1. US Coast Guard Ballast Water Discharge Standard Final Rule
Pre-decisional - for internal government use only
US Coast Guard Ballast Water Discharge Standard Final Rule
Thank you. I am ___________ (name and title).
I’ll be happy to answer any questions after the presentation.
U.S. Coast Guard Environmental Standards Division
Washington, D.C.

2. Pre-decisional - for internal government use only
Overview
Coast Guard Regulatory Authority
Previous Ballast Water Regulatory Regime
Ballast Water Discharge Standard “Final Rule”
Implementation of the Final Rule:
Type Approval
Independent Labs
Enforcement & Compliance
This overview will include:
The Coast Guard’s authority to regulate ballast water,
Previous regulations under this authority,
Final Rule which published in March 2012, and
Implementation of the Final Rule, which includes:
Approving systems and Independent Labs, and
How the new rules will be enforced.

3. Authorities for U.S. Coast Guard Regulations
Nonindigenous Aquatic Nuisance Prevention and Control Act
Prevent or reduce the introduction and control the spread of NIS via the discharge of ballast water from those vessels entering U.S. waters of Great Lakes after operating outside the exclusive economic zone (EEZ).
National Invasive Species Act
Extend Great Lakes regime to the nation.
BW management practices directed:
BWE Mid-ocean; Retention; Alternative BWE areas; USCG-approved, environmentally sound alternatives.
These two statutes give Coast Guard authority for its Aquatic Nuisance Species Program and Ballast Water Management regulations.  
Evidence showed that foreign organisms such as zebra mussels were being carried to the Great Lakes in ballast water.
In response, Congress passed the Non-indigenous Aquatic Nuisance Prevention and Control Act of 1990.
In 1996, Congress expanded it to all waters of the U.S. with the National Invasive Species Act (NISA).
The Coast Guard stood up specific practices such as mid-ocean exchange for vessels arriving to the U.S. (which took on ballast water within 200 miles from any shore) and other ballast water management practices.
It also laid the foundation for developing the discharge standard and type-approval process in the Final Rule.
Until now, only two of three ballast water management practices were available - mid-ocean exchange or retaining on board.  
With publication of the Final Rule, the Coast Guard has established a roadmap for the third option of "environmentally sound alternatives", which we'll explore in more detail.
The Final Rule's first section, or "preamble", also describes history of the program.

4. USCG Ballast Water Management Prior Requirements
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USCG Ballast Water Management Prior Requirements
Prior to March 23, 2012 final rule, BW management required for arrivals from outside EEZ:
Mid-ocean BW Exchange, many vessels claim safety exemption as provided for in current regulation.
Reporting Requirements for vessels bound for ports or places of the U.S. including number of ballast tanks, volume of BW onboard, origin of BW to be discharged into waters of U.S.
Ballast Water Management Practices, avoid uptake or discharge in sensitive areas, areas with infestations, clean tanks, rinse anchors & chains, etc.
Our previous regulations included some requirements that will continue under the new rule:
Ballast Water Exchange has been effective, but many vessels still claim the safety exemption outside waters of the Great Lakes.
Reporting requirements provide information to scientists studying aquatic invasive species. Data about BW discharge volumes and locations helps scientists to understand invasion biology and also helps the Coast Guard to evaluate the need for changes to regulations.
Additional Ballast Water Management requirements help reduce the likelihood that organisms will be spread further.

5. Drawbacks to Ballast Water Exchange
Ballast Water Exchange is less than desirable as a long-term approach to reducing or preventing introductions of NIS.
Structural and operational risks with BWE.
Design
Age
Load
Sea conditions
Transitory deviation from damage stability limits?
Effectiveness of BWE in removing NIS can be variable.
Tank design
Type of BWE
Salinity & temp diff’s between BW and ocean water
Ballast water exchange has served as an interim measure until a more permanent solution could be found.
Exchange involves risks, both structural and operational.
Vessel design and age, load, and sea conditions.
Vessels may come close to having transitory deviations from damage stability limits.
Exchange also has a wide range of effectiveness in removing organisms.
Tank design
Type of exchange conducted
Salinity and temperature differences between Ballast Water and ocean water
Industry and government needed to research and develop new technology for use on vessels.
Coast Guard has encouraged this through activities such as the Shipboard Technology Evaluation Program (STEP).

