(i) Whether technology to comply with a performance standard more
stringent than that required by paragraph (a) of this section can be
practicably implemented, in whole or in part, and, if so, the Coast
Guard will schedule a rulemaking to implement the more stringent
standard; and
    (ii) Whether testing protocols that can accurately measure efficacy
of treatment against a performance standard more stringent than that
required by paragraph (a) of this section can be practicably
implemented.
    (2) If the Coast Guard determines on the basis of a practicability
review conducted under paragraph (c)(1) of this section that technology
to achieve a significant improvement in ballast water treatment
efficacy could be practicably implemented, the Coast Guard will report
this finding and will, no later than January 1, 2017, initiate a
rulemaking that would establish performance standards and other
requirements or conditions to ensure to the maximum extent practicable
that aquatic nuisance species are not discharged into waters of the
United States from vessels. If the Coast Guard subsequently finds that
it is not able to meet this schedule, the Coast Guard will publish a
notice in the Federal Register so informing the public, along with an
explanation of the reason for the delay, and a revised schedule for
rule making that shall be as expeditious as practicable.
    (3) When conducting the practicability review as required by
paragraph (c)(1) of this section, the Coast Guard will consider--
    (i) The capability of any identified technology to achieve a more
stringent ballast water discharge standard, in whole or in part;
    (ii) The effectiveness of any identified technology in the
shipboard environment;
    (iii) The compatibility of any identified technology with vessel
design and operation;
    (iv) The safety of any identified technology;
    (v) Whether the use of any identified technology may have an
adverse impact on the environment;
    (vi) The cost of any identified technology;
    (vii) The economic impact of any identified technology, including
the impact on shipping, small businesses, and other uses of the aquatic
environment;
    (viii) The availability, accuracy, precision, and cost of methods
and technologies for measuring the concentrations of organisms,
treatment chemicals, or other pertinent parameters in treated ballast
water as would be required under any alternative discharge standards;
    (ix) Any requirements for the management of ballast water included
in the most current version of the U.S. Environmental Protection
Agency's Vessel General Permit and any documentation available from the
EPA regarding the basis for these requirements; and
    (x) Any other factor that the Coast Guard considers appropriate
that is related to the determination of whether identified technology
is performable, practicable, and/or may possibly prevent the
introduction and spread of non-indigenous aquatic invasive species.

Sec.  151.1512 and 151.1514   [Redesignated as Sec. Sec.  151.1514 and
151.1515]

0
7. Redesignate Sec. Sec.  151.1512 and 151.1514 as Sec. Sec.  151.1514
and 151.1515, respectively.

0
8. Add a new Sec.  151.1512 to read as follows:

Sec.  151.1512  Implementation schedule for approved ballast water
management methods.

    (a) In order to discharge ballast water into the waters of the
United States, the master, owner, operator, agent, or person in charge
of a vessel subject to Sec.  151.1510 of this subpart must either
ensure that the ballast water meets the ballast water discharge
standard as defined in Sec.  151.1511(a), use an AMS as provided for
under Sec.  151.1510(a)(1) or ballast exclusively with water from a
U.S. public water system, as described in Sec.  151.1510(a)(4),
according to the schedule in paragraph (b) of this section.
    (b) Implementation Schedule for the Ballast Water Management
Discharge Standard for vessels using a Coast Guard approved BWMS to
manage ballast water discharged to U.S. waters. After the dates listed
in Table 151.1512(b), vessels may use a USCG-

approved BWMS and comply with the discharge standard, or employ an
approved alternative ballast water management method per Sec.
151.1510(a)(1) and (4).

  Table 151.1512(b)--Implementation Schedule for Ballast Water Management Discharge Standards for Vessels Using
                              Coast Guard Approved Ballast Water Management Systems
----------------------------------------------------------------------------------------------------------------
                                        Vessel's ballast
                                         water capacity         Date constructed       Vessel's compliance date
----------------------------------------------------------------------------------------------------------------
New vessels........................  All...................  On or after December    On delivery.
                                                              1, 2013.
Existing vessels...................  Less than 1500 m\3\...  Before December 1,      First scheduled drydocking
                                                              2013.                   after January 1, 2016.
                                     1500-5000 m\3\........  Before December 1,      First scheduled drydocking
                                                              2013.                   after January 1, 2014.
                                     Greater than 5000 m\3\  Before December 1,      First scheduled drydocking
                                                              2013.                   after January 1, 2016.
----------------------------------------------------------------------------------------------------------------

0
9. Add new Sec.  151.1513 to read as follows:

Sec.  151.1513  Extension of Compliance Date.

    The Coast Guard may grant an extension to the implementation
schedule in Sec.  151.1512(b) of this subpart only in those cases where
the master, owner, operator, agent, or person in charge of a vessel
subject to this subpart can document that, despite all efforts,
compliance with the requirement under Sec.  151.1510 is not possible.
Any extension request must be made no later than 12 months before the
scheduled implementation date listed in Sec.  151.1512(b) of this
subpart and submitted in writing to the Commandant (CG-522), U.S. Coast
Guard Office of Operating and Environmental Standards, 2100 2nd St.
SW., Stop 7126, Washington, DC 20593-7126. Summary information
concerning all extension decisions, including the name of the vessel
and vessel owner, the term of the extension, and the basis for the
extension will be promptly posted on the Internet. Extensions will be
for no longer than the minimum time needed, as determined by the Coast
Guard, for the vessel to comply with the requirements of Sec.
151.1510.

0
10. Revise newly redesignated Sec.  151.1515 as follows:

Sec.  151.1515  Ballast water management alternatives under
extraordinary conditions.

    (a) As long as ballast water exchange (BWE) remains an option under
the schedule in Sec.  151.1512(b) of this subpart, the master of any
vessel subject to this subpart who uses BWE to meet the requirements of
this subpart and, due to weather, equipment failure, or other
extraordinary conditions, is unable to effect a BWE before entering the
U.S. Exclusive Economic Zone, and intends to discharge ballast water
into the waters of the United States, must request permission from the
Captain of the Port (COTP) to exchange the vessel's ballast water
within an area agreed to by the COTP at the time of the request and
then discharge the vessel's ballast water within that designated area.
    (b) Once BWE is no longer an option under the schedule in Sec.
151.1512(b) of this subpart, if the ballast water management system
required by this subpart stops operating properly during a voyage or
the vessel's BWM method is unexpectedly unavailable, the master, owner,
operator, agent, or person in charge of the vessel must ensure that the
problem is reported to the COTP as soon as practicable. The vessel may
continue to the next port of call, subject to the directions of the
COTP or the Ninth District Commander, as provided by 33 CFR part 160.

0
11. Revise Sec.  151.1516(a) to read as follows:

Sec.  151.1516  Compliance Monitoring.

    (a) The master of each vessel equipped with ballast tanks must
provide, as detailed in Sec.  151.2070 of this part, the following
information, in written form, to the Captain of the Port (COTP):
* * * * *

0
12. Revise subpart D of part 151 to read as follows:
Subpart D--Ballast Water Management for Control of Nonindigenous
Species in Waters of the United States
Sec.
151.2000 Purpose and scope.
151.2005 Definitions.
151.2010 Applicability.
151.2013 Severability.
151.2015 Exemptions.
151.2020 Vessels in innocent passage.
151.2025 Ballast water management requirements.
151.2026 Alternate management systems.
151.2030 Ballast water discharge standard (BWDS).
151.2035 Implementation schedule for approved ballast water
management methods.
151.2036 Extension of compliance date.
151.2040 Discharge of ballast water in extraordinary circumstances.
151.2050 Additional requirements--nonindigenous species reduction
practices.
151.2055 Deviation from planned voyage.
151.2060 Reporting requirements.
151.2065 Equivalent reporting methods for vessels other than those
entering the Great Lakes or Hudson River after operating outside the
U.S. Exclusive Economic Zone or Canadian equivalent.
151.2070 Recordkeeping requirements.
151.2075 Enforcement and compliance.
151.2080 Penalties.

