exclusive economic zone or Canadian equivalent.
151.2070 Recordkeeping requirements.
151.2075 Enforcement and compliance.
151.2080 Penalties.

Appendix to Subpart D of Part 151--Ballast Water Reporting Form and
Instructions for Ballast Water Reporting Form

    Authority: 16 U.S.C. 4711; Department of Homeland Security
Delegation No. 0170.1.

Subpart D--Ballast Water Management for Control of Nonindigenous
Species in Waters of the United States

Sec.  151.2000  Purpose and scope.

    This subpart implements the provisions of the Nonindigenous Aquatic
Nuisance Prevention and Control Act of 1990 (NANPCA) (16 U.S.C. 4701-
4751), as amended by the National Invasive Species Act of 1996 (NISA).

Sec.  151.2005  Definitions.

    (a) Unless otherwise stated in this section, the definitions in 33
CFR 151.1504, 33 CFR 160.203, and the United Nations Convention on the
Law of the Sea apply to this part.
    (b) As used in this part--
    ANSTF means the Aquatic Nuisance Species Task Force mandated under
the Nonindigenous Aquatic Nuisance Prevention and Control Act of 1990
(NANPCA).
    Ballast tank means any tank or hold on a vessel used for carrying
ballast water, whether or not the tank or hold was designed for that
purpose.
    Ballast Water Management System (BWMS) means any system which
processes ballast water to kill or remove organisms. The BWMS includes
all ballast water treatment equipment and all associated control and
monitoring equipment.
    Build date means the date when construction identifiable with the
specific vessels begins; or assembly of the vessel has commenced
comprising at least 50 tons or 1 percent of the estimated mass of all
structural material, whichever is less; or the ship undergoes a major
conversion.
    Captain of the Port (COTP) means the Coast Guard officer designated
by the Commandant to command a Captain of the Port Zone as described in
part 3 of this chapter.
    Exchange means to replace the water in a ballast tank using one of
the following methods:
    (1) Flow through exchange means to flush out ballast water by
pumping in mid-ocean water at the bottom of the tank and continuously
overflowing the tank from the top until three full volumes of water has
been changed--to minimize the number of original organisms remaining in
the tank.
    (2) Empty/refill exchange means to pump out the ballast water taken
on in ports, estuarine, or territorial waters until the tank is empty,
then refilling it with mid-ocean water. Masters or operators should
pump out as close to 100 percent of the ballast water as is safe to do
so.
    Exclusive economic zone (EEZ) means the area established by
Presidential Proclamation Number 5030, dated March 10, 1983 (48 FR
10605, 3 CFR, 1983 Comp., p. 22), which extends from the base line of
the territorial sea of the United States seaward 200 nautical miles,
and the equivalent zone of Canada.
    IMO guidelines mean the Guidelines for the Control and Management
of Ships' Ballast Water to Minimize the Transfer of Harmful Aquatic
Organisms and Pathogens (IMO Resolution A.868 (20), adopted November
1997).
    NANPCA means the Nonindigenous Aquatic Nuisance Prevention and
Control Act of 1990.
    NBIC means the National Ballast Information Clearinghouse operated
by the Coast Guard and the Smithsonian Environmental Research Center as
mandated under NISA.
    NISA means the National Invasive Species Act of 1996, which
reauthorized and amended NANPCA.
    NIS reduction practices means non-ballast water management
practices that vessels employ to reduce NIS introductions into U.S.
waters.
    Port or place of departure means any port or place in which a
vessel is anchored or moored.
    Port or place of destination means any port or place to which a
vessel is bound to anchor or moor.
    Shipboard Technology Evaluation Program (STEP) means a Coast Guard
research program intended to facilitate

research, development, and shipboard testing of effective BWMS. STEP
requirements are located at: http://www.uscg.mil/environmental_
standards/.
    United States means the States, the District of Columbia, Guam,
American Samoa, the Virgin Islands, the Commonwealth of Puerto Rico,
and the Trust Territory of the Pacific Islands.
    Voyage means any transit by a vessel destined for any United States
port or place.
    Waters of the United States means waters subject to the
jurisdiction of the United States as defined in 33 CFR 2.38, including
the navigable waters of the United States. For 33 Code of Federal
Regulations part 151, subparts C and D, the navigable waters include
the territorial sea as extended to 12 nautical miles from the baseline,
pursuant to Presidential Proclamation No. 5928 of December 27, 1988.

Sec.  151.2010  Applicability.

    This subpart applies to all vessels, U.S. and foreign, equipped
with ballast tanks, that operate in the waters of the United States
except as expressly provided in 151.2020.

Sec.  151.2013  Severability.

    If a court finds any portion of this subpart to have been
promulgated without proper authority, the remainder of this subpart
will remain in full effect.

Sec.  151.2015  Exemptions.

    (a) The following vessels are exempt from the requirements of this
subpart:
    (1) Department of Defense or Coast Guard vessels subject to the
requirements of section 1103 of the Nonindigenous Aquatic Nuisance
Prevention and Control Act as amended by the National Invasive Species
Act, or any vessel of the Armed Forces, as defined in the Federal Water
Pollution Control Act (33 U.S.C. 1322(a)) that is subject to the
``Uniform National Discharge Standards for Vessels of the Armed
Forces'' (33 U.S.C. 1322(n)); and
    (2) Any warship, naval auxiliary, or other vessel owned or operated
by a foreign state, and used, for the time being, only on government
non-commercial service. However, each such foreign state shall ensure
that such vessels act in a manner consistent, so far as is reasonable
and practicable, with this subpart.
    (b) Crude oil tankers engaged in coastwise trade are exempt from
the requirements of Sec. Sec.  151.2025, 151.2060, and 151.2070 of this
subpart.
    (c) A vessel that operates exclusively within one Captain of the
Port (COTP) Zone is exempt from the requirements in Sec. Sec.  151.2060
and 151.2070 of this subpart.

Sec.  151.2020  Vessels in innocent passage.

    A foreign vessel merely traversing the territorial sea of the U.S.
(i.e., not bound for, entering or departing a U.S. port, or not
navigating the internal waters of the U.S.) does not fall within the
applicability of this subpart.

Sec.  151.2025  Ballast water management requirements.

    (a) The master, owner, operator, agent, or person-in-charge of a
vessel must:
    (1) Use a ballast water management system (BWMS) that has been
approved by the Coast Guard under 46 CFR part 162;
    (2) Retain ballast water onboard the vessel; or
    (3) Perform complete ballast water exchange in an area 200 nautical
miles from any shore prior to discharging ballast water in U.S. waters,
unless the vessel is required to implement an approved BWMS per the
schedule found in Sec.  151.2035 of this subpart.
    (b) Requests for approval of BWMS must be submitted to the
Commanding Officer, U.S. Coast Guard Marine Safety Center, Jemal
Building, JR 10-0525, 2100 Second Street, SW., Washington, DC 20593, in
accordance with 46 CFR part 162.
    (c) A vessel engaged in the foreign export of Alaskan North Slope
Crude Oil must comply with Sec. Sec.  151.2060 and 151.2070 of this
subpart, as well as with the provisions of 15 CFR 754.2(j)(1)(iii).
Section 15 CFR 754.2(j)(1)(iii) requires a mandatory program of deep
water ballast exchange unless doing so would endanger the safety of the
vessel or crew.
    (d) This subpart does not authorize the discharge of oil or noxious
liquid substances (NLS) in a manner prohibited by United States or
international laws or regulations. Ballast water carried in any tank
containing a residue of oil, NLS, or any other pollutant must be
discharged in accordance with applicable regulations.
    (e) This subpart does not affect or supersede any requirement or
prohibition pertaining to the discharge of ballast water into the
waters of the United States under the Federal Water Pollution Control
Act (33 U.S.C. 1251 to 1376).
    (f) This subpart does not affect or supersede any requirement or
prohibition pertaining to the discharge of ballast water into the
waters of the United States under the National Marine Sanctuaries Act
(16 U.S.C. 1431 et seq.).
    (g) Vessels with installed BWMS for testing and evaluation by an
accepted Independent Laboratory in accordance with the requirements of
46 CFR 162.060-10 will be deemed to be in compliance with paragraph
(a)(1) of this section.

Sec.  151.2030  Ballast water discharge standard (BWDS).

    (a) Unless otherwise expressly provided for in this subpart, the
master, owner, operator, agent, or person-in-charge of a vessel must
ensure that vessels employing a Coast Guard approved Ballast Water
Management System (BWMS) must, at all times of discharge into waters of
the United States, meet the following phase-one BWDS by the date listed
in Table 151.2035(b) in section 151.2035 of this subpart:
    (1) For organisms larger than 50 microns in minimum dimension:
Discharge less than 10 per cubic meter of ballast water.
    (2) For organisms equal to or smaller than 50 microns and larger
than 10 microns: Discharge less than 10 per milliliter (ml) of ballast
water.
    (3) Indicator microorganisms must not exceed:
    (i) For Toxicogenic Vibrio cholerae (serotypes O1 and O139): A
concentration of <1 colony forming unit (cfu) per 100 ml;
    (ii) For Escherichia coli: A concentration of <250 cfu per 100 ml;
and
    (iii) For intestinal enterococci: A concentration of <100 cfu per
100 ml.
    (b) Unless otherwise expressly provided for in this subpart, the
master, owner, operator, agent, or person-in-charge of a vessel must
ensure that vessels employing a Coast Guard approved BWMS must, at all
times of discharge into waters of the United States, meet the following
phase-two BWDS by the date listed in Table 151.2035(c) in section
151.2035 of this subpart:
    (1) For organisms larger than 50 microns in minimum dimension:
Discharge less than 1 per 100 cubic meter of ballast water;
    (2) For organisms equal to or smaller than 50 microns and larger
than 10 microns: Discharge less than 1 organism per 100 milliliter (ml)
of ballast water;
    (3) For organisms less than 10 microns in minimum dimension:
    (i) Discharge less than 10 \3\ living bacterial cells per 100 ml of
ballast water; and
    (ii) Discharge less than 10 \4\ viruses or viral-like particles per
100 ml of ballast water; and
    (4) Indicator microorganisms must not exceed:
    (i) For Toxicogenic Vibrio cholerae (serotypes O1 and O139): A

concentration of <1 colony forming unit (cfu) per 100 ml;
    (ii) For Escherichia coli: A concentration of <126 cfu per 100 ml;
and
    (iii) For intestinal enterococci: A concentration of <33 cfu per
100 ml.
    (c)(1) The Coast Guard shall, at least three years prior to the
first compliance date set forth in Table 151.2035(c) in section
151.1512 of this subpart, publish the results of a practicability
review to determine whether--
    (i) Technology to comply with the performance standard required
under paragraph (b) of this section can practicably be implemented, in
whole or in part, by the applicable compliance dates; and
    (ii) Testing protocols that can assure accurate measurement of
compliance with the performance standard required under paragraph (b)
of this section can practicably be implemented.
    (2) If the Coast Guard cannot make a determination under paragraph
(c)(1) of this section for some or all elements of the performance
standard listed in paragraph (b) of this section, the Coast Guard
shall, at the same time that it publishes the results of the
practicability review, extend the initial compliance date, in
accordance with the Administrative Procedure Act, in Table 151.2035(c)
for the applicable elements of the performance standard, taking into
consideration the findings of the practicability review.
    (3) If the Coast Guard cannot make a determination under paragraph
(c)(1) of this section for some or all elements of the performance
standard under paragraph (b) of this section, the Coast Guard shall
update the practicability review, consistent with the requirements of
paragraph (c)(1) of this section, as appropriate, but at least every
three years, until the performance standard under paragraph (b) of this
section is fully implemented.
    (4) If the Coast Guard finds, as a result of a practicability
review under either paragraphs (c)(1) or (c)(3) of this section, that
technology to achieve a significant improvement in treatment efficacy,
either greater or less than the efficacy of the performance standards
in paragraph (b) of this section can practicably be implemented, as
outlined in paragraph (c)(1) of this section, the Coast Guard shall
report this finding in the practicability review and propose an
appropriate revision to the applicable requirements of this subpart.

