INTERTANKO Guidance and Model Extension Request (MER) for US Coast Guard Ballast Water Management Introduction 33 CFR 151.2036 of the US Coast Guard s (USCG) Ballast Water Management (BWM) regulations allows owners and operators to apply for an extension to the implementation schedule for vessels using a Coast Guard approved BWM system. To assist INTERTANKO members who wish to apply for this extension, INTERTANKO has developed a Model Extension Request (MER) letter. Annex I contains the MER which may be used when INTERTANKO members require the use of this extension clause and in requesting such an extension from the USCG. The MER has been drafted in accordance with the USCG s Policy Letter No.13 01 dated 25 th September 2013 which is enclosed as Annex II. As such, those intending to submit an extension request must be familiar with the USCG Policy Letter and its guidance. Please refer to the enclosed Decision Tree, Annex III for guidance on the applicability of the USCG requirements to the vessels in your fleet. There is no guarantee that the USCG will grant an extension following the guidance provided in this MER, but it should assist INTERTANKO members in preparing such requests. As much additional documentation and evidence should be provided by the owner as necessary to assist the USCG in its decision making process. Note on EPA 2013 VGP on Ballast Water Technology requirements As noted in both the USCG Policy Letter and in the guidance provided below in paragraph 9, the US Environmental Protection Agency (EPA) in its 2013 Vessel General Permit (VGP) also has ballast water treatment technology requirements. The EPA s 2013 VGP does not require a USCG approved BWMS on board new or existing ships. Instead they only require a BWMS which has been shown to be effective by testing conducted by an independent third party laboratory, test facility or test organization. As the BWMS under the VGP does not have to be approved, the EPA did not include an extension provision in the 2013 VGP. Thus, for the time being, for new ships (keel laid after December 1, 2013) if they want to discharge ballast water in US waters, they will need to install a BWMS to comply with the VGP. The assumption is that these ships would have installed an AMS to meet this requirement, but that would only be good for five years and after that they would have to install a USCG approved BWMS which would meet both USCG and 2013 VGP requirements. INTERTANKO will continue its dialogue with the EPA on this matter and advise members if there is any change in their policy. 1
Completing the Extension Request letter Annex I provides the Model Extension Request letter and annex. The text in the MER can be used by INTERTANKO members to file an extension request. In the MER however, there are options for the company and notes of guidance. These are distinguished as follows: Text in standard Times New Roman is proposed for use in the MER Letter. Text in [italics and yellow] require the user to consider the options provided and complete as necessary. Text in grey highlight is text lifted from the Policy Letter and is provided as reference and a place marker. Text in blue are notes or recommendations provided by INTERTANKO. Due consideration should be given to the following points when completing an filing the extension request: 1. An Extension Request must be filed 12 months before the applicable implementation dates for the vessel. The Policy Letter states that, Parties filing an extension request for a vessel should recognise that the actual date of delivery for the new vessels and the actual date of the first scheduled dry docking for existing vessels are the implementation dates for the purposes of requesting an extension.... The Policy Letter adds, The actual date of delivery for new or dry docking date for existing vessels is critical, as extension requests must be submitted at least twelve months prior to this date. 2. If the MER is going to be mailed to the USCG, the package/letter must be clearly marked Extension Request and sent to the address provided in the MER. 3. If a copy of the MER Letter is submitted electronically then the header to the email must include the term Extension Request, e.g. Extension Request for Vessels Subject to BWM Discharge Standards Company Name. 4. Section 5 on procedures for making requests has specific areas in which the USCG require documented evidence. Until the USCG has approved a number of suitable BWMS for tankers then the key reasoning for requesting an extension for new builds will be in relation to section 5(D.4). In this respect, 5(D.2) and 5(D.3) are not necessarily relevant in the immediate future. 5(D.1) however may be considered and a model response has been provided in the MER. 5. Once a USCG Approved BWMS has been made available then It is likely that the USCG will require more extensive documentation to support the case for not installing the BWMS on a particular vessel. This is particularly relevant to section 5(D.4) and in the event that a USCG Approved BWMS becomes available the owner/operator is advised to assess its applicability to the vessel in question, for example, by reviewing the flow rates at which the BWMS has been 2
approved and tested as well as its applicability to tankers in regards to explosion proof certification. 6. As per the requested documentation in section 5(D.5), the MER Letter should be accompanied by the vessel s Ballast Water Management Plan (BWMP), for existing vessels, or a proposed BWMP, for new buildings. This will provide documentation of how the vessel will manage ballast water during the extension period. 7. MER Letters will be answered with a letter from the USCG granting the extension, as necessary. A copy of the USCG s decision must be kept on board the applicable vessel. The USCG decision letter should be made available upon request to USCG vessel inspectors and port state control officers etc. 8. The USCG have reminded owners and operators that the Environmental Protection Agency s (EPA) 2013 Vessel General Permit (VGP) also contains ballast water treatment technology requirements. The USCG note that the EPA advise, where the US Coast Guard has granted or denied an extension request pursuant to 33 CFR 151.2036, that information will be considered by EPA, but is not binding on EPA. The USCG encourage owners and operators to contact the EPA at the earliest opportunity. As such, INTERTANKO recommends that the Extension Request Letter, the accompanying documentation as well as the response from the USCG are referenced within the 2013 VGP compliance documentation on board and within the vessel s Ballast Water Management Plan (BWMP). 3