    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 (16 U.S.C. 4701-4751), as
amended by the National Invasive Species Act of 1996.

Sec.  151.2005  Definitions.

    (a) Unless otherwise stated in this section, the definitions in 33
CFR 151.1504, 33 CFR 160.204, and the United Nations Convention on the
Law of the Sea apply to this subpart.
    (b) As used in this subpart:
    Captain of the Port (COTP) means the Coast Guard officer designated
by the Commandant to command a COTP Zone as described in part 3 of this
chapter.
    Constructed in respect of a vessel means a stage of construction
when--
    (1) The keel of a vessel is laid;
    (2) Construction identifiable with the specific vessel begins;
    (3) Assembly of the vessel has commenced and comprises at least 50
tons or 1 percent of the estimated mass of all structural material,
whichever is less; or
    (4) The vessel undergoes a major conversion.
    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 pump(s) lose
suction, then refilling it with mid-ocean water.
    International Maritime Organization (IMO) ballast water management
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).
    National Ballast Information Clearinghouse (NBIC) means the
National Ballast Information Clearinghouse operated by the Coast Guard
and the Smithsonian Environmental Research Center as mandated under the
National Invasive Species Act of 1996.
    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.
    Seagoing vessel means a vessel in commercial service that operates
beyond the boundary line established by 46 CFR part 7. It does not
include a vessel that navigates exclusively on inland waters.
    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,
the Commonwealth of the Northern Mariana Islands, and any other
territory or possession over which the United States exercises
sovereignty.
    Voyage means any transit by a vessel destined for any United States
port or place.

Sec.  151.2010  Applicability.

    This subpart applies to all non-recreational vessels, U.S. and
foreign, that are equipped with ballast tanks and operate in the waters
of the United States, except as expressly provided in Sec. Sec.
151.2015 or 151.2020 of this subpart.

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 all of the requirements
of this subpart:
    (1) Any Department of Defense or Coast Guard vessel 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)).
    (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, such vessels should act in a manner
consistent, so far as is reasonable and practicable, with this subpart.
    (b) The following vessels are exempt from the requirements of
Sec. Sec.  151.2025 (ballast water management (BWM) requirements),
151.2060 (reporting), and 151.2070 (recordkeeping) of this subpart:
    (1) Crude oil tankers engaged in coastwise trade.
    (2) Vessels that operate exclusively within one Captain of the Port
(COTP) Zone.
    (c) The following vessels are exempt only from the requirements of
Sec.  151.2025 (BWM requirements) of this subpart:
    (1) Seagoing vessels that operate in more than one COTP Zone, do
not operate outside of the Exclusive Economic Zone (EEZ), and are less
than or equal to 1,600 gross register tons or less than or equal to
3,000 gross tons (International Convention on Tonnage Measurement of
Ships, 1969).
    (2) Non-seagoing vessels.
    (3) Vessels that take on and discharge ballast water exclusively in
one COTP Zone.

Sec.  151.2020  Vessels in innocent passage.

    A foreign vessel that is merely traversing the territorial sea of
the United States (unless bound for, entering or departing a U.S. port
or 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 equipped with ballast tanks that operates in the waters of the
United States must employ one of the following ballast water management
methods:
    (1) Install and operate a ballast water management system (BWMS)
that has been approved by the Coast Guard under 46 CFR part 162. The
BWMS must be installed in accordance with Sec.  151.2035(b) of this
subpart. 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.
Unless otherwise expressly provided for in this subpart, the master,
owner, operator, agent, or person in charge of vessels employing a
Coast Guard-approved BWMS must meet the applicable ballast water
discharge standard (BWDS), found in Sec.  151.2030 of this subpart, at
all times of discharge into the waters of the United States.
    (2) Use only water from a U.S. public water system (PWS), as
defined in 40 CFR 141.2, that meets the requirements of 40 CFR parts
141 and 143 as ballast water. Vessels using water from a PWS as ballast
must maintain a record of which PWS they received the water from as
well as a receipt, invoice, or other documentation from the PWS
indicating that water came from that system. Furthermore, they must
certify that they have met the conditions in paragraphs (a)(2)(i) or
(ii) of this section, as applicable, and describe in the BWM plan the
procedures to be used to ensure compliance with those conditions, and
thereafter document such compliance in the BW record book. Vessels
using water from a PWS must use such water exclusively unless the usage
is in accordance with Sec.  151.2040 of this subpart. Vessels using PWS
water as ballast must have either--
    (i) Previously cleaned the ballast tanks (including removing all
residual sediments) and not subsequently introduced ambient water; or
    (ii) Never introduced ambient water to those tanks and supply
lines.
    (3) Perform complete ballast water exchange in an area 200 nautical
miles from any shore prior to discharging ballast water, unless the
vessel is required to employ an approved BWMS per the schedule found in
Sec.  151.2035(b) of this subpart. An alternate management system (AMS)
that meets the requirements of Sec.  151.2026 of this subpart may also
be used, so long as it was installed on the vessel prior to the date
that the vessel is required to comply with the BWDS in accordance with
Sec.  151.2035(b) of this subpart. If using an AMS, the master, owner,
operator, agent, or person in charge of the vessel subject to this
subpart may

employ the AMS for no longer than 5 years from the date they would
otherwise be required to comply with the BWDS in accordance with Sec.
151.2035(b) of this subpart;
    (4) Do not discharge ballast water into waters of the United
States.
    (5) Discharge to a facility onshore or to another vessel for
purposes of treatment. Any vessel owner/operator discharging ballast
water to a facility onshore or to another vessel must ensure that all
vessel piping and supporting infrastructure up to the last manifold or
valve immediately before the dock manifold connection of the receiving
facility or similar appurtenance on a reception vessel prevents
untreated ballast water from being discharged into waters of the United
States.
    (b) Requests for approval of BWMS must be submitted to the
Commanding Officer (Marine Safety Center), U.S. Coast Guard Marine
Safety Center, 2100 2nd St. SW., Stop 7102, Washington, DC 20593-7102,
or by email to<EMAIL_ADDRESS>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 laws and 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
Independent Laboratory in accordance with the requirements of 46 CFR
162.060-10 and 46 CFR 162.060-28 will be deemed to be in compliance
with paragraph (a)(1) of this section.

Sec.  151.2026  Alternate management systems.

    (a) A manufacturer whose ballast water management system (BWMS) has
been approved by a foreign administration pursuant to the standards set
forth in the International Convention for the Control and Management of
Ships' Ballast Water and Sediments, 2004, may request in writing, for
the Coast Guard to make a determination that their BWMS is an alternate
management system (AMS). Requests for determinations under this section
must include:
    (1) The type-approval certificate for the BWMS.
    (2) Name, point of contact, address, and phone number of the
authority overseeing the program;
    (3) Final test results and findings, including the full analytical
procedures and methods, results, interpretations of the results, and
full description and documentation of the Quality Assurance procedures
(i.e., sample chain of custody forms, calibration records, etc.);
    (4) A description of any modifications made to the system after
completion of the testing for which a determination is requested; and
    (5) A type approval application as described under 46 CFR 162.060-
12.
    (i) Once ballast water management systems are type approved by the
Coast Guard and available for a given class, type of vessels, or
specific vessel, those vessels will no longer be able to install AMS in
lieu of type approved systems.
    (ii) [Reserved]
    (b) Requests for determinations must be submitted in writing to the
Commanding Officer, U.S. Coast Guard Marine Safety Center, 2100 2nd St.
SW., Stop 7102, Washington, DC 20593-7102.
    (c) If using an AMS that was installed on the vessel prior to the
date that the vessel is required to comply with the ballast water
discharge standard in accordance with Sec.  151.2035(b), the master,
owner, operator, agent, or person in charge of the vessel subject to
this subpart may employ such AMS for no longer than 5 years from the
date they would otherwise be required to comply with the ballast water
discharge standard in accordance with the implementation schedule in
Sec.  151.2035 (b) of this subpart. To ensure the safe and effective
management and operation of the AMS equipment, the master, owner,
operator, agent or person in charge of the vessel must ensure the AMS
is maintained and operated in conformity with the system
specifications.
    (d) An AMS determination issued under this section may be
suspended, withdrawn, or terminated in accordance with the procedures
contained in 46 CFR 162.060-18.