6. Pre-decisional - for internal government use only
The BW Final Rule
Notice of Proposed Rulemaking – Aug 2009
Public Comment Period ended – Dec 2009
Received over 2,000 comments
Top 3 issues were: (1) applicability; (2) availability of technology; (3) unified Federal standard
Final Rule Published – March 23, 2012
Responses to public comments
Comments and documents at
Docket no. USCG
A Notice of Proposed Rulemaking in 2009 kicked off a 90-day public comment period and six public meetings.
The Coast Guard received over 2,000 comments. The top three issues were:
Applicability of the discharge standard to types of vessels,
Availability of technology to meet needs of different vessel, and
Preference for a unified Federal discharge standard.
The Final Rule published March 23, 2012:  
Read the “Responses to Comments" section, which makes up the bulk of the document before the regulatory text itself.  You'll learn more about the decisions behind the Final Rule, and see how we addressed your comments and incorporated some of them into the final regulations. 
The Federal docket has copies of public comments, and supporting documents for proposed and final rules.

7. Pre-decisional - for internal government use only
The BW Final Rule
Regulation
Requirement
Jurisdiction
U.S. territorial sea – 12 nautical miles
Applicability
Sea-going vessels previously required to conduct BWE and coastwise vessels that do not operate outside EEZ but are greater than 1,600 GT and transit between Captain of the Port Zones
Implementation Schedule Dates are January 1 unless specified
(First regularly scheduled drydocking after a vessel’s compliance date)
New Vessels (Dec 1, 2013 keel laying):
On delivery Existing Vessels (BW capacity in cubic meters):
<1,500: , ,000: >5,000:
Great Lakes
Applies to vessels that depart the Great Lakes, transit beyond the EEZ, return and pass upstream of Snell Lock, aka “Salties.”
So what are the details?
Jurisdiction applies to the U.S. territorial sea, or out to 12 nautical miles.
Applies to two groups of vessels:
1) sea-going vessels, and
2) coastwise vessels that do not operate outside EEZ but are greater than 1,600 GT and transit between COTP Zones.
Implementation Schedule will phase in vessels over time:
“New vessels” have a keel laid date on/after Dec 1, The Coast Guard will validate compliance by verifying that a type approved BW Management System, or AMS, is installed on the vessels first visit to the U.S.
“Existing vessels” have a keel laid date before Dec 1, The first scheduled drydocking after Jan 1, either 2014 or 2016, will be its compliance date. Underwater surveys/UWILD or emergency drydocking would not trigger this requirement.
Great Lakes requirements:
Vessels that depart the Great Lakes, transit beyond the EEZ, return and pass upstream of Snell Lock, aka “Salties.”

8. Pre-decisional - for internal government use only
The BW Final Rule
Requirement
BW Final Rule
Additional Non-Indigenous Species Reduction Practices
Same as in previous rule: Avoid uptake or discharge in sensitive areas, areas with infestations, clean tanks, rinse anchors & chains, etc.
BW Management Plan
Expanded in New Rule: Training and safety procedures, and fouling maintenance & sediment removal procedures.
Extension to Compliance Date
New to Final Rule: Ship owner can request extension of compliance implementation schedule if compliance is not possible.
BW Reporting and Recordkeeping
Same as in previous rule: Ballast Water Reporting Form must be submitted to NBIC for vessel subject to this rule, vessels that have ballast water tanks and operate in U.S. waters.
The Final Rule continues some Ballast Water Management requirements from before, and some that are new.
Please note these came into effect on June 21, 2012, and are separate from compliance dates for discharge standard!
Additional requirements for non-indigenous species reduction practices. Formerly call Ballast Water Management Practices, these include restrictions on uptake or discharge, and requirements to clean ballast tanks and rinse anchors and chains when retrieved.
Ballast Water Management Plans - includes training and safety procedures for the crew and fouling maintenance and sediment removal procedures.
Extension to Compliance Date – Vessels that cannot meet the discharge standard by their compliance date must request an extension at least 12 months before they would otherwise have to meet the discharge standard.
Reporting and Recordkeeping – vessels must continue the practice of submitting BW report forms to the National Ballast Information Clearinghouse (NBIC).

