Non-Tank Vessel Arrivals Checklist: Gallagher Marine Systems

GALLAGHER MARINE SYSTEMS
Non-Tank Vessel
Arrivals Checklist
THIS CHECKLIST APPLIES TO VESSELS WHICH ARE NOT CLASSIFIED TO CARRY OIL IN BULK AS CARGO OR
OIL CARGO RESIDUE AS PER THE OIL POLLUTION ACT OF 1990 (OPA 90).
IN ADDITION TO FREIGHT AND PASSENGER VESSELS, THIS CHECKLIST IS ALSO APPLICABLE TO GAS AND
PURE CHEMICAL CARRIERS (“TANKERS”).
In the event of a SPILL INCIDENT, THREAT of Spill, Grounding,

etc., or Unannounced Drill:
· Inform the GMS - Qualified Individual (QI)
Ø +1 703 683 4700
· Follow Federal & State Vessel Response Plans
requirements.
April 2019 – NONTANK
Copyright of Gallagher Marine Systems, LLC. Unauthorized use, reproduction, or alteration is prohibited.
Table of Contents
Introduction ....................................................................................................................................1
U.S. Federal Requirements .............................................................................................................2
U.S. States & Territories ...............................................................................................................13
Alaska .................................................................................................................................................... 13
California .............................................................................................................................................. 16
Connecticut........................................................................................................................................... 26
U.S. Great Lakes (General) ................................................................................................................. 27
Guam & Saipan ..................................................................................................................................... 30
Hawaii.................................................................................................................................................... 31
Maine ..................................................................................................................................................... 32
Massachusetts ...................................................................................................................................... 32
Michigan ................................................................................................................................................ 33
Minnesota ............................................................................................................................................. 34
New Hampshire ................................................................................................................................... 34
New York ............................................................................................................................................... 35
Ohio ........................................................................................................................................................ 36
Oregon (Including Columbia River & its Tributaries) ................................................................. 37
Pago Pago (American Samoa) ........................................................................................................... 39
Puerto Rico & U.S. Virgin Islands ..................................................................................................... 40
Rhode Island ........................................................................................................................................ 40
Texas ...................................................................................................................................................... 41
Virginia .................................................................................................................................................. 41
Washington State ................................................................................................................................ 42
Wisconsin ............................................................................................................................................. 46
Non-U.S. Countries ........................................................................................................................47
Canada ................................................................................................................................................... 47
Honduras .............................................................................................................................................. 57
Panama.................................................................................................................................................. 57
Liquefied Gas Carrier USCG Requirements ........................................................................................59
Chemical Carrier USCG Requirements ...............................................................................................60
List of Acronyms ...........................................................................................................................62
USCG Sector / COTP Zones ............................................................................................................63
Page |1
Introduction
This Gallagher Marine Systems (GMS) Arrivals Checklist is provided as a quick
reference for Masters. We recommend that this is referenced during voyage
planning and checked at the earliest but no later than 96 hours prior to arrival
at the U.S. EEZ (200 NM limit).
The checklist is not an exhaustive presentation of all applicable laws and

regulations that might impact the operation of a vessel in the U.S., its territories
and protectorates, Canada, Panama, or Honduras. The Arrivals Checklist focuses
largely upon those areas affecting potential harm to the environment (e.g., oil
pollution, introduction of invasive species, etc.),
Further, while there is guidance and reference to Vessel General Permit (VGP),
Ballast Water Management, and Air Pollution requirements, please reference
applicable manuals and regulations for a full summary of these and all
requirements.
This checklist does not substitute for, nor does it replace, any documents
required for compliance with applicable laws, regulations, and requirements
of your management system.
This document shall only be updated twice each year—approximately every six
months—unless there is a significant change. All guidance and regulations
cited are current as of the date of publishing to the best of our abilities. Minor
changes will be communicated to each checklist holder to make pen and ink
corrections. Further guidance may be found at www.gallaghermarine.com.
Please email questions to your management or info@chgms.com.
April 2019 - NONTANK
Page |2
U.S. Federal Requirements

At Least 96 Hours Prior to Arrival U.S. EEZ (200 NM offshore)
GMS
FEDERAL – QUESTIONS Y N
ITEM
USCG-1 NOTICE OF ARRIVAL
Have you submitted your 96-hour electronic Notice of Arrival (eNOAD) to the
National Vessel Movement Center (NVMC)?
eNOA Initial Submission
· Voyage time 96 hours or more: Submit at least 96 hours before arrival
· Voyage time less than 96 hours: Submit before departure but at least 24 hours
before arrival
NOA Updates: If remaining voyage time is-
· 96 hours or more: Submit as soon as practicable, but at least 24 hours before
arrival
· Less than 96 hours, but not less than 24 hours: Submit as soon as practicable,
but at least 24 hours before arrival
· Less than 24 hours: Submit as soon as practicable, but at least 12 hours before
arrival
NOTE1: On the eNOA/D Arrival Port/Voyage Information Screen, the 24-hour point of
contact should be vessel’s Agent, NOT the QI.
NOTE2: eNOA must include the Non-Tank Vessel Response Plan Control Number, which can
be found on the Approval Letter.
NOTE3: eNOAD emails must be sent in plain-text format and must not be sent using
compression files (i.e. .zip, .7z, or .rar).
NOTE4: Submissions should be made only to enoad@nvmc.uscg.gov. If an email
confirmation or rejection is not received within 2 hours of submission, please contact NVMC
at +1 800 708 9823.
NOTE5: The current NOAD workbook template is available at: NOAD XLSX Workbook; the
current User Guide is available at:
https://www.nvmc.uscg.gov/NVMC/(S(nh34oapuzk1ls2nrkykhrtqt))/Forms/eNOADUserGui
de.pdf. Be aware with the release of NOAD Schema 3.6 and NOAD Workbook, Schema 3.4
and older versions are no longer accepted.
NOTE6: Further information can be found at www.nvmc.uscg.gov.
Page |3
GMS
ITEM
USCG-2 CBP: MANIFEST, SCAC, & INTERNATIONAL CARRIER BOND
Has the owner/operator met the Customs and Border Patrol (CBP) Automated
Commercial Environment (ACE) requirements?
NOTE1: All cargo and crew/passenger manifests must be submitted electronically to CBP.
Submitter must have a Standard Carrier Alpha Code (SCAC) certificate, a CBP Importer
Identification Number (CBP#), and an International Carrier Bond (ICB). Your vessel manager
and/or owner/operator should be contacted for the SCAC, CBP#, & ICB information. GMS
does not process any part of the CBP requirements.
NOTE2: The SCAC must be obtained from the National Motor Freight Traffic Association
(NMFTA). The Standard Carrier Alpha Code (SCAC) is a unique two-to four-letter code
assigned to transportation companies for identification purposes. The SCAC is required for
U.S. Customs entry, Electronic Data Interchange (EDI), intermodal interchange agreements,
when doing business with many shippers, on rate tariffs filed with regulatory agencies, and
doing business with the U.S. Government.
The SCAC application and instructions may be downloaded in English, French, and Spanish
at: https://secure.nmfta.org/New/ApplyByFax.aspx
In addition, applications may be submitted online for a reduced fee at
https://secure.nmfta.org/New/Introduction.aspx .
For further information or questions, please call +1 703 838-1831.
NOTE3: More information on ACE can be found at

http://www.cbp.gov/trade/automated/getting-started or calling a CBP Client
Representative at +1 571 468 5500
USCG-3 OPA-90 NTVRP
Do you have your Non-tank Vessel Response Plan (NTVRP) onboard with a valid
Approval?
If not, contact GMS immediately.
NOTE: Your letter must contain the following wording: the NTVRP was “submitted to meet
the requirements of Title 33, Code of Federal Regulations (CFR), Part 155, Subparts J and I”.
If your letter does not contain this statement, it is not valid, regardless of the expiration
date on the letter.
USCG-4 NTVRP APPROVAL LETTER ZONE ENDORSEMENT
Does NTVRP Approval letter list the USCG COTP zones where vessel is calling?
NOTE1: Letter must have specific COTP zone endorsement if transit/port call is to remote
areas such as Guam, Alaska, & American Samoa.
NOTE2: If routing takes vessel within 200 NM of Alaska, including Aleutian Islands, see Items
AK-2 and AK-3.
USCG-5 NTVRP DRILLS & EXERCISES
Have you conducted an onboard emergency procedures (OEP) exercise on a quarterly
basis, per your NTVRP, Chapter 7? Is it/are they recorded in an onboard log book?
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GMS
ITEM
USCG-6 NTVRP QI NOTIFICATION EXERCISE
Have you conducted a VOICE QI Notification exercise and recorded it in the log book,
as per NTVRP Chapter 7?
FREQUENCY: Quarterly (every 3 months) while operating in US EEZ waters, otherwise
upon entry into U.S. EEZ waters, not to exceed four (4) times per year; ONLY required
when operating in US EEZ waters.
· The QI will not confirm the QI drill in writing as it must be logged onboard.
· Please perform the QI drill between 1100 hours UTC and 2330 hours UTC.
USCG-7 SALVAGE & MARINE FIREFIGHTING REMOTE ASSESSMENT & CONSULTATION EXERCISE
Has your company conducted at least one (1) Salvage and Marine Firefighting (SMFF)
Remote Assessment and Consultation (RAC) Exercise within the past three (3) years,
starting in 2019, for the NTVRP your vessel carries?
FREQUENCY: Planholders need to identify one (1) vessel to conduct one (1) RAC
exercise (per Plan regardless of how many vessels are in the Plan), per every three (3)
years ONLY when a Plan listed vessel is operating in U.S. EEZ waters (Extending up to
200 NM from the U.S. baseline)
NOTE1: In addition to guidance provided by your SMFF provider, note the following:
1. When a vessel conducts a RAC exercise, the initial exercise notification shall be made
via Telephone to the GMS QI 24 Hours Duty QI number (+1 703 683 4700) (not the SMFF
provider). Subsequent to receipt of the Master’s call, the GMS QI will contact the SMFF
provider as per response plan notification procedures. The SMFF provider will then
contact the vessel by telephone and/or email to complete this exercise.
2. Please copy: QIX@chgms.com on any exercise correspondence.
3. The RAC exercise only involves the vessel, QI, and SMFF provider.
USCG-8 CERTIFICATE OF FINANCIAL RESPONSIBILITY
Does vessel have a valid Federal Certificate of Financial Responsibility (COFR)?
COFR validity can be verified on the USCG National Pollution Funds Center (NPFC)
website: https://publicsearch.npfc.uscg.mil/COFR/Default.aspx by clicking “Accept”
on the initial screen, then clicking “Vessel COFR Search” on next screen.
NOTE: NPFC does not issue hard copy COFRs.
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GMS
ITEM
USCG-9 US EPA NPDES VESSEL GENERAL PERMIT (VGP)
Have you reviewed procedures and records for the EPA National Pollutant Discharge
Elimination System (NPDES) Vessel General Permit (VGP) compliance prior to entering
U.S. VGP compliant waters (extending to the 3 NM territorial sea from the U.S.
baseline), including, but not limited to the below?
1. Ensure Notice of Intent (NOI) has been submitted;
2. Routine Visual (Per Watch), Weekly, Comprehensive Annual, and Dry Dock
Inspections, and all VGP-related records are up-to-date, including records of VGP
training and Annual Report to EPA?
NOTE1: This includes ensuring VGP non-conformities are documented and closed out within
applicable time limits.
NOTE2: Ensure any exemption situations that meet VGP Parts 2.2.3.6.6. (Ballasting), 2.2.5
(AFFF), 2.2.6 (Boiler/Economizer), 2.2.12 (Fire main) are documented, including date,
location, and reason.
NOTE3: This includes any discharge monitoring/sampling and reporting requirements of
VGP Parts 2.2.2.1, 2.2.15, 2.2.26.2, and 2.2.3.5, including for installed BWMS and AMS that
discharge into US waters.
NOTE4: Any VGP related documents indicating the VGP expires 19 December 2018 should
be ignored. The US has extended the VGP and all its requirements until further notice.
USCG-10 US EPA NPDES VGP: STATE AND FEDERALLY PROTECTED WATERS REQUIREMENTS
Have you checked the respective Vessel General Permit (VGP) requirements for each
US State and Federally Protected Waters where your vessel will call and/or come
within VGP regulated waters and ensured all applicable procedures, recordkeeping,
and reports are followed?
NOTE: See VGP 2.2.3.6.5 and VGP Appendix G. Ships with GMS Ship-Specific 2013 VGP
Compliance Manual should review Section 8 of the manual.
USCG-11 STATUTORY DOCUMENTATION
Are all required statutory and trading certificates including IOPP, ISSC, SMC, etc. valid?
Page |6
GMS
ITEM
USCG-12 WESTERN ALASKA / ALEUTIAN ISLANDS TRANSIT APC COVERAGE
If your vessel is traveling to or from a U.S. port via Western Alaska, within the US EEZ
(200 NM), including the Aleutian Islands (i.e. Great Circle route) and/or Prince
William Sound, even if not calling an Alaskan port, have you arranged for Alaska
Alternative Planning Criteria (APC) Transit Coverage?
If APC coverage is not already arranged, call GMS immediately.
NOTE1: The available providers of APC coverage are:
· 1-Call Alaska (http://1callalaska.com/) – USCG COTP Western Alaska (incl. Aleutian
Islands Chain) and Prince William Sound.
(Click HERE for coverage area)
· Alaska Marine Prevention and Response Network, aka “NETWORK”
(http://www.ak-mprn.org/)-- USCG COTP Western Alaska (incl. Aleutian Islands
Chain) and Prince William Sound.
· NOTE1A: As of 30 June 2018, Alaska Response Company (ARC) is no longer an
approved APC provider. Please contact GMS immediately if you are listing ARC as
your APC provider.
NOTE2: In addition to APC coverage, ships must abide by the APC Risk Reduction Operating
Procedures unless deemed unsafe by the master. Procedures are available at:
For 1-Call Alaska subscribers:
Masters Guide for Vessels Operating Under the 1-Call Alaska APC:
https://1callalaska.com/wp-content/uploads/2018/06/Masters-Guide-for-Vessels-Operating-
under-the-1-Call-Alaska-APC-while-in-COTP-W-Alaska-Waters.pdf (Ver. 1.0)
For MPRN NETWORK subscribers:
https://www.alaskaseas.org/wp-content/uploads/AKMPRN-2018-NTV-APC-Operating-
Procedures-for-Cargo-and-Passenger.pdf
NOTE3: As per APC Operating Procedures, if the vessel is unable to comply with the reduced
risk routes, the vessel master shall notify the APC Provider (1CallAlaska, or NETWORK) and
the Captain of the Port Western Alaska or Captain of the Port Prince William Sound as
appropriate before the deviation is made. An explanation of the reason for deviation from
the risk mitigation measures shall also be provided.
1CallAlaska: +1 844 257 7455 or ops@1callalaska.com ;
NETWORK: +1 907 463 4603 or operations@ak-mprn.org ; http://www.ak-mprn.org/
USCG Western Alaska: +1 907 428 4200 or sectoranchoragearrivals@uscg.mil
USCG Prince William Sound: +1 907 835 7205 or D17-PF-MSUValdezCDO@uscg.mil .
NOTE4: Vessel compliance is monitored 24-hours per day and the USCG is taking authorized
enforcement actions for non-compliance.
NOTE5: If the ship’s company, agent, or other party arranges the APC coverage, the resulting
certificate must be forwarded to GMS, who, as your Plan Preparer must submit proof of
coverage to USCG headquarters for the coverage to be approved.
Page |7
GMS
ITEM
USCG-13 IMO AREAS TO BE AVOIDED: ALEUTIAN ISLANDS
In addition to voyage routing requirements of APC Risk Reduction Operating
Procedures, vessels 400 GT or more transiting the Aleutian Islands must adhere to
the IMO “Areas to Be Avoided in the Region of the Aleutian Island Archipelago” as
published in SN.1/Circ.331. See linked Areas to Be Avoided - Aleutian Islands- with
Diagram for coordinates.
USCG-14 NORTH AMERICAN & US CARIBBEAN SEA EMISSION CONTROL AREAS (NA-ECA & ECA)
Are you operating on compliant fuel?
· In general, the boundaries of the NA-ECA are 200 NM from the US & Canada
baselines including Hawaii & South East Alaska to the North East tip of Kodiak
Island. The ECA does not include the Aleutian Islands or Unimak Pass, nor does it
include islands more than 200 NM west of Kauai, Hawaii. Full coordinates are
contained in MEPC.190(60) and MEPC.1/Circ.723 (with diagram).
· Boundaries of the US Caribbean Sea ECA include waters subject to US jurisdiction
within approximately 50 NM from Puerto Rico and the U.S. Virgin Islands. Full
coordinates are contained with MEPC.1/Circ.755.
Ensure:
1. Proper logging is conducted in accordance with MARPOL Annex VI/14.6,
2. Bunker delivery notes for past 3 years are retained, and
3. Fuel samples are retained on board as per company’s SMS requirements, to
include at a minimum at least the past 12 months.
4. For ships using separate fuel oil sources to comply, written change-over
procedures must be available and used, and evidence the procedures have
been reviewed/approved by the company should be available.
If a vessel does not have compliant bunkers of 0.1% m/m or less sulfur and the vessel
will be calling a US Port, a “Fuel Oil Non-Availability Report” (FONAR) must be filed
with the EPA Fuel Oil Non-Availability Disclosure (FOND) Portal and your Flag State
notified before arrival. The vessel must make best attempts to bunker compliant fuel
as early as possible. The EPA only accepts FONARs via EPA’s FOND Portal. The EPA
Central Data Exchange (CDX) must be used to register for a FOND account.
There is no allowance for “innocent passage” of the US portion of waters within the
NA-ECA using non-compliant fuel, including vessels bound to/from Canada via the US
Waters of the Straits of Juan de Fuca, Boundary Pass, or Haro Strait. Failure to switch
to compliant fuel before arriving at the ECA boundary is a violation of Annex VI.
NOTE1: For vessels transiting Canadian waters, see CAN requirements.
NOTE2: To submit a FONAR, one must log into CDX; the instructions for registering can be
found at: http://www2.epa.gov/sites/production/files/documents/fondinstructions.pdf
NOTE3: If carrying fuel with flashpoint less than 60o C, ensure compliance with SOLAS II-
2/4.2.1, including approval by Administration, and also II-2 Regs 56 – 57 as applicable.
Page |8
USCG-15 BALLAST WATER AND BIOFOULING MANAGEMENT METHODS

