NVIC 01-18: Ballast water management guidance for U.S. waters

Commandant US Coast Guard Stop 7501 United States Coast Guard 2703 Martin Luther King Jr Ave SE Washington, DC 20593-7501 Staff Symbol: CG-CVC Phone: 202-372-1210 Fax: 202-372-8376 Email: CGCVC@uscg.mil COMDTPUB P16700.4 NVIC 01-18 1 March 2018 NAVIGATION AND VESSEL INSPECTION CIRCULAR 01-18 Subj: BALLAST WATER MANAGEMENT FOR CONTROL OF NON-INDIGENOUS SPECIES IN WATERS OF THE UNITED STATES Ref: (a) 33 Code of Federal Regulations (CFR) 151 Subpart C – Ballast Water Management for Control of Non-indigenous Species in the Great Lakes and Hudson River (b) 33 CFR 151 Subpart D - Ballast Water Management for Control of Non-indigenous Species in Waters of the United States (c) 46 CFR Subpart 162.060 – Ballast Water Management Systems

Ballast Water Management for Control of Non-Indigenous Species in Waters of The United States — PURPOSE. This circular replaces Navigation and Vessel Inspection Circulars (NVIC)

07-04, titled, “Ballast Water Management for the Control of Aquatic Nuisance Species in the Waters of the United States,” of June 17, 2004, as well as 07-04 Change-1 of October 29, 2004. The Coast Guard Headquarters Office of Operating and Environmental Standards (CG- OES) and Commercial Vessel Compliance (CG-CVC) developed this circular to provide the latest guidance to maritime industry and Coast Guard personnel based on the 2012 ballast water regulatory amendments as set forth in references (a) through (c). In 2016, new compliance dates took effect for regulations that set the implementation schedule for ballast water management discharge standards for both existing and new vessels that use Coast Guard approved Ballast Water Management Systems (BWMS). Additionally, the regulations incorporated various compliance options for vessel owners or operators (to include masters, agents, and persons in charge), such as a vessel to use an Alternate Management System (AMS) until they reach their compliance date for installing a Coast Guard approved BWMS or employ one of the BWM practices or methods set forth in reference (a) and (b) regarding BWM requirements. DISTRIBUTION – SDL No. 168 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 X X X X C X X D E X X F G H NON-STANDARD DISTRIBUTION: NAVIGATION AND VESSEL INSPECTION CIRCULAR 01-18

Ballast Water Management for Control of Non-Indigenous Species in Waters of The United States — This circular is to inform the maritime industry and Coast Guard personnel and provide

guidance to ensure a more complete understanding of, and maximum compliance with, ballast water management requirements.

Ballast Water Management for Control of Non-Indigenous Species in Waters of The United States — ACTION.

a. Vessel masters, owners, operators, agents, or persons-in-charge. U.S. and foreign flag commercial vessels that are equipped with ballast water tanks and operate in waters of the United States shall comply with the BWM regulatory requirements in references (a) through (c), as applicable. b. Vessel shipping agents. The Coast Guard encourages shipping agents to assist with the communication and coordination process that takes place before a vessel arrives into a U.S. port. Reminding vessel masters of BWM reporting, operational, and recordkeeping requirements helps ensure efficient compliance verifications during Coast Guard vessel examinations. NOTE: Direct all questions relating to BWM operations to the cognizant Captain of the Port (COTP) or Officer in Charge, Marine Inspection (OCMI); refer to the “Port Directory” on the Coast Guard Homeport website listed in enclosure (3) for a complete list of units, along with 24/7 contact information. c. U.S. Coast Guard. COTPs, OCMIs, marine inspectors and Port State Control Officers (PSCOs) that conduct BWM verifications shall be familiar with the guidance contained in this circular and are strongly encouraged to share and discuss this information with local maritime industry stakeholders. BWM compliance verifications shall be conducted as part of the regularly scheduled and expanded Port State and Flag State examinations.

Ballast Water Management for Control of Non-Indigenous Species in Waters of The United States — DIRECTIVES AFFECTED. NVICs 07-04 and 07-04 (Change 1) are hereby cancelled.

DIRECTIVES AFFECTED. NVICs 07-04 and 07-04 (Change 1) are hereby cancelled.

