International Convention For The Control and Management of Ships' Ballast Water and Sediments, 2004
International Convention For The Control and Management of Ships' Ballast Water and Sediments, 2004
International Convention For The Control and Management of Ships' Ballast Water and Sediments, 2004
Article 1
Definitions
1 "Administration" means the Government of the State under whose authority the ship
is operating. With respect to a ship entitled to fly a flag of any State, the Administration is the
Government of that State. With respect to floating platforms engaged in exploration and
exploitation of the sea-bed and subsoil thereof adjacent to the coast over which the coastal
State exercises sovereign rights for the purposes of exploration and exploitation of its natural
resources, including Floating Storage Units (FSUs) and Floating Production Storage and
Offloading Units (FPSOs), the Administration is the Government of the coastal State
concerned.
2 “Ballast Water” means water with its suspended matter taken on board a ship to
control trim, list, draught, stability or stresses of the ship.
6 “Convention” means the International Convention for the Control and Management of
Ships’ Ballast Water and Sediments.
7 “Gross tonnage” means the gross tonnage calculated in accordance with the tonnage
measurement regulations contained in Annex I to the International Convention on Tonnage
Measurement of Ships, 1969 or any successor Convention.
12 “Ship” means a vessel of any type whatsoever operating in the aquatic environment
and includes submersibles, floating craft, floating platforms, FSUs and FPSOs.
Article 2
General Obligations
1 Parties undertake to give full and complete effect to the provisions of this Convention
and the Annex thereto in order to prevent, minimize and ultimately eliminate the transfer of
Harmful Aquatic Organisms and Pathogens through the control and management of ships’
Ballast Water and Sediments.
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2 The Annex forms an integral part of this Convention. Unless expressly provided
otherwise, a reference to this Convention constitutes at the same time a reference to the
Annex.
6 Parties taking action pursuant to this Convention shall endeavour not to impair or
damage their environment, human health, property or resources, or those of other States.
7 Parties should ensure that Ballast Water Management practices used to comply with
this Convention do not cause greater harm than they prevent to their environment, human
health, property or resources, or those of other States.
8 Parties shall encourage ships entitled to fly their flag, and to which this Convention
applies, to avoid, as far as practicable, the uptake of Ballast Water with potentially Harmful
Aquatic Organisms and Pathogens, as well as Sediments that may contain such organisms,
including promoting the adequate implementation of recommendations developed by the
Organization.
Article 3
Application
(b) ships not entitled to fly the flag of a Party but which operate under the authority
of a Party.
(b) ships of a Party which only operate in waters under the jurisdiction of that
Party, unless the Party determines that the discharge of Ballast Water from such
ships would impair or damage their environment, human health, property or
resources, or those of adjacent or other States;
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(c) ships of a Party which only operate in waters under the jurisdiction of another
Party, subject to the authorization of the latter Party for such exclusion. No Party shall
grant such authorization if doing so would impair or damage their environment,
human health, property or resources, or those of adjacent or other States. Any Party
not granting such authorization shall notify the Administration of the ship concerned
that this Convention applies to such ship;
(d) ships which only operate in waters under the jurisdiction of one Party and on
the high seas, except for ships not granted an authorization pursuant to sub-
paragraph (c), unless such Party determines that the discharge of Ballast Water from
such ships would impair or damage their environment, human health, property or
resources, or those of adjacent of other States;
(e) any warship, naval auxiliary or other ship owned or operated by a State and
used, for the time being, only on government non-commercial service. However, each
Party shall ensure, by the adoption of appropriate measures not impairing operations
or operational capabilities of such ships owned or operated by it, that such ships act
in a manner consistent, so far as is reasonable and practicable, with this Convention;
and
(f) permanent Ballast Water in sealed tanks on ships, that is not subject to
discharge.
3 With respect to ships of non-Parties to this Convention, Parties shall apply the
requirements of this Convention as may be necessary to ensure that no more favourable
treatment is given to such ships.
Article 4
Control of the Transfer of Harmful Aquatic Organisms and Pathogens
Through Ships’ Ballast Water and Sediments
1 Each Party shall require that ships to which this Convention applies and which are
entitled to fly its flag or operating under its authority comply with the requirements set forth in
this Convention, including the applicable standards and requirements in the Annex, and shall
take effective measures to ensure that those ships comply with those requirements.
2 Each Party shall, with due regard to its particular conditions and capabilities, develop
national policies, strategies or programmes for Ballast Water Management in its ports and
waters under its jurisdiction that accord with, and promote the attainment of the objectives of
this Convention.
