03 HMMS US Compliance Guide and Checklists (V1 2018-03)

A DIVISION OF
U.S. PORTS ARRIVAL

GUIDANCE AND CHECKLISTS
Applicable to all Vessels Types
Purpose
Guidance document to provide initial requirements for vessel operations in U.S. waters and
arrivals at port. Includes Checklists and Forms and web links to regulatory cites.
Version: V1: 3-2018
Address:
Ferry Terminal Building
2 Aquarium Drive
Suite 300
Camden, NJ 08097
24/7 Telephone: +1 856-342-7500
Non-emergency Email: technical@hudsonmarine.com
Web site: www.Hudsonanalytix.com
Contents
1. SUMMARY OF U.S. ARRIVAL REQUIREMENTS AND PREPARATIONS ......................................................................... 4
1.A. REQUIRED CERTIFICATES ................................................................................................................................... 4
1.B. REQUIRED GUIDANCE MANUALS ........................................................................................................................ 4
1.C. PRE-ARRIVAL ITEMS ......................................................................................................................................... 5
1.c.i. Approved Vessel Response Plan ................................................................................................................................... 5
1.c.ii. Port State Control Examination ..................................................................................................................................... 5
1.c.iii. Electronic Notice of Arrival ................................................................................................................................... 5
1.c.iv. Automated Commercial Environment (formerly AMS) ...................................................................................... 6
1.c.v. Onboard Emergency Procedures Exercise (OEPE) ....................................................................................................... 6
1.c.vi. Qualified Individual (QI) Notification Exercise .................................................................................................... 7
1.c.vii. Remote Assessment and Consultation Exercise (RAC or RACE) ........................................................................ 7
1.c.viii. AMPD Coverage..................................................................................................................................................... 7
1.c.ix. Ballast Water Management and Reporting......................................................................................................... 7
1.c.x. Vessel General Permit (VGP) Routine inspections ....................................................................................................... 7
1.c.xi. Required Arrivals Equipment Tests 33 CFR 164.25(a) ........................................................................................ 8
2. U.S. REPORTING REQUIREMENTS / PRE-ARRIVAL PREPARATION ITEMS .................................................................. 9
2.A. ENOA/D SUBMISSION (ELECTRONIC NOTICE OF ARRIVAL/DEPARTURE) ................................................................ 9
2.B. AUTOMATED COMMERCIAL ENVIRONMENT (ACE) ................................................................................................ 9
2.C. SCAC CODE .................................................................................................................................................. 10
2.D. INTERNATIONAL CARRIER BOND (ICB)............................................................................................................... 10
2.E. BALLAST WATER REPORTING ........................................................................................................................... 10
2.F. REQUIRED PLANS/DOCUMENTATION ONBOARD ................................................................................................. 10
2.G. REQUIRED ARRIVALS EQUIPMENT TESTS 33 CFR 164.25(A) ................................................................................ 11
3. U.S. STATE REQUIREMENTS ....................................................................................................................................12
3.A. ALASKA (AK)................................................................................................................................................. 12
3.B. CONNECTICUT ............................................................................................................................................... 12
3.C. CALIFORNIA .................................................................................................................................................. 13
3.D. WASHINGTON ............................................................................................................................................... 14
3.E. GUAM ......................................................................................................................................................... 16
3.F. SAIPAN ........................................................................................................................................................ 16
3.G. HAWAII ........................................................................................................................................................ 16
3.H. AMERICAN SAMOA ........................................................................................................................................ 16
3.I. LOUISIANA .................................................................................................................................................... 17
3.J. MAINE ......................................................................................................................................................... 17
3.K. MICHIGAN .................................................................................................................................................... 17
3.L. NEW HAMPSHIRE .......................................................................................................................................... 17
3.M. NEW YORK ................................................................................................................................................... 18
3.N. GREAT LAKES ................................................................................................................................................ 18
3.O. OREGON ...................................................................................................................................................... 19
3.P. RHODE ISLAND .............................................................................................................................................. 20
3.Q. TEXAS .......................................................................................................................................................... 20
3.R. VIRGINIA ...................................................................................................................................................... 20
U.S. Ports Arrival Guidance and Checklists

Version: V1.3-2018 Page 1 of 30
Version Date: 2018-10-02
4. VESSEL POSITION NOTIFICATION REPORTING FORM ..............................................................................................21
5. QI NOTIFICATION/OEPE NOTIFICATION ..................................................................................................................22
6. CALIFORNIA UNANNOUNCED EXERCISE MASTER’S ACTIONS ..................................................................................23
7. BRIDGE PLACARD ....................................................................................................................................................25
8. MFSA PRE-ARRIVAL NOTICE FORM – COLUMBIA RIVER ARRIVALS ..........................................................................27
9. VESSEL SECURITY (ISPS) ..........................................................................................................................................28
10. PRE-USA ARRIVAL DOCUMENT, CERTIFICATE, AND LOG AUDIT/CHECKLIST ........................................................30
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Disclaimer
This document is solely intended as a regulatory aid to officers and crew entering U.S. waters. This is not a legal document and does not
replace or supersede documents required to be onboard as per U.S. law. This does not replace guidance given by the vessel Master or
Owner/Operator. Any questions or comments regarding this document are to be sent to technical@hudsonmarine.com

1. Record of Change
Rev. Number Rev. Date Revision Summary
V1.2-2018 9/12/2018
V1.3-2018 10/02/2018 1. Updated Record of Change,

2. Update Section 2.c.vii. Remote Assessment and Consultation Exercise (RAC or
RACE)reflecting change in RAC Drill frequency as per 2016.1 PREP
3. Updated Oregon Ballast Water Management Section

2. SUMMARY OF U.S. ARRIVAL Requirements and Preparations
Guide for Masters Entering US Waters
NOTE: This list is not exhaustive. Additional requirements may apply depending on the specific Captain of the Port
(COTP) Zone. The vessel is recommended to review local requirements with the nominated local agent as well.
2.a. Required Certificates
 SOLAS Cargo Ship Safety Radio Certificate
 Certificate of Fitness
 ISM – Safety Management Certificate
 SOLAS Cargo Ship Safety Equipment Certificate
 International Load Line Certificate
 Classification Document
 ISM – Document of Compliance
 Minimum Safe Manning Document
 International Tonnage Certificate
 IOPP – International Oil Pollution Prevention Certificate
 Crew list and all crew licenses and certification
 Vessel General Permit, Electronic Notice of Intent to Discharge (eNoI)
 U.S. Certificate of Financial Responsibility (COFR)
 (If applicable) State of California Certificate of Financial Responsibility (CA COFR)
 International Ship Security Certificate (ISSC)
2.b. Required Guidance Manuals
 U.S. Vessel Response Plan (VRP) or NT VRP
 Shipboard Emergency Oil Pollution Emergency Plan (SOPEP) or
 Shipboard Marine Pollution Emergency Plan (SMPEP) as applicable
 Ship Security Plan (SSP)
 Ballast Water Management Plan (BWMP)
 Fire Safety Plan
 Garbage Management Plan
 Ship-to-Ship Transfer Plan (tanker cargo transfers only)
 U.S. Vessel General Permit Manual
 Cargo Securing Manual
 Lifesaving Training Manual
 Firefighting Equipment Maintenance and Operations Manual
 Crude Oil Wash (COW) Operation Manual (tankers)
 Inert Gas System (IGS) Operations Manual (tankers)
 Cargo Operations Manual
 Procedures and Arrangement Manual

