NVIC 01-04: Experimental ballast water treatment systems program

Commandant 2100 Second Street, S.W. United States Coast Guard Washington, DC 20593-0001 Staff Symbol: G-MSO-4 Phone: 202-267-2716 FAX: 202-267-4690 COMDTPUB P16700.4 NVIC 01-04 02 JANUARY 2004 NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-04 Subj: SHIPBOARD TECHNOLOGY EVALUATION PROGRAM (STEP): EXPERIMENTAL BALLAST WATER TREATMENT SYSTEMS Ref: (a) Nonindigenous Aquatic Nuisance Prevention and Control Act of 1990 (NANPCA 1990) (Public Law 101-646) (b) National Invasive Species Act (NISA 1996) (Public Law 104-332) (c) Implementation of NISA 1996, 33 CFR Part 151 Subparts C and D (d) Guidelines for the Control and Management of Ship’s Ballast Water to Minimize the Transfer of Harmful Aquatic Organisms and Pathogens, International Maritime Organization (IMO) Resolution A.868 (20), adopted November 1997 (e) United States Coast Guard Report to Congress on the Voluntary National Guidelines for Ballast Water Management, June 2002 (f) Federal Register Request for Comments (66 FR 28213, May 22, 2001) “Approval for Experimental Shipboard Installations of Ballast Water Treatment Systems” (g) Federal Register Notice and Request for Comments (66 FR 21807, May 1, 2001) “Potential Approaches to Setting Ballast Water Treatment Standards” (h) Federal Register Advanced Notice of Proposed Rulemaking (67 FR 9632, March 4, 2002) “Standards for Living Organisms in Ship’s Ballast Water Discharged in U.S. Waters” (i) COMDTINST M16475 (series)- National Environmental Policy Act Implementing Procedures and Policy for Considering Environmental Impacts Manual

Shipboard Technology Evaluation Program (STEP) Experimental Ballast Water Treatment Systems. — PURPOSE. The purpose of this circular is to implement a Shipboard Technology

Evaluation Program (STEP) through which foreign and domestic vessel DISTRIBUTION – SDL No. 140 a b c d e f g h i j k l m n o p q r s t u v w x y z A B 1 1 1 C 1 1 1 1 D * E 1 1 F G H NON-STANDARD DISTRIBUTION: See page 7 NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-04 owners/operators can apply for acceptance to install and operate experimental ballast water treatment (BWT) systems on their vessels.

Treatment systems will not be accepted into STEP independent of a specific vessel.

The STEP is a voluntary program available to all vessels subject to the Coast Guard’s Ballast Water Management (BWM) regulations, 33 CFR § 151 Subparts C and D.

STEP is intended to facilitate the development of effective BWT technologies, thus creating more options for vessel owners/operators seeking alternatives to ballast water exchange.

Technology developers and vessel owners/operators have agreed on the need for incentives that will encourage the development of prototype treatment systems and shipboard testing.

However, vessel owners/operators have expressed a reluctance to invest the resources to install and operate an experimental treatment system that might not meet discharge standards mandated by future regulations.

To address this concern, vessels accepted into this program may be granted an equivalency to future ballast water discharge standard regulations, for up to the life of the vessel or the system, while the prototype system operates satisfactorily.

The length of the period of equivalency is dependent upon the date on which the vessel applies to the experimental program.

However, in the event that subsequent information on the experimental system indicates the potential for an adverse affect to the environment, risk to the vessel or human health, the testing of the system will be discontinued and acceptance in the STEP will be withdrawn.

In addition, participation in the STEP may be discontinued if a system no longer performs satisfactorily.

This NVIC establishes the process for vessel owners/operators to apply for acceptance into the STEP, however, the guidance contained in this document is not a substitute for applicable legal requirements; nor is it a regulation itself, thus it is not intended to nor does it impose legally-binding requirements on any party.

Shipboard Technology Evaluation Program (STEP) Experimental Ballast Water Treatment Systems. — ACTION.

a. Vessel owners/operators. The vessel owners/operators shall be the applicant. This NVIC applies to those vessels defined in 33 CFR § 151.2005. The acceptance process and application instructions are contained in Enclosures

(1) through (3) to this NVIC.

Potential applicants should contact the Coast Guard, Environmental Standards Division (G-MSO-4) staff at 202-267-2716 or by e-mail at EnvironmentalStandards@comdt.uscg.mil prior to submission, to discuss the process.

Application packages are also available for downloading on the U.S.

Coast Guard’s website at http://www.uscg.mil/hq/g- m/mso/mso4/bwm/step.htm. b.

Documentation required for vessels accepted in the STEP is described in Enclosure (4) to this NVIC.

Vessels exporting Trans-Alaskan Pipeline Authorization Act (TAPS) oil that are regulated by 15 CFR 754.2(j)(1)(iii) are not eligible for acceptance into the STEP because these vessels are required to conduct ballast water exchange unless doing so would endanger the safety of the vessel (see 33 CFR 151.2040(b)).

NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-04 c.

Potential applicants should be aware that because the performance of existing technology is expected to improve, the criteria for the efficacy of experimental systems may become more stringent in subsequent years.

Any changes in the acceptance criteria will not affect vessels that are already accepted into the STEP. d.

U.S. vessel owners/operators must submit drawings, details and information on the interface between the proposed BWT system and the vessel’s vital systems to the vessel’s classification society or the USCG Marine Safety Center.

This submittal must include documentation describing how the interface does not degrade existing systems or create dangerous conditions. e.

Foreign vessel owners/operators must provide documentation that indicates that the proposed installation is to the satisfaction of the vessel’s classification society or Administration. f.

Coast Guard Marine Safety Office/Detachment Inspectors.

Enclosure (4) describes the required documentation that must be maintained on board the vessel.

Enclosure (5) discusses how to verify vessel compliance with this NVIC.

Installed systems should be inspected to ensure the vessel’s safety has not been compromised due to the installation.

After vessel inspection, the following text should be entered into MISLE under the “Vessel Inspection Activity, Narrative” tab: “EXPERIMENTAL BALLAST WATER TREATMENT SYSTEM VERIFIED IAW NVIC 01-04.

PERFORMANCE LOG AND REPORTING FORMS EXAMINED.” g.

Coast Guard Marine Safety Center (MSC).

Owners/operators of U.S. vessels that are not classed by a classification society, and applying for acceptance under this program, must submit information on the interface between the BWT system and the vessel’s vital systems to the MSC.

This submittal must include documentation describing how the interface does not degrade existing systems or create dangerous conditions.

It is recommended that a registered professional engineer, as outlined in NVIC 10-92, be used for this process.

The MSC will verify that the proposed BWT system will not compromise the vessel’s safety. h.

Coast Guard Commandant, Office of Marine Safety, Security, and Environmental Protection, Environmental Standards Division (G-MSO-4).

G-MSO-4 is the point of contact for all questions related to this NVIC.

G-MSO- 4 will accept application packages, provide guidance and notify applicants of acceptance into STEP.

G-MSO-4 will monitor experimental results, reports and vessel compliance in the program. i.

Classification Societies.

Vessel owners/operators of vessels that are classified by a classification society, and applying for acceptance under this program, must submit information on the interface between the BWT system and the vessel’s vital systems to the vessel’s classification society.

This submittal must include documentation describing how the interface does not degrade NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-04 existing systems or create dangerous conditions.

Classification societies should examine proposed installations and ensure the BWT system does not adversely impact the vessel’s vital systems and does not compromise the vessel’s safety.

Except where governed by internal policy, classification societies are not expected to inspect or verify the operational characteristics of the experimental system.

The scope of classification society inspections should encompass overall safety considerations, including the interface between any vital systems and the experimental system.

Shipboard Technology Evaluation Program (STEP) Experimental Ballast Water Treatment Systems. — DIRECTIVES AFFECTED. None.

DIRECTIVES AFFECTED. None.

Shipboard Technology Evaluation Program (STEP) Experimental Ballast Water Treatment Systems. — BACKGROUND. The unintentional introduction of non-indigenous species (NIS)

into the waters of the United States via the discharge of ships’ ballast water has had a significant impact on the nation’s marine and freshwater resources, biological diversity, and coastal infrastructure.

Although many of these organisms are capable of being transported by numerous mechanisms, there is significant evidence that ships are an important vector.

Of the several means of introduction attributable to ships, ballast water is significant and is the first mechanism to receive Congressional attention.

In response to highly publicized ballast- facilitated invasions by several species in the Great Lakes and continuing reports of similar invasions in other waters, the Coast Guard is implementing the Shipboard Technology Evaluation Program. a.

The US Coast Guard is developing regulations that will require BWM programs to meet mandatory ballast water discharge standards.

An advanced notice of proposed rulemaking (ANPRM) entitled “Standards for Living Organisms in Ships’ Ballast Water Discharged in U.S.

Waters” (67 FR 9632) was published on March 4, 2002.

The comments from this ANPRM are being used in the development of ballast water discharge standards.

Currently, alternative ballast water treatment (BWT) technologies to meet these future standards are not fully developed.

An increasing number of alternative BWT technologies capable of significantly reducing the probability of introducing foreign organisms via ballast water discharges are being developed and tested as small-scale prototypes.

However, complete evaluations and refinement of the capabilities of such systems require ship-scale installations that are tested for longer periods of time under a wide range of conditions.

This program is intended to facilitate shipboard testing of prototype treatment systems aboard a limited number of vessels for research and development purposes.

Lessons learned in this effort will help resolve the technical challenges associated with employing these systems on operational vessels.

