[Code of Federal Regulations]
[Title 40, Volume 24]
[Revised as of July 1, 2005]
From the U.S. Government Printing Office via GPO Access
[CITE: 40CFR228.13]

[Page 222-226]
 
                   TITLE 40--PROTECTION OF ENVIRONMENT
 
         CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
 
PART 228_CRITERIA FOR THE MANAGEMENT OF DISPOSAL SITES FOR OCEAN DUMPING
--Table of Contents
 
Sec. 228.13  Guidelines for ocean disposal site baseline or trend 
assessment surveys under section 102 of the Act.

    The purpose of a baseline or trend assessment survey is to determine 
the physical, chemical, geological, and biological structure of a 
proposed or existing disposal site at the time of the survey. A baseline 
or trend assessment survey is to be regarded as a comprehensive synoptic 
and representative picture of existing conditions; each such survey is 
to be planned as part of a continual monitoring program through which 
changes in conditions at a disposal site can be documented and assessed. 
Surveys will be planned in coordination with the ongoing programs of 
NOAA and other Federal, State, local, or private agencies with missions 
in the marine environment. The field survey data collection phase of a 
disposal site evaluation or designation study shall be planned and 
conducted to obtain a body of information both representative of the 
site at the time of study and obtained by techniques reproducible in 
precision and accuracy in future studies. A full plan of study which 
will provide a record of sampling, analytical, and data reduction 
procedures must be developed, documented and approved by the EPA 
management authority. Plans for all surveys which will produce 
information to be used in the preparation of environmental impact 
statements will be approved by the Administrator or his designee. This 
plan of study also shall be

[[Page 223]]

incorporated as an appendix into a technical report on the study, 
together with notations describing deviations from the plan required in 
actual operations. Relative emphasis on individual aspects of the 
environment at each site will depend on the type of wastes disposed of 
at the site and the manner in which such wastes are likely to affect the 
local environment, but no major feature of the disposal site may be 
neglected. The observations made and the data obtained are to be based 
on the information necessary to evaluate the site for ocean dumping. The 
parameters measured will be those indicative, either directly or 
indirectly, of the immediate and long-term impact of pollutants on the 
environment at the disposal site and adjacent land or water areas. An 
initial disposal site evaluation or designation study should provide an 
immediate baseline appraisal of a particular site, but it should also be 
regarded as the first of a series of studies to be continued as long as 
the site is used for waste disposal.
    (a) Timing. Baseline or trend assessment surveys will be conducted 
with due regard for climatic and seasonal impact on stratification and 
other conditions in the upper layers of the water column. Where a choice 
of season is feasible, trend assessment surveys should be made during 
those months when pollutant accumulation within disposal sites is likely 
to be most severe, or when pollutant impact within disposal sites is 
likely to be most noticeable.
    (1) Where disposal sites are near large riverine inflows to the 
ocean, surveys will be done with due regard for the seasonal variation 
in river flow. In some cases several surveys at various river flows may 
be necessary before a site can be approved.
    (2) When initial surveys show that seasonal variation is not 
significant and surveys at greater than seasonable intervals are 
adequate for characterizing a site, resurveys shall be carried out in 
climatic conditions as similar to those of the original surveys as 
possible, particularly in depths less than 200 meters.
    (b) Duration. The actual duration of a field survey will depend upon 
the size and depth of the site, weather conditions during the survey, 
and the types of data to be collected. For example, for a survey of an 
area of 100 square miles on the continental shelf, including an average 
dump site and the region contiguous to it, an on-site operation would be 
scheduled for completion within one week of weather suitable for on-site 
operations. More on-site operating time may be scheduled for larger or 
highly complex sites.
    (c) Numbers and locations of sampling stations. The numbers and 
locations of sampling stations will depend in part on the local 
bathymetry with minimum numbers of stations per site fixed as specified 
in the following sections. Where the bottom is smooth or evenly sloping, 
stations for water column measurements and benthic sampling and 
collections, other than trawls, shall be spaced throughout the survey 
area in a manner planned to provide maximum coverage of both the 
disposal site and contiguous control areas, considering known water 
movement characteristics. Where there are major irregularities in the 
bottom topography, such as canyons or gullies, or in the nature of the 
bottom, sampling stations for sediments and benthic communities shall be 
spaced to provide representative sampling of the major different 
features.

Sampling shall be done within the dump site itself and in the contiguous 
area. Sufficient control stations outside a disposal site shall be 
occupied to characterize the control area environment at least as well 
as the disposal site itself. Where there are known persistent currents, 
sampling in contiguous areas shall include at least two stations 
downcurrent of the dump site, and at least two stations upcurrent of the 
site.
    (d) Measurements in the water column at and near the dump site--(1) 
Water quality parameters measured. These shall include the major 
indicators of water quality, particularly those likely to be affected by 
the waste proposed to be dumped. Specifically included at all stations 
are measurements of temperature, dissolved oxygen, salinity, suspended 
solids, turbidity, total organic carbon, pH, inorganic nutrients, and 
chlorophyll a.