Sec.  151.2035  Implementation schedule for approved ballast water
management systems (BWMS).

    (a) The master, owner, operator, agent, or person-in-charge of a
vessel subject to this subpart and wishing to discharge ballast within
U.S. waters must install and operate a Ballast Water Management System
(BWMS) approved by the Coast Guard under 46 CFR part 162 in accordance
with Table 151.2035(b) ``Implementation Schedule for the Phase-One
Ballast Water Management Program'' of this section and Table
151.2035(c) ``Implementation Schedule for the Phase-Two Ballast Water
Management Program'' of this section, as applicable. Following
installation, the master, owner, operator, agent, or person-in-charge
of the vessel subject to this subpart must properly maintain the BWMS
in accordance with all manufacturer specifications.
    (b) Table 151.2035 (b) Implementation Schedule for the Phase-One
Ballast Water Management Program

----------------------------------------------------------------------------------------------------------------
                                        Vessel's ballast water
                                           capacity  (cubic      Vessel's construction     Vessel's compliance
                                            meters, m\3\)                 date                     date
----------------------------------------------------------------------------------------------------------------
New vessels..........................  All....................  On or after January 1,   On delivery.
                                                                 2012.
Existing vessels.....................  Less than 1500.........  Before January 1, 2012.  First drydocking after
                                                                                January 1, 2016.
                                       1500-5000..............  Before January 1, 2012.  First drydocking after
                                                                                January 1, 2014.
                                       Greater than 5000......  Before January 1, 2012.  First drydocking after
                                                                                January 1, 2016.
----------------------------------------------------------------------------------------------------------------

     (c) Table 151.2035(c) Implementation Schedule for the Phase-Two
Ballast Water Management Program

----------------------------------------------------------------------------------------------------------------
                                        Vessel's ballast water
                                           capacity  (cubic      Vessel's construction     Vessel's compliance
                                            meters, m\3\)                 date                     date
----------------------------------------------------------------------------------------------------------------
New vessels..........................  All....................  On or after January 1,   On delivery.
                                                                 2016.
Existing vessels.....................  All....................  Before January 1, 2016.  First drydocking after
                                                                                January 1, 2016,
                                                                                UNLESS the vessel
                                                                                installed a BWMS
                                                                                meeting the phase-one
                                                                                standard before
                                                                                January 1, 2016, then
                                                                                5 years after
                                                                                installation of the
                                                                                BWMS meeting the phase-
                                                                                one standard.
----------------------------------------------------------------------------------------------------------------

Sec.  151.2040  Discharge of ballast water in extraordinary
circumstances.

    (a) The master, owner, operator, agent, or person-in-charge of a
vessel that cannot practicably meet the requirements of Sec.
151.2025(a)(3) of this subpart--either because its voyage does not take
it into waters 200 nautical miles or greater from any shore for a
sufficient length of time and the vessel retains ballast water on
board, or because the master of the vessel has identified the safety or
stability concerns contained in Sec.  151.2045 of this subpart--will be
allowed to discharge ballast water in areas other than the Great Lakes
and the Hudson River. This exception would be allowed until the vessel
would be required to have a Coast Guard approved BWMS per the
implementation schedule found in Table 151.2035(b) of this subpart. The
master, owner, operator, agent, or person-in-charge of the vessel must

discharge only that amount of ballast water operationally necessary to
ensure the safety of the vessel for cargo operations. Ballast water
records must be made available to the local Captain of the Port upon
request.
    (b) A vessel that cannot practicably meet the requirements of Sec.
151.2025(a)(1) of this subpart because its approved BWMS is inoperable
must employ one of the other ballast water management practices listed
in Sec.  151.2025(a) of this subpart. If the master of the vessel
determines that the vessel cannot employ other ballast water management
practices due to voyage or safety concerns, the vessel will be allowed
to discharge ballast water in areas other than the Great Lakes and the
Hudson River. The vessel must discharge only that amount of ballast
water operationally necessary to ensure the safety and stability of the
vessel for cargo operations. Ballast water records must be made
available to the local Captain of the Port upon request. Per the
implementation schedule found in Table 151.2035(b) of this subpart, a
vessel will be prohibited from discharging non-managed ballast water
until its approved BWMS is repaired in accordance to the manufacturer's
specifications.

Sec.  151.2045  Safety exception.

    (a) The master, owner, operator, agent, or person-in-charge of a
vessel is responsible for the safety of the vessel, its crew, and its
passengers.
    (b) The master, owner, operator, agent, or person-in-charge of a
vessel is not required to conduct a ballast water management practice,
including exchange, if the master determines that the practice would
threaten the safety or stability of the vessel, its crew, or its
passengers because of adverse weather, vessel design limitations,
equipment failure, or any other extraordinary conditions. If the master
uses this safety exception and the vessel--
    (1) Is on a voyage to the Great Lakes or Hudson River, the vessel
must comply with the requirements of Sec.  151.1514 of subpart C of
this part.
    (2) Is on a voyage to any port other than the Great Lakes or Hudson
River, the vessel will not be required to perform a ballast water
management practice, including exchange, that the master has found to
threaten the safety of the vessel, its crew, or its passengers because
of adverse weather, vessel design limitations, equipment failure, or
any other extraordinary conditions.
    (c) Nothing in this subpart relieves the master, owner, operator,
agent, or person-in-charge of a vessel of any responsibility, including
ensuring the safety and stability of the vessel and the safety of the
crew and passengers.

Sec.  151.2050  Additional requirements--nonindigenous species
reduction practices.

    The master, owner, operator, agent, or person-in-charge of any
vessel equipped with ballast water tanks that operates in the waters of
the U.S. must:
    (a) Avoid the discharge or uptake of ballast water in areas within,
or that may directly affect marine sanctuaries, marine preserves,
marine parks, or coral reefs.
    (b) Minimize or avoid uptake of ballast water in the following
areas and situations:
    (1) Areas known to have infestations or populations of harmful
organisms and pathogens (e.g., toxic algal blooms);
    (2) Areas near sewage outfalls;
    (3) Areas near dredging operations;
    (4) Areas where tidal flushing is known to be poor or times when a
tidal stream is known to be turbid;
    (5) In darkness when bottom-dwelling organisms may rise up in the
water column;
    (6) Where propellers may stir up the sediment; and
    (7) Areas with pods of whales, convergence zones, and boundaries of
major currents.
    (c) Clean the ballast tanks regularly to remove sediments. Tanks
should be cleaned 200 nautical miles from any shore or under controlled
arrangements in port or at dry dock. Sediments should be disposed of in
accordance with local, State, and Federal regulations.
    (d) Discharge only the minimal amount of ballast water essential
for vessel operations while in the waters of the United States.
    (e) Rinse anchors and anchor chains when the anchor is retrieved to
remove organisms and sediments at their place of origin.
    (f) Remove fouling organisms from hull, piping, and tanks on a
regular basis and dispose of any removed substances in accordance with
local, State and Federal regulations.
    (g) Maintain a ballast water management plan that has been
developed specifically for the vessel that will allow those responsible
for the plan's implementation to understand and follow the vessel's
ballast water management strategy and comply with the requirements of
this subpart. The plan must include the following:
    (1) Detailed safety procedures;
    (2) Actions for implementing the mandatory BWM requirements and
practices;
    (3) Detailed fouling maintenance and sediment removal procedures;
    (4) Procedures for coordinating the shipboard BWM strategy with
Coast Guard authorities;
    (5) Identification of the designated officer[s] in charge of
ensuring that the plan is properly implemented;
    (6) Detailed reporting requirements and procedures for ports and
places in the U.S. where the vessel may visit; and
    (7) A translation of the plan into English, French or Spanish if
the Ship's working language is another language.
    (h) Train the master, operator, agent, person-in-charge, and crew
on the application of ballast water and sediment management and
treatment procedures.

Sec.  151.2055  Deviation from planned voyage.

    As long as ballast water exchange (BWE) is an allowable ballast
water management option under Sec. Sec.  151.2025 and 151.2035 of this
subpart, a vessel will not be required to deviate from its voyage or
delay the voyage in order to conduct BWE.

Sec.  151.2060  Reporting requirements.

    (a) Ballast water reporting requirements exist for each vessel
subject to this subpart bound for ports or places of the United States
regardless of whether a vessel operated outside of the exclusive
economic zone (which includes the equivalent zone of Canada), unless
exempted in Sec.  151.2015 of this subpart.
    (b) The owner, operator, agent, or person-in-charge of a vessel
subject to this subpart and to whom this section applies must provide
the information required by Sec.  151.2070 of this subpart in
electronic or written form (OMB form Control No. 1625-0069) to the
Commandant, U.S. Coast Guard or the appropriate Captain of the Port
(COTP) as follows:
    (1) For any vessel bound for the Great Lakes from outside the EEZ.
    (i) Fax the required information at least 24 hours before the
vessel arrives in Montreal, Quebec to the USCG COTP Buffalo, Massena
Detachment<PHONE_NUMBER>); or
    (ii) As an alternative for non-U.S. and non-Canadian flag vessels,
complete the ballast water information section of the form required by
the St. Lawrence Seaway, ``Pre-entry Information from Foreign Flagged
Vessels Form'', and submit it in accordance with the applicable Seaway
Notice in lieu of this requirement.
    (2) For any vessel bound for the Hudson River north of the George
Washington Bridge entering from outside the EEZ. Fax the information to
the COTP New York<PHONE_NUMBER>) at least 24 hours before the vessel
enters New York, New York.

    (3) For any vessel that is equipped with ballast water tanks and
bound for ports or places in the United States and not addressed in
paragraphs (b)(1) and (b)(2) of this section. If a vessel's voyage is
less than 24 hours, report before departing the port or place of
departure. If a voyage exceeds 24 hours, report at least 24 hours
before arrival at the port or place of destination. All required
information is to be sent to the National Ballast Information
Clearinghouse (NBIC) using only one of the following means:
    (i) Via the Internet at: http://invasions.si.edu/nbic/index.html;
    (ii) E-mail to<EMAIL_ADDRESS>    (iii) Fax to<PHONE_NUMBER>; or
    (iv) Mail to U.S. Coast Guard, c/o Smithsonian Environmental
Research Center, P.O. Box 28, Edgewater, MD 21037-0028.
    (c) If the information submitted in accordance with this section
changes, submit an amended form before the vessel departs the waters of
the United States.

