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.

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.

Authorities for U.S. Coast Guard Regulations 1990 - 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). 1996 - 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.

USCG Ballast Water Management Prior Requirements Pre-decisional - for internal government use only 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.

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).

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 www.Regulations.gov Docket no. USCG-2001-10486 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.

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: 2016 1,500 - 5,000: 2014 >5,000: 2016 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, 2013. 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, 2013. 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.”

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).

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.

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

USCG Type Approval of BWMS Pre-decisional - for internal government use only 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.

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.”

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.

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

Additional Provisions AMS Pre-decisional - for internal government use only 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.

Compliance and Enforcement Pre-decisional - for internal government use only 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. 2013. The MOU allows CG & EPA to combine compliance efforts and share information.

Pre-decisional - for internal government use only Policy Update Alternate Management System Determination – Policy signed 15 June 2012. 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 2012. Describes CG’s enforcement & compliance posture for BW Discharge Standard. Frequently Asked Questions Documents available on CG-OES-3 webpage: www.uscg.mil/environmental_standards 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.

Pre-decisional - for internal government use only Thank You For questions or more details on Coast Guard’s Ballast Water Management Program: Email: environmental_standards@uscg.mil Website: www.uscg.mil/environmental_standards 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