INTERTANKO Guidance and Model Extension Request (MER) for  US Coast Guard Ballast Water Management  

 Introduction  33 CFR  151.2036 of  the US Coast Guard’s  (USCG) Ballast Water Management  (BWM)  regulations allows owners and operators to apply for an extension to the  implementation schedule for vessels using a Coast Guard approved BWM system.  To assist INTERTANKO members who wish to apply for this extension, INTERTANKO has developed a Model  Extension  Request  (MER)  letter.    Annex  I  contains  the  MER  which  may  be  used  when INTERTANKO members require the use of this extension clause and in requesting such an extension from the USCG.   The  MER  has  been  drafted  in  accordance  with  the  USCG’s  Policy  Letter  No.13‐01  dated  25th September  2013 which  is  enclosed  as Annex  II. As  such,  those  intending  to  submit  an  extension request must be familiar with the USCG Policy Letter and its guidance.  Please refer to the enclosed Decision Tree, Annex  III  for guidance on the applicability of the USCG requirements to the vessels in your fleet.  There is no guarantee that the USCG will grant an extension following the guidance provided in this MER,  but  it  should  assist  INTERTANKO members  in  preparing  such  requests. As much  additional documentation and evidence should be provided by the owner as necessary to assist the USCG in its decision making process.  Note on EPA 2013 VGP on Ballast Water Technology requirements  As noted in both the USCG Policy Letter and in the guidance provided below in paragraph 9, the US Environmental  Protection  Agency  (EPA)  in  its  2013  Vessel General  Permit  (VGP)  also  has  ballast water treatment technology requirements.   The  EPA’s  2013  VGP  does  not  require  a USCG  approved  BWMS  on  board  new  or  existing  ships.  Instead they only require a BWMS “which has been shown to be effective by testing conducted by an independent third party laboratory, test facility or test organization.”  As the BWMS under the VGP does not have to be approved, the EPA did not include an extension provision in the 2013 VGP.  Thus, for the time being, for new ships (keel laid after December 1, 2013) if they want to discharge ballast  water  in  US  waters,  they  will  need  to  install  a  BWMS  to  comply  with  the  VGP.    The assumption  is  that  these  ships would  have  installed  an AMS  to meet  this  requirement,  but  that would only be good for five years and after that they would have to install a USCG approved BWMS which would meet both USCG and 2013 VGP requirements.  INTERTANKO will continue  its dialogue with the EPA on this matter and advise members  if there  is any change in their policy.  

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Completing the Extension Request letter  Annex I provides the Model Extension Request letter and annex. The text in the MER can be used by INTERTANKO members to file an extension request. In the MER however, there are options for the company and notes of guidance. These are distinguished as follows:  • Text in standard Times New Roman is proposed for use in the MER Letter.  • Text  in  [italics and yellow]  require  the user  to consider  the options provided and complete as 

necessary.  • Text in grey highlight is text lifted from the Policy Letter and is provided as reference and a place 

marker.  • Text in blue are notes or recommendations provided by INTERTANKO.  Due consideration should be given to the following points when completing an filing the extension request:  1. An Extension Request must be filed 12 months before the applicable implementation dates for 

the vessel. The Policy Letter states that, “Parties filing an extension request for a vessel should recognise  that  the actual date of delivery  for  the new  vessels and  the actual date of  the  first scheduled  dry  docking  for  existing  vessels  are  the  implementation  dates  for  the  purposes  of requesting an extension...”. The Policy Letter adds, “The actual date of delivery  for new or dry docking  date  for  existing  vessels  is  critical,  as  extension  requests must  be  submitted  at  least twelve months prior to this date”.   

2. If  the MER  is  going  to  be mailed  to  the  USCG,  the  package/letter must  be  clearly marked “Extension Request” and sent to the address provided in the MER. 

 3. If a copy of the MER Letter is submitted electronically then the header to the email must include 

the  term  ‘Extension Request’,  e.g.  “Extension Request  for Vessels  Subject  to BWM Discharge Standards – Company Name”.  

4. Section  5  on  procedures  for making  requests  has  specific  areas  in  which  the  USCG  require documented evidence. Until  the USCG has approved a number of  suitable BWMS  for  tankers then the key reasoning for requesting an extension for new builds will be  in relation to section 5(D.4).  In  this  respect, 5(D.2) and 5(D.3) are not necessarily  relevant  in  the  immediate  future. 5(D.1) however may be considered and a model response has been provided in the MER.  

5. Once  a USCG  Approved  BWMS  has  been made  available  then  It  is  likely  that  the USCG will require more extensive documentation  to  support  the  case  for not  installing  the BWMS on a particular  vessel.  This  is  particularly  relevant  to  section  5(D.4)  and  in  the  event  that  a USCG Approved BWMS becomes available the owner/operator  is advised to assess  its applicability to the vessel  in question,  for example, by reviewing  the  flow rates at which  the BWMS has been 

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approved  and  tested  as  well  as  its  applicability  to  tankers  in  regards  to  explosion  proof certification.   

6. As per the requested documentation  in section 5(D.5), the MER Letter should be accompanied by  the  vessel’s Ballast Water Management Plan  (BWMP),  for  existing  vessels, or  a proposed BWMP, for new buildings. This will provide documentation of how the vessel will manage ballast water during the extension period.  

 7. MER Letters will be answered with a letter from the USCG granting the extension, as necessary. 

A copy of the USCG’s decision must be kept on board the applicable vessel. The USCG decision letter should be made available upon request to USCG vessel  inspectors and port state control officers etc.  

