing that all ports and valves which may be

used for flushing or discharging waste residue from the hull or tanks

must be labelled and valve seals shall be placed on the valves. This

requirement would ensure that waste handling personnel would easily be

able to control the movement of leachate and waste on the vessel.

The Agency is proposing that owners or operators of vessels remove

all municipal or commercial waste deposited into coastal waters during

transport, or, when appropriate, during the waste transfer. This

proposal also would require the vessels to have the capability on board

to clean up the waste deposited or to call a support unit to clean up

the waste deposited. In addition, as EPA proposed for waste sources and

receiving facilities, the proposal would require vessels to have a

placard located on board which is readily visible to persons involved

in waste handling practices. The placard would have to display the name

and telephone number of the individual responsible for notifying the

USCG NRC of a deposit of waste in coastal waters that is beyond their

capacity to clean up.

Finally, the proposal would require vessel owners or operators to

maintain records of municipal or commercial waste deposited in coastal

waters. The records are to include information on the date and time of

day the deposit occurred; the type of waste deposited; the estimated

amount and type of waste recovered; and the name of the vessel from

which the deposit occurred. Section 4103(b)(2) authorizes EPA to

include record keeping requirements in the regulations, and the Agency

believes that such requirements are reasonable, and will encourage

proper handling of waste so that deposits into U.S. coastal waters do

not occur. Similar requirements have been proposed for the owners and

operators of waste sources and receiving facilities.

As with waste handling practices proposed for waste sources and

receiving facilities, EPA considered alternatives to regulating these

vessels, such as specific procedures and equipment required on board a

vessel. Because of the variability in nature of municipal and

commercial waste transported, in addition to the variety of vessels,

waste sources and receiving facilities affected by this rule, EPA chose

to propose a waste handling practice standard alternative today that is

flexible yet sufficient to carry out the goals of the statute.

Tracking System

Section 4103(b)(3) of SPA allows for tracking systems to be

required if the Administrator determines that tracking systems will be

necessary to assure adequate enforcement of the requirements in SPA and

these regulations. EPA, in consultation with the USCG, conducted a

study on the need for tracking systems for vessels transporting

municipal and commercial waste. The results of this study are

documented in a Report to Congress submitted by EPA in August of 1992,

titled ``The Need for Tracking Systems on Vessels Transporting

Municipal or Commercial Wastes.'' EPA is proposing to follow the

recommendation outlined in that report and require a tracking system in

the future only if deemed necessary by the Administrator (on a case-by-

case basis).

EPA is proposing in Sec. 237.6 today that a tracking system may be

required for owners and operators of waste sources, vessels, and

receiving facilities which have been identified as persistent

violators. In determining whether to require a tracking system, EPA is

proposing that the Administrator consider the following variables: (1)

The owner's and operator's history of compliance with SPA; (2) the

owner's and operator's history of compliance with other environmental

statutes; (3) the characteristics and amounts of waste transported; and

(4) the feasibility of installing a specific kind of tracking system.

A tracking system can be used to provide a manifest of waste

movement, track the waste from a waste source to the offloading

facility, or serve any purpose deemed appropriate by the Administrator

to track persistent violators.

Enforcement

Sections 4105 and 4108 of SPA give the Secretary of Transportation

the authority to enforce the requirements of SPA and assess penalties.

The Secretary has delegated this authority to the USCG. Under SPA, EPA

also is provided authority under sections 4105 and 4104 to: (1) Conduct

investigations of an owner or operator of a vessel or facility if the

owner or operator has five or more separate violations during a six-

month period; and (2) request that the Secretary of Transportation

suspend or revoke a permit issued to a vessel for a violation of SPA or

regulations promulgated under SPA.

SPA section 4108 states that after notice and an opportunity for a

hearing, a person found by the Secretary of Transportation to have

violated the SPA or a regulation promulgated under it for which a civil

penalty is provided is liable to the United States for the civil

penalty so provided. 33 U.S.C. section 2608(a). Section 4109 of the SPA

establishes that a person who violates SPA requirements is liable to

the United States government for a civil penalty of not more than

$25,000. 33 U.S.C. Section 2609(a). The Act specifies that each day of

a continuing violation is a separate violation. Id.

Proposed Sec. 237.7(a) codifies the notice and opportunity for a

hearing provisions from the statutory language of SPA section 4108(a).

The legislative history of SPA makes it clear that the assessment of

civil penalties should not require an ``on the record'' hearing within

the meaning of the Administrative Procedure Act. H. Conf. Rep. No. 100-

1090, at 46 (Oct. 18, 1988). As noted above, the USCG has been

delegated the authority to enforce the requirements of SPA, and the

legislative history specifically cites the USCG civil penalty

procedural rules under 33 CFR 1.07 as providing the appropriate level

of due process, notice, and opportunity to be heard. Id. Thus,

Sec. 237.7(a) of the proposed rule specifies that prior to issuing a

SPA civil penalty, notice and an opportunity for a hearing will be

conducted in accordance with the Coast Guard's civil penalty

procedures. The Coast Guard has indicated to EPA its intent to utilize

the procedures in 33 CFR 1.07 for imposition of civil penalties under

SPA.