Sec.  151.2065  Equivalent reporting methods for vessels other than
those entering the Great Lakes or Hudson River after operating outside
the EEZ or Canadian equivalent.

    For ships required to report under Sec.  151.2060(b)(3) of this
subpart, the Chief, Environmental Standards Division (CG-5224), acting
for the Assistant Commandant for Safety, Security, and Stewardship (CG-
5), may, upon receipt of a written request, consider and approve
alternative methods of reporting if:
    (a) Such methods are at least as effective as that required by
Sec.  151.2060 of this subpart; and
    (b) Compliance with Sec.  151.2060 of this subpart is economically
or physically impractical. The Chief, Environmental Standards Division
(CG-5224), will take approval or disapproval action on the request
submitted in accordance with this section within 30 days of receipt of
the request.

Sec.  151.2070  Recordkeeping requirements.

    (a) The master, owner, operator, agent, or person-in-charge of a
vessel bound for a port or place in the United States, unless
specifically exempted by Sec.  151.2015 of this subpart, must maintain
written records that include the following information:
    (1) Vessel information. This includes the name, International
Maritime Organization (IMO) Number (official number if IMO number not
issued), vessel type, owner or operator, gross tonnage, call sign, and
port of registry (flag).
    (2) Voyage information. This includes the date and port of arrival,
vessel agent, last port and country of call, and next port and country
of call.
    (3) Total ballast water information. This includes the total
ballast water capacity, total volume of ballast water on board, total
number of ballast water tanks, and total number of ballast water tanks
in ballast. Use units of measurements such as metric tons (MT), cubic
meters (m\3\), long tons (LT), and short tons (ST).
    (4) Ballast water management. This includes the total number of
ballast tanks/holds that are to be discharged into the waters of the
United States or to a reception facility. If an alternative ballast
water management method is used, note the number of tanks that are
managed using an alternative method, as well as the type of method
used. Indicate whether the vessel has a ballast water management plan
and IMO guidelines on board, and whether the ballast water management
plan is used.
    (5) Information on ballast water tanks that are to be discharged
into the waters of the United States or to a reception facility.
Include the following:
    (i) The origin of ballast water. This includes date(s),
location(s), volume(s) and temperature(s). If a tank has been
exchanged, list the loading port of the ballast water that was
discharged during the exchange.
    (ii) The date(s), location(s), volume(s), method, thoroughness
(percentage exchanged if exchange conducted), and sea height at time of
exchange if exchange conducted of any ballast water exchanged or
otherwise managed.
    (iii) The expected date, location, volume, and salinity of any
ballast water to be discharged into the waters of the United States or
a reception facility.
    (6) Discharge of sediment. If sediment is to be discharged within
the jurisdiction of the United States, include the location of the
facility where the disposal will take place.
    (7) Certification of accurate information. Include the master,
owner, operator, agent, person-in-charge, or responsible officer's
printed name, title, and signature attesting to the accuracy of the
information provided and certifying compliance with the requirements of
this subpart.
    (8) Change to previously submitted information. Indicate whether
the information is a change to information previously submitted for
this voyage.
    (9) The master, owner, operator, agent, or person-in-charge of a
vessel subject to this section must retain a signed copy of this
information on board the vessel for 2 years.
    (10) The information required of this subpart may be used to
satisfy the ballast water recordkeeping requirements for vessels
subject to 33 CFR Part 151 subpart C and Sec.  151.2025(c).
    (11) A sample form and the instructions for completing the form are
in the appendix to this subpart. Completing the ``Ballast Water
Reporting Form'' contained in the IMO Guidelines or completing the
ballast water information section of the form required by the St.
Lawrence Seaway ``Pre-entry Information Flagged Vessels Form'' meets
the requirements of this section.

Sec.  151.2075  Enforcement and compliance.

    (a) The Captain of the Port (COTP) shall be provided access in
order to take samples of ballast water and sediment, examine documents,
and make other appropriate inquiries to assess the compliance of any
vessel subject to this subpart.
    (b) The master, owner, operator, agent, or person in charge of a
vessel subject to this section must provide to the COTP the records
required by Sec.  151.2070 of this subpart upon request.
    (c) The NBIC will compile the data obtained from submitted reports.
This data will be used, in conjunction with existing databases on the
number of vessel arrivals, to assess vessel reporting rates.
    (d) Vessels with installed BWMS are subject to Coast Guard
inspection in accordance with 46 CFR 2.75-1.
    (e) In this subpart, wherever multiple entities are responsible for
compliance with any requirement of the rule, each entity is jointly
liable for a violation of such requirement.

Sec.  151.2080  Penalties.

    (a) A person who violates this subpart is liable for a civil
penalty not to exceed $ 27,500. Each day of a continuing violation
constitutes a separate violation. A vessel operated in violation of the
regulations is liable in rem for any civil penalty assessed under this
subpart for that violation.
    (b) A person who knowingly violates the regulations of this subpart
is guilty of a class C felony.

Appendix to Subpart D of Part 151--Ballast Water Reporting Form and
Instructions for Ballast Water Reporting Form

BILLING CODE 4910-15-P

[GRAPHIC] [TIFF OMITTED] TP28AU09.076

[GRAPHIC] [TIFF OMITTED] TP28AU09.077

[GRAPHIC] [TIFF OMITTED] TP28AU09.078

[GRAPHIC] [TIFF OMITTED] TP28AU09.079

[GRAPHIC] [TIFF OMITTED] TP28AU09.080

[GRAPHIC] [TIFF OMITTED] TP28AU09.081

[GRAPHIC] [TIFF OMITTED] TP28AU09.082

[GRAPHIC] [TIFF OMITTED] TP28AU09.083

BILLING CODE 4910-15-C

Title 46--Shipping

CHAPTER I--COAST GUARD

Subchapter Q--Equipment, Construction, and Materials: Specifications
and Approval

PART 162--ENGINEERING EQUIPMENT

    9. Revise the authority citation for part 162 to read as follows:

    Authority:  16 U.S.C. 4711; 33 U.S.C. 1321(j), 1903; 46 U.S.C.
3306, 3703, 4104, 4302; E.O. 12234, 45 FR 58801, 3 CFR, 1980 Comp.,
p. 277; E.O. 12777, 56 FR 54757, 3 CFR, 1991 Comp., p. 351;
Department of Homeland Security Delegation No. 0170.1.

    10. Add subpart 162.060 to subchapter Q of Chapter I of title 46 of
the CFR to read as follows:

Subpart 162.060--Ballast Water Management Systems

Sec.
162.060-1 Purpose and scope.
162.060-3 Definitions.
162.060-5 Incorporation by reference.

Application Submission Procedures

162.060-10 Approval procedures.
162.060-12 Equivalency determinations for ballast water management
systems.
162.060-14 Information requirements for the ballast water management
system application.
162.060-16 Changes to an approved ballast water management system.
162.060-18 Suspension, withdrawal or termination of approval.

Ballast Water Management System Testing Procedures

162.060-20 Design and construction requirements.
162.060-22 Marking requirements.
162.060-24 Test Plan requirements.
162.060-26 Land-based testing requirements.
162.060-28 Shipboard testing requirements.
162.060-30 Testing requirements for ballast water management system
(BWMS) components.
162.060-32 Testing and evaluation requirements for Active
Substances, Preparations, and Relevant Chemicals.
162.060-34 Test Report requirements.
162.060-36 Quality Assurance Project Plan (QAPP) requirements.
162.060-38 Operation, Maintenance, and Safety Manual (OMSM).
162.060-40 Requirements of Independent Laboratories (IL).

    Authority: 16 U.S.C. 4711; Department of Homeland Security
Delegation No. 0170.1.

Subpart 162.060--Ballast Water Management Systems

Sec.  162.060-1  Purpose and scope.

    This subpart contains procedures and requirements for approval of
complete ballast water management systems (BWMS) to be installed
onboard vessels for the purpose of complying with the ballast water
discharge standard of 33 CFR part 151, subparts C and D.

Sec.  162.060-3  Definitions.

    As used in this subpart--
    Active substance means a chemical or an organism, including a virus
or a fungus, that has a general or specific action on or against
nonindigenous species.
    Ballast water management system (BWMS) means any system which
processes ballast water to kill or remove organisms. The BWMS includes
all ballast water treatment equipment and all associated control and
monitoring equipment.
    Ballast water system means the tanks, piping, valves, pumps, sea
chests, and any other associated equipment the vessel uses for the
purposes of ballasting.
    Ballast water treatment equipment means equipment that
mechanically, physically, chemically, or biologically processes ballast
water, either singularly or in combination, to remove, render harmless,
or avoid the uptake or discharge of living organisms within ballast
water and sediments.
    Control and monitoring equipment means installed equipment required
to operate, control, and assess the effective operation of the ballast
water treatment equipment.
    Foreign Administration means the Government of the State under
whose authority the ship is operating.
    Hazardous location means areas where fire or explosion hazards may
exist due to the presence of flammable gases/vapors, flammable liquids,
combustible dust, or ignitable fibers. Refer to NEC and IEC 79-0.
    Hazardous materials means hazardous materials as defined in 49 CFR
171.8; hazardous substances designated under 40 CFR part 116.4;
reportable quantities as defined under 40 CFR 117.1; materials that
meet the criteria for hazard classes and divisions in 49 CFR part 173;
materials under 46 CFR 153.40 determined by the Coast Guard to be
hazardous when transported in bulk; flammable liquids defined in 46 CFR
30.10-22; combustible liquids as defined in 46 CFR 30.10-15; materials
listed in Table 46 CFR 151.05, Table 1 of 46 CFR 153, or Table 4 of 46
CFR part 154; or any liquid, liquefied gas, or compressed gas listed in
49 CFR 172.101.
    Independent Laboratory (IL) means an organization that meets the
requirements in 46 CFR 159.010-3 and is accepted by the Coast Guard for
performing approval tests and evaluations of BWMS required by this
subpart. In addition to commercial testing laboratories, the Commandant
may also accept classification societies and agencies of governments
(including State and Federal agencies of the United States) that are
involved in the evaluation and testing of BWMS, if they meet the
requirements of Sec.  159.010-3 of this subchapter.
    In-line treatment means a treatment system or technology used to
treat ballast water during normal flow of ballast uptake or discharge.
    In-tank treatment means a treatment system or technology used to
treat ballast water during the time that it resides in the ballast
tanks.
    Pesticide means any substance or mixture of substances intended for
preventing, destroying, repelling, or mitigating any pest as defined
under the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA)(7
U.S.C. 136 et seq.) and 40 CFR 152.3.
    Preparation means any commercial formulation containing one or more
active substances, including any additives. This definition also
includes any active substances generated onboard a vessel for the
purpose of ballast water management and any relevant chemical formed in
or by the BWMS that makes use of active substances to comply with the
ballast water discharge standard codified in 33 CFR part 151 subpart C
or D.
    Quality Assurance Project Plan (QAPP) means a project-specific
technical document reflecting the implementation of quality assurance
and quality control activities, including specifics of the BWMS to be
tested, the Independent Laboratory, and other conditions affecting the
actual design and implementation of the required tests and evaluations.
    Relevant chemicals mean transformation or reaction products that
are produced during the treatment process or in the receiving
environment and may be of concern to the aquatic environment and human
health when discharged.
    Representativeness means a sample that can be expected to
adequately reflect the properties of interest from where the sample was
drawn.
    Sampling port refers to the equipment installed in the ballast
water piping prior to the point of overboard discharge through which
representative samples of the ballast water being discharged are
extracted. This is equivalent to the term ``sampling facility'' under
the guidelines for the International Convention for the Control and
Management of Ships' Ballast Water and Sediments, ``Convention
Guidelines for Ballast Water Sampling (G2)''.

