Chapter 2 - Ballast Water and Biofouling Management Requirements

California Public Resources Code — §§ 71203-71210

Sections (10)

Amended by Stats. 2019, Ch. 443, Sec. 3. (AB 912) Effective January 1, 2020.

(a)The master, operator, or person in charge of a vessel is responsible for the safety of the vessel, its crew, and its passengers.

(b)(1) The master, operator, or person in charge of a vessel is not required by this division to conduct a ballast water management practice, including exchange, if the master determines that the practice would threaten the safety of the vessel, its crew, or its passengers because of adverse weather, vessel design limitations, equipment failure, or any other extraordinary conditions.

(2)If a determination described in paragraph (1) is made, the master, operator, or person in charge of the vessel shall do all

of the following:

(A)Take all feasible measures, based on the best available technologies economically achievable, that do not compromise the safety of the vessel to minimize the discharge of ballast water containing nonindigenous species into the waters of the state, or waters that may impact waters of the state.

(B)Include in the ballast water log for the vessel a description of how conducting a ballast water management practice would have risked the safety of the vessel, its crew, or its passengers consistent with the determination made pursuant to paragraph (1).

(C)Notify the commission of the determination at the earliest practicable time.

(D)Provide a copy of the description included in the ballast water log referenced in subparagraph (B) to

the commission upon request.

(c)Nothing in this division relieves the master, operator, or person in charge of a vessel of the responsibility for ensuring the safety and stability of the vessel or the safety of the crew and passengers, or any other responsibility.

§ 71204

Amended by Stats. 2018, Ch. 742, Sec. 20. (SB 1493) Effective January 1, 2019.

Subject to Section 71203, the master, owner, operator, or person in charge of a vessel carrying, or capable of carrying, ballast water, that operates in the waters of the state shall do all of the following to minimize the uptake and the release of nonindigenous species:

(a)Discharge only the minimal amount of ballast water essential for vessel operations while in the waters of the state.

(b)Minimize the discharge or uptake of ballast water in areas within, or that may directly affect, marine sanctuaries, marine preserves, marine parks, or coral reefs.

(c)Minimize or avoid uptake of ballast water in all of the following areas and circumstances:

(1)Areas known to have infestations or populations of nonindigenous organisms and pathogens.

(2)Areas near a sewage outfall.

(3)Areas for which the master, owner, operator, or person in charge of a vessel has been informed of the presence of toxic algal blooms.

(4)Areas where tidal flushing is known to be poor or in turbid waters.

(5)In darkness when bottom-dwelling organisms may rise up in the water column.

(6)Areas where sediments have been disturbed, such as near dredging operations or where propellers may have recently stirred up the sediment.

(d)Clean

the ballast tanks regularly in mid-ocean waters, or under controlled arrangements in port or in drydock, to remove sediments and biofouling organisms and dispose of those organisms and sediments in accordance with local, state, and federal law.

(e)Rinse anchors and anchor chains when retrieving the anchor to remove organisms and sediments at their place of origin.

(f)(1) Remove biofouling organisms from the hull, piping, propellers, sea chests, and other wetted portions of a vessel arriving at a California port or place, on a regular basis, and dispose of removed substances in accordance with local, state, and federal law.

(2)For purposes of paragraph (1), prior to and until the date that the regulations described in Section 71204.6 are adopted, “regular basis” means any of the following:

(A)No longer than by the date of expiration on the vessel’s full-term Safety Construction Certificate or an extension of that expiration date.

(B)No longer than by the date of expiration of the vessel’s full-term United States Coast Guard Certificate of Inspection or an extension of that expiration date by the United States Coast Guard.

(C)No longer than 60 months since the time of the vessel’s last out-of-water drydocking. The commission may approve a time extension to this period.

(3)Inwater cleaning that is performed on the wetted portions of a vessel while in the waters of the state shall be conducted using best available technologies economically achievable, and designed to minimize the release of coating and biological materials, cleaning agents,

and byproducts of the cleaning process into the surrounding waters. The cleaning shall be performed in accordance with local, state, and federal law.

(g)Provide access to the commission, upon request, for sampling of biofouling and ballast intake and discharge.

