NVIC 01-09: Voluntary compliance with MARPOL Annex IV sewage rules

COMDTPUB P16700.4 NVIC 1-09, CHANGE 1 AUGUST 18, 2018 NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 1-09, CHANGE 1 Subj: VOLUNTARY COMPLIANCE WITH INTERNATIONAL SEWAGE REGULATIONS IN ANNEX IV TO MARPOL 73/78 Ref: (a) Regulations for Prevention of Pollution by Sewage from Ships, Annex IV to MARPOL 73/78, adopted by MEPC.115(51) on April 1, 2004. (b) Effluent Standards and Performance Tests for Sewage Treatment Plants, adopted by MEPC.159(55) on October 13, 2006. (c) Specifications for Environmental Testing for Type Approval of Pollution Prevention Equipment, Annex: Part 3, adopted by MEPC.107(49) on July 18, 2003. (d) Standards for the Rate of Discharge of Untreated Sewage from Ships, adopted by MEPC.157(55) on October 13, 2006. (e) Marine Sanitation Devices, 33 Code of Federal Regulations Part 159 (f) Amendments relating to the adoption of Special Area Provisions and the Designation of the Baltic Sea as a Special Area adopted by MEPC.200(62) adopted on July 15, 2011. (g) Specifications for the Testing of Effluent Standards and Performance Tests for Sewage Treatment Plants, adopted by MEPC.227(64) on October 5, 2012. (h) Notice of Policy; 80 FR 62552, October 16, 2015

Provides guidance to voluntarily request USCG certification of compliance with international sewage regulations in Annex IV to MARPOL 73/78. — PURPOSE. This circular revises Navigation and Vessel Inspection Circular (NVIC) 1-09 and

incorporates changes made by references (f) and (g) to provide additional guidance for vessel owners or operators as well as manufacturers of any shipboard sewage processing equipment, including facilities that test shipboard sewage and related processing equipment, to voluntarily request U.S. Coast Guard certification of compliance with international sewage regulations in Annex IV to MARPOL 73/78. It also provides for reciprocity under Annex IV for non-U.S. flagged ships operating in waters subject to the jurisdiction of the United States. DISTRIBUTION – SDL No. 152

Provides guidance to voluntarily request USCG certification of compliance with international sewage regulations in Annex IV to MARPOL 73/78. — ACTION. Area, District, and Sector Commanders, Commanders of Maintenance and Logistics

Commands, Commander Deployable Operations Group, Commanding Officers of Headquarters units, Assistant Commandants for directorates, Judge Advocate General, and special staff offices at Headquarters shall ensure that the provisions of this circular are followed. Internet release is authorized.

Provides guidance to voluntarily request USCG certification of compliance with international sewage regulations in Annex IV to MARPOL 73/78. — DIRECTIVES AFFECTED. Navigation and Vessel Inspection Circular No. 1-09 is superseded.

DIRECTIVES AFFECTED. Navigation and Vessel Inspection Circular No. 1-09 is superseded.

Provides guidance to voluntarily request USCG certification of compliance with international sewage regulations in Annex IV to MARPOL 73/78. — BACKGROUND.

a. The Marine Environment Protection Committee (MEPC) of the International Maritime Organization (IMO) revised MARPOL Annex IV several times over the last decade resulting in several changes to the international regulations governing discharge of sewage from ships on international voyages. More recently, provisions were enacted for the establishment of the Baltic Sea as a Special Area to address the discharge of nitrogen and phosphorous from passenger ships. Associated with this, testing effluent for nitrogen and phosphorous for both new and existing passenger ships operating in Special Areas was included. Additionally, standards for discharging treated sewage into the water were made more stringent and equipment testing procedures were standardized and enhanced to include accounting for dilution water. b. The above mentioned provisions affecting MARPOL Annex IV have been implemented through the following MEPC resolutions: (1) On July 15, 2011, resolution MEPC.200(62) in reference (f) adopted Special Area Provisions and the Designation of the Baltic Sea as a Special Area under MARPOL Annex IV. (2) On October 5, 2012, resolution MEPC.227(64) in reference (g) adopted the 2012 Guidelines on implementation of effluent standards and performance tests for sewage treatment plants, the text of which is set out in the annex to resolution MEPC.227(64). Applicability of this resolution is outlined in Section 6.a. c. MARPOL Annex IV (resolution MEPC.200(62)) requires accounting for dilution water during the processing of sewage. Additionally, a sewage treatment plant installed on a passenger ship intending to discharge sewage effluent in special areas must meet additional effluent requirements for the removal of nitrogen and phosphorus. This creates a potential for adverse port State control action (e.g., detention) to be taken against U.S. registered vessels engaged in international voyages. Specific compliance dates for these new requirements are detailed in section 6 of this circular.