Section 237.7(b) provides the legal authority for the imposition of

a civil penalty for any violation of the substantive provisions of part

237 by restating the statutory penalty level provided in section

4109(a) of SPA.

With regard to the ``person'' liable for penalties, section 4104(c)

broadly defines the term ``person'' to mean an ``individual, trust,

firm, joint stock company, corporation (including a government

corporation), partnership, association, state, municipality,

commission, political subdivision of a State, or any interstate body.''

33 U.S.C. 2604(4). Under the terms of Sec. 237.3, any of such

``persons'' could qualify as an owner or operator of a regulated

entity, and be subject to the assessment of civil penalties by the

Secretary.

EPA Review Procedures and Grounds for Denial

Section 4102(e) provides that the Secretary, after consultation

with the Administrator, shall issue or deny a permit, within 30 days of

receiving a complete application. EPA and the USCG intend to establish

the inter-agency permit and application review procedures in a

Memorandum of Understanding (MOU). These inter-agency review procedures

will be developed jointly with the USCG.

III. Compliance With Other Acts and Orders

A. Executive Order 12866

Under Executive Order 12866 (58 FR 51735 (October 4, 1993)), The

Agency must determine whether the regulatory action is ``significant''

and therefore subject to OMB review and the requirements of the

Executive Order. The Order defines ``significant regulatory action'' as

one that is likely to result in a rule that may:

(1) Have an annual effect on the economy of $100 million or more

or adversely affect in a material way the economy, a sector of the

economy, productivity, competition, jobs, the environment, public

health or safety, or state, local, or tribal governments or

communities;

(2) Create a serious inconsistency or otherwise interfere with

an action taken or planned by another agency;

(3) Materially alter the budgetary impact of entitlement,

grants, user fees, or loan programs or the rights and obligations of

recipients thereof; or

(4) Raise novel legal or policy issues arising out of legal

mandates, the President's priorities, or the principles set forth in

the Executive Order.

It has been determined that this rule is not a ``significant

regulatory action'' under the terms of Executive Order 12866 and is

therefore not subject to OMB review.

B. Regulatory Flexibility Act

Pursuant to the Regulatory Flexibility Act of 1980, 5 U.S.C. 601 et

seq., whenever an agency is developing regulations, it must prepare and

make available for public comment the impact of the regulations on

small entities (i.e., small businesses, small organizations, and small

governmental jurisdictions). However, no regulatory flexibility

analysis is required if the head of the agency certifies that the rule

will not have a significant economic impact on a substantial number of

small entities. The Agency has prepared a Regulatory Impact Analysis

(RIA). This RIA shows that the estimated first year cost is

approximately $1,609,000 for vessels, waste sources, and receiving

facilities. Annual costs during the next 5 years are estimated at

$249,000 for vessels, waste sources, and receiving facilities. The

average first year costs per vessel of $253-$1,413 are not considered

significant. The average first year costs for waste sources and

receiving facilities are estimated at $126-$2,316. The largest share of

compliance costs, measured as first year costs, will be for waste

transport vessels, primarily supply boats transporting muds and

packaged garbage from offshore rigs. Based on EPA's analysis of the

effected regulated community, I certify that this proposed rule imposes

no significant economic impacts on a substantial number of small

entities.

C. Paperwork Reduction Act

The information collection requirements in this proposed rule have

been submitted for approval to the Office of Management and Budget

(OMB) under the Paperwork Reduction Act, 44 U.S.C. 3501 et. seq. An

Information Collection Request document has been prepared by EPA (ICR

#1700.01) and a copy may be obtained from the Information Policy

Branch; EPA; 401 M St., S.W. (Mail Code 2136); Washington, DC 20460 or

by calling (202)260-2740.

This collection of information has an estimated reporting burden

averaging 4 hours per response and an estimated annual recordkeeping

burden averaging 25 hours per respondent. These estimates include time

for reviewing instructions, searching existing data sources, gathering

and maintaining the data needed, and completing and reviewing the

collection of information.

Comments regarding the burden estimate or any other aspect of this

collection of information, including suggestions for reducing this

burden should be sent to Chief, Information Policy Branch, EPA, 401 M

St. S.W. (mail code 2136), Washington, DC 20460; and to the Office of

Information and Regulatory Affairs, Office of Management and Budget,

Washington, DC 20503, marked ``Attention: Desk Officer for EPA.'' The

final Rule will respond to any public comments on the information

collection requirements contained in this proposal.