Article 5
Sediment Reception Facilities
1 Each Party undertakes to ensure that, in ports and terminals designated by that Party
where cleaning or repair of ballast tanks occurs, adequate facilities are provided for the
reception of Sediments, taking into account the Guidelines developed by the Organization.
Such reception facilities shall operate without causing undue delay to ships and shall provide
for the safe disposal of such Sediments that does not impair or damage their environment,
human health, property or resources or those of other States.
2 Each Party shall notify the Organization for transmission to the other Parties
concerned of all cases where the facilities provided under paragraph 1 are alleged to be
inadequate.
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Article 6
Scientific and Technical Research and Monitoring
(a) promote and facilitate scientific and technical research on Ballast Water
Management; and
(b) monitor the effects of Ballast Water Management in waters under their
jurisdiction.
2 Each Party shall, to further the objectives of this Convention, promote the availability
of relevant information to other Parties who request it on:
(b) the effectiveness of Ballast Water Management deduced from any monitoring
and assessment programmes.
Article 7
Survey and certification
1 Each Party shall ensure that ships flying its flag or operating under its authority and
subject to survey and certification are so surveyed and certified in accordance with the
regulations in the Annex.
2 A Party implementing measures pursuant to Article 2.3 and Section C of the Annex
shall not require additional survey and certification of a ship of another Party, nor shall the
Administration of the ship be obligated to survey and certify additional measures imposed by
another Party. Verification of such additional measures shall be the responsibility of the Party
implementing such measures and shall not cause undue delay to the ship.
Article 8
Violations
1 Any violation of the requirements of this Convention shall be prohibited and sanctions
shall be established under the law of the Administration of the ship concerned, wherever the
violation occurs. If the Administration is informed of such a violation, it shall investigate the
matter and may request the reporting Party to furnish additional evidence of the alleged
violation. If the Administration is satisfied that sufficient evidence is available to enable
proceedings to be brought in respect of the alleged violation, it shall cause such proceedings
to be taken as soon as possible, in accordance with its law. The Administration shall
promptly inform the Party that reported the alleged violation, as well as the Organization, of
any action taken. If the Administration has not taken any action within 1 year after receiving
the information, it shall so inform the Party which reported the alleged violation.
2 Any violation of the requirements of this Convention within the jurisdiction of any Party
shall be prohibited and sanctions shall be established under the law of that Party. Whenever
such a violation occurs, that Party shall either:
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(b) furnish to the Administration of the ship such information and evidence as may
be in its possession that a violation has occurred.
3 The sanctions provided for by the laws of a Party pursuant to this Article shall be
adequate in severity to discourage violations of this Convention wherever they occur.
Article 9
Inspection of Ships
1 A ship to which this Convention applies may, in any port or offshore terminal of
another Party, be subject to inspection by officers duly authorized by that Party for the
purpose of determining whether the ship is in compliance with this Convention. Except as
provided in paragraph 2 of this Article, any such inspection is limited to:
(a) verifying that there is onboard a valid Certificate, which, if valid shall be
accepted; and
(c) a sampling of the ship’s Ballast Water, carried out in accordance with the
guidelines to be developed by the Organization. However, the time required to
analyse the samples shall not be used as a basis for unduly delaying the operation,
movement or departure of the ship.
2 Where a ship does not carry a valid Certificate or there are clear grounds for believing
that:
(a) the condition of the ship or its equipment does not correspond substantially
with the particulars of the Certificate; or
(b) the master or the crew are not familiar with essential shipboard procedures
relating to Ballast Water Management, or have not implemented such procedures;
a detailed inspection may be carried out.
3 In the circumstances given in paragraph 2 of this Article, the Party carrying out the
inspection shall take such steps as will ensure that the ship shall not discharge Ballast Water
until it can do so without presenting a threat of harm to the environment, human health,
property or resources.
Article 10
Detection of Violations and Control of Ships
1 Parties shall co-operate in the detection of violations and the enforcement of the
provisions of this Convention.
2 If a ship is detected to have violated this Convention, the Party whose flag the ship is
entitled to fly, and/or the Party in whose port or offshore terminal the ship is operating, may,
in addition to any sanctions described in Article 8 or any action described in Article 9, take
steps to warn, detain, or exclude the ship. The Party in whose port or offshore terminal the
ship is operating, however, may grant such a ship permission to leave the port or offshore
terminal for the purpose of discharging Ballast Water or proceeding to the nearest
appropriate repair yard or reception facility available, provided doing so does not present a
threat of harm to the environment, human health, property or resources.
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4 A Party may also inspect a ship when it enters the ports or offshore terminals under
its jurisdiction, if a request for an investigation is received from any Party, together with
sufficient evidence that a ship is operating or has operated in violation of a provision in this
Convention. The report of such investigation shall be sent to the Party requesting it and to
the competent authority of the Administration of the ship concerned so that appropriate
action may be taken.