(h)Maintain a ballast water management plan that was prepared specifically for the vessel and that shall, upon request, be made available to the commission for inspection and review. This plan shall be specific to each vessel and shall provide, at a minimum, a description of the ballast water management strategy for the vessel that is sufficiently detailed to allow a master or other appropriate ship’s officer or crew member serving on that vessel to understand and follow the ballast water management strategy.

(i)Train the master, operator, person in charge,

and those members of the crew who have responsibilities under the vessel’s ballast water management plan, on the application of ballast water and sediment management and treatment procedures, as well as procedures described in this section, in order to minimize other releases of nonindigenous species from vessels.

§ 71204.3

Amended by Stats. 2015, Ch. 644, Sec. 3. (AB 1312) Effective January 1, 2016.

(a)The commission shall adopt regulations governing ballast water management practices for vessels arriving at a California port from a port outside of the Pacific Coast Region. The commission shall consider vessel design and voyage duration in developing these regulations. The regulations shall be based on the best available technology economically achievable, and shall be designed to protect the waters of the state. The regulations shall include, as appropriate, restrictions or prohibitions on discharge of ballast water containing nonindigenous species into areas in and outside estuaries and into ocean areas shown to have a capacity to retain organisms.

(b)Subject to Section

71203, the master, operator, or person in charge of a vessel arriving at a California port from a port outside of the Pacific Coast Region shall comply with these regulations.

(c)Prior to and until the date of implementation of the regulations described in subdivision (a), and subject to Section 71203, the master, operator, or person in charge of a vessel that arrives at a California port from a port outside of the Pacific Coast Region shall employ at least one of the following ballast water management practices:

(1)Exchange the vessel’s ballast water in mid-ocean waters, before entering the coastal waters of the state.

(2)Retain all ballast water on board the vessel.

(3)(A) Discharge the ballast water 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 taken on in an area other than mid-ocean waters.

(B)For purposes of this paragraph, “same location” means an area within one nautical mile (6,000 feet) of the berth or within the recognized breakwater of a California port, at which the ballast water to be discharged was loaded.

(4)Use an alternative, environmentally sound method of ballast water management that, before the vessel begins the voyage, has been approved by the commission or the United States Coast Guard as being at least as effective as exchange, using mid-ocean waters, in removing or killing nonindigenous species.

(5)Discharge the ballast water to a

reception facility approved by the commission.

(6)Under extraordinary circumstances, perform a ballast water exchange within an area agreed to by the commission in consultation with the United States Coast Guard at or before the time of the request.

§ 71204.5

Added by Stats. 2003, Ch. 491, Sec. 10. Effective January 1, 2004.

(a)On or before January 1, 2005, the commission shall adopt regulations governing ballast water management practices for vessels arriving at a California port or place from a port or place within the Pacific Coast Region. The commission shall consider vessel design and voyage duration in developing these regulations. The regulations shall be based on the best available technology economically achievable and shall be designed to protect the waters of the state. The regulations shall include, as appropriate, restrictions or prohibitions on discharge of ballast water containing nonindigenous species into areas in and outside estuaries and into ocean areas shown to have a capacity to retain organisms.

(b)Subject to Section 71203, and commencing no later than July 1, 2005, the master, operator, or person in charge of a vessel arriving at a California port or place from a port or place within the Pacific Coast Region shall comply with these regulations.

§ 71204.6

Amended by Stats. 2019, Ch. 443, Sec. 4. (AB 912) Effective January 1, 2020.

On or before January 1, 2012, the commission, in consultation with the board, the United States Coast Guard, and a technical advisory group consisting of interested persons, including, but not limited to, shipping, port, and environmental conservation representatives, shall develop and adopt regulations governing the management of biofouling on vessels arriving at a California port or place. The commission shall consider vessel design and voyage duration in developing the regulations. The regulations shall be based on the best available technology economically achievable, regularly reviewed and revised as appropriate, and shall be designed to protect the waters of the state.

§ 71205

Amended by Stats. 2015, Ch. 644, Sec. 5. (AB 1312) Effective January 1, 2016.

(a)(1) The master, owner, operator, agent, or person in charge of a vessel carrying, or capable of carrying, ballast water, that visits a California port, shall provide the information described in subdivision (c) in electronic or written form to the commission at least 24 hours before the vessel arrives at that California port. If a vessel’s voyage is less than 24 hours in total duration, the vessel shall report the required information prior to departing the port of departure.

