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Re: Petition for repeal of 40 C.F.R. § 122.3(a)
January 13, 1999
Carol Browner, Administrator
U.S. Environmental Protection Agency
401 M Street, SW
Washington, D.C. 20460
Re: Petition for repeal of 40 C.F.R. § 122.3(a)
Dear Ms. Browner:
The introduction of non-indigenous species (NIS) through ballast water is significantly
degrading aquatic resources throughout the United States. The introduction and spread of these
pest species threatens aquatic ecosystems and the economic livelihood of many communities
dependent on these aquatic resources. Today, ballast water discharges are the primary source of
these introductions.
Under existing EPA regulations implementing the Clean Water Act (CWA), those who
discharge ballast water from vessels are not required to have National Pollution Discharge
Elimination System (NPDES) permits. 40 C.F.R. § 122.3 (a). The undersigned groups
(Petitioners) are writing to formally petition for the repeal of this rule, which is contrary to the
express requirements of the CWA. We are filing this petition pursuant to both 5 U.S.C.
§ 553(e) and 5 U.S.C. § 555(e).
As you know, Section 301 of the CWA prohibits all point source discharges of pollutants
into the waters of the United States unless a permit has been issued pursuant to either §
402 (establishing the NPDES program) or § 404 (covering dredge and fill activities). 33
U.S.C. § 1311(a). Nowhere does the statute exempt "discharges incidental to the normal
operation of a vessel" from the requirement to obtain a permit. To the contrary, the Act specifies
that vessels are point sources under the CWA. 33 U.S.C. § 1362(14). It is also clear that
ballast water contains large numbers of NIS, which qualify as biological pollutants under the
definitions of the Act, as well as other non-biological pollutants. 33 U.S.C. § 1362(6). .
Thus, under the clear terms of the statute, discharges of ballast water require NPDES
permits.
40 C.F.R. § 122.3(a), however, states that:
The following discharges do not require NPDES permits: (a) Any discharge of
sewage from vessels, effluent from properly functioning marine engines, laundry,
shower, and galley sink wastes, or any other discharge incidental to the
normal operation of a vessel."
(Emphasis added). The CWA defines the phrase "discharge incidental to the normal operation of
a vessel" to include ballast water. 33 U.S.C. § 1322(a)(12)(A)(i). Thus, 40 C.F.R.
§ 122.3(a) excludes ballast discharges from NPDES permit requirements.
This exclusion is illegal. It conflicts with the statute and runs counter to case law that is
directly on point.
In Natural Resources Defense Council v. Costle, 568 F.2d 1369 (D.C. Cir. 1977)
(NRDC v. Costle), the D.C. Circuit directly addressed the question whether EPA can exempt
classes of discharges from the requirement to obtain an NPDES permit. The court plainly stated
that "[t]he wording of the statute, legislative history, and precedents are clear: the EPA
Administrator does not have authority to exempt categories of point sources from the permit
requirements of § 402." Id. at 1377.
Because 40 C.F.R. § 122.3(a) runs counter to both the statute and binding judicial
authority, we hereby petition EPA to repeal it.
I. The Impact of Exotic Invasive Aquatic Species
Non-indigenous species pose a significant threat to the health, productivity and diversity
of U.S. waters and caused billions of dollars in economic damage.
1
As David G. Davis, EPA's Deputy Director of the Office of Wetlands, Oceans and
Watersheds, testified before Congress:
[T]he unintentional introduction of exotic species affects almost all of our Nation's
economically vital and fragile coastal, estuarine, and inland waters. These non-
indigenous species have had severe economic impacts locally, and seriously threaten
ecosystems nationwide.2
More than 21 billion gallons of ballast water containing living organisms are discharged into
U.S waters every year.3
As noted by Mr. Davis, this is an average of more than 2.4 million gallons per hour.
4 We recognize that some efforts have been made on the federal level to address
ballast
water discharge through the Non-indigenous Aquatic Nuisance Prevention and Control Act of
1990
(NANPCA), 16 U.S.C.A. § 4701 (as amended by the National Invasive Species Act of
1996).
