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ECM GUIDANCE DOCUMENT 07-A

US EPA VESSEL GENERAL PERMIT (VGP) ISSUED UNDER THE

NATION AL POLLUTANT DISCHARGE ELIMINATION SYSTEM (NPDES)
GENERAL COMPLIANCE REQUIREMENTS

INTRODUCTION

A. SUBMIT NOTICE OF INTENT Section 1.5 & 1.6

B. GENERAL HOUSEKEEPING REQUIREMENTS Section 2 & 2.1

C. REQUIREMENTS FOR SPECIFIC REGULATED DISCHARGES Section 2.2

D. WATER QUALITY BASED EFFLUENT LIMITATIONS Section 2.3

E. CORRECTIVE ACTIONS Section 3

F. INSPECTIONS, MONITORING, REPORTING & RECORDKEEPING Section 4

G. ADDITIONAL RECORDKEEPING FOR VESSELS EQUIPPED WITH BALLAST Section 4.3

TANKS
H. REPORTING Section 4.4

I. VESSEL CLASS-SPECIFIC REQUIREMENTS Section 5.0

J. ENFORCEMENT OF THE VESSEL GENERAL PERMIT

K. ASSISTANCE AVAILABLE FROM ECM

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INTRODUCTION
A federal district court in California ruled that the EPA violated the law by exempting ballast water
discharges and “any other discharge incident to the normal operation of a vessel” from the
NATIONAL POLLUTANT DISCHARGE ELIMINATION SYSTEM (NPDES) permitting process established
under the Clean W ater Act (CWA). The NPDES has traditionally applied to fixed shore facilities
which have routine discharges into US waterways. These discharges are permitted and
controlled, and efforts are made to reduce the discharges through the use of Best Management
Practices (BMP). The court’s order gave the EPA until September 30, 2008 to develop a new
regulatory regime to include ships. The federal government (EPA and Department of Justice)
appealed this decision and lost. The EPA appealed to the Ninth Circuit Court of Appeals and was
granted an extension to December 19, 2008 for compliance with the court’s ruling.

The new final rules were issued on 19 December, 2008 with a compliance date of 6 February,
2009. The new regulations state that each vessel must comply with the provisions of a Vessel
General Permit (VGP) which will be issued by the EPA. The VGP lays out the requirements for
general housekeeping on board, and to monitor discharges from 26 specific sources on board
ships. Monitoring activities must be logged, and each company must conduct an annual audit of
their monitoring program.

The 2008 VGP was effective until 19 December 2013 when a new 2013 VGP became effective.
There were many changes in the new VGP including streamlined reporting requirements, the
addition of commercial fishing vessels and their associated fish hold waste, electronic reporting
and recordkeeping, the requirement for the use of Environmentally Acceptable Lubricants (EAL’s)
for oil-to-sea interfaces, and additional analysis requirements for new vessels. All information
provided in this Guidance Document is for the new 2013 VGP.

The Vessel General Permit is enforced by the EPA, but monitored by the US Coast Guard during
normal Port State Control examinations. This document details the general requirements
applicable to all vessels.

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A. SUBMIT NOTICE OF INTENT (SECTIONS 1.5 AND 1.6)

1. Each operator/owner of a vessel which intends to discharge under the permit must
submit a NOTICE OF INTENT (NOI) to the US EPA if the vessel is 300 GT or more or
has the capacity to hold 8 m³ of ballast water. This NOI must be submitted at least
7 days prior to arrival. An NOI must be submitted even if you have previously
submitted an NOI under the 2008 VGP.

2. All submitted NOIs are considered public information and will be available on the
EPA’s website http://ofmpub.epa.gov/apex/vgpenoi/f?p=vgp:Search.

3. You must submit a NOTICE OF TERMINATION (NOT) within 30 days, if one of the
following occurs:
 A new owner/operator has taken control of the vessel
 You no longer intend to operate in US waters
 You have obtained coverage under an individual permit or alternative permit

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B. GENERAL HOUSEKEEPING REQUIREMENTS (SECTIONS 2 AND 2.1)

General housekeeping requirements are intended to reduce the amount of effluent generated on
board or to reduce the potential for contamination of those effluents. These are the Best
Management Practices (BMP) which are required under the permit.

