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DEPARTMENT OF ENVIRONMENTAL QUALITY
DIVISION 143
BALLAST WATER MANAGEMENT
340-143-0001
Authority, Purpose, and Scope
(1) These rules establish procedures for management of ballast water, and reporting of ballast water management information as regulated under ORS 783.620 through 783.640. The rules’ purpose is to protect waters of the state from ecological and economic threats associated with aquatic nonindigenous species.
(2) All vessels greater than 300 gross tons equipped with ballast water tanks traversing into waters of the state are subject to these rules, except a vessel that:
(a) Traverses only internal waters of the state; or
(b) Traverses only the territorial sea of the United States and does not enter or depart an Oregon Port or navigate waters of the state.
(3) Under ORS 783.630(2), these rules do not authorize the spilling or releasing of any oil or hazardous materials in a manner prohibited by state or federal laws or regulations. Ballast water carried in any tank containing a residue of oil or any other pollutant must be discharged in accordance with applicable regulations.
Stat. Auth.: ORS 468.020, 783.620 - 783.640
Stats. Implemented: ORS 783.620 - 783.640
Hist: DEQ 17-2002, f. 11-1-02, cert. ef. 12-1-02; DEQ 4-2011, f. & cert. ef. 3-17-11
340-143-0005
Definitions
(1) "Ballast Water" means any water and associated sediment used to manipulate the trim and stability of a vessel.
(2) "Cargo Vessel" means a ship in commerce, other than a tank vessel or a vessel used solely for commercial fish harvesting, of 300 gross tons or more.
(3) "Coastal Ocean Exchange" means the exchange of ballast water in an area no less than 50 nautical miles from any shore and where the water depth exceeds 200 meters.
(4) “Common Waters Zone” means the Pacific Coast of North America between 40 and 50 degrees north latitude.
(5) "DEQ" means the Oregon Department of Environmental Quality.
(6) “Exchange” means to replace the water in a ballast tank using either flow-through exchange, empty/refill exchange, or other exchange methods recommended or required under U.S. Coast Guard rules, 33 CFR, part 151.2035.
(7) “Exclusive Economic Zone” extends from the baseline of the U.S. territorial sea seaward 200 nautical miles.
(8) “High-risk Ballast Water” means unexchanged or untreated ballast water obtained from a coastal area outside the common waters zone identified in this rule.
(9) "Internal Waters of the State" means those waters of this state that do not have shared jurisdiction with an adjacent state.
(10) “Nonindigenous Species” means any species or other viable biological material entering an ecosystem beyond its natural range. This also includes seeds, eggs, spores and other biological material entering an ecosystem beyond its natural range.
(11) "Oil" means oil, gasoline, crude oil, fuel oil, diesel oil, lubricating oil, oil sludge, oil refuse and any other petroleum-related product.
(12) "Open Sea Exchange" means the exchange of ballast water that occurs in an area no less than 200 nautical miles from any shore and where the water depth exceeds 2,000 meters.
(13) “Pacific Coast Region” means all coastal waters on the Pacific Coast of North America east of 154 degrees W longitude and north of 25 degrees N latitude, exclusive of the Gulf of California.
(14) "Passenger Vessel" means a ship of 300 gross tons or more, carrying passengers for compensation.
(15) "Port" means any place to which a vessel is bound to anchor or moor.
(16) "Sediment" means any matter that settles out of ballast water.
(17) "Ship" means any boat, ship, vessel, barge or other floating craft of any kind.
(18) "Tank Vessel" means a ship that is constructed or adapted to carry oil in bulk as cargo or cargo residue other than:
(a) A vessel carrying oil in drums, barrels or other packages;
(b) A vessel carrying oil as fuel or stores for that vessel; or
(c) An oil spill response barge or vessel.
(19) "Territorial Sea of the United States" means the waters extending three nautical miles seaward from the coastline in conformance with federal law.
(20) "Vessel" means a tank vessel, cargo vessel or passenger vessel.
(21) "Voyage" means any transit by a vessel destined for any Oregon port.
(22) “Waters of the State” mean natural waterways including all tidal and non-tidal bays, intermittent streams, constantly flowing streams, lakes, wetlands and other bodies of water in Oregon, navigable and non-navigable, including that portion of the Pacific Ocean that is within Oregon’s boundaries.
Stat. Auth.: ORS 468.020, 783.620 - 783.640
Stats. Implemented: ORS 783.620 - 783.640
Hist: DEQ 17-2002, f. 11-1-02, cert. ef. 12-1-02; DEQ 4-2011, f. & cert. ef. 3-17-11
340-143-0010
Ballast Water Management: Discharge Prohibitions
(1) Discharge of ballast water containing oil or hazardous material into waters of the state is prohibited.