Is vessel compliant with USCG Ballast Water Management requirements of
33 CFR 151, including but not limited to, ballast exchanges or treatment, Biofouling &
Sediment Removal Procedures and Recordkeeping, etc.?
NOTE1: The US is NOT signatory to the BWM Convention. ONLY US regulations apply within the US.
Recommend preparing and operating accordingly.
NOTE2: Have you received an approved extension of Ballast Water Management Methods compliance
date from the USCG?
· EXTENSION OF IOPP DRYDOCKING DOES NOT EQUAL AN EXTENSION OF USCG COMPLIANCE DATE.
· See 33 CFR 151.2035 and 33 CFR 151.1512 for BWMS compliance dates.
· See the USCG website, https://www.dco.uscg.mil/Our-Organization/Assistant-Commandant-for-
Prevention-Policy-CG-5P/Commercial-Regulations-standards-CG-5PS/Marine-Safety-Center-
MSC/Ballast-Water/ for latest BWMS and extension details and policy/procedures. Extension
requests must be submitted by the owner/operator in a timely manner (12 months before the
compliance due date). The USCG requires extensive information included with extension request.
NOTE3: If your ship is fitted with a BWMS on the USCG List of Accepted Alternate Management
Systems (AMS), and you intend to conduct ballasting operations in the US, you may use the AMS. Use
of an installed AMS is not mandatory if the vessel has an approved compliance date extension and is
operating under the terms of the extension. If the vessel has an AMS and is beyond its
compliance/extension date, use of the AMS is mandatory and may be used up to 5 years from the
compliance/extension expiration date.
· See USCG MSIB 10-16, Rev 1 for further information.
NOTE4: A copy of the AMS manufacturer’s USCG Acceptance Letter for the AMS model installed
should be retained on-board and available for review when operating in waters of the US. The path to
the current list of USCG Accepted AMS is: https://www.dco.uscg.mil/Our-Organization/Assistant-
Commandant-for-Prevention-Policy-CG-5P/Commercial-Regulations-standards-CG-5PS/Office-of-
Operating-and-Environmental-Standards/Environmental-Standards/AMS/ .
NOTE5: IF REQUIRED TO USE BWMS, all BW operations must utilize the BWMS, even if discharge and
loading will occur within the same port or place, including the same berth.
NOTE6: IF AN INSTALLED BWMS STOPS OPERATING PROPERLY during a voyage, or the vessel’s BWM
method is unexpectedly unavailable, the problem must be reported to the nearest USCG Captain of
the Port as soon as practicable; it is also recommended to report to the USCG of the destination port.
See 33 CFR 151.2040, USCG NVIC 01-18, CG-CVC Policy Letter 18-02 for further guidance.
NOTE7: DEVIATION OF VOYAGE FOR BW EXCHANGE--Under 33 CFR 151.2055, as long as BW exchange
is an allowable option under 33 CFR 151.2025 and 151.2035 for the vessel, the USCG will not require a
vessel to deviate from its voyage or delay the voyage in order to conduct BWE. This does not apply for
Great Lakes voyages unless for safety reasons, procedures for which are found in 33 CFR 151.1515.
Also, California, Oregon, and Washington do require deviation for exchange unless for safety reasons.
See each State’s requirements for further State information. Finally, if the vessel Flag State is
signatory to the IMO Ballast Water Convention, the ship is required to comply with any associated
exchange requirements; recommend review of Convention Regulations D-1 and B-4. The IMO
convention Regulation B4 Ballast Water exchange states:
“in cases where the ship is unable to conduct Ballast Water exchange in accordance with paragraph
1.1, such Ballast Water exchange shall be conducted taking into account the Guidelines described in
paragraph 1.1 and as far from the nearest land as possible, and in all cases at least 50 nautical miles
from the nearest land and in water at least 200 metres in depth.”
NOTE8: For vessels that arrive US with any BW tanks that are empty or containing un-pumpable
residual water (NOBOB), those tanks must either be sealed so no uptake and subsequent discharge of
ballast water within US territorial waters is made, or conduct saltwater flushing of such tanks 200 NM
from any shore prior to the uptake and subsequent discharge of BW to US territorial waters. For
further guidelines please refer to VGP 2.2.3.6.3
NOTE9: For vessels permitted to exchange, ensure all applicable requirements of VGP 2.2.3.6 are met.
NOTE10: Check also all destination port(s) State-specific ballast water management requirements.
Page |9
GMS
ITEM
USCG-16 BALLAST WATER MANAGEMENT REPORTING
Has the BWM Reporting Form been submitted to the NBIC as follows?
· Via email to NBIC@BALLASTREPORT.ORG or web-based application at
https://nbic.si.edu/submit/onlineform/ .
· Email of .pdf form does not require web-access (log-in) or account set-up.
· Submit no later than 6 hours after arrival; if port call is less than 6 hours submit
prior to departure.
· Vessels bound for the Great Lakes from outside the EEZ submit at least 24 hours
prior to arrival Montreal.
· Vessels bound for Hudson River north of the George Washington Bridge entering
from outside the EEZ submit at least 24 hours prior to entering New York, NY.
Information: http://invasions.si.edu/nbic/submit.html
.pdf Form and Instructions: http://invasions.si.edu/nbic/pdfform.html
Web-based Application Method: https://nbic.si.edu/submit/onlineform/
BW Report example entries can be found at
https://invasions.si.edu/nbic/forms/BWHistory_Samples.pdf
NOTE1: Also check State requirements for port calling and send to State calling, if required.
States or destinations with additional reporting are: California, Great Lakes, Hawaii,
Michigan, Minnesota, Oregon, Washington, Virginia, and the Hudson River north of the
George Washington Bridge.
NOTE2: Vessels fitted with BWMS and AMS are required to report appropriately on NBIC
form.
NOTE3: The BW Reporting Form indicates it expired 31 December 2018; the USCG is
updating the form and states to continue to use the current form as per guidance found at
https://nbic.si.edu/guidelines-regarding-current-ballast-water-management-form-
form-expires-january-1-2019/
USCG-17 TESTS BEFORE ENTERING OR GETTING UNDERWAY IN US NAVIGABLE WATERS
Have you conducted and logged tests as per 33 CFR 164.25(a) no more than 12 hours
prior to entering Navigable Waters of the United States or no more than 12 hours
before getting underway from a port or anchorage in the United States?
NOTE: Navigable waters means all navigable waters of the U.S. including the territorial sea
of the U.S., extending to 12 nautical miles from U.S. baselines.
USCG-18 TESTS BEFORE ENTERING OR GETTING UNDERWAY: EMERGENCY STEERING DRILL
Have you conducted and logged tests as per 33 CFR 164.25(d) no more than 48 hours
prior to entering Navigable Waters of the United States if not already conducted in
accordance with SOLAS Chapter V, Reg. 26.4?
USCG-19 REPORTING NON-OPERATING NAVIGATION SAFETY EQUIPMENT
Have you reported any non-operating equipment including AIS, radar, radio
navigation receivers, gyrocompass, echo depth sounding device, or primary steering
gear to the nearest USCG Captain of the Port (COTP) or if participating in Vessel
Traffic System to the nearest Vessel Traffic Center?
[Reference: 33 CFR 164.53 (b)]
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GMS
ITEM
USCG-20 REPORTING OF MARINE CASUALTY
Have you reported any Marine Casualty, Serious Marine Accident, Potential Vessel
Casualty or failure to the nearest USCG Sector (COTP) as per 46 CFR Subpart 4.05-1
(See also 46 CFR Subpart 4.03-1; 4.03-2; 4.04-1; and 4.05-2) if it occurred while within
Navigable Waters of the US?
USCG-21 REPORTING OF HAZARDOUS CONDITION
Have you reported any Hazardous Condition to the nearest USCG Sector (COTP) as
per 33 CFR 160.216?
NOTE: Hazardous condition means any condition that may adversely affect the safety of any
vessel, bridge, structure, or shore area or the environmental quality of any port, harbor, or
navigable waterway of the United States. It may, but need not, involve collision, allision,
fire, explosion, grounding, leaking, damage, injury or illness of a person aboard, or
manning-shortage.
NOTE2: Most of the situations described above also require notification of the QI as per the
non-tank vessel response plan; refer to your plan for proper QI notifications.
USCG-22 SOPEP/SMPEP LIST OF OPERATIONAL CONTACTS
Does the vessel have the latest List of Operational Contacts (MEPC 6/Circ.17 Annex)
for SOPEP/SMPEP?
USCG-23 SOPEP/SMPEP EMERGENCY CONTACT LIST
Has the SOPEP/SMPEP emergency contact list (USCG, QI, & agent) been properly
posted?
USCG-24 BUNKER EQUIPMENT TESTS & INSPECTIONS
If intending to transfer oil (bunkers) have the tests and inspections required as per 33
CFR 156.170 been conducted for non-metallic transfer hoses, transfer system relief
valves, pressure gauges, transfer piping, and vapor control system equipment as
applicable?
NOTE1: Each transfer pipe system should be tested as per 33 CFR 156.170, under static
liquid (not air) pressure at least 1.5 times the maximum allowable working pressure
(MAWP) on an annual, biannual, or 5-year basis. Maintain accurate records of the tests
aboard the vessel and mark pipelines/hoses with MAWP and date of last test.
NOTE2: For in-service annual piping system test, alternative liquid test pressures at least
100% MAWP may be used provided 150% MAWP test is conducted at least twice in any 5-
year period.
USCG-25 OIL TRANSFER PROCEDURES
If intending to transfer oil (bunkers/slops, etc.), are transfer procedures written in
accordance with 33 CFR 155.750 available and permanently posted or available at a
place where the procedures can be easily seen and used by members of the crew
when engaged in transfer operations?
NOTE: In addition, ensure transfers are conducted in accordance with the operational
requirements of 33 CFR 156, including the declaration of inspection (DOI).
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GMS
ITEM
USCG-26 ASIAN GYPSY MOTH
Has the ship called Far East Russia, Japan, Korea, and/or Northern China ports within
the past 24 months during high risk flight periods for Asian Gypsy Moth (AGM)?
If so, the ship will require a pre-departure (from AGM risk area) inspection &
certificate for Asian Gypsy Moths (AGM). US CBP must also be notified at least 96
hours prior to US waters entry; 2-year port of call data must be provided to the ship’s
agent for forwarding to US CBP.
The latest US-Canada Joint AGM Bulletin, which includes the high risk areas and risk
periods, can be found at:
https://www.aphis.usda.gov/plant_health/plant_pest_info/gypsy_moth/downloads/
Joint-AGM-bulletin-USDA-CFIA.pdf .
The list of approved AGM certifiers can be found in the USDA APHIS Special
Procedures from Areas with AGM.
NOTE1: This requirement only applies to North American US and Canada ports. Ships calling
Guam, Hawaii, Puerto Rico, or the Virgin Islands are exempt from these requirements. If the
ship’s schedule includes subsequent continental U.S. ports of call, then the ship must be
inspected/certified for AGM.
NOTE2: CBP can enforce penalties for vessels arriving without a valid AGM certification
from a valid certification body during the high risk period, as well as for missing the two
year ports of call data for the vessel.
USCG-27 TRAINING: DANGEROUS GOODS CARGO IN PACKAGED FORM
For ships carrying Dangerous Goods in packaged form under IMDG, do you have
documentation of training as per 49 CFR 172.702 and 172.704 for all crew involved in
cargo handling, to include recurrent training at least every 3 years?
USCG-28 SHIP SECURITY DRILLS
Have security drills been conducted as per 33 CFR 104.230 and the Ship Security
Plan? These include on-board quarterly drills and annual company exercise.
USCG-29 SHIP SECURITY DOCUMENTS & RECORDS
Are security related records and documents available as per 33 CFR 104.235? These
include the past 2 years of training, on-board drills, and the annual company exercise.
USCG-30 DECLARATION OF SECURITY
Has a Declaration of Security been completed and security needs coordinated with
the Facility Security Officer as per 33 CFR 104.255, if required?
P a g e | 12
GMS
ITEM
USCG-31 ATLANTIC COAST: NORTHERN RIGHT WHALES REQUIREMENTS
Will the voyage take the ship into a mandatory reporting areas and speed reduction
zones for Northern Right Whales as per 33 CFR 169 and 50 CFR 224.105?
If so, reports must be made to the applicable shore-based authority upon entering
the applicable area. Reports should be made to current email addresses and telex
numbers as published annually in the US Coast Pilot. No report is required upon
exiting the applicable area. Consult 33 CFR 169 and the U.S. Coast Pilot for complete
instructions and reporting format.
NOTE: Link to NOAA website, which includes chartlets of applicable areas, and further
guidance on speed reduction zones (Dynamic Management Areas aka DMA and Seasonal
Management Areas aka SMA) and reporting: http://www.nmfs.noaa.gov/pr/shipstrike/ .
For an automatic return email listing all current US DMAs and SMAs, send blank message to:
nmfs.gar.rightwhale@noaa.gov .
USCG-32 DRY CARGO RESIDUE & HOLD WASHINGS IN WIDER CARIBBEAN SEA
If intending to conduct dry cargo residue (DCR) or hold cleaning operations within the
Gulf of Mexico (Wider Caribbean Region Special Area), have you fully complied with
MARPOL ANNEX V requirements?
Particular attention should be made to MARPOL Annex V, Regulations 6, 7, and

garbage record book documentation.
USCG-33 GARBAGE MANAGEMENT PLAN, PRACTICES, & RECORDKEEPING
Is the vessel garbage management plan, practices, and recordkeeping in accordance
with recent revisions of MARPOL Annex V?
See IMO Res. MEPC.295(71), MEPC.277(70), and MEPC. 220(63) for further
information.
USCG-34 MARPOL VI SEEMP FUEL DATA COLLECTION & REPORTING
Does the Ship Energy Efficiency Management Plan (SEEMP) include the methodology
for collecting data required by MARPOL VI/Reg. 22A.1, and is your ship collecting the
data specified in Appendix IX to MARPOL VI?
See MARPOL VI and MEPC.278(70) for further information.
P a g e | 13
U.S. States & Territories