1. Material Storage – minimize the on deck storage of materials which may dissolve
or leach when exposed to water or which may blow overboard. Locate storage
areas where they have the least exposure to the weather. If water draining from
storage areas comes in contact with oily material you must:

a. Use dry cleanup methods or absorbents to clean up the wastewater

b. Store the water for onshore disposal; or
c. Run the water through an oily water separator or other appropriate technology so
that the resulting discharge will not contain oil in quantities that may be harmful.

2. Toxic and hazardous materials – These must be stored in protected areas

unless the Master determines it interferes with the safety or essential operations of
the ship. Any discharge made for safety reasons must be documented.

a. Materials must be in sealed containers of suitable materials, labeled and secured.

b. Containers must not be overfilled.
c. Incompatible wastes should not be mixed.
d. Exposure of containers to ocean spray and precipitation must be minimized.
e. Jettisoning of containers of hazardous materials is not authorized by the permit.

3. Fuel spills and overflows – You must conduct fueling operations using
control measures and practices designed to minimize the effects of overflows and
ensure prompt cleanup, if they occur. These items are also required under 33 CFR
155.

a. Tanks must not be overfilled.

b. Fuel tank air vents must have containment to collect overflow and protect from
contamination of surrounding waters.
c. Crew involved in transfer operations must be trained in methods to minimize
spills caused by human error and/or improper use of equipment.
d. Auxiliary vessels (such as lifeboats or rescue boats) are also subject to this
permit. During fueling of these vessels you must:
i. Examine the surrounding area for sheen;
ii. If a sheen results from the fueling it must be cleaned up immediately;
iii. Use oil absorbent material or other appropriate device while fueling to
catch drips from vent overflow and fuel intake.

4. Discharges of oil including oily mixtures – All discharges of oil and oily
mixtures must have a concentration of oil less than 15 ppm before discharge.

a. All MARPOL vessels must have a current IOPP certificate.

b. All non-MARPOL vessels should have a current IOPP certificate or a statement
of voluntary compliance issued by a recognized classification society.
c. Discharges through the OWS may not be done within 1 nm of shore, and must
be done while the vessel is underway at a speed of at least 6 knots.

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5. Compliance with other statutes and regulations – All vessels must

comply with applicable US Coast Guard specifications for safe transport, handling,
carriage and storage of pollutants. Any discharge from your vessel must comply with:

a. Federal W ater Pollution Control Act (Clean W ater Act, CWA)

b. Act to Prevent Pollution from Ships (APPS)
c. National Marine Sanctuaries Act (NMSA)
d. Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA)
e. Oil Pollution Control Act of 1990 (OPA 90)
f. Any applicable state requirements. See ECM GD-11 for state requirements
under this NPDES program.

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C. REQUIREMENTS FOR SPECIFIC REGULATED DISCHARGES (SECTION 2.2)
This section addresses the 27 regulated incidental discharges from ships which are subject to the
Clean Water Act for purposes of the Vessel General Permit. In addition to general
housekeeping, the following specific wastes have restrictions or prohibitions for discharge in US
waters subject to the permit:

1. Discharges of ballast water 14. Motor gasoline & compensating discharge

2. Gray water 15. Anti-fouling hull coatings
3. Non-oily machinery wastewater 16. Refrigeration & air condensate discharge
4. Aqueous Film Forming Foam (AFFF) 17. Sonar dome discharge
5. Boiler/economizer blowdown 18. Seawater cooling overboard discharge
6. Cathodic Protection 19. Distillation and reverse osmosis brine
7. Oil to Sea Interfaces 20. Freshwater layup
8. Chain locker effluent 21. Gas turbine water wash
9. Elevator pit effluent 22. Seawater piping biofouling prevention
10. Firemain systems 23. Welldeck discharges
11. Boat engine wet exhaust 24. Exhaust gas scrubber wash water discharge
Deck washdown & runoff & above water line
12. Underwater ship husbandry 25.
hull cleaning
13. Graywater mixed with sewage 26. Bilge water
27. Fish Hold Waste

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D. WATER QUALITY BASED EFFLUENT LIMITATIONS (SECTION 2.3)
Impaired waters or “water quality limited segments” are those which have been identified by a
state or the EPA as not meeting applicable state or federal water quality standards. These may
be added prior to the implementation date of the permit or may be added at a later date.

