U.S. Ballast Water Regulations Program A rule published by the U.S. Coast Guard in March 2012, and effective as of June 21, 2012, established a standard for the allowable concentration of living organisms in ships' ballast water discharged into waters of the U.S. The rule also established Coast Guard requirements for type approval of ballast water management systems, or BWMS for short. This powerpoint is intended to provide an update to various aspects of the Coast Guard’s BWM program. U.S. Coast Guard Headquarters Office of Operating and Environmental Standards

U.S. Ballast Water Management Program Update Options for Compliance: Alternate Management Systems (AMS) Extensions to Compliance Dates US type approved BWMS IMO BWM Convention Compliance and Enforcement Research & Development Resources

Temporary Compliance: Alternate Management Systems A BWMS is accepted for use as an AMS based on its type approval by a foreign administration. More than 60 systems are now accepted as AMS for use in U.S. waters. Marine Safety Information Bulletin 010-16 harmonizes AMS with extensions policy AMS may be used for 5 years after expiry of the vessel’s extended compliance date Intro: AMS is a bridging program for vessels that installed foreign type-approved systems: Prior to publication of the US regulation Prior to availability of US type approved BWMSs The manufacturer must work with the Coast Guard to update its AMS acceptance letter to reflect any changes to its foreign type approval, including renewals, revisions, restrictions, and additional equipment or configurations approved. AMS supports the development of a healthy marketplace for these new treatment technologies (60+ systems can be used in US waters).

Temporary Compliance: Extensions Marine Safety Information Bulletin 03-17 (March 6, 2017) – Updated requirements for compliance date extension requests Vessel owners/operators must apply at least 12 months prior to the vessel’s compliance date, or the extension request may be denied. Any extension granted after March 6, 2017 is likely to be the final extension to a vessel’s compliance date. Failure to plan ahead may result in ship delays or lapse in eligibility to trade in U.S. waters. The Extension Program is a temporary strategy available to owners/operators until type approved BWMS, or other approved BW management methods, become available for a ship.

Temporary Compliance: Extensions Extension date no longer aligns with scheduled dry dock. Extension now includes a specific “expiry date,” and length is determined by the applicant’s strategy to achieve compliance. If a Coast Guard type approved BWMS is available for vessel, applicant must include a detailed installation plan. Vessels with AMS will not receive new or supplemental extensions. Those vessels are expected to use the AMS. Ships with compliance dates after 1 January 2021 should not expect to be granted an extension. Extensions to compliance dates will be based on the vessel’s strategy to come into compliance. To ensure consistency, an extension, once granted, will be honored until it expires.

Type Approval Independent Lab Program USCG is working with ILs to ensure quality results, including regular teleconferences to discuss technical issues, certification reviews, and laboratory oversight. The IL program focuses on: In order for a laboratory to test BWMS for US type approval, it must be accepted as an Independent Lab by the Coast Guard. Independent Labs are currently in various stages of testing BWMS, the Coast Guard cannot comment on the timelines for completion of the testing. This arrangement is made between the lab and the manufacturer in order to ensure an independent process. Consistency in testing Best practices Lessons learned

Accepted Independent Labs NSF International (Ann Arbor, MI) Det Norske Veritas-Germanischer Lloyd (DNV-GL; Norway) Korean Register of Shipping (ROK) Control Union Certifications (Netherlands) Lloyd’s Register EMEA (UK) Coast Guard is in contact with other test organizations interested in acceptance as IL for BWMS testing. NSF International in Ann Arbor, MI includes: For biological testing – the Great Ships Initiative (GSI) in Superior, WI, and Maritime Environmental Resource Center (MERC) in Baltimore, MD. For environmental testing – Retlif Labs, which has locations in the eastern U.S. DNV GL in Hovik, Norway (merger of Det Norske Veritas and Germanischer Lloyd in 2013) includes: Danish Hydraulic Institute (DHI) in Denmark California Maritime Academy’s training ship GOLDEN BEAR. Korean Register of Shipping, which includes: Korea Marine Equipment Research Institute (KOMERI), Busan Techno Park (BTP), Korea Testing Laboratory (KTL), SDS Korea, Korea Testing and Research Institute (KTR), Lab Frontier (LF), Marine Eco-Technology Institute (MEI), and NLP Co. Control Union Certifications, includes Lloyd’s Register EMEA (Europe – Middle East – Africa), includes DHI (Denmark), DHI Singapore, and Delta (Denmark).