Alaska
GMS
ALASKA – QUESTIONS Y N
ITEM
AK-1 Have you completed the U.S. Federal Checklist items of this document?
AK-2 If you are transiting Alaskan waters (including Aleutian Islands), to or from a US port,
or trading to Alaska, does your USCG NTVRP Approval Letter include endorsement(s)
for the Alaska COTP zone(s) (Sector) that will be entered?
P a g e | 14
GMS
ITEM
AK-3 If your vessel is traveling to or from a U.S. port via Western Alaska, within the US EEZ
(200 NM), including the Aleutian Islands (i.e. Great Circle route) and/or Prince
William Sound, even if not calling an Alaskan port, have you arranged for Alaska
Alternative Planning Criteria (APC) Transit Coverage?
If APC coverage is not already arranged, call GMS immediately.
NOTE1: The available providers of APC coverage are:
· 1 Call Alaska (http://1callalaska.com/) – – USCG COTP Western Alaska (including
the Aleutian Islands Chain) and Prince William Sound.
(Click HERE for coverage area)
· Alaska Marine Prevention and Response Network, aka “NETWORK”
(http://www.ak-mprn.org/)-- USCG COTP Western Alaska (incl. Aleutian Islands
Chain) and Prince William Sound.
· NOTE1A: As of 30 June 2018, Alaska Response Company (ARC) is no longer an
approved APC provider. Please contact GMS immediately if you are listing ARC as
your APC provider.
NOTE2: In addition to APC coverage, ships must abide by the APC Risk Reduction Operating
Procedures unless deemed unsafe by the master. Procedures are available at:
For 1-Call Alaska subscribers:
Masters Guide for Vessels Operating Under the 1-Call Alaska APC:
https://1callalaska.com/wp-content/uploads/2018/06/Masters-Guide-for-Vessels-Operating-
under-the-1-Call-Alaska-APC-while-in-COTP-W-Alaska-Waters.pdf (Ver. 1.0)
For MPRN NETWORK subscribers:
https://www.alaskaseas.org/wp-content/uploads/AKMPRN-2018-NTV-APC-Operating-
Procedures-for-Cargo-and-Passenger.pdf
NOTE3: As per APC Operating Procedures, if the vessel is unable to comply with the reduced
risk routes, the vessel master shall notify the APC Provider (1CallAlaska, or NETWORK) and
the Captain of the Port Western Alaska or Captain of the Port Prince William Sound as
appropriate before the deviation is made. An explanation of the reason for deviation from
the risk mitigation measures shall also be provided.
1CallAlaska: +1 844 257 7455 or ops@1callalaska.com ;
NETWORK: +1 907 463 4603 or operations@ak-mprn.org ; http://www.ak-mprn.org/
USCG Western Alaska: +1 907 428 4200 or sectoranchoragearrivals@uscg.mil
USCG Prince William Sound: +1 907 835 7205 or D17-PF-MSUValdezCDO@uscg.mil .
NOTE4: Vessel compliance is monitored 24-hours per day and the USCG is taking authorized
enforcement actions for non-compliance.
NOTE5: If the ship’s company, agent, or other party arranges the APC coverage, the resulting
certificate must be forwarded to GMS, who, as your Plan Preparer must submit proof of
coverage to USCG headquarters for the coverage to be approved.
AK-4 In addition to voyage routing requirements of APC Risk Reduction Operating
Procedures, vessels 400 GT or more transiting the Aleutian Islands must adhere to
the IMO “Areas to Be Avoided in the Region of the Aleutian Island Archipelago” as
published in SN.1/Circ.331. See linked Areas to Be Avoided - Aleutian Islands- with
Diagram for coordinates. In general, vessels must maintain 50 NM distance from island
shorelines.
P a g e | 15
GMS
ITEM
AK-5 BERING SEA & BERING STRAIT ROUTING MEASURES
If operating in the Bering Sea and/or Bering Strait, is the ship operating according to
the IMO approved routing measures?
Full description of the routing measures, including coordinates, can be found at:
https://www.navcen.uscg.gov/pdf/IMO/NCSR_5_3_7.pdf
AK-6 POLAR CODE COMPLIANCE
If operating in US waters above 60oLatitude, is the vessel compliant with the
International Code for Ships Operating in Polar Waters (Polar Code)?
· Vessels operating in US waters above 60oLatitude are required to comply with the
Code, including possession of a Polar Ship Certificate.
· The Polar Code may be downloaded from:
http://www.imo.org/en/MediaCentre/HotTopics/polar/Documents/POLAR%20COD
E%20TEXT%20AS%20ADOPTED.pdf
· USCG Policy Regarding Polar Code Port State Control compliance can be found in
Enclosure (2) to USCG CG-CVC Policy Letter 16-06.
Items AK-7 through AK-11 apply only to vessels that will be calling Alaskan Ports or operating within
3NM of the Alaskan shoreline. For calling Western Alaska ports or operating within state waters in
the Western Alaska COTP zone, these requirements are in addition to enrollment into the Western
Alaska APC (Item AK-3). Contact GMS at info@chgms.com if you need assistance with any of the
items.
AK-7 Does the vessel have onboard copy of Alaska Certificate of Financial Responsibility
(AK COFR)?
NOTE: Alaska must receive COFR application AT LEAST 15 calendar days, but NO EARLIER
THAN 90 calendar days prior to entering AK waters; it is recommended to apply at least 3
weeks prior to entry.
AK-8 Does the vessel have onboard copy of Alaska State Streamlined Contingency Plan?
NOTE: Alaska must receive plans at least 5 business days prior to vessel entering AK waters;
it is recommended to apply at least 2 weeks prior to entry.
AK-9 Does vessel have onboard original or copies of Alaska Plan Approval letter & Alaska
Approval Certificate?
AK-10 Does the vessel have onboard Alaska Notification Placard posted on Bridge (not
required but recommended)?
AK-11 KIVALINA (RED DOG MINE)
Due to shallow waters, vessels calling at Kivalina (Red Dog Mine) conduct cargo
transfers offshore, outside of Alaska State waters (3 NM). Vessels remaining outside
Alaska waters are not required to comply with the Alaska Contingency Plan or Alaska
COFR requirements, unless the vessel expects to call other Alaska ports. However,
they must comply with the APC enrollment and operational listed in items USCG-12
and AK-3.
NOTE1: BOTH 1-CALL-AK and MPRN NETWORK are approved APC coverage providers for
this area.
NOTE2: When anchoring, the Master must take the vessel swing and drag circle into account
to ensure the vessel stays outside of State waters and remains in compliance with State
statutes and regulations.
P a g e | 16
California
GMS
CALIFORNIA – QUESTIONS Y N
ITEM
CA-1 Have you completed the U.S. Federal Checklist items of this document?
CA-2 Is the California Certificate of Financial Responsibility (CA COFR) valid and onboard?
NOTE1: If COFR needed, application package must be submitted AT LEAST ten (10) calendar
days prior to arrival in state waters. Recommend applying at least 3 weeks prior to entry.
CA-3 Does vessel have the California Nontank (CANT) Plan approval letter in the
designated section of the CANT Plan (Initial Response Activity Manual/IRAM)?
CA-4 Has the GMS Notification Placard from the IRAM been posted in a conspicuous
location with access to a telephone or other similar means of communication (bridge
and Master’s cabin or office) while in California waters?
CA-5 Has “Advance Notice of Entry” (notification of arrival) been given to the applicable
port party as follows, recommended to be at least 24 hours prior to arrival?
· Northern California: Marine Exchange of the San Francisco Bay Region
Email: ships@sfmx.org Fax: +1 415 441 3080
· Southern California: Marine Exchange of Southern California
Email: clerk2@mxsocal.org with copy info@mxsocal.org Fax: +1 310 241 0300
· Humboldt Bay-fax a copy of the eNOA to the California OSPR at +1 916 327
0907
NOTE1: Notification is usually made by agent, but should be confirmed by master.
NOTE2: For Stockton and Sacramento, use Northern California; for San Diego and Port
Hueneme, use Southern California.
NOTE 3: For Humboldt Bay, an alternative method is sending via email to Agent and
requesting they send the facsimile.
NOTE4: Information to include: Vessel Name, Call Sign, IMO Number, ETA Pilot Station, ETD,
Destination in Port, LPOC, NPOC, Local POC (agent) Name & Phone, and detail of any
impairment to operations or navigation. A copy of the NVMC NOAD is acceptable.
P a g e | 17
GMS
ITEM
CA-6 If the vessel will arrive at a California port or place from outside the Pacific Coast
Region (PCR), has at least one of the following ballast water management practices
been employed?
(1) Retain all ballast water on board the vessel.
(2) IF exchange is still a permitted option under USCG requirements (See USCG-15),
exchange the vessel's ballast water in mid-ocean waters (at least 2000 m depth and
more than 200 NM from any land including islands such as, but not limited to, Isla
San Bendicto and Rocas Alijos W of Baja Mexico).
(3) Use an alternative, environmentally sound method of ballast water management
that, before the vessel begins the voyage, has been approved by the California State
Lands Commission (SLC) or the USCG as being at least as effective as exchange, using
mid-ocean waters, in removing or killing nonindigenous species.
(4) Discharge ballast at the same location where it originated; it must not be mixed
with ballast taken on in an area other than mid-ocean waters. Same location =
within 1 NM of berth or within the recognized breakwater of California port at which
ballast was loaded.
(5) Discharge the ballast water to a reception facility approved by the SLC (none
currently exist).
(6) Under extraordinary circumstances where compliance with subsections (1)
through (5) of this section is not practicable, perform a ballast water exchange within
an area agreed to by the SLC in consultation with the United States Coast Guard at or
before the time of the request.
NOTE1: The PCR is defined as all coastal waters (within 200 NM of any land including islands
such as, but not limited to Isla San Bendicto and Rocas Alijos W of Baja California) on the
Pacific Coast of North America east of 154 degrees W longitude and north of 25 degrees N
latitude, excluding the Gulf of California. Link to PCR Maps:
https://www.slc.ca.gov/wp-content/uploads/2018/08/PacificCoastRegionMaps-1.pdf
NOTE2: A USCG-approved BWMS/BWTS or accepted Alternative Management System
(AMS) is considered an alternative environmentally-sound BW management practice.
NOTE3: California does not recognize the USCG exemption in 33 CFR 151.2055, which states
a vessel is not required to deviate from voyage for sole purpose of conducting a BW
exchange. However, California does allow exemption if safety or stability would be at risk;
if so, the reason should be documented and included in the BW report to California. See
California PRC 71203 and 71205 for further.
P a g e | 18
GMS
ITEM
CA-7 If the vessel will arrive at a California port or place from another port or place within
the PCR, has at least one of the following ballast water management practices been
employed?
(1) Retain all ballast water on board the vessel.
(2) Exchange the vessel's ballast water in near-coastal waters, before entering the
waters of the state, if that ballast water has been taken on in a port or place within
the PCR.
(3) Use an alternative, environmentally sound method of ballast water management
that, before the vessel begins the voyage, has been approved by the California State
Lands Commission (SLC) or the USCG as being at least as effective as exchange, using
mid-ocean waters, in removing or killing nonindigenous species.
(4) Discharge ballast at the same port or place where it originated; it must not be
mixed with ballast taken on in an area other than mid-ocean waters.
(4)(a) Same port or place = within 1 NM of berth or breakwater of California
place at which ballast was loaded.
(4)(b) The following port regions/port complexes are considered a single “port
or place”
- All areas of SF Bay east of Golden Gate Bridge, including Stockton &
Sacramento
- Los Angeles, Long Beach, & El Segundo marine terminal.
(5) Discharge the ballast water to a reception facility approved by the SLC (none
currently exist).
(6) Under extraordinary circumstances where compliance with subsections (1)
through (5) of this section is not practicable, perform a ballast water exchange within
an area agreed to by the SLC in consultation with the United States Coast Guard at or
before the time of the request.
NOTE1: “Near-coastal waters” means waters that are more than 50 nautical miles from any
land (including islands) and at least 200 meters (656 feet / 109 fathoms) deep.
NOTE2: A USCG-approved BWMS/BWTS or accepted Alternative Management System
(AMS) is considered an alternative environmentally-sound BW management practice.
NOTE3: BW originating from an EEZ outside the PCR must be managed the same as vessels
arriving from outside the PCR, regardless of the vessel’s last port of call.
NOTE4: California does not recognize the USCG exemption in 33 CFR 151.2055, which states
a vessel is not required to deviate from voyage for sole purpose of conducting a BW
exchange. However, California does allow exemption if safety or stability would be at risk;
if so, the reason should be documented and included in the BW report to California. See
California PRC 71203 and 71205 for further.
P a g e | 19
GMS
ITEM
CA-8 Has the Ballast Water Report Form been completed and submitted at least 24 hours
prior to arrival at a California port, or for voyages less than 24 hours prior to
departing the port of departure?
If not, please complete and email to: bwform@slc.ca.gov or fax: +1 562 499 6444. As
an alternative, vessels with internet access may use the Marine Invasive Species
Program (MISP) Reporting Form Web Application at: https://misp.io/ .
NOTE1: This checklist item is in addition to USCG-16 of this checklist; the same form should
be used for reporting to both NBIC (USCG) and California. For the BWMR to be received in
California via email, you must save the BWMR as a separate PDF and attach in an email to
bwform@slc.ca.gov. The NBIC PDF version of the BWMR has buttons for “email” and
“online submittal” that will not work to submit your form to the California State Lands
Commission.
NOTE2: Vessels moving from one California port to another are required to file a separate
Ballast Water Management Report for each port arrival. Vessels must accurately list all
ballast water management. For reporting purposes, the following places are recognized as
separate ports by the Marine Invasive Species Program. All terminals, berths, and
anchorages within each port area are considered a part of that port: 1) Richmond,; 2)
Oakland; 3) San Francisco (including all San Francisco Bay anchorage locations); 4) Redwood
City; 5) Carquinez – All marine oil terminals and anchorages in the Carquinez Strait,
extending east to the Antioch Bridge; 6) Sacramento; 7) Stockton; 8) Humboldt Bay
(including Eureka); 9) Monterey; 10)Moss Landing; 11)Morro Bay; 12) Santa Barbara; 13)
Carpinteria; 14) Hueneme; 15) Los Angeles/Long Beach (including all anchorage locations
within the breakwater); 16) El Segundo; 17) Avalon/Catalina; 18) Camp Pendleton; 19) San
Diego.
NOTE3: If any deviations from the pre-arrival report occur, a “Corrected” (formerly called
“amended”) report needs to be submitted to California. In the report form, you should
choose “Corrected Report” from the pull-down menu in the Report type field.
NOTE4: If BW exchange was not conducted fully in accordance with California requirements
due to safety exemption situation, the exemption and reason should be included in the BW
report.
CA-9 At least 24 hours prior to your first call of the calendar year to a California port or
place, have you submitted Marine Invasive Species Program (MISP) Annual Vessel
Reporting Form (AVRF)?
If not, please complete the form, available at https://www.slc.ca.gov/wp-
content/uploads/2018/08/Annual_Vessel_Reporting_Form.pdf , and email to:
bwform@slc.ca.gov or fax: +1 562 499 6444. As an alternative, vessels with internet
access may use the MISP Reporting Form Web Application at: https://misp.io/ .
NOTE1: For the purposes of the AVRF, all ports in the San Francisco Bay area east of the
Golden Gate bridge, including the Ports of Stockton and Sacramento, shall be interpreted as
the same “California port”; and the Ports of Los Angeles, Long Beach, and the El Segundo
marine terminal shall be interpreted as the same “California port.”
NOTE2: The MISP Annual Vessel Reporting Form has taken the place of the legacy Ballast
Water Treatment Technology (BWTT) Annual Reporting Form and the annual Hull Husbandry
Reporting Form. In addition, the BWTT Supplemental Reporting Form is no longer required.
P a g e | 20
GMS
ITEM
CA-10 Is the vessel compliant with the California biofouling management regulations?
The complete regulations can be found at: Biofouling Management Regulations
Requirements that are applicable after a vessel’s first regularly scheduled out-of-
water maintenance (i.e. dry dock) after 01January2018, or upon new ship delivery on
or after 01January2018, include requirements to:
· Develop and maintain a Biofouling Management Plan
· Biofouling Management Plans consistent with components of the IMO
Resolution MEPC.207(62) that also include all items under 2 CCR Section
2298.3(3) will be acceptable.
· Develop and maintain a Biofouling Record Book
· Mandatory biofouling management of the vessel’s wetted surfaces
· Mandatory biofouling management for vessels that undergo an extended
residency period (i.e., remain in the same location for 45 or more days)
Contact GMS at info@chgms.com for any further questions.