Additional discharge standards may be imposed for vessel discharges into these waters. These
additional standards may be imposed by an individual state, or may be imposed by the EPA as a
result of inspections or shipboard records which indicate the control restrictions imposed by the
vessel are insufficient to provide water quality standards.

Vessel operators will be advised if these additional restrictions apply. The method of notification
has not been identified yet.

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E. CORRECTIVE ACTIONS (Section 3)

1. Problems triggering the need for Corrective Action – Any one of the
following could trigger a Corrective Action:
 The vessel violates one or more of the discharge limits set by the permit
 The EPA or their designated representative (USCG) determine a modification to
the control measures is necessary to meet the discharge limits
 The owner/operator becomes aware, or the EPA determines, that the vessel’s
control measures are not stringent enough for the discharge to meet standards
 The owner/operator finds that the pollution control measures or best
management practices are not being properly operated or maintained or are not
having the intended effect in minimizing the discharge.
2. Corrective Action Assessment – As soon as a problem is identified (by the
EPA, their representative, an auditor or a member of the crew) the vessel must
conduct a corrective action assessment into the nature, cause, and potential options
for eliminating these problems. The assessment report must include the following:
 A description of the problem discovered including date and time, location of the
vessel where it occurred, types of impact observed, and the name, title and
signature of the person discovering the discharge violation.
 An explanation of the cause (if known). If unknown, describe the steps to be
taken to determine the cause.
 A description of the corrective actions required to eliminate the problem and a
schedule of activities for completing these actions within the time frames
discussed below.
 An indication if the corrective action requires drydocking and, if so, when the next
drydocking is scheduled.
 Once the corrective action is implemented, the date and time of the action, and
the name, title, and signature of the person recording this information.
3 Deadlines for eliminating the problem – Compliance with most permit
requirements can be accomplished immediately, such as housekeeping, reporting,
recordkeeping, inspections and certain operation and maintenance requirements. In
these situations you must return to permit compliance immediately.
Compliance with other permit requirements may require additional time for the vessel
owner/operator to correct the problem. The following deadlines apply to eliminating
problems identified, depending upon the type of corrective action which must be
taken:
 2 Weeks after discovery – For problems which can be corrected with relatively
simple adjustments to control measures, using existing personnel and equipment,
and not requiring the vessel to drydock. These corrections must be made as
soon as possible but not later than two weeks after discovery, or, if the ship is
leaving the US it must be corrected prior to the ships return.
 3 Months after discovery – Corrective actions requiring spare parts delivery or
installation of new equipment, not requiring drydocking the vessel. The
underlying problem must be corrected or new equipment installed within 3
months of discovering the problem, or, if the vessel is leaving US waters it must
be corrected prior to its return. If more than 3 months is needed, the reasons
must be detailed in the Corrective Action Assessment.
 After the next drydock – For corrective actions that require large or
comprehensive renovations, alterations, or repairs to the vessel that can only be
achieved while the vessel is in drydock.

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4. Effect of Corrective Action – Each occurrence of a problem described

above constitutes a violation of the permit, hence a violation of the Clean W ater
Act. Conducting an assessment and correcting the problem does not absolve the
vessel from liability for the violation. However, failure to conduct a proper
assessment and corrective actions constitutes another violation. The EPA will
consider the appropriateness of the corrective actions taken in determining the
enforcement responses to the permit violation.
The EPA may impose additional requirements and schedules of compliance, as
necessary.

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F. INSPECTIONS, MONITORING, REPORTING AND RECORDKEEPING (SECTION 4)

Inspections (4.1) – Inspections required consist of routine visual inspections,
analytical monitoring, comprehensive annual vessel inspections, and drydock inspections.
1 Visual Inspections – At least once each week or once each voyage, whichever
is more frequent, all accessible areas of the ship must be visually inspected. The
intention of the inspection is to monitor each of the 27 regulated discharges for
compliance. The ship’s watch should be visually monitoring the water area around
the ship during each watch.
If you discover, during routine inspections, that you are discharging oil, pollutants, or
other constituents of concern which exceed discharge limits listed in the permit, you
must record the steps you have taken as corrective actions to remediate the problem.
All routine inspections must be documented in either the official ship logbook (not
necessarily the ship’s log) or as a component of records required by section 4.2
below. Documentation must include:
 Date and time of the inspection
 Personnel conducting the inspection
 Location of any sampling or visual observations
 Potential problems or contamination found
 Must be signed by the person conducting the inspection
The vessel owner/operator and the Master are responsible for ensuring that
discharges remain within the permit limits. Visual inspections are only required when
operating in US waters.