2.c. Pre-Arrival Items
2.c.i.Approved Vessel Response Plan
All vessels 400 GT and above operating in U.S. waters are required to have an approved Vessel Response Plan
with authorization for each U.S. Captain of the Port zone in which the vessel will be operating. Operating which
includes transiting enroute to or from a U.S. port.
EXAMPLE: If your vessel is passing within 200 nm of Hawaii while enroute to a U.S. port on the mainland, the
vessel must have authorization to operate within the Honolulu Captain of the Port zone on the Vessel Response
Plan approval letter from the USCG. If your vessel is to be operating in a Captain of the Port Zone which is not
included on the VRP approval letter please contact Hudson Marine Management Services.
2.c.i.(01) Alternative Planning Criteria (APC) for Remote Areas
Some areas are considered remote areas which do not have available the required response resources to meet
the requirements of U.S. regulations. In order for the protection of the environment the USCG has established
Alternative Planning Criteria which couples the available resources with operational requirements in order to
establish the best possible protection for the particular remote area. Currently the following areas have APCs:
 Western Alaska – Vessels transiting through the Aleutian Islands enroute to or from a US port is
required to have an APC in place before the entry into the subject area.
 Guam – contract for local clean up contractor required for authorized operations
 Saipan - contract for local clean up contractor required for authorized operations
 American Samoa - contract for local clean up contractor required for authorized operations
If your vessel is calling or transiting through any of the areas listed above, or any areas where you have concerns
about compliance, please contact Hudson Marine Management Services so that we can ensure compliance is
obtained prior to vessel operations in those areas.
2.c.ii.Port State Control Examination
If your vessel is scheduled for a U.S. Coast Guard Port State Control (PSC) and/or Certificate of Compliance (CoC)
Exam (tankers), a Hudson Representative can be arranged (normally arranged through your company
representative) to attend the vessel, prior to the exam, if timing allows, to perform a pre-exam walk through and
will also facilitate communications with the U.S. Coast Guard on the vessel’s behalf during an Exam. If your vessel
is calling U.S. for the first time or your vessel is due U.S. Coast Guard Exam, or are interested in having Hudson
attend your vessel for a compliance check, please contact HMMS at technical@hudsonmarine.com. You can also
request Hudson’s Annual USCG exam guidance document at the same email address.
2.c.iii.Electronic Notice of Arrival
96 hours prior to arrival and ongoing - Electronic Notice of Arrival Submission - Submit an advanced notice of arrival
in accordance with the filing timeline based on the particular voyage circumstances. The eNOA must be submitted
a minimum of 96 hours prior to arrival at the vessel's first place of anchor or mooring. This notice must be updated
whenever the voyage times change +/- 6 hours or information changes. For additional guidance, please visit
http://www.nvmc.uscg.gov/NVMC/default.aspx or contact Hudson Marine for information on our eNOA/D services
at reporting@hudsonmarine.com.

Voyage Duration eNOA/D Reporting time requirement
Submit eNOA at least 96 hours before entering the port or place of destination in
>96Hours
U.S Waters.
Submit eNOA at least 24 hours before entering the port or place of destination in
< 96 hours.
U.S. Waters
As soon as practicable but at least 12 hours before entering the port or place of
<24 Hours.
destination.
When voyages are over 24 hours, then the eNOA will be submitted at least 24
US to US Voyage hours in advance. If the voyage is less than 24 hours. Then it’s suggested to
submit at 12 hours prior to arrival or, as soon as practical.
It is strongly recommended to file all eNOD at least 2 hours prior to leaving any
Departure US to Foreign
U.S. Port.
2.c.iv.Automated Commercial Environment (formerly AMS)
Note: this may not be applicable to your vessel based on the commercial arrangements between vessel Owner/Operator and
charter or other entity. Verify with your office if ACE is applicable in your particular case.
(Formerly AMS – Automated manifest System) – If your vessel is carrying cargo onboard upon arrival at US port you are required
to file ACE with US Customs based on cargo type as per submission requirements below:
Type of Cargo Qualifier / Voyage Time Time of receipt by Customs in AMS
Containerized NONE 24 hours. prior to loading

Break Bulk (non-exempt) NONE 24 hours. prior to loading
Bulk cargo > 24 hours. 24 hours. prior to arrival
Bulk cargo < 24 hours. Time of sailing
Break Bulk (exempt) > 24 hours. 24 hours. prior to arrival
Break Bulk (exempt) < 24 hours. Time of sailing
Spare Parts/Shipboard Machinery < 24 hours 24 hours. prior to arrival
Additionally, in order to file ACE with U.S. Customs a SCAC Code (Standard Carrier Alpha Code) must be in place
as well as an International carrier Bond (ICB)
If required you can contact Hudson Marine Management services for assistance in this matter at
ams@hudsonmarine.com.
2.c.v.Onboard Emergency Procedures Exercise (OEPE)
Quarterly - Onboard Emergency Procedures Exercise (OEPE) - Conduct an OEPE (template form attached) every
quarter as per the VRP and send a copy of the completed form to reporting@hudsonmarine.com. Please refer to
the VRP or contact reporting@hudsonmarine.com for additional guidance.

2.c.vi.Qualified Individual (QI) Notification Exercise
Quarterly, while operating in U.S. waters - Qualified Individual (QI) Notification Exercise - Conduct a QI Notification
drill (template form attached) once per quarter while operating in U.S. waters by contacting Hudson Marine. It is
permissible to conduct this exercise by telephone (preferred, at 1-856-342-7500), fax or email. Please refer to the
VRP or contact reporting@hudsonmarine.com for additional guidance.
Upon entering the U.S. EEZ (200 nm from U.S. shore) - HMMS Vessel Position Report - Submit a VPR (template form
attached) to reporting@hudsonmarine.com. This submission allows HMMS to track the vessels position and
voyage itinerary in the event that an incident occurs in U.S. waters.
2.c.vii.Remote Assessment and Consultation Exercise (RAC or RACE)
2016.1 PREP Guidelines require vessels operating in U.S. waters to carry out a Remote Assessment and
Consultation (RAC or RACE) Exercise. These drills are to be conducted by one (1) vessel within a fleet of vessels
once every three calendar years if any vessels in the fleet operate in U.S. waters. This drill is a test between the
vessel and the contracted Salvage and Marine Firefighting (SMFF) Service provider as referenced in your U.S.
Vessel Response Plan. Your individual SMFF provider should have provided guidance on their particular
procedures in carrying out this exercise. You can always notify your Qualified Individual to initiate this drill but
please review the guidance from the service provider first. We further recommend that Vessel Master check with
their companies as to when the required RAC drill is to be conducted.
2.c.viii.AMPD Coverage
Twenty-four (24) hours prior to lightering cargo (for tank vessels) - Arrange AMPD Coverage - Average Most Probable
Discharge (AMPD) coverage is required for most instances of ship-to-ship transfer of cargo. AMPD coverage is
provided by your Oil Spill Removal Organization (OSRO). If you would like assistance arranging AMPD coverage,
contact HMMS at technical@hudsonmarine.com and hudsonhellas@hudsonmarine.com. Non tank vessels taking
on bunkers need not arrange AMPD coverage.
2.c.ix.Ballast Water Management and Reporting
Prior to entering a U.S. port - Ballast water treatment or exchange and reporting – Based on your vessel’s current
compliance status for ballast related issues, ensure that ballast water onboard is treated or exchanged per your
compliance status and U.S. ballast water as requirements. Also, make the applicable reporting to the National
Ballast Information Clearinghouse (NBIC). Also see 2.e Ballast Water Reporting on page 10 of this guidance
document.
2.c.x.Vessel General Permit (VGP) Routine inspections
One (1) week prior to arrival and ongoing - Vessel General Permit (VGP) Routine inspections - Conduct routine
inspections to ensure compliance with the U.S. Vessel General Permit. Routine inspections are to be carried out
one (1) week prior to entering U.S. waters and continue weekly while in U.S. waters or whenever the ship changes
port. If vessel Owners/Operators engage in multiple voyages per day, they need not conduct inspections on every
voyage, but must conduct inspections at least once per day. Records of routine inspections should be
documented.
At referenced frequency - VGP Annual & Dry-Dock inspections - Conduct other scheduled inspections to ensure
compliance with the VGP. Annual and dry-dock inspections are to be carried out at their respective intervals and
recorded.