    Test facilities means locations where ILs conduct land-based,
component, active substance and relevant chemical testing and
evaluations, as required by this subpart.

Sec.  162.060-5  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part
with the approval of the Director of the Federal Register under 5
U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that
specified in this section, the Coast Guard must publish notice of
change in the Federal Register and the material must be available to
the public. All approved material is available for inspection at the
National Archives and Records Administration (NARA). For information on
the availability of this material at NARA, call<PHONE_NUMBER> or go to
http://www.archives.gov/federal_register/code_of_federal_
regulations/ibr_locations.html. Also, it is available for inspection
at the Environmental Standards Division (CG-5224), U.S. Coast Guard,
2100 Second Street, SW., Washington, DC 20593, and is available from
the sources indicated in this section.
    (b) International Electrotechnical Commission (IEC), 3 rue Varembe,
Geneva, Switzerland.
    (1) IEC 79-0, Electrical Apparatus for Explosive Gas Atmospheres,
Part 0, General Requirements, 1983 (Including Amendment 2, 1991), Sec.
162.060-38.
    (2) IEC 529, Classification of Degrees of Protection by Enclosures,
Sec.  162.060-30.
    (c) International Organization for Standardization (ISO) and the
International Electrotechnical Commission (IEC), 1, ch. de la Voie-
Creuse, Case postale 56 CH-1211 Geneva 20, Switzerland. ISO/IEC 17025,
General Requirements for the Competence of Calibration and Testing
Laboratories, Sec.  162.060-36.
    (d) National Fire Protection Association (NFPA), Batterymarch Park,
Quincy, MA 02269. NEC, see NFPA 70, Sec.  162.060-38.

Sec.  162.060-10  Approval procedures.

    (a) Before any testing is initiated on the ballast water management
system (BWMS), the manufacturer must submit a Letter of Intent
providing as much as possible of the below information to the
Commanding Officer, U.S. Coast Guard Marine Safety Center, Jemal
Building, JR 10-0525, 2100 Second Street, SW., Washington, DC 20593 and
the Commanding Officer, U.S. Coast Guard, Office of Operating and
Environmental Standards (CG-522), RM 1210, 2100 Second Street, SW.,
Washington, DC 20593:
    (1) Manufacturer's name.
    (2) Name and location of Independent Laboratory (IL).
    (3) Name and type of BWMS.
    (4) Expected date of submission of full application package to the
Coast Guard.
    (5) Name and type of vessel for shipboard testing.
    (b) The manufacturer must ensure testing of the BWMS is conducted
by an Independent Laboratory in accordance with Sec. Sec.  162.060-20
through 162.060-40 of this subpart.
    (c) The manufacturer must submit application in accordance with
Sec.  162.060-14 of this subpart.
    (d) Upon receipt of an application completed in compliance with
Sec.  162.060-14 of this subpart, the Coast Guard Marine Safety Center
will evaluate the application and either approve, disapprove, or return
it to the manufacturer for further revision.
    (e) The Coast Guard will independently conduct environmental
analyses of each system in accordance with the National Environmental
Policy Act, the Endangered Species Act, and/or other environmental
statues, in addition to tests and evaluations conducted by an IL
required by this subpart. Applicants are advised that applications
including novel processes or active substances may encounter
significantly longer reviews during this evaluation.
    (f) After evaluation of the Test Report and all design,
construction, and environmental considerations, the Commanding Officer,
U.S. Coast Guard Marine Safety Center, will advise the applicant in
accordance with 46 CFR Sec. Sec.  159.005-13 or 159.005-15 whether the
BWMS is approved.
    (g) A BWMS is eligible for approval if:
    (1) It meets the design and construction requirements in Sec.
162.060-20 of this subpart;
    (2) It is tested under land-based and shipboard conditions in
accordance with Sec.  162.060-26 and Sec.  162.060-28 of this subpart,
respectively, and thereby demonstrated to consistently meet the ballast
water discharge standard in 33 CFR part 151, subparts C and D;
    (3) All applicable components of the BWMS meet the component
testing requirements of Sec.  162.060-30 of this subpart;
    (4) Of the BWMS that use an active substance or preparation, the
BWMS meets the requirement of Sec.  162.060-32 of this subpart; and
    (5) Of the BWMS that use or generate an active substance,
preparation, or relevant chemical, the ballast water discharge,
preparation, active substance, or relevant chemical are not found to be
persistent, bioaccumulative, or toxic.
    (h) If tests or evaluations required by this section are not
practicable or applicable, a manufacturer may submit a written request
to the Commanding Officer, U.S. Coast Guard Marine Safety Center, Jemal
Building, JR 10-0525, 2100 Second Street, SW., Washington, DC 20593 for
approval of alternatives. The request must include the manufacturer's
justification for any proposed changes and contain full descriptions of
any proposed alternative tests. The Coast Guard's Marine Safety Center
will return a copy of the Test Report with a cover letter advising the
manufacturer whether the BWMS is approved. Any limitations imposed by
the BWMS on testing procedures and all approved deviations from any
test or evaluation required by this subpart must be duly noted in the
Experimental Design section of the Test Plan.
    (i) The Commanding Officer, USCG Marine Safety Center will send a
copy of the Test Report to the applicant and advise the applicant
whether the BWMS is approved. If the BWMS is approved, an approval
certificate is sent to the applicant. The approval certificate lists
conditions of approval applicable to the item. The approval certificate
will be issued in accordance with 46 CFR 2.75-5.

Sec.  162.060-12  Equivalency determinations for ballast water
management systems (BWMS).

    (a) A manufacturer whose BWMS has been approved by a Foreign
Administration may request in writing for the Coast Guard to make an
equivalency determination if it can be demonstrated that the BWMS
successfully met or exceeded the requirements of this subpart.
    (b) A manufacturer whose BWMS that has successfully been used in a
prototype experimental treatment system program that included tests
onboard a vessel under normal shipping operations may apply for an
equivalency for the shipboard or component testing requirements
outlined in Sec. Sec.  162.060-28 and 162.060-30 of this subpart
respectively, if it can be demonstrated that the BWMS successfully met
or exceeded comparable conditions during the shipboard testing period.
    (c) If a manufacturer has already conducted a substantial amount of
land-based and/or shipboard testing independent of the requirements of
this subpart, the Coast Guard may make an equivalency determination.
    (d) The request for an equivalency must include the following:

    (1) Name, point of contact, address, and phone number of the
authority overseeing the program;
    (2) Entry and exit dates to that program;
    (3) Final test results and findings; and
    (4) A description of any modifications made to the system between
the prototype and final development of the system.
    (e) All requests for equivalencies under this section should be
submitted in writing to the Commanding Officer, U.S. Coast Guard Marine
Safety Center, Jemal Building, JR 10-0525, 2100 Second Street, SW.,
Washington, DC 20593.

Sec.  162.060-14  Information requirements for the ballast water
management system (BWMS) application.

    (a) A complete BWMS application must contain the following
information:
    (1) The name and location of the Independent Laboratory (IL)
conducting approval tests and evaluations;
    (2) Two sets of plans describing the BWMS, as specified in 46 CFR
159.005-12;
    (3) An Operation, Maintenance and Safety Manual for the BWMS that
meets the requirements in Sec.  162.060-38;
    (4) A bill of materials showing all components and specifications
of the BWMS, as required by 46 CFR Sec.  56.60;
    (5) A list of any system or component of the BWMS that may require
certification under 46 CFR part 64 as a marine portable tank;
    (6) A list of any pressure vessels used as a part of the BWMS along
with a description of either how each pressure vessel meets the
requirements of 46 CFR part 54 or why it should be considered exempt
from these requirements. Manufacturers must also submit detailed plans
in accordance with 46 CFR 50.20 if they intend to fabricate pressure
vessels, heat exchangers, evaporators and similar appurtenances covered
by the requirements in 46 CFR part 54;
    (7) Documentation of all necessary approval, registrations, and
other documents or certification required for any active substances,
preparations, or relevant chemicals used by the BWMS. The documentation
must include the following:
    (i) A list of any active substances, preparations, or relevant
chemicals that are used, produced, generated as a byproduct, and/or
discharged in association with the operation of the BWMS; and
    (ii) A list of all limitations or restrictions that must be
complied with during the approval testing and evaluations;
    (8) A detailed description of the manufacturer's quality control
procedures for:
    (i) In-process and final inspections;
    (ii) Tests followed in manufacturing the item; and
    (iii) Construction and sales recordkeeping maintenance systems; and
    (9) The completed Test Report prepared and submitted by the IL.
    (b) The completed application must be sent to the Commanding
Officer, U.S. Coast Guard Marine Safety Center, Jemal Building, JR 10-
0525, 2100 Second Street, SW., Washington, DC 20593.
    (c) If examination of the application reveals that it is
incomplete, it will be returned to the applicant with an explanation.

Sec.  162.060-16  Changes to an approved ballast water management
system (BWMS).

    (a) The manufacturer of a BWMS that is approved by the Coast Guard
must notify the Commanding Officer, USCG Marine Safety Center, in
writing of any change in design or intended operational conditions of
an approved BWMS.
    (b) The notification in (a) must include:
    (1) A description of the change, and its advantages;
    (2) A determination by the original IL, or an alternate IL deemed
acceptable by the Coast Guard, as to whether or not the change affects
how the BWMS operates;
    (3) A determination of whether or not the modified BWMS remains in
all material respects, the same as the original; and
    (4) An indication of whether or not the original BWMS will continue
to be made or discontinued altogether.
    (c) After receipt of the notice and information, the Coast Guard
will notify the manufacturer and the IL in writing of any tests or
evaluations that must be conducted, and then determine if
recertification and/or modification is required.

Sec.  162.060-18  Suspension, withdrawal, or termination of approval.