While we recognize that these efforts are good first steps, they do not do enough to prevent the
often
irreversible impacts that unregulated ballast discharges are having and will continue to have on
aquatic ecosystems throughout the U.S. Moreover, they do not substitute for compliance with
the
CWA.
The introduction of NIS through ballast water is currently the major cause of exotic aquatic
species introductions to the Great Lakes and other aquatic ecosystems throughout the country,
including the Columbia River Basin. 5 At least 367
taxonomic
groups of plants and animals have been identified in the ballast water of ships arriving in Oregon
from Japan.6 Because of ballast water caused
introductions of NIS,
a new exotic species is established in San Francisco Bay on average once every 14 weeks.7 Currently, more than 234 NIS are established in San Francisco
Bay and
the number continues to rise.8 The introduction of exotic
species
has fundamentally altered many aquatic ecosystems, such as the Great Lakes, and is becoming
what
some scientists have described as "a significant component of global environmental
change."9
As noted by Rowan Gould, the Deputy Assistant Director of Fisheries for the U.S. Fish and
Wildlife Service:
Introductions of non-indigenous species, both aquatic and terrestrial, continue to
occur at an accelerating rate. Many of these introductions are likely to become
nuisances and will have substantial impacts on the Nation's fish and wildlife
resources as well as other human interests and activities.10
EPA's David Davis also testified before Congress that:
through predation and competition, introduced species have contributed to the
regional eradication of some native species and dramatic reductions in others. These
factors compound the effects of direct habitat loss and alteration, over-fishing, and
other human activities, causing extensive resource and environmental loses.11
EPA aquatic ecologist David Yont has further noted that:
The spread of [the zebra mussel] would mean severe and dramatic consequences
for the ecological integrity of surface water as it causes major shifts in food-web
interactions and in the movement of nutrients and toxic materials, and reduces the
diversity of species.12
Of course, these environmental impacts have accompanying economic impacts, due to
both the impairment of economically significant native species and the cost of NIS control
efforts.13
When adopting NISA in 1996, Congress recognized the significant ecological and
economic impacts that can result from the unregulated release of exotic species in ballast water.
Specifically, Congress found that:
- [T]he discharge of untreated water in the ballast tanks of vessels
and through other means results in unintentional introductions of non-
indigenous species to fresh, brackish, and saltwater environments;
- [W]hen environmental conditions are favorable, non-indigenous
species become established, may compete with or prey upon native species
of plants, fish, and wildlife, may carry diseases or parasites that affect
native species, and may disrupt the aquatic environment and economy of
affected near-shore areas.
16 U.S.C.A. § 4701(a).
Focusing specifically on the ruffe, Congress noted that:
[S]ince their introduction in the early 1980's in ballast water discharges, ruffe []
have caused severe declines in populations of other species of fish in Duluth
Harbor . . . and are likely to spread quickly to most other waters in North America
if action is not taken promptly to control their spread. . . .
16 U.S.C.A. § 4701(a)(10).
And finally, Congress recognized that:
the potential economic disruption to communities affected by the zebra mussel
due to its colonization of water pipes, boat hulls and other hard surfaces has been
estimated at $5,000,000,000 by the year 2000, and the potential disruption to the
diversity and abundance of native fish and other species by the zebra mussel and
ruffe, round goby, and other non-indigenous species could be severe. . . .
16 U.S.C.A. § 4701(a)(4).
II. The Plain Language of the Clean Water Act Requires NPDES Permits for Ballast
Water Discharges
The CWA prohibits "the discharge of any pollutant by any person" except as in
compliance with specified sections of the Act, including the permitting provisions of
§ 402. 33 U.S.C. § 1311(a). The phrase "discharge of a pollutant" is defined to
include "any addition of any pollutant to the navigable waters from any point source." 33 U.S.C.
§ 1362(12). Vessels are specifically defined as point sources in the CWA. 33 U.S.C.