List of Subjects in 40 CFR Part 237

Environmental protection, Coastal zone, Marine debris, Municipal

and commercial waste, Penalties, Reporting and recordkeeping

requirements, Solid waste, Vessels, Waste handling practices, Water

pollution control.

Dated: August 19, 1994.

Carol M. Browner,

Administrator.

40 CFR part 237 is proposed to be added to read as follows:

PART 237--WASTE HANDLING PRACTICES FOR VESSELS AND WASTE TRANSFER

STATIONS

Sec.

237.1 Purpose.

237.2 Applicability.

237.3 Definitions.

237.4 Specific waste handling practices for waste sources and

receiving facilities during loading and offloading.

237.5 Specific waste handling practices for vessels during

transport.

237.6 Tracking system.

237.7 Enforcement.

Appendix A to Part 237--Guidance on Operation and Maintenance

Manuals for Waste Sources, Vessels and Receiving Facilities

Appendix B to Part 237--EPA Regional Contacts for SPA

Authority: 33 U.S.C. 2602 et seq.

Sec. 237.1 Purpose.

This Part 237 establishes regulatory requirements in response to

the Shore Protection Act of 1988 (33 U.S.C. 2601 et. seq.). This part

includes provisions for:

(a) Waste minimization. Requirements under the Shore Protection

Act, title IV of Public Law 100-688 (102 Stat. 4154-4159), for vessels,

waste sources, and receiving facilities to assure that commercial and/

or municipal waste deposited into coastal waters during loading,

offloading and transport is minimized;

(b) Operation and Maintenance Manual development. The preparation,

adoption, and as appropriate, submission, by the owner or operator of a

waste source, vessel, or receiving facility, of an Operation and

Maintenance manual identifying procedures to be used to prevent,

report, and clean up any deposit of municipal or commercial waste into

coastal waters, including record keeping requirements; and

(c) Tracking system installation. Tracking systems where and when

the Administrator determines they are necessary to assure adequate

compliance with laws regarding the deposit of municipal or commercial

waste into coastal waters.

Sec. 237.2 Applicability.

(a) Inclusion. Except as provided in paragraph (b) of this section,

this part applies to each owner or operator of:

(1) A vessel transporting municipal or commercial waste in coastal

waters;

(2) A waste source as defined in Sec. 237.3(l); or

(3) A receiving facility as defined in Sec. 237.3(g).

(b) Exclusion. This part does not apply to:

(1) The owner or operator of a public vessel as defined in

Sec. 237.3(f);

(2) Vessels transporting municipal or commercial waste incidental

to their predominant business or purpose;

(3) Vessels transporting municipal or commercial waste generated

during normal operations;

(4) Rolling stock or motor vehicles which transfer municipal or

commercial waste to a vessel within a waste transfer station; and

(5) Offshore oil and gas development and production facilities.

(c) Compatibility. The requirements of the Shore Protection Act

(SPA) and this part, apply in addition to, and not in lieu of, all

applicable requirements under any other statutes.

Sec. 237.3 Definitions.

The definitions set forth in section 4101 of SPA apply to this

part, except if they have been modified in this section.

(a) Administrator. Administrator means the Administrator of the

Environmental Protection Agency or person designated by the

Administrator.

(b) Coastal waters. Coastal waters means--

(1) The territorial seas of the United States;

(2) The Great Lakes and their connecting waters;

(3) The marine and estuarine waters of the United States up to the

head of tidal influence; and

(4) The Exclusive Economic Zone as established by Presidential

Proclamation 5030, dated March 10, 1983 (3 CFR, 1983 Comp., p. 22).

Note: Under this proclamation, the Exclusive Economic Zone

extends from the baseline of the territorial sea of the United

States seaward 200 nautical miles.

(c) Municipal or commercial waste. Municipal or commercial waste

means solid waste (as defined in section 1004 of the Solid Waste

Disposal Act (42 U.S.C. 6903)) except--

(1) Solid waste identified or listed under section 3001 of the

Solid Waste Disposal Act (42 U.S.C. 6921);

(2) Waste generated by the vessel during normal operations;

(3) Debris solely from construction activities;

(4) Sewage sludge subject to regulation under title I of the Marine

Protection, Research and Sanctuaries Act of 1972 (33 U.S.C. 1401 et

seq.); and

(5) Dredged or fill material subject to regulation under title I of

the Marine Protection, Research and Sanctuaries Act of 1972 (33 U.S.C.

1401 et seq.), the Federal Water Pollution Control Act (33 U.S.C. 1251

et seq.), or the Rivers and Harbors Appropriation Act of 1899 (33

U.S.C. 401 et seq.).

(d) Operator. Operator means any person responsible for the overall

operation of a vessel, waste source, or receiving facility that handles

municipal or commercial waste.

(e) Owner. Owner means any person who owns a vessel, waste source,

or receiving facility, or part of a vessel, waste source or receiving

facility, that handles municipal or commercial waste.