The results of this program will also facilitate a separate process to develop the formal approval procedures of BWT systems for general use. b.

As on-board installation and testing costs are likely to be significant, vessel owners/operators are understandably reluctant to participate in onboard testing projects.

To encourage ship owners/operators to participate in projects designed to test the effectiveness of prototype treatment systems under real world, operational conditions, the Coast Guard is implementing STEP.

Under NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-04 this experimental program, an accepted vessel would be considered equivalent to future ballast water discharge standards, for up to the life of the vessel or system, while the system operates properly.

The length of the period of equivalency is dependent upon the date on which the vessel applies to the experimental program.

See Enclosure (1) for further details.

Shipboard Technology Evaluation Program (STEP) Experimental Ballast Water Treatment Systems. — IMPLEMENTATION.

a.

Application.

Enclosures (1) through (3) provide guidance for vessel owners/operators when applying for acceptance into STEP.

Applications for STEP may be submitted beginning April 1, 2004 and should be mailed to: Commandant (G-MSO-4) STEP United States Coast Guard 2100 Second Street, S.W.

Washington, DC 20593-0001 b.

Acceptance Process.

Application packages will be reviewed as outlined in Enclosure (2).

It is anticipated that the initial review process will take approximately 45 days, assuming additional information is not required from the applicant.

The applicant must install the experimental equipment within one year of the acceptance date.

The applicant will be required to submit quarterly and annual status reports discussing information as outlined in the study plan.

STEP has been designed to receive applications from vessel owners/operators that have not yet installed experimental BWT systems, however, owners/operators of vessels with existing systems may apply to STEP.

Application packages received for vessels with an already installed ballast water treatment system will be reviewed on a case-by-case basis and must specifically outline that the system is existing and document past performance.

Applicant vessels with pre-existing systems may be required to revise study plans.

Vessels accepted into the STEP will be required to follow the approved operational guidelines and study plan, and maintain documents as detailed in Enclosure (4).

Specific ships will be accepted into STEP.

Treatment systems, per se, will not be accepted independent of a specific vessel.

Vessels accepted into the STEP will be subject to routine verification by Coast Guard personnel.

Coast Guard inspectors will be guided by Enclosure (5). c.

System Operation.

The vessel will be granted an equivalency with existing BWM regulations beginning with the installation of the experimental system on the vessel.

The experimental system will be operated under two phases during the equivalency period.

An experimental phase and a monitoring phase.

Throughout the equivalency period, the ballast water treatment system will be closely evaluated as outlined in the study plan and Enclosure (2).

During the monitoring phase, the vessel owners/operators will only be required to submit annual reports on the ballast water treatment system.

During both phases, the experimental system shall be the primary method of ballast water management.

During the experimental phase, the vessel owners/operators NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-04 shall comply with 33 CFR § 151 Subparts C and D if the treatment system is not in use.

With the exception of the equivalencies outlined by this NVIC, discharged ballast water must meet all other federal, state, local, and tribal environmental regulations (e.g., residual concentrations of any primary treatment chemicals, chemicals that occur as disinfection by-products, or other water quality parameters of the discharged BW affected by the treatment process). d.

Conditions for continued program participation.

Specific conditions for each vessel may be identified when the vessel is accepted into the STEP.

The minimum requirements for continued participation in the STEP include the following:

(1) The experimental BWT system must be installed on the vessel within one year of the date of acceptance into the STEP.

(2) T he vessel owners/operators must maintain evidence of classification society or Marine Safety Center concurrence with the installed system, which may include documents stamped “EXAMINED”, a class report or condition of class.

(3) T he vessel owners/operators must follow the accepted study plan. Amendments to accepted study plans must be submitted to G-MSO-4 with a justification discussion. Approval may be granted on a case-by- case basis.

(4) At the conclusion of the first year of the experimental phase, the prototype system must be shown to be operating consistently, and the operational parameters chosen to monitor engineering performance must be shown to closely and consistently reflect the biological efficacy of the treatment system. If, while adapting the system to operational vessels, the system cannot be made to operate reliably and consistently as intended in the application, STEP acceptance will be withdrawn.

(5) T he vessel owners/operators must submit annual and quarterly reports on schedule. Vessels with reports overdue in excess of 4 months may be withdrawn from STEP.

(6) The installed system must be operational. While system operation and maintenance challenges are expected, a vessel without an operational system for more than 6 consecutive months, without notification to, and agreement by, G-MSO-4, will be withdrawn from STEP.

(7) Any vessel with a system found to have an adverse impact on the environment or presenting a risk to the vessel or human health will be withdrawn from the program. e. Conditions at time of withdrawal. At the time of withdrawal, the vessel will be required to meet all existing regulations and standards. The vessel owners/operators may voluntarily withdraw the vessel from the program at any time and the vessel will be required to meet all existing regulations and standards at the time of withdrawal.

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