What Is The Threat With Ballast Water Exchanges?

What Is The Threat With Ballast Water Exchanges? Marine Invasive Species Global problem Huge migrations Many sources introduce invasive species, but in California shipping industry is most significant

INTERNATIONAL International Convention for the Control of and Management of Ships Ballast Water and Sediments (or, BWM Convention) adopted, 2004 BWM Convention ratified by 30 countries representing 35% global tonnage, September 8, 2016 Applies to new builds as of 9/8/17 Now applies to existing vessels on 9/18/19. US FEDERAL USA not a signatory to BWM Convention National Invasive Species Act (16 U.S.C. 4701, et. seq.) USCG Regulations, 33 C.F.R. 151.2000 151.2080 STATE Marine Invasive Species Act, Cal. Public Resources Code 71200 71271 SLC Regulations, 2 CCR 2270 2299.09 Three Levels of Ballast Water Management Regulation Applicable to Vessels Engaged In California Trade

California s Ballast Water Regulations The Basics Apply to vessel of 300+ Gross Tons Does not apply to: Military vessels Innocent Passage Emergencies Extraordinary Circumstances Marine Invasive Species Control Fund: $1000 for each vessel arriving from outside California Civil penalties also go into fund Fund is used to pay for the SLC s regulatory functions relative to ballast water Regulated Activity: Ballast Water Management (Treatment and Exchanges) Recordkeeping / Reporting Penalty Enforcement New Regulations Effective July 1, 2017

California Permitted Ballast Water Management Methods Discharge ballast water to approved shore side facility Retain all ballast water onboard the vessel Discharge ballast water at same location where it was sourced Treat ballast water using an IMO or USCG approved Ballast Water Treatment System Exchange ballast water mid-ocean prior to discharge in California waters

Ballast Water Treatment System Organisms greater than 50 µm in minimum dimension Organisms 10-50 µm in minimum dimension Living organisms <10 µm in minimum dimension Performance Standards (IMO, USCG, SLC) IMO Standard <10 viable organisms per cubic meter <10 viable organisms per ml USCG Standard <10 living organisms per cubic meter <10 living organisms per ml California Interim Performance Standard No detectable living organisms <0.01 living organisms per ml <10 3 bacteria/100 ml <10 4 viruses/100 ml California Final Performance Standard No detectable living organisms No detectable living organisms No detectable living organisms Escherichia coli <250 colony forming unit/100 ml <250 colony forming unit/100 ml <126 colony forming unit/100 ml Intestinal Enterocoddi <100 colony forming unit/100 ml <100 colony forming unit/100 ml 33 colony forming unit/100 ml Toxigenic Vibrio cholera (O1 & O139) <1 colony forming unit/100 ml OR <1 colony forming unit/gram wet weight zooplankton samples <1 colony forming unit/100 ml OR <1 colony forming unit/gram wet weight zooplankton samples <1 colony forming unit/100 ml OR <1 colony forming unit/gram wet weight zooplankton samples

Ballast Water Treatment System Installation Deadlines (IMO, USCG, SLC) Ballast Water Capacity Under 1500m 3 IMO Deadline First Renewal of IOPP certificate after September 8, 2017* USCG Deadline First scheduled dry docking after January 1, 2016* California Interim Performance Deadline First scheduled dry docking after January 1, 2020 California Final Performance Deadline First scheduled dry docking after January 1, 2030 Ballast Water Capacity Between 1500m 3 and 5000m 3 First Renewal of IOPP certificate after September 8, 2017* First scheduled dry docking after January 1, 2014* First scheduled dry docking after January 1, 2020 First scheduled dry docking after January 1, 2030 Ballast Water Capacity Over 5000m 3 First Renewal of IOPP certificate after September 8, 2017* First scheduled dry docking after January 1, 2016* First scheduled dry docking after January 1, 2020 First scheduled dry docking after January 1, 2030 * September 8, 2019 (existing vessels). *MSIB 3-17 covers USCG extensions.

Mid-Ocean Ballast Water Exchanges Where vessel must conduct ballast water exchange depends on where voyage originated: Within PCR: 50 nautical miles from any land or island 200 meters deep Outside PCR, or within PCR but BW from outside: 200 nautical miles from any land or island 2000 meters deep

California Has No Deviation Exemption

Penalties: Voyages Originating Outside PCR (2 CCR 2299.03, effective July 1, 2017) 200 NM 180 NM 180 NM 100 NM 100 NM Exchange Done Here Before Discharge: Class 1 Minor $5k/Tank Class 1 Minor w/in prior 12 months? Class 1 Moderate $10k/tank Exchange Done Here Before Discharge: Class 1 Moderate $10k/tank Class 1 Moderate w/in prior 12 months? Class 1 Major (I) $20k/tank Exchange Done Here Before Discharge: Class 1 Major (I) $20/tank Not expressly provided for, but presume prior offense pattern applies here, too. No Exchange Done Before Discharge: Class 1 Major (II) $27.5k/tank Maximum per violation penalty available under Marine Invasive Species Act