9. USCG BW Discharge Standard
Pre-decisional - for internal government use only
USCG BW Discharge Standard
Organism size
Amount allowable in discharge
> 50 micrometers
Less than 10 organisms per cubic meter
< 50 - > 10
Less than 10 organisms per milliliter
Indicator microorganisms
< 1 colony forming unit of toxicogenic Vibrio cholerae
per 100 mL
< 250 cfu of Escherichia coli
Per 100 mL
< 100 cfu intestinal enterococci
The Coast Guard’s discharge standard is the same as the International Maritime Organization’s performance standard. (This can be found in Regulation D-2 of the Ballast Water Management Convention.)
The Coast Guard’s proposed rule in 2009 did also propose a “phase-two” standard, which was one thousand (1,000) times more stringent than the IMO.
However, the Final Rule does not include the “phase-two” standard – the only discharge standard is what you see here.

10. OPTIONS FOR COMPLYING WITH USCG BWM REQUIREMENT
Pre-decisional - for internal government use only
OPTIONS FOR COMPLYING WITH USCG BWM REQUIREMENT
Meet discharge standard using Coast Guard Approved Ballast Water Management System
Use water from a Public Water Supply
Discharge to Reception Facility
Alternate Management System (temporary use of foreign approved BWMS)
It is important to know that a vessel does NOT need to install a Ballast Water Management System.
The Final Rule has several options to meet the discharge standard:
Install a Coast Guard-approved Ballast Water Management System,
Use water from a Public Water Supply,
Use an Alternate Management System (a foreign-approved BW management system reviewed and accepted by the Coast Guard),
Retain ballast water on board while in waters of the U.S., or
Discharge to a reception facility.
No BW Discharge

11. USCG Type Approval of BWMS
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USCG Type Approval of BWMS
Long-established USCG program for type approval of ships’ equipment
All testing by independent laboratories (ILs)
ILs vetted by USCG
Incorporation of EPA Environmental Technology Verification (ETV) Program land-based test protocols
consistent with IMO BW Management Convention
Ballast Water Management Systems will require Coast Guard type-approval.
The Coast Guard has decades of experience type-approving equipment for use on board vessels
(lifesaving equipment, oil water separators, MSDs, etc.)
Independent Labs must be accepted by the Coast Guard in order to conduct type-approval testing.
Part of this process requires IL’s to use the Environmental Technology Verification, or ETV, protocols for land-based testing. The ETV test protocols were developed by Coast Guard and EPA, and are consistent with the IMO requirements.

12. Pre-decisional - for internal government use only
USCG Type Approval
Two paths to follow
Existing test data from type approval testing for a foreign administration.
Applicant must submit:
Data
Explanation of how submission meets or exceeds Coast Guard type approval requirements.
Subject to IL review
Test data from an independent laboratory accepted by the Coast Guard.
Coast Guard type-approval follows two paths:
1) A manufacturer can submit existing data from a foreign Administration’s type-approval testing, and work with a Coast Guard-accepted Independent Lab to evaluate the data and fill any data gaps by having the system tested in accordance with the requirements specified by the IL.
2) A manufacturer can arrange with a Coast Guard-accepted Independent Lab to conduct testing “from scratch.”