§ 1362(14). Moreover, the CWA specifically includes "biological materials" in its
definition of pollutants. 33 U.S.C. § 1362(6).
The discharge of ballast water from vessels is a discharge of pollutants because ballast
water is known to contain invasive plant and animal species, as well as bacteria and viruses
associated with human sewage.
14
All of these pollutants qualify as "biological materials" within the meaning of the CWA.
Additionally, ballast water is likely to contain other pollutants, such as oil, chipped paint,
sediment, and toxins contained in ballast sediment.15
Under the CWA, vessels qualify as point sources. Accordingly, when they discharge
pollutants, they are required to have NPDES permits. Although EPA has purported to exempt
"discharge[s] incidental to the normal operation of a vessel" from the requirement to obtain a
permit, 40 C.F.R. § 122.3(a), the D.C. Circuit has confirmed that nothing in the CWA
gives EPA the power to create categorical exemptions. NRDC v. Costle, 568 F.2d at
1377. While the EPA is given substantial deference in interpreting the CWA, the EPA cannot
rely upon regulations that are clearly contrary to express statutory requirements. Chevron v.
Natural Resources Defense Council, 467 U.S. 837 (1984), City of Chicago v.
Environmental Defense Fund, 114 S.Ct. 1588 (1994).
The CWA does contain certain limited exemptions relating to the need to obtain NPDES
permits for ballast water and other discharges incidental to the normal operation of vessels.
None of these exemptions can reasonably be construed as permitting the blanket exemption
contained in 40 C.F.R. § 122.3(a). First, the CWA excludes incidental discharges from
vessels made in the "contiguous zone" and the "ocean" from having to obtain an NPDES permit.
33 U.S.C. § 1362(12)(B). These terms have clear statutory definitions: the "contiguous
zone" begins three miles from shore and extends seaward to twelve miles from shore, and the
"ocean," is any portion of the high seas beyond the contiguous zone. 33 U.S.C. § 1362(9)
and (10). Thus, the effect of this exemption is that incidental discharges (such as ballast water)
that occur more than three miles from shore are not required to have NPDES permits. However,
this exemption can in no way be construed as applying inside the three mile contiguous zone
boundary.
Second, the CWA specifically excludes two types of discharges from its definition of
"pollutants." 33 U.S.C. § 1362(6)(A). The Act states that "sewage from vessels or a
discharge incidental to the normal operation of a vessel of the Armed Forces," are
not to be considered pollutants. Id. (emphasis added). As a result of the second
aspect of this exclusion, discharges incidental to the normal operation of Armed Services vessels
are not required to have an NPDES permit. However, this exemption is specifically limited to
Armed Services vessels; EPA cannot reasonably expand it to apply to all vessels, as it has done
in 33 C.F.R. § 122.3(a).
It is important to note that in exempting both sewage discharges and incidental discharges
from Armed Services vessels, Congress specifically provided alternative programs for control of
such discharges under other sections of the CWA. See 33 U.S.C. § 1322(b)
(addressing sewage discharges) and § 1322 (n) (addressing incidental discharges from
Armed Forces vessels). The fact that there is no similar statutory or regulatory provision
addressing incidental discharges from non-Armed Services vessels under the CWA further
supports the conclusion that Congress intended for ballast water discharges be regulated under
§ 402.
The Act is clear that ballast water releases that contain biological materials qualify as
point source discharges of a pollutant and that such discharges require NPDES permits under
§ 402. 40 C.F.R. 122.3(a) runs directly counter to this plain statutory requirement and
should therefore be repealed.
III. The Case Law Unequivocally Indicates that EPA Does Not Have the Discretion to
Exempt Incidental Discharges from the Requirements of the CWA.