Article 11
Notification of Control Actions
2 In the event that any action is taken pursuant to Article 9.3, 10.2 or 10.3, the officer
carrying out such action shall forthwith inform, in writing, the Administration of the ship
concerned, or if this is not possible, the consul or diplomatic representative of the ship
concerned, of all the circumstances in which the action was deemed necessary. In addition,
the recognized organization responsible for the issue of certificates shall be notified.
Article 12
Undue Delay to Ships
1 All possible efforts shall be made to avoid a ship being unduly detained or delayed
under Article 7.2, 8, 9 or 10.
2 When a ship is unduly detained or delayed under Article 7.2, 8, 9 or 10, it shall be
entitled to compensation for any loss or damage suffered.
Article 13
Technical Assistance, Co-operation and Regional Co-operation
1 Parties undertake, directly or through the Organization and other international bodies,
as appropriate, in respect of the control and management of ships' Ballast Water and
Sediments, to provide support for those Parties which request technical assistance:
3 In order to further the objectives of this Convention, Parties with common interests to
protect the environment, human health, property and resources in a given geographical area,
in particular, those Parties bordering enclosed and semi-enclosed seas, shall endeavour,
taking into account characteristic regional features, to enhance regional co-operation,
including through the conclusion of regional agreements consistent with this Convention.
Parties shall seek to co-operate with the Parties to regional agreements to develop
harmonized procedures.
Article 14
Communication of information
1 Each Party shall report to the Organization and, where appropriate, make available to
other Parties the following information:
(b) the availability and location of any reception facilities for the environmentally
safe disposal of Ballast Water and Sediments; and
(c) any requirements for information from a ship which is unable to comply with
the provisions of this Convention for reasons specified in regulations A-3 and B-4 of
the Annex.
2 The Organization shall notify Parties of the receipt of any communications under the
present Article and circulate to all Parties any information communicated to it under
subparagraphs 1(b) and (c) of this Article.
Article 15
Dispute Settlement
Parties shall settle any dispute between them concerning the interpretation or application of
this Convention by negotiation, enquiry, mediation, conciliation, arbitration, judicial
settlement, resort to regional agencies or arrangements or other peaceful means of their own
choice.
Article 16
Relationship to International Law and Other Agreements
Nothing in this Convention shall prejudice the rights and obligations of any State under
customary international law as reflected in the United Nations Convention on the Law of the
Sea.
Article 17
Signature, Ratification, Acceptance, Approval and Accession
1 This Convention shall be open for signature by any State at the Headquarters of the
Organization from 1 June 2004 to 31 May 2005 and shall thereafter remain open for
accession by any State.
(c) accession.
4 If a State comprises two or more territorial units in which different systems of law are
applicable in relation to matters dealt with in this Convention, it may at the time of signature,
ratification, acceptance, approval, or accession declare that this Convention shall extend to
all its territorial units or only to one or more of them and may modify this declaration by
submitting another declaration at any time.
5 Any such declaration shall be notified to the Depositary in writing and shall state
expressly the territorial unit or units to which this Convention applies.
Article 18
Entry into Force
1 This Convention shall enter into force twelve months after the date on which not less
than thirty States, the combined merchant fleets of which constitute not less than thirty-five
percent of the gross tonnage of the world’s merchant shipping, have either signed it without
reservation as to ratification, acceptance or approval, or have deposited the requisite
instrument of ratification, acceptance, approval or accession in accordance with Article 17.
4 After the date on which an amendment to this Convention is deemed to have been
accepted under Article 19, any instrument of ratification, acceptance, approval or accession
deposited shall apply to this Convention as amended.
Article 19
Amendments
(f) An amendment shall enter into force under the following conditions:
(i) An amendment to an article of this Convention shall enter into force for
those Parties that have declared that they have accepted it six months after
the date on which it is deemed to have been accepted in accordance with
subparagraph (e)(i).
(ii) An amendment to the Annex shall enter into force with respect to all
Parties six months after the date on which it is deemed to have been
accepted, except for any Party that has:
(g)
(i) A Party that has notified an objection under subparagraph (f)(ii)(1) may
subsequently notify the Secretary-General that it accepts the amendment.
Such amendment shall enter into force for such Party six months after the date
of its notification of acceptance, or the date on which the amendment enters
into force, whichever is the later date.
3 Amendment by a Conference:
(a) Upon the request of a Party concurred in by at least one-third of the Parties,
the Organization shall convene a Conference of Parties to consider amendments to
this Convention.
(c) Unless the Conference decides otherwise, the amendment shall be deemed to
have been accepted and shall enter into force in accordance with the procedures
specified in paragraphs 2(e) and (f) respectively.