CA-11 Does the vessel comply with the California Low-Sulfur Fuel Requirements?
All vessels within Regulated California Waters (24 Nautical Miles) from the baseline
(including the area 24 NM outside of the shoreline of all offshore islands, including
Channel Islands, Catalina Island, and the Farallon Islands) must use distillate fuels:
Marine Gas Oil (DMA) or Marine Diesel Oil (DMB) at or below 0.1% Sulfur content in
all Main Engines and Auxiliary Diesel Engines & Auxiliary Boilers.
NOTE1: Residual fuels of 0.1% or below sulfur comply with the NA-ECA, however do not
comply with California distillate fuel requirements as per the following advisory:
http://www.arb.ca.gov/ports/marinevess/documents/marinenote2013_1.pdf
NOTE2: As of 01 August 2017, the procedures for obtaining a “Temporary Experimental or

Research Exemption” of the California Oceangoing Vessel Fuels distillate requirement were
significantly changed. Amongst the changes, vessel operators seeking approval for the
research exemption must now submit research project plans meeting specified criteria and
the application must be submitted at least 30 days prior to arrival with Regulated California
Waters.
Research exemptions granted prior to February 23, 2017, under Marine Notice 2014-1
expired on December 31, 2017, thus are no longer valid.
Further guidance can be found in CARB Marine Notice 2015-1 , Marine Notice 2016-1., and
Marine Notice 2017-1 .
P a g e | 21
GMS
ITEM
CA-12 Has the fuel change-over been logged? To include:
(1) Date, time, and position of the vessel for each entry into and each departure from
California Regulated Waters (24 NM),
(2) Date, time, and position of the vessel at initiation and completion of fuel change-
over procedures (completion occurs the moment all engines have completely
transitioned from operation on one fuel to another fuel),
(3) The type of fuel being used in the Main Engine, Auxiliary Engines, and Boiler.
NOTE: Change-over records must be kept for 3 years. California form OGV-3A is preferred
(not mandatory), available at:
http://www.arb.ca.gov/ports/marinevess/documents/marinenote2011_4.pdf
CA-13 When within three (3) nautical miles of the entire California shoreline, vessels are not
permitted to discharge treated or untreated sewage as this is a No-Discharge Zone
(NDZ) for treated or untreated sewage. This applies to the following vessels:
1. Passenger vessels of 300 GRT or larger having berths or overnight
accommodations (i.e. cruise ships)
2. Oceangoing vessels of 300 GRT or more equipped with a holding tank which
has not fully used the holding tank’s capacity, or which contains more than
de minimis (minimum) amounts of sewage generated while the vessel was
outside of the NDZ.
Vessels with designated black water (sewage) holding or retention tanks, even if
equipped with a treatment plant described below, are first required to retain sewage
to maximum extent possible in such designated tanks while in California NDZ waters.
Prior to arrival in California NDZ waters, these tanks should be empty or as near to
empty as practical. (Tanks should be emptied at sea as per MARPOL requirements).
Vessels without designated blackwater holding tanks may continue to discharge
sewage using a USCG Type II, MEPC.2(VI), or MEPC.159(55) type approved Sewage
Treatment Plant, if fitted.
Also, vessels in a lengthy port call whose previously empty tanks have filled to
capacity may resume discharging via their approved sewage treatment plant. Ensure
logs documenting blackwater management actions are maintained.
GMS recommends each ship calling in California carry a copy of the NDZ map and fact
sheet and be familiar with the contents. Each can be obtained at the following link:
https://www.epa.gov/sites/production/files/2015-
10/documents/california_ndz_final_rule_factsheet.pdf
CA-14 For bunkering operations, does vessel have a “seven (7) barrel spill kit” available on
deck ready for use at the site of transfer?
NOTE1: Spill kit must include: (A) sorbents sufficient to contain 7 barrels of oil; (B) non-
sparking hand scoops, shovels, and buckets; (C) containers suitable for holding 7 barrels of
recovered waste; (D) minimum 15 gals. deck cleaning agent; (E) appropriate protective
clothing to protect personnel from inhalation hazards, eye exposure, and skin contact; (F)
non-sparking portable pump(s) with appropriate hoses. The equipment must remain ready
for immediate use, including pump(s) with attached hoses.
NOTE2: Most SOPEP lockers contain the above materials. If not already on-board, the kit can
typically be arranged through the ship’s agent.
P a g e | 22
GMS
ITEM
CA-15 Has the OSRO been notified via fax or email at least 24 hours in advance of bunkering
operations with the following bunker operation details: date, time, location, and
amounts of the bunkering operation?
NOTE1: Do not send advance notices to both of the OSROs listed below. Send it only to the
OSRO listed in your NTVRP.
*National Response Corporation (NARCO) Email: IOCDO@NRCC.COM
*Marine Spill Response Corporation Email: NOTIFICATIONS@MSRC.ORG
NOTE2: At pre-transfer meeting with bunker delivery vessel, document date/time of OSRO
notification on Declaration of Inspection form. [Ref. Sec. 843.8(z) of CA Oil Transfer
Regulations]
CA-16 Prior to and during bunkering operations, does the vessel have oil transfer
procedures, including piping diagram, posted at point of transfer (bunker
station/manifold)?
CA-17 For ships calling Los Angeles or Long Beach, or transiting the Santa Barbara Channel,
is your company and ship participating in a voluntary speed reduction or other
environmental incentive program?
If so, ship speed should be kept at the applicable speed and/or other applicable
actions taken to receive incentive rewards.
Information on incentive programs is available at:
· Port of Long Beach: http://polb.com/environment/air/greenflag.asp ,
http://polb.com/environment/greenship.asp , email: greenflag@polb.com, or
+1 562-590-4110
· Port of Los Angeles: https://www.portoflosangeles.org/environment/air-
quality/vessel-speed-reduction-program or catkins@portla.org or +1 310 732
7649
· Santa Barbara Ship Channel: 2019 incentive program has not been announced,
but had traditionally been effective from 01 July – 15 November. See:
https://www.ourair.org/air-pollution-marine-shipping/ or email
sean.hastings@noaa.gov or ByrdM@sbcapcd.org
P a g e | 23
GMS
ITEM
CA-18 From May through November, for ships transiting the San Francisco Traffic
Separation Scheme (TSS) within the Cordell Bank, Gulf of the Farallones, and
Monterey Bay National Marine Sanctuaries, and/or the Point Arguello to Dana Point
areas, including the Traffic Separation Schemes in the Santa Barbara Channel and San
Pedro Channel are you exercising caution and considering reducing speed to avoid
whale strikes unless unsafe to do so?
These areas contain populations of endangered blue, humpback and fin whales that
are federally protected under several U.S. Federal laws. Vessels 300 gross tons or
larger transiting the San Francisco TSS are encouraged to transit at speeds not in
excess of 10 kts, and for the Santa Barbara Channel traffic separation scheme in the
area between Carrington Point, Santa Rosa Island and Diablo Point, Santa Cruz Island
do so at speeds not in excess of 10 knots due to endangered whales in this area.
NOTE1: 2019 Vessel Speed Reduction Zones have not been published as of April 2019,
however are expected to be similar to years past. Mariners should check Local Notice to
Mariners during the 2019 year for updates to Vessel Speed Reduction zones.
Please report any collisions with whales or any observed injured or dead whales to
NOAA at 877-SOS-WHALE (877-767-9425) or to the U.S. Coast Guard on VHF Channel
16.
NOAA is asking for the public’s help in tracking whales. If you see whales, please
record the date and location, the number of whales, the species (if known) and a
description of the animals and send the report via email to whales@noaa.gov or
westcoast.whalealert.org
CA-19 For ships calling Long Beach, Los Angeles or San Pedro, do you have a copy of the
Port of Long Beach and Port of Los Angeles Vessel Discharge Rules and Regulations
aboard?
· http://www.polb.com/civica/filebank/blobdload.asp?BlobID=7587
This is a local port requirement only; the manual may be retained in only the
electronic version.
P a g e | 24
GMS
ITEM
CA-20 GAS CARRIER SHIPS ONLY:
South Coast Air Quality Management District
Emissions Rules & Violation – Volatile Organic Compounds
Is your ship complying with South Coast Air Quality Management District (SQAMD)
requirements for volatile organic compound (VOC) emissions?
SQAMD of California has issued violations to crude oil tankers calling California ports.
Vessels affected are Crude Oil Tankers and LPG Tankers and the requirements are
related to California State regulations that govern VOC emissions. There is a SCAQMD
requirement, since 1991, that prohibits the release of VOCs in excess of 1000 ppm
measured within 1 cm from the source of leak while in California waters that can
extent up to 85 miles offshore.
Vessel staff are advised to ensure PV systems are operating properly and the VOC
Management Plan (for crude oil tankers) is followed.
More information can be found at: http://www.aqmd.gov/docs/default-source/rule-
book/reg-xi/rule-1142.pdf and http://www.aqmd.gov/docs/default-source/rule-
book/reg-xi/rule-1177.pdf
P a g e | 25
California Shoreline Protection Standards:

If transiting port areas with a “●” listed in the below matrix, have you notified the OSRO’s listed in your NTVRP?
(Vessels operating in the ports listed below marked with a “●” must notify their Oil Spill Removal Organization(s)
(OSRO) at least 24 hours in advance and in writing to request that they arrange additional OSRO coverage while
transiting into/out of those port areas.)
Vessel with both
Vessel with Vessel with
California - Port/Location MSRC & NARCO in
NARCO only MSRC only
NTVRP
Humboldt Bay (Eureka) ●
San Francisco Bay Area (includes most ports within Golden Gate Bridge
to Sacramento/San Joaquin River Mouths)
San Francisco Bay South of San Mateo Bridge / Redwood City ●
Monterey Bay / Moss Landing ● 1
● ●2
Santa Barbara Ship Channel
●3
(SOUTH-EAST BOUND TRAFFIC LANE ONLY)
Port Hueneme / Channel Islands Harbor ●1 ●3 ●2
Los Angeles / Long Beach / Wilmington
San Diego
Small Harbors: Albion, Bodega Bay, Bolinas, Cape Mendocino, Crescent
City, Dana Point, Fort Bragg, King Harbor, Marina Del Ray, Mission Bay,
Morro Bay, Newport Bay Harbor, Oceanside/Carlsbad, Pt. Arena, Pt. ● ● ●
Reyes, Pillar Point, Port San Luis/Avilla, Santa Barbara Harbor, Santa
Cruz, Shelter Cove, Ventura Harbor
NOTE: No Shoreline Protection Standard has been established for Sacramento or Stockton, therefore no OSRO Shoreline
Protection notification is necessary. Notification prior to bunker operations is still required in all areas.
FOOTNOTE 1: For Monterey Bay, vessels must contact one of their OSROs (not both) and follow the instructions in either
Footnote 2 or Footnote 3.
FOOTNOTE 2: MONTEREY & PORT HUENEME: Vessels with only MSRC as their OSRO must complete and submit a MSRC
California Coverage Request Form at least 24 hours prior to transit/arrival. Contact MSRC at ca-coverage@msrc.org to
obtain the form and further instructions. MSRC can also be contacted at 800-645-7745 or 732-417-0175.
FOOTNOTE 3: For Santa Barbara Channel South-East Bound Traffic and Port Hueneme, NARCO vessels requiring coverage
will need to complete and submit a NARCO Authorization to Proceed for California Shoreline Protection and/or Santa
Barbara Channel Transit at least 24 hours prior to transit/arrival. The completed form should be emailed to
iocdo@nrcc.com OR faxed to +1 631 224 9086.
P a g e | 26
Connecticut
GMS
CONNECTICUT – QUESTIONS Y N
ITEM
CT-1 Have you completed the U.S. Federal Checklist items of this document?
CT-2 Have you submitted a copy of the EPA VGP NOI to the Connecticut Department of
Energy and Environmental Protection via email to dep.webmaster@ct.gov ?
CT-3 Do you have equipment to measure ballast tank water salinity and ensure any to be
exchanged in Connecticut waters is between 20 and 25 ppt?
CT-4 Have you ensured treated or untreated graywater, bilge water, and/or exhaust gas
scrubber wash water cannot be discharged in state waters?
CT-5 Have you ensured no discharge of treated or untreated sewage can occur within
state waters or Long Island Sound?
https://www.epa.gov/sites/production/files/styles/large/public/2015-
09/connecticut.jpg?itok=g7DSXRS8
P a g e | 27
U.S. Great Lakes (General)

This section is applicable to ships entering and operating in the U.S. portion of the Great Lakes.
· For ships operating or calling within Canadian waters of the Great Lakes, please consult the
Canadian Great Lakes Section of this document.
· Also, see State sections for States vessel is transiting within Great Lakes, as some have
requirements in addition to this section.
GMS
U.S. GREAT LAKES (GENERAL) – QUESTIONS Y N
ITEM
GL-1 Have you completed the U.S. Federal Checklist items of this document?
GL-2 If transiting the waters of the Saint Lawrence Seaway going to or from a Canadian or
US port, does your NTVRP Approval Letter have the Sector Buffalo endorsement?
P a g e | 28
GMS
ITEM
GL-3 Is vessel compliant with USCG Ballast Water Management requirements of
33 CFR 151 Subpart C, including but not limited to, ballast exchanges or treatment,
Biofouling & Sediment Removal Procedures and Recordkeeping, etc.?
NOTE1: The US is NOT signatory to the BWM Convention. ONLY US regulations apply within the US.
Recommend preparing and operating accordingly.
NOTE2: Recommend conducting exchange in all cases at least 200 NM from any shore and in depth
over 2,000 meters to achieve salinity of at least 30 parts per thousand (ppt), as most Great Lakes
States and the 2013 VGP require BW exchange regardless of whether or not a ship has a BWMS/BWTS.
NOTE3: Have you received an approved extension of Ballast Water Management System (BWMS)
compliance date from the USCG?
· EXTENSION OF IOPP DRYDOCKING DOES NOT EQUAL AN EXTENSION OF USCG COMPLIANCE DATE.
· See 33 CFR 151.1512 and 33 CFR 151.2035 for BWMS compliance dates.
· See the USCG website, https://www.dco.uscg.mil/Our-Organization/Assistant-Commandant-for-
Prevention-Policy-CG-5P/Commercial-Regulations-standards-CG-5PS/Marine-Safety-Center-
MSC/Ballast-Water/ for latest BWMS and extension details and policy/procedures. Extension
requests must be submitted by the owner/operator in a timely manner (12 months before the
compliance due date). The USCG requires extensive information included with extension request.
NOTE4: If your ship is fitted with a BWMS on the USCG List of Accepted Alternate Management
Systems (AMS), and you intend to conduct ballasting operations in the US, you may use the AMS. Use
of an installed AMS is not mandatory if the vessel has an approved compliance date extension and is
operating under the terms of the extension. If the vessel has an AMS and is beyond its
compliance/extension date, use of the AMS is mandatory and may be used up to 5 years from the
compliance/extension expiration date.
· See USCG MSIB 10-16, Rev 1 for further information.
NOTE5: A copy of the AMS manufacturer’s USCG Acceptance Letter for the AMS model installed
should be retained on-board and available for review when operating in waters of the US. The path to
the current list of USCG Accepted AMS is: https://www.dco.uscg.mil/Our-Organization/Assistant-
Commandant-for-Prevention-Policy-CG-5P/Commercial-Regulations-standards-CG-5PS/Office-of-
Operating-and-Environmental-Standards/Environmental-Standards/AMS/ .
NOTE6: Use of an installed AMS is not mandatory if the vessel has an approved compliance date
extension and is operating under the terms of the extension. If the vessel has an AMS and is beyond
its compliance/extension date, use of the AMS is mandatory and may be used for up to 5 years from
the compliance/extension date.
See USCG MSIB 10-16, Rev-1 for further information.
NOTE5: IF REQUIRED TO USE BWMS, all BW operations must utilize the BWMS, even if discharge and
loading will occur within the same port or place, including the same berth.
NOTE7: IF AN INSTALLED BWMS STOPS OPERATING PROPERLY during a voyage, or the vessel’s BWM
method is unexpectedly unavailable, the problem must be reported to the nearest USCG Captain of
the Port as soon as practicable; it is also recommended to report to the USCG of the destination port.
See 33 CFR 151.1515, USCG NVIC 01-18, CG-CVC Policy Letter 18-02 for further guidance.
NOTE8: For vessels that arrive US with any BW tanks that are empty or containing un-pumpable
residual water (NOBOB), those tanks must either be sealed so no uptake and subsequent discharge of
ballast water within US territorial waters is made, or conduct saltwater flushing of such tanks 200 NM
from any shore prior to the uptake and subsequent discharge of BW to US territorial waters. For
further guidelines please refer to VGP 2.2.3.6.3
NOTE9: For vessels permitted to exchange, ensure all applicable requirements of VGP 2.2.3.6 are met.
NOTE10: Check also all destination port(s) State-specific ballast water management requirements.
P a g e | 29
GMS
ITEM
GL-4 For ships with ANY ballast tanks containing only residual amounts of ballast and/or
sediment, or no ballast on board (NOBOB), has salt water flushing in waters 200 NM
from any shore to achieve bottom salinity of at least 30 ppt been carried out?
NOTE: Canadian Seaway authorities recommend flushing with at least 7 – 20 % of its
volumetric capacity.
GL-5 24 hours prior to the vessel's arrival in Montreal, Quebec, submit Ballast Water
Report (Same form as USCG-16 of this checklist) to NBIC.
NOTE: Non-U.S. and non-Canadian flag vessels may complete the St. Lawrence Seaway
Ballast Water Reporting Form and submit it in accordance with the applicable Seaway
Notice as an alternative to this requirement.
GL-6 The US States of the Great Lakes may have special conditions pertaining to Ballast
Water. Currently the status of the Great Lakes is that most follow the restrictions
from the Shipping Federation of Canada and their Code of Best Practices for Ballast
Water Management which can be found at the following address:
http://www.michigan.gov/deq/0,4561,7-135-3313_3677_8278-16217--,00.html
NOTE: For the States of Michigan, Minnesota, and Wisconsin please see the individual state
special conditions within this document.
GL-7 Have you reviewed the St. Lawrence Seaway Regulations and Rules (33 CFR 401) for
compliance regarding various ship condition and navigation requirements for lock
passage?
NOTE: Compliance is required for Seaway lock passage, whether destined for US or
Canadian port
GL-8 If cargo is dry-bulk, is ship following dry cargo residue (DCR) discharge requirements
as per 33 CFR 151.66, including recordkeeping?
NOTE: Use of form CG-33 is optional, however its use is strongly encouraged as some form
of record must be maintained for a period of 2 years and the CG-33 captures all the required
information. Link to form CG-33:
http://www.reginfo.gov/public/do/DownloadDocument?objectID=67446801
P a g e | 30
Guam & Saipan