In NRDC v. Costle, the D.C. Circuit addressed the question of whether EPA
could exempt agricultural return flows from the requirements of the CWA. The court
unambiguously stated that the EPA did not have the authority to exempt categories of discharges
from the requirements of § 402. Finding that § 402 permits were central to
achieving the stated goals of the CWA, the court found that "[t]he wording of the statute,
legislative history, and precedents are clear: the EPA Administrator does not have authority to
exempt categories of point sources from the permit requirements of § 402." 568 F.2d at
1377; see also NRDC v. U.S. E.P.A., 966 F.2d 1292, 1305 (9th Cir. 1992); Carr v. Alta Verde
Industries Inc., 931 F.2d 1055,1060 (5th Cir. 1991); Sierra Club v. Abston; 620 F.2d
41, 44 (5th Cir. 1980); and U.S. v. Earth Sciences, Inc., 599 F.2d 368, 372 (10th Cir.
1979).
In reaching this result, the NRDC v. Costle court relied on both the language of
the statute itself and its underlying legislative history. As noted by the court, when the Clean
Water Act being adopted the House Report addressed the effect of § 301 in the following
terms:
Any discharge of a pollutant without a permit issued by the Administrator
under section 318, or by the Administrator or State under 402 or by the Secretary of
the Army under 404 is unlawful.
568 F.2d at 1374, quoting from H.Rep.No.92-911, 92d Cong., 2d Sess. 100 (1972), reprinted in
Legislative History at 787 (emphasis added).
The court further noted that there were:
[I]nnumerable [other] references in the legislative history to the effect that the Act
is founded on the basic premise that a discharge of pollutants without a permit is
unlawful and that discharges not in compliance with the limitations and conditions
for a permit are unlawful.
Id. at 1375 (internal quotations and citations omitted).
In promulgating 40 C.F.R. § 122.3(a), EPA acted in direct violation of the
straightforward rule established in NRDC v. Costle. EPA has created a categorical
exclusion in a statutory scheme that permits none.
IV. Subsequent Legislative Developments Underscore the Conclusion that Ballast Water
Discharges and Other Discharges Incidental to the Normal Operation of a Vessel
Require NPDES Permits.
In 1996, Congress passed the Uniform National Discharge Standards for Armed Forces
Vessels Act (UNDSAF) which amended the CWA to exempt incidental discharges from Armed
Forces vessels from the normal requirements of the CWA. PL 104-106, § 325(c)(3); 33
U.S.C. § 1362(6)(A). Congress passed this act out of concern that some coastal states
could
attempt to enforce CWA requirements against Armed Forces vessels discharging ballast water.
The
Senate Report explained:
The Navy wishes to clarify the regulatory status of certain non-sewage discharges
from Navy vessels. Vessels are point sources of pollution under the Clean Water
Act. Any discharge from a point source, including a vessel, into the waters of the
United States is prohibited unless specifically permitted under section 402 or 404 of
the Act. Notwithstanding this prohibition, discharges from vessels have generally
not been subject to the permit requirements.
S. Rep. No. 104-113, at 1 (1995). The Report further noted that such discharges were "currently
exempt from control under the Federal Water Pollution Control Act based on regulations issued
by EPA." Id. at 2.
The primary effect of the UNDSAF was to amend the definitions section of the CWA so
as to exclude discharges incidental to the normal operation of a Armed Forces vessels from the
definition of a pollutant. 33 U.S.C. § 1362(6)(A). S. Rep. No. 104-113, at 1 (1995).
Prior to that time, the definition of a pollutant excluded only "sewage from vessels" and did not
mention incidental discharges of any kind. Paragraph 6(A) Pub.L. 104-106, § 325( c)(3).
Congress took this action in 1996 to specifically remove a narrow subset of incidental
discharges those from Armed Services vessels from the NPDES permitting program. While
Congress acknowledged the presence of the more broad regulatory exemption contained in 40
C.F.R. § 122.3(a), Congress viewed this exemption as being problematic in the face of the
clear and unqualified statutory language imposing the permit requirement. Thus, the Senate
Report stated that:
The amendment to section 312 made by this bill is intended to address discharges
that are currently subject to the Federal Water Pollution Control Act as vessels are
point sources of discharge, but have been exempt from permit requirements under
section 402 of the Act because of provisions of the regulation published at part 122.3
of title 40, Code of Federal Regulations.