2.c.xi.Required Arrivals Equipment Tests 33 CFR 164.25(a)
Vessel operating or to be operating must conduct tests at least 12 hours prior to entering into or getting under
way on the navigable waters of the U.S. The following are the above referenced regulations.
33 CFR 164.25
Except as provided in paragraphs (b) and (c) of this section no person may cause a
vessel to enter into or get underway on the navigable waters of the United States
(a)  Yes /  No
unless no more than 12 hours before entering or getting underway, the following
equipment has been tested:
Primary and secondary steering gear. The test procedure includes a visual inspection
(1) of the steering gear and its connecting linkage, and, where applicable, the operation  Yes /  No
of the following:
(i) Each remote steering gear control system.  Yes /  No
(ii) Each steering position located on the navigating bridge.  Yes /  No
(iii) The main steering gear from the alternative power supply, if installed.  Yes /  No
(iv) Each rudder angle indicator in relation to the actual position of the rudder.  Yes /  No
(v) Each remote steering gear control system power failure alarm.  Yes /  No
(vi) Each remote steering gear power unit failure alarm.  Yes /  No
(vii) The full movement of the rudder to the required capabilities of the steering gear.  Yes /  No
(2) All internal vessel control communications and vessel control alarms.  Yes /  No
Standby or emergency generator, for as long as necessary to show proper
(3)  Yes /  No
functioning, including steady state temperature and pressure readings.
Storage batteries for emergency lighting and power systems in vessel control and
(4)  Yes /  No
propulsion machinery spaces.
(5) Main propulsion machinery, ahead and astern.  Yes /  No
Vessels navigating on the Great Lakes and their connecting and tributary waters, having
(b) once completed the test requirements of this subpart, are considered to remain in  Yes /  No
compliance until arriving at the next port of call on the Great Lakes.
Vessels entering the Great Lakes from the St. Lawrence Seaway are considered to be
in compliance with this sub-part if the required tests are conducted preparatory to or
(c)  Yes /  No
during the passage of the St. Lawrence Seaway or within one hour of passing Wolfe
Island.
No vessel may enter, or be operated on the navigable waters of the United States
unless the emergency steering drill described below has been conducted within 48
(d) hours prior to entry and logged in the vessel logbook, unless the drill is conducted and  Yes /  No
logged on a regular basis at least once every three months. This drill must include at a
minimum the following:
(1) Operation of the main steering gear from within the steering gear compartment.  Yes /  No
Operation of the means of communications between the navigating bridge and the
(2)  Yes /  No
steering compartment.
Operation of the alternative power supply for the steering gear if the vessel is so
(3)  Yes /  No
equipped.

3. U.S. Reporting requirements / Pre-Arrival Preparation Items
3.a. eNOA/D SUBMISSION (electronic Notice of Arrival/Departure)
Have you submitted the required Notice of Arrival prior to arrival at 1st US port within submission
 Yes /  No
requirement as per voyage details?
Voyage Duration eNOA/D Reporting time requirement
Submit eNOA at least 96 hours before entering the port or place of

>96 hours
destination in U.S Waters.
Submit eNOA at least 24 hours before entering the port or place of
< 96 hours
destination in U.S. Waters
As soon as practicable but at least 12 hours before entering the port or place
<24 hours
of destination.
When voyages are over 24 hours, then the eNOA will be submitted at least 24
US to US Voyage hours in advance. If the voyage is less than 24 hours. Then it’s suggested to
submit at 12 hours prior to arrival or, as soon as practical.
US Departure to It is strongly recommended to file all eNOD at least 2 hours prior to leaving
Foreign any U.S. Port.
3.b. Automated Commercial Environment (ACE)
(Formerly AMS – Automated Manifest System) – If you vessel is carrying cargo onboard upon arrival at US port, you are
required to file ACE with US Customs based on cargo type as per submission requirements below:
 Yes /  No Is vessel responsible for filing ACE with US Customs? If yes please see additional guidance below.
ACE Submission Timeline
Type of Cargo Qualifier / Voyage Time Time of receipt by Customs in AMS
Containerized NONE 24 hours prior to loading
Break Bulk (non-
NONE 24 hours prior to loading
exempt)
Bulk cargo > 24 hours 24 hours prior to arrival
Bulk cargo < 24 hours Time of sailing
Break Bulk (exempt) > 24 hours 24 hours prior to arrival
Break Bulk (exempt) < 24 hours Time of sailing
Spare Parts/Shipboard
< 24 hours 24 hours prior to arrival
Machinery

3.c. SCAC Code
 Yes /  No Is the vessel required by commercial obligations to file cargo documentation with US Customs?
 Yes /  No If yes, Is the SCAC Code (Standard Carrier Alpha Code) in place?
3.d. International Carrier Bond (ICB)

 Yes /  No Does the vessel have an International Carrier Bond (ICB) Number?
3.e. Ballast Water Reporting

 Yes /  No Have you submitted your Ballast Water Reporting Form to the National Ballast Clearinghouse (NBIC)?
Does the vessel have a USCG Type Approved or USCG accepted Alternate Management System (AMS)
 Yes /  No
Ballast Water Treatment System onboard?
If no BWTS is onboard, does the vessel have a valid Ballast Water Discharge Standard compliance date
 Yes /  No
extension letter onboard?
3.f. Required Plans/Documentation Onboard
 Yes /  No Is a Tank or Non-Tank Vessel Response Plan (TVRP/NTVRP) (paper or electronic copy) aboard the vessel?
Are the intended ports included within the Captain of the Port zones included on the VRP approval
 Yes /  No
letter?
Do you have a USCG VRP/NTVRP Approval Letter or Interim Operating Authorization (IOA) –with Captain
 Yes /  No
of the Port Zone Geographic Specific Approval?
 Yes /  No Has a U.S. Certificate of Financial Responsibility (COFR) been issued by the USCG?
Is the vessel operating in State of California Waters? If yes, does the vessel have an approved California
 Yes /  No
State Oil Spill Contingency Plan and California Certificate of Financial Responsibility onboard?
Is the vessel operating in State of Alaska Waters? If yes, does the vessel have an approved Alaska
 Yes /  No
Response Plan and Alaska Certificate of Financial Responsibility onboard?
 Yes /  No Have you read the requirements for Federal and State Documents to be onboard? (Ref 1a. & 1b.)?
If required, do you have an Alternate Planning Criteria and associated approval if operating in Western
 Yes /  No
Alaska, Guam or American Samoa?
 Yes /  No Do you have a copy of your 2013 Vessel General Permit eNoI?
Do you have a Salvage and Marine Firefighting (SMFF) Pre-Fire Plan Certificate issued by your SMFF
 Yes /  No
resource provider (for vessels carrying 250 bbl. or more of total cargo and fuel oil)?
 Yes /  No Do you have a Garbage management plan?
 Yes /  No Do you have a Ballast Water Management?
Do you have a Biofouling Management Plan or does the Ballast Water Management Plan include
 Yes /  No
biofouling information per US regulations?
 Yes /  No Ship to Ship Transfer Plan (if it is required)? If so do you have a copy onboard? Note: not required for non-tank
vessels

