NVIC 01-23: Voluntary MARPOL electronic record books guidance

Commandant 2703 Martin Luther King Jr. Ave., S.E. United States Coast Guard Washington, DC 20593-7509 Staff Symbol: CG-ENG Phone: 1 (202) 372-1375 Email: CGENG@uscg.mil COMDTPUB P16700.4 NVIC 01-23 August 4, 2023 NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-23 Subj: GUIDANCE FOR THE VOLUNTARY USE OF MARPOL ELECTRONIC RECORD BOOKS ON U.S. FLAG VESSELS Ref: (a) International Maritime Organization (IMO) Marine Environmental Protection Committee Resolution MEPC.312(74) (b) International Maritime Organization (IMO) Marine Environmental Protection Committee Resolution MEPC.314(74) (c) International Maritime Organization (IMO) Marine Environmental Protection Committee Resolution MEPC.316(74) (d) International Maritime Organization (IMO) Marine Environmental Protection Committee Resolution MEPC.317(74) (e) 46 CFR Part 8 (f) International Convention for the Prevention of Pollution from Ships (MARPOL), 2022 (g) The Code for Recognized organizations (RO Code) PURPOSE. This Navigation and Vessel Inspection Circular (NVIC) provides guidance on the U.S. Coast Guard’s process and criteria for assessing, accepting, and verifying onboard electronic record books under the amendments to MARPOL Annexes I, II, V and VI and the Technical Code on Control of Emission of Nitrogen Oxides from Marine Diesel Engines (NOx Technical Code 2008). The United States adopted the MARPOL Convention amendments in references (b)-(d), which entered into force on October 01, 2020. This circular provides guidance for U.S.-flagged vessels that choose to comply with MARPOL record keeping requirements through the use of electronic record books. This circular also provides guidance for foreign-flagged vessels using electronic record books while operating in U.S. waters.

Guidance for the Voluntary Use of MARPOL Electronic Record Books on U.S. Flag Vessels — ACTION. Headquarters offices under the Assistant Commandant for Prevention Policy and Officers

in Charge, Marine Inspection are encouraged to bring this circular to the attention of the marine industry and other marine interests within their areas of responsibility. Internet release is authorized.

Guidance for the Voluntary Use of MARPOL Electronic Record Books on U.S. Flag Vessels — DIRECTIVES AFFECTED. None.

NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-23

Guidance for the Voluntary Use of MARPOL Electronic Record Books on U.S. Flag Vessels — BACKGROUND.

a. As ship owners and operators increasingly focus on ways to operate in an environmentally responsible manner and aim to ease the burden associated with paperwork through electronic means, keeping operational logs in an electronic format has become a popular consideration. The use of electronic record books has benefits for the retention of records by companies, crew, and officers. b. The use of an electronic record book is an alternative method to a hard-copy record book. The electronic record book allows ships to utilize shipboard technology to reduce administrative burdens and contribute to onboard environmental initiatives (e.g., reduction of paper use). Existing U.S. regulations do not specifically address the design and installation of electronic record books on commercial vessels.

Guidance for the Voluntary Use of MARPOL Electronic Record Books on U.S. Flag Vessels — 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 posture on this topic and may assist industry, mariners, the general public, and the Coast Guard, as well as other federal and state regulators, 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.

Guidance for the Voluntary Use of MARPOL Electronic Record Books on U.S. Flag Vessels — DISCUSSION.

a. In May of 2019, the IMO adopted amendments to MARPOL Annex I, II, V, VI, and the Technical Code on Control of Emission of Nitrogen Oxides from Marine Diesel Engines (NOx Technical Code 2008), to enable the use of electronic record books, references (b)-(d). These amendments entered into force on October 1, 2020. b. Simultaneously, the IMO recognized the need to develop guidance for the use of electronic record books and adopted such guidelines with IMO Resolution MEPC.312(74), reference (a), enclosure (1).

Guidance for the Voluntary Use of MARPOL Electronic Record Books on U.S. Flag Vessels — PROCEDURE. This circular provides guidance for U.S.-flagged vessels choosing to use electronic

record books to satisfy the recordkeeping and logbook requirements established in MARPOL. This circular sets forth the two-step process for assessing electronic record book systems for compliance with guidance issued by the IMO and the onboard verification and issuance of a “Declaration of MARPOL Electronic Record Book” certificate or letter. Coast Guard port state control officers will verify that foreign-flagged vessels using electronic record books while operating in U.S. waters do so in accordance with administration-approved documentation, as outlined below. a. Applicable record books: This circular applies to any U.S.-flagged vessel seeking to use electronic record books to meet the recordkeeping requirements in the following MARPOL regulations:

(1) Oil Record Book, parts I and II (MARPOL Annex I, regulations 17.1 and 36.1);