(f) Public vessel. Public vessel means a vessel that--

(1) Is owned or demise chartered, and operated by the United States

Government or a government of a foreign country; and

(2) Is not engaged in commercial service.

(g) Receiving facility. Receiving facility means a facility, vessel

or operation which receives municipal or commercial waste unloaded from

a vessel in coastal waters.

(h) Secretary. Secretary means the Secretary of Transportation.

(i) SPA. SPA means the Shore Protection Act, Title IV of Public law

100-688, section 4101 et seq.; 33 USC 2600 et seq.

(j) Vessel. Vessel means every description of watercraft or other

artificial contrivance used, or capable of being used, as a means of

transportation on water. It includes, in the case of a non-self-

propelled vessel, both the non-self-propelled vessel and the towing

vessel.

(k) Waste deposit. Waste deposit means any municipal or commercial

waste originating from a waste source, receiving facility, or vessel

that is placed, discharged, spilled, dropped, or leaked, into coastal

waters.

(l) Waste source. Waste source means a vessel, or a facility from

which municipal or commercial waste is loaded onto a vessel in coastal

waters, including any rolling stock or motor vehicles from which that

waste is directly loaded.

(m) Waste transfer station. Waste transfer station means a waste

source or receiving facility as defined in Sec. 237.3(g) and (l),

operated primarily for the purpose of loading or unloading municipal or

commercial waste from a land-based source to a vessel or from a vessel

to a landbased receiving facility.

Sec. 237.4 Specific waste handling practices for waste sources and

receiving facilities during loading and offloading.

(a) Waste handling practice standards. (1) The owner or operator of

a waste source or receiving facility shall load and offload municipal

and commercial waste to assure that any deposit of waste into coastal

waters is minimized. Waste sources and receiving facilities shall

employ containment or diversionary structures and appropriate equipment

(such as dip nets and oily water separating equipment).

(2) The methods adopted by the owner or operator to meet these

waste handling practice standards shall be identified in the Operation

and Maintenance manual.

(b) Fixed lighting. The owner or operator of a waste source or

receiving facility shall use fixed lighting when conducting loading and

offloading operations between sunset and sunrise that adequately

illuminates the loading and offloading point and the surrounding area.

(c) Waste deposit cleanup. The owner or operator of a waste source

or receiving facility shall remove all municipal or commercial waste

that may have been deposited into coastal waters from waste loading, or

unloading operations of a waste source or receiving facility. Such

removal shall be completed prior to the first high tide following the

completion of any loading or offloading operation in which the deposit

occurs and before the waste disperses beyond containment ability. The

methods for cleanup of the waste shall be identified in the waste

source and receiving facility's Operation and Maintenance manual.

(1) The methods used may include sweeper boats to sweep up solid

wastes deposited, manned boats with nets to remove waste, booms or

other equipment to recover waste deposited near shore, and/or shoreline

cleanup crews, as long as they meet the requirements of

Sec. 237.4(a)(1).

(2) Cleanup resources shall be in continuous operation or on

standby at the waste source and receiving facility for loading and

offloading operations which take place during an ebb tide.

(3) The owner or operator of the waste source or receiving facility

shall have a placard located at the facility where it will be readily

visible to persons involved in waste handling indicating the individual

responsible for notifying the United States Coast Guard (USCG) National

Response Center in the event of a deposit of waste into coastal waters

that is not completely cleaned up.

(i) The telephone number for the individual responsible for

notification shall be visibly and legibly displayed on the placard.

(ii) The telephone number for the individual responsible for

notification shall be designated by the owner or operator of the waste

source or receiving facility.

(iii) The individual responsible for notification must be a

supervisory employee responsible for waste handling activities or an

officer of the company owning or operating the waste source, vessel or

receiving facility, who is responsible for some aspect of waste

handling activities (e.g. vice president in charge of operations).

(4) If the owner or operator is unable to meet the cleanup

requirements of these regulations after implementing cleanup procedures

specified in the Operation and Maintenance manual, the responsible

individual shall notify the appropriate USCG office. The USCG shall be

notified prior to the first high tide following the completion of any

loading or unloading operation in which the deposit occurs, and before

the waste disperses beyond containment ability. Such verbal

notification shall be followed by written notification to the USCG

within five days.

(d) Waste deposit records. (1) The owner or operator of a waste

source or receiving facility shall maintain a record of municipal or

commercial waste deposited by the waste source or receiving facility

into coastal waters. These records shall include:

(i) Date of deposit of municipal or commercial waste into coastal

waters;

(ii) Time of day the municipal or commercial waste was deposited

into coastal waters;

(iii) Estimated amount and type of waste deposited and amount and

type of waste recovered;

(iv) Estimated amount and type of waste not recovered;

(v) Name of the vessel being loaded/offloaded; and

(vi) Name of the waste source or receiving facility.