3.g. Required Arrivals Equipment Tests 33 CFR 164.25(a)
See also Section 1.c.xi Required Arrivals Equipment Tests 33 CFR 164.25(a) on page 8 of this guidance document
Pre-Arrival Tests Test Item
 Yes /  No Are you familiar with the Required Tests/Drills Prior to entering port (Pre-Arrival as per 1c.x.)?
 Yes /  No Have you conducted tests on primary/secondary steering gear?
 Yes /  No Have you tested all internal vessel control communications and vessel control alarms?
 Yes /  No Have you tested standby or emergency generator for as long as necessary to show proper functions,
including steady state temperature and pressure readings?
 Yes /  No Have you tested storage batteries for emergency lighting and power systems in vessel control, and
propulsion machinery space?
 Yes /  No Have you tested main propulsion machinery, ahead and astern?

4. U.S. STATE REQUIREMENTS
Applicable/Onboard? Item
4.a. Alaska (AK)

Will your vessel be calling a port or operating within 3 nm of the State of Alaska coastline? If yes, in
 Yes /  No addition to the federal documents, if calling an Alaska Port you must have an Alaska COFR and an Alaska
Oil Discharge Prevention and Contingency Plan (ODPCP).
(Tank Only) Have you ensured that you have received the necessary plan coverage from the charterer
 Yes /  No
(i.e. terminal) (Sometimes AK COFR is also covered but should be confirmed)?
(Non-Tank Only) If yes to previous, do you have a State of Alaska Non-Tank Vessel Streamlined Plan and
 Yes /  No
Approval Letter?
Non-Tank vessels must apply for the COFR and ODPCP prior to entering Alaska waters.
 Yes /  No Do you have a State of Alaska issued Certificate of Financial Responsibility (AK COFR)?
 Yes /  No Do you have an OSRO coverage certificate from SEAPRO or Alaska Chadux, depending on region?
This coverage is made directly between the charterer or the cargo Owner, and the receiving terminal on
a per-voyage basis. The terminal will require certain information regarding the vessel. Advanced
 Yes /  No
notification of a call to AK ports will help to provide lead time in making the necessary arrangements for
the required coverage with AK Tank plan and required document preparation.
Tank vessels must apply for Alternative Planning Criteria (APC) prior to operating in Western Alaska
 Yes /  No COTP zone. The USCG has 90 days to review the APC. Once the APC is approved, any additional
prevention measures must be in place prior to operating in the area.
Tank vessels must have an approval letter or interim operating authorization letter listing the Alaska
 Yes /  No COTP zone (Western AK (W-AK) or Prince William Sound (PWS)) as an approved area of operation prior
to operating in these areas.
All vessels must receive USCG authorization If the vessel will transit through the Western Alaska COTP
 Yes /  No
zone or through Unimak Pass enroute to or departing from a US port.
4.b. Connecticut
State waters are designated No Discharge Zones (NDZ). The discharge of treated/untreated bilgewater
and graywater, exhaust gas scrubber washwater, and fish hold effluent into Connecticut waters from
any vessel is prohibited.
The discharge of wastewaters from pressure washing the bottom of vessels and any point source or
nonpoint source pollution from spillage, sanding, sand blasting, or scraping vessels, is prohibited. Any
discharges containing polychlorinated biphenyls (PCBs), and any discharge that results in the further
degradation of the chemical, physical, or biological integrity of Connecticut waters classified as Impaired
Waters in the most recent State of Connecticut Integrated Water Quality Report to Congress is
prohibited.
A copy of the NOI must be sent to the Department of Energy and Environmental Protection (DEEP) at
 Yes /  No
dep.webMaster@ct.gov. Has this been submitted?
Does your vessel maintain the ability to measure salinity levels in each ballast water tank onboard the
 Yes /  No
vessel to ensure ballast exchange in marine waters with salinities between 20 and 25 ppt?
 Yes /  No For ballast exchange in fresh waters, do you have the ability to measure salinities between 0 and 5 ppt?

4.c. California
 Yes /  No Is your vessel 300 GT or greater and operating in State of California waters?
In addition to the federal documents, if calling a California port you must have: a) Certificate of Financial
Responsibility (COFR) issued by California b) Oil Spill Contingency Plan (C-Plan) c) C-Plan Approval Letter.
d) California Emergency Notification Checklist Placard
 Yes /  No Does your vessel have an approved C-Plan onboard?
 Yes /  No Does your vessel have a valid California Certificate of Financial Responsibility?
Vessels entering CA waters are required to conduct a QI Notification Exercise at least 72 hours prior to
 Yes /  No
arrival in CA waters. Have you conducted and logged a QI Notification Exercise?
All vessel eNOI PDF’s for vessels that are or possibly calling California should be sent via e-mail to:
calvgp_cert@waterboards.ca.gov.
Note: the NOI only needs to be submitted once during the life time of the 2013 VGP Permit.
Have you documented the switch-over to low sulfur fuel, including the position at the time of the
 Yes /  No switch-over and the type of fuel being used in the main engine, auxiliary engine and boiler? Records
must be available within 24 hours of the request to review them.
Have you ensured your vessel has complied with California low sulfur fuel requirements? All vessels
within California State waters and within 24 nm from the baseline must use Marine Gas Oil (MGO) at or
 Yes /  No
below 0.1% sulfur content or Marine Diesel Oil (MDO) at or below 0.1% sulfur content in all main
engines and auxiliary diesel engines and auxiliary boilers.
Have you submitted the "Marine Invasive Species Program Annual Vessel Reporting Form”? Vessels
must submit an annual report on the “Marine Invasive Species Program Annual Vessel Reporting Form”
 Yes /  No to the CA State Lands Commission (CSLC) at least 24 hours prior to arrival of the vessel in the first
California port The report is required to be submitted once annually per vessel. Fax: 1.562.499.6444 or
Email: bwform@slc.ca.gov
Has your vessel arranged for enhanced OSRO Coverage? California requires vessels operating in certain
areas to arrange for enhanced OSRO Coverage. Therefore, the National Response Corporation (NRC)
requires that vessel submit the "NRC Authorization to Proceed Form"- 24 hour advance notice of arrival
 Yes /  No on a per voyage basis when vessels are:
 Transiting the southbound shipping lanes of the Santa Barbara Channel;
 Northbound in the Santa Barbara Channel enroute to Port Hueneme;
 Calling Port Hueneme; or
 Operating south of the San Mateo Bridge area.
CA Shoreline Protection requirements: Tank vessels calling Humboldt Bay (Eureka) and San Diego will
need to provide 24-hours advanced notice to the contracted OSRO whether NRC or MSRC. In addition,
due to the lack of staged response resources in certain low volume ports, vessels must request standby
coverage when transiting/operating in Monterey Bay as well as any of the small harbors included in the
Shoreline Protection Tables.
California conducts unannounced onboard drills. Should your vessel be boarded by a State Inspector to
conduct such a drill, immediately contact HMMS as your Qualified Individual within 30 minutes of
notification of drill.
California has a mandatory mid-ocean exchange or retention of all ballast water. There is a mandatory
ballast water management plan and reporting requirement Note: exchanges must take place at least