(2) Vessels carrying ballast water into waters of the state must not discharge ballast water unless:
(a) The vessel discharges ballast water only at the same location where the ballast water originated, provided that the master, operator or person in charge of the vessel can demonstrate that the ballast water to be discharged was not mixed with ballast water or sediment from an area other than mid-ocean waters. For purposes of this subsection, “same location” means an area within one nautical mile of the berth or within the recognized breakwater of an Oregon port or place, at which the ballast water to be discharged was loaded;
(b) The owner or operator of the vessel conducted proper ballast water exchange management practices before entering waters of the state, such that:
(A) An open sea exchange was conducted for ballast tanks containing water sourced outside the Exclusive Economic Zone; or
(B) A coastal ocean exchange was conducted for ballast tanks containing water sourced from a port within the North American Pacific Coast Region;
(c) The ballast water was solely obtained from mid-ocean waters that are no less than 200 nautical miles from any shore and where water depth exceeds 2,000 meters;
(d) The ballast water originated solely from the common waters zone, as defined by OAR 340-143-0005(5);
(e) The ballast water originated solely from municipal or treated drinking water sources and is not mixed with ballast water obtained from areas other than open sea waters;
(f) The ballast water had been treated in a manner authorized by OAR 340-143-0050; or
(g) The vessel owner or operator declares a safety exemption in a manner consistent with ORS 783.635 (2)(b) and OAR 340-143-0040.
Stat. Auth.: ORS 468.020, 783.620 - 783.640
Stats. Implemented: ORS 783.620 - 783.640
Hist: DEQ 17-2002, f. 11-1-02, cert. ef. 12-1-02; DEQ 4-2011, f. & cert. ef. 3-17-11
340-143-0020
Ballast Water Management: Reporting, Management Plans and Recordkeeping
(1) A vessel owner or operator covered by OAR chapter 340, division 143 must report ballast water management information to DEQ at least 24 hours before entering waters of the state. When the vessel’s voyage is less than 24 hours in total duration, the report must be submitted prior to departing the vessel’s port or place of departure. The report is required whether or not the owner or operator plans to discharge ballast water into waters of the state. Compliance with these reporting requirements may be met by sending the report to DEQ via e-mail (ballast.water@deq.state.or.us) fax, or mail. Vessel owners or operators who rely on a third party to collect, forward or submit ballast water reporting forms are responsible for ensuring that DEQ receives the ballast water management information as required in this section. Electronic reporting must be submitted using methods and file formats approved by DEQ.
(2) The report must be submitted on a form acceptable to the U.S. Coast Guard pursuant to 33 CFR part 151, unless DEQ approves an alternative format in writing.
(3) If a vessel owner or operator alters or plans to alter its ballast water management for any reason after reporting its ballast water management information, the owner or operator must submit an amended ballast water management report to DEQ. An amended reporting form must be filed at the time of first known or predictable change of destination, and immediately upon completion of discharge operations resulting in changes to actual volume of ballast water discharged.
(4) Any owner or operator failing to report ballast water management information as required by this rule must file the required report immediately upon discovering the violation.
(5) Vessel owners or operators must develop and maintain on board a ballast water management plan that is specifically developed for the vessel and that allows those responsible for the plan’s implementation to understand and follow the vessel’s ballast management strategy. The contents, training requirements and availability must be consistent with ballast water management plan regulations established by the U.S. Coast Guard under 33 CFR 151.2035a subpart D.
(6) Vessel owners or operators must record all ballast water and sediment management operations in the vessel’s ballast water log, record book or other suitable documentation system.
(a) Content. Vessel owners or operators must maintain a version of the ballast water log, record book or other suitable documentation system in English on board the vessel that, at a minimum:
(A) Records each operation involving ballast water or sediment management;
(B) Describes each such operation, including the location and circumstances of, and the reason for, the operation;
(C) Records the exact time and position of the start and stop of the ballast water exchange or treatment operations for each tank; and
(D) Describes the nature and circumstances of any situation under which a safety exemption from ballast management requirements was declared.
(b) Availability. Vessel owners or operators must make the ballast water log or record book readily available for examination by DEQ at all reasonable times. The vessel owner or operator must transmit to DEQ any information about the vessel’s ballast operations that DEQ requires.
(c) Retention period. The ballast water log or record book must be available on board the vessel for a minimum of two years after the date on which the last entry in the book is made.
(d) Required signatures. DEQ will require that each completed page and each completed vessel exchange or treatment operation in the ballast water log or record book be signed and dated by the vessel owner or operator or responsible officer; and that such owner, operator or responsible officer attest to the accuracy of the information provided and certifies compliance with the vessel ballast water management plan.