Type Approvals Type Approved Systems Optimarin Alfa Laval OceanSaver Sunrui Applications currently under review Ecochlor Erma First Additional manufacturers Letters of Intent There are four type approved BWMS. Other BWMS are under review for type approval, and the Coast Guard cannot comment on the timeline for the review of those applications. Additional manufacturers have submitted Letters of Intent stating they intend to apply.

Ballast Flow Rates USCG Type Approved BWMS Typical Pumping Rates* Company Type Flow Rate (m3/hr) OceanSaver (MK II) Electro- chlorination 200 –7,200 (selling 1000 model) Alfa Laval (Pure Ballast 3) Ultraviolet 85–3,000 Optimarin (OBS/OBS Ex) 167–3000 Sunrui (BalClor) Electro-chlorination 170–8,500 EcoChlor (applied) (Ecochlor) Chemical injection 500–16,200 ErmaFirst(applied) (FIT) 100–3,000 Vessel Type Flow Rate (m3/hr) Tanker 5,000 – 20,000 Float-on, float-off 10,000 – 15,000 Ore 10,000 Liquefied-gas 5,000 – 10,000 Dry bulk Heavy lift 5,000 Barge-carrying cargo 1,000 – 2,000 Roll-on, roll-off General cargo Type approved BWMS flow rates from USCG Type Approval Certificates available on Homeport. Typical pumping rates from ABS “Ballast Water Treatment Advisory 2014.” * ABS Advisory, 2014

IMO BWM Convention Discharge standards are similar but not exactly the same - Viable (IMO) v. Living (USCG) organisms Differences between IMO and U.S. type approval testing (G8 revised in 2016, still non-mandatory) U.S. participates in IMO workgroups to revise and improve the BWM Convention The USCG regulations are based on domestic statutes. The U.S. is not a signatory to the IMO Convention, and our requirements or implementation dates will not change as a result of the Convention coming into force. IMO’s revised “G-8 Guidelines for approval of BWMS” were adopted by MEPC 70, as Resolution MEPC.279(70). G8 will be issued as a mandatory Code once the Convention enters into force. There is no direct comparability between USCG and IMO with regard to evaluation and approval of active substances. USCG does NOT approve active substances for use in BWMS; instead, BWMS must comply with several other EPA requirements under the Vessel General Permit.

Compliance and Enforcement Assess compliance during regular vessel inspections BWM exams on foreign vessels: 9,300/year Follow existing compliance approach Documentation and crew knowledge Equipment condition and operation Sample discharge, if warranted USCG R&D - Sampling and analysis method and tools in development New NVIC in development for field units, industry Deficiencies issued since 2012 Final Rule: 592 Enforcement actions: 14 (warnings to $5,500 fines) The Coast Guard assesses compliance as part of regular vessel inspections. This compliance approach will follow a similar regime in place for all other CG equipment inspection (OWS, MSD, etc.) A Coast Guard inspector will review documentation including the type approval certificate, AMS acceptance letter. The inspector will verify the crew’s knowledge regarding use of the equipment and also verify the equipment’s condition. If an inspector is not satisfied by these results, he or she can take samples of the ballast water discharge. The Coast Guard continues to develop more rapid and accurate methods for sampling and analysis. Navigation and Vessel Inspection Circular (NVIC) is expected this spring.