    The Coast Guard may suspend an approval issued for a BWMS in
accordance with 46 CFR 2.75-40, withdraw an approval in accordance with
46 CFR 2.75-50(a), or terminate an approval in accordance with 46 CFR
2.75-50(b) if the BWMS as manufactured:
    (a) Is not found to be in compliance with the conditions of
approval;
    (b) Is unsuitable for the purpose intended by the manufacturer;
    (c) Does not meet the requirements of applicable laws, rules, and
regulations when installed and operated as intended by the
manufacturer;
    (d) Is no longer being manufactured or supported; or
    (e) When the approval expires.

Sec.  162.060-20  Design and construction requirements.

    (a) Unless otherwise authorized by the Commandant, each BWMS must
be designed and constructed in a manner that:
    (1) Ensures simple and effective means for its operation;
    (2) Allows operation to be initiated, controlled, and monitored by
a single individual, and with minimal interaction or attention once
normal operation is initiated;
    (3) Is robust and suitable for working in the shipboard environment
and adequate for its intended service;
    (4) Meets all applicable requirements in 46 CFR Subchapter F,
Marine Engineering, and Subchapter J, Electrical Engineering; and
    (5) Operates when the vessel is upright, inclined under static
conditions at any angle of list up to and including 15[deg], and when
the vessel is inclined under dynamic, rolling conditions at any angle
of list up to and including 22.5[deg] and, simultaneously, at any angle
of trim (pitching) up to and including 7.5[deg] by bow or stern.
Deviations from these angles of inclination may be permitted by the
Coast Guard's Marine Safety Center, in accordance with Sec.  162.060-
10(h), considering the type, size, and service of intended vessels and
considering how the BWMS is to be operated.
    (b) Each BWMS must have control and monitoring equipment that:
    (1) Automatically monitors and adjusts necessary treatment dosages,
intensities, or other aspects required for proper operation;
    (2) Incorporates a continuous self-monitoring function during the
period in which the BWMS is in operation;
    (3) Records proper functioning and failures of the BWMS;
    (4) Records all events in which an alarm is activated for the
purposes of cleaning, calibration, or repair;
    (5) Records any bypass of the BWMS;
    (6) Is able to store data for at least 24 months and to display or
print a record for official inspections as required; and
    (7) In the event the control and monitoring equipment is replaced,
actions must be taken to ensure the data recorded prior to replacement
remains available onboard for a minimum of 24 months.
    (c) Each BWMS must be designed and constructed with the following
operating and emergency controls:

    (1) Visual means of indicating when the BWMS is operating,
including a visual alarm activated whenever the BWMS is in operation
for the purpose of cleaning, calibration, or repair;
    (2) Audible and visual alarm signals must be provided in all
stations from which ballast water operations are controlled in case of
any failure(s) compromising the proper operation of the BWMS;
    (3) As applicable, have means to activate stop valves when failure
of the BWMS occurs;
    (4) Suitable manual by-passes or overrides to protect the safety of
the ship and personnel in the event of an emergency;
    (5) Means that compensate for a momentary loss of power during
operation of the BWMS so that unintentional discharges do not occur;
    (6) BWMS installed in unoccupied machinery spaces must be capable
of operating automatically from the time it is placed on-line until it
is secured; and
    (7) Adequate alarms for the applicable chemicals used in the BWMS
and spaces where they are introduced or stored.
    (d) BWMS must comply with the relevant requirements of 46 CFR
subpart 111.105 if it is intended to be fitted in hazardous locations.
Any electrical equipment that is a component of the BWMS must be
installed in a non-hazardous location unless certified as safe for use
in a hazardous location. Any moving parts which are fitted in hazardous
locations must be arranged in a manner that avoids the formation of
static electricity.
    (e) To ensure continued operational performance of the BWMS without
interference, the following conditions must be incorporated into the
design:
    (1) Each part of the BWMS that is required to be serviced routinely
per the manufacturer's instructions or is liable to wear or damage must
be readily accessible in the installed position(s) recommended by the
manufacturer;
    (2) To avoid interference with the BWMS, every access of the BWMS
beyond the essential requirements, as determined by the manufacturer,
must require the breaking of a seal, and any bypass or avoidance of the
BWMS for the purpose of maintenance must activate an alarm;
    (3) Simple means must be provided aboard the ship to identify drift
and repeatability fluctuations and re-zero measuring devices that are
part of the control and monitoring equipment.
    (f) Each BWMS must be designed so that it does not rely in whole or
in part on dilution of ballast water as a means of achieving the
ballast water discharge standard as required in 33 CFR part 151,
subparts C or D.
    (g) Adequate arrangements for storage, application, mitigation,
monitoring, and safe handling must be made for all BWMS that
incorporate the use of, produce, generate, or discharge a hazardous
material, active substance, and/or pesticide in accordance with Coast
Guard regulations on handling/storage of hazardous materials (33 CFR
126) and any other applicable Federal, State, and local requirements.
    (h) For any BWMS that incorporates the use of or generates active
substances, preparations, or chemicals, the BWMS must be equipped with
each of the following as applicable:
    (1) A means of indicating the amount and concentration of any
chemical in the BWMS that is necessary for its effective operation;
    (2) A means of indicating when chemicals must be added for the
proper continued operation of the BWMS;
    (3) Sensors and alarms in all spaces that may be impacted by a
malfunction of the BWMS;
    (4) A means of monitoring all active substances and preparations in
the treated discharge;
    (5) A means to ensure that any maximum dosage or maximum allowable
discharge concentrations of active substances and preparations are not
exceeded at any time; and
    (6) Each chemical that is specified or provided by the manufacturer
for use in the operation of a BWMS and is defined as a hazardous
material in 49 CFR 171.8 must be certified by the procedures in 46 CFR
Part 147.

Sec.  162.060-22  Marking requirements.

    (a) Each BWMS manufactured for Coast Guard approval must have a
nameplate which is securely fastened to the BWMS and plainly marked by
the manufacturer with the information listed in paragraph (b) of this
section.
    (b) Each nameplate must include the following information:
    (1) Coast Guard Approval Number assigned to the system in the
certificate of approval;
    (2) Name of the manufacturer;
    (3) Name and model number of the item;
    (4) The manufacturer's serial number for the item;
    (5) The month and year of manufacture completion; and
    (6) The maximum allowable working pressure for the BWMS.
    (c) The information required by paragraph (b) of this section must
appear on a nameplate attached to, or in lettering on, the BWMS. The
nameplate or lettering must be capable of withstanding, without loss of
readability, the combined effects of normal wear and tear and exposure
to water, salt spray, direct sunlight, heat, cold, and any substance
used in the normal operation and maintenance of the BWMS. The nameplate
must not be obscured by paint, corrosion, or other materials that would
hinder readability.

Sec.  162.060-24  Test Plan requirements.

    (a) Test Plans must include an examination of all the
manufacturer's stated requirements and procedures for installation,
calibration, maintenance, and operations that will be used by the BWMS
during each test.
    (b) Test Plans must also address potential environmental, health,
and safety issues; unusual operating requirements such as labor or
materials; and any issues related to the disposal of treated ballast
water, by-products, or waste streams.
    (c) Each Test Plan must be in the following format:
    (1) Title page, including all project participants;
    (2) Table of contents;
    (3) Project description and treatment performance objectives;
    (4) Project organization and personnel responsibilities;
    (5) Description of the Independent Laboratory (IL);
    (6) Treatment technology description;
    (7) Test setup, including a diagram of the test configuration and
all connections of the BWMS to be tested;
    (8) Experimental design, including specific test procedures,
installation and start-up plan, sample and data collection, and sample
handling and preservation;
    (9) Challenge water conditions and preparation, including IL's
procedures for preparation, and a description of how the water quality
and biological challenge conditions meet the applicable requirements of
this subpart;
    (10) Pre- and post-test evaluation methods;
    (11) Quality Assurance Project Plan (QAPP);
    (12) Data management, analysis, and reporting, including measures
of precision, accuracy, comparability, and representativeness;
    (13) Environmental, health, and safety plan; and
    (14) Applicable references.

Sec.  162.060-26  Land-based testing requirements.

    (a) Each BWMS must undergo land-based tests and evaluations that
meet the requirements of this section, in addition to the shipboard
tests required in Sec.  162.060-28. The land-based testing