Provides guidance to voluntarily request USCG certification of compliance with international sewage regulations in Annex IV to MARPOL 73/78. — DISCUSSION.

a. MARPOL Annex IV requires certain ships that engage in international voyages to have a valid International Sewage Pollution Prevention Certificate (ISPPC) issued by its flag Administration or by a recognized organization acting on behalf of the flag Administration. Under the provisions of Annex IV, an ISPPC cannot be issued to a ship unless its flag State is party to the annex. b. The United States is not party to MARPOL Annex IV. U.S. vessels that engage in international voyages with sewage systems in compliance with Annex IV may be eligible instead to receive a Statement of Voluntary Compliance (SOVC). This certificate takes the place of the ISPPC and is issued to a U.S. vessel by the U.S. Coast Guard or by an Authorized Classification Society

(ACS), as appropriate, to demonstrate voluntary compliance with MARPOL Annex IV. The owner or operator of a U.S. vessel subject to requirements of MARPOL Annex IV, while not compelled to obtain a SOVC, may obtain one. Vessels without a valid ISPPC or SOVC on or after January 1, 2010, risk being detained overseas by a port State while operating in waters subject to its jurisdiction. c. MARPOL Annex IV prohibits discharge of sewage into the sea except when the ship has in operation an approved sewage treatment plant, or is discharging comminuted and disinfected sewage using an approved system at a distance of more than three nautical miles from the nearest land, or is discharging sewage which is not comminuted or disinfected at a distance of more than 12 nautical miles from the nearest land. The term sewage is defined by reference (a) to include drainage and other wastes from toilets and urinals, drainage from medical premises including wash basins, wash tubs, and scuppers located in such premises, drainage from spaces containing live animals, and other waste waters when mixed with any of these drainages. d. Regulation 9 of MARPOL Annex IV recognizes three different classes of sewage systems.

(1) The first class of system is a sewage treatment plant. This is a system approved by the flag Administration to comply with the standards and test methods established by the IMO. Sewage treatment plants continuously discharge their treated effluent so long as it is not within a special regulated area. In the United States, existing U.S. Coast Guard Type I and Type II MSDs most closely align as sewage treatment plants as they may discharge their treated sewage effluent directly into the waterway unless on a body of water where such discharges are otherwise prohibited (e.g., no discharge zones). The more stringent effluent requirements established for new installations of sewage treatment plants on or after January 1, 2010, or keel laid dates on or after that date, will invalidate the U.S. Coast Guard's existing equivalency arguments for Type I and Type II MSDs. For ships with approved Type I or Type II MSDs not undergoing installation of a new sewage system, such ships may continue to use such devices as an Administration-approved sewage treatment plant; however passenger ships operating in MARPOL Annex IV Special Areas would not be able to continue to use such devices. This is because these systems are not type approved as to provide a level of equivalency that could be considered as complying with the recent requirements limiting discharge of phosphorous and nitrogen when operating within MARPOL Annex IV Special Areas. Passenger ships operating within MARPOL Annex IV Special Areas are required to limit their discharge of phosphorous and nitrogen as prescribed in resolution MEPC.227(64).

(2) The second class of system recognized by MARPOL Annex IV is a sewage comminuting and disinfecting system with holding tank approved by the flag Administration. This type of system must include a holding tank for the temporary storage of treated sewage when the ship is less than three nautical miles from land. Ships utilizing a comminuter system are prohibited from discharging treated sewage effluent within three nautical miles from land. Type II MSDs equipped with a storage tank align closely with this type of system. Beginning in 2010, U.S. Coast Guard certified Type II MSDs that are unable to meet the new effluent standards for a sewage treatment plant may still qualify as a sewage comminuting and disinfecting system provided it is equipped with a satisfactorily sized storage tank.

(3) The third type of system recognized by MARPOL Annex IV is a sewage holding tank and this most closely aligns with the U.S. Coast Guard holding tank requirements for Type III MSDs. e. In the United States, a "sewage treatment plant" is referred to as a "marine sanitation device"

(MSD) and while both systems may perform similar functions, the two terms are distinct in application. Use sewage treatment plant when referring to equipment under the international regulations contained in MARPOL Annex IV and use MSD when referring to equipment under the U.S. regulations contained in 33 CFR Part 159.

Provides guidance to voluntarily request USCG certification of compliance with international sewage regulations in Annex IV to MARPOL 73/78. — PROCEDURE. This circular establishes revised guidance for requesting U.S. Coast Guard

certification of voluntary compliance with MARPOL Annex IV. These guidelines are divided into four distinct sections covering general applicability, testing facilities, equipment manufacturers, and the issuance of vessel certificates. a. Applicability.

(1) MARPOL Annex IV is applicable to ships on international voyages that are:

(a) ≥400GT; or

(b) < 400GT certified to carry >15 persons, which includes both passengers and crew.

(2) The effluent standards and performance tests contained in resolution MEPC.227(64) with the exception of the requirements in section 4.2 are applicable to sewage treatment plants installed on or after January 1, 2016 on: 1. ships, other than passenger ships, in all areas; and 2. passenger ships outside MARPOL Annex IV special areas.