[[Page 224]]

    (i) At one station near the center of the disposal site, samples of 
the water column shall be taken for the analysis of the following 
parameters: Mercury, cadmium, copper, chromium, zinc, lead, arsenic, 
selenium, vanadium, beryllium, nickel, pesticides, petroleum 
hydrocarbons, and persistent organoha- logens. These samples shall be 
preserved for subsequent analysis by or under the direct supervision of 
EPA laboratories in accordance with the approved plan of study.
    (ii) These parameters are the basic requirements for all sites. For 
the evaluation of any specific disposal site additional measurements may 
be required, depending on the present or intended use of the site. 
Additional parameters may be selected based on the materials likely to 
be in wastes dumped at the site, and on parameters likely to be affected 
by constituents of such wastes. Analysis for other constituents 
characteristic of wastes discharged to a particular disposal site, or of 
the impact of such wastes on water quality, will be included in 
accordance with the approved plan of study.
    (2) Water quality sampling requirements. The number of samples 
collected from the water column should be suf ficient to identify 
representative changes throughout the water column such as to avoid 
short-term impact due to disposal activities. The following key 
locations should be considered in selecting water column depths for 
sampling:
    (i) Surface, below interference from surface waves;
    (ii) Middle of the surface layer;
    (iii) Bottom of the surface layer;
    (iv) Middle of the thermocline or halocline, or both if present;
    (v) Near the top of the stable layer beneath a thermocline or 
halocline;
    (vi) Near the middle of a stable layer;
    (vii) As near the bottom as feasible;
    (viii) Near the center of any zone showing pronounced biological 
activity or lack thereof.

In very shallow waters where only a few of these would be pertinent, as 
a minimum, surface, mid-depth and bottom samples shall be taken, with 
samples at additional depths being added as indicated by local 
conditions. At disposal sites far enough away from the influence of 
major river inflows, ocean or coastal currents, or other features which 
might cause local perturbations in water chemistry, a minimum of 5 water 
chemistry stations should be occupied within the boundaries of a site. 
Additional stations should be added when the area to be covered in the 
survey is more than 20 square miles or when local perturbations in water 
chemistry may be expected because of the presence of one of the features 
mentioned above. In zones where such impacts are likely, stations shall 
be distributed so that at least 3 stations are occupied in the 
transition from one stable regime to another. Each water column 
chemistry station shall be replicated a minimum of 2 times during a 
survey except in waters over 200 meters deep.
    (3) Water column biota. Sampling stations for the biota in the water 
column shall be as near as feasible to stations used for water quality; 
in addition at least two night-time stations in the disposal site and 
contiguous area are required. At each station vertical or oblique tows 
with appropriately-meshed nets shall be used to assess the 
microzooplankton, the nekton, and the macrozooplankton, Towing times and 
distances shall be sufficient to obtain representative samples of 
organisms near water quality stations. Organisms shall be sorted and 
identified to taxonomic levels necessary to identify dominant organisms, 
sensitive or indicator organisms, and organism diversity. Tissue samples 
of representative species shall be analyzed for pesticides, persistent 
organohalogens, and heavy metals. Discrete water samples shall also be 
used to quantitatively assess the phytoplankton at each station.

These requirements are the minimum necessary in all cases. Where there 
are discontinuities present, such as thermoclines, haloclines, 
convergences, or upwelling, additional tows shall be made in each water 
mass as appropriate.
    (e) Measurements of the benthic region--(1) Bottom sampling. Samples 
of the bottom shall be taken for both sediment composition and 
structure, and to determine the nature and numbers of benthic biota.

[[Page 225]]

    (i) At each station sampling may consist of core samples, grab 
samples, dredge samples, trawls, and bottom photography or television, 
where available and feasible, depending on the nature of the bottom and 
the type of disposal site. Each type of sampling shall be replicated 
sufficiently to obtain a representative set of samples. The minimum 
numbers of replicates of successful samples at each continental shelf 
station for each type of device mentioned above are as follows:

Cores.....................................  3.
Grabs.....................................  5.
Dredge....................................  3.
Trawl.....................................  20-min. tow.