(2) Cargo Record book (MARPOL Annex II, regulation 15.1); NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-23

(3) Garbage Record Book, parts I and II (MARPOL Annex V, regulation 10.3);

(4) Ozone-depleting Substances Record Book (MARPOL Annex VI, regulation 12.6);

(5) Recording of the tier and on/off status of marine diesel engines (MARPOL Annex VI, regulation 13.5.3);

(6) Record of Fuel Oil Changeover (MARPOL Annex VI, regulation 14.6); and

(7) Record Book of Engine Parameters (NO Technical Code, paragraph 6.2.2.7). x b. Manufacturers seeking assessment of electronic record books: Manufacturers of electronic record books seeking to obtain acknowledgment of assessment for general compliance of their product with reference (a) should email their request and supporting documentation noted below to the Coast Guard Office of Design and Engineering Standards (CG-ENG) at: CGENG@uscg.mil.

(1) Manufacturers should obtain and provide documentation attesting to the product’s ability to comply with the various International Organization for Standardization (ISO) and International Electrotechnical Commission (IEC) standards referenced within MEPC.312(74) from an Authorized Classification Society (ACS). The ACS making this attestation must possess authorization to issue the MARPOL certificate that corresponds to the electronic record book.1 The documentation should attest to the product’s ability to comply with the following: i. Audit Logging requirements as outlined by ISO/IEC 27001:2006. ii. Credential requirements as outlined by ISO 7498-2. iii. Cryptography requirements as outlined by ISO 7498-2. iv. Data Requirements as outlined by ISO/IEC 2382-1. v. Digital Signature requirements as outlined by ISO 7498-2. vi. Functional Unit requirements as outlined by ISO/IEC 2382-1:1993. vii. Graphic Character requirements as outlined by ISO 1282-4. viii. Portable Document Format requirements as outlined by ISO 32000. ix. Private Key requirements as outlined by ISO/IEC 9594-8. x. Public Key requirements as outlined by ISO/IEC 9594-8. 1 See 46 CFR Part 8 and the individual ACS agreements at: https://www.dco.uscg.mil/Our-Organization/Assistant- Commandant-for-Prevention-Policy-CG-5P/Inspections-Compliance-CG-5PC-/Commercial-Vessel-Compliance/Flag-State- Control-Division/ClassSocAuth/ NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-23 xi. Role Based Access Control requirements as outlined by ISO/IEC 27033-2:2012. xii. Storage requirements as outlined by ISO/IEC 2382-1:1993.

(2) Following a review of the documentation requested in paragraph 1 of this section, CG-ENG may require in-person or virtual demonstration of the electronic record book by the manufacturer requesting the acknowledgment of assessment for general compliance.

(3) Electronic record books that receive an acknowledgment of assessment for general compliance with MEPC.312(74) will be listed on the Coast Guard’s website

(https://www.dco.uscg.mil/CG-ENG/). It is important to note that this acknowledgment by the Coast Guard does not constitute allowance for use on a particular U.S.-flagged vessel. This acceptance authorizes those electronic record books to be considered for use on a U.S.- flagged vessel, as outlined below. c. U.S.-flagged vessels seeking use of assessed electronic record books: In order to use a Coast Guard assessed electronic record book to meet MARPOL requirements, ship owners and operators must obtain a Declaration of MARPOL Electronic Record Book. Per 46 CFR § 8.130, the Coast Guard has delegated authority to multiple ACS to issue convention certificates on behalf of the United States. For the purpose of electronic record books, an ACS with MARPOL delegations may issue a “Declaration of MARPOL Electronic Record Book” if the ACS possesses the specific authorization for the delegation from which that electronic record book stems.2 For example, an ACS that may issue an International Oil Pollution Prevention Certificate on behalf of the United States may also issue the “Declaration of MARPOL Electronic Record Book” for Oil Record Book Parts I and II.

(1) Ship owners and operators seeking to use an accepted product listed on the Coast Guard’s website (https://www.dco.uscg.mil/CG-ENG/) should apply to the ACS that issued the applicable IMO certification. Per the Recognized Organization (RO) Code, Part 2.3, an ACS and its staff responsible for carrying out the statutory certification and services related to the “Declaration of MARPOL Electronic Record Book” shall not be the designer, manufacturer, supplier, installer, purchaser, owner, user, or maintainer of the item subject to the statutory certification and services, nor the authorized representative of any of these parties.