(3) The effluent standards and performance tests contained in resolution MEPC.227(64) including the requirements in section 4.2 are applicable to sewage treatment plants installed on or after January 1, 2016 on: 1. new passenger ships when operating in a MARPOL Annex IV special area and intending to discharge treated sewage effluent into the sea on or after January 1, 2016; and 2. existing passenger ships when operating in a MARPOL Annex IV special area and intending to discharge treated sewage into the sea on or after January 1, 2018.

(4) The effluent standards and performance tests contained in resolution MEPC.159(55) are applicable to sewage treatment plants installed prior to January 1, 2016 and on or after January 1, 2010, on ships other than passenger ships operating in MARPOL Annex IV special areas and intending to discharge treated sewage effluent into the sea.¹

(5) Sewage treatment plants installed prior to January 1, 2010, on ships other than passenger ships operating in MARPOL Annex IV special areas and intending to discharge treated sewage effluent into the sea may continue to use equipment certified to either the 1976 international effluent standards contained in resolution MEPC.2(VI) or an applicable national specification.

In the United States, this applicable national specification is 33 CFR Part 159. b.

Testing Facility.

Enclosure (1) contains guidance for testing facilities to be accepted by the U.S.

Coast Guard as a qualified facility and includes the performance testing protocols for each type of sewage system. c.

Equipment Manufacturer.

Enclosure (2) contains guidance for equipment manufacturers to request a Certificate of Approval from the U.S.

Coast Guard. d.

Vessel Certificates.

Enclosure (3) contains guidance for owners or operators of vessels that engage in international voyages to request a Statement of Voluntary Compliance (SOVC) with MARPOL Annex IV from the U.S.

Coast Guard. e.

Special Circumstances.

MARPOL Annex IV may be applicable to vessels other than inspected vessels, including small tugs, recreational boats, yachts, etc., that engage in international voyages.

Regulation 4 in MARPOL Annex IV requires a flag Administration to establish appropriate measures for vessels not specifically subject to international sewage regulations.

In this case, for U.S. vessels and other vessels subject to the jurisdiction of the United States, appropriate measures are provided for under 33 CFR Part 159 in reference (e).

U.S. vessels intending to engage in international voyages may apply for a SOVC using the procedures in enclosure (3). f.

Reconsideration.

If a vessel owner, laboratory official, or manufacturer's representative does not agree with a U.S.

Coast Guard decision directly related to any provision of this NVIC, a reconsideration of that decision may be submitted to the office responsible for implementing this guidance listed under Contact Information at the end of enclosures (1) through (3).

The procedures in 46 CFR 1.03 may be followed when submitting a request for reconsideration.

Provides guidance to voluntarily request USCG certification of compliance with international sewage regulations in Annex IV to MARPOL 73/78. — DISCLAIMER. This guidance is not a substitute for applicable legal requirements, nor is it itself a

rule. It is not intended to nor does it impose legally-binding requirements on any party. It represents the Coast Guard's current thinking on this topic and may assist industry, mariners, the general public, and the Coast Guard, as well as other federal and state regulations, in applying statutory and regulatory requirements. You can use an alternative approach for complying with these requirements if the approach satisfies the requirements of the applicable statutes and regulations. If you want to discuss an alternative approach (you are not required to do so), you may contact the office responsible for implementing this guidance listed under Contact Information at the end of enclosures (1) through (3).

Provides guidance to voluntarily request USCG certification of compliance with international sewage regulations in Annex IV to MARPOL 73/78. — CHANGES. This circular is available on the Web at http://www.uscg.mil/hq/cg5/nvic/. The Coast

Guard will issue and post time sensitive amendments as an urgent change message on its Website for the benefit of the industry. Interested parties may suggest improvements to this circular by writing to the office responsible for implementing this guidance listed under Contact Information at the end of enclosures (1) through (3).

Provides guidance to voluntarily request USCG certification of compliance with international sewage regulations in Annex IV to MARPOL 73/78. — ENVIRONMENTAL ASPECT AND IMPACT CONSIDERATIONS. This NVIC falls within

USCG Categorical Exclusion L5 (from the requirement, under 42 USC § 4332(C) to provide a detailed statement of the environmental impact of promulgating the NVIC) because the NVIC is intended to provide guidance to implement, without substantive changes, requirements of MARPOL Annex IV, so as to enable US-flagged ships to enter waters subject to the jurisdictional and control of State Parties to MARPOL Annex IV without risking adverse port State control action by such Party States for failure to demonstrate compliance with MARPOL Annex IV.

Provides guidance to voluntarily request USCG certification of compliance with international sewage regulations in Annex IV to MARPOL 73/78. — FORMS/REPORTS. The forms called for in this NVIC are accessible via the CG Portal.

JOHN P. NADEAU Rear Admiral, U. S. Coast Guard Assistant Commandant for Prevention Policy Enclosure: (1) Testing Facility Guidance (2) Equipment Manufacturer Guidance (3) Vessel Certificate Guidance