(e) Alternative means of recording. The ballast water log or record book may be an electronically recorded system or integrated into another record book or system. At a minimum, any alternative method must meet provisions of this section.
(f) Records Storage for unmanned barges. If no secure location is available to store records on unmanned barges, these vessel operators may meet provisions of this section by storing records on an associated tug or at other accessible locations and must provide logbook records to DEQ on request.
[Publications: Publications referenced are available from the agency.]
Stat. Auth.: ORS 468.020, 783.620 - 783.640
Stats. Implemented: ORS 783.620 - 783.640
Hist: DEQ 17-2002, f. 11-1-02, cert. ef. 12-1-02; DEQ 4-2011, f. & cert. ef. 3-17-11
340-143-0030
Ballast Water Management: Vessel Inspections
(1) DEQ or its agent is authorized to board and inspect vessels, without advance notice, to provide technical assistance, assess compliance and enforce Oregon ballast water management rules as provided under ORS 783.620-640, as long as such inspections are conducted in accordance with standards described in this rule. DEQ may prioritize vessel inspections based on:
(a) Reporting compliance,
(b) Information submitted in ballast water reporting forms,
(c) Discharge behavior; or
(d) Other applicable criteria to assess the risk of introducing nonindigenous species.
(2) Conditions. DEQ inspections shall be conducted under the following conditions:
(a) Authorized inspectors. Only DEQ employees, agents or specifically authorized contractors are authorized to conduct such inspections;
(b) Time. Inspections may be conducted at any time. Reasonable efforts must be taken to not unduly interrupt normal cargo operations of the vessel. Vessel cargo operations may be interrupted when it appears to inspectors that the discharge of unexchanged or untreated ballast water or sediments may be occurring or is imminent;
(c) Location. DEQ may conduct inspections when the vessel is at anchor or in port within Oregon waters;
(d) Identification. Inspectors must have official identification, announce their presence and intent at the time of inspection, perform their duties in a safe and professional manner, and follow all appropriate ship safety requirements;
(e) Vessel escort. The vessel owner or operator must provide an employee to escort the inspector or inspectors.
(f) Safety. Nothing in this section relieves the vessel owner or operator of the responsibility for ensuring the vessel’s safety and stability or the safety of the crew and passengers.
(3) Purpose. Vessel boarding may occur for any of the following reasons:
(a) To verify regulatory compliance under ORS 783.620 through 783.640. The scope of compliance verification inspection activities is described in section (4) of this rule;
(b) To provide technical assistance and explain details of state ballast water management regulations. The inspector may also help provide details on other west coast state and federal ballast law; or
(c) To provide outreach and education about best management practices that may further reduce the likelihood of transporting aquatic nonindigenous species.
(4) Scope. DEQ shall limit vessel inspection to those areas reasonably necessary to inspect ballast management-related activities. DEQ may board a vessel and conduct compliance verification and inspection activities, including;
(a) An audit of vessel ballast water management documentation to verify compliance with state laws. An audit consists of reviewing the vessel’s ballast water reporting forms, management plan and record book as required in this section. In addition, the inspector may request and review any other records relating to ballast management operations including the Deck Log, GPS Log, Soundings Log, Stability Reports, Engine Room Log and Oil Record Book. Vessel operators must maintain a concise record of their ballast water management in order to expedite the timeliness and efficiency of the documentation audit.
(b) A collection of samples from ballast tanks. Sampling may require the vessel's crew to provide safe access to ballast tanks for sampling, including lighting and ventilation of cargo holds, spaces and voids as needed. The vessel’s crew will open ballast tank manhole covers and present the tank ready for sample access by taking the head off the tank level as necessary to preclude tank overflow. If tank certification is necessary for access, the vessel operator will be responsible for any marine chemist fees. Where safe and practical, an inspector may require a sample of tank sediments, collected by the vessel operator under DEQ observation or by the DEQ inspector.
Stat. Auth.: ORS 468.020, 783.620 - 783.640
Stats. Implemented: ORS 783.620 - 783.640
Hist: DEQ 4-2011, f. & cert. ef. 3-17-11
340-143-0040
Ballast Water Management: Emergency Management Alternatives for Vessel’s Declaring Safety Exemption Discharge of High-Risk Ballast Water
(1) Unexchanged or untreated ballast water may not be discharged into waters of the state without DEQ review and authorization. This is to provide DEQ with sufficient time to determine whether ballast water proposed for discharge represents a high-risk for introduction of nonindigenous species and whether or not feasible management alternatives are available to minimize that risk and protect waters of the state.
(2) Vessel owners or operators requesting safety exemptions under ORS 783.635 (2)(b) must file a ballast water reporting form clearly identifying the request, and provide sufficient additional information for DEQ to evaluate the request and determine whether an emergency ballast water management alternative is warranted.