Annex I Model Extension Request Letter (MER) [Insert company letterhead] COMMANDANT (CG-OES) U. S. Coast Guard STOP 7509 2703 Martin Luther King Jr Avenue. SE Washington, D.C. 20593-7509 United States [Date] Extension of Implementation Schedule for Vessels Subject to Ballast Water Management Discharge Standards As [master/owner/operator/agent/person in charge] of the vessels listed in the annex, the undersigned submits this letter to request an extension for the implementation schedule for the Ballast Water Management Discharge Standards as per 33 CFR 151.2036. In accordance with the guidance provided in Policy Letter CG-OES No. 13-01 (Sep 25 2013) this extension request provides documentation demonstrating that despite all efforts to meet the ballast water discharge standard requirements in 33 CFR 151.2030, compliance by the date stipulated in the implementation schedule is not possible for the vessels listed in the annex. The annex to this letter provides the relevant and necessary details as per section 5(C) and (D) of the Policy Letter. [Insert name of company] has monitored closely the development and approval of ballast water treatment systems (BWTS) both at an international (through the International Maritime Organization IMO) and at a US level. In terms of the latter, we note the US Coast Guard s ongoing approval of BWTS through its Alternate Management Systems (AMS) scheme. Using external resources such as our member association INTERTANKO, we have also been able to review and monitor the type of BWTS entering the market and considered as either US Coast Guard AMS or Type Approved according to IMO G8 Standards. However, we remain concerned that the BWTSs being approved through the use of the IMO G8 standard and which are generally those that are approved as AMS will not allow the vessel to consistently and reliably discharge ballast water treated in compliance with the USCG discharge standard. 4
Annex I Notwithstanding these concerns, [Insert name of company] remains committed to the protection of the marine environment and will continue in its endeavours to find a safe, reliable and compliant BWTS suitable for the vessel(s) in our fleet. The undersigned is available for any further information or clarification in relating to this application, the documentation provided and the vessels listed. Yours sincerely, [Insert company representative s: Name, Phone number, e-mail address] Enclosures: Annex I Additional Documentation to support the Extension Request Vessel s Ballast Water Management Plan (BWMP) Insert any additional documentation, e.g. from the ship yard and classification society, as necessary. 5
Annex I Additional Documentation to support the Extension Request Part 1 : Vessel specific information (reference section 5(C) of Policy Letter OES-CG 01-13) Vessel Name IMO Number Total ballast water Compliance Date capacity (m 3 ) See footnote 1 See footnote 2 See footnote 3 Part 2: Information on the availability and ability of the vessels listed to comply with the implementation schedule (Reference section 5(D) of Policy Letter OES-CG 01-13) D.1 Documentation from shipyards indicating lack of capability or capacity to install a BWMS on the vessel to comply with the implementation. As of [insert date of letter] there are no USCG Approved BWMS available for installation by the ship yard 4. If, for a new building, the yard is able to provide written confirmation that it does not have available a USCG Approved BWMS for installation then include this as documentary evidence. D.4 Documentation attesting that Coast Guard type approved ballast water management systems suitable for specific vessels of a particular design are not yet available. As of [insert date of letter] there are no USCG Approved BWMS available for installation by the ship yard 5. D.5 A plan that indicates how the vessel will manage ballast water discharges that take place in US waters. 1 Note that this will not always be known for a new building and as such the Hull Number should be used. 2 As per the above, insert Hull Number if IMO Number is not yet known for a new building. 3 For a new building insert [Delivery month/day/year] and for an existing vessel insert [Last drydocking month/day/year and Next drydocking month/day/year after January 1 2014 or January 1 2016] as applicable. 4 It is advisable to keep updated of developments in respect to USCG Approved BWMS through the USCG website. 5 It is advisable to keep updated of developments in respect to USCG Approved BWMS through the USCG website. 6
Annex I Please find enclosed a copy of the Ballast Water Management Plan (BWMP) for [insert vessel names(s)/ IMO number(s)/hull number(s)]. [insert vessel name(s)/ IMO number(s)/hull number(s)] will undertake BWE before discharging ballast water during the extension period as specified in the ship s specific BWMP. Part 3 : Ballast Water Management during the extension period [Insert vessel name(s)/ IMO number(s)/hull number(s)]will install a US Coast Guard approved BWMS at the next scheduled drydocking after the approval of a US Coast Guard BWMS adequate to meet the needs of this vessel becomes available. As per the enclosed BWMP, ballast water exchange (BWE) will be performed on the vessel(s) during the extension period. BWE will be undertaken in accordance with definition in 151.2005 and completed as per 151.2025(3) 200 nautical miles from any shore prior to discharging ballast water into the waters of the United States, or otherwise if so required by the US state. 7
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