(2)The information described in subdivision (c) shall be submitted using a form developed by the United States Coast Guard.

(b)If the information submitted in

accordance with this section changes, an amended form shall be submitted to the commission upon the vessel’s departure from each port of call in California.

(c)(1) The master, owner, operator, or person in charge of the vessel shall maintain on board the vessel, in written or electronic form, records that include all of the following information:

(A) Vessel information, including all of the following:

(i)Name.

(ii) International Maritime Organization number or official number if the International Maritime Organization number has not been assigned.

(iii) Vessel type.

(iv) Owner or operator.

(v)Gross tonnage.

(vi) Call sign.

(vii) Port of registry.

(B) Voyage information, including the date and port of arrival, vessel agent, last port and country of call, and next port and country of call.

(C) Ballast water information, including the total ballast water capacity, total volume of ballast water on board, total number of ballast water tanks, capacity of each ballast water tank, and total number of ballast water tanks in ballast, using measurements in metric tons (MT) and cubic meters (m3).

(D) Ballast water management information, including all of the following:

(i)The total number of ballast tanks or holds, the contents of which are to be discharged into the waters of the state or to a reception facility.

(ii) If an alternative ballast water management method is used, the number of tanks that were managed using an alternative method, as well as the type of method used.

(iii) Whether the vessel has a ballast water management plan and International Maritime Organization guidelines on board, and whether the ballast water management plan is used.

(iv) Whether the master, operator, or person in charge of the vessel has claimed a safety exemption pursuant to paragraph (1) of subdivision (b) of Section 71203 for the vessel voyage, and the reason for asserting the applicability of that paragraph.

(E) Information on ballast water tanks, the contents of which are to be discharged into the waters of the state or to a reception facility, including all of the following:

(i)The origin of ballast water, including the date and location of intake, volume, and temperature. If a tank has been exchanged, the identity of the loading port of the ballast water that was discharged during the exchange.

(ii) The date, location, volume, method, thoroughness measured by percentage exchanged if exchange is conducted, and sea height at time of exchange if exchange is conducted, of ballast water exchanged or otherwise managed.

(iii) The expected date, location, volume, and salinity of ballast water to be discharged into the waters of the state or a reception

facility.

(F) Discharge of sediment and, if sediment is to be discharged within the state, the location of the facility where the disposal will take place.

(G) Certification of accurate information, that shall include the printed name, title, and signature of the master, owner, operator, person in charge, or responsible officer attesting to the accuracy of the information provided and certifying compliance with the requirements of this division.

(H) Changes to previously submitted information.

(2)The master, owner, operator, or person in charge of a vessel subject to this subdivision shall retain a signed copy of the information described in this subdivision on board the vessel for two years.

(d)The master, owner, operator, or person in charge of a vessel subject to this division shall retain for two years a separate ballast water log outlining ballast water management activities for each ballast water tank on board the vessel and shall make the separate ballast water log available to the commission for inspection and review.

(e)(1) The master, owner, operator, agent, or person in charge of a vessel subject to this division shall provide the information described in subdivision (f) in electronic or written form to the commission annually upon request of the commission. The master, owner, operator, agent, or person in charge of the vessel shall submit that information within 60 days of receiving a written or electronic request from the commission. For purposes of this paragraph, the reporting shall begin on January 1, 2008, and continue until the date that the regulations described in Section

71204.6 are adopted.

(2)(A) The information described in subdivision (f) shall be submitted using a form developed by the commission.

(B)The master, owner, operator, or person in charge of a vessel subject to this subdivision shall retain a copy of the form submitted pursuant to this subdivision on board the vessel for two years.

(f)The master, owner, operator, agent, or person in charge of a vessel subject to this division shall maintain, in written or electronic form, records that include the following information:

(1)(A) Date and location of drydocking events.

(B)Whether the vessel in general, and the wetted portion of the vessel, sea

chests, anchors, and associated chains in particular, were cleaned during a drydocking event.

(2)Date and geographic location of all inwater cleaning of the wetted portion of the vessel.

(3)(A) Date and geographic location of all antifouling paint applications to the vessel.

(B)The manufacturer and brand name of the antifouling paint applied to the vessel.

(4)Any additional information required by the commission by rule or regulation.