4 Any Party that has declined to accept an amendment to the Annex shall be treated as
a non-Party only for the purpose of application of that amendment.
5 Any notification under this Article shall be made in writing to the Secretary-General.
6 The Secretary-General shall inform the Parties and Members of the Organization of:
(a) any amendment that enters into force and the date of its entry into force
generally and for each Party; and
Article 20
Denunciation
1 This Convention may be denounced by any Party at any time after the expiry of two
years from the date on which this Convention enters into force for that Party.
Article 21
Depositary
1 This Convention shall be deposited with the Secretary-General, who shall transmit
certified copies of this Convention to all States which have signed this Convention or
acceded thereto.
(a) inform all States that have signed this Convention, or acceded thereto, of:
(b) as soon as this Convention enters into force, transmit the text thereof to the
Secretariat of the United Nations for registration and publication in accordance with
Article 102 of the Charter of the United Nations.
Article 22
Languages
This Convention is established in a single original in the Arabic, Chinese, English, French,
Russian and Spanish languages, each text being equally authentic.
DONE AT LONDON this thirteenth day of February, two thousand and four.
Section A
General Provisions
Regulation A-1
Definitions
1 “Anniversary date” means the day and the month of each year corresponding to the
date of expiry of the Certificate.
2 “Ballast Water Capacity” means the total volumetric capacity of any tanks, spaces or
compartments on a ship used for carrying, loading or discharging Ballast Water, including
any multi-use tank, space or compartment designed to allow carriage of Ballast Water.
3 “Company” means the owner of the ship or any other organization or person such as
the manager, or the bareboat charterer, who has assumed the responsibility for operation of
the ship from the owner of the ship and who on assuming such responsibility has agreed to
take over all the duties and responsibilities imposed by the International Safety Management
Code*.
.3 which, in the opinion of the Administration, is projected to prolong its life by ten
years or more, or
.4 which results in modifications to its ballast water system other than component
replacement-in-kind. Conversion of a ship to meet the provisions of regulation D-1
shall not be deemed to constitute a major conversion for the purpose of this Annex.
6 “From the nearest land” means from the baseline from which the territorial sea of the
territory in question is established in accordance with international law except that, for the
purposes of the Convention, “from the nearest land” off the north-eastern coast of Australia
shall mean from a line drawn from a point on the coast of Australia in
*
Refer to the ISM Code adopted by the Organization by resolution A.741(18), as amended.
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Regulation A-2
General Applicability
Except where expressly provided otherwise, the discharge of Ballast Water shall only be
conducted through Ballast Water Management in accordance with the provisions of this
Annex.
Regulation A-3
Exceptions
The requirements of regulation B-3, or any measures adopted by a Party pursuant to Article
2.3 and Section C, shall not apply to:
1 the uptake or discharge of Ballast Water and Sediments necessary for the purpose of
ensuring the safety of a ship in emergency situations or saving life at sea; or
2 the accidental discharge or ingress of Ballast Water and Sediments resulting from
damage to a ship or its equipment:
.1 provided that all reasonable precautions have been taken before and after the
occurrence of the damage or discovery of the damage or discharge for the purpose of
preventing or minimizing the discharge; and
3 the uptake and discharge of Ballast Water and Sediments when being used for the
purpose of avoiding or minimizing pollution incidents from the ship; or
4 the uptake and subsequent discharge on the high seas of the same Ballast Water and
Sediments; or
5 the discharge of Ballast Water and Sediments from a ship at the same location where
the whole of that Ballast Water and those Sediments originated and provided that no mixing
with unmanaged Ballast Water and Sediments from other areas has occurred. If mixing has
occurred, the Ballast Water taken from other areas is subject to Ballast Water Management
in accordance with this Annex.
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Regulation A-4
Exemptions
1 A Party or Parties, in waters under their jurisdiction, may grant exemptions to any
requirements to apply regulations B-3 or C-1, in addition to those exemptions contained
elsewhere in this Convention, but only when they are:
.2 effective for a period of no more than five years subject to intermediate review;
.3 granted to ships that do not mix Ballast Water or Sediments other than
between the ports or locations specified in paragraph 1.1; and
3 Any exemptions granted under this regulation shall not impair or damage the
environment, human health, property or resources of adjacent or other States. Any State that
the Party determines may be adversely affected shall be consulted, with a view to resolving
any identified concerns.
4 Any exemptions granted under this regulation shall be recorded in the Ballast Water
record book.
Regulation A-5
Equivalent compliance
Equivalent compliance with this Annex for pleasure craft used solely for recreation or
competition or craft used primarily for search and rescue, less than 50 metres in length
overall, and with a maximum Ballast Water capacity of 8 cubic metres, shall be determined
by the Administration taking into account Guidelines developed by the Organization.