Sec.  151.2030  Ballast water discharge standard (BWDS).

    (a) Vessels employing a Coast Guard-approved ballast water
management system (BWMS) must meet the following BWDS by the date
listed in Sec.  151.2035(b) of this subpart:
    (1) For organisms greater than or equal to 50 micrometers in
minimum dimension: Discharge must include fewer than 10 organisms per
cubic meter of ballast water.
    (2) For organisms less than 50 micrometers and greater than or
equal to 10 micrometers: Discharge must include fewer than 10 organisms
per milliliter (mL) of ballast water.
    (3) Indicator microorganisms must not exceed:
    (i) For toxicogenic Vibrio cholerae (serotypes O1 and O139): A
concentration of less than 1 colony forming unit (cfu) per 100 mL.
    (ii) For Escherichia coli: a concentration of fewer than 250 cfu
per 100 mL.
    (iii) For intestinal enterococci: A concentration of fewer than 100
cfu per 100 mL.
    (b) [Reserved]
    (c) The Coast Guard will conduct a practicability review as
follows:
    (1) No later than January 1, 2016, the Coast Guard will publish the
results of a practicability review to determine--
    (i) Whether technology to comply with a performance standard more
stringent than that required by paragraph (a) of this section can be
practicably implemented, in whole or in part, and, if so, the Coast
Guard will schedule a rulemaking to implement the more stringent
standard; and
    (ii) Whether testing protocols that can assure accurate measurement
of compliance with a performance standard more stringent than that
required by paragraph (a) of this section can be practicably
implemented.
    (2) If the Coast Guard determines on the basis of a practicability
review conducted under paragraph (c)(1) of this section that technology
to achieve a significant improvement in ballast water treatment
efficacy could be practicably implemented, the Coast Guard will report
this finding and will, no later than January 1, 2017, initiate a
rulemaking that would establish performance standards and other
requirements or conditions to ensure to the maximum extent practicable
that aquatic nuisance species are not discharged into waters of the
United States from vessels. If the Coast Guard

subsequently finds that it is not able to meet this schedule, the Coast
Guard will publish a notice in the Federal Register so informing the
public, along with an explanation of the reason for the delay, and a
revised schedule for rule making that shall be as expeditious as
practicable.
    (3) When conducting the practicability review as described in
paragraph (c)(1) of this section, the Coast Guard will consider--
    (i) The capability of any identified technology to achieve a more
stringent BWDS, in whole or in part;
    (ii) The effectiveness of any identified technology in the
shipboard environment;
    (iii) The compatibility of any identified technology with vessel
design and operation;
    (iv) The safety of any identified technology;
    (v) Whether the use of any identified technology may have an
adverse impact on the environment;
    (vi) The cost of any identified technology;
    (vii) The economic impact of any identified technology, including
the impact on shipping, small businesses, and other uses of the aquatic
environment;
    (viii) The availability, accuracy, precision, and cost of methods
and technologies for measuring the concentrations of organisms,
treatment chemicals, or other pertinent parameters in treated ballast
water as would be required under any alternative discharge standards;
    (ix) Any requirements for the management of ballast water included
in the most current version of the Environmental Protection Agency's
Vessel General Permit and any documentation available from the EPA
regarding the basis for these requirements; and
    (x) Any other factor that the Coast Guard considers appropriate
that is related to the determination of whether identified technology
is performable, practicable, and/or may possibly prevent the
introduction and spread of non-indigenous aquatic invasive species.

Sec.  151.2035  Implementation schedule for approved ballast water
management methods.

    (a) To discharge ballast water into waters of the United States,
the master, owner, operator, agent, or person in charge of a vessel
subject to Sec.  151.2025 of this subpart must either ensure that the
ballast water meets the ballast water discharge standard as defined in
Sec.  151.2030(a), use an AMS as described in Sec.  151.2025(a)(3) or
ballast with water from a U.S. public water system, as described in
Sec.  151.2025(a)(2), according to the schedule in paragraph (b) of
this section.
    (b) Implementation Schedule for the Ballast Water Management
Discharge Standard for vessels using a Coast Guard approved BWMS to
manage ballast water discharged to waters of the U.S. After the dates
listed in Table 151.2035(b), vessels may use a USCG-approved BWMS and
comply with the discharge standard, use PWS per Sec.  151.2025(a)(2),
or use a previously installed AMS per Sec.  151.2025(a)(3).

            Table 151.2035(b)--Implementation Schedule for Approved Ballast Water Management Methods
----------------------------------------------------------------------------------------------------------------
                                       Vessel's ballast  water                             Vessel's compliance
                                               capacity             Date constructed               date
----------------------------------------------------------------------------------------------------------------
New vessels..........................  All....................  On or after December 1,  On delivery.
                                                                 2013.
Existing vessels.....................  Less than 1500 m\3\....  Before December 1, 2013  First scheduled
                                                                                drydocking after
                                                                                January 1, 2016.
                                       1500-5000 m\3\.........  Before December 1, 2013  First scheduled
                                                                                drydocking after
                                                                                January 1, 2014.
                                       Greater than 5000 m\3\.  Before December 1, 2013  First scheduled
                                                                                drydocking after
                                                                                January 1, 2016.
----------------------------------------------------------------------------------------------------------------

Sec.  151.2036  Extension of compliance date.

    The Coast Guard may grant an extension to the implementation
schedule listed in Sec.  151.2035(b) of this subpart only in those
cases where the master, owner, operator, agent, or person in charge of
a vessel subject to this subpart can document that despite all efforts
to meet the ballast water discharge standard requirements in Sec.
151.2030 of this subpart, compliance is not possible. Any extension
request must be made no later than 12 months before the scheduled
implementation date listed in Sec.  151.2035(b) of this subpart and
submitted in writing to the Commandant (CG-522), U.S. Coast Guard
Office of Operating and Environmental Standards, 2100 2nd St. SW., Stop
7126, Washington, DC 20593-7126. Summary information concerning all
extension decisions, including the name of the vessel and vessel owner,
the term of the extension, and the basis for the extension will be
promptly posted on the Internet. Extensions will be for no longer than
the minimum time needed, as determined by the Coast Guard, for the
vessel to comply with the requirements of Sec.  151.2030.

Sec.  151.2040  Discharge of ballast water in extraordinary
circumstances.

    (a) The Coast Guard will allow the master, owner, operator, agent,
or person in charge of a vessel that cannot practicably meet the
requirements of Sec.  151.2025(a) 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 onboard or because the master of the vessel has
identified safety or stability concerns, to discharge ballast water in
areas other than the Great Lakes and the Hudson River north of the
George Washington Bridge.
    (1) The Coast Guard will not allow such a discharge if the vessel
is required to have a Coast Guard-approved ballast water management
system (BWMS) per the implementation schedule found in Sec.
151.2035(b) of this subpart.
    (2) If the Coast Guard allows the discharge of ballast water as
described in paragraph (a) of this section, 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.
    (3) Ballast water records must be made available to the local
Captain of the Port (COTP) upon request.
    (4) Vessels on a voyage to the Great Lakes or the Hudson River
north of the George Washington Bridge must comply with the requirements
of 33 CFR 151.1515.
    (b) If the installed BWMS required by this subpart stops operating
properly during a voyage, or the vessel's BWM method is unexpectedly
unavailable, the person directing the movement of the vessel must
ensure that the problem is