(2) The owner or operator shall retain these records for no less

than three years and must submit these records to the Administrator or

the Secretary within five working days of a request by the

Administrator or the Secretary for these records.

(3) The owner or operator shall keep a record of its compliance

with the notification required by Sec. 237.4(c)(4).

(e) Operation and Maintenance Manual. (1) The owner or operator of

each existing waste source and receiving facility shall develop, adopt,

and comply with an Operation and Maintenance manual within 180 days

after [the date the final rule becomes effective]. The owner or

operator of a new waste source or receiving facility shall develop,

adopt, and comply with an Operation and Maintenance manual within 180

days of initiating operations. The manual shall:

(i) Include record keeping procedures;

(ii) Contain a description of the basic operation and maintenance

standards adopted by the waste source or receiving facility to

implement the requirements of Sec. 237.4(a);

(iii) Identify and provide telephone numbers for the individual

responsible for notifying the USCG National Response Center, and the

EPA Regional Office contact for the EPA region in which the waste

source or receiving facility operates (see Appendix B of this part);

(iv) Provide a description of the procedures the owner or operator

will use to clean up any deposit of municipal and commercial waste

consistent with Sec. 237.4(c); and

(v) Comply with the format and guidelines established in Appendix A

for waste sources and receiving facilities.

(2) Submission of a letter of certification.

(i) Each waste source and receiving facility shall submit a letter

within 180 days after [the effective date of the final rule] certifying

that the Operation and Maintenance manual has been developed as

required by this regulation. The letter of certification shall be

submitted to the EPA regional office for the State in which it does

business (see Appendix B of this part).

(ii) The Operation and Maintenance manual shall be submitted to EPA

within two weeks of a request by EPA for the manual.

(iii) If the Administrator determines that the manual fails to meet

the requirements of this part, the Administrator may submit a notice of

disapproval to the owner or operator requiring that the owner or

operator make changes to the Operation and Maintenance manual.

(iv) The owner or operator of a waste source or receiving facility

shall make the required corrections indicated in any notice of

disapproval it receives from EPA and resubmit the manual to EPA within

90 days of the receipt of notice of disapproval.

(3) The Operation and Maintenance manual shall be made available

and accessible to all employees directly associated with municipal or

commercial waste transporting or handling, and to EPA and USCG

representatives upon request.

Sec. 237.5 Specific waste handling practices for vessels during

transport.

(a) Waste handling practice standards. (1) The owner or operator of

a vessel which transports municipal or commercial waste must secure the

waste to assure that any deposit of waste into coastal waters during

transport is minimized. At a minimum the owner or operator must ensure

that:

(i) Waste is not loaded in excess of the vessel's design capacity

nor in a manner inconsistent with the instructions in the vessel's

adopted Operational and Maintenance manual;

(ii) The vessel transporting solid waste has and uses a drainage

containment system for collection of leaching liquids; and

(iii) All ports and valves which may be used for flushing or

discharging waste or waste residue from the hull or tanks are labelled

and valve seals are placed on the valves.

(2) The methods adopted by the owner or operator to meet the waste

handling practice standards shall be identified in the Operation and

Maintenance manual.

(b) Waste deposit clean up. The owner or operator of a vessel

shall:

(1) Remove all municipal or commercial waste that may have been

deposited into coastal waters during transport on the vessel. When a

vessel is also a waste source or receiving facility, it shall be

responsible for the clean up of any waste deposited during the loading

or offloading activities. The methods for clean up of the waste shall

be identified in the vessel's Operation and Maintenance manual.

(2) Provide the capability on board the vessel to clean up the

deposit or to call a support unit to clean up the deposit.

(3) Have a placard located on the vessel where it will be readily

visible to persons involved in waste handling indicating the individual

responsible for notifying the USCG NRC in the event of a deposit of

waste into coastal waters that is not completely cleaned up.

(i) The telephone numbers for the individual responsible for

notification and the USCG NRC shall be visibly and legibly displayed on

the placard.

(ii) The individual responsible for notification shall be

designated by the owner or operator of the vessel.

(iii) The individual responsible for notification must be a

supervisory employee responsible for waste transport activities or an

officer of the company owning or operating the vessel who is

responsible for some aspect of waste transport requirements (e.g. vice

president in charge of vessel operations).

(4) If the owner or operator is unable to meet the requirements of

this part after implementing clean up procedures specified in the

Operation and Maintenance manual, the responsible individual shall

notify the USCG NRC. The USCG NRC shall be notified prior to the first

high tide following the completion of any loading or unloading

operation in which the deposit occurs, or, when in transport, before

the waste disperses beyond containment ability. Such verbal

notification shall be followed by written notification to the USCG

within five days.

