Federal Regulations

Federal Regulatory Authority
While the United States Coast Guard (USCG) currently manages the national BWM program, but in response to a U.S. District Court decision, the U.S. Environmental Protection Agency (EPA) must develop National Pollutant Discharge Elimination System (NPDES) permits to regulate ballast water discharges. See below for description of both programs.

U.S. Coast Guard Ballast Water Management (BWM) Program
This program applies to all vessels equipped with ballast water tanks that operate in U.S. waters and are bound for ports or places in the U.S. Major tenants of the program are: (1) requires mandatory ballast water management practices for all vessels that operate in U.S. waters; (2) establishes additional practices for vessels entering U.S. waters after operating beyond the EEZ; and (3) requires the reporting and recordkeeping of ballasting operations by all vessels. More information on the BWM program regulations maybe found in 33 CFR Part 151 Subparts C and D, or at the USCG website.

Mandatory Practices

• All vessels transiting to U.S. waters with ballast water that was taken on within 200 NM of any coast after operating beyond the U.S. EEZ {(33 CFR151.2035(b))}, must:
• Conduct mid-ocean ballast water exchange prior to entering U.S. waters;
• Retain the ballast water on board while in U.S. water; or
• Use a Coast Guard approved alternative environmentally sound to treat the ballast water

• All vessels with ballast tanks on all waters of the United States, regardless of Exclusive Economic Zone (EEZ) Entry {(33 CFR 151.2035(a))}, must:
  
• Avoid ballast operations in or near marine sanctuaries, marine preserves, marine parks, or coral reefs.
• Clean ballast tanks to remove sediment regularly.
• Only discharge minimal amounts of ballast water in coastal and internal waters.
• Rinse anchors and anchor chains during retrieval to remove organisms and sediments at their place of origin.
• Remove fouling organisms from hull, piping, and tanks on a regular basis and dispose of any removed substances in accordance with local, state and federal regulations.
• Maintain a vessel specific ballast water management plan.
• Train vessel personnel in ballast water and sediment management and treatment procedures.
  
• Avoid or minimize ballast water uptake:
• Where infestation, harmful organisms and pathogens are located.
• Near sewage outfalls.
• Near dredging operations.
• Where tidal flushing is poor or when a tidal stream is known to be more turbid.
• In darkness when organisms may rise up in the water column.
• In shallow water or where propellers may stir up the sediment.
• Areas with pods of whales, convergence zones and boundaries of major current.

Safety
BWM practices shall not jeopardize the safety of a vessel, its crew, or its passengers. Therefore, the master of a vessel will not be prohibited from discharging unexchanged ballast, in areas other than the Great Lakes and the Hudson River, if the master decides the practices would be a threat to safety, stability, or security due to adverse weather, vessel design, equipment failure, or any other extraordinary condition. All vessels, however, must discharge only the minimal amount of ballast water operationally necessary and ensure ballast water records accurately reflect any reasons for not complying with the mandatory requirements.

Reporting and Recordkeeping Requirements
The master, owner, operator, person in charge, or vessel agent of any vessel equipped with ballast water tanks that is bound for ports or places of the United States, must ensure complete and accurate Ballast Water Reporting Forms are submitted in accordance with 33 CFR 151.2041, and signed ballast water records the kept on board the vessel for a minimum of two years in accordance with 33 CFR 151.2045.

Penalties for failing to comply with the Mandatory BWM Requirements:
Max. $27,500 per day
Willful violations = Class C felony

Vessels Exempt from the Mandatory BWM Requirements:
Crude oil tankers engaged in coastwise trade;
Vessels of the Department of defense, Coast Guard, or any of the Armed Services as defined within 33 USC 1322 (a) and (n);
Vessels that operate exclusively within one COTP zone

U.S. Environmental Protection Agency
The Environmental Protection Agency (EPA) is seeking information as it considers how to develop a water permit program for pollutant discharges incidental to the normal operation of commercial vessels and recreational boats. The discharges, which have been exempted for the last 30 years, may include ballast water, bilge water, deck runoff and gray water; approximately 143,000 commercial vessels and potentially more than 13 million state-registered recreational boats and more than 25 different types of vessel discharges could be affected.

The new permit requirements are the result of a recent U.S. district court ruling that found EPA exceeded its authority by excluding discharges incidental to the normal operation of a vessel from existing permitting requirements. Under the ruling, vessel owners or operators whose discharges previously have been exempt from Clean Water Act requirements will require a permit on Sept. 30, 2008. EPA is appealing the ruling. For more background on the EPA Lawsuit and Court decision, see the EPA Factsheet.

EPA is seeking public comments and data to help the agency develop a permitting framework that recognizes various vessel characteristics and types of discharges. Specifically, EPA needs information about vessel identification and operations, owner notification, discharge impacts, pollution control equipment and practices, and commercial and recreational vessel traffic patterns. Comments and data are due within 45 days of publication of the notice. The agency will identify and categorize: (1) the universe of vessels; (2) their discharge characteristics; and (3) pollution control equipment or best management practices.

For more background or to make comments, see the EPA Federal Register notice on the development of ballast water discharge permits or the EPA website.