reported to the nearest COTP or District Commander as soon as
practicable. The vessel may continue to the next port of call, subject
to the directions of the COTP or District Commander, as provided by
part 160 of this chapter.
    (1) The Coast Guard will normally allow a vessel that cannot
practicably meet the requirements of Sec.  151.2025(a)(1) of this
subpart because its installed BWMS is inoperable, or the vessel's BWM
method is unexpectedly unavailable, to employ one of the other ballast
water management (BWM) methods listed in Sec.  151.2025(a) of this
subpart.
    (2) If the master of the vessel determines that the vessel cannot
employ other BWM methods due to the voyage or safety concerns listed in
paragraph (a) of this section, the Coast Guard will normally allow the
vessel to discharge ballast water in areas other than the Great Lakes
and the Hudson River north of the George Washington Bridge.
    (3) If the Coast Guard approves such an allowance, 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 COTP upon
request.
    (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 United States must follow these practices:
    (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.
    (7) Areas with pods of whales, convergence zones, and boundaries of
major currents.
    (c) Clean the ballast tanks regularly to remove sediments.
Sediments must 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 places of origin.
    (f) Remove fouling organisms from the vessel's 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 (BWM) plan that has been
developed specifically for the vessel and that will allow those
responsible for the plan's implementation to understand and follow the
vessel's BWM strategy and comply with the requirements of this subpart.
The plan must include--
    (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 United States where the vessel may visit; and
    (7) A translation of the plan into English, French, or Spanish if
the vessel's working language is another language.
    (h) Train the master, operator, person in charge, and crew on the
application of ballast water and sediment management and treatment
procedures.
    (i) When discharging ballast water to a reception facility in the
United States, discharge only to reception facilities that have an
NPDES permit to discharge ballast water.

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, the Coast Guard will not require a vessel to deviate from its
voyage or delay the voyage in order to conduct BWE. A vessel may be
required to deviate from its voyage or delay the voyage if BWE is
directed by a Captain of the Port pursuant to Sec.  151.2040(b) of this
subpart.

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 (EEZ), unless exempted in Sec.  151.2015 of this subpart.
    (b) The master, owner, operator, agent, or person in charge of a
vessel subject to this subpart and this section must provide the
information required by Sec.  151.2070 of this subpart in electronic or
written form to the Commandant, U.S. Coast Guard or the appropriate
Captain of the Port (COTP). The Ballast Water Reporting Form (Office of
Management and Budget form Control No. 1625-0069) and the instructions
for completing it are available on the National Ballast Information
Clearinghouse's Web site at http://invasions.si.edu/nbic/submit.html.
Information must be submitted 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 U.S. Coast Guard (USCG) COTP,
Buffalo, Massena Detachment<PHONE_NUMBER>).
    (ii) Non-U.S. and non-Canadian flag vessels may 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
as an alternative to this requirement.
    (2) For any vessel bound for the Hudson River north of the George
Washington Bridge entering from outside the EEZ: Fax the required
information to the USCG COTP, New York<PHONE_NUMBER>) at least 24 hours
before the vessel enters New York, NY.
    (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 the required information before departing
the port or place of departure. If a voyage exceeds 24 hours, report
the required information at least 24 hours before arrival at the port
or place of destination. The information must be sent to the National
Ballast Information Clearinghouse using only one of the following
means:
    (i) Via the Internet at http://invasions.si.edu/nbic/submit.html.

    (ii) Email to<EMAIL_ADDRESS>    (iii) Fax to<PHONE_NUMBER>.
    (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, the master, owner, operator, agent, or person in charge of the
vessel must submit an amended report 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 U.S. Exclusive Economic Zone or Canadian equivalent.

    For vessels 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 Marine 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 those 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 approve or disapprove a 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 ensure
the maintenance of written records that include the following
information:
    (1) Vessel information. This includes the name, International
Maritime Organization (IMO) number (official number if IMO number is
not issued), vessel type, owner or operator, gross tonnage, call sign,
and State 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 onboard, 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 (BWM). 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.
    (i) If the vessel uses an alternative BWM method, note the number
of tanks that are managed using an alternative method, as well as the
type of method used.
    (ii) Indicate whether the vessel has a BWM plan and IMO ballast
water management guidelines onboard, and whether the BWM 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 undergone
ballast water exchange (BWE), 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 BWE conducted), and sea height at time of
exchange 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
to a reception facility.
    (6) Discharge of sediment. Include the name and location of the
facility where sediment disposal will take place, if sediment is to be
discharged within the jurisdiction of the United States.
    (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.
    (b) The master, owner, operator, agent, or person in charge of a
vessel subject to this section must retain a signed copy of this
information onboard the vessel for 2 years.
    (c) Two alternative ways to meet the requirements of this section
are--
    (1) Completing and retaining the Ballast Water Reporting Form
contained in the IMO ballast water management guidelines; or
    (2) Completing the ballast water information section of the form
required by the St. Lawrence Seaway Pre-entry Information from Foreign
Flagged Vessels.
    (d) The master, owner, operator, agent, or person in charge of a
vessel subject to this section must retain the monitoring records
required in 46 CFR 162.060-20(b) for 2 years. These records may be
stored on digital media but must be viewable for Coast Guard
inspection.
    (e) The information required by this subpart may be used to satisfy
the ballast water recordkeeping requirements for vessels subject to
Sec.  151.2025(c) of this subpart and 33 CFR part 151 subpart C.

Sec.  151.2075  Enforcement and compliance.

    (a) The master, owner, operator, agent, or person in charge of a
vessel must provide the Captain of the Port (COTP) with access to the
vessel 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 the records to the COTP
upon request, as required by Sec.  151.2070 of this subpart.
    (c) Vessels with installed ballast water management systems are
subject to Coast Guard inspection. Every vessel must have a sampling
port(s) designed and installed in accordance with 46 CFR 162.060-28(f)
and (f)(2) at each overboard discharge point.
    (d) 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 $35,000. 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 [Removed]

Appendix to Subpart D [Removed]

0
13. Remove the Appendix to subpart D of part 151.

Title 46--Shipping

CHAPTER I--COAST GUARD

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

PART 162--ENGINEERING EQUIPMENT

0
14. Add subpart 162.060 to part 162 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.
162.060-10 Approval procedures.
162.060-12 Use and acceptance of existing test data.
162.060-14 Information requirements for the ballast water management
system (BWMS) application.
162.060-16 Changes to an approved ballast water management system
(BWMS).
162.060-18 Suspension, withdrawal or termination of approval.
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 for independent laboratories (ILs).
162.060-42 Responsibilities for independent laboratories (ILs).

    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 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.
    Administration means the government of the nation/State under whose
authority a vessel is operating.
    Ballast water means any water and suspended matter taken onboard a
vessel to control or maintain trim, draught, stability, or stresses of
the vessel, regardless of how it is carried.
    Ballast water management system (BWMS) means any system which
processes ballast water to kill, render harmless, 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 that the vessel uses for the
purposes of ballasting.
    Ballast water treatment equipment means that part of the BWMS that
mechanically, physically, chemically, or biologically processes ballast
water, either singularly or in combination, to kill, render harmless,
or remove organisms within ballast water and sediments.
    Challenge water means water just prior to treatment. In land-based
tests, source water may be augmented to achieve required challenge
water conditions.
    Control and monitoring equipment means that part of the BWMS
required to operate, control, and assess the effective operation of the
ballast water treatment equipment.
    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, as determined in accordance with
the standards of construction applicable to the vessel on which the
BWMS is to be installed.
    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 means an organization that meets the
requirements in 46 CFR 159.010-3. In addition to commercial testing
laboratories, which may include not-for-profit organizations, 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, inspection, and testing of BWMS.
    In-line treatment means a treatment system or technology used to
treat ballast water during normal flow of ballast uptake, discharge, or
both.
    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 (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 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 chemical means any transformation or reaction product that
is produced during the treatment process or in the receiving
environment and which may be of concern to the aquatic environment and
human health when discharged.
    Representative sample means a random sample, in which every item of
interest (organisms, molecules, etc.) in the larger population has an
unbiased chance of appearing.
    Sampling port means the equipment installed in the ballast water
piping through which representative samples of the ballast water being
discharged are extracted. This is equivalent to the term ``sampling
facility'' under the International Maritime Organization (IMO)
Guidelines for Ballast Water Sampling (G2), published as IMO Resolution
MEPC.173(58) on October 10, 2008.
    Source water means the body of water from which water is drawn for
either land-based or shipboard testing.
    Test facility means the location where the independent laboratory
conducts 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
from the Commandant (CG-52), Commercial Regulations and Standards
Directorate, U.S. Coast Guard, 2100 2nd St. SW., Stop 7126, Washington,
DC 20593-7126, and is available from the sources listed below.
    (b) International Electrotechnical Commission (IEC), 3 rue Varembe,
P.O. Box 131, 1211 Geneva 20, Switzerland.
    (1) IEC 60529, Classification of Degrees of Protection by
Enclosures (IP Code), Edition 2.1 consolidated with amendment 1:1999
(dated February, 2001), IBR approved for Sec.  162.060-30.
    (2) [Reserved]
    (c) International Organization for Standardization (ISO), ISO
Central Secretariat, 1, ch. de la Voie-Creuse, Case postale 56 CH-1211
Geneva 20, Switzerland.
    (1) ISO/IEC 17025:2005(E), General Requirements for the Competence
of Calibration and Testing Laboratories, Second Edition (dated May 15,
2005), IBR approved for Sec.  162.060-36.
    (2) ISO/IEC 17025:2005/Cor.1:2006(E), General Requirements for the
Competence of Testing and Calibration Laboratories, Technical
Corrigendum 1, (dated August 15, 2006), IBR approved for Sec.  162.060-
36.
    (d) U.S. Environmental Protection Agency (EPA), Environmental
Technology Verification Program, National Risk Management Research
Laboratory Office of Research and Development, U.S. Environmental
Protection Agency, 2890 Woodbridge Avenue (MS-104), Edison, New Jersey
08837.
    (1) EPA/600/R-10/146, Generic Protocol for the Verification of
Ballast Water Treatment Technologies, version 5.1, (dated September
2010), IBR approved for Sec. Sec.  162.060-26 and 162.060-28 (ETV
Protocol).
    (2) [Reserved]