Rep. No. 104-113, at 7 (1995). Referring specifically to incidental discharges from Armed
Services
vessels, the Senate Report further stated that "[t]he effect of this amendment is to remove the
statutory requirement for a permit for these point source discharges to the waters of the United
States." S. Rep. No. 104-113, at 1.
These statutory developments highlight the lack of a statutory basis for EPA's general
regulatory exclusion for incidental discharges from vessels in 40 C.F.R. § 122.3(a). They
further demonstrate Congress's recognition that such a basis is lacking. Even though Congress
was
aware of EPA's exclusion, Congress believed that these discharges were subject to NPDES
permitting requirements. Although Congress removed the permit requirement for incidental
discharges from Armed Services vessels, it took no action to remove the statutory permit
requirement for discharges from non-Armed Services vessels. If Congress had agreed with
EPA's
more broadly drawn exemption, it would have been simple for it to incorporate it into the
statutory
scheme. Congress's failure to have done this can only be read as a tacit rejection of EPA's
approach.
V. Conclusion
Non-indigenous species introduced through ballast water have caused widespread
environmental degradation and billions of dollars in resulting economic damage. Petitioners
believe
that in light of the clear statutory language, congressional intent and case law, EPA should repeal
40 C.F.R. § 122.3(a), thus paving the way for the regulation of ballast water discharges
under
the CWA. The exclusion provided in 40 C.F.R. § 122.3(a) is plainly inconsistent with the
CWA and should be eliminated as quickly as possible to help prevent the further degradation of
aquatic resources from NIS.
Thank you for your attention to this petition, we look forward to your prompt response.
Please feel free to contact me at (503) 768-6713 with any questions or concerns.
Sincerely,
Craig N. Johnston
Attorney for Petitioners
Pacific Environmental Advocacy Center . Petitioners
Nina Bell, Executive Director
Northwest Environmental Advocates
Steve Hall, Executive Director
Association of California Water Agencies
Linda Sheehan, Pollution Program
Manager
Center for Marine Conservation
Zeke Grader, Executive Director
Pacific Coast Federation of Fishermen's
Associations
Mike Lozeau, Executive Director
San Francisco BayKeeper
Margaret Wooster, Executive Director
Great Lakes United
Faith McGruther
Chippewa-Ottawa Treaty Fishery
Management Authority
Danna Smith, Executive Director
Dogwood Alliance
Dan Thomas, President
Great Lakes Sportfishing Council
Kathy Fletcher, Executive Director
People for the Puget Sound
Ron Huber
Coastal Waters Project
Doug Scott, Executive Director
Friends of the San Juans
Bill Jennings, Director
DeltaKeeper
Ted Lempert
California Assembly Member
Steve Crawford, President
Quoddy Spill Prevention Group
1 The CWA does exempt incidental discharges from Armed Services vessels
from NPDES
permitting requirements. As set forth below, the existence of this narrow exemption adds further
support to the conclusion that non-exempt incidental discharges are subject to§ 301.
1
National Invasive Species Act of 1996, 16 U.S.C.A.§ 4701(4).
2Reauthorization of the 1990 Non-indigenous Aquatic Nuisance Prevention
and Control Act: Hearings on H.R. 3217 Before the House of Representatives Subcommittee on
Water Resources and Environment and the Subcommittee on Coast Guard and Maritime
Transportation of the Committee on Transportation and Infrastructure, 104th
Cong., Sess., (1996) (Testimony of David G. Davis, then-Deputy Director, Office of Wetlands,
Oceans and Watersheds, Office of Water, U.S. EPA).
3
Reauthorization of the 1990 Non-indigenous Aquatic Nuisance Prevention and Control
Act: Hearings on S. 1660 Before the Subcommitte on Drinking Water, Fisheries and Wildlife,
Senate Environment and Public Works Committee Regarding Non-indigenous Species and S.
