U S Ballast Water Regulations U S Coast

U. S. Ballast Water Regulations U. S. Coast Guard Headquarters Office of Operating and Environmental Standards

U. S. and IMO Milestones 1988: Zebra mussels discovered in Great Lakes n 1990/96: Non-indigenous Aquatic Nuisance Prevention and Control Act, as amended by National Invasive Species Act (NISA) n 1990’s: Coast Guard mandated BW exchange in Great Lakes and voluntary trial national-wide, IMO issued BWM guidelines n 2004: Coast Guard mandates BW exchange in all waters of the U. S. , IMO adopts Convention n 2

U. S. and IMO Milestones 2009: EPA publishes 1 st Vessel General Permit, Coast Guard proposes BW discharge standard n 2012: Coast Guard issues final rule, and partners with Independent Labs to evaluate BWMS n 2013: EPA publishes 2 nd Vessel General Permit n 2016: Coast Guard type-approves three BWMS, IMO Convention ratified by enough countries (U. S. has not ratified) n 2017: Coast Guard tightens compliance options, prepares for Convention to enter into force 3 n

Complex Problem Biology n Engineering n Vessel operations n 4

Actually really complex Biology of organisms and habitat n Naval architecture n Mechanical/electrical Engineering n Global vessel operations n 5

Actually really, really complex n n n n n Invasion biology Naval engineering Fleet operations and management Compliance strategies Port operations and facilities Installation requirements Volume/frequency of discharge Regulations leading technology Cost 6

USCG BWMS Program Overview n n n n Coast Guard Offices Involved BWM Regulations (and who regulates) Compliance Options for Ship Owners Coast Guard Type Approval & Independent Labs Alternate Management Systems (AMS) Extensions Compliance and Enforcement Next steps 7

USCG Program Offices n Office of Operating & Environmental Standards § n Office of Design & Engineering Standards § n 3 rd Party Independent Lab manager Marine Safety Center § n Regulation & policy program manager Type approval manager Office of Commercial Vessel Compliance § Compliance manager 8

IMO BWM Convention Adopted in 2004 n 14 guidelines for BWMS development, testing n Received enough ratifications by member States in 2016, entry into force o. o. a September 8, 2017 n BWM Convention will not preempt Coast Guard, EPA, or U. S. state requirements n Coast Guard offers Statement of Voluntary Compliance to U. S. -flagged vessels visiting foreign ports 9 n

EPA Requirements EPA authority to regulate ballast water, among 27 discharges, incidental to vessel operations comes from Clean Water Act rather than NISA n Current VGP has same BW discharge standard metrics as Coast Guard, but still independent n U. S. states may add on requirements for their jurisdictions by section 401 certification letters n Vessel General Permit is renewed every 5 years n 3 rd VGP comes into force December 18, 2018 10 n

Applicability/Requirements Regulation Requirement Jurisdiction U. S. territorial sea – 12 nautical miles Applicability/Exemptions Vessels equipped with BW tanks and operate in waters of U. S. Does not apply to: Crude oil tankers in coastwise trade; non-seagoing vessels; sea-going vessels that do not operate outside EEZ and are less than 1, 600 Gross Register Tons or 3, 000 ITC; and, vessels that operate exclusively in 1 COTP Zone. New Vessels (Dec 1, 2013 keel laying): On delivery Implementation Schedule Dates are January 1 unless specified (First regularly scheduled drydocking after a vessel’s compliance date) Great Lakes Existing Vessels (BW capacity in cubic meters): <1, 500: 2016 1, 500 - 5, 000: 2014 >5, 000: 2016 Applies to sea-going vessels over 1, 600 GRT that depart the Great Lakes, transit beyond Anticosti Island, return and pass upstream of Snell Lock, 11 aka “Salties. ”

Options for Compliance 1. No BW Discharge 2. Coast Guard Approved Ballast Water Management System 3. Discharge to Facility Onshore or to Another Vessel for Purpose of Treatment 4. Use only water from a U. S. Public Water System Two Temporary Compliance Alternatives 1. Alternate Management System (AMS) – Temporary Designation for up to 5 years 2. Receive an Extension to Vessel’s Compliance Date extension period will vary depending upon TA system availability

Temporary Compliance: Alternate Management Systems n A BWMS is accepted for use as an AMS based on its type approval by a foreign administration. n AMS may be used for 5 years after expiry of the vessel’s extended compliance date 13

Options for Compliance 1. No BW Discharge 2. Coast Guard Approved Ballast Water Management System 3. Discharge to Facility Onshore or to Another Vessel for Purpose of Treatment 4. Use only water from a U. S. Public Water System Two Temporary Compliance Alternatives 1. Alternate Management System (AMS) – Temporary Designation for up to 5 years 2. Receive an Extension to Vessel’s Compliance Date extension period will vary depending upon TA system availability