Sec.  162.060-10  Approval procedures.

    (a) Not less than 30 days before initiating any testing of a
ballast water management system (BWMS), the results of which are
intended for use in an application for type approval, the manufacturer
must submit a Letter of Intent (LOI) providing as much of the following
information as possible to the Commanding Officer, U.S. Coast Guard
Marine Safety Center (MSC), 2100 2nd St. SW., Stop 7102, Washington, DC
20593-7102, or by email to<EMAIL_ADDRESS>    (1) Manufacturer's name, address, and point of contact, with
telephone number or email address.
    (2) Name and location of independent laboratory and associated test
facilities and subcontractors, plus expected dates and locations for
actual testing.
    (3) Model name, model number, and type of BWMS.
    (4) Expected date of submission of full application package to the
Coast Guard.
    (5) Name, type of vessel, and expected geographic locations for
shipboard testing.
    (b) The manufacturer must ensure evaluation, inspection, and
testing of the BWMS is conducted by an independent laboratory, accepted
by the Coast Guard, in accordance with Sec. Sec.  162.060-20 through
162.060-40 of this subpart. Testing may begin 30 days after submission
of the LOI unless otherwise directed by the Coast Guard.
    (1) If an evaluation, inspection, or test required by this section
is not practicable or applicable, a manufacturer may submit a written
request to the Commanding Officer, U.S. Coast Guard MSC, 2100 2nd St.
SW., Stop 7102, Washington, DC 20593-7102, or by email to<EMAIL_ADDRESS>
for approval of alternatives as equivalent to the requirements in this
section. The request must include the manufacturer's justification for
any proposed changes and contain full descriptions of any proposed
alternative tests.
    (2) The Coast Guard will notify the manufacturer of its
determination under paragraph (b)(1) of this section. Any limitations
imposed by the BWMS on testing procedures and all approved deviations
from any evaluation, inspection, or testing required by this subpart
must be duly noted in the Experimental Design section of the Test Plan.
    (c) The manufacturer must submit an application for approval 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 MSC will evaluate the application
and either approve, disapprove, or return it to the manufacturer for
further revision.
    (e) In addition to tests and evaluations required by this subpart,
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 statutes. The
Coast Guard advises applicants that applications containing novel
processes or active substances may encounter significantly longer
reviews during these environmental evaluations.
    (f) 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 evaluated, inspected, and tested under land-based and
shipboard conditions in accordance with Sec. Sec.  162.060-26 and
162.060-28 of this subpart, respectively, and thereby demonstrates that
it consistently meets 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) The BWMS meets the requirements of Sec.  162.060-32 of this
subpart if the BWMS uses an active substance or preparation; and
    (5) The ballast water discharge, preparation, active substance, or
relevant chemical are not found to be persistent, bioaccumulative, or
toxic when discharged.
    (g) After evaluation of an application, the Coast Guard will advise
the applicant in accordance with 46 CFR 159.005-13 whether the BWMS is
approved. If the BWMS is approved, a certification number will be
issued and an approval certificate sent to the applicant in accordance
with 46 CFR 2.75-5. The approval certificate will list conditions of
approval applicable to the BWMS.

Sec.  162.060-12  Use and acceptance of existing test data.

    (a) A manufacturer whose ballast water management system (BWMS) has
completed approval testing for a foreign administration in accordance
with the International Maritime Organization's Guidelines for Approval
of Ballast Water Management Systems (G8) may use the data and
information developed during such approval testing to support the
submission of an application pursuant to Sec.  162.060-14 of this
subpart. The applicant must submit the data and other information
developed during approval testing and evaluation for another
administration, and include a concise but thorough explanation of how
the submission meets or exceeds the requirements of this subpart in
respect to design, material and manufacture, and ability to meet the
BWDS requirements.
    (b) Applications under paragraph (a) of this section will not need
to comply with the requirements for advance notice under Sec.  162.060-
10(a) of this subpart for testing that has already occurred; or with
the requirements that

all evaluation, inspection, and testing of the BWMS is conducted by an
independent laboratory, previously accepted by the Coast Guard, under
Sec.  162.060-10(b) of this subpart. However--
    (1) If the applicant determines, prior to submission of an
application, that one or more aspects of the Coast Guard's requirements
for approval of a BWMS are not satisfied by the data and information
developed for approval by another administration, and that additional
testing and evaluation is required, the applicant will notify the Coast
Guard of the intent to conduct the new testing in accordance with the
requirements of Sec.  162.060-10(a) and (b)(1) of this subpart.
    (2) While laboratories and test facilities that conducted the test
and evaluation for approval by another administration are not required
to have been designated as independent laboratories under the
requirements of this subpart at the time of such work, as would
otherwise be required under Sec.  162.060-10(b) of this subpart, all
laboratories and test facilities must have met the requirements under
46 CFR 159.010-3 and 159.010-5(a) at the time of such work. It is the
responsibility of the applicant to ensure that the satisfaction of this
requirement is adequately documented in the application.

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

    (a) A complete BWMS application must contain all of the following
information:
    (1) The name and location of the independent laboratory 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 of this subpart.
    (4) A bill of materials showing all components and specifications
of the BWMS.
    (5) A list of any systems or components of the BWMS that may
require certification as marine portable tanks.
    (6) A list of any pressure vessels used as a part of the BWMS,
along with a description of the pressure vessel building standard, or
code, or why the pressure vessel should be considered exempt from any
requirements. Manufacturers must also submit detailed pressure vessel
plans if they intend to fabricate pressure vessels, heat exchangers,
evaporators, and similar appurtenances.
    (7) Documentation of all necessary approvals, registrations, and
other documents or certifications 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.
    (ii) A list of all limitations or restrictions that must be
complied with during the approval testing and evaluations, including
any water quality limits established by the Environmental Protection
Agency, States, or tribes, under the Clean Water Act.
    (8) A detailed description of Quality Control procedures, in-
process and final inspections, tests followed in manufacturing the
item, and construction and sales record keeping systems.
    (9) The completed Test Report required by Sec.  162.060-34 of this
subpart prepared and submitted by the IL.
    (b) The completed application must be sent by the manufacturer to
the Commanding Officer, U.S. Coast Guard Marine Safety Center, 2100 2nd
St. SW., Stop 7102, Washington, DC 20593-7102.
    (c) If examination of the application reveals that it is
incomplete, the Coast Guard will return it to the applicant with an
explanation.
    (d) Additional information, including electronic submission
criteria, is available at http://homeport.uscg.mil/msc.