8. The USCG have  reminded owners and operators  that  the Environmental Protection Agency’s (EPA)  2013  Vessel  General  Permit  (VGP)  also  contains  ballast  water  treatment  technology requirements. The USCG note  that  the EPA advise, “where  the US Coast Guard has granted or denied an extension request pursuant to 33 CFR 151.2036, that information will be considered by EPA, but is not binding on EPA”. The USCG encourage owners and operators to contact the EPA at  the  earliest  opportunity.  As  such,  INTERTANKO  recommends  that  the  Extension  Request Letter, the accompanying documentation as well as the response from the USCG are referenced within the 2013 VGP compliance documentation on board and within the vessel’s Ballast Water Management Plan (BWMP).  

Annex I 

Model Extension Request Letter (MER)

[Insert company letterhead]

COMMANDANT (CG-OES)

U. S. Coast Guard

STOP 7509

2703 Martin Luther King Jr Avenue. SE

Washington, D.C. 20593-7509

United States

[Date]

Extension of Implementation Schedule for Vessels Subject to Ballast Water

Management Discharge Standards

As [master/owner/operator/agent/person in charge] of the vessels listed in the annex, the undersigned

submits this letter to request an extension for the implementation schedule for the Ballast Water

Management Discharge Standards as per 33 CFR 151.2036.

In accordance with the guidance provided in Policy Letter CG-OES No. 13-01 (Sep 25 2013) this

extension request provides documentation demonstrating that despite all efforts to meet the ballast

water discharge standard requirements in 33 CFR 151.2030, compliance by the date stipulated in the

implementation schedule is not possible for the vessels listed in the annex. The annex to this letter

provides the relevant and necessary details as per section 5(C) and (D) of the Policy Letter.

[Insert name of company] has monitored closely the development and approval of ballast water

treatment systems (BWTS) both at an international (through the International Maritime Organization

– IMO) and at a US level. In terms of the latter, we note the US Coast Guard’s ongoing approval of

BWTS through its Alternate Management Systems (AMS) scheme. Using external resources such as

our member association INTERTANKO, we have also been able to review and monitor the type of

BWTS entering the market and considered as either US Coast Guard AMS or Type Approved

according to IMO G8 Standards. However, we remain concerned that the BWTSs being approved

through the use of the IMO G8 standard and which are generally those that are approved as AMS will

not allow the vessel to consistently and reliably discharge ballast water treated in compliance with the

USCG discharge standard.

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Annex I 

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Notwithstanding these concerns, [Insert name of company] remains committed to the protection of the

marine environment and will continue in its endeavours to find a safe, reliable and compliant BWTS

suitable for the vessel(s) in our fleet.

The undersigned is available for any further information or clarification in relating to this application,

the documentation provided and the vessels listed.

Yours sincerely,

[Insert company representative’s: Name, Phone number, e-mail address]

Enclosures: Annex I – Additional Documentation to support the Extension Request Vessel’s Ballast Water Management Plan (BWMP)

Insert any additional documentation, e.g. from the ship yard and classification society, as necessary.

Annex I 

Additional Documentation to support the Extension Request

Part 1 : Vessel specific information

(reference section 5(C) of Policy Letter OES-CG 01-13)

Vessel Name IMO Number Total ballast water capacity (m3)

Compliance Date

See footnote 1 See footnote 2 See footnote 3

Part 2: Information on the availability and ability of the vessels listed to comply with the implementation schedule

(Reference section 5(D) of Policy Letter OES-CG 01-13) D.1 Documentation from shipyards indicating lack of capability or capacity to install a BWMS on the vessel to comply with the implementation. As of [insert date of letter] there are no USCG Approved BWMS available for installation by the ship yard4. If, for a new building, the yard is able to provide written confirmation that it does not have available a USCG Approved BWMS for installation then include this as documentary evidence. D.4 Documentation attesting that Coast Guard type approved ballast water management systems suitable for specific vessels of a particular design are not yet available. As of [insert date of letter] there are no USCG Approved BWMS available for installation by the ship yard5. D.5 A plan that indicates how the vessel will manage ballast water discharges that take place in US waters.

1 Note that this will not always be known for a new building and as such the Hull Number should be used. 2 As per the above, insert Hull Number if IMO Number is not yet known for a new building. 3 For a new building insert [Delivery month/day/year] and for an existing vessel insert [Last drydocking month/day/year and Next drydocking month/day/year after January 1 2014 or January 1 2016] as applicable. 4 It is advisable to keep updated of developments in respect to USCG Approved BWMS through the USCG website. 5 It is advisable to keep updated of developments in respect to USCG Approved BWMS through the USCG website.

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Annex I 

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Please find enclosed a copy of the Ballast Water Management Plan (BWMP) for [insert vessel names(s)/ IMO number(s)/hull number(s)]. [insert vessel name(s)/ IMO number(s)/hull number(s)] will undertake BWE before discharging ballast water during the extension period as specified in the ship’s specific BWMP.

Part 3 : Ballast Water Management during the extension period [Insert vessel name(s)/ IMO number(s)/hull number(s)]will install a US Coast Guard approved BWMS at the next scheduled drydocking after the approval of a US Coast Guard BWMS adequate to meet the needs of this vessel becomes available. As per the enclosed BWMP, ballast water exchange (BWE) will be performed on the vessel(s) during the extension period. BWE will be undertaken in accordance with definition in 151.2005 and completed as per 151.2025(3) 200 nautical miles from any shore prior to discharging ballast water into the waters of the United States, or otherwise if so required by the US state.

Annex II 

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Annex II 

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Annex II 

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Annex II 

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Annex II 

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Annex III 

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