Temporary Compliance: Extensions Ø The regulation allows the CG to grant compliance date extensions on a temporary basis. Ø Vessel owners/operators must apply at least 12 months prior to the vessel’s compliance date, or the extension request may be denied. Ø Failure to plan ahead may result in ship delays or lapse in eligibility to trade in U. S. waters. 15

Options for Compliance 1. No BW Discharge 2. Coast Guard Approved Ballast Water Management System 3. Discharge to Facility Onshore or to Another Vessel for Purpose of Treatment 4. Use only water from a U. S. Public Water System Two Temporary Compliance Alternatives 1. Alternate Management System (AMS) – Temporary Designation for up to 5 years 2. Receive an Extension to Vessel’s Compliance Date extension period will vary depending upon TA system availability

Type Approval Review Process Six-step application review process: 1. Application screening 2. Engineering review 3. Land-based test review 4. Shipboard test review 5. Component test review 6. Scaling review 17

How Type Approval Works Two options to follow (in accordance with 46 CFR): 1. Evaluation of some/all existing test data and information from type approval testing for a foreign administration. n Applicant must include: n Data and information; n Explanation of how submission meets or exceeds Coast Guard type approval requirements. n Data and information must be reviewed by independent laboratory (IL). n Additional testing and evaluation by an IL may be required. 2. Evaluation of test data and information produced and submitted by an IL. 18

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: Consistency in testing n Best practices n Lessons learned n 19

Accepted Independent Labs NSF International (Ann Arbor, MI) n Det Norske Veritas-Germanischer Lloyd (DNV-GL; Norway) n Korean Register of Shipping (ROK) n Control Union Certifications (Netherlands) n Lloyd’s Register EMEA (UK) n Coast Guard is in contact with other test organizations interested in acceptance as IL for BWMS testing. 20

Type Approval Process USCG v IMO n n Discharge standards are similar but not exactly the same - Viable (IMO) v. Living (USCG) organisms Differences between IMO and U. S. type approval testing (G 8 revised in 2016, still non-mandatory) Varying Flag Administration interpretations n Shipboard testing cycles (IMO: 3, USCG: 5) n O&M endurance test (IMO: No, USCG: Yes) n Many challenges remain: system scaling, and acceptance of alternate components n 21

Type Approval n IMO G 8 –v– US Type Approval n Similarities n Administrative Differences n Technical Differences 22

Type Approval Similarities n Readiness evaluation n Land-based testing n Shipboard testing n Environmental/ Component testing n Treatment system scaling 23

Administrative Differences Flag Administrations interpret IMO guidelines n USCG uses third-party Independent Labs (IL) n USCG authorizes Independent Lab USCG evaluates Independent Lab performance Independent Lab submits test report to USCG BWMS manufacturer contracts with Independent Lab conducts testing 24

Technical Differences 1. Discharge Standard 2. Shipboard Testing 3. Hold Time 4. Component / Environmental Testing 25

1. Discharge Standard IMO G 8 Discharge Standard < 10 Viable Organisms US < 10 Living Organisms Difference n Consideration of organisms that are rendered unable to reproduce Independent Lab Observation n Some systems able to meet viable standard but not living standard 26

2. Shipboard Testing IMO G 8 Shipboard Testing 3 Test Cycles US 5 Test Cycles Differences n n Varying number of required consecutive successful test cycles Control of treatment system during testing Independent Lab Observation n Some systems able to log 3 tests but fail on 4 th or 5 th cycle 27

3. Hold Time IMO G 8 Hold Time > 5 Days US > 24 Hours Difference n Time required to hold water in tanks before discharge & sampling Independent Lab Observation n Extended test program for systems where hold time is key parameter 28

4. Component/ Environmental Testing IMO G 8 Component / Environmental Testing 2 Hour Endurance Test US 4 Hour Endurance Test Difference n Length of time required for vibration endurance test Independent Lab Observation n Some components able to meet 2 hour test but fail 4 hour test 29

Summary of Technical Differences IMO G 8 US Discharge Standard < 10 Viable Organisms < 10 Living Organisms Shipboard Testing 3 Test Cycles 5 Test Cycles Hold Time > 5 Days > 24 Hours Component / Environmental Testing 2 Hour Endurance Test 4 Hour Endurance Test 30

Compliance and Enforcement n n n Assess compliance during regular vessel inspections n BWM exams on foreign vessels: 9, 300/year Follow existing compliance approach n Documentation and crew knowledge n Equipment condition and operation n Sample discharge, if warranted USCG R&D - Sampling and analysis method and tools in development 31

Resources 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