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, U.S. Coast Guard Marine Safety
Center (MSC), in writing of any change in design or intended
operational conditions of the BWMS.
    (b) The notification required by paragraph (a) of this section must
include--
    (1) A description of the change and its advantages; and
    (2) An indication of whether or not the original BWMS will be
discontinued.
    (c) After receipt of the notice and information, the Coast Guard
will notify the manufacturer, in writing, of any tests or evaluations
that must be conducted, and then determine if BWMS recertification and/
or modification is required. The manufacturer may appeal this
determination to the Commandant (CG-52), Commercial Regulations and
Standards Directorate, U.S. Coast Guard, 2100 2nd St. SW., Stop 7126,
Washington, DC 20593-7126.

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

    The Coast Guard may suspend an approval issued under this subpart
or alternate management system (AMS) determination issued under 33 CFR
151.2026(d) of a ballast water management system (BWMS) in accordance
with 46 CFR 2.75-40, withdraw an approval or AMS determination in
accordance with 46 CFR 2.75-50(a), or terminate an approval or AMS
determination in accordance with 46 CFR 2.75-50(b) if the BWMS or AMS,
as manufactured--
    (a) Is found non-compliant 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, and other Federal requirements when installed and operated
as intended by the manufacturer; or
    (d) Cannot be maintained to operate as designed, due to lack of
parts or necessary support services.

Sec.  162.060-20  Design and construction requirements.

    (a) Unless otherwise authorized by the Commandant, each ballast
water management system (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, 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 recognized national or international standards for all
related marine engineering and electrical engineering applications; 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. The
Coast Guard may permit deviations from these angles of inclination by
considering the type, size, and service of intended vessels and

considering how the BWMS is to be operated. These deviations must be
included on the certificate issued in accordance with Sec.  162.060-
10(g) of this subpart.
    (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) Is able to store data for at least 6 months and to display or
print a record for official inspections as required; and
    (6) In the event that the control and monitoring equipment is
replaced, actions must be taken to ensure the data recorded prior to
replacement remain 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 (both on the BWMS and in a normally
manned space) 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) Audio and visual alarm signals in all stations from which
ballast water operations are controlled in case of any failure(s)
compromising the proper operation of the BWMS.
    (3) Means to activate stop valves, as applicable, if the BWMS
fails.
    (4) Suitable manual by-passes or overrides to protect the safety of
the vessel 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) Means of automatic operation for BWMS installed in unoccupied
machinery spaces, from the time placed on-line until the time secured.
    (7) Adequate alarms for the unintentional release of active
substances, preparations, relevant chemicals, or hazardous materials
used in or produced by the BWMS.
    (d) A BWMS must comply with the relevant requirements for use in a
hazardous location, as defined in 46 CFR subpart 111.105, or its
foreign equivalent, if it is intended to be fitted in a hazardous
location. 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. Certificates issued under Sec.
162.060-10(g) for systems approved for installation in hazardous
locations must be so noted.
    (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 the manufacturer's instructions
require to be serviced routinely or that 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, where possible for the
purpose of maintenance, activate an alarm.
    (3) Simple means must be provided aboard the vessel 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 (including alarms), and safe handling must be made for all
BWMS that incorporate the use of, produce, generate, or discharge a
hazardous material, active substance, preparation and/or pesticide in
accordance with Coast Guard regulations on handling/storage of
hazardous materials (33 CFR part 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
and relevant chemicals in the treated discharge.
    (5) A means to ensure that any maximum dosage or maximum allowable
discharge concentration of active substances and preparations is not
exceeded at any time.
    (6) Proper storage of each chemical defined as a hazardous material
in 49 CFR 171.8 that is specified or provided by the manufacturer for
use in the operation of a BWMS. Each such chemical that is stowed
onboard must be labeled and stowed in accordance with the procedures in
46 CFR part 147.

Sec.  162.060-22  Marking requirements.

    (a) Each ballast water management system (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 BWMS in the
certificate of approval.
    (2) Name of the manufacturer.
    (3) Name and model number of the BWMS.
    (4) The manufacturer's serial number for the BWMS.
    (5) The month and year of manufacture completion.
    (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 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 without loss of readability. The
nameplate must not be obscured by paint, corrosion, or other materials
that would hinder readability.

Sec.  162.060-24  Test Plan requirements.

    (a) The Coast Guard requires Test Plans for land-based, shipboard,
and component testing conducted to meet the requirements of Sec. Sec.
162.060-26, 162.060-28 and 162.060-30 of this subpart, respectively.
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 ballast water management system
(BWMS) during each test, as appropriate for the specific test.
    (b) Test Plans must also include potential environmental, health,
and safety issues; unusual operating

requirements; and any issues related to the disposal of treated ballast
water, by-products, or waste streams.
    (c) For land-based testing, a Test Plan prepared under the ETV
Protocol may be submitted (ETV Protocol incorporated by reference, see
Sec.  162.060-5). Otherwise, 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 and all test
facilities and subcontractors.
    (6) BWMS description.
    (7) Experimental design (including installation/start-up plan for
tested equipment).
    (8) Challenge conditions and preparation (including the test
facility's standard operating procedures for achieving such
conditions).
    (9) Sampling, data acquisition, and analysis plan, including all
necessary procedures.
    (10) Data management, analysis, and reporting.
    (11) Quality Assurance Project Plan, in accordance with the
requirements of Sec.  162.060-36 of this subpart.
    (12) Environmental, health, and safety plans.
    (13) Applicable references.

Sec.  162.060-26  Land-based testing requirements.

    (a) Each ballast water management system (BWMS) must undergo land-
based tests and evaluations that meet the requirements of the ETV
Protocol (incorporated by reference, see Sec.  162.060-5). The land-
based testing will determine if the biological efficacy of the BWMS
under consideration for approval is sufficient to meet the applicable
ballast water discharge standard (BWDS) 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 ETV Protocol
Test Plan requirements during at least five consecutive, valid, and
successful replicate test cycles. No adjustments to the BWMS are
permitted unless specifically detailed in the Operation, Maintenance
and Safety Manual. The BWMS must be operated by independent laboratory
or independent laboratory subcontractor personnel.
    (c) Each valid test cycle must include--
    (1) Uptake of source water by pumping at a minimum of 200 m\3\/hr;
    (2) Treatment of a minimum of 200 m\3\ of challenge water with the
BWMS;
    (3) Pumping of a minimum of 200 m\3\ of control water through the
test facility in a manner that is in all ways identical to paragraph
(c)(2) of this section, 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 treated and control water by pumping.
    (d) The BWMS must be tested in water conditions for which it will
be approved. For each 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 challenge water used in the test set-up must
have dissolved and particulate content as described in the ETV
Protocol.
    (e) The approval certificate issued in accordance with Sec.
162.060-10(g) will list the salinity ranges for which the BWMS is
approved.
    (f) The BWMS must be tested at its rated capacity or as specified
in paragraph (f)(1) of this section for each test cycle and must
function to the manufacturer's specifications during the test.
    (1) Treatment equipment may be downsized for land-based testing,
but only when the following criteria are met:
    (i) Treatment equipment with a treatment rated capacity (TRC) equal
to or less than 200 m\3\/h must not be downscaled.
    (ii) Treatment equipment with a TRC greater than 200 m\3\/h but
less than 1,000 m\3\/h may be downscaled to a maximum of 1:5 scale, but
must not be less than 200 m\3\/h.
    (iii) Treatment equipment with a TRC equal to or greater than 1,000
m\3\/h may be downscaled to a maximum of 1:100 scale, but must not be
less than 200 m\3\/h.
    (iv) The manufacturer of the BWMS must demonstrate by using
mathematical modeling, computational fluid dynamics 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) Greater scaling may be applied and lower flow rates used other
than those described in paragraph (f)(1) of this section if the
manufacturer can provide evidence from full-scale shipboard testing, in
accordance with paragraph (f)(1)(iv) of this section, that greater
scaling and lower flow rates will not adversely affect the testing's
ability to predict full-scale compliance with the BWDS. The procedures
of Sec.  162.060-10(b)(1) of this subpart must be followed before
scaling of flow rates other than those provided in paragraph (f)(1) of
this section may be used.
    (g) The test set-up, TRC, and scaling of all tests (including
mathematical and computational fluid dynamics modeling) must be clearly
identified in the Experimental Design section of the Test Plan.