Ballast Water Management for Control of Non-Indigenous Species in Waters of The United States — DISCUSSION.

a. The International Convention for the Control and Management of Ships’ Ballast Water and Sediments (BWM Convention) was adopted in February of 2004 and entered into force in September of 2017. Although the United States has not ratified the BWM Convention, we acknowledge this important milestone for controlling the spread of invasive species by ballast water as one of the greater challenges for reducing the environmental footprint of global shipping. b. In March of 2012, the Coast Guard published the final rule titled, “Standard for Living Organisms in Ships’ Ballast Water Discharged in U.S. Waters.” The rule became effective in June of 2012, whereby the Coast Guard amended its BWM regulations by establishing a standard for the allowable concentration of living organisms in ships’ ballast water discharged into waters of the United States. Furthermore, the rule amended Coast Guard regulations for engineering equipment by establishing an approval process for BWMS. The Coast Guard’s discharge standards NAVIGATION AND VESSEL INSPECTION CIRCULAR 01-18 are similar to those of the BWM Convention. However, differences exist between the testing and verification protocols for BWM systems. c. The Coast Guard is charged with protecting U.S. waters from invasive species, and highly values maritime industry’s commitment to that end. Vessel masters, owners, operators, and persons-in-charge are integral to training crews to properly maintain and effectively operate BWM equipment and achieve compliance. Enclosure (1) of this circular incorporates a list of topics that discuss pertinent U.S. regulations in references (a) through (c), while providing guidance on BWM reporting, recordkeeping, compliance and enforcement. Enclosures (2) and (3) provide a list of acronyms, useful website links and email addresses that are referenced in this circular.

Ballast Water Management for Control of Non-Indigenous Species in Waters of The United States — DISCLAIMER. The guidance in this NVIC is not a substitute for applicable legal

requirements, nor does it constitute a rule. It does not impose, and is not intended to 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, the Coast Guard, and Federal and State regulators in applying statutory and regulatory requirements. You may use an alternative approach than outlined in this NVIC which also satisfies the requirements of the applicable statutes and regulations. The Office of Operating and Environmental Standards (CG-OES) or Commercial Vessel Compliance (CG-CVC) is available to discuss alternative approaches.

Ballast Water Management for Control of Non-Indigenous Species in Waters of The United States — ENVIRONMENTAL ASPECTS AND IMPACT CONSIDERATIONS.

a. This NVIC and the general policies it contains have been thoroughly reviewed by the originating office, and are categorically excluded from further environmental analysis under Coast Guard Categorical Exclusion (CE) #33, in accordance with Section 2.B.2 and Figure 2-1 of the National Environmental Policy Act Implementing Procedures and Policy for Considering Environmental Impacts, COMDTINST M16475.1D. This NVIC is a guidance document intended to enhance implementation and compliance with applicable Coast Guard regulations; it does not amend or change any provision, authorization or requirement found in statute or regulation. Use of CE #33 is appropriate.1 b. This NVIC will not result in any of the following: significant cumulative impacts on the human environment, substantial controversy or substantial change to existing environmental conditions, or inconsistencies with any Federal, State, or local laws or administrative determinations relating to the environment.

Ballast Water Management for Control of Non-Indigenous Species in Waters of The United States — DISTRIBUTION. No paper distribution will be made of this NVIC. An electronic

version will be located on the Coast Guard NVIC website. Enclosure (3) of this NVIC is an index of Coast Guard websites that contain BWM information, resources, and contact information.

Ballast Water Management for Control of Non-Indigenous Species in Waters of The United States — RECORDS MANAGEMENT CONSIDERATIONS. This NVIC has been thoroughly

reviewed during the clearance process, in which it was determined there are no further 1 CE #33 provides: “Preparation of guidance documents that implement, without substantive change, the applicable Commandant Instruction or other Federal agency regulations, procedures, manuals, and other guidance documents.” NAVIGATION AND VESSEL INSPECTION CIRCULAR 01-18 records scheduling requirements. This NVIC is in accordance with Federal Records Act, 44 U.S.C. 3101 et seq., NARA requirements, and Information and Life Cycle Management Manual, COMDTINST M5212.12 (series). This NVIC does not create a significant or substantial change to existing records management requirements.

Ballast Water Management for Control of Non-Indigenous Species in Waters of The United States — FORMS/REPORTS. Ballast water reporting forms, including instructions and methods

for submission, are available at the National Ballast Information Clearinghouse (NBIC) website.

Ballast Water Management for Control of Non-Indigenous Species in Waters of The United States — REQUEST FOR CHANGES. Coast Guard personnel may recommend updates to this

NVIC by emailing Commandant (CG-CVC) and (CG-OES) via their chain of command. J. P. NADEAU Rear Admiral, U.S. Coast Guard Assistant Commandant for Prevention Policy Encl: (1) Reporting, Recordkeeping, Compliance, and Enforcement Guidance (2) List of Acronyms (3) List of Coast Guard Websites and Emails