(g)(1) The master, owner, operator, agent, or person in charge of a vessel subject to this division that has a ballast water treatment system installed on board shall provide to the commission based on a

schedule to be developed by the commission, by rule or regulation, in consultation with the advisory panel established in Section 71204.9 and the United States Coast Guard, the following information in electronic or written form:

(A) The manufacturer and product name of the ballast water treatment system on board the vessel.

(B) If applicable, the name and organization that has approved the ballast water treatment system and the approval or certification number of the ballast water treatment system technology.

(C) The number of tanks and the volume of each tank that is managed using the ballast water treatment system and that was discharged in waters of the state.

(D) Any additional information required by the commission by rule or regulation.

(2)The information required by paragraph (1) shall be provided on a form developed by the commission.

(h)The master, owner, operator, agent, or person in charge of a vessel subject to this division that has a ballast water treatment system installed on board shall maintain on board the vessel, in written or electronic form, records, including, but not limited to, all of the following information:

(1)Copies of all reports and forms described in subdivision (g), submitted to the commission.

(2)Material safety data sheets for all chemicals utilized in conjunction with the ballast water treatment system.

(3)System manufacturer’s technical guides, publications, and manuals.

(4)Ballast water treatment system performance information, which may be incorporated into the ballast water log described in subdivision (d), and includes, at a minimum, all of the following information:

(A)The date, time, and location of the starting and stopping of the system for the purpose of treating ballast water.

(B)System malfunctions or unexpected situations, including problem resolution.

(C)Both scheduled and unscheduled maintenance of the system.

(D)All relevant measures of performance recorded during system operation.

(E)Any additional information required by the commission by rule or

regulation.

§ 71205.3

Amended by Stats. 2021, Ch. 770, Sec. 2. (SB 822) Effective January 1, 2022.

(a)The commission shall adopt regulations that do all of the following:

(1)Require an owner or operator of a vessel carrying, or capable of carrying, ballast water that operates in the waters of the state to implement the ballast water discharge performance standards set forth in Section 151.2030(a) of Title 33 of the Code of Federal Regulations, or as that regulation may be amended.

(2)Require an owner or operator of a vessel carrying, or capable of carrying, ballast water that operates in the waters of the state to comply with the implementation schedule set forth in Section 151.2035(b) of Title 33 of the Code of

Federal Regulations, or as that regulation may be amended, except as prescribed in Section 151.2036 of Title 33 of the Code of Federal Regulations, or as that regulation may be amended.

(3)Require an owner or operator of a vessel carrying, or capable of carrying, ballast water that operates in the waters of the state to implement the interim performance standards for the discharge of ballast water recommended in accordance with Table X-1 of the California State Lands Commission Report on Performance Standards for Ballast Water Discharges in California Waters, as approved by the commission on January 26, 2006, by January 1, 2030.

(4)Require an owner or operator of a vessel carrying, or capable of carrying, ballast water that operates in the waters of the state to meet

the final performance standard for the discharge of ballast water of zero detectable living organisms for all organism size classes no later than January 1, 2040. If, based on a review of ballast water treatment technologies submitted in a report to the Legislature in conformance with provisions of subdivision (b), achievement of the final performance standard becomes practicable sooner than January 1, 2040, the commission shall establish an earlier effective date in regulation.

(b)(1) If a ballast water treatment system has stopped operating properly during a voyage, the master, owner, operator, or person in charge of the vessel shall report the problem to the commission as soon as practicable.

(2)The commission shall consult with the United States Coast Guard

to attempt to identify an alternative, environmentally sound method of ballast water management under the circumstances described in paragraph (1) in accordance with Section 151.2040(b) of Title 33 of the Code of Federal Regulations.

(3)The master, owner, operator, or person in charge of the vessel subject to paragraph (1) shall employ the alternative, environmentally sound method of ballast water management identified by the commission in consultation with the United States Coast Guard before discharging ballast water in California waters.

(c)(1) Not less than 18 months before January 1, 2030, and January 1, 2040, the commission, in consultation with the board, the United States Coast Guard, and an

advisory panel described in paragraph (3), shall prepare, or update, and submit to the Legislature a report on the efficacy, availability, and environmental impacts, including the effect on water quality, of currently available technologies for ballast water treatment systems. If technologies to meet the performance standards are determined in a review to be unavailable, the commission shall include in that review an assessment of why the technologies are unavailable.