200nm form land, including islands and rock mounds. There are with ballast water fees associated with
operations in CA waters, Your local agent will provide assistance.
The California Notification Placard should be posted in a conspicuous place on the bridge while
Operating in California State waters. See Section 7 Bridge Placard on page 25 of this guidance document
4.d. Washington
 Yes /  No Is your vessel calling the State of Washington or operating in state waters?
Vessels over 300 GT operating in Washington state waters in Puget Sound carrying oil as fuel or cargo
must have an approved Washington State Oil Spill Contingency Plan. This contingency plan Coverage
may be obtained by enrolling in the Washington State Maritime Cooperative (WSMC) or via National
Response Corporation’s approved Washington State plan. Contact Hudson Marine Management
 Yes /  No Services for additional information or to assist in facilitating WA State plan arrangements.
In the Columbia River, the Marine Fire and Safety Association (MFSA) provides the required State
approved plan. Contact your local agent or Hudson Marine Management Services should you have any
questions regarding the status of your vessel.
Does the vessel have the required coverage in place?
Are you aware of the Mandatory Drill Program? Under state rules you must demonstrate your ability to
 Yes /  No effectively implement your plan in an event of a spill. Ecology inspectors may conduct drills to test the
ability of vessel personnel to notify authorities of an oil spill, as required in their contingency plan.
 Yes /  No Have you read the requirement for State of Washington Umbrella Plans?
 Yes /  No Is your vessel calling the Columbia River? If so, is MFSA coverage arranged?
Has advance notice of arrival been submitted to MFSA at least 96 hours before arrival to the Columbia
River?
The required MFSA Arrival Notice (https://www.mfsa.com/media/cplandocuments/mfsa-arrival-notice-
090114.pdf or go to Section 8 MFSA Pre-Arrival Notice form – Columbia River Arrivals on page 27 for
 Yes /  No form may be submitted, via fax or email, at least 96 hours prior to vessel’s arrival into the area of
coverage, the area of coverage begins 3 nm out from the mouth of the Columbia River, or if the voyage
time from the departure port is less than 96 hours, then prior to departure. The Owner/Operator is
responsible for paying vessel fees for enrollment under the Plan which is generally arranged via the local
agent.
Upon enrollment in an approved state plan program the vessel will be provided with documentation to
 Yes /  No
be retained onboard. Are the appropriate documents onboard?
State of Washington Ship Inspectors have the right to board the vessel to conduct an unannounced
"Notification Drill". Should such a drill occur, the Master should immediately notify Hudson Marine
Management Services and advise that a Washington State representative is onboard and conducting an
unannounced exercise. If possible the Captain should obtain name and contact information from the
State representative so HMMS can contact that representative directly.
Washington State Ballast Water Management Requirements: In addition to complying with the federal
BWM requirements, all covered vessels are required to file a Ballast Water Reporting Form (BWRF) at
least 24 hours prior to arrival in state waters, between Oregon and Washington ports on the Columbia
River, and before transiting between Washington State ports. You may use the Coast Guard form or the

IMO form. Forms may be filed by fax or sent electronically directly with Washington State at: FAX: +1-
360-902-2845 OR Email: ballastwater@dfw.wa.gov
Your local agent should be aware of these requirements and will provide assistance.
Washington Department of Fish and Wildlife (WDFW) may board and inspect vessels without advance
notice to provide technical assistance, assess compliance, and enforce the requirements of Washington
State ballast water management program laws and regulations. Department inspectors may take
samples from a vessel's ballast tanks which are used to help evaluate the risk that vessel poses for
introducing non-indigenous species into waters of the state.
Vessels conducting oil transfers in all Washington ports including Grays Harbor, Puget Sound, Straits of
Juan de Fuca and the Columbia River are required to make an Advance Notice of Transfer to the State of
Washington. This responsibility to make the advance notice of transfer falls to the delivering vessel. The
delivering vessel may request notification assistance from the delivering vessel’s agent. The vessel
Owner/Operator or Master should communicate with the agent well in advance of arrival to determine
who will be responsible for making the Advance Notice of Transfer for transfers conducted in these
ports as appropriate.
Is your company/vessel participating in the Washington Tank Vessel Voluntary Best Achievable
 Yes /  No Protection Program (VBAP)? If yes, you can anticipate a boarding by WA State Inspectors who will verify
that you are operating your vessel in accordance with the VBAP Standards.
In order to minimize the generation and release of wastewater, vessel Operators shall use best
management practices that include mechanical methods to thoroughly clean bulk and break bulk cargo
holds. Unless flammable or explosive vapor concentrations make the risk too great, hold cleanliness
shall be documented photographically before washing with water. Solid wastes from hold cleaning must
be transferred onshore for disposal in an approved landfill. This includes agricultural products such as
grains.
Are you aware of the prohibited discharges in the State of Washington?
 The discharge of wash down water from holds containing metal ores, prilled coal tar (pencil
pitch), coal, and petroleum coke is prohibited.
 The discharge of tank cleaning and wash down water from petroleum and chemical tank ships is
prohibited.
 Yes /  No
 Discharge of wash water from holds that contained concrete, sand, gravel, and other similar
inorganic products shall be allowed as long as it is managed to prevent violation of any provision
of state law or WQS, especially creating a visible increase in turbidity or raising receiving water
PH more than 0.5 units or above 8.5.
 The discharge of fish hold effluent while at a dock, pier, or mooring is prohibited
Are you aware of WA Hull Cleaning Requirements? Ship Operators who plan on conducting hull cleaning
operations in Washington State waters should contact the state POC at least 7 days prior to in-water hull
cleaning with information on the hull coating, its contents, cleaning method, and date/time. An inspector
might come out to observe, photograph, and take samples during the hull cleaning if the coating contains
 Yes /  No copper or any other toxic substance. The state POC can also provide guidance on performing toxicity
testing to verify that the discharge from a particular coating will be nontoxic during cleaning. The testing
makes approval easier. Ship Operators must also contact the Washington Department of Fish and Wildlife
(WDFW) prior to in-water hull cleaning. WDFW may allow the in-water cleaning of hulls with only slime
and sea grass growth (microfouling organisms), but does not allow the in-water cleaning of hulls with
juvenile or adult aquatic species such as barnacles, mussels, and tube worms (macrofouling organisms).