Lesser numbers of replicates may be allowed in water deeper than 200 
meters, at those sites where pollution impacts on the bottom are 
unlikely in the judgment of the EPA management authority.
    (ii) Selection of bottom stations will be based to a large extent on 
the bottom topography and hydrography as determined by the bathymetric 
survey. On the continental shelf, where the bottom has no significant 
discontinuities, a bottom station density of at least three times the 
water column stations is recommended, depending on the type of site 
being evaluated. Where there are significant differences in bottom 
topography, additional stations shall be occupied near the discontinuity 
and on each side of it. Beyond the continental shelf, lesser densities 
may be used.
    (2) Bathymetric survey. Sufficient tracklines shall be run to 
develop complete bottom coverage of bathymetry with reasonable assurance 
of accurate coverage of bottom topography, with trackline direction and 
spacing as close as available control allows. The site itself is to be 
developed at the greatest density possible, with data to be collected to 
a suitable distance about the site as is required to identify major 
changes in bathymetry which might affect the site. Specifications for 
each bathymetric survey will vary, depending on control, bottom 
complexity, depths, equipment, and map scale required. In most cases, a 
bathymetric map at a scale of 1:25,000 to 1:10,000 will be required, 
with a minimum of 1-5 meter contour interval except in very flat areas. 
When the foregoing bathymetric detail is available from recent surveys 
of the disposal site, bathymetry during a baseline or trend assessment 
survey may be limited to sonar profiles of bathymetry on transects 
between sampling stations.
    (3) Nature of bottom. The size distribution of sediments, mineral 
character and chemical quality of the bottom will be determined to a 
depth appropriate for the type of bottom. The following parameters will 
be measured at all stations: Particle size distribution, major mineral 
constituents, texture, settling rate, and organic carbon.
    (i) At several stations near the center of the disposal site, 
samples of sediments shall be taken for the analysis of the following 
parameters: Mercury, cadmium, copper, chromium, zinc, lead, arsenic, 
selenium, vanadium, beryllium, nickel, pesticides, persistent 
organohalogens, and petroleum hydrocarbons. These samples shall be 
preserved for subsequent analysis by or under the direct supervision of 
EPA laboratories in accordance with the approved plan of study.
    (ii) These parameters are the basic requirements for all sites. For 
the evaluation of any specific disposal site additional measurements may 
be required, depending on the present or intended use of the site. 
Additional parameters may be selected based on the materials likely to 
be in wastes dumped at the site, and on parameters likely to be affected 
by constituents of such wastes. Such additional parameters will be 
selected by the EPA management authority.
    (4) Benthic biota. This shall consist of a quantitative and 
qualitative evaluation of benthic communities including macroinfauna and 
macroepifauna, meiobenthos, and microbenthos, and should include an 
appraisal, based on existing information, of the sensitivity of 
indigenous species to the waste proposed to be discharged. Organisms, 
shall be sorted, and identified to taxonomic levels necessary to 
identify dominant organisms, sensitive or indicator organisms, and 
organism diversity. Tissue samples of the following types of organisms 
shall be analyzed for persistent organohalogens, pesticides, and heavy 
metals:

[[Page 226]]

    (i) A predominant species of demersal fish;
    (ii) The most abundant macro in faunal species; and
    (iii) A dominant epifaunal species, with particular preference for a 
species of economic importance.
    (f) Other measurements--(1) Hydrodynamic features. The direction and 
speed of water movement shall be characterized at levels appropriate for 
the site and type of waste to be dumped. Where depths and climatic 
conditions are great enough for a thermocline or halocline to exist, the 
relationship of water movement to such a feature shall be characterized.
    (i) Current measurements. When current meters are used as the 
primary source of hydrodynamic data, at least 4 current meter stations 
with at least 3 meters at depths appropriate for the observed or 
expected discontinuities in the water column should be operated for as 
long as possible during the survey. Where feasible, current meters 
should be deployed at the initiation of the survey and recovered after 
its completion. Stations should be at least a mile apart, and should be 
placed along the long axis of the dumping site. For dumping sites more 
than 10 miles along the long axis, one current meter station every 5 
miles should be operated. Where there are discontinuities in surface 
layers, e.g., due to land runoff, stations should be operated in each 
water mass.
    (ii) Water mass movement. Acceptable methods include: dye, drogues, 
surface drifters, side scan sonar, bottom drifters, and bottom 
photography or television. When such techniques are the primary source 
of hydrodynamic data, coverage should be such that all significant 
hydrodynamic features likely to affect waste movement are measured.
    (2) Sea state. Observations of sea state and of standard 
meteorological parameters shall be made at 8-hour intervals.
    (3) Surface phenomena. Observations shall be made of oil slicks, 
floating materials, and other visible evidence of pollution; and, where 
possible, collections of floating materials shall be made.
    (g) Survey procedures and techniques. Techniques and procedures used 
for sampling and analysis shall represent the state-of-the-art in 
oceanographic survey and analytical practice. Survey plans shall specify 
the methods to be used and will be subject to approval by EPA.
    (h) Quality assurance. The EPA management authority may require that 
certain samples be submitted on a routine basis to EPA laboratories for 
analysis as well as being analyzed by the surveyor, and that EPA 
personnel participate in some field surveys.