will determine whether the biological efficacy of the BWMS under
consideration for approval is sufficient to meet the applicable BWDS,
evaluate the suitability of the BWMS for shipboard installation, and
validate those aspects of the operating and maintenance parameters
presented by the manufacturer that are appropriate for assessment under
the relatively short-term, but well-controlled circumstances of a land-
based test.
    (b) The test set-up must operate as described in the Test Plan
requirements per Sec.  161.060-24 during at least five consecutive
valid replicate test cycles.
    (c) Each valid test cycle must include the following:
    (1) Uptake of test water by pumping;
    (2) Treatment of a minimum of 200 m\3\ of test water with the BWMS,
    (3) Process of a minimum of 200 m\3\ of untreated test water
through the IL in a manner that is in all ways identical to (2) above,
except that the BWMS is not used to treat the water;
    (4) Retention of the treated and control water in separate tanks
for a minimum of 24 hours; and
    (5) Discharge of the test water by pumping.
    (d) BWMS not tested for each of the 3 salinity ranges and water
conditions listed in (e) may be subject to operational restrictions
within a certificate of type approval.
    (e) The BWMS must be tested in water conditions for which it will
be approved. For any set of test cycles, a salinity range must be
chosen. With respect to the salinity of water bodies where the BWMS is
intended to be used, the test water used in the test set-up must have
dissolved and particulate content in the following combinations:
    (1) BWMS intended for use in water bodies with salinities greater
than or equal to 32 parts per thousand (ppt) must use test water that
has the following:
    (i) A salinity greater than 32 ppt;
    (ii) Dissolved Organic Carbon (DOC) in the range of 5-12 mg/l;
    (iii) Particulate Organic Carbon (POC) in the range of 5-12 mg/l;
and
    (iv) Total Suspended Solids (TSS) greater than 5 mg/l;
    (2) BWMS intended for use in water bodies with salinities greater
than 3 and less than 32 ppt must use test water that has the following:
    (i) A salinity in the range of 3-32 ppt;
    (ii) DOC in the range of 5-12 mg/l;
    (iii) POC in the range of 5-12 mg/l; and
    (iv) TSS greater than 5 mg/l;
    (3) BWMS intended for use in water bodies with salinities less than
or equal to 3 ppt must use test water that has the following:
    (i) A salinity less than 3 ppt;
    (ii) DOC in the range of 5-12 mg/l;
    (iii) POC in the range of 5-12 mg/l; and
    (iv) TSS greater than 10 mg/l;
    (4) At least 2 sets of test cycles should be conducted with
different salinity ranges and associated dissolved and particulate
content as described. BWMS not tested for each of the 3 salinity ranges
and water conditions listed in this section may be subject to
operational restrictions within a certificate of approval.
    (f) Test cycles under adjacent salinity ranges listed in (e) must
be separated by at least 10 ppt.
    (g) The BWMS must be tested at its rated capacity or as specified
in (g)(1) for each test cycle and must function to the manufacturer's
specifications during the test.
    (1) In-line treatment equipment may be downsized for land-based
testing, but only when the following criteria are met:
    (i) In-line treatment equipment with a Treatment Rated Capacity
(TRC) equal to or smaller than 200 m\3\/h should not be downscaled:
    (ii) In-line treatment equipment with a TRC larger than 200 m\3\/h,
but smaller than 1000 m\3\/h may be downscaled to a maximum of 1:5
scale, but must not be smaller than 200 m\3\/h;
    (iii) In-line treatment equipment with a TRC equal to or larger
than 1000 m\3\/h may be downscaled to a maximum of 1:100 scale, but
must not be smaller than 200 m\3\/h; and
    (iv) The manufacturer of the BWMS must demonstrate by using
mathematical modeling and/or by calculations that any downscaling will
not affect the ultimate functioning and effectiveness onboard a vessel
of the type and size for which the BWMS will be approved;
    (2) Larger scaling may be applied and lower flow rates used other
than those described in (g)(1) if the manufacturer can provide evidence
from full-scale shipboard testing, in accordance with (g)(1)(iv), that
larger scaling and lower flow rates will not adversely affect the
ability to predict full-scale compliance with the BWDS. The procedures
of Sec.  162.060-10 must be followed before scaling of flow rates other
than those provided in (g)(1), may be used.
    (3) In-tank treatment equipment must be tested on a scale that
allows verification of full-scale effectiveness. The suitability of the
test set-up must be evaluated by the manufacturer and approved by the
IL.
    (h) The test set-up, TRC, and scaling of all tests must be clearly
identified in the Experimental Design section of the Test Plan per
Sec.  162.060-24.
    (i) The test set-up for approval tests must be representative of
the characteristics and arrangements of the types of vessels in which
the BWMS is intended to be installed. The test set-up must include at
least the following:
    (1) The complete BWMS to be tested;
    (2) Piping and pumping arrangements; and
    (3) At least one storage tank that simulates a ballast tank,
constructed so that the water in the tank is completely shielded from
light.
    (j) Tanks used must--
    (1) Have a minimum capacity of 200 m\3\; and
    (2) Be designed and constructed in a manner that minimizes the
tank's effects on test organisms.
    (k) The test setup piping must be rinsed with fresh water and the
test tanks must be pressure-washed with tap water, before starting
testing procedures and between test cycles.
    (l) The test set-up must supply influent water to meet the
conditions specified in paragraph (c)(2) of this section and include
adequate facilities or arrangements to meet the sampling requirements
of paragraphs of this section while ensuring representative samples of
treated and control water can be taken with as little adverse effects
as possible on the test organisms.
    (m) The influent water must include:
    (1) Test organisms greater than or equal to 50 micrometers in size
in a total density of at least 10\5\ individuals per cubic meter. The
test organisms must comprise at least 5 species from at least 3
different phyla/divisions;
    (2) Test organisms greater than or equal to 10 micrometers and less
than 50 micrometers in size in a total density of at least 10\4\
individuals per liter. Test organisms must also consist of at least 5
species from at least 3 different phyla/divisions; and
    (3) Heterotrophic bacteria to be present in a density of at least
10\4\ living bacteria per milliliter.
    (n) The test organisms used for influent water may be either
naturally occurring in the test water, cultured species that may be
added to the influent test water, or a mixture of both. The
classification of test organisms in the test water must be documented
according to the size classes mentioned in paragraph (m) of this
section, regardless if natural organisms or cultured organisms were
used to meet the density and organism classification requirements.
    (o) If cultured test organisms are used, the IL must ensure that
all applicable Federal, State, local, and Tribal

regulations are complied with during culturing and discharging of the
cultured test organisms.
    (p) Changes in the number of test organisms due to treatment or
storage must be measured.
    (q) The following bacteria do not need to be added to the influent
water, but must be measured at the influent and at the time of
discharge:
    (1) Escherichia coli;
    (2) Enterococci group;
    (3) Vibrio cholerae; and
    (4) Total heterotrophic bacteria.
    (r) Testing and evaluation must verify that the BWMS performs
within the parameters specified by the manufacturer, such as power
consumption and flow rate during the test cycle.
    (s) Samples must be collected during the test immediately before
the test water enters the treatment equipment and upon discharge.
Samples should be drawn using sample ports designed and installed as
follows:
    (1) The test set up should have sampling ports that are arranged in
an order that will collect representative samples of the water under
the following conditions:
    (i) Sampling ports should be located as close as practicable to the
BWMS prior to testing and prior to the discharge point after testing.
Sampling should include any hold time; and
    (ii) Sampling ports should be located elsewhere as necessary to
ascertain the proper functioning of the BWMS.
    (2) Sample ports must be designed and constructed to ensure the
velocity profile at the opening of the sample port matches the velocity
profile in the main stream of the pipe from which samples are taken.
Sample ports must be designed and installed taking into consideration
the findings and recommendations in the U.S. Coast Guard Research and
Development Center (R&DC) Report ``Analysis of Ballast Water Sampling
Port Designs Using Computational Fluid Dynamics''. The report is
available for download from the R&DC Web site at http://
www.rdc.uscg.gov/.
    (i) The opening of the sample port should be 1.5-2 times the
isokinetic sample diameter, Diso, which can be derived as
follows:
[GRAPHIC] [TIFF OMITTED] TP28AU09.085

Where:

DM is the diameter of the main pipe from which samples
are to be extracted;
QM is the flow rate in the main pipe; and
Qiso is the desired sample flow rate.

    (ii) The sample port size must be based on the combination of
maximum sample flow rate and minimum main-pipe flow rate that yields
the largest isokinetic diameter.
    (iii) Samples must be drawn from a straight pipe section on the
centerline of the main flow, looking into the flow.
    (iv) The sample taken should be drawn from the main pipe at a
location where the flowing stream at the sample point is representative
of the contents of the flow in the main pipe. The sample port should be
located at a point where the flow in the main pipe is as close to fully
mixed and fully developed as practicable.
    (v) Ball valves must be used for shutting off the flow.
    (vi) Smooth transition flow controls, like flexible venturi, must
be used to control flow rates.
    (viii) Piping and fittings from the sample port to the sample
collection vessel must be minimized.
    (t) Samples should be collected for:
    (1) Organisms of greater than or equal to 50 micrometers in size
from at least 20 liters of influent water and 1,000 liters of treated
water, in triplicate, respectively. If samples are concentrated for
enumeration, the samples should be concentrated using a sieve no
greater than 50 micrometer mesh in the diagonal dimension;
    (2) Organisms greater than or equal to 10 micrometers and less than
50 micrometers in size from at least 1 liter of influent water and at
least 10 liters of treated water, in triplicate, respectively. If
samples are concentrated for enumeration, the samples should be
concentrated using a sieve no greater than 10 micrometers mesh in the
diagonal dimension; and
    (3) Escherichia coli, enterococci, Vibrio cholerae, and
heterotrophic bacteria from at least 500 milliliters of influent and
treated water collected in sterile bottles, in triplicate,
respectively.
    (u) All applicable environmental parameters such as pH,
temperature, salinity, DO, TSS, DOC, POC, and turbidity must be
measured at the same time samples are taken.
    (v) The control and treatment test cycles may be run simultaneously
or sequentially. Control samples are to be taken in the same manner as
treatment samples, upon influent and discharge.
    (w) The samples must be analyzed in such a way so that post
collection mortality is minimized and proper analyses can be performed
to determine the number of living organisms relative to the
specifications of the discharge standard. Validation of the methods
used must be made in the Test Plan required under Sec.  162.060-24 of
this subpart.
    (x) Efficacy testing and sample analysis is meant to determine the
number of living organisms in the samples both before and after
treatment. The methods for the collection, handling, storage, and
analysis of samples must be clearly cited and described in the Test
Plan, and they must include detection, enumeration, and identification
of test organisms used for determining viability. When standard methods
are not available for particular organisms or taxonomic groups, methods
that are developed for use must also be described in detail in the Test
Plan and include any experiments conducted to validate the use of the
methods. At a minimum--
    (1) The efficacy of a proposed BWMS must be tested by means of
standard scientific methodology in the form of controlled experiments;
    (2) The efficacy of the BWMS must be determined by comparing the
concentration of organisms in the treated discharge with the values of
the BWDS specified in 33 CFR part 151, subparts C and D;
    (3) Any statistical analyses of BWMS performance must include power
analyses to evaluate the ability of the tests to detect differences;
    (4) If, in any test cycle, the average organism concentration in
challenge water is less than 10 times the maximum permissible values of
the BWDS required in 33 CFR part 151, subparts C and D, the test cycle
is invalid;
    (5) If, in any test cycle, the average organism concentration in
discharged control water is less than the maximum permissible values of
the BWDS required in 33 CFR part 151, subparts C and D, the test cycle
is invalid; and
    (6) Different samples may be taken for determination of the
concentration and viability of organisms in the different groups
specified in the BWDS required in 33 CFR part 151, subparts C and D.
    (y) Live/dead judgment must be determined by appropriate industry
or government standards or methods approved by the Coast Guard,
including, but not limited to morphological change, mobility, reaction
to stimulus, or staining using vital dyes or molecular techniques.
    (z) All replicate samples collected within a valid set of test
cycles must meet the BWDS required in 33 CFR part 151, subparts C and
D.

Sec.  162.060-28  Shipboard testing requirements.