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Section B
Mangement and Control Requirements for Ships
Regulation B-1
Ballast Water Management Plan
Each ship shall have on board and implement a Ballast Water Management plan. Such a
plan shall be approved by the Administration taking into account Guidelines developed by the
Organization. The Ballast Water Management plan shall be specific to each ship and shall at
least:
1 detail safety procedures for the ship and the crew associated with Ballast
Water Management as required by this Convention;
.1 at sea; and
.2 to shore;
5 designate the officer on board in charge of ensuring that the plan is properly
implemented;
6 contain the reporting requirements for ships provided for under this
Convention; and
7 be written in the working language of the ship. If the language used is not English,
French or Spanish, a translation into one of these languages shall be included.
Regulation B-2
Ballast Water Record Book
1 Each ship shall have on board a Ballast Water record book that may be an electronic
record system, or that may be integrated into another record book or system and, which shall
at least contain the information specified in Appendix II.
2 Ballast Water record book entries shall be maintained on board the ship for a
minimum period of two years after the last entry has been made and thereafter in the
Company’s control for a minimum period of three years.
3 In the event of the discharge of Ballast Water pursuant to regulations A-3, A-4 or B-
3.6 or in the event of other accidental or exceptional discharge of Ballast Water not otherwise
exempted by this Convention, an entry shall be made in the Ballast Water record book
describing the circumstances of, and the reason for, the discharge.
4 The Ballast Water record book shall be kept readily available for inspection at all
reasonable times and, in the case of an unmanned ship under tow, may be kept on the
towing ship.
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5 Each operation concerning Ballast Water shall be fully recorded without delay in the
Ballast Water record book. Each entry shall be signed by the officer in charge of the
operation concerned and each completed page shall be signed by the master. The entries in
the Ballast Water record book shall be in a working language of the ship. If that language is
not English, French or Spanish the entries shall contain a translation into one of those
languages. When entries in an official national language of the State whose flag the ship is
entitled to fly are also used, these shall prevail in case of a dispute or discrepancy.
6 Officers duly authorized by a Party may inspect the Ballast Water record book on
board any ship to which this regulation applies while the ship is in its port or offshore
terminal, and may make a copy of any entry, and require the master to certify that the copy is
a true copy. Any copy so certified shall be admissible in any judicial proceeding as evidence
of the facts stated in the entry. The inspection of a Ballast Water record book and the taking
of a certified copy shall be performed as expeditiously as possible without causing the ship to
be unduly delayed.
Regulation B-3
Ballast Water Management for Ships
.1 with a Ballast Water Capacity of between 1,500 and 5,000 cubic metres,
inclusive, shall conduct Ballast Water Management that at least meets the standard
described in regulation D-1 or regulation D-2 until 2014, after which time it shall at
least meet the standard described in regulation D-2;
.2 with a Ballast Water Capacity of less than 1,500 or greater than 5,000 cubic
metres shall conduct Ballast Water Management that at least meets the standard
described in regulation D-1 or regulation D-2 until 2016, after which time it shall at
least meet the standard described in regulation D-2.
2 A ship to which paragraph 1 applies shall comply with paragraph 1 not later than the
first intermediate or renewal survey, whichever occurs first, after the anniversary date of
delivery of the ship in the year of compliance with the standard applicable to the ship.
3 A ship constructed in or after 2009 with a Ballast Water Capacity of less than 5,000
cubic metres shall conduct Ballast Water Management that at least meets the standard
described in regulation D-2.
4 A ship constructed in or after 2009, but before 2012, with a Ballast Water Capacity of
5,000 cubic metres or more shall conduct Ballast Water Management in accordance with
paragraph 1.2.
5 A ship constructed in or after 2012 with a Ballast Water Capacity of 5000 cubic metres
or more shall conduct Ballast Water Management that at least meets the standard described
in regulation D-2.
6 The requirements of this regulation do not apply to ships that discharge Ballast Water
to a reception facility designed taking into account the Guidelines developed by the
Organization for such facilities.
Regulation B-4
Ballast Water Exchange
1 A ship conducting Ballast Water exchange to meet the standard in regulation D-1
shall:
.1 whenever possible, conduct such Ballast Water exchange at least 200 nautical
miles from the nearest land and in water at least 200 metres in depth, taking into
account the Guidelines developed by the Organization;
2 In sea areas where the distance from the nearest land or the depth does not meet the
parameters described in paragraph 1.1 or 1.2, the port State may designate areas, in
consultation with adjacent or other States, as appropriate, where a ship may conduct Ballast
Water exchange, taking into account the Guidelines described in paragraph 1.1.