Vessels requesting in-water cleaning must provide suitable proof that the areas to be cleaned consist of
only microfouling organisms.
The Department of Ecology (DOC) maintains a website
(http://www.ecy.wa.gov/programs/wq/permits/VGP/additionalrequirements.html) with guidance for
graywater (http://www.ecy.wa.gov/programs/wq/permits/VGP/graywater%20guidance.pdf), Oily Water
Separator discharges
(http://www.ecy.wa.gov/programs/wq/permits/VGP/oily%20water%20separator.pdf, as well as in-water
load line painting
(http://www.ecy.wa.gov/programs/wq/permits/VGP/loadline%20painting%20guidance.pdf. Information
will be added on NDZs (http://www.ecy.wa.gov/programs/wq/nonpoint/CleanBoating/ndzstatus.html)
when they are granted.
There are additional notification conditions to the Washington State Department of Health (WDOH) for
graywater and sewage discharge violations, if appropriate (see 2013 VGP Section 6.24.3).
4.e. Guam
 Yes /  No Does the vessel have an approved APC for Guam?
 Yes /  No Does the vessel have a contract with approved OSRO (OSROCO)?
 Yes /  No Has the Guam Captain of the Port been included on the US VRP approval letter?
 Yes /  No If the vessel is calling Saipan see section below.
4.f. Saipan
Saipan is included in the Guam COTP Zone. The OSRO, OSROCO does have response capabilities in
Saipan and a contract must be in place for APC authorization. Operational restrictions may be applicable
to vessels operating in the Saipan COTP area. Therefore, tank vessels calling Saipan will be issued a COTP
 Yes /  No
Order by the Guam COTP advising that the vessel must transit within 12 nm of the CNMI shoreline
during daylight hours only. This action will continue until such time as response resources are available
in Saipan to respond to a Worst Case Discharge.
4.g. Hawaii
Submit all non-compliance to basic water quality criteria applicable to all state waters and analytical
 Yes /  No monitoring data that exceeds the numerical criteria of the state WQC (2013 VGP Section 6.7.5) on a
non-compliance reporting form that will be made available via the DOH-CWB website.
Tank vessels calling Barber’s Point SPM must have an additional contract with Clean Island’s Council for
AMPD coverage prior to arrival.
4.h. American Samoa
American Samoa is included in the COTP Honolulu. However, due to the vast distance between Hawaii
and American Samoa (2,000 nm) the USCG requires all vessels obtain additional OSRO coverage specific
to American Samoa.
Vessels must have a contract with Solar, Inc. in place at least 30 days prior to calling American Samoa.

The VRP approval letter or interim operating authorization letter must authorize the vessel for
operations in American Samoa.
Once the Alternative Planning Criteria has been approved, are the additional prevention requirements
 Yes /  No
listed in the Alternative Planning Criteria in place when operating in American Samoa?
4.i. Louisiana
A complete copy of a vessel’s approved OPA 90 VRP and all subsequent Revisions is to the Louisiana Oil
Spill Coordinator’s Office prior to entering Louisiana State waters. HMMS submits these on behalf of
client fleets
The Coordinator, in conjunction with the United States Coast Guard, may subject a vessel (as a condition
to being granted entry into any port in this state, or a terminal facility) to an announced or unannounced
audit, inspection, or drill to determine the discharge prevention and response capabilities of the
terminal facility or vessels
4.j. Maine
Large passenger vessels are prohibited from discharging graywater into no discharge zones (NDZ).
While in Maine waters, can you maintain the ability to measure salinity levels in each ballast tank
 Yes /  No
onboard to ensure salinity of 30ppt?
4.k. Michigan
Discharges of blackwater and graywater from vessels covered by the VGP are prohibited in Michigan
waters.
Are you aware of Michigan Ballast Water Exchange and Saltwater Flushing requirements?
All vessels whose voyages originate from outside the exclusive economic zone (EEZ) and enter Michigan
 Yes /  No
waters with ballast onboard, shall conduct ballast water exchange at least 200 nm from any shore and in
waters beyond the EEZ.
Can your vessel maintain the ability to measure salinity levels in each ballast tank onboard the vessel so
 Yes /  No
that salinities of at least 30 ppt can be ensured?
Oceangoing vessels covered by the VGP are prohibited from discharging ballast water in Michigan's
waters unless the vessel has obtained a Certificate of Coverage under the Ballast Water Control General
Permit (Permit No. MIG140000).
Oceangoing vessels that discharge ballast in Michigan waters must monitor ballast water discharge at
least once each year for living organisms and report a summary of the results to Michigan Department
Environmental Quality (MDEQ) no later than December 31 each year.
The vessel must submit the online or faxed version of the Michigan BWM report form prior to operating
in Michigan State waters. (Note: this form is different than the USCG BWM Report Form.)
 Online reporting: http://www.deq.state.mi.us/eforms/ballastwaterreporting.html
 Fax: 011 517 335 4053
4.l. New Hampshire
New Hampshire waters have been designated an NDZ, all sewage discharge including graywater
containing sewage, whether treated or untreated, is prohibited.
Does your vessel have a graywater holding tank? The discharge of graywater from vessels with
 Yes /  No graywater holding tanks to nutrient impaired waters is prohibited. Nutrient impaired tidal waters in New
Hampshire include tidal waters west of the Interstate 95 Bridge over the Piscataqua River.