2 Analytical Monitoring – This type of monitoring is not visual, but is a sampling

and laboratory analysis requirement for vessels which generate large amounts of
effluent (such as gray water from cruise ships), or are new build vessels (keel laid
after 19 December 2013). It does not apply to every ship. See the details in
Section 5.0 of the VGP.
3. Comprehensive Annual Vessel Inspections – Must be conducted by a
qualified person (Master, DPA, class, or a surveyor for example). The inspection
must cover all areas of the ship capable of contributing to discharges within the
permit. The inspection must also include a review of the monitoring, data collection,
records and sampling conducted over the previous year related to permitted
discharges. An annual inspection may be substituted for the required weekly
inspection.
If the annual inspection revel flaws in the system or actual violations of the permit, a
corrective action must be conducted to mitigate the problems. A record of each
annual inspection must be retained on board.

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4. Drydock Inspection – Drydock reports made by class or the USCG must be made
available on board. If a report is not available from either of these agencies, you must
make your own report (a template is available from ECM). The drydock report must
note the following:

 The chain locker has been cleaned of sediment and living organisms;
 The vessel’s hull has been examined for living organisms and any found have
been removed;
 Hull antifouling coatings applied, maintained or removed are consistent with the
FIFRA label (if applicable), any exposed remaining coatings does not contain
biocides or toxics banned for use in the US;
 Cathodic protection anodes have been replaced as needed to reduce flaking;
 All pollution control equipment is functioning properly.

5. Recordkeeping (4.2) – Each vessel covered under the permit must have records
on board which include:
 List of ship’s particulars
 Voyage log including agent information, last port, next port, etc.
 Records of any violations of effluent limits including corrective actions, etc.
 Log of weekly routine inspections
 Analytical results of sampling (if required)
 Log of findings of annual inspections
 Record of any specific requirements issued by the EPA or any state agency, and
how you have met those requirements
 Maintenance and discharge information which may be kept in various logs on
board and not necessarily in a separate log for this purpose:
i. Deck maintenance (more than routine cleaning)
ii. Bilgewater discharges through the OW S (currently required in Oil Record
Book)
iii. Paint application for antifouling paint.
iv. Discharges of AFFF.
v. Chain locker inspections including dates of rinsing.
vi. Oil to sea interface maintenance (stern tubes, controllable pitch propeller,
etc.)
vii. Any emergency discharges to waters in marine sanctuaries.
viii. Estimated volume and location of graywater discharged within 3 miles of
US waters.
ix. Gas turbine water wash conducted within waters subject to the VGP.
x. MSDS for all EAL’s used on board.
 All documentation required elsewhere in the permit.
 A record of any training conducted for this program.

This information may be logged in a special log, or existing logs such as ship’s log, or oil record
book. The operator may choose how they wish to maintain these records but they must be
retained on board for a period of three (3) years. Electronic recordkeeping is permitted so long as
it is readily available for inspection.

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G. ADDITIONAL RECORDKEEPING FOR VESSELS EQUIPPED WITH BALLAST TANKS

(Section4.3)
All vessels equipped with ballast water tanks must comply with 33 CFR 151. This can be met
by having a ship-specific ballast water management plan on board, submitting and retaining
copies of ballast reports, and maintaining a ballast log. There are two exceptions:
 If sediment is to be discharged to a facility in the US, the ship must maintain records of
the transaction including the location of the facility;

 All vessels which conduct salt water flushing of empty tanks in accordance with St
Lawrence Seaway requirements, or in accordance with Parts 2.2.3.7 or 2.2.3.8 of this
permit, must indicate this in Section 4 of the Ballast Water Report Form. Check the block
“Underwent Alternative Management” and list salt water flushing in the box “specify
alternative method”.