(a) Reporting Requirements. Vessel operators requesting a safety exemption must notify DEQ of their intent on the ballast water reporting form required under ORS 783.640. Notification requires writing the words "safety exemption" on the form where it asks "If no ballast treatment conducted, state reason why not:" and stating the cause as either "adverse weather," "vessel design limitation," equipment failure" or "extraordinary condition."
(A) Vessel operators may rescind a safety exemption claim by filing an amended ballast water reporting form and notifying DEQ as required in this section.
(B) Vessel operators using treatment technologies and claiming a safety exemption due to equipment failure must conduct an open sea exchange or explain why that was not possible.
(b) Discharge authorization requirement. A vessel owner or operator shall not discharge untreated or unexchanged ballast water without DEQ authorization, except:
(A) Where discharging is necessary to prevent jeopardy to the vessel, crew or passengers, or
(B) For safety exemption discharges from unmanned barges, in which case DEQ shall review ballast water reporting form information and notify the vessel operator if further case review and discharge authorization are required, in accordance with subsection (c).
(c) Case Review. DEQ will review safety exemption claims and determine whether alternative management strategies are feasible and necessary. DEQ will complete case review within 10 days of receiving safety exemption notification on the vessel’s ballast water reporting form. When it completes its safety exemption review, DEQ will notify the vessel owner or operator whether they have authorization to discharge or whether ballast water management alternatives, referenced in section (4), are required.
(3) DEQ may identify high-risk ballast water from safety exemption cases using factors including but not limited to:
(a) A nonindigenous species profile of source waters;
(b) The volume and frequency of exchanged ballast water discharged;
(c) Design limitations in vessels that prevent effective ballast exchanges;
(d) Voyage characteristics within 50 nautical miles that may preclude requirements to conduct ballast exchange outside of 50 nautical miles;
(e) Vessel owner or vessel operator compliance history; or
(f) Frequency of vessel claims for safety exemption.
(4) Alternative Management strategies options for responding to high-risk ballast water discharge. For vessels requesting authorization to discharge high-risk ballast water, DEQ shall identify one or more of the following options:
(a) Conduct an open sea or coastal ocean ballast exchange after safety exemption conditions are rectified;
(b) Discharge into DEQ-specified alternative waters;
(c) Employ a ballast water treatment alternative using DEQ-approved methods, or using a ballast treatment system acceptable under 340-143-0050;
(d) Discharge only the minimum amount necessary to complete a safe operation; or
(e) Retain all ballast water on-board.
(5) Alternative Discharge Areas. DEQ, in consultation with the U.S. Coast Guard and the state of Washington, when applicable, may identify alternative locations for the discharge of unexchanged or untreated ballast water.
(6) Safety. Nothing in this section relieves the vessel owner or operator of the responsibility for ensuring the vessel’s safety and stability or the safety of the crew and passengers.
Stat. Auth.: ORS 468.020, 783.620 - 783.640
Stats. Implemented: ORS 783.620 - 783.640
Hist: DEQ 4-2011, f. & cert. ef. 3-17-11
340-143-0050
Ballast Water Management: Use of Ballast Water Treatment Systems
(1) Discharge Standards. Reserved
(2) Use of ballast water treatment systems. Ballast water treated in compliance with federal discharge standards or treated using technology approved for shipboard use by the U.S. Coast Guard or the U.S. Environmental Protection Agency may be discharged to waters of the state unless discharge violates section (1).
(3) As an alternative to discharging high-risk ballast water identified in 340-143-0040, DEQ may authorize the use of ballast water treatment systems identified as promising technology by the U.S. EPA, U.S. Coast Guard or neighboring states.
Stat. Auth.: ORS 468.020, 783.620 - 783.640
Stats. Implemented: ORS 783.620 - 783.640
Hist: DEQ 4-2011, f. & cert. ef. 3-17-11
340-143-0060
Ballast Water Management: Ballast Tank Sediment
(1) Except during normal operation of ballast pump systems, a vessel operator may not remove or dispose of unsuspended sediment from spaces designed to carry ballast water into waters of the state.
(2) The cleaning of ballast tanks within Oregon waters is prohibited except under controlled arrangements in port or in dry dock. Fouling organisms and sediments removed during the cleaning of ballast tanks may not be discharged to waters of the state and must be disposed of in accordance with local, state and federal law.
(3) DEQ may approve sediment disposal facilities. These facilities must provide for the disposal of such sediment in a way that effectively eliminates the risk of nonindigenous species and does not impair or damage the environment, human health or property, or resources of the disposal area.
Stat. Auth.: ORS 468.020, 783.620 - 783.640
Stats. Implemented: ORS 783.620 - 783.640
Hist: DEQ 4-2011, f. & cert. ef. 3-17-11
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