Penalties: Voyages Originating Inside PCR (2 CCR 2299.03, effective July 1, 2017) 50 NM 45 NM Exchange Done Here Before Discharge: Class 1 Minor $5k/Tank Class 1 Minor w/in prior 12 months? Class 1 Moderate $10k/tank 45 NM 25 NM Exchange Done Here Before Discharge: Class 1 Moderate $10k/tank Class 1 Moderate w/in prior 12 months? Class 1 Major (I) $20k/tank 25 NM Exchange Done Here Before Discharge: Class 1 Major (I) $20/tank Not expressly provided for, but presume prior offense pattern applies here, too No Exchange Done Before Discharge: Class 1 Major (II) $27.5k/tank Maximum per violation penalty available under Marine Invasive Species Act

Required Information: Ship s particulars (Name, IMO #, Flag, Tonnage) Ballast Water Capacity Voyage History Ballast Water Events: Sourcing / Uptake Management: Exchange or Treatment Discharge SLC requires use of 2016 USCG form Submit 24 hours before arrival to National Ballast Information Clearinghouse: http://invasions.si.edu/nbic/s ubmit.html Detection of Exchange Violations - Ballast Water Management Report

Detection of Exchange Violations - Ballast Water Management Report

Detection of Exchange Violations - Vessel Inspections Onboard inspections conducted by SLC Marine Environmental Protection Division ( MEPD ) MEPD statutorily mandated to inspect 25% of all CA arrivals

Detection of Exchange Violations - SLC s Boarding Matrix SLC has said it prioritizes onboard inspections of: Vessels calling at Californian port for first time Vessels with prior violations Vessels that are discharging Vessels that have not have been inspected in past 12 months However, we think SLC is also targeting: Bulk carriers Tankers Vessels which will be loading cargo, thus discharging ballast water

Notice of Violation This is, though. This is NOT an NOV 16

Civil Penalty Enforcement (2 CCR 2299.05-.09, effective July 1, 2017) Preliminary Actions 2 CCR 2299.05 SLC must follow procedure NOV Meeting, if requested Administrative Hearing Complaint Notice of Defense Hearing SLC must consider facts in mitigation [PRC 71216(e); 2 CCR 2299.09(a)) Petition for Writ of Mandate 30 days Substantial Evidence? UPHOLD Abuse of Discretion? REVERSE Appeal

Mitigating Factors

Preliminary Thoughts on Mitigating Facts Sourcing Facts Time of day (day better than night) Certain areas avoided (reefs, sanctuaries, dredging, sewage outfalls, observed algae blooms) Exchange Facts Exchange method (empty-refill better than flow-through) Distance offshore (although new regulations appear to reflect this) Water depth (the deeper the better) Discharge Facts Volume of ballast water discharged Age of ballast water (the older the better) Certain areas avoided (marine preserves, parks, sanctuaries) Equitable Facts First time violator Infrequent contact (trampers) Ability to pay Documented culture of concern re: ballast water regulations Civil penalty regulations are brand new (for now) Disparity between SLC and USCG penalties (will not go far)

Recordkeeping Requirements Ballast Water Management Plan PRC 71204(h) Must at a minimum cover Ballast water laws applicable to vessel Ballast water management techniques Ballast water schematics, including locations of sample points Crew training in management, reporting, and recordkeeping requirements, verification of the same Sample plan available at: http://www.slc.ca.gov/programs/misp/compliance_and_rep orting/bw_mgmt_plan_1oct2008.pdf Ballast Water Log Basic information of ballast water treatment event Dates, location and water depth, management method Ballast Water Management Report - Must be kept on vessel for 2 years

Additional Reporting Requirement Prior to October 1 st Annual Technology Report Supplemental Technology Report Hull Husbandry Form After October 1 st Annual Vessel Reporting Form Combines 3 forms Once annually, 24 hours before first CA arrival of calendar year

California Penalties for Recordkeeping & Reporting Violations Recordkeeping Class 2 violations First Class 2 violation = Letter of noncompliance Subsequent violations of same type of Class 2 violation = $10k penalty (2 CCR 2299.03(b) &.04(b)) Reporting Class 3 violations First Class 3 violation = Letter of noncompliance Subsequent violations of same type of Class 3 violation = $1k penalty. Every 30 days that pass and forms not submitted = separate violation. (2 CCR 2299.03(c) &.04(c)) Falsifying BWM Report misdemeanor punishable by a sentence in county jail not to exceed 1 year.

Questions?