3 A ship shall not be required to deviate from its intended voyage, or delay the voyage,
in order to comply with any particular requirement of paragraph 1.
4 A ship conducting Ballast Water exchange shall not be required to comply with
paragraphs 1 or 2, as appropriate, if the master reasonably decides that such exchange
would threaten the safety or stability of the ship, its crew, or its passengers because of
adverse weather, ship design or stress, equipment failure, or any other extraordinary
condition.
5 When a ship is required to conduct Ballast Water exchange and does not do so in
accordance with this regulation, the reasons shall be entered in the Ballast Water record
book.
Regulation B-5
Sediment Management for Ships
1 All ships shall remove and dispose of Sediments from spaces designated to carry
Ballast Water in accordance with the provisions of the ship’s Ballast Water Management
plan.
Regulation B-6
Duties of Officers and Crew
Officers and crew shall be familiar with their duties in the implementation of Ballast Water
Management particular to the ship on which they serve and shall, appropriate to their duties,
be familiar with the ship’s Ballast Water Management plan.
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Section C
Special Requirements in certain areas
Regulation C-1
Additional Measures
5 Any additional measures adopted by a Party or Parties shall not compromise the
safety and security of the ship and in any circumstances not conflict with any other
convention with which the ship must comply.
6 A Party or Parties introducing additional measures may waive these measures for a
period of time or in specific circumstances as they deem fit.
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Regulation C-2
Warnings Concerning Ballast Water Uptake in Certain Areas and Related
Flag State Measures
1 A Party shall endeavour to notify mariners of areas under their jurisdiction where
ships should not uptake Ballast Water due to known conditions. The Party shall include in
such notices the precise coordinates of the area or areas, and, where possible, the location
of any alternative area or areas for the uptake of Ballast Water. Warnings may be issued for
areas:
.3 where tidal flushing is poor or times during which a tidal stream is known to be
more turbid.
Regulation C-3
Communication of Information
The Organization shall make available, through any appropriate means, information
communicated to it under regulations C-1 and C-2.
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Section D
Standards for Ballast Water Management
Regulation D-1
Ballast Water Exchange Standard
1 Ships performing Ballast Water exchange in accordance with this regulation shall do
so with an efficiency of at least 95 percent volumetric exchange of Ballast Water.
Regulation D-2
Ballast Water Performance Standard
1 Ships conducting Ballast Water Management in accordance with this regulation shall
discharge less than 10 viable organisms per cubic metre greater than or equal to 50
micrometres in minimum dimension and less than 10 viable organisms per millilitre less than
50 micrometres in minimum dimension and greater than or equal to 10 micrometres in
minimum dimension; and discharge of the indicator microbes shall not exceed the specified
concentrations described in paragraph 2.
.1 Toxicogenic Vibrio cholerae (O1 and O139) with less than 1 colony forming
unit (cfu) per 100 millilitres or less than 1 cfu per 1 gram (wet weight) zooplankton
samples ;
Regulation D-3
Approval requirements for Ballast Water Management systems
3 Ballast Water Management systems used to comply with this Convention must be
safe in terms of the ship, its equipment and the crew.
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Regulation D-4
Prototype Ballast Water Treatment Technologies
1 For any ship that, prior to the date that the standard in regulation D-2 would otherwise
become effective for it, participates in a programme approved by the Administration to test
and evaluate promising Ballast Water treatment technologies, the standard in regulation D-2
shall not apply to that ship until five years from the date on which the ship would otherwise be
required to comply with such standard.
2 For any ship that, after the date on which the standard in regulation D-2 has become
effective for it, participates in a programme approved by the Administration, taking into
account Guidelines developed by the Organization, to test and evaluate promising Ballast
Water technologies with the potential to result in treatment technologies achieving a standard
higher than that in regulation D-2, the standard in regulation D-2 shall cease to apply to that
ship for five years from the date of installation of such technology.
3 In establishing and carrying out any programme to test and evaluate promising
Ballast Water technologies, Parties shall:
4 Throughout the test and evaluation period, the treatment system must be operated
consistently and as designed.
Reguatlion D-5
Review of Standards by the Organization
1 At a meeting of the Committee held no later than three years before the earliest
effective date of the standard set forth in regulation D-2, the Committee shall undertake a
review which includes a determination of whether appropriate technologies are available to
achieve the standard, an assessment of the criteria in paragraph 2, and an assessment of
the socio-economic effect(s) specifically in relation to the developmental needs of developing
countries, particularly small island developing States. The Committee shall also undertake
periodic reviews, as appropriate, to examine the applicable requirements for ships described
in regulation B-3.1 as well as any other aspect of Ballast Water Management addressed in
this Annex, including any Guidelines developed by the Organization.