Sec.  162.060-28  Shipboard testing requirements.

    (a) The ballast water management system (BWMS) manufacturer is
responsible for making all arrangements for a vessel on which to
conduct shipboard tests, including the provision and installation of a
BWMS.
    (b) Shipboard tests must be conducted throughout a period of
operation of at least 6 months. During the period of testing, all
ballast water discharged to waters of the United States must be treated
by the BWMS.
    (c) 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, when installed
and operated in the vessel in a location and configuration consistent
with its final intended use on operating vessels (e.g., in the engine
room or pump room), consistently results in the routine discharge of
ballast water that meets the ballast water discharge standard (BWDS)
requirements of 33 CFR 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 (OMSM)
are consistently achieved.
    (d) The BWMS to be tested must be installed and operated in the
vessel in a location and configuration consistent with its final
intended use on operating vessels. Vessel crew must operate the BWMS
during testing.
    (e) The vessel used as a platform for shipboard testing under this
section must be selected to meet the following criteria:
    (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. Vessel tank size and flow rates
must be equal

to or exceed those used during land-based tests.
    (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) The source water used for testing is representative of harbor
or coastal waters. Testing must include temperate, semi-tropical, or
tropical locations with ambient organism concentrations that will
provide a significant challenge to the efficacy of the BWMS.
    (ii) Concentrations of organisms greater than or equal to 50
micrometers, and organisms less than 50 micrometers and greater than or
equal to 10 micrometers in the source water must exceed 10 times the
maximum permitted values in the BWDS.
    (3) The ports that the vessel visits provide adequate availability
of transportation and scientific support needed to accomplish the
necessary sampling and analytical procedures during the shipboard
tests.
    (f) The vessel's ballast water system must be provided with
sampling ports arranged in order to collect representative samples of
the vessel's ballast water. In addition to the sampling ports designed
and installed in accordance with the specifications in the ETV Protocol
(incorporated by reference, see Sec.  162.060-5), sampling ports must
be located--
    (1) As close as practicable to the BWMS prior to treatment to
determine concentrations of living organisms upon uptake;
    (2) As close as practicable to the BWMS overboard outlet prior to
the discharge point to determine concentrations of living organisms
prior to discharge; and
    (3) Elsewhere as necessary to ascertain the proper functioning of
the BWMS.
    (g) All test results must be reported in accordance with paragraph
(i) of this section. The efficacy of the BWMS must be confirmed during
at least five consecutive valid test cycles.
    (1) A test cycle entails--
    (i) The uptake of ballast water by the vessel;
    (ii) The storage of ballast water on the vessel;
    (iii) Treatment of the ballast water by the BWMS, except in control
tanks, if used, with no fine-tuning or adjustment of the system except
as specifically detailed in the OMSM; and
    (iv) The discharge of ballast water from the vessel.
    (2) All test cycles must include quantification of the water
quality parameters on uptake.
    (3) All test cycles must include discharge tests and quantification
of the concentration of living organisms in the treated ballast water
on discharge. Sampling and analysis for living organisms will be in
accordance with the ETV Protocol.
    (4) A test cycle must meet the following criteria in order to be
considered valid:
    (i) The uptake of the source water must be conducted in accordance
with paragraph (e)(2)(i) of this section.
    (ii) Source waters must be analyzed for organisms greater than or
equal to 50 micrometers and organisms less than 50 micrometers and
greater than or equal to 10 micrometers. To simplify the testing
program, these source water samples need only be collected and properly
preserved and transported for counting by trained microscopists in
land-based laboratories. The reported data by taxa (to the lowest
reasonably identifiable taxonomic grouping) will be used to
characterize the source water biological test conditions.
    (iii) 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.
    (iv) All design or required water quality parameters must be met
for the discharged water.
    (v) Whole effluent toxicity testing must be conducted in accordance
with the December 2008 Environmental Protection Agency (EPA) Vessel
General Permit (VGP) requirements (VGP Section 5.8; available at http://www.epa.gov/npdes/pubs/vessel_vgp_permit.pdf).
    (5) 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 either continuously during or at the beginning, middle, and
end of the period of ballast water uptake, as appropriate and
practicable for the parameters to be measured.
    (ii) Water quality parameters (e.g., dissolved and particulate
organic material, pH, etc.) that may affect the efficacy of BWMS that
make use of active substances or other processes, or water quality
parameters identified by the manufacturer and/or the independent
laboratory as being critical, must be measured either continuously
during or at the beginning, middle, and end of the period of ballast
water uptake, as appropriate and practicable for the parameters to be
measured.
    (h) Samples of ballast water must be collected from in-line
sampling ports in accordance with the sampling specifications in the
ETV Protocol.
    (i) The following information must be documented during the entire
period of BWMS testing operations conducted on the vessel:
    (1) All ballast water operations, including volumes and locations
of uptake and discharge.
    (2) All test cycles, even those in which the BWMS failed to meet
the BWDS, must be documented. The possible reasons for an unsuccessful
test cycle must be investigated and included in the Test Report.
    (3) All weather conditions and resultant effects on vessel
orientation and vibration.
    (4) Scheduled maintenance performed on the BWMS.
    (5) Unscheduled maintenance and repair performed on the BWMS.
    (6) Data for all engineering parameters monitored as appropriate to
the specific BWMS.
    (7) Consumption of all solutions, preparations, or other
consumables necessary for the effective operation of the BWMS.
    (8) All parameters necessary for tracking the functioning of the
control and monitoring equipment.
    (9) All instrument calibration methods and frequency of
calibration.
    (j) All measurements for numbers and viability of organisms, water
quality parameters, engineering performance parameters, and
environmental conditions must be conducted in accordance with the ETV
Protocol. Where alternative methods are necessary, given constraints of
the BWMS and/or the vessel, standard methods from recognized bodies
such as EPA (in 40 CFR part 136), the International Standards
Organization, or others accepted by the scientific community must be
used, and must be accepted in advance by the Coast Guard.
    (k) Test vessels discharging treated ballast water into the waters
of the United States must be enrolled in the U.S. Coast Guard's
Shipboard Technology Evaluation Program. Test vessels discharging
treated ballast water into waters of other countries must secure all
necessary approvals and permits required for discharges of treated
ballast water.

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 as to permit resonance detection made over the following ranges of
oscillation frequency and amplitude:
    (i) At 2 to 13.3 Hz with a vibration amplitude of +/-1 mm.
    (ii) At 13.2 to 80 Hz with an acceleration amplitude of +/- 0.7 g.
    (2) The components must be vibrated in the planes specified in
paragraph (a)(1) of this section 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 specified in paragraph (a)(1) of this
section 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 2 hours at each
temperature. At the end of each test, the components are to be switched
on and must function normally under the test conditions.
    (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 2 hours at each temperature. At the end of
each test, the components are to be switched on and must function
normally under the test conditions.
    (6) Components must be switched off for a period of 2 hours at a
temperature of 55[deg] C in an atmosphere with a relative humidity of
90 percent. At the end of this period, the components must be switched
on and must operate satisfactorily for 1 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 60529 (incorporated by
reference, see Sec.  162.060-5) or its equivalent.
    (8) Components must operate satisfactorily with a voltage variation
of +/- 10 percent together with a simultaneous frequency variation of
+/- 5 percent, and a transient voltage of +/- 20 percent together with
a simultaneous transient frequency of +/- 10 percent and transient
recovery time of 3 seconds.
    (9) The components of a BWMS must be designed to operate when the
vessel 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 Sec.  162.060-10(b)(1) of this subpart, taking
into consideration the type, size, and service conditions and locations
of the vessels 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 must be no cracking, softening, deterioration,
displacement, breakage, leakage, or damage of components or materials
that affect 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 ballast water management system (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) onboard the same vessel as the ballast water to be
treated.
    (b) The manufacturer of 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)
onboard 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 dosages over all applicable temperatures,
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.