(2)The advisory panel described in paragraph (3) shall make recommendations regarding the content and issuance of the report and implementation of the performance standards to the commission.

(3)(A) The advisory panel shall include, but not be limited to, representatives from one or more

state regional water quality control boards, the Department of Fish and Wildlife, the United States Coast Guard, the United States Environmental Protection Agency, and other persons representing shipping, port, conservation, fishing, aquaculture, agriculture, and public water agency interests. The commission shall ensure that the advisory panel meets in a manner that facilitates the effective participation of both the public and private members. The advisory panel’s meetings shall be open to the public.

(B)The commission shall provide notice of the advisory panel’s meetings to any person who requests that notice in writing, as well as on the commission’s internet website. The commission shall provide that notice at least 10 days before an advisory panel meeting and shall include the meeting’s agenda and the name, address, and

telephone number of a person who can provide additional information before the meeting.

(4)(A) The requirement for submitting a report imposed under this subdivision is inoperative on January 1, 2034, for the interim performance standard, and January 1, 2044, for the final performance standard, pursuant to Section 10231.5 of the Government Code.

(B)A report required to be submitted pursuant to this subdivision shall be submitted in compliance with Section 9795 of the Government Code.

§ 71206

Amended by Stats. 2015, Ch. 644, Sec. 7. (AB 1312) Effective January 1, 2016.

(a)The commission, in coordination with the United States Coast Guard, shall take samples of ballast water, sediment, and biofouling from and inspect at least 25 percent of the arriving vessels subject to this division, examine documents, and make other appropriate inquiries to assess the compliance of any vessel subject to this division. The commission shall provide to the board copies of all sampling results.

(b)The master, owner, operator, or person in charge of a vessel subject to this division shall make available to the commission, upon request of that commission, the records required to be maintained by this division.

(c)The commission, in coordination with the United States Coast Guard, shall compile the information obtained from submitted reports. The information shall be used, in conjunction with existing information relating to the number of vessel arrivals, to assess vessel reporting rates and compliance with the requirements of this division.

§ 71207

Amended by Stats. 2015, Ch. 644, Sec. 8. (AB 1312) Effective January 1, 2016.

(a)Nothing in this division restricts a state or local agency, board, commission, or department, or a subdivision of one of those entities, from enforcing this division, if the total fines imposed by those entities do not exceed the amount of the fines set forth in Section 71216.

(b)A person who violates this division is subject to civil and criminal liability in accordance with Chapter 5 (commencing with Section 71216).

(c)The commission may require a vessel operating in violation of this division to depart the waters of the state and exchange, treat, or otherwise manage the ballast water or biofouling, or both, at

a location determined by the commission, unless the master determines that the departure or exchange would threaten the safety or stability of the vessel, its crew, or its passengers.

§ 71210

Amended by Stats. 2019, Ch. 443, Sec. 8. (AB 912) Effective January 1, 2020.

(a)The commission, in consultation with the board, the United States Coast Guard, the United States Environmental Protection Agency, and a technical advisory group made up of interested persons, including, but not limited to, shipping and port representatives, shall sponsor pilot programs for the purpose of evaluating alternatives for treating and otherwise managing ballast water and biofouling. The goal of this effort shall be the meaningful participation of the State of California in federal rulemaking actions and the reduction or elimination of the discharge of nonindigenous species into the coastal waters of the state or into waters that may impact coastal waters of the state. Whenever possible, the pilot programs shall include funding from federal grants and appropriations, vendor funding, and state bond funds, including,

but not limited to, bond funds from the Water Security, Clean Drinking Water, Coastal and Beach Protection Act of 2002. Priority shall be given to projects to test and evaluate treatment technologies that can be used to prevent the introduction and spread of nonindigenous aquatic species into coastal waters of the state by ship-mediated vectors.

(b)(1) The commission shall provide biennial summaries to the Legislature and the public, beginning on or before January 31, 2005, of the results of the pilot programs conducted pursuant to this section. These summary reports shall include, but not be limited to, a description of the projects, the relative effectiveness of the technologies examined in minimizing the discharge of nonindigenous species, and the costs of implementing the technologies.

(2)The summary reports required by this subdivision shall be in

compliance with Section 9795 of the Government Code.