Ballast Water Management

Ballast water discharged from ships is one of the pathways for the introduction and spread of aquatic nuisance species (ANS). In response to national concerns, the National Invasive Species Act of 1996 (NISA) was reauthorized and amended the Nonindigenous Aquatic Nuisance Prevention and Control Act of 1990 (NANPCA). NISA required the Coast Guard to establish national voluntary ballast water management guidelines. If the guidelines were deemed inadequate, NISA directed the Coast Guard to convert them into a mandatory national program. To comply with NISA, the Coast Guard has established both regulations and guidelines to prevent the introduction of ANS.

Under the initial nationwide program which began in 1998, a self-policing program was established where ballast water management (BWM) was voluntary for 24-30 months. However, the rate of compliance was found to be inadequate, and vessel operators often failed to submit mandatory ballast water reports to the Coast Guard.

In 2004, the voluntary program became mandatory and current regulations are at 33 CFR 151 subparts C and D.

Ballast Water Discharge Standard:

The draft Ballast Water Discharge Standard (BWDS) rulemaking package is currently in review.   Once it is submitted to the Office of Management and Budget, OMB will post a summary on its website and conduct an interagency review.  The Coast Guard has revised its date for publication,  and the rule is expected to publish in Summer 2011, rather than the original date of December 2010.

OMB has a project summary available as part of its Unified Agenda and Regulatory Plan: http://www.reginfo.gov/public/do/eAgendaViewRule?pubId=201010&RIN=1625-AA32

Documents and public comments are located in the official rulemaking docket USCG-2001-10486.  The following documents are also available here:

1. Notice of Proposed Rulemaking, 74 FR 44632 (28 Aug 2009)

2. White Paper - Ballast Water Discharge Standard

3. Phase 1 and Phase 2 Standards Implementation Schedule

The Ballast Water Discharge Standard Notice of Proposed Rulemaking (NPRM) was published in the Federal Register on August 28, 2009 for public review and comment.  The comment period for this proposed rule was extended from November 27 to December 4, 2009. 

The U.S. Environmental Protection Agency's Environmental Technology Verification (ETV) Program published a final protocol for verification of ballast water treatment systems.  This protocol was developed under a collaboration between EPA and the U.S. Coast Guard.

Generic Protocol for the Verification of Ballast Water Treatment Technology (September 2010)  http://www.epa.gov/nrmrl/pubs/600r10146/600r10146.pdf

The Coast Guard and the National Ballast Information Clearinghouse (NBIC) offer an Equivalent Reporting Program for vessels operating exclusively in the U.S. Exclusive Economic Zone (EEZ).

This program offers an alternative for an Owner, Operator, Master, Agent, Person-in-Charge or Charterer of a vessel to submit required Ballast Water Management (BWM) Reports in a single batch report on a monthly basis, instead of on a port-to-port, pre-arrival schedule as required under 33 CFR 151.204(b).

To be accepted into this program, a BWM Equivalent Reporting Program Application must be filled out and emailed as an attachment to the Coast Guard’s Environmental Standards Division.

Each applicant vessel must operate exclusively within the EEZ or Canadian equivalent; must not have ever been listed on a Coast Guard Lookout List for failing to submit a BWM report or for submitting incomplete or inaccurate reports; have suitable capability for emailing the form as an attachment; and either make 10 or more BWM reports per calendar month or be part of a fleet of applicant vessels, owned by the same company, who make 50 or more BWM reports per calendar month.

To learn more about this program and download a BWM Equivalent Program Application and submission information, visit: http://invasions.si.edu/nbic/equivalentprogram.html

On July 28, 2004, the U.S. Coast Guard published regulations establishing a national mandatory ballast water management program for all vessels equipped with ballast water tanks that enter or operate within U.S. waters. These regulations also require vessels to maintain a ballast water management plan that is specific for that vessel and assigns responsibility to the master or appropriate official to understand and execute the ballast water management strategy for that vessel.

On October 29, 2004, the U.S. Coast Guard (USCG) issued Change-1 to the Navigation and Vessel Inspection Circular (NVIC) 07-04, titled “Ballast Water Management for the Control of Aquatic Nuisance Species in the Waters of the  United States.” The NVIC provides guidance for USCG personnel, vessel owners and operators, masters, shipping agents, and persons-in-charge concerning compliance with and enforcement of the USCG’s Ballast Water Management (BWM) Program.

On June 14, 2004, the Coast Guard published regulations establishing penalties for ships headed to the U.S. that fail to submit a ballast water management reporting form, as well as vessels bound for the Great Lakes or portions of the Hudson River that violate mandatory ballast water management requirements. These regulations also increase the number of vessels subject to these provisions by expanding the reporting and the recordkeeping requirements on ships, increasing the Coast Guard’s ability to determine the patterns of ballast water movement as required by NISA. The Coast Guard may now impose a civil penalty or Class C Felony charge for non-submittal. Vessels are strongly encouraged to electronically submit ballast water management reporting forms via email and/or web-based methods available at the National Ballast Information Clearinghouse web site: http://invasions.si.edu/nbic/submit.html

Environmental Standards Division (CG-5224)
U.S. Coast Guard Headquarters 
2100 Second Street SW
Washington, DC 20593

Tel: 202-372-1402

E-mail:  environmental_standards@uscg.mil

Listserv:  http://cgls.uscg.mil/mailman/listinfo/environmentalstds

Web:  www.uscg.mil/environmental_standards/