1660, (Testimony of Dr. James Carlton, Director of the Maritime Studies Program of Williams
College and Mystic Seaport.); Edward Mills et. al, Exotic Species in the Great Lakes: A History
of Biotic Crises and Anthropogenic Introductions, 19 J. Great Lakes Res. 1,2 (1993).
4
Davis testimony, supra, n.3.
5
Carlton and Geller, Ecological Roulette: The Global Transport and Invasion of
Nonindigenous Marine Organisms, Science (1993); Carlton, Reid and Van Leeuwen, The Role
of Shipping in the Introduction of Nonindigenous Aquatic Organisms to the Coastal Waters of
the United States (other than the Great Lakes) and an Analysis of Control Options, a Report to
U.S. Coast Guard, Marine Environment Protection Division, Washington, D.C.; Marine Board of
the National Research Council, Stemming the Tide, National Academy Press, Washington D.C.
(1996).
6 Office of Technology Assessment, Harmful non-indigenous species in the
United States, p. 82 (1993).
7
Cohen and Carlton, Accelerating Invasion Rate in a Highly Invaded Estuary,
Science
279, pp. 555-558 (1996).
8
Cohen and Carlton, Nonindigenous Aquatic Species in a United States Estuary: a Case
Study of the Biological Invasions of San Francisco Bay and Delta, a Report to U.S. Fish and
Wildlife Service, Washington, DC and National Sea Grant College Program, Connecticut Sea
Grant (1996).
9 Vitousek, D'Antonio, Loope and Westbrooks, Biological Invasions as Global
Environmental Change, American Scientist Vol. 84, No. 5, (1996).
10
Reauthorization of the 1990 Non-indigenous Aquatic Nuisance Prevention and Control
Act: Hearings on S. 1660 Before the Subcommittee on Drinking Water, Fisheries and Wildlife,
Senate Environment and Public Works Committee Regarding Non-indigenous Species and S.
1660, (Testimony of Rowan W. Gould, Deputy Assistant Director-Fisheries, U.S. Fish and
Wildlife Service, Department of the Interior).
11
Reauthorization of the 1990 Non-indigenous Aquatic Nuisance Prevention and Control
Act: Hearings on S. 1660 Before the Subcommittee on Drinking Water, Fisheries and Wildlife,
Senate Environment and Public Works Committee Regarding Non-indigenous Species and S.
1660, (Testimony of David G. Davis, then-Deputy Director Office of Wetlands, Oceans and
Watersheds, Office of Water, U.S. EPA).
12
Yont, The Eco Invaders, EPA J., Nov. (1990).
13 Harmful Non-Indigenous Species in the United States, Office of
Technology
Assessment,
U.S. Congress, at 67 (1993).
14
Carlton, Reid and Van Leeuwen, supra, n.6; Carlton, Transoceanic and
Interoceanic
Dispersal of Coastal Marine Organisms: the Biology of Ballast Water, Oceanography and Marine
Biology, An Annual Review 23, pp. 313-371 (1985); Ruiz and Hines, The Risk of
Nonindigenous Species Invasion in Prince William Sound Associated with Oil Tanker Traffic
and Ballast Water Management: Pilot Study. Smithsonian Environmental Research Center
(1997); and McCarthy and Khambaty, International Dissemination of Epidemic Vibrio
Choloerae by Cargo Ship Ballast and Other Nonpotable Waters. Appl. Envir.
Microbiol. 60: pp.
2597-2601 (1994).
15
Munson, Darby, and Coats, Transport of Potentially Pathogenic Acanthamoeba in
Ship
Ballast Sediment, American Zoo Soc. Mtg, Washington D.C. (1996); Carlton, Navarret, and
Mann, Biology of Ships Ballast Water: the Role of Ballast Water in the Transoceanic Dispersal
of Marine Organisms, Final Project Report, National Science Foundation (Woods Hole
Oceanographic Institute, Woods Hole MA), pp 78-82 (1982).
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