Are you aware of the management practices for discharges in NH? For discharges such as bilgewater
that are likely to contain pollutants that are toxic to aquatic life, the management practices, treatment
 Yes /  No
and discharge methods must also ensure that the discharge does not cause the surface water in the
vicinity of the discharge to contain “toxics in toxic amounts".
Graywater without sewage should be discharged at pump out facilities or beyond 3 nm of the New
Hampshire shoreline and the Isles of Shoals wherever feasible. This is infeasible at this time for vessels
without holding tanks for graywater, but these vessels should plan to install such holding tanks during
one of the next two scheduled dry docking events if such installation is technically feasible and would
not jeopardize the safety of the vessel
4.m. New York
Discharge of bilge water is prohibited in New York waters.
Existing ballast water exchange and flushing requirements for voyages originating outside the exclusive
economic zone (EEZ) remain in effect regardless of whether the vessel is equipped with A BWTS.
If your vessel is entering New York waters, can you maintain the ability to measure salinity levels in each
 Yes /  No
tank onboard the vessel so that salinities of at least 30 ppt can be ensured?
All vessels operating in NY waters, after a BWTS is installed, must sample and analyze the ballast water
discharge at least once a year.
Additional best management practices for Confined Laker vessels that operate exclusively in the Great
Lakes (see 2013 VGP section 6.19.4).
The inland waters of New York as well as the Long Island Sound and the waters surrounding Long Island
have been designated as No Discharge Zones (NDZ).
Currently the port of New York/New Jersey is NOT a NDZ.
4.n. Great Lakes
Has your vessel completed a ballast water exchange? All ships with ballast tanks, bound for the Great
Lakes and / or the Hudson River above the George Washington Bridge and entering from outside the US
 Yes /  No
and Canadian Exclusive Economic Zones (EEZ), or which took on new ballast in a North American port
after entering the EEZ, must complete a ballast water exchange and file a ballast water report.
If the vessel has not complied, they are required to retain the ballast water on board, pump the ballast
water ashore, treat the ballast water in an environmentally sound manner or return to sea to conduct a
ballast water exchange.
All vessels from outside the EEZ, equipped with ballast tanks, are required by the USCG to submit the
ballast water report from via fax or email at least 24 hours before the vessel arrives in Montreal, Quebec
to USCG COTP Buffalo, Massena Detachment (315-769-5032) or D09-SMB-MSDMassena-
Ballast@uscg.mil.
In addition, per Transport Canada and new Seaway regulations, ships coming from outside waters under
Canadian jurisdiction, declaring no ballast on board, must ensure that the residual ballast water in tanks
has been exposed to salinity conditions equivalent to ballast water exchange by complying with one of
the following options:
 The residual ballast water came from ballast water that was properly exchanged at sea;
 The residual ballast water meets the international standard for treated ballast water;
 The ship complies with sections 1, 2, 6 and 7 of the Code of Best Practices for Ballast Water
Management of the Shipping Federation of Canada dated September 28, 2000, or;
 The ship conducted a saltwater flushing at least 200 nautical miles from shore.
Ships that do not operate beyond the EEZ but do operate within the Great Lakes and Seaway (i.e.,
lakers) must agree to comply with the Voluntary Management Practices to Reduce the Transfer of
Aquatic Nuisance Species within the Great Lakes by U.S. and Canadian Domestic Shipping, dated January
26, 2001. These voluntary management practices require ships to agree to regular inspections of ballast
tanks and regular removal of sediment.
If the vessel is bound for the Hudson River above the George Washington Bridge, a copy of the USCG
BWM report is to be faxed to the COTP New York at least 24 hours before the vessel enters New York,
NY. COTP New York Fax: 001 718 354 4249
Tank vessels calling Canadian ports via the Great Lakes must satisfy all OPA 90 requirements even If the
vessel will not call a US port. The Great Lakes are considered US internal waters and all OPA 90
regulations apply.
4.o. Oregon
All commercial vessels over 300 GT which call in the Columbia River must have an Oregon Oil Spill
Contingency Plan. This contingency plan coverage may be obtained by enrolling in the Maritime Fire &
Safety Association (MFSA) which will also provide oil spill removal organization Coverage. Coverage by
MFSA is arranged on a per-voyage basis, normally by the vessel's local agent upon appointment. There is
a fee attached to the coverage by MFSA.
Upon enrollment with MFSA, the vessel will be provided with the MFSA Field Guide. This Field Guide
provides guidance and contact information regarding notification of an emergency on board the vessel.
By enrolling with MFSA, the Master, crew, and Owner/Operator are legally bound to follow the
procedures of the Field Guide.
Additionally, the Master should be made aware that State Inspectors have the right to board the vessel
to conduct an unannounced "notification drill". The Inspectors are testing the Master's knowledge of the
Field Guide.
Are you aware of the Oregon State Ballast Water Management Requirements?
In addition to federal requirements for submitting forms to the National Ballast Information
Clearinghouse,
• vessels must also submit a copy of USCG Ballast Water Management reporting form to DEQ at least
24 hours before entering state waters. Reports may be submitted as email attachments (.pdf or .xml
formats only) to ballast.water@deq.state.or.us.
• A requirement that vessels using USCG approved shipboard ballast treatment systems must conduct
an oceanic ballast exchange – in addition to meeting federal ballast discharge standards – for ballast
 Yes /  No
tanks that were sourced with water less than or equal to 18 parts per thousand.
• A requirement to conduct oceanic salt-water flushing of empty ballast tanks that a vessel operator
wants to use for ballasting and de-ballasting while in state waters.
• Commercial vessels subject to Oregon ballast management regulations are assessed a ballast
management fee per transit to state waters. Effective January 2016, the fee is $88 per vessel arrival.
Your local agent should also be aware of these requirements and will provide assistance.

4.p. Rhode Island

The discharge of bilge water from any vessel covered under the VGP whose voyage originates outside
the EEZ shall discharge all existing bilge water prior to entering Rhode Island waters. If the vessel is
unable to discharge their bilge water prior to entering Rhode Island waters, the Operator is prohibited
from discharging bilge water within Rhode Island waters.
Existing ballast water exchange and flushing requirements for voyages originating outside the EEZ
remain in effect regardless of whether the vessel is equipped with a BWTS.
Vessels are required to conduct annual monitoring and reporting of living organisms after a BWTS is
installed.
4.q. Texas
Vessels greater than 400 GT and subject to IMO Convention, vessels with fuel, lube, and petroleum
cargo capacity exceeding 10,000 gallons, and vessels required to have a response plan in accordance
with OPA 90 are required to register with the Texas General Land Office Database. Check with your
Owner/Operator to ensure that your vessel is properly enrolled.
4.r. Virginia
In addition to submitting a BWM Report to the USCG, commercial vessels entering into Virginia’s
territorial waters must file a Ballast Water Control Report form with the Virginia Marine Resources
Commission (VMRC). (NOTE: The USCG BWM Form may be used.) Virginia Marine Resources Commission
(VMRC) Fax: 1.757.247.8062 Email: ballast@mrc.state.va.us

5. Vessel Position Notification Reporting Form

6. QI Notification/OEPE Notification

7. California Unannounced Exercise Master’s Actions
1. Know the location onboard of your California Oil Spill Contingency Plan and
be familiar with the Notifications section of that plan (at a minimum) and the
location of the QI Notification Number.
2. You will be presented with a scenario of the spill. Included in the scenario
information will be the contact details for the Drill Coordinator – Make sure
you note the Drill Coordinator’s contact details.
3. Access the California Oil Spill Contingency Plan and immediately call the
Qualified Individual as included in the California Contingency Plan (HMMS -
+1 856 342 7500). Note: QI (HMMS) is also the Spill Management Team
4. Provide the person answering the HMMS phone with the details of the
scenario including the Drill Coordinator’s Contact details:
a. Inform them that the state of California boarding officer is onboard
your vessel conducting an Unannounced Exercise Onboard
b. Vessel Name & IMO
c. Vessel Call back number and email address
d. Location (Facility & Berth)
e. Details of the Scenario as provided by the state of California boarding
officer)
f. Contact Details for California Drill Coordinator
g. Agent details
5. Notify the Facility/Terminal (if applicable)
6. Make any other notifications as per the your company procedures
7. Document all calls and actions taken, take pictures of actions being taken on
the water/pier side in relation to the exercise, if applicable, if you have the
opportunity
8. Advise HMMS of any updates as may be presented to you or advise if/when
the California boarding officer departs your vessel.