    (a) The BWMS manufacturer is responsible for making all
arrangements

for a vessel on which to conduct shipboard tests.
    (b) In addition to the land-based tests required in Sec.  162.060-
26 of this subpart, each BWMS approved under this subpart must undergo
shipboard tests and evaluations that meet the requirements of this
section. The shipboard testing will verify:
    (1) That the BWMS under consideration for approval consistently
results in the routine discharge of ballast water that meets the BWDS
requirements of part 151, subparts C and D; and
    (2) That the operating and maintenance parameters identified by the
manufacturer in the Operation, Maintenance, and Safety Manual are
consistently achieved.
    (c) The vessel used as a platform for shipboard testing under this
section must be selected so that:
    (1) The volumes and rates of ballast water used and treated are
representative of the upper end of the treatment rated capacity for
which the BWMS is intended to be used;
    (2) The circumstances of the vessel's operation during the period
of shipboard testing provide an acceptable range of geographic and
seasonal variability conditions.
    (i) During testing, the ballast water used by the vessel and
treated by the BWMS for the purposes of the shipboard tests must come
from at least 3 different geographic locations that lie in non-
neighboring marine biogeographical provinces (e.g., the IUCN Marine
Ecoregions of the World, as published in the journal BioScience, 2007,
Vol. 57 No. 7; or the Briggs and Eckman bioprovinces, as published in
Briggs, J.C., 1995, Global biogeography. Developments in paleontology
and stratigraphy, Elsevier Science, Amsterdam.)
    (ii) Shipboard tests must be conducted throughout a 12 month
period.
    (3) The ports visited by the vessel provide adequate availability
of transportation and scientific support needed to accomplish the
necessary sampling and analytical procedures during the shipboard
tests.
    (d) The vessel's ballast water system must be provided with
sampling ports arranged in order to collect representative samples of
the ship's ballast water.
    (1) In addition to the sampling ports requirements found in
162.060-26, sampling ports must be located:
    (i) As close as practicable to the BWMS prior to testing and prior
to the discharge point after testing to determine concentrations of
living organisms upon uptake and prior to discharge; and
    (ii) Elsewhere as necessary to ascertain the proper functioning of
the BWMS;
    (2) As close to the overboard outlet as possible.
    (e) The efficacy of the BWMS must be tested during at least ten
valid test cycles.
    (1) A test cycle entails:
    (i) The uptake of ballast water of the ship; the storage of ballast
water on the ship;
    (ii) Treatment of the ballast water by the BWMS, except in control
tanks; and
    (iii) The discharge of ballast water from the ship.
    (2) All test cycles will include quantification of the water
quality parameters on uptake;
    (3) Three test cycles will entail full experimental tests and
consist of quantification of the concentration of living organisms in
the ballast water on uptake and at discharge from the treatment and
control tanks;
    (4) Seven test cycles will consist of discharge tests and of
quantification of the concentration of living organisms in the treated
ballast water on discharge. No control tanks are required;
    (5) Valid test cycles are as follows:
    (i) For full experimental test cycles, uptake water for both the
control tank and ballast water to be treated must have living organism
concentrations exceeding ten times the threshold values of BWDS
required in 33 CFR part 151, subparts C and D, and control tank living
organism concentrations must exceed the values of the BWDS on
discharge;
    (ii) For full experimental test cycles and discharge test cycles,
the BWMS must operate successfully as designed, maintaining control of
all set points and treatment processes, including any pre-discharge
conditioning to remove or neutralize residual treatment chemicals or
by-products; and
    (iii) For full experimental test cycles and discharge test cycles,
all design or required water quality parameters must be met for the
discharged water;
    (6) The source water for all test cycles must be characterized by
measurement of water quality parameters as follows:
    (i) For all BWMS tests, salinity, temperature, and turbidity must
be measured at the beginning, middle, and end of the period of ballast
water uptake; and
    (ii) BWMS that make use of active substances or other processes
that are affected by specific water quality parameters (e.g., dissolved
and particulate organic material, pH, etc.), or water quality
parameters identified by the manufacturer and/or the IL as being
critical must be measured at the beginning, middle, and end of the
period of ballast water uptake.
    (f) Samples of ballast water must be collected from in-line
sampling ports in either of two ways:
    (1) Three replicate samples of water, collected at three discrete
periods of time over the entire period of uptake or discharge (e.g.
beginning, middle, end) as appropriate; or
    (2) One flow averaged sample of at least 1 cubic meter collected
over the entire period of uptake or discharge.
    (g) The following information must be documented during all BWMS
testing operations conducted on the vessel:
    (1) All ballast water operations, including volumes and locations
of uptake and discharge;
    (2) All weather conditions and resultant effects on vessel
orientation and vibration;
    (3) Temperature of the BWMS;
    (4) Scheduled maintenance performed on the system;
    (5) Unscheduled maintenance and repair performed on the system;
    (6) Data for all engineering parameters monitored as appropriate to
the specific system;
    (7) Consumption of all solutions, preparations, or other
consumables necessary for the effective operation of the BWMS; and
    (8) All parameters necessary for tracking the functioning of the
control and monitoring equipment.
    (h) All measurements for numbers and viability of organisms, water
quality parameters, engineering performance parameters, and
environmental conditions must be conducted:
    (1) As described in Sec.  162.060-26 (w) and (x) of this subpart,
using standard methods from recognized bodies such as EPA (in 40 CFR
part 136), the International Standards Organization, or others accepted
by the scientific community, or
    (2) Using validated methods approved in advance by the Coast Guard.
The possible reasons for the occurrence of an unsuccessful test cycle
due to obvious mechanical or process failure or a test cycle discharge
failing the discharge standard should be investigated and reported.

Sec.  162.060-30  Testing requirements for ballast water management
system (BWMS) components.

    (a) The electrical and electronic components, including each alarm
and control and monitoring device of the BWMS, must be subjected to the
following environmental tests when in the standard production
configuration:

    (1) A resonance search vertically up and down, horizontally from
side to side, and horizontally from end to end, at a rate sufficiently
low to permit resonance detection made over the following ranges of
oscillation frequency and amplitude:
    (i) 2 to 13.3 Hz with a vibration amplitude of  1 mm;
    (ii) 13.2 to 80 Hz with an acceleration amplitude of
0.7 g;
    (2) The components must be vibrated in the above mentioned planes
at each major resonant frequency for a period of 4 hours.
    (3) In the absence of any resonant frequency, the components must
be vibrated in each of the planes at 30 Hz with an acceleration of
 0.7 g for a period of 4 hours.
    (4) Components that may be installed in exposed areas on the open
deck or in enclosed spaces not environmentally controlled must be
subjected to a low temperature test of -25 [deg]C and a high
temperature test of 55 [deg]C for a period of two hours.
    (5) Components that may be installed in enclosed spaces that are
environmentally controlled, including an engine-room, must be subjected
to a low temperature test at 0 [deg]C and a high temperature test at 55
[deg]C, for a period of two hours. At the end of each test, the
components are to be switched on and must function normally under the
test conditions.
    (6) Components should be switched off for a period of two hours at
a temperature of 55 [deg]C in an atmosphere with a relative humidity of
90%. At the end of this period, the components should be switched on
and should operate satisfactorily for one hour under the test
conditions.
    (7) Components that may be installed in exposed areas on the open
deck must be subjected to tests for protection against heavy seas in
accordance with IP 56 of publication IEC 529 (incorporated by
reference; see Sec.  162.060-5) or its equivalent.
    (8) Components must operate satisfactorily with a voltage variation
of  10% together with a simultaneous frequency variation of
 5%, and a transient voltage of  20% together
with a simultaneous transient frequency of  10% and
transient recovery time of 3 seconds.
    (9) The components of a BWMS must be designed to operate when the
ship is upright and inclined at any angle of list up to and including
15[deg] either way under static conditions and 22.5[deg] under dynamic,
rolling conditions either way and simultaneously inclined dynamically
(pitching) 7.5[deg] by bow or stern. Deviation from these angles may be
permitted only upon approval of a written waiver submitted to the Coast
Guard in accordance with 162.060-10(h), taking into consideration the
type, size and service conditions and locations of the ships and
operational functioning of the equipment for where the system will be
used. Any deviation permitted must be documented in the Type Approval
Certificate.
    (10) The same component(s) must be used for each test required by
this section, and testing must be conducted in the order in which the
tests are described, unless otherwise authorized by the Coast Guard.
    (b) There shall be no cracking, softening, deterioration,
displacement, breakage, leakage, or damage of components or materials
that affects the operation or safety of the BWMS after each test. The
components must remain operable after all tests.

Sec.  162.060-32  Testing and evaluation requirements for Active
Substances, Preparations, and Relevant chemicals.

    (a) A BWMS may not use an active substance or preparation that is a
pesticide unless the sale and distribution of such pesticide is
authorized under the Federal Insecticide, Fungicide, and Rodenticide
Act (FIFRA) for use in ballast water treatment, prior to submission to
the Coast Guard for approval of the BWMS. This requirement does not
apply to the use of active substances or preparations generated solely
by the use of a device (as defined under FIFRA) on board the same
vessel as the ballast water to be treated.
    (b) A BWMS that uses an active substance or preparation that is not
a pesticide, or that uses a pesticide that is generated solely by the
use of a device (as defined under FIFRA) on board the same vessel as
the ballast water to be treated, must prepare an assessment
demonstrating the effectiveness of the BWMS for its intended use,
appropriate dosage, hazards of the BWMS, and means for protection of
the environment, and public health. This assessment must accompany the
application package submitted to the Coast Guard.

Sec.  162.060-34  Test Report requirements.

    (a) The final results of all approval tests and evaluations must be
presented in a Test Report prepared by the Independent Laboratory (IL).
    (b) The Test Report must include all data regarding test
conditions, quality control measures, results of all approval tests and
evaluations, and all data or information supplied by the manufacturer
regarding the performance of the system. The Test Report must contain
all information required by 46 CFR 159.005-11 and include applicable
sections for all land-based, shipboard, component, active substance,
preparations and relevant chemical tests, and evaluations.
    (c) The Test Report must include a summary statement that presents
the IL's assessment based on the tests and evaluations conducted. The
summary statement should state if the BWMS--
    (i) Has been shown under the procedures and conditions specified in
this subpart to meet the Ballast Water Discharge Standard requirements
of 33 part 151, subparts C and D;
    (ii) Is designed and constructed according to the requirements of
Sec.  162.060-20 of this subpart;
    (iii) Is in compliance with all applicable U.S. Environmental
Protection Agency (EPA) regulations; and
    (iv) Operates at the rated capacity, performance, and reliability
as specified by the manufacturer.
    (d) The Test Report for a BWMS that may incorporate, use, produce,
generate as a by-product and/or discharge hazardous materials, active
substances, relevant chemicals and/or pesticides during its operation
must include the following information in the appendix of the Test
Report:
    (1) A list of each active substance or preparation used in the
BWMS. For each active substance or preparation that is a pesticide and
is not generated solely by the use of a device on board the same vessel
as the ballast water to be treated, the appendix must also include
documentation that the sale or distribution of the pesticide is
authorized under FIFRA for use for ballast water treatment. For all
other active substances or preparations, the appendix must include
documentation of the assessment specified at Section 162.060-32(b);
    (2) A list of all active substances, preparations, and relevant
chemicals, along with the results of all tests conducted; and
    (3) A list of all hazardous materials, including the applicable
hazard classes, proper shipping names, reportable quantities as
designated by 40 CFR 117.1, and chemical names of all components.
    (e) The Test Report must contain the following documentation:
    (1) The Operation, Maintenance, and Safety Manual meeting the
requirements of Sec.  162.060-38 for the BWMS specific to the vessel
where testing was conducted, with a technical description of the BWMS,
operational and maintenance procedures, backup

procedures in case of equipment malfunction, installation
specifications, installation commissioning procedures, and any initial
calibration procedures.
    (2) Verification that--
    (i) The BWMS installation has been carried out in accordance with
the technical installation specification;
    (ii) Any operational inlets and outlets are located in the
positions indicated on the drawing of the pumping and piping
arrangements;
    (iii) The workmanship of the installation is satisfactory and, in
particular, that any bulkhead penetrations or penetrations of the
ballast system piping are to the relevant approved standards;
    (iv) The control and monitoring equipment operates correctly;
    (v) The BWMS's capacity is within the range of the Treatment Rated
Capacity for which it is intended; and
    (vi) The amount of ballast water treated in the test cycle is
consistent with the normal ballast operations of the ship, and that the
BWMS was operated at the Treatment Rated Capacity for which it is
intended to be approved.
    (f) The Test Report must contain the following information:
    (1) Summary Statement;
    (2) Executive Summary;
    (3) Introduction and Background;
    (4) Description of the BWMS;
    (5) For each test conducted--
    (i) Description of the test conditions;
    (ii) Experimental design;
    (iii) Methods and procedures; and
    (iv) Results and discussion;
    (6) Appendices, including--
    (i) Test Plans;
    (ii) Manufacturer supplied Operation, Maintenance and Safety Manual
meeting the requirements of Sec.  162.060-38;
    (iii) Data generated during testing & evaluations;
    (iv) Quality assurance and controls records;
    (v) Maintenance logs;
    (vi) Relevant records and tests results maintained or created
during testing;
    (vii) Information on hazardous materials, active substances, and
relevant chemicals and pesticides; and
    (viii) Permits, registrations, restrictions, and regulatory
limitations on use.