(c) Waste deposit records. (1) The owner or operator of a vessel

shall maintain a record of all municipal or commercial waste deposited

by the vessel into coastal waters. These records must include the

following information:

(i) Date of deposit of municipal or commercial waste into coastal

waters;

(ii) Time of day the municipal or commercial waste was deposited

into coastal waters;

(iii) Estimated amount and type of waste deposited and amount

recovered;

(iv) Estimated amount and type of waste not recovered; and;

(v) Name of the vessel.

(2) The owner or operator shall retain these records for no less

than three years and must submit these records to the Administrator or

the Secretary upon their request within five working days of the

request for the records.

(3) The owner or operator shall keep a record of its compliance

with the clean-up notification as required by Sec. 237.5(b)(4).

(d) Operation and Maintenance Manual. (1) The owner or operator of

each existing vessel shall develop, adopt and comply with an Operation

and Maintenance manual within 180 days after [the effective date of the

final rule]. New permit applicants shall submit the manual with their

SPA permit application. The manual shall:

(i) Include record keeping procedures;

(ii) Contain a description of the basic operation and maintenance

standards adopted by the vessel to implement the requirements of

Sec. 237.5(a);

(iii) Identify and provide telephone numbers for the individual

responsible for notifying the USCG and the USCG contact for the state

waters in which the vessel operates;

(iv) Provide a description of the procedures the owner or operator

will use to cleanup any deposit of municipal or commercial waste

consistent with Sec. 237.5(b); and

(v) Comply with the minimum requirements established in Appendix A

of this part for vessels.

(2) Submission of the Operation and Maintenance manual.

(i) Each vessel owner or operator shall submit the vessel Operation

and Maintenance manual to the USCG as part of the SPA permit

application under 33 CFR part 151 (Each vessel owner or operator that

has obtained a conditional permit under 33 CFR part 151 shall submit a

vessel operation and maintenance manual within 180 days after [the

effective date of the final rule]).

(ii) If the Administrator or Secretary determines that the manual

fails to meet the requirements of this Part, the Administrator or

Secretary may submit a notice of disapproval to the owner or operator

requiring that the owner or operator make changes to the Operation and

Maintenance manual.

(iii) The owner or operator of the vessel shall make the required

corrections indicated by the Administrator or the Secretary in any

notice of disapproval and resubmit the manual to the Administrator or

Secretary, as appropriate, within 90 days receipt of such notice of

disapproval.

(3) The Operation and Maintenance manual shall be made available

and accessible to all employees directly associated with municipal or

commercial waste transport or handling, and to EPA or USCG officials

upon request.

Sec. 237.6 Tracking system.

The Administrator may require owners and operators of vessels,

waste sources, and/or waste facilities to install a waste tracking

system to track vessel movement of waste in coastal waters.

(a) In determining whether to require a tracking system the

Administrator will consider the following:

(1) The owner and operator's history of compliance with SPA;

(2) The owner and operator's history of compliance with other

statutes intended to prevent deposit of municipal or commercial waste

into coastal waters;

(3) The characteristics and amounts of waste transported loaded, or

off-loaded; and

(4) The feasibility of installing a specific kind of tracking

system.

(b) A tracking system shall be implemented or installed and placed

in operation by the owner or operator of a vessel, receiving facility

or waste source within 18 months of the receipt of a notice from the

Administrator requiring such system, or sooner if the Administrator, so

directs.

Sec. 237.7 Enforcement.

(a) Prior to imposing a civil penalty for any violation of this

part, notice and opportunity for a hearing shall be provided in

accordance with 33 CFR 1.07 or in a manner consistent with the

statutory language of SPA section 4108(a).

(b) A person violating any requirement of this part is liable for a

civil penalty of not more than $25,000. Each day of a continuing

violation is a separate violation.

Appendix A--Guidance on Operation and Maintenance Manuals for Waste

Sources, Vessels and Receiving Facilities

This appendix provides a basic structure for the development of

operation and maintenance manuals for the regulated entities. The

operation and maintenance manual developed by a vessel permitted

under the Shore Protection Act, or associated waste source and

receiving facility should be a clear statement of: (1) operation and

maintenance procedures for preventing waste from accidentally

spilling into coastal waters of the United States, (2) clean up

procedures the regulated entity will follow when a waste deposit

does occur, and (3) reporting procedures the regulated entity will

follow when a waste deposit does occur. Each regulated vessel, or

associated waste source and receiving facility should develop an

operation and maintenance manual to suit its particular

characteristics.

I. Applicability

A. The owners or operators of the following vessels (unless

excluded, as discussed below) are required to develop and submit an

operation and maintenance manual (Sec. 237.2(a)):

1. A vessel transporting municipal or commercial waste in

coastal waters;

2. Vessels that regularly transport miscellaneous cargo but are

hired, contracted, or used to transport municipal or commercial

waste for a specific voyage; and

3. Vessels that transport operational waste from other vessels

that meet the definition of municipal or commercial waste--this does

not include vessels transporting their own operational wastes.