Compliance and Enforcement A comprehensive BWM Plan addresses a broad spectrum of items. Here are some general issues that must be addressed in detail in a ship-specific BWM Plan. 1. Training requirements for the crew; 2. Safety procedures related to ballast water management methods, equipment and practices, including incorporation of BWM into Safety Management Systems; 3. Specific actions for meeting the BWM requirements, documentation procedures, crew training requirements, contingency plans for the failure or inoperability of intended ballast water management methods and corrective action plans and procedures, and inclusion or specific reference to any information necessary to conduct ballast water management in accordance with the plan, taking into account any conditions and factors specific to the vessel; 4. Detailed fouling maintenance and sediment removal procedures; 5. Procedures for coordinating the shipboard BWM strategy with Coast Guard authorities including procedures for informing the Coast Guard of any problems in managing ballast water intended for discharge into U.S. waters; 6. Identification of the designated officer in charge of BWM;  7. Detailed procedures for meeting the reporting requirements for ports and places in the U.S. visited by the vessel (different reporting procedures exist for Great Lakes, upper Hudson River, and other locations).

Research & Development Development of BW compliance assessment methods and tools Evaluate 6 “rapid” analysis tools for organisms in 10-to 50-um size class Improve guidance and specifications for sample ports and sample collection (integrated with ISO) Support revision of ETV Protocol Investigate sampling during stripping operations Develop draft protocol for standard test organisms Coast Guard, in cooperation with EPA, the Office of Naval Research, and Department of Transportation, are researching BWM compliance assessment methods and tools: Evaluating suite of 6 "rapid" analysis tools on organisms in the 10-50 um size class. 5 tools based on variable fluorescence and 1 is based on ATP.   Several projects to improve guidance, specifications for sample ports and sample collection. (integrated with effort to update current standard ISO 11711-1-2013)   Environmental Technology Verification (ETV) Protocol for type approval of ballast water management systems – revise protocol with lessons learned.   Scaling of BWMS during type approval evaluations - develop further guidance on scaling procedures for UV and electro-chlorination technologies.   Compliance sampling - guidance on obtaining representative samples.   Standard test organisms during type approval testing - develop a draft protocol.

What are we working on Compliance and enforcement guidance NVIC Policy Letters FAQ Compliance tools Challenges to type approval Modification of system components (filters) Scaling (size, flow rates) Remain engaged with stakeholders EPA, IMO, ship owners, manufacturers and ILs

Resources USCG Maritime Commons blog Mr. Jeffrey Lantz, Director of Commercial Regulations and Standards, March 6, 2017 http://mariners.coastguard.dodlive.mil/2017/04/03/432017-connecticut-maritime-associations-2017-shipping-conference-remarks-from-jeffrey-lantz-office-of-regs-standards/ North American Marine Environment Protection Association (NAMEPA) journal article RADM Paul Thomas, Assistant Commandant for Prevention Policy, January 17, 2017 http://www.namepa.net/newsletter-articles/ballast-water-uscg Code of Federal Regulations 33 CFR Part 151 – Ballast Water Management 46 CFR Subpart 162.060 – Type Approval

Additional Information Coast Guard Internet portal: http://homeport.uscg.mil/ballastwater Approved Labs and BWMS: Coast Guard Maritime Information Exchange (CGMIX): http://cgmix.uscg.mil QUESTIONS? Compliance: E-mail to the Office of Commercial Vessel Compliance: CGCVC@uscg.mil Extensions: environmental_standards@uscg.mil In general, the Coast Guard's Office of Commercial Vessel Compliance (CG-CVC) is the appropriate point of contact for questions about current USCG requirements: CGCVC@uscg.mil   Extension letters and other BWM program guidance are available at the USCG public Internet portal http://homeport.uscg.mil/ballastwater Extension requests for compliance dates under Ballast Water Management regulations should be directed to environmental_standards@uscg.mil The USCG Marine Safety Center manages the U.S. Type Approval process, and applicants should send questions to msc@uscg.mil Questions about testing facilities and acceptance as Independent Labs for the purpose of evaluating Ballast Water Management Systems should be sent to typeapproval@uscg.mil Details regarding USCG approved equipment can be found at the Coast Guard Maritime Information Exchange (CGMIX) at http://cgmix.uscg.mil NOTE: The Coast Guard does not administer the Vessel General Permit (VGP) program. Please visit the U.S. Environmental Protection Agency's website for more information at https://www.epa.gov/npdes/vessels-incidental-discharge-permitting-3 or email vgp@epa.gov