3 The Committee may form a group or groups to conduct the review(s) described in
paragraph 1. The Committee shall determine the composition, terms of reference and
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specific issues to be addressed by any such group formed. Such groups may develop and
recommend proposals for amendment of this Annex for consideration by the Parties. Only
Parties may participate in the formulation of recommendations and amendment decisions
taken by the Committee.
4 If, based on the reviews described in this regulation, the Parties decide to adopt
amendments to this Annex, such amendments shall be adopted and enter into force in
accordance with the procedures contained in Article 19 of this Convention.
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Section E
Survey and Certification Requirements for Ballast Water Management
Regulation E-1
Surveys
1 Ships of 400 gross tonnage and above to which this Convention applies, excluding
floating platforms, FSUs and FPSOs, shall be subject to surveys specified below:
.1 An initial survey before the ship is put in service or before the Certificate
required under regulation E-2 or E-3 is issued for the first time. This survey shall verify
that the Ballast Water Management plan required by regulation B-1 and any
associated structure, equipment, systems, fitting, arrangements and material or
processes comply fully with the requirements of this Convention.
.4 An annual survey within three months before or after each Anniversary date,
including a general inspection of the structure, any equipment, systems, fittings,
arrangements and material or processes associated with the Ballast Water
Management plan required by regulation B-1 to ensure that they have been
maintained in accordance with paragraph 9 and remain satisfactory for the service for
which the ship is intended. Such annual surveys shall be endorsed on the Certificate
issued under regulation E-2 or E-3.
2 The Administration shall establish appropriate measures for ships that are not subject
to the provisions of paragraph 1 in order to ensure that the applicable provisions of this
Convention are complied with.
3 Surveys of ships for the purpose of enforcement of the provisions of this Convention
shall be carried out by officers of the Administration. The Administration may, however,
entrust the surveys either to surveyors nominated for the purpose or to organizations
recognized by it.
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.1 require a ship that they survey to comply with the provisions of this
Convention; and
5 The Administration shall notify the Organization of the specific responsibilities and
conditions of the authority delegated to the nominated surveyors or recognized
organizations, for circulation to Parties for the information of their officers.
8 In every case, the Administration concerned shall fully guarantee the completeness
and efficiency of the survey and shall undertake to ensure the necessary arrangements to
satisfy this obligation.
9 The condition of the ship and its equipment, systems and processes shall be
maintained to conform with the provisions of this Convention to ensure that the ship in all
respects will remain fit to proceed to sea without presenting a threat of harm to the
environment, human health, property or resources.
10 After any survey of the ship under paragraph 1 has been completed, no change shall
be made in the structure, any equipment, fittings, arrangements or material associated with
the Ballast Water Management plan required by regulation B-1 and covered by the survey
*
Refer to the guidelines adopted by the Organization by resolution A.739(18), as may be amended by
the Organization, and the specifications adopted by the Organization by resolution A.789(19), as may
be amended by the Organization.
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without the sanction of the Administration, except the direct replacement of such equipment
or fittings.
Regulation E-2
Issuance or Endorsement of a Certificate
1 The Administration shall ensure that a ship to which regulation E-1 applies is issued a
Certificate after successful completion of a survey conducted in accordance with regulation
E-1. A Certificate issued under the authority of a Party shall be accepted by the other Parties
and regarded for all purposes covered by this Convention as having the same validity as a
Certificate issued by them.
Regulation E-3
Issuance or Endorsement of a Certificate by Another Party
1 At the request of the Administration, another Party may cause a ship to be surveyed
and, if satisfied that the provisions of this Convention are complied with, shall issue or
authorize the issuance of a Certificate to the ship, and where appropriate, endorse or
authorize the endorsement of that Certificate on the ship, in accordance with this Annex.
2 A copy of the Certificate and a copy of the survey report shall be transmitted as soon
as possible to the requesting Administration.
3 A Certificate so issued shall contain a statement to the effect that it has been issued
at the request of the Administration and it shall have the same force and receive the same
recognition as a Certificate issued by the Administration.
4 No Certificate shall be issued to a ship entitled to fly the flag of a State which is not a
Party.
Regulation E-4
Form of the Certificate
The Certificate shall be drawn up in the official language of the issuing Party, in the form set
forth in Appendix I. If the language used is neither English, French nor Spanish, the text shall
include a translation into one of these languages.
Regulation E-5
Duration and Validity of the Certificate
1 A Certificate shall be issued for a period specified by the Administration that shall not
exceed five years.