B. The owners or operators of the following vessels, and some

others, are excluded from developing and submitting operation and

maintenance manuals (Sec. 237.2(b) for full list of exclusions):

1. Public vessels, defined as vessels that are owned, demise

chartered, and operated by the United States Government or a

government of a foreign party, and do not engage in commercial

service; and

2. Vessels that transport some quantity of waste incidental to

the predominant business or purpose of the vessel. For example, a

ferry which transports a garbage truck loaded with municipal or

commercial waste.

C. The owners or operators of waste sources and receiving

facilities, as defined below and in section 237.3(g) and (l) are

required to develop and submit (upon request) an operation and

maintenance manual:

1. A facility, vessel, or operation that receives municipal or

commercial waste unloaded from a vessel; and

2. A vessel or a facility from which municipal or commercial

waste is loaded onto a vessel, including any rolling stock or motor

vehicles from which that waste is directly loaded.

II. The Manual

The structure and detail of each operation and maintenance

manual may vary as the vessel, waste source, or receiving facility

will vary and as the type of waste transferred and transported will

vary. As a result of the variation in the physical nature of

municipal and commercial waste, the structure and requirements

provided in this appendix are necessarily generic and will require

further elaboration based on the specifics of the operations and

maintenance nuances at your facility, source, or vessel. However, it

is expected that an operation and maintenance manual meeting the

minimum requirements of this regulation need not exceed 20 to 30

pages in length.

III. Operation and Maintenance Manuals for Vessels

A. The operation and maintenance manual for vessels consists of

three parts:

1. Waste transfer procedures;

2. Waste clean up procedures; and

3. Waste deposit reporting procedures.

B. The first part of the operation and maintenance manual shall

identify the measures that you will take to minimize the deposit of

waste into coastal waters during transport and transfer activities.

In the operation and maintenance manual you should

(Sec. 237.5(d)(ii)):

1. Describe the roles and responsibilities of each relevant

member of the crew during waste transfer and transport.

2. Provide a detailed step-wise description to the vessel crew

on the implementation of the technologies and techniques that will

be employed during waste transfer and transport. These should

include appropriate containment or diversionary structures, or other

equipment designed to minimize waste deposits. The technologies and

techniques described shall be appropriate to the size and nature of

the vessel and must represent a responsible effort to minimize the

spillage of waste.

3. Instruct the crew to secure the waste in such a way as to

prevent the deposit of waste.

4. Direct the crew not to load the vessel in excess of its

capacity.

5. Direct the crew that all ports and valves that may be used

for flushing or discharging waste or waste residue from the hull or

tanks must be clearly labelled and that all ports and valves must be

sealed except for the purpose of transferring wastes.

6. Describe record keeping procedures, i.e. record of amount and

type of waste offloaded, or amount and type of waste received.

C. The second part of the operation and maintenance manual

describes for the vessel crew the procedures that will be used to

clean up, promptly and thoroughly, any waste deposited into coastal

waters (Sec. 237.5(a)(1)(iv)). This section must:

1. Describe the role and responsibilities of each relevant

member of the crew during cleanup.

2. Describe in detail for the crew the techniques and

technologies that will be employed during waste cleanup. The

technologies or techniques must be appropriate to the waste type and

the size and nature of the vessel and must represent a responsible

effort to clean up all waste promptly and thoroughly.

D. In the third part of the operation and maintenance manual

describe the procedures to be followed if the vessel's crew is

unable to clean up all of the waste deposited. In this section you

must:

1. Provide a contact name and telephone number of the designated

responsible person (see section 237.5) involved in the ownership or

operation of the vessel. Indicate that this contact person should be

notified immediately by telephone, marine radio if the crew is

unable to completely clean up the waste deposited. This contact name

and phone number and the number of the USCG NRC must be posted on

the vessel in a location visible to the vessel's crew.

2. Provide the telephone number of the USCG NRC to be called by

the responsible person if the crew is unable to completely clean up

the waste deposited.

3. Provide an example of a followup letter to be used by the

responsible person to report the waste deposit to the USCG NRC.

4. Provide copies of the form that assists record-keeping and

reporting in the event of a waste deposit. The operation and

maintenance manual must instruct the appropriate crew member to

complete one of these forms for each deposit of waste. The record

must include the time and date of the deposit, estimates of the

amount of wastes deposited and amount retrieved, actions taken to

clean up the waste deposit, and any other pertinent information. If

an action was not accomplished or successful, it is important to

document why those actions were taken. Any actions to prevent

further incidents of this type should also be recorded. All waste

deposits must be recorded, whether cleaned up or not.

IV. Operation and Maintenance Manuals for Waste Sources and

Receiving Facilities

A. The operation and maintenance manual for waste sources and

receiving facilities consists of three parts: waste transfer

procedures, waste cleanup procedures, and waste deposit reporting

procedures.