GMS
GUAM & SAIPAN/CNMI – QUESTIONS Y N
ITEM
GS-1 Have you completed the U.S. Federal Checklist items of this document?
GS-2 To trade or transit (to or from a U.S. port) the waters of Guam and Saipan, non-tank
vessels are required to hold a USCG-issued NTVRP Approval letter that includes an
endorsement for Captain of the Port Zone Guam. To obtain this endorsement, Plan
holders must have a contract with a Guam-based OSRO AND follow Alternate
Planning Criteria (APC) for this area. GMS has an APC Core approved by the USCG.
Do you have this approval in your plan?
· If the vessel does not have an endorsement for Guam/Saipan, contact GMS
immediately for assistance (info@chgms.com ).
· USCG Headquarters will not list Guam/Saipan on sor Approval letter unless they
see proof of a contract with an OSRO in Guam: Oil Spill Response Operations
Company, LLC/T&T Marine Salvage (OSROCO T&T). GMS can arrange the OSRO on
your behalf.
· If an agent is arranging the required OSRO coverage, GMS must still be notified
regarding the call to Guam or Saipan. As your Plan Preparer, GMS must submit
proof of the OSRO coverage to USCG headquarters.
GS-3 SAIPAN: Sector Guam may issue a port order with directives/requirements for calling
Saipan inclusive of sailing during daylight hours only. Sector Guam will typically notify
the vessel upon receipt of the eNOA/D. Vessels transiting within 12 NM of Saipan
may only be allowed to do so in daylight hours.
P a g e | 31
Hawaii
GMS
HAWAII – QUESTIONS Y N
ITEM
HW-1 Have you completed the U.S. Federal Checklist items of this document?
HW-2 Have you submitted a copy of the NBIC Ballast Water Report Form to Hawaii
Department of Land and Natural Resources (DLNR) at least 24 hours before arrival?
· This reporting is in addition to the NBIC reporting per item USCG-16.
· Submit the form in .pdf format by email to: dlnr.ar.ballast.report@hawaii.gov , or
fax to +1 808-587-0115.
· Use the same form and instructions used for the NBIC report.
NOTE: Changes to the report after initial report must be submitted prior to the vessel’s
departure from Hawaii; Amended reports should include “AMENDED” in the subject line.
For more information: http://dlnr.hawaii.gov/dar/ballast-water/
HW-3 Have you submitted a VGP Hawaii Department of Health (DOH) Notification form to
the State of Hawaii?
The notification form must be filed through the Hawaii DOH ePermitting Portal at
https://eha-cloud.doh.hawaii.gov/epermit
To complete the certification, you will need to complete the data entry and the
instructions on the Notification Certification .pdf, copy both of the files to a CD/DVD
and post mail the CD/DVD and paper copies (originals) of the signed forms to the
Hawaii DOH at the address provided on the form. Instructions are posted on the GMS
website > Resources > Environmental Laws and Regulations > Hawaii Department of
Health Filing .
NOTE1: GMS cannot complete the on-line notification form; it must be done by the ship’s
home office and the signature must be that of the person who signed the US EPA NOI.
NOTE2: Plan for at least 3 weeks processing time by Hawaii DOH after they receive package.
NOTE3: Notification form is only required ONCE during current VGP term. Port calls
subsequent to initial Hawaii DOH filing do not require re-filing.
· If you need further assistance, contact your local agent or GMS info@chgms.com
HW-4 HONOLULU and BARBERS POINT HARBOR: Have you ensured treated or untreated
sewage or sewage mixed with graywater cannot be discharged into any estuary or
harbor?
NOTE: A formal “no-discharge zone” for treated or untreated sewage has not been
established by the EPA; however, the Honolulu Harbormaster enforces the equivalent
requirement, which is contained in a Hawaii “Administrative Rule”. Therefore, when calling
Honolulu/Barbers Point, if the ship does not have a sewage storage tank then the local
Agent can either arrange a pump-out truck or portable toilets to be placed on deck for the
crew’s use.
P a g e | 32
GMS
HAWAII – QUESTIONS Y N
ITEM
HW-5 PARTICULARLY SENSITIVE SEA AREAS (PSSA): If your voyage transits near the
Papahānaumokuākea Marine National Monument aka “Monument” PSSA (Northwest
Hawaiian Islands), are you prepared to avoid certain areas and make ship reporting?
Vessels planning to pass through the Monument PSSA on their way to or from a U.S.
port or place must notify Monument PSSA managers within 72 hours of entering and
within 12 hours of exiting according to the Monument's ship reporting requirements.
Full details for Ship Reporting Requirements and Avoidance Areas can be found at the
following: http://www.papahanaumokuakea.gov/resource/ship_reporting.html .
Points of Contact are:

Reporting E-mail: nwhi.notifications@noaa.gov
Reporting Telephone: +1 808 395 6944 / +1 866 478 6944
Reporting Fax Number: 1-808-455-3093
Maine
GMS
MAINE – QUESTIONS Y N
ITEM
ME-1 Have you completed the U.S. Federal Checklist items of this document?
ME-2 For voyages originating beyond the EEZ, have you conducted an open ocean ballast
water exchange at least 200 NM from shore and in at least 2000 meters depth?
NOTE: Maine requires exchange whether or not a BW treatment system is used.
ME-3 Do you have equipment to measure ballast tank water salinity is at least 30 ppt?
ME-4 If calling within Casco Bay (Portland), have you ensured no discharge of sewage
(treated or untreated) can occur?
· See map: https://www.epa.gov/sites/production/files/styles/large/public/2015-
09/maine.jpg?itok=PQDaooTf
Massachusetts
GMS
MASSACHUSETTS – QUESTIONS Y N
ITEM
MA-1 Have you completed the U.S. Federal Checklist items of this document?
MA-2 Have you ensured no discharge of sewage (treated or untreated) can occur?
· All of Massachusetts is a No Discharge Zone; see map:
https://www.epa.gov/sites/production/files/2016-
04/statewide_from_ma_office_of_coastal_zone_management_-_webpage.jpg
P a g e | 33
Michigan
GMS
MICHIGAN – QUESTIONS Y N
ITEM
MI-1 Have you completed the U.S. Federal Checklist items of this document?
MI-2 Have you completed the U.S. Great Lakes (General) Checklist items of this document?
MI-3 Have you obtained General Permit coverage from the Michigan Department of
Environmental Quality (MDEQ)?
· To call a Michigan port and conduct port operations, all ocean-going vessels must
obtain a General Permit from the MDEQ. This is in addition to the US EPA VGP.
· Permit applications with instructions and Frequently Asked Questions may be
found on Michigan’s DEQ Ballast Water Control permit web site at:
http://www.michigan.gov/deq/0,4561,7-135-3313_71618_3682_3713-153446--
,00.html . The application must be made through the Michigan web site: MiWaters
· Contact GMS for questions or assistance with the permitting process.
NOTE: 3 weeks are required to process the application after which a “Certificate of
Coverage” will be issued to the vessel.
MI-4 Have you submitted a Port Operations Notification Report 24 hours prior to a port
operation in Michigan?
In addition to MI-3 above, all vessels calling ports in Michigan must submit a Port
Operations Notification Report 24 hours prior to a port operation.
· The report form may be downloaded from Michigan’s DEQ Ballast Water Control
permit web site at: http://www.michigan.gov/documents/deq/wb-npdes-ballast-
PortOperationsReport_247263_7.pdf or choosing the Word Version on the MI
DEQ website.
· An email address for submitting the report will be indicated on the Certificate of
Coverage obtained in MI-3 above.
MI-5 If calling Michigan, have you completed the Michigan Department of Environmental
Quality Ballast Water reporting form?
· This form can be completed online
(http://www.deq.state.mi.us/eforms/ballastwaterreporting.html ) or faxed to +1
517 335 4053.
· Link to hardcopy form: http://www.michigan.gov/deq/0,4561,7-135-
3313_3677_8278---,00.html (Lower right of page)
MI-6 For voyages originating beyond the EEZ, have you conducted an open ocean ballast
NOTE: Michigan requires exchange whether or not a BW treatment system is used.
MI-7 Have you ensured graywater or blackwater cannot be discharged within State of
Michigan boundaries?
P a g e | 34
Minnesota
GMS
MINNESOTA – QUESTIONS Y N
ITEM
MN-1 Have you completed the U.S. Federal Checklist items of this document?
MN-2 Have you completed the U.S. Great Lakes (General) Checklist items of this document?
MN-3 Has the vessel applied for a Ballast Water Discharge Permit? This permit is required
for all Ocean-going vessels.
NOTE1: This permit applies to all vessels transiting the Minnesota State waters of Lake
Superior. Vessels transiting to Superior, Wisconsin must obtain a Minnesota Permit since
Minnesota waters include the approaches to Superior, Wisconsin.
NOTE2: The application and instructions can be found on the Minnesota Pollution Control
Agency’s Vessel Discharge website. Application can be made by either electronic (web) or
hard-copy/mail method.
· Application by hard copy (paper) for the permit requires 30 days for administrative
processing. If submitting by hard copy an original “wet” signature must be included on
the submitted application.
· On-line (web-based) application may be made from the Vessel Discharge website by
clicking ”Apply for ballast water permit.” An account must be created; instructions are
on the website.
There is a fee for the application and an annual renewal. If paying from a non-US bank,
applying on-line is not an option.
MN-4 For voyages originating beyond the EEZ, have you conducted an open ocean ballast
NOTE: Minnesota requires exchange whether or not a BW treatment system is used.
MN-5 Has the vessel submitted a BW reporting form to Minnesota Pollution Control Agency
24-hours prior to arrival?
The form is the same as for US Federal BW reporting (NBIC Form).
Send to ballastwater@state.mn.us (preferred), or by fax +1 218 723 4727.
MN-6 Does the vessel have equipment to measure ballast water salinity is at least 30 ppt?
New Hampshire
GMS
NEW HAMPSHIRE – QUESTIONS Y N
ITEM
NH-1 Have you completed the U.S. Federal Checklist items of this document?
NH-2 Have you ensured no discharge of sewage (treated or untreated) or graywater mixed
with sewage can occur?
· All of New Hampshire is a No Discharge Zone; see map:
09/new_hampshire.jpg?itok=Gl8NMvOZ
NOTE: If feasible, graywater should also be retained on-board.
P a g e | 35
New York
GMS
NEW YORK – QUESTIONS Y N
ITEM
NY-1 Have you completed the U.S. Federal Checklist items of this document?
NY-2 If the ship has ballast on-board, and the voyage is bound for waters north of the
George Washington Bridge on the Hudson River, and operated beyond the US EEZ for
any part of its voyage, regardless of other US/Canadian port calls, has vessel either:
1. Conducted exchange before entering the U.S. EEZ in depth over 2000 m and
achieved salinity of at least 30 parts per thousand (ppt) unless required to
employ an approved Ballast Water Management System (BWMS) or Alternate
Management System (AMS)?
2. Planned to retain ballast on-board for duration of voyage in NY waters?
NOTE: recommend sealing tanks and related valves.
3. Utilized an approved operational BWMS or AMS?
4. Made arrangements to use only a US public water supply for ballasting?
NOTE: Recommend review of 33 CFR 151.1510 for general requirements and 33 CFR
151.1515 for procedures if safety or extraordinary circumstances exist to prevent/limit
ballast operations.
NY-3 Is the ship bound for waters north of the George Washington Bridge on the Hudson
River, and operated beyond the US EEZ for any part of its voyage, regardless of other
US/Canadian port calls?
If “yes”, submit a NBIC BWM report at least 24 hours prior to entering New York, NY.
NY-4 If intending to discharge ballast in NY waters for voyages originating beyond the EEZ,
have you conducted an open ocean ballast water exchange at least 200 NM and 2000
meters depth?
NOTE1: New York requires exchange whether or not a BW treatment system is used.
NOTE2: Recommend review of 33 CFR 151.2025 for general requirements and 33 CFR
151.2040 for procedures if safety or extraordinary circumstances exist to prevent/limit
ballast operations.
NY-5 Does the ship maintain the ability (equipment) to measure salinity levels in each tank
onboard the vessel so that salinities of at least 30 parts per thousand (ppt) can be
ensured?
NY-6 If operating within Long Island Sound, have you ensured no discharge of sewage
(treated or untreated) or graywater mixed with sewage can occur?
· All of Long Island Sound is a No Discharge Zone; see map:
09/long_island_sound.jpg?itok=Eh01MkmT
NOTE: If feasible, graywater should also be retained on-board.
NY-7 Is the vessel prepared to retain all bilge water while within NY waters?
· NY prohibits discharge of any bilge water within NY waters.
P a g e | 36
Ohio
GMS
OHIO – QUESTIONS Y N
ITEM
OH-1 Have you completed the U.S. Federal Checklist items of this document?
OH-2 For voyages originating beyond the EEZ, have you conducted an open ocean ballast
water exchange and/or salt water flushing at least 200 NM and in at least 2000
meters depth with a resultant salinity of at least 30 ppt?
NOTE: Ohio requires exchange whether or not a BW treatment system is used.
OH-3 If de-ballasting is necessary for the Ohio port call, have you ensured any sea water
ballast is discharged prior to entering the Ohio port’s breakwater?
Ref.: VGP Part 6.21.5
P a g e | 37
Oregon (Including Columbia River & its Tributaries)