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H. REPORTING (SECTION 4.4)

There are two types of reports required under this permit.
1. Annual Report (4.4.1) – At least once each year, b e t w e e n 1 J a n u a r y
a n d 2 8 F e b r u a r y , the ship must submit an Annual Report for the previous
calendar year. This is a report which must be completed on-line and which
addresses compliance performance, violations, and other aspects of the VGP.
2. Reportable Discharges (4.4.2) – All discharges which are not in compliance
with the VGP are considered reportable discharges. Reports must be made to the
National Response Center at +1-800-424-8802.

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I. VESSEL CLASS-SPECIFIC REQUIREMENTS (SECTION 5.0)
In addition to the requirements listed above and in the three enclosures, there are specific
requirements for specific classes of vessels: large cruise ships, medium cruise ships, large ferries,
barges, oil tankers, research vessels, and rescue boats (fire boats). These additional
requirements are unique to the specific classes of ship.

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J. ENFORCEMENT OF THE VESSEL GENERAL PERMIT
The US Coast Guard (USCG) and the US Environmental Protection Agency (EPA) will soon be
entering into a Memorandum of Understanding (MOU) for monitoring of the Vessel general
Permit (VGP) under the National Pollutant Discharge Elimination System (NPDES) program.
The EPA had published the VGP on 19 December, 2008 and it became effective on 6 February,
2009. The VGP requires control and monitoring of 27 regulated wastes streams typically
generated incidental to the operation of commercial ships. However, the EPA has little marine
enforcement capability and has relied on voluntary compliance to these mandatory
requirements. With the new MOU between these two agencies, the USCG will assume the
monitoring role on board for the EPA.

On 11 February, 2011 the USCG distributed Policy Letter 11-01 internally to provide guidance for
their field units on how to enforce the VGP. The letter provides brief guidance and a checklist to
be used during Port State Control examinations on board foreign vessels and inspections on US
flagged vessels. This program is in accordance with the Memorandum of Understanding (MOU)
between the two organizations (see ECM Client Alert 5-2011). Enforcement of the VGP by the
USCG began on 11 March, 2011.

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The inspection program will not be targeted at specific vessels or scheduled as a cause for
inspection, but will instead be conducted as part of a scheduled examination. The inspection
program will begin by examining documentation on board which supports compliance. The Job
Aid (checklist) attached to the USCG Policy Letter identifies the following minimum actions for
inspections:
 Interview senior officers to ensure they are aware of the VGP requirements;
 Examine the Notice of Intent (NOI);
 Examine records of weekly inspections;
 Examine records of annual inspections;
 Examine the dry dock inspection report if the ship has been drydocked;
 Review Ballast Water Management Plan and records (this is an existing requirement in
addition to the VGP requirements);
 Review the Oil Record Book (this is an existing requirement in addition to the VGP
requirements);
 Examine deck areas for clutter, debris, oil stains, garbage, and proper use of drip pans and
spill rails with mechanical closures.

The USCG will not examine compliance with individual state requirements under the VGP. However,
as with all USCG inspections, evidence of non-compliance may result in a more detailed
examination. All deficiencies related to the VGP which are identified will be documented and
referred to the EPA for action, even those which are corrected during the examination. But
correcting a problem during the examination is still in the operator’s best interest. If a deficiency is a
violation of the VGP and a violation of other regulations or laws which the USCG enforces, an
operator may receive a violation under both requirements.

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K. ASSISTANCE AVAILABLE FROM ECM
VGP Compliance Manuals - ECM provides vessel specific compliance checklists and
instructions/procedures for those clients interested in receiving additional compliance
assistance. Note that compliance instructions or manuals are required for all vessels
operating in the US.
Submission of Notice of Intent - ECM can assist with submission of the required NOI.
Conducting Annual Inspections - ECM may assist by conducting an annual inspection
of your vessel under the VGP requirements. Our experienced staff can assist you in
evaluating the effectiveness of your compliance program on board while meeting the
requirement for this annual inspection. This service has proved effective in identifying
potential problems prior to US Coast Guard inspections.
VGP Training - ECM offers a VGP training program in conjunction with our TTX
program, and also can conduct the training at your offices or onboard your ships. This
program can improve your compliance understanding and train your staff to manage this
program for you.
VGP Maintenance - maintaining NOI accounts up to date, providing technical expertise
in support of problems related to VGP compliance, assistance with record keeping and
reporting requirements, and resolving Port State Control issues related to compliance
with the VGP.
Annual Reports – ECM will assist once the Annual Report framework becomes
available in the fall of 2014

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