B. The first part of the operation and maintenance manual must

identify the measures that you will take to prevent the deposit of

waste into coastal waters during the transfer of wastes

(Sec. 237.4(e)(1)). In the operation and maintenance manual you

must:

1. Describe the roles and responsibilities of each relevant

facility staff member during waste transfer.

2. Provide a detailed step-wise description to relevant

employees on the implementation of technologies and techniques that

will be employed during waste transfer. These should include

appropriate containment or diversionary structures, or other

equipment designed to minimize waste deposits. The technologies or

techniques described must be appropriate to the waste type and size

and nature of the vessels loaded/unloaded, and represent a

responsible effort to minimize the deposit of wastes.

3. Describe record keeping procedures, i.e record of amount and

type of waste offloaded, or amount and type of waste received.

C. The second part of the operation and maintenance manual

describes for your employees the procedures that will be used to

clean up, promptly and thoroughly, any waste deposited into coastal

waters. This section must:

1. Describe the roles and responsibilities of each relevant

employee during waste cleanup.

2. Describe in detail how to implement the techniques and

technologies that will be employed during waste cleanup. The

technologies and techniques used must be appropriate to the waste

type and size and nature of the vessels, and must represent a

responsible effort to clean up all waste promptly and thoroughly.

The methods described may include sweeper boats, manned boats to

remove waste, shoreline cleanup crews, and booms or other equipment

designed to recover waste deposited near shore.

3. Specify that cleanup equipment and personnel be in continuous

operation, or on standby at the transfer facility for waste transfer

operations that occur during an ebb tide.

4. Direct all employees that all waste that clearly resulted

from, or may have resulted from, waste loading or unloading

operations shall be removed prior to the first high tide following

the completion of any waste transfer operation or before the waste

has had a chance to disperse.

D. The third part of the operation and maintenance manual

describes the procedures to be followed if the facility's staff is

unable to clean up all of the waste deposited. This section must:

1. Provide a contact name and telephone number of the designated

responsible person (Sec. 237.4) involved in the ownership or

operation of the facility. Indicate that this contact person should

be notified immediately by telephone or in writing if the employees

are unable to completely clean up the waste deposit. This contact

name and phone number must be posted at the facility in a location

visible to the facility's employees.

2. Provide the telephone number of the USCG NRC to be called if

the employees are unable to completely clean up the deposit. This

telephone number must also be posted at the facility in a location

visible to the facility's employees.

3. Provide an example of a letter to be used by the responsible

person to report the waste deposit to the appropriate EPA official.

4. Provide copies of the form that assists record-keeping and

reporting in the event of a waste deposit. The operation and

maintenance manual must instruct the appropriate employee on duty to

complete one of these forms for each waste deposit. The record must

include the time and date of the deposit, estimates of the amount of

wastes deposited and amount retrieved, cause of deposit, actions

taken to clean up the waste deposit, and any other pertinent

information. If an action was not accomplished or it was decided to

attempt an unsuccessful control strategy, it is important to

document why those actions were taken. Any actions to prevent

further incidents of this type should also be recorded. All waste

deposits must be recorded, whether cleaned up or not.

Appendix B to Part 237--EPA Regional Contacts for SPA

Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island,

Vermont--EPA Region 1, Waste Management Division, J.F.K. Federal

Building, One Congress Street, Boston, MA 02203, Telephone: 617-565-

3420

New Jersey, New York, Puerto Rico, Virgin Islands--EPA Region 2, Air

and Waste Management Div., Jacob K. Javitz Federal Bldg., 26 Federal

Plaza, New York, NY 10278, Telephone: 212-264-3384

Delaware, District of Columbia, Maryland, Pennsylvania, Virginia,

West Virginia--EPA Region 3, Environmental Services Div., 841

Chestnut St., Philadelphia, PA 19107, Telephone: 215-597-9800

Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina,

South Carolina, Tennessee--EPA Region 4, Water Management Division,

345 Courtland St., N.E., Atlanta, GA 30365, Telephone: 404-347-4727

Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin--EPA Region

5, Waste Management Division, 77 West Jackson Boulevard, Chicago, IL

60604-3507, Telephone: 312-353-2000

Arkansas, Louisiana, New Mexico, Oklahoma, Texas--EPA Region 6,

Environmental Services Div., First Interstate Bank Tower at Fountain

Place, 1445 Ross Avenue, 12th Floor Suite 2000, Dallas, TX 75202-

2733, Telephone Number 214-655-2270

Arizona, California, Hawaii, Nevada, American Samoa, Guam--EPA

Region 9, Hazardous Waste Management, Division, 75 Hawthorne St.,

San Francisco, CA 94105, Telephone: 415-744-1305

Alaska, Idaho, Oregon, Washington--EPA Region 10, Environmental

Services, Division, 1200 Sixth Avenue, Seattle, WA 98101, Telephone:

206-553-4873.

[FR Doc. 94-21181 Filed 8-29-94; 8:45 am]

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