    The Test Report prepared and submitted by an independent laboratory
must be formatted as set out below. The Test Report must include, in
addition to the information required by 46 CFR 159.005-11, information
as follows:
    (a) Summary statement with the following information:
    (1) Name of the independent laboratory (IL) and all test
facilities, subcontractors, and test organizations involved in testing
the ballast water management system (BWMS).
    (2) Name of manufacturer.
    (3) BWMS model name.
    (4) The IL's assessment that the BWMS--
    (i) Has demonstrated, under the procedures and conditions specified
in this subpart for both land-based and shipboard testing, that it
meets the ballast water discharge standard requirements of 33 CFR 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) requirements;
    (iv) Operates at the rated capacity, performance, and reliability
as specified by the manufacturer;
    (v) Contains control and monitoring equipment that operates
correctly;
    (vi) Was installed in accordance with the technical installation
specification of the manufacturer for all tests; and
    (vii) Was used to treat volumes and flow rates of ballast water
during the shipboard tests consistent with the normal ballast
operations of the vessel.
    (b) Executive summary.
    (c) Introduction and background.
    (d) Description of the BWMS.
    (e) For each test conducted, summary descriptions of--
    (1) Test conditions;
    (2) Experimental design;
    (3) Methods and procedures; and
    (4) Results and discussion.
    (f) Appendices, including--
    (1) Complete Test Plans for land-based, shipboard, and component
tests, for which an EPA Environmental Technology Verification (ETV)
Verification Report produced in accordance with the ETV Protocol can
substitute for the land-based test plan;
    (2) Manufacturer supplied Operation, Maintenance, and Safety Manual
that meets the requirements of Sec.  162.060-38 of this subpart;
    (3) Data generated during testing and evaluations;
    (4) Quality Assurance and Quality Control records;
    (5) Maintenance logs;

    (6) Relevant records and tests results maintained or created during
testing;
    (7) Information on hazardous materials, active substances, relevant
chemicals, and pesticides as detailed in paragraph (g) of this section;
and
    (8) Permits, registrations, restrictions, and regulatory
limitations on use.
    (g) 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 onboard 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 the Federal Insecticide, Fungicide, and Rodenticide
Act for use for ballast water treatment. For all other active
substances or preparations, the appendix must include documentation of
the assessment specified in Sec.  162.060-32(b) of this subpart.
    (2) 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.

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

    The approval testing and evaluation process must contain a rigorous
Quality Assurance and Quality Control program consisting of a QAPP
developed in accordance with ISO/IEC 17025:2005(E), as amended ISO/IEC
17025:2005/Cor.1:2006(E) (incorporated by reference, see Sec.  162.060-
5). 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 OMSM must include the following sections:
    (1) Table of contents.
    (2) Manufacturer's information.
    (3) Principles of ballast water management system (BWMS) 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 the BWMS' operation;
    (iii) Any process or technology limitations of the BWMS;
    (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 for construction
and installation of the BWMS;
    (ii) A list of each major component that may be fitted differently
in different vessels with a general description of the different
arrangements schemes;
    (iii) Any vessel type(s), services, or locations where the BWMS is
not intended to be used;
    (iv) Maximum and minimum flow and volume capacities of the BWMS;
    (v) The dimensions and weight of the complete BWMS and required
connection and flange sizes for all major components;
    (vi) 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;
    (vii) A list of all active substances, relevant chemicals, and
pesticides generated or stored onboard the vessel to be used by the
BWMS; and
    (viii) Information on whether the BWMS is designed to be used in
hazardous locations.
    (5) System and major system component drawings as applicable,
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, containing a bill of materials, for the pumping and
piping arrangements, and all related equipment provided with the BWMS;
    (iv) All treatment application points, waste or recycling streams,
and all sampling points integral to the 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) Electrical 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) BWMS start-up and 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) BWMS limitations, precautions, and set points;
    (vi) Detailed instructions on operation, calibration and zeroing of
each monitoring device used with the BWMS; and
    (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.
    (b) 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 for Independent Laboratories (ILs).

    (a) For designation by the Coast Guard as an independent laboratory
for the evaluation, inspection, and testing of BWMS, an independent
laboratory must demonstrate compliance with 46 CFR 159.010-3, 46 CFR
159.010-5, and 46 CFR 159.010-11 through 159.010-19.
    (b) Each request for designation as an independent laboratory
authorized under paragraph (a) of this section must be delivered to the
Commandant (CG-521), Office of Design and Engineering Standards, U.S.
Coast Guard, 2nd St. SW., Stop 7126, Washington, DC 20593-7126, in a
written or electronic format.
    (c) A list of independent laboratories designated by the Coast
Guard under paragraph (b) of this section may be found at http://cgmix.uscg.mil/, or may be obtained by contacting the Commandant (CG-
521), Office of Design and Engineering Standards, U.S. Coast Guard,
2100 2nd St. SW., Stop 7126, Washington, DC 20593-7126.

Sec.  162.060-42  Responsibilities for Independent Laboratories (ILs).

    (a) Upon receipt of a request from a manufacturer for approval
testing of a ballast water management system (BWMS), the independent
laboratory will conduct a readiness evaluation and determine the
acceptability of the BWMS for testing.
    (1) 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 determine that the BWMS--
    (i) Is designed and constructed according to the requirements of
Sec.  162.060-20 of this subpart;
    (ii) Meets all existing safety and environmental regulatory
requirements for all locations and conditions where the system will be
operated during the testing and evaluation period; and
    (iii) Meets 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 type-
approval testing.
    (2) The independent laboratory has the right to reject a proposed
BWMS for type-approval testing if it does not satisfy the requirements
in paragraph (b) of this section, is not deemed ready for approval
testing or if, for technical or logistical reasons, that independent
laboratory does not have the capability to accommodate the BWMS for
testing or evaluation.
    (3) Upon determination that the BWMS is ready for testing, the
independent laboratory will notify the Commandant (CG-52), Commercial
Regulations and Standards Directorate, 2100 2nd St. SW., Stop 7126,
Washington, DC 20593-7126, and provide the estimated date for
commencement of type-approval testing.
    (b) The independent laboratory must prepare a written Test Plan for
each approval test to be completed, in accordance with Sec.  162.060-24
of this subpart.
    (c) Prior to land-based testing, the independent laboratory must
ensure that the BWMS supplied by the manufacturer is set up in
accordance with the BWMS' Operation, Maintenance, and Safety Manual
(OMSM).
    (d) Prior to shipboard testing, the independent laboratory must
ensure that the BWMS supplied by the manufacturer is installed in a
vessel in accordance with the OMSM and the vessel's administration's
requirements and can be tested in accordance with Sec.  162.060-28 of
this subpart.
    (e) Prior to commencing land-based or shipboard testing required
under this subpart, the independent laboratory must require the BWMS
manufacturer to sign a written statement to attest that the system was
properly assembled and installed at the test facility or onboard the
test vessel.
    (f) The independent laboratory or its subcontractor(s) must conduct
all approval testing and evaluations in accordance with testing
requirements of this subpart and within the range or rated capacity of
the BWMS.
    (g) Upon completion of all approval tests and evaluations, the
independent laboratory must follow the requirements of Sec.  162.060-34
of this subpart and forward a complete Test Report to the Commanding
Officer, U.S. Coast Guard Marine Safety Center, 2100 2nd St. SW., Stop
7102, Washington, DC 20593-7102, or by email to<EMAIL_ADDRESS>
    Dated: March 9, 2012.
Robert J. Papp Jr.,
Admiral, U.S. Coast Guard, Commandant.
[FR Doc. 2012-6579 Filed 3-16-12; 11:15 am]
BILLING CODE 9110-04-P