(2) An ACS may require the following information prior to issuing an approved “Declaration of MARPOL Electronic Record Book”: 2 A complete list of ACSs with individual authorizations is located on the Coast Guard’s website: https://www.dco.uscg.mil/Our-Organization/Assistant-Commandant-for-Prevention-Policy-CG-5P/Inspections-Compliance- CG-5PC-/Commercial-Vessel-Compliance /Flag-State-Control-Division/ClassSocAuth/. NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-23 i. the name of the ship; ii. the IMO number; iii. the official number; iv. the gross tonnage; and v. for each electronic record book sought to be implemented:

(a) the manufacturer;

(b) the supplier (if different);

(c) the installer (if different);

(d) the software name/version; and

(e) the date of installation for each electronic record book.

(3) Upon successful application and onboard verification by the ACS in accordance with reference (a) section 4, the vessel will be issued a “Declaration of MARPOL Electronic Record Book” from an ACS on behalf of the United States Government. This declaration will be required to be kept onboard the vessel for inspection.

(4) If a vessel is not serviced by an ACS, the owner or operator may apply to the local Officer in Charge, Marine Inspection (OCMI) for a “Declaration of MARPOL Electronic Record Book” to use an accepted product that is listed on the Coast Guard’s website

(https://www.dco.uscg.mil/CG-ENG/).

(a) Upon successful application and onboard verification by a Coast Guard marine inspector, in accordance with reference (a) section 4, the OCMI will issue a “Declaration of MARPOL Electronic Record Book” letter.

(b) This declaration will be required to be kept onboard the vessel for inspection.

(5) For inspection and surveying purposes, approved systems shall operate in accordance with reference (a).

(6) Ship owners and ship operators shall ensure the continued compliance with all MARPOL requirements. d. Safety Management System (SMS): Vessels with a SMS and an electronic record book should have procedures for the use and maintenance of the electronic record books integrated into their SMS. The OCMI may survey or inspect the vessel to ensure the procedures for electronic record books are properly integrated within the vessel’s SMS prior to issuing a “Declaration of MARPOL Electronic Record Book” certificate or letter. NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-23 e. Foreign-flagged vessels: While operating in U.S. waters, owners and operators of foreign- flagged vessels that elect to comply with MARPOL record keeping requirements through the use of electronic record books will be expected to demonstrate compliance with reference (a) through written documentation from their flag administration or from their Recognized Organization acting on behalf of the administration. Such written documentation should be carried on board the ship for the purpose of regulatory surveys or inspections.

Guidance for the Voluntary Use of MARPOL Electronic Record Books on U.S. Flag Vessels — ENVIRONMENTAL ASPECT AND IMPACT CONSIDERATIONS.

a. The development of this NVIC and the general policies contained within it have been thoroughly reviewed by the originating office in conjunction with the Office of Environmental Management, Commandant (CG-47). This NVIC is categorically excluded under current Department of Homeland Security (DHS) categorical exclusion (CATEX) A3 from further environmental analysis in accordance with “Implementation of the National Environmental Policy Act (NEPA),” DHS Instruction Manual 023-01-001-01 (series). b. This NVIC will not have 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. All future specific actions resulting from the general policy in this NVIC must be individually evaluated for compliance with the National Environmental Policy Act (NEPA), Department of Homeland Security (DHS) and Coast Guard NEPA policy, and compliance with all other applicable environmental mandates.

Guidance for the Voluntary Use of MARPOL Electronic Record Books on U.S. Flag Vessels — RECORDS MANAGEMENT CONSIDERATIONS. This NVIC has been thoroughly reviewed

during the directives clearance process, and it has been determined there are no further records scheduling requirements, in accordance with the Federal Records Act (44 U.S.C. § 3101 et seq.), National Archives and Records Administration requirements, and the Information and Life Cycle Management Manual, COMDTINST M5212.12 (series). This policy does not create significant or substantial change to existing records management requirements.

Guidance for the Voluntary Use of MARPOL Electronic Record Books on U.S. Flag Vessels — CHANGES. This circular is available online at http://www.dco.uscg.mil/our-organization/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.

Guidance for the Voluntary Use of MARPOL Electronic Record Books on U.S. Flag Vessels — CONTACT INFORMATION. For more information on this section including equipment

certification or design review, or questions regarding implementation of this NVIC, please contact CG-ENG staff electronically at CGENG@uscg.mil. Alternatively, you may contact CG-ENG staff via physical mail at: NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 01-23 COMMANDANT (CG-ENG) US COAST GUARD HEADQUARTERS STOP 7430 2703 MARTIN LUTHER KING JR. AVE. S.E. WASHINGTON, D.C. 20593-7430

Guidance for the Voluntary Use of MARPOL Electronic Record Books on U.S. Flag Vessels — FORMS/REPORTS. None.

W. R. Arguin Rear Admiral, U. S. Coast Guard Assistant Commandant for Prevention Policy Enclosure: (1) MEPC.312(74) - “Guidelines for the use of electronic record books under MARPOL”