GMS
OREGON – QUESTIONS Y N
ITEM
OR-1 Have you completed the U.S. Federal Checklist items of this document?
OR-2 Is the vessel enrolled with Maritime Fire & Safety Association (MFSA)?
If not, enroll via your local port agent at least 96 hours prior to arriving at the Area of
Coverage (3 NM seaward from mouth of Columbia River upstream to include all ports
oceangoing ships may call in Washington or Oregon on the Columbia or Willamette
Rivers).
OR-3 Does the vessel have onboard the current version of the MFSA Field Guide
(Dated November 2016)? https://www.mfsa.com/wp-content/uploads/2018/12/mfsa-
field-guide-11_2016.pdf
NOTE1: Maintain the Field Guide in conspicuous and accessible location at all times while in
the MFSA Area of Coverage (see OR-2).
NOTE2: As per MFSA Field Guide, both spills and substantial threats of spills must be
reported. In general, any incident such as a grounding, collision, allision, or failure of a
major system that could have the potential to cause a spill requires notification. See the
MFSA Field Guide for further guidance.
OR-4 If the vessel uses a USCG approved BWMS (BWTS) or accepted AMS, and BW salinity
is less than or equal to 18 ppt or cannot be determined, have you conducted a mid-
ocean exchange (200+ NM) and flush of empty tanks resulting in BW salinity 30 ppt
or greater?
OR-5 For vessels coming from outside the Pacific Coast Region (PCR), and still eligible for
exchange as a BW management option, has mandatory open ocean ballast water
exchange OR arrangements to retain ballast aboard been completed and logged?
NOTE1: The PCR is defined as all coastal waters (within 200 NM of any shore) on the Pacific
Coast of North America east of 154 degrees W longitude and north of 25 degrees N latitude,
excluding the Gulf of California.
NOTE2: Oregon defines “Open ocean exchange” as being conducted at least 200 NM from
shore and at least 2000 m depth.
NOTE3: If conditions are such that conducting an exchange at the required distance/depth
would be unsafe/infeasible due to adverse weather, vessel design limitations or equipment
failure, vessel must clearly declare a safety exemption on its BW reporting form by 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." Provide supporting
documentation available to support exemption.
OR-6 If the vessel is still eligible for exchange as a BW management option and will arrive
at an Oregon port or place with intent to discharge ballast tanks which contain only
water originated from another port or place within the PCR South of 40o N or North
of 50o N, has a coastal ocean exchange been conducted OR arrangements to retain
ballast onboard been completed?
NOTE1: “Coastal ocean exchange” means waters that are more than 50 nautical miles from
land and at least 200 meters (656 feet / 109 fathoms) deep.
NOTE2: If the ballast water to be discharged was solely sourced from the West Coast Region
of North America between 40o N and 50o N Latitude (aka “Common Waters”), then
exchange is NOT required.
P a g e | 38
GMS
OREGON – QUESTIONS Y N
ITEM
OR-7 If you intend to use BW tanks that are empty or contain unpumpable ballast for
ballasting and then de-ballasting in Oregon waters, is the residual water salinity 30
ppt or greater?
· If not, the tank(s) must be salt water flushed in either mid-ocean (200 NM) for
voyages originating outside the PCR or coastal (50 NM) for voyages within the PCR.
OR-8 When calling ports in Oregon State Waters, a copy of the Ballast Water Report (sent
to NBIC) must also be sent to the Oregon Department of Environmental Quality
(DEQ) at least 24 hours before arriving in State waters.
Reports must be submitted by email to ballast.water@deq.state.or.us.
NBIC Report Form: http://invasions.si.edu/nbic/submit.html
NOTE1: Ensure BWM logs are complete, accurate, and include exact time and position of
the start and stop for each tank. DEQ inspectors expect all information in one place (the
BWM log), not divided between bridge/deck log and BWM log and expect operations to be
logged in real time.
NOTE2: If the vessel alters or plans to alter its BWM for any reason after reporting its ballast
water management information, an amended reporting form must be submitted to DEQ 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.
NOTE3: For Columbia River transits, a copy of the BW report form must also be submitted to
the Washington Department of Ecology via email: ballastwater@dfw.wa.gov or fax (+1 360
902 2845).
OR-9 COOS BAY/NORTH BEND
Is the vessel enrolled with the Coos Bay Response Cooperative (CBRC)?
To obtain coverage under the CBRC Vessel Response Plan (the “Plan”), a CBRC Arrival
Notice must be submitted to CBRC via e-mail at coosbayresponse@outlook.com at
least 48 hours prior to arrival into the Area of Coverage, which begins at the jetty
mouth of the Coos River. The form is available at CBRC Oil Spill Contingency Plan
Enrollment Contact your local agent for enrollment assistance.
CBRC: +1 541 297 5190 http://coosbayresponse.com/
NOTE: The vessel is provided with a copy of the CBRC Field Guide upon enrollment; the
Guide is required to be on-board and implemented while within the Area of Coverage.
Should a spill occur, make notification to CBRC and then immediately contact the GMS QI.
P a g e | 39
Pago Pago (American Samoa)

GMS
PAGO PAGO (American Samoa) – QUESTIONS Y N
ITEM
PP-1 Have you completed the U.S. Federal Checklist items of this document?
PP-2 Does your USCG NTVRP Approval letter have Pago Pago (American Samoa) as an
endorsement?
To call or transit (to or from a U.S. port) the waters of Pago Pago, non-tank vessels
are required to hold a USCG-issued NTVRP or Approval letter that includes an
endorsement for Captain of the Port Zone Honolulu-Pago Pago (American Samoa). To
obtain this endorsement, Plan holders must have a contract with a local-based OSRO
AND follow Alternate Planning Criteria (APC) for this area. GMS has an APC Core plan
approved by the USCG.
· If the vessel does not have an endorsement for Pago Pago, please contact GMS
immediately for assistance: info@chgms.com. GMS can assist in making OSRO
arrangements and obtaining the necessary plan endorsements.
· USCG Headquarters will not list Pago Pago/American Samoa on an Approval letter
unless they see proof of contracts with an OSRO (Solar, Inc.) in Pago Pago AND
either NARCO or MSRC. Therefore, the vessel must be covered by one local and
one national company.
· If an agent is arranging the required OSRO coverage, GMS must still be notified
regarding the call to Pago Pago. As your Plan Preparer, GMS must submit proof of
the OSRO coverage to USCG headquarters.
PP-3 Have you planned to follow Pago Pago Prevention Mitigation Measures listed in the
above referenced APC CORE? If not, reference and follow these measures.
P a g e | 40
Puerto Rico & U.S. Virgin Islands

GMS
PUERTO RICO / USVI – QUESTIONS Y N
ITEM
PR-1 Have you completed the U.S. Federal Checklist items of this document?
PR-2 The U.S. Caribbean Sea Emission Control Area (CS-ECA) is now in effect. Boundaries
of the NA-ECA are approximately 50 NM from the coast of Puerto Rico and the US
Virgin Islands (USVI). Full coordinates are contained in MEPC.1/Circ.755.
Ensure proper logging in accordance with MARPOL Annex VI/14.6 is conducted. Also
ensure bunker delivery notes, fuel sample analysis, and fuel samples from at least the
past 12 months are on-board.
If a vessel does not have compliant bunkers of 0.1% or less sulfur and the vessel will
be calling a Puerto Rico or USVI Port, a “Fuel Oil Non-Availability Report” (FONAR)
must be filed with the EPA and Flag State before arrival and the vessel must make
best attempts to bunker compliant fuel as early as possible. The EPA only accepts
FONARs via EPA’s FOND Portal. The EPA Central Data Exchange (CDX) must be used
to register for a FOND account.
There is no allowance for “innocent passage” of the Puerto Rico or USVI portion of
waters within the CS-ECA using non-compliant fuel. Failure to switch to compliant
fuel before arriving at the CS-ECA boundary is a violation of Annex VI.
NOTE: To submit a FOND, one must log into CDX; the instructions for registering can be
found at: http://www2.epa.gov/sites/production/files/documents/fondinstructions.pdf
Rhode Island
GMS
RHODE ISLAND – QUESTIONS Y N
ITEM
RI-1 Have you completed the U.S. Federal Checklist items of this document?
RI-2 Have you ensured no discharge of sewage (treated or untreated) or graywater mixed
with sewage can occur? All of Rhode Island is a No Discharge Zone; see map:
09/rhode_island.jpg?itok=bm1Q9Fz0
RI-3 For voyages originating beyond the EEZ, have you conducted an open ocean ballast
water exchange at least 200 NM and 2000 meters depth?
NOTE1: Rhode Island requires exchange whether or not a BW treatment system is used.
RI-4 Bilge water: For voyages originating beyond the EEZ, have you treated (through OWS)
and discharged any bilge water prior to entering Rhode Island waters (3 miles/2.6
NM)?
NOTE: This condition does not apply to the discharge of bilge water if the master of the
vessel determines that compliance with this condition would threaten the safety or stability
of the vessel, its crew, or its passengers because of adverse weather, equipment failure, or
any other relevant conditions. In such cases, all bilge water must be retained on-board
while in Rhode Island waters.
P a g e | 41
Texas
GMS
TEXAS – QUESTIONS Y N
ITEM
TX-1 Have you completed the U.S. Federal Checklist items of this document?
TX-2 Is your vessel registered in the TGLO database?
Vessels that are required to have a USCG-approved Vessel Response Plan and/or a
SOPEP are required to maintain their Vessel Specific Data in the Texas General Land
Office’s (TGLO) database.
Contact GMS at info@chgms.com or verify via TGLO Vessel Database Search
NOTE: If GMS maintains your NTVRP, vessels are automatically entered in the TGLO
database.
Virginia
GMS
VIRGINIA – QUESTIONS Y N
ITEM
VA-1 Have you completed the U.S. Federal Checklist items of this document?
VA-2 Have you sent the NBIC Ballast Water Report Form to local Virginia agent with
direction to forward to appropriate Virginia authorities (Virginia Maritime Association
VMA)?
NOTE: The form can be directly submitted to the VMA via Virginia Marine Resources
Commission (VMRC) by fax: +1 757-622-6302 or email: shipdsk@vamaritime.com
Submission must be within 72 hours of completion of BW discharge done within Virginia
waters, or prior to departure if no discharge of ballast water into Virginia waters occurred.
P a g e | 42
Washington State
GMS
WASHINGTON – QUESTIONS Y N
ITEM
WA-1 Have you completed the U.S. Federal Checklist items of this document?
NOTE: Completing items USCG-17 and USCG-18 satisfies Washington navigation safety
emergency steering drill requirement.
WA-2 Do you have a current Strait of Juan De Fuca Agreement with Western Canada
Marine Response Corporation (WCMRC)?
Required for vessels destined for U.S. ports along the Straits of Juan De Fuca/Puget
Sound NOT CALLING CANADA.
· If no, please contact GMS for assistance: info@chgms.com.
WA-3 When calling the PUGET SOUND or GRAYS HARBOR region:
Is vessel enrolled with either National Response Corporation (NARCO) or Washington
State Maritime Cooperative (WSMC) AND does it have an Emergency Response
Towing Vessel Agreement (ERTV) arranged in advance of arrival?
If no, GMS can assist: info@chgms.com
WA-4 When calling the PUGET SOUND or GRAYS HARBOR region:
Does the vessel have onboard the latest version of the Field Guide & Placard from
either NARCO (October 2013 Field Document)(Placard) or WSMC (December 2013
Field Document)(WSMC Placard) (the provider to which you enrolled in item WA-3)?
NOTE: Maintain the Field Guide & Placard in conspicuous and accessible location at all times
while in Washington waters.
WA-5 When calling a Washington State Port on the COLUMBIA RIVER:
Is the vessel enrolled with Maritime Fire & Safety Association (MFSA)?
If not, enroll via your local port agent at least 96 hours prior to arriving at the Area of
Coverage (3 NM seaward from mouth of Columbia River upstream to include all ports
oceangoing ships may call in Washington or Oregon on the Columbia or Willamette
Rivers).
WA-6 When calling a Washington State Port on the COLUMBIA RIVER:
Does the vessel have onboard the current version of the Maritime Fire & Safety
Association (MFSA) Vessel Field Guide Document (Dated November 2016)?
https://www.mfsa.com/wp-content/uploads/2018/12/mfsa-field-guide-11_2016.pdf
NOTE1: Maintain the Field Guide in a conspicuous and accessible location at all times while
in the Area of Coverage (see WA-5).
NOTE2: As per MFSA Field Guide, both spills and substantial threats of spills must be
reported. In general, any incident such as a grounding, collision, allision, or failure of a
major system that could have the potential to cause a spill requires notification. See the
MFSA Field Guide for further guidance.
P a g e | 43
GMS
ITEM
WA-7 For vessels coming from outside the U.S. EEZ, has BW been managed by BWMS or
AMS if fitted and required to be used by USCG regulations, OR if not fitted/required
to have BWMS/AMS has mandatory open sea ballast water exchange OR
arrangements to retain ballast aboard been completed and logged?
NOTE1: Washington defines “Open sea exchange” as being conducted at least 200 NM from
shore and at least 2000 m depth.
NOTE2: If conditions are such that conducting an exchange at the required distance or
depth would be unsafe or infeasible due to adverse weather, vessel design limitations or
equipment failure, the vessel must clearly declare a safety exemption on its ballast water
reporting form by 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." Have supporting documentation available to support exemption.
WA-8 Vessels travelling coastwise (no more than 200 NM from shore) from within the EEZ,
has BW been managed by BWMS or AMS if fitted and required to be used by USCG
regulations, OR if not fitted/required to have BWMS/AMS has 50+NM and 200 m
depth ballast water exchange been conducted OR arrangements to retain ballast
onboard been completed?
NOTE1: Vessels calling Washington ports with ballast water solely sourced from water of
Washington State, the Columbia River, or internal waters of British Columbia South of 50o N
latitude, including the Straits of Georgia and Juan de Fuca, are not required to conduct an
open sea exchange prior to discharge.
WA-9 Have you submitted a copy of the NBIC Ballast Water Report Form to Washington
Department of Fish & Wildlife at least 24 hours before arrival?
· Email: BALLASTWATER@dfw.wa.gov, or fax to +1 360-902-2845.
· The same form and instructions used for the NBIC report is preferred.
NOTE: Voyages within Washington State to other Washington ports (such as between
Tacoma and Everett), or from an Oregon port to a Washington port, require a new report be
submitted 24 hours before arrival at the next port, or as soon as practicable if the 24 hour
requirement cannot be met.
- For more information: https://wdfw.wa.gov/species-habitats/invasive/ballast-
water
WA-10 When calling a WA State Port on the COLUMBIA RIVER:
Has a Ballast Water Report form also been submitted to Oregon Department of
Environmental Quality? (Same form as submitted to NBIC for Item USCG-16)
Email: ballast.water@deq.state.or.us
NOTE: This form is in addition to checklist Item WA-9 above.
P a g e | 44
GMS
ITEM
WA-11 When within No Discharge Zone (NDZ) waters of Puget Sound, have actions been
taken to retain all treated and untreated sewage?
Within the following coordinates, vessels are not permitted to discharge treated or
untreated sewage as this is a NDZ: All the marine waters of Washington state inward
from the line between New Dungeness Lighthouse (N 48°10'54.454", 123°06'37.004"
W) and the Discovery Island Lighthouse (N 48°25'26.456", 123°13'29.554" W) to the
Canadian border (intersecting at: N 48°20'05.782", 123°11'58.636" W), and fresh
waters of Lake Washington, Lake Union, and connecting waters between and to
Puget Sound.
-A map of the NDZ may be downloaded at: https://ecology.wa.gov/Water-
Shorelines/Puget-Sound/No-discharge-zone/Commercial-vessels
It is recommended that all tanks designated for storage of treated or untreated

sewage be emptied at sea in accordance with MARPOL regulations prior to entering
Puget Sound.
This NDZ does not affect graywater discharges.
The ONLY vessels exempt are the following vessel types: tugboats, commercial fishing
vessels, small commercial passenger vessels (<249 overnight passengers), and NOAA
research and survey vessels.
An information sheet can be viewed/downloaded at:

https://fortress.wa.gov/ecy/publications/documents/1810018.pdf
P a g e | 45
GMS
ITEM
WA-12 For ships intending to bunker in Washington, has the below listed training been
completed and documented within 48 hours of the bunker operation?
Training for all personnel with duties under the oil transfer procedures, to be
conducted by the person in charge (PIC) of the bunker operation:
· Vessel’s preloading plan to include:
(a) Identification, location and capacity of the vessel's bunker tanks receiving oil;
(b) Level and type of liquid in each bunker tank prior to the scheduled time for
bunkering;
(c) Final ullage or innage, and percent of each bunker tank to be filled;
(d) Sequence in which the bunker tanks are to be filled; and
(e) Procedures to regularly monitor all bunker tank levels and valve alignments.
· Civil and criminal penalties for not complying with federal and state regulations,
and for spilling oil in WA waters.
· Vessel’s oil transfer procedure, including each person’s responsibilities and
station.
· English phrases and hand signals to communicate the instructions for “stop”,
“hold”, “okay”, “wait”, “fast”, “slow”, and “finish.”
· Emergency shutdown procedures, including communication with delivering
vessel.
NOTE: More guidance, including hand signal diagrams can be found in the Bunkering Best
Practices Manual: https://fortress.wa.gov/ecy/publications/publications/1408007.pdf
P a g e | 46
Wisconsin
GMS
WISCONSIN – QUESTIONS Y N
ITEM
WN-1 Have you completed the U.S. Federal Checklist items of this document?
WN-2 Have you completed the U.S. Great Lakes (General) Checklist items of this document?
WN-3 Has the vessel acquired a Wisconsin General Permit Notice of Coverage for Ballast
Water Discharge?
If no, send a copy the of the ship’s EPA NOI with the request for a permit to:
DNRWisconsinBallastWater@wisconsin.gov . The application requires 30 days
processing time; plan accordingly.
NOTE1: There is an application filing fee and an annual fee for the permit. Invoicing will be
done by Wisconsin after the application is submitted, and then yearly during the permit’s
term.
NOTE2: The vessel may proceed into Wisconsin waters without the permit on board during
the permit processing time period, provided all provisions of the EPA VGP and Wisconsin
BW General Permit are followed.
NOTE3: Maintain the Notice of Coverage and comply with the WPDES BW Permit
requirements (listed in the permit) while in Wisconsin waters.
WN-4 Vessels bound for the port of Superior, Wisconsin must apply for a Minnesota Ballast
Water Permit. See Minnesota Section of this document for details.
WN-5 For voyages originating beyond the EEZ, have you conducted an open ocean ballast
water exchange at least 200 NM from shore and minimum 2000 meters depth?
NOTE: Wisconsin requires exchange whether or not a BW treatment system is used.
P a g e | 47
Non-U.S. Countries
Canada
Due to unique differences in calling zones, the Canadian checklist is divided into Canada (ALL),
Eastern Canada/Canadian Great Lakes, Western Canada, and Canadian Arctic.
***Review Canada (ALL) requirements in addition to specific zone requirements***
**Spills in Canada**
Report to the nearest appropriate regional center or by contacting a
Marine Communications and Traffic Services Center on
VHF Channel 16:
Location 24 Hr Phone
CCG Pacific Region
(British Columbia: Vancouver, Victoria, +1 800 889 8852
Prince Rupert, Tofina)
CCG Central and Arctic Region
(Ontario/Sarnia/Great Lakes, Nunavut, +1 800 265 0237
Arctic Waters)
CCG Quebec Region
+1 800 363 4735
(Montreal, Quebec City, Sorel)
CCG Newfoundland Region
(Newfoundland and Labrador: St. John's, +1 800 563 9089
Placentia Bay, Port aux Basques)
CCG Maritimes Region
(New Brunswick, Prince Edward Island, +1 800 565 1633
Nova Scotia)
P a g e | 48
Canada (ALL)
GMS
CANADA (ALL) – QUESTIONS Y N
ITEM
CAN-1 AUTHORIZED INDIVIDUAL (AI)
Does vessel have a Canadian Authorized Individual (AI) Grant of Authority with
Gallagher Marine Systems? If not, contact info@chgms.com
CAN-2 ASIAN GYPSY MOTH
Is the ship compliant with Canadian Asian Gypsy Moth (AGM) requirements?
· Vessels arriving in Western Canadian ports from March 1 to September 15, and in
Eastern Canadian ports, including inland ports, from March 15 to September 15
that called at Far East Russia, Japan, Republic of Korea, and all ports north of
Shanghai (defined as all ports on or north of 31°15' north latitude) in the People's
Republic of China during high risk periods of the current and past year will be
required to hold an AGM certificate.
· The Canadian Food Inspection Agency (CFIA) must also be notified at least 96
hours prior to Canadian waters entry. Two (2) year port of call data must be
provided to the ship’s agent for forwarding to CFIA. The required information
must be provided to:
West Coast: bc.agm@inspection.cg.ca
East Coast: agm.atlantic@inspection.cg.ca
· Canadian AGM policy and procedures, including certification are available at:
http://www.inspection.gc.ca/plants/plant-pests-invasive-
species/directives/invasive-alien-species-and-domestic-plant-health-p/d-95-
03/eng/1321945111492/1321945247982 and
http://www.inspection.gc.ca/plants/plant-protection/insects/gypsy-moth/asian-
gypsy-moth/asian-gypsy-moth-certification/eng/1383858371139/1383858483509
· The latest US-Canada Joint AGM Bulletin can be found at:

https://www.aphis.usda.gov/plant_health/plant_pest_info/gypsy_moth/downloa
ds/Joint-AGM-bulletin-USDA-CFIA.pdf .
NOTE1: If a vessel does not have a valid AGM Certificate, it will be held off for inspection at
a designated remote anchorage before being allowed to proceed into Canadian waters, will
be considered non-compliant, and may be subject to enforcement actions that could
include Administrative Monetary Penalties (AMPs).
P a g e | 49
GMS
ITEM
CAN-3 CANADIAN CARRIER CODE
Does the conveyance operating carrier have a Canadian Carrier Code issued by the Canada Border
Services Agency (CBSA)? Is the vessel registered in the Advance Commercial Information system (ACI)?
When a vessel enters a Canadian port, and is not carrying and/or discharging cargo, a carrier code of any
kind is not required.
If a ship is entering with cargo for delivery, it requires a carrier code; but does not require a bonded
carrier code, if at the first point of arrival (FPOA) all association with the cargo is severed and the ship
owner/operator/manager has no control over the cargo’s future disposition. As with the Carrier Code
program, if the vessel is not required to have a CBSA carrier code, it does not have to register in the
Advance Commercial Information (ACI) system.
Vessels bringing specified goods to Canada are required to submit an application to conduct marine
business and be assigned a carrier code.
Specified goods means:
(a) commercial goods,
(b) empty cargo containers to be imported into Canada and that are not for sale, and
(c) any other goods to be transported to Canada for a fee.
Canada Carrier Code and ACI

A marine carrier is required to:
1. Obtain a valid CBSA carrier code using application form BSF 329-4.
2. Register for reporting purposes (ACI program) using the Advance Commercial Information application
form BSF-691.
To apply for a carrier code, the first step is to determine if you need a non-bonded or bonded code.
http://www.cbsa-asfc.gc.ca/services/carrier-transporteur/mc-tm-eng.html
The CBSA recommends that applicants submit both forms together in order to reduce the length of the
application process.
Please forward your inquiries about the ACI application form and the process to TCCU-USTCC@cbsa-
asfc.gc.ca.
Marine Carrier Code Application Process

http://www.cbsa-asfc.gc.ca/services/carrier-transporteur/mccap-ppctm-eng.html
Application to Transact Marine Operations with the Canada Border Services Agency
http://www.cbsa-asfc.gc.ca/publications/forms-formulaires/bsf329-4-eng.html. Carriers already in
possession of an active CBSA carrier code may now change their carrier code’s bonded status without
having to apply for a new carrier code.
http://www.cbsa-asfc.gc.ca/services/carrier-transporteur/change-changer-eng.html
ACI
The Advance Commercial Information (ACI) Program was implemented 2004, requiring marine carriers
to electronically transmit marine cargo data to the CBSA 24 hours prior to loading cargo at a foreign
port. This requirement allows the CBSA to effectively identify threats to Canada's health, safety, and
security prior to the arrival of cargo and conveyances in Canada.
NOTE1: Processing can take between 3–10 days once CBSA receives the application.
NOTE2: Information on transmitting ACI can be found at: https://www.cbsa-
asfc.gc.ca/services/carrier-transporteur/mc-tm-eng.html#_s4 .
P a g e | 50
GMS
ITEM
CAN-4 BALLAST WATER MANAGEMENT REQUIREMENTS
Is your ship compliant with all Canadian ballast water requirements?
Canada is signatory to the International Convention for Control and Management of
Ships’ Ballast Water and Sediments; therefore, Canadian requirements are closely
aligned with the Convention. Canadian ballast water management requirements may
be found in the following linked publications:
· Canada’s Ballast Water Control and Management Regulations
· TP 13617E A Guide to Canada’s Ballast Water Control and Management
Regulations (HTML) or pdf version:
https://www.tc.gc.ca/media/documents/marinesafety/TP13617E(1).pdf
Eastern Canada / Canadian Great Lakes

GMS
EASTERN CANADA / CANADIAN GREAT LAKES – QUESTIONS Y N
ITEM
CAN-E1 Have you completed the Canada (ALL) items of this document?
CAN-E2 96-HOUR PRE-ARRIVAL INFORMATION REPORT (PAIR)
Has the vessel submitted a 96- hour Pre-Arrival Information Report or “PAIR”?
Vessel must file PAIR and ISSC with Transport Canada Marine Safety and Security
(East Coast) at: marsece@tc.gc.ca
· The PAIR form may be obtained by sending an email 96@tc.gc.ca . You will receive
an automatic reply with the form and instructions for submitting it.
· MARSEC East can be contacted at +1 902 427 8003
· If the voyage before entering Canadian waters is less than 96 hours, notification
must be at least 24 hours prior to entering Canadian waters.
· If the voyage before entering Canadian waters is less than 24 hours, send pre-
arrival no later than time of departure from last port of call.
NOTE1: Vessels transiting to Great Lakes ports must provide PAIR prior to entrance into St.
Lawrence Seaway; no additional PAIRs are required during voyage within Great Lakes.
NOTE2: As per Canadian Radio Aids to Marine Navigation, Section 3, send 24 hour advance
ECAREG clearance request to enter Canadian waters to hlxecareg1@innav.gc.ca
P a g e | 51
GMS
ITEM
CAN-E3 NORTH AMERICAN EMISSION CONTROL AREA (NA-ECA)
Is the ship compliant with the North American Emission Control Area (NA-ECA)?
(Refer to USCG-14 for details)
If a ship is bound for a Canadian Port and does not have compliant fuel aboard, a
“Fuel Oil Non-Availability Report” must be filed with Transport Canada. Information
instructions, and a link to the reporting form can be found at:
http://www.tc.gc.ca/eng/marinesafety/bulletins-2013-04-eng.htm . The form must
be signed by the vessel master and should be submitted at least 24 hours in advance
of arrival to the NA-ECA zone.
For Eastern Canada or Canadian Great Lakes, submit report to:

TCMSDutyOfficer-TCSMOfficierdepermanence@tc.gc.ca (Fax) 902 426 6657
If further assistance is needed, contact GMS at info@chgms.com

CAN-E4 CANADIAN OIL SPILL RESPONSE ORGANIZATION
Does the vessel have a contract with a Canadian Response Organization and a
“Declaration for a ship that is in waters south of the sixtieth (60th) parallel of north
latitude”?
Eastern Canada (including Great Lakes) requires a contract with Eastern Canada
Response Corporation. http://www.ecrc.ca/en/
CAN-E5 BALLAST WATER MANAGEMENT REPORT
Ships proceeding to ports on the East Coast, in Quebec or in Ontario (Great Lakes
Basin) must send appropriate ballast water report form via any of the following
methods:
· Email to: atlanticballastwater@tc.gc.ca
· FAX to Marine Communication and Traffic Services of the Eastern Canada Vessel
Traffic Services Zone (ECAREG): +1 902 426 6657
The BWM Reporting form (Schedule 5) for East Coast ports can be downloaded at:
· http://wwwapps.tc.gc.ca/Corp-Serv-Gen/5/forms-formulaires/download/85-
0512A_BO_PX (20 Tanks)
0512B_BO_PX (30 Tanks)
0512C_BO_PX (50 Tanks)
Instructions for the form are available at: https://www.tc.gc.ca/eng/marinesafety/tp-
tp13617-schedule7-335.htm
CAN-E6 OIL WATER SEPARATOR USE WITHIN INLAND WATERS
If intending to use an Oil Water Separator within Canadian Inland waters, do
discharges meet 5 ppm standard for the Oil Content Meter?
NOTE: Inland waters are defined as: All rivers, lakes, and other navigable fresh waters
within Canada (including Great Lakes); includes St. Lawrence River as far seaward as
straight line drawn: (1) from Cap des Rosiers to West Point Anticosti Island, and (2) from
Anticosti Island to north shore of St. Lawrence River along meridian of longitude 63 degrees
west.
P a g e | 52
GMS
ITEM
CAN-E7 SEASONAL SPEED RESTRICTION IN THE GULF OF ST. LAWRENCE-RIGHT WHALES
Will the voyage take the ship into a mandatory seasonal speed restriction zone of the
Gulf of St. Lawrence?
Due to the changing migratory habits of the North Atlantic right whale and their
increased presence in the Gulf of St. Lawrence Canada has put in place seasonal
speed restrictions in a specified zone. The speed restriction areas are available via
radio broadcast, and published on line at Canada's Maritime Information Portal and
its Navigational Warnings site, and in the monthly Canadian Notice to Mariners
(NOTMAR) at: https://www.notmar.gc.ca/index-en.php .
Further details can be found at the following link:

http://www.tc.gc.ca/media/documents/marinesafety/SSB-07-2019E.pdf
Items CAN-E8 through CAN-E11 apply only to vessels that will be transiting into the St. Lawrence
Seaway upstream from Montreal. For example, into the Great Lakes.
CAN-E8 US COFR FOR INNOCENT PASSAGE ENROUTE CANADIAN PORTS
For ships on innocent passage of St. Lawrence Seaway enroute Canadian ports, does
the ship have a valid Federal Certificate of Financial Responsibility (COFR)?
CAN-E9 GREAT LAKES BALLAST WATER MANAGEMENT REPORTING
If transiting into the Great Lakes, have ballast water reporting requirements of GL-5
of this checklist been completed in addition to CAN-E5?
CAN-E10 NTVRP APPROVAL FOR USCG SECTOR BUFFALO
If transiting the waters of the Saint Lawrence Seaway going to or from a Canadian or
US port, does your NTVRP Approval Letter have the USCG Sector Buffalo
endorsement?
If not, please contact GMS at info@chgms.com
CAN-E11 PUBLICATIONS
For ships entering the St. Lawrence Seaway after operating beyond the EEZ, does the
ship have a copy of the following?
· Seaway Handbook: Joint Practices & Procedures
· Canada’s Ballast Water Control and Management Regulations
· TP 13617E A Guide to Canada’s Ballast Water Control and Management
Regulations, and
· The Shipping Federation Code of Best Practices for Ballast Water Management
P a g e | 53
Western Canada
GMS
WESTERN CANADA – QUESTIONS Y N
ITEM
CAN-W1 Have you completed the Canada (ALL) checklist items of this document?
CAN-W2 96-HOUR PRE-ARRIVAL INFORMATION REPORT (PAIR)
Has the vessel made a 96- hour Pre-Arrival Information Report or “PAIR”?
(West Coast) at: marsecw@tc.gc.ca
· MARSEC West can be contacted at +1 250-363-4850
CAN-W3 NORTH AMERICAN EMISSION CONTROL AREA (NA-ECA)
Is the ship compliant with the North American Emission Control Area (NA-ECA)?
(Refer to USCG-14 for details)
If a ship is bound for a Canadian Port and does not have compliant fuel aboard, a
“Fuel Oil Non-Availability Report” must be filed with Transport Canada. Information,
instructions, and a link to the reporting form can be found at:
http://www.tc.gc.ca/eng/marinesafety/bulletins-2013-04-eng.htm . The form must
be signed by the vessel master and should be submitted at least 24 hours in advance
of arrival to the NA-ECA zone.
For Western Canada, submit report to:

Offshore@rmic.gc.ca (Fax) 1 604 666 9177
If further assistance is needed, contact GMS at info@chgms.com.