13. Pre-decisional - for internal government use only
Independent Labs
Critical private sector entities.
Key aspects for acceptability:
Independent of BWMS vendors/manufacturers
Capacity and ability to conduct ETV test protocol
Rigorous QA/QC programs.
“Availability” is outside USCG control.
FR stated no type approvals likely until 2015
“From scratch’ with USCG accepted IL
CG goal is to establish process as soon as possible.
Independent Labs are critical partners:
These are private-sector entities, so the Coast Guard cannot force them to apply.
To gain acceptance, Independent Labs must meet requirements of independence from vendors and manufacturers, be able to conduct testing under the ETV protocols, and have rigorous QA/QC programs.
The Final Rule stated we did not expect type-approvals until 2015.
We are pleased to report that NSF International was accepted as an Independent Lab on July 3, 2012.
We now anticipate having Coast Guard Type Approved ballast water management systems sooner than 2015, possibly by late 2013/early 2014.

14. First USCG-accepted IL: July 3, 2012
Pre-decisional - for internal government use only
First USCG-accepted IL: July 3, 2012
NSF Int’l, Ann Arbor, MI
Great Ships Initiative, Superior, WI
NSF International heads a consortium which includes:
GSI and MERC for biological testing
Retlif Labs for environmental testing.
The Coast Guard is also in contact with other labs around the world.
Maritime Environmental Resource Center, Baltimore, MD
Retlif Test Laboratories

15. Additional Provisions AMS
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Additional Provisions AMS
Alternate Management Systems (AMS)
Bridging strategy to address fact that foreign type-approved systems are being installed prior to FR compliance dates
Must have been approved by foreign administration in accordance with IMO BW Convention
5-year grandfather period after vessel compliance date
The Final Rule provides short-term acceptance of ballast water management systems,
which it calls Alternate Management Systems.
This should avoid penalizing early-adopters who wanted to comply with the IMO Convention and installed a foreign type approved ballast water management system.
To earn an AMS determination, it must have been approved by a foreign Administration in accordance with the G8/G9 Guidelines contained in the BW Management Convention.
The Final Rule includes a 5-year allowance or “grandfather” period, after a vessel’s expected compliance date.
The manufacturer also has to apply to the Coast Guard for type-approval. This will allow vessels to continue to use the system after the 5-year period expires.

16. Compliance and Enforcement
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Compliance and Enforcement
Assess compliance during regular vessel inspections
Port State control for foreign flags
Domestic vessel inspection
Follow existing compliance approach
Documents (certifications and records)
Crew knowledge
Equipment condition
Sample discharge if warranted
Sampling and analysis methods and tools in development
USCG and EPA signed an MOU on February 14, 2011 to cooperate on vessel compliance with VGP
The Coast Guard will assess 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 aninspector 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.
In addition, the Coast Guard and EPA signed a Memorandum of Understanding in 2011 regarding EPA’s Vessel General Permit program. This MOU will be updated after the revised VGP is made final in November 2012, and before it becomes effective in Dec The MOU allows CG & EPA to combine compliance efforts and share information.

17. Pre-decisional - for internal government use only
Policy Update
Alternate Management System Determination – Policy signed 15 June Provides guidance for BW management system vendors on submitting applications for AMS determination from CG.
Policy Message for Implementation of BW Discharge Standard – released 21 June Describes CG’s enforcement & compliance posture for BW Discharge Standard.
Frequently Asked Questions
Documents available on CG-OES-3 webpage:
The Coast Guard is developing additional policy and guidance to support the Final Rule.
AMS Policy Letter describes how a manufacturer can apply to the Coast Guard for a determination.
Coast Guard Message explains how inspectors are enforcing the new regulations which went into effect June 21, 2012.
Frequently Asked Questions and Answers provides more detailed policy guidance, and is being updated on a regular basis.
All of these are available on the Coast Guard’s public website.

18. Pre-decisional - for internal government use only
Thank You
For questions or more details on Coast Guard’s Ballast Water Management Program:
Website:
Thank you, and I’ll be happy to take your questions.
To submit questions later or get more information, please contact the Environmental Standards Division.
More information is posted on the Coast Guard public website at this