Sec.  162.060-36  Quality Assurance Project Plan (QAPP) requirements.

    The approval testing and evaluation process must contain a rigorous
quality control and assurance program consisting of a Quality Assurance
Project Plan (QAPP) developed in accordance with ISO/IEC 17025, General
Requirements for the Competence of Calibration and Testing
Laboratories. The Independent Laboratory performing approval tests and
evaluations is responsible for ensuring the appropriate quality
assurance and quality control procedures are implemented.

Sec.  162.060-38  Operation, Maintenance, and Safety Manual (OMSM).

    (a) Each BWMS submitted for approval must include an Operation,
Maintenance, and Safety Manual (OMSM), which includes a complete
description of the BWMS, information on the treatment process[es],
design criteria, physical configuration, electrical, instrumentation,
control systems, operating instructions, maintenance requirements, and
all health and safety issues.
    (b) Each OMSM must include the following sections:
    (1) Table of contents.
    (2) Manufacturer's information.
    (3) Principles of system operation including--
    (i) A complete description of the BWMS, methods and type[s] of
technologies used in each treatment stage of the BWMS;
    (ii) The theory of operation;
    (iii) Any process or technology limitations;
    (iv) Performance ranges and expectations of the system; and
    (v) A description of the locations and conditions for which the
BWMS is intended.
    (4) Major system components and shipboard application including--
    (i) A general description of the materials used when constructing
and installing the BWMS;
    (ii) A detailed description of the onboard physical configuration
of the BWMS and how it will be physically integrated with shipboard
ballast systems at all stages of ballast water treatment; general
arrangement of installed equipment; utility connections such as power,
water, and air; interfaces with shipboard systems; and required
connections to a vessel's piping systems and foundations;
    (iii) A list of each major component that may be fitted differently
in different vessels with a general description of the different
arrangements schemes;
    (iv) The range of vessel sizes, classes, and operations for which
it is intended;
    (v) Any vessel type[s], services or locations where the system is
not intended to be used;
    (vi) Maximum and minimum flow and volume capacities of the system;
    (vii) The dimensions and weight of the complete system and required
connection and flange sizes for all major components;
    (viii) A description of all actual or potential effects of the BWMS
on the vessel's ballast water, ballast water tanks, and ballast water
piping and pumping systems;
    (ix) A list of all active substances, relevant chemicals, and
pesticides generated or stored onboard the vessel to be used by the
BWMS; and
    (x) Information on whether the BWMS is designed to be used in
hazardous locations as defined in the NEC (incorporated by reference;
see Sec.  162.060-5) and in IEC 79-0 (incorporated by reference; see
Sec.  162.060-5).
    (5) System and major system component drawings as applicable under
46 CFR Sec.  56.01-10(b), including--
    (i) Process flow diagram(s) of the BWMS showing the main treatment
processes, chemicals, and monitoring and control devices for the BWMS;
    (ii) Footprint(s), drawings, and system schematics showing all
major components and arrangements;
    (iii) Drawings of the pumping and piping arrangements, power
panels, and all equipment provided with the BWMS;
    (iv) All treatment application points, waste or recycling streams,
and all sampling points integral to the specific BWMS;
    (v) All locations and the sizes of all piping and utility
connections for power, water, compressed air or other utilities as
required by the BWMS;
    (vi) Detailed electrical plans of each relevant component of the
BWMS as described in 46 CFR 110.25-1 and electrical/electronic wiring
diagrams that include the location and electrical rating of power
supply panels and BWMS control and monitoring equipment;
    (vii) Unit(s), construction materials, standards and labels on all
drawings of equipment, piping, instruments, and appurtenances; and
    (viii) An index of all drawings and diagrams.
    (6) A description of the BWMS's control and monitoring equipment
and how it will be integrated with the existing shipboard ballast
system, including--
    (i) Power demand;
    (ii) Main and local control panels;
    (iii) Power distribution system;
    (iv) Power quality equipment;
    (v) Instrumentation and control system architecture;
    (vi) Process control description;
    (vii) Operational set points, control loops, control algorithms,
and alarm settings for routine, maintenance, and emergency operations;
and

    (viii) All devices required for measuring appropriate parameters
such as: Pressure, temperature, flow rate, water quality, power, and
chemical residuals.
    (7) A description of all relevant standard operating procedures
including, but not limited to:
    (i) System start-up and system shutdown procedures and times;
    (ii) Emergency shutdown and system by-pass procedures;
    (iii) Requirements to achieve treatment objectives (e.g., time
following initial treatment, critical dosages, residual concentrations,
etc);
    (iv) Operating, safety, and emergency procedures;
    (v) System limitations, precautions, and set points;
    (vi) Detailed instructions on operation, calibration and zeroing of
each monitoring device used with the system;
    (vii) Personnel requirements for the BWMS including number and
types of personnel needed, labor burden, and operator training or
specialty certification requirements.
    (8) A description of the preventive and corrective maintenance
requirements of the BWMS, including:
    (i) Inspection and adjustment procedures;
    (ii) Troubleshooting procedures;
    (iii) An illustrated list of parts and spare parts;
    (iv) A list of recommended spare parts to have during installation
and operation of the BWMS;
    (v) Use of tools and test equipment in accordance with the
maintenance procedures; and
    (vi) Point[s] of contact for technical assistance.
    (9) A description of the health and safety risks to the personnel
associated with the installation, operation, and maintenance of the
BWMS including, but not limited to:
    (i) The storage, handling, and disposal of any hazardous wastes;
    (ii) Any health and safety certification/training requirements for
personnel operating the BWMS; and
    (iii) All material safety data sheets for hazardous or relevant
chemicals used, stored or generated by or for the system.
    (c) If any information in the OMSM changes as a result of approval
testing and evaluations, a new OMSM must be submitted.

Sec.  162.060-40  Requirements of Independent Laboratories (IL).

    (a) Each request for designation as an Independent Laboratory (IL)
authorized to perform approval tests must either be delivered by
visitors or through the mail to the Commandant (CG-521), Office of
Design and Engineering Standards, 2nd Street, SW., Washington, DC
20593, in a written or electronic format.
    (b) Each request must include the following:
    (1) Name and address of the IL;
    (2) Each type of equipment the IL proposes to test; and
    (3) A description of the IL's capability to perform approval tests
including detailed information on the following:
    (i) Management organization, including personnel qualifications;
    (ii) Equipment available for conducting sample analysis;
    (iii) Materials available for approval testing;
    (iv) Each of the IL's test rigs; and
    (v) Disposal procedures for all treated and control water.
    (c) The Coast Guard will review each request submitted to determine
whether the IL meets the requirements of this section.
    (d) To obtain authorization to conduct approval tests--
    (1) An IL must have the management organization, equipment for
conducting sample analysis, and the materials necessary to perform the
tests;
    (2) The loss or award of a specific contract to test equipment must
not be a substantial factor in the IL's financial well being; and
    (3) The IL must be free of influence and control of the
manufacturers and suppliers of the equipment.
    (e) Each test and evaluation must be performed by the IL and
accepted by the Coast Guard. A list of independent laboratories
accepted by the Coast Guard may be found at http://cgmix.uscg.mil/, or
may be obtained by contacting the Commandant (CG-521), 2100 2nd Street,
SW., Washington, DC 20593. ILs may not be subcontracted by an IL for
BWMS approval testing unless previously authorized by the Coast Guard.
If the IL identified in the application requests authorization to
subcontract approval tests or evaluations, the Coast Guard must
evaluate the suitability of each identified IL prior to conducting any
tests or evaluations required under this subpart. A request for
authorization to subcontract must be sent to the Commandant (CG-521),
2100 2nd Street, SW., Washington, DC 20593.
    (f) Upon receipt of the approval application, the IL will conduct a
readiness evaluation and determine the acceptability for testing.
    (g) The readiness evaluation will examine the design and
construction of the BWMS to determine whether there are any fundamental
problems that might constrain the ability of the BWMS to manage ballast
water as proposed by the manufacturer or to operate it safely onboard
vessels. This evaluation must consider the following:
    (1) The health and safety of the crew, including potential long
term effects as determined by the EPA;
    (2) Any potential adverse environmental effects as determined by
the EPA;
    (3) Interactions with vessel systems and cargo and the potential
impacts to a vessel, including effects on corrosion in the ballast
water system and other spaces;
    (h) To be approved for testing and evaluations, a BWMS must:
    (1) Be designed and constructed according to the requirements of
Sec.  162.060-20;
    (2) Meet the definition of a complete BWMS, as defined in this
subpart, to include both ballast water treatment equipment and control
and monitoring equipment. Only complete systems in the configurations
in which they are intended for sale and use will be accepted for
approval testing. The Coast Guard will not separately approve
treatment, control, or monitoring components; and
    (3) Meet all existing safety and environmental regulatory
requirements for all locations and conditions where the system will be
operated during the testing and evaluation period.
    (i) The IL has the right to reject a proposed BWMS for testing and
evaluation if it does not satisfy the requirements in (h), is not
deemed ready for approval testing and evaluations, or, if for technical
or logistical reasons, that IL does not have the capabilities to
accommodate the BWMS for testing or evaluation.
    (j) For each approval test to be completed, the IL must prepare a
written test plan in accordance with Sec.  162.060-24.
    (k) Upon notification by the IL that the BWMS is acceptable for
testing, the manufacturer must provide a complete BWMS for testing and
evaluation to the IL.
    (l) For all land-based tests, the BWMS must be set up in accordance
with the BWMS Operation, Maintenance and Safety Manual, with respect to
mounting water supply and discharge fittings.
    (m) Prior to commencing land-based or shipboard testing required
under this subpart, the manufacturer must sign a written statement to
attest that the system was properly assembled and installed at the IL
or onboard the test vessel.
    (n) All approval testing and evaluations must be conducted in

accordance with testing requirements of this subpart and within the
range or rated capacity of the BWMS.
    (o) Upon completion of all approval tests and evaluations, the IL
must follow the requirements of 46 CFR 159.005-9(a)(5) and ensure a
complete Test Report is forwarded to the Commanding Officer, U.S. Coast
Guard Marine Safety Center, Jemal Building, JR 10-0525, 2100 Second
Street, SW., Washington, DC 20593.

    Dated: August 17, 2009.
Thad W. Allen,
Admiral, U.S. Coast Guard, Commandant.
[FR Doc. E9-20312 Filed 8-27-09; 8:45 am]

BILLING CODE 4910-15-P