[Code of Federal Regulations]

[Title 40, Volume 24]

[Revised as of July 1, 2006]

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



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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.



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    (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.



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    (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:



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    (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.