CAN-W4 ADVANCE NOTICE OF CO-OPERATIVE VESSEL TRAFFIC SERVICES (CVTS)
For voyages to the Strait of Juan de Fuca region, has the vessel (500+ GRT) filed an
advance arrival report with the Co-operative Vessel Traffic Services (CVTS) 24 hours
prior to entering Canadian waters?
Participation with Prince Rupert, Seattle and Victoria Traffic is mandatory within
Canadian and United States territorial waters. The CVTS Area of Operation is defined
as 124°40W south along the Washington coast to 48°00N then west to 125°15W and
north to 48°35’45”N. Inbound vessels are to check in with Prince Rupert Traffic on
VHF Channel 74 (156.725 MHz) at either 48°00N or 125°15W prior to entering the
traffic separation scheme. An information service such as a vessel’s identity,
destination, or other information obtained through the VTS reports and sensors, is
available upon request outside of the VTS zone.
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GMS
ITEM
CAN-W5 CANADIAN OIL SPILL RESPONSE ORGANIZATION
Does the vessel have a contract with a Canadian Response Organization and a
“Declaration for a ship that is in waters south of the sixtieth (60th) parallel of north
latitude”?
Western Canada requires a contract with Western Canada Marine Response
Corporation/Burrard Clean Operations. Please note that a vessel must have a full
style Canadian Agreement when calling any Western Canadian port.
If further assistance is needed, contact GMS at info@chgms.com.
CAN-W6 STRAIT OF JUAN DE FUCA RECIPROCAL RESPONSE AGREEMENT
Do you have a current Reciprocal Response Agreement with either National
Response Corporation OR Washington State Maritime Cooperative?
Required contract for vessels destined for a Canadian port along the Strait of Juan De
Fuca/Puget Sound NOT CALLING THE U.S.
If no, please contact GMS for assistance: info@chgms.com .
CAN-W7 US COFR FOR INNOCENT PASSAGE ENROUTE CANADIAN PORTS VIA STRAIT OF
JUAN DE FUCA
For ships on innocent passage of the Strait of Juan De Fuca, enroute Canadian ports,
does the ship have a valid Federal Certificate of Financial Responsibility (COFR)?
CAN-W8 BALLAST WATER MANAGEMENT REPORT
Ships proceeding to ports on the West Coast must send appropriate ballast water
report form via any of the following methods:
· Email to: pacballastwater@tc.gc.ca
· FAX to Marine Communication and Traffic Services Centre, Regional Marine
Information Centre: +1 604 666 8453
The BWM Reporting form (Schedule 5) for West Coast ports can be downloaded at:
CAN-W9 IMO AREAS TO BE AVOIDED: ALEUTIAN ISLANDS
Vessels 400 GT or more transiting the Aleutian Islands must adhere to the IMO
“Areas to Be Avoided in the Region of the Aleutian Island Archipelago” as published
in SN.1/Circ.331. See linked Areas to Be Avoided - Aleutian Islands- with Diagram for
coordinates.
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GMS
ITEM
CAN-W10 PORT OF VANCOUVER BLACK AND GREY WATER
If calling the Port of Vancouver, have you made arrangements to retain all black and
grey water while in the port?
Per local regulations, discharge of untreated sewage and any/all grey water by any
vessel with more than 15 passengers or over 400 tons, is not permitted within the
Port of Vancouver unless an overview of the Transport Canada approved waste water
treatment plant is provided to the port authority and accepted
In extreme circumstances, permission may be granted for discharge of grey water
into the environment provided it is deemed by the port authority not harmful to do
so. A test for harmful substances/bacteria must be completed prior to any discharge.
Contact the Port of Vancouver Operations Centre if discharge is needed.
It is recommended to empty any holding tanks for grey water and sewage (treated or
untreated) prior to entry to maximize the volume for retention while in port.
Further information can be found in section 14.5 of the Port of Vancouver Port
Information Guide:
https://www.portvancouver.com/wp-content/uploads/2019/02/2019-02-05-PORT-
INFORMATION-GUIDE-FINAL.pdf
NOTE: Technically, the waters off the Port of Vancouver are classified as “Section II”
waters, and comminuted and treated/disinfected sewage may be discharged at least
3 NM from land. Ref: Vessel Pollution and Dangerous Chemicals Regulations, Sections
1 (Definitions) and 96. For further, see: https://laws-
lois.justice.gc.ca/eng/regulations/SOR-2012-69/page-1.html
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Canadian Arctic
GMS
CANADIAN ARCTIC (NORTH OF 60O LATITUDE) – QUESTIONS Y N
ITEM
CAN-A1 Have you completed the Canada (ALL) items of this document?
CAN-A2 96-HOUR PRE-ARRIVAL INFORMATION REPORT (PAIR)
Has the vessel made a 96- hour Pre-Arrival Information Report or “PAIR”?
(East Coast) at: marsece@tc.gc.ca
· MARSEC East can be contacted at +1 902 427 8003
CAN-A3 OIL SPILL RESPONSE: CANADIAN COAST GUARD
There are no requirements to have a contract with a Response Organization for those
vessels operating north of 60° N in Canada as the Canadian Coast Guard provides the
response resources in that area.
CAN-A4 BALLAST WATER MANAGEMENT REPORT
Ships proceeding to ports North of 60 degrees North Latitude must send appropriate
ballast water report form to:
· Email to: atlanticballastwater@tc.gc.ca
The BWM Reporting form (Schedule 5) for Artic ports can be downloaded at:
CAN-A5 POLAR CODE COMPLIANCE
If operating in Canadian waters above 60oLatitude, is the vessel compliant with the
Polar Code?
· The International Code for Ships Operating in Polar Waters (Polar Code) entered
into force 01 January 2017. Vessels operating in Canadian waters above 60o
Latitude are required to comply with the Code, including possession of a Polar
Code Certificate for ships constructed on/after 01 January 2017, or at the 1st
intermediate or renewal survey for vessel constructed before 01 January 2017.
· The Polar Code may be downloaded from:
http://www.imo.org/en/MediaCentre/HotTopics/polar/Documents/POLAR%20CO
DE%20TEXT%20AS%20ADOPTED.pdf
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Honduras
GMS
HONDURAS – QUESTIONS Y N
ITEM
HON-1 OIL SPILL REMOVAL ORGANIZATION (OSRO)
Have you arranged for OSRO coverage for your Honduras port call?
Ships calling Honduras are required to nominate an OSRO approved by the Honduras
Maritime Authority to secure availability of personnel and equipment that could
remove a worst-case discharge, and to mitigate or prevent a substantial threat of
such discharge. One such OSRO currently exists, Ocean Pollution Control (OPC) S.A.
Honduras. The following should be arranged through your agent at least 24 hours
prior to arrival:
1. Provide evidence of insurance coverage (an IG Club Certificate of Entry is
sufficient)
2. Arrange a “stand-by” marine pollution contract with OPC.
Panama
Toll-paying vessels (400+MT of oil as fuel or cargo capacity) that transit the Panama Canal:
In the event of an Oil Spill in Panamanian waters and/or when the Panama Canal Authority (ACP)
orders an exercise you must first notify the Panama Canal Authority at the following numbers:
Initial Notification to Panama Canal Authority (ACP) via:
Telephone: +507 272 4201
Alternate Telephone: +507 272 4202
Fax: +507 272 3976
Notify the GMS Panama Authorized Person (AP) via:

Daytime Telephone +507 314 4315 1300-2200 (UTC) Monday - Friday
24-Hour Telephone +507 6612 1170 After Hours & if no answer on Daytime
Backup Telephone (GMS) +1 703 683 4700
Fax: + 507 211 2280
GMS
PANAMA – QUESTIONS Y N
ITEM
PAN-1 ARRIVAL NOTICE
Have you submitted your arrival notice to the Panama Canal Authority (ACP) at least
96-hours in advance of arrival?
NOTE: Prior to submitting notice of arrival, recommend review of OP Notices to Shipping N-
1-2019 and N-3-2019, available at: http://www.acp.gob.pa/eng/op/notices/index.html .
PAN-2 FORM 1746: BLIND DISTANCE DECLARATION
Have you submitted Form 1746 (Blind Distance Declaration) no less than 48 hours
prior to arrival?
Note: Form is available on ACP website: http://www.acp.gob.pa/eng/op/forms.html .
PAN-3 PANAMA CANAL SOPEP
Does vessel have onboard the Panama Canal SOPEP (PCSOPEP)?
If PCSOPEP needed, contact GMS immediately at info@chgms.com .
NOTE: See also OP Notice to Shipping N-12-2019, available at:
http://www.acp.gob.pa/eng/op/notices/index.html .
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GMS
PANAMA – QUESTIONS Y N
ITEM
PAN-4 GMS PCSOPEP PRE-ARRIVAL CHECKLIST
Has vessel completed Pre-Arrival Checklist located in your GMS-developed PCSOPEP
within 12 hours of arrival to the Panama Canal?
PAN-5 PCSOPEP NOTICE OF ACKNOWLEDGEMENT
Does vessel have onboard the ACP-issued PCSOPEP Notice of Acknowledgement
(Approval Letter)?
NOTE: The NOA is valid for a period of four years AFTER the date of issue.
PAN-6 AUTHORIZED PERSON NOTIFICATION EXERCISE
Has vessel conducted “Authorized Person (AP) Notification Exercise”?
If “no”, call the GMS AP listed above to conduct the exercise.
NOTE1: Do NOT call the Panama Canal Authority (ACP) for an AP Notification Exercise.
NOTE2: Vessels with PCSOPEPs must conduct the drill at least once every six months no
matter where in the world the ship is located, with the results recorded in the log book.
PAN-7 COMPLIANT (LOW-SULFUR) FUEL
Is the ship operating on compliant fuel prior to entering Panama Canal Authority
waters?
NOTE1: See Panama Canal OP Notice to Shipping N-1-2019, Section 31 for information.
NOTE2: Light fuel utilized shall have a minimum flash point of 60oC.
PAN-8 OPERATIONAL EQUIPMENT TESTS
Have all Panama Canal Authority required operational equipment tests been
completed at least 2 hours prior to pilot boarding time?
NOTE: See OP Notice to Shipping N-10-2019 for details.
P a g e | 59
Liquefied Gas Carrier USCG Requirements

GMS
LIQUIFIED GAS CARRIER – QUESTIONS Y N
ITEM
GAS-1 SUBCHAPTER O ENDORSEMENT
Has your company submitted an application for Subchapter O Endorsement (SOE) to
the USCG Marine Safety Center (MSC)?
· Foreign-flagged Liquefied Gas Carriers must hold a valid IMO Certificate of Fitness
and be examined for, and receive, an Endorsed Certificate of Compliance (COC).
Prior to scheduling a COC Exam, the vessel owners must apply for a SOE.
· A SOE Checklist may be obtained by downloading from the USCG Marine Safety
Center website: Subchapter O Endorsement (SOE)
· The initial SOE application must contain:
– A valid copy of the vessel's IMO Certificate of Fitness for Carriage of
Liquefied Gases in Bulk and all Addendums
– A description of the vessel (vessel particulars)
– A general arrangement plan of the vessel
– Specifications for the cargo containment system
– A mid-ship section plan of the vessel
– Firefighting and Safety Plans
– Schematic of the liquid and vapor cargo piping
– Classification Society certification for ethylene oxide carriage
– Classification Society certification for steel and cargo temperature control (per
154.170)
– SOLAS Safety Construction and Safety Equipment Certificates
If the vessel has been issued a Certificate of Compliance within the previous 10 years, only
the IMO Certificate of Fitness and all Addendums are required to update the SOE.
SOE applications may be submitted via mail, courier, fax or email to:
Commanding Officer (MSC-3)

US Coast Guard Stop 7430
2703 Martin Luther King Jr. Ave SE
Washington, DC 20593-7430
Phone: (202) 795-6731

Email: msc@uscg.mil
GAS-2 CERTIFICATE OF COMPLIANCE (COC) EXAMINATION
If your vessel does not have a current USCG COC, or your COC is due for annual or
renewal examination, have you scheduled a COC Examination with the USCG at least
seven (7) days in advance?
· If not, contact the USCG office for the port you plan to have the examination.
Your local agent can help with the process.
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GMS
LIQUIFIED GAS CARRIER – QUESTIONS Y N
ITEM
GAS-3 GAS CARRIER REQUIREMENTS
Do you have, and is your ship prepared for USCG examination?
· The USCG Foreign Gas Carrier Examiner Tactics, Techniques, & Procedures may be
downloaded from the GMS website:
http://www.gallaghermarine.com/resources/additional-resources-for-cargo-
operators/
Chemical Carrier USCG Requirements

GMS
CHEMICAL CARRIER – QUESTIONS Y N
ITEM
CHEM-1 CERTIFICATE OF COMPLIANCE (COC) EXAMINATION
If your vessel does not have a current USCG COC, or your COC is due for annual or
renewal examination, have you scheduled a COC Examination with the USCG at least
seven (7) days in advance?
· If not, contact the USCG office for the port you plan to have the examination.
Your local agent can help with the process.
CHEM-2 CHEMICAL TANK VESSEL INFORMATION SHEET (CTVIS)
Have you reviewed the USCG Marine Safety Center CTVIS and ensured the vessel is
compliant with the contents?
· The CTVIS may be obtained by downloading from the USCG Homeport website,
path: USCG Homeport > Missions>Vessel Standards>Marine Safety Center>
Services > Subchapter O Endorsement, then selecting “CTVIS” attachment on right
of screen.
CHEM-3 REPORTING OF MARINE CASUALTY
In addition to the reporting requirements of item USCG-20, if any of the below
occurred within the US EEZ, have you made a report to the nearest USCG COTP?
· Discharge of NLS residue in excess of conditions in 46 CFR 153.1126 or 46 CFR
153.1128.
· Material damage affecting seaworthiness or efficiency of the vessel
· Occurrence involving significant harm to the environment as result of discharge, or
probable discharge resulting from damage to the ship or its equipment. Factors to
consider include, but are not limited to: ship location and proximity to land/other
navigational hazards, weather, tide/current, sea state, traffic density, nature of
damage to the vessel, and failure/breakdown aboard the vessel, its machinery, or
equipment.
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GMS
CHEMICAL CARRIER – QUESTIONS Y N
ITEM
CHEM-4 CARGO & BUNKER EQUIPMENT TESTS & INSPECTIONS
If intending to transfer oil (bunkers) or liquid hazardous material (not including
liquefied gases) have the tests and inspections required as per 33 CFR 156.170 been
conducted for non-metallic transfer hoses, transfer system relief valves, pressure
gauges, transfer piping, and vapor control system equipment as applicable?
NOTE1: Each transfer pipe system should be tested as per 33 CFR 156.170, under static
liquid (not air) pressure at least 1.5 times the maximum allowable working pressure
(MAWP) on an annual, biannual, or 5-year basis. Maintain accurate records of the tests
aboard the vessel and mark pipelines/hoses with MAWP and date of last test.
NOTE2: For in-service annual piping system test, alternative liquid test pressures at least
100% MAWP may be used provided 150% MAWP test is conducted at least twice in any 5-
year period.
CHEM-5 CARGO & BUNKER TRANSFER PROCEDURES
If intending to transfer oil (bunkers), liquid hazardous material, or liquefied gas
cargoes listed in Table 4 of 46 CFR 154, are transfer procedures written in accordance
with 33 CFR 155.750 available and permanently posted or available at a place where
the procedures can be easily seen and used by members of the crew when engaged
in transfer operations?
NOTE: In addition, ensure transfers are conducted in accordance with the operational
requirements of 33 CFR 156, including the declaration of inspection (DOI).
CHEM-6 CARGO TRANSFER WARNING SIGNS
Prior to transferring cargo at a dock or at anchor, have warning signs in accordance
with 46 CFR 153.955 been displayed?
P a g e | 62
List of Acronyms
ACRONYMS
ACP Area Contingency Plan OR Panama Canal Authority
AK Alaska
AMPD Average Most Probable Discharge
AMPRN Alaska Marine Prevention and Response Network aka “NETWORK”
AP Panama Authorized Person (listed in PCSOPEP)
APC Alternate Planning Criteria
BWM Ballast Water Management
CFR Code of Federal Regulations
COC/TVE Certificate of Compliance/Tank Vessel Exam
COFR Certificate of Financial Responsibility
COTP USCG Captain of the Port
eNOA/D Electronic Notice of Arrival and Departure
EEZ Exclusive Economic Zone (200 NM)
EPA Environmental Protection Agency
ERTV Emergency Response Towing Vessel
ISSC International Ship Security Certificate
MFSA Maritime Fire & Safety Association (OSRO)
MSD USCG Marine Safety Detachment
MSRC OSRO “Marine Spill Response Corporation”
NA-ECA North American Emission Control Area
NARCO OSRO “National Response Corporation”
NBIC National Ballast Water Information Clearing House
NDZ No Discharge Zone
NPDES National Pollution Discharge Elimination System
NM Nautical Mile
NTVRP Nontank Vessel Response Plan
NVMC National Vessel Movement Center
OWS/OCM Oily Water Separator/Oil Content Monitor
OSRO Oil Spill Removal Organization
PCSOPEP Panama Canal SOPEP
PCR Pacific Coast Region - All coastal waters (within 200 NM of land) on the Pacific Coast of North America
east of 154 degrees W longitude and north of 25 degrees N latitude, excluding the Gulf of California.
TGLO Texas General Land Office
U.S. United States
USCG U.S. Coast Guard
VGP Vessel General Permit
VRP Vessel Response Plan
WCMRC Western Canada Marine Response Corporation/Burrard Clean Operations
WSMC Washington State Maritime Cooperative (OSRO)
P a g e | 63
USCG Sector / COTP Zones

USCG Sector / COTP Zone boundaries are defined in 33 CFR Part 3
April 2019 - NONTANK

Non-Tank Vessel Arrivals Checklist: Gallagher Marine Systems

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GALLAGHER MARINE SYSTEMS

In the event of a SPILL INCIDENT, THREAT of Spill, Grounding,

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The checklist is not an exhaustive presentation of all applicable laws and

Please email questions to your management or info@chgms.com.

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U.S. Federal Requirements

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NOTE3: More information on ACE can be found at

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USCG-15 BALLAST WATER AND BIOFOULING MANAGEMENT METHODS

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Particular attention should be made to MARPOL Annex V, Regulations 6, 7, and

See MARPOL VI and MEPC.278(70) for further information.

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U.S. States & Territories

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Contact GMS at info@chgms.com for any further questions.

NOTE2: As of 01 August 2017, the procedures for obtaining a “Temporary Experimental or

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California Shoreline Protection Standards:

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U.S. Great Lakes (General)

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Guam & Saipan

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Points of Contact are:

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Oregon (Including Columbia River & its Tributaries)

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Pago Pago (American Samoa)

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Puerto Rico & U.S. Virgin Islands

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It is recommended that all tanks designated for storage of treated or untreated