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8. Bridge Placard

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9. MFSA Pre-Arrival Notice form – Columbia River Arrivals

10. Vessel Security (ISPS)
ITEM REFERENCE COMMENTS
Access points (Manned and monitored)

Measures in place to prevent
weapons, dangerous substances 33 CFR 104.295(a)
 Yes /  No
and devices from getting on the ISPS A/7.2.2
vessel?
Are all crew and the associated
33 CFR 104.295(a)
 Yes /  No luggage being screened upon all
ISPS A/7.2.2
entry according to SSP?
Is 100% of all stevedores being 33 CFR 104.295(a)(2)
 Yes /  No screened upon all entry and exiting ISPS A/7.2.3
the vessel ISPS A/9.4.3
ISPS Code Part A 7.2.7
Is adequate security
 Yes /  No 33 CFR 104.245 (b) and
communications in place?
(c)
Is the gangway watch checking 33 CFR 104.295(a)(2)
100% of IDS - Government IDS are
 Yes /  No ISPS A/7.2.3
never surrendered, regardless of
vessel policy ISPS A/9.4.3
Ship Security Officer

 Yes /  No Certification of training - SSO ISPS Code Part A 10
Working knowledge of the Ship
Security Manual? - Be prepared for
 Yes /  No ISPS Code Part A 10
questions form the USCG to
evaluate knowledge
Assigned Security Watches are in
place?
Communication to Company
Security Officer?
Ship Security Officer Records
33 CFR 104.225, 33 CFR
Crew training records - Be prepared 104.235,
have all training records readily SOLAS 74/78 III/18,
 Yes /  No
available for inspection by the SOLAS 74/78 III/18.5,
USCG. SOLAS 74/78 III/25
33 CFR 104.230
 Yes /  No Security Drills
ISPS Part A Sect. 13.4,

ITEM REFERENCE COMMENTS
ISPS Part B Sect. 13.5 &
13.6
 Yes /  No Security exercise 33 CFR 104.230

 Yes /  No Declaration of Security 33 CFR 104.255
 Yes /  No Company security exercise 33 CFR 104
 Yes /  No Communication test 33 CFR 104.245
Appropriate Contacts for
 Yes /  No 33 CFR 104.245
emergency use.
Ship Security Plan
 Yes /  No Approval Letter 33 CFR 104.305
Plan is locked / secured in an
 Yes /  No 33 CFR 104.305
appropriate location for the SSO
Security Equipment
 Yes /  No Calibration Certificates 33 CFR 104.260
Arranged to comply with fire
 Yes /  No 33 CFR 104.260
boundaries
 Yes /  No Ship Security Alert System (SSAS) SOLAS Chap XI-2/6
Signage (Restricted areas, MARSEC level)

33 CFR 104.265, 33 CFR
 Yes /  No Restricted Areas
104.270
MARSEC level - Is the ship ready at
 Yes /  No 33 CFR 104.240
all times to change MARSEC LEVEL

11. Pre-USA Arrival Document, Certificate, and Log Audit/Checklist
PRE-ARRIVAL CERTIFICATE REVIEW
CERTIFICATE On Board Valid?
Certificate of Registry  Yes /  No  Yes /  No
Classification Document  Yes /  No  Yes /  No
International Tonnage Certificate (ITC)  Yes /  No  Yes /  No
Passenger Ship Safety Certificate (PSSC)  Yes /  No  Yes /  No
International Load Line Certificate  Yes /  No  Yes /  No
Document of Compliance (DOC)(ISM)  Yes /  No  Yes /  No
Safety Management Certificate (SMC)  Yes /  No  Yes /  No
Safe Manning Certificate  Yes /  No  Yes /  No
International Oil Pollution Prevention Certificate (IOPP)  Yes /  No  Yes /  No
International Air Pollution Prevention Certificate (IAPP)  Yes /  No  Yes /  No
Engine IAPP (EIAPP) (for each engine) & EIAPP Supplements  Yes /  No  Yes /  No
International Energy Efficiency Certificate (IEEC)  Yes /  No  Yes /  No
Ship Energy Efficiency Management Plan (SEEMP)  Yes /  No  Yes /  No
International Ship Security Certificate (ISSC)  Yes /  No  Yes /  No
Continuous Synopsis Record (CSR)  Yes /  No  Yes /  No
Certificate of Financial Responsibility (COFR)  Yes /  No  Yes /  No
Bunker delivery notes / Fuel samples onboard  Yes /  No  Yes /  No
Lifesaving equipment maintenance record  Yes /  No  Yes /  No
Working language established and recorded  Yes /  No  Yes /  No
Life raft / MES inspection reports  Yes /  No  Yes /  No
Lifeboat / Tender Certificate(s)  Yes /  No  Yes /  No
Fixed firefighting certificates  Yes /  No  Yes /  No
Officer Licenses and endorsements  Yes /  No  Yes /  No
Med Staff - Medical certificates  Yes /  No  Yes /  No
STCW mandatory training requirements  Yes /  No  Yes /  No
PLAN On Board Approved?
Garbage Management Plan  Yes /  No  Yes /  No
Training logs, drill records and SOLAS training manual  Yes /  No  Yes /  No
Safety Management System (SMS)  Yes /  No  Yes /  No
Ballast Water Management Plan (BWMP) and Reports including extension letter is
 Yes /  No  Yes /  No
applicable.
Biofouling Management Plan (if not included in BWMP)  Yes /  No  Yes /  No
Vessel/Coast Guard SAR Plan  Yes /  No  Yes /  No
Shipboard Oil Pollution Plan (SOPEP/SMPEP)  Yes /  No  Yes /  No
U.S. Tank/Non-Tank Vessel Response Plan and approved for operating areas  Yes /  No  Yes /  No


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U.S. PORTS ARRIVAL

U.S. Ports Arrival Guidance and Checklists

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U.S. Ports Arrival Guidance and Checklists

V1.3-2018 10/02/2018 1. Updated Record of Change,

U.S. Ports Arrival Guidance and Checklists

U.S. Ports Arrival Guidance and Checklists

U.S. Ports Arrival Guidance and Checklists

Containerized NONE 24 hours. prior to loading

U.S. Ports Arrival Guidance and Checklists

U.S. Ports Arrival Guidance and Checklists

U.S. Ports Arrival Guidance and Checklists

Voyage Duration eNOA/D Reporting time requirement

Submit eNOA at least 96 hours before entering the port or place of

U.S. Ports Arrival Guidance and Checklists

3.d. International Carrier Bond (ICB)

3.e. Ballast Water Reporting

U.S. Ports Arrival Guidance and Checklists

 Yes /  No Have you conducted tests on primary/secondary steering gear?

U.S. Ports Arrival Guidance and Checklists

4.a. Alaska (AK)

U.S. Ports Arrival Guidance and Checklists

U.S. Ports Arrival Guidance and Checklists

U.S. Ports Arrival Guidance and Checklists

U.S. Ports Arrival Guidance and Checklists

 Yes /  No If the vessel is calling Saipan see section below.

U.S. Ports Arrival Guidance and Checklists

U.S. Ports Arrival Guidance and Checklists

U.S. Ports Arrival Guidance and Checklists

4.p. Rhode Island

U.S. Ports Arrival Guidance and Checklists

U.S. Ports Arrival Guidance and Checklists

U.S. Ports Arrival Guidance and Checklists

U.S. Ports Arrival Guidance and Checklists

U.S. Ports Arrival Guidance and Checklists

U.S. Ports Arrival Guidance and Checklists

U.S. Ports Arrival Guidance and Checklists

U.S. Ports Arrival Guidance and Checklists

Access points (Manned and monitored)

Ship Security Officer

U.S. Ports Arrival Guidance and Checklists

 Yes /  No Security exercise 33 CFR 104.230

 Yes /  No Ship Security Alert System (SSAS) SOLAS Chap XI-2/6

Signage (Restricted areas, MARSEC level)

U.S. Ports Arrival Guidance and Checklists

U.S. Ports Arrival Guidance and Checklists

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