.2 When the renewal survey is completed after the expiry date of the existing
Certificate, the new Certificate shall be valid from the date of completion of the
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renewal survey to a date not exceeding five years from the date of expiry of the
existing Certificate.
.3 When the renewal survey is completed more than three months before the
expiry date of the existing Certificate, the new Certificate shall be valid from the date
of completion of the renewal survey to a date not exceeding five years from the date
of completion of the renewal survey.
3 If a Certificate is issued for a period of less than five years, the Administration may
extend the validity of the Certificate beyond the expiry date to the maximum period specified
in paragraph 1, provided that the surveys referred to in regulation E-1.1.3 applicable when a
Certificate is issued for a period of five years are carried out as appropriate.
4 If a renewal survey has been completed and a new Certificate cannot be issued or
placed on board the ship before the expiry date of the existing Certificate, the person or
organization authorized by the Administration may endorse the existing Certificate and such a
Certificate shall be accepted as valid for a further period which shall not exceed five months
from the expiry date.
5 If a ship at the time when the Certificate expires is not in a port in which it is to be
surveyed, the Administration may extend the period of validity of the Certificate but this
extension shall be granted only for the purpose of allowing the ship to complete its voyage to
the port in which it is to be surveyed, and then only in cases where it appears proper and
reasonable to do so. No Certificate shall be extended for a period longer than three months,
and a ship to which such extension is granted shall not, on its arrival in the port in which it is
to be surveyed, be entitled by virtue of such extension to leave that port without having a new
Certificate. When the renewal survey is completed, the new Certificate shall be valid to a
date not exceeding five years from the date of expiry of the existing Certificate before the
extension was granted.
6 A Certificate issued to a ship engaged on short voyages which has not been
extended under the foregoing provisions of this regulation may be extended by the
Administration for a period of grace of up to one month from the date of expiry stated on it.
When the renewal survey is completed, the new Certificate shall be valid to a date not
exceeding five years from the date of expiry of the existing Certificate before the extension
was granted.
8 If an annual survey is completed before the period specified in regulation E-1, then:
.3 the expiry date may remain unchanged provided one or more annual surveys,
as appropriate, are carried out so that the maximum intervals between the surveys
prescribed by regulation E-1 are not exceeded.
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9 A Certificate issued under regulation E-2 or E-3 shall cease to be valid in any of the
following cases:
.2 upon transfer of the ship to the flag of another State. A new Certificate shall
only be issued when the Party issuing the new Certificate is fully satisfied that the
ship is in compliance with the requirements of regulation E-1. In the case of a transfer
between Parties, if requested within three months after the transfer has taken place,
the Party whose flag the ship was formerly entitled to fly shall, as soon as possible,
transmit to the Administration copies of the Certificates carried by the ship before the
transfer and, if available, copies of the relevant survey reports;
.3 if the relevant surveys are not completed within the periods specified under
regulation E-1.1; or
Appendix 1
Issued under the provisions of the International Convention for the Control and Management
of Ships’ Ballast Water and Sediments (hereinafter referred to as "the Convention") under the
authority of the Government of
………………………………………………………………………………………………………….
(full designation of the country)
by……………………………………………………………………………………………………….
(full designation of the competent person
or organization authorized under the provisions
of the Convention)
Particulars of ship*
The principal Ballast Water Management method(s) employed on this ship is/are:
*
Alternatively, the particulars of the ship may be placed horizontally in boxes.
†
IMO Ship Identification Number Scheme adopted by the Organization by resolution A.600(15).
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THIS IS TO CERTIFY:
1 That the ship has been surveyed in accordance with regulation E-1 of the Annex to
the Convention; and
2 That the survey shows that Ballast Water Management on the ship complies with the
Annex to the Convention.
Issued at ………………………………………………………………………………………………
(Place of issue of certificate)
……………….. …………………………………………………………………
(Date of issue) Signature of authorized official issuing the certificate)
THIS IS TO CERTIFY that a survey required by regulation E-1 of the Annex to the
Convention the ship was found to comply with the relevant provisions of the Convention:
Place …………………………………..
Date …………………………………….
Place …………………………………..
Date …………………………………….
Place …………………………………..
Date …………………………………….
Place …………………………………..
Date …………………………………….
*
Delete as appropriate.
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ANNUAL/INTERMEDIATE SURVEY
IN ACCORDANCE WITH REGULATION E-5.8.3
Signed ………………………………..
(Signature of duly authorized official)
Place …………………………………..
Date …………………………………….
The ship complies with the relevant provisions of the Convention, and this Certificate shall, in
accordance with regulation E-5.3 of the Annex to the Convention, be accepted as valid
until………………………
Signed ………………………………..
(Signature of duly authorized official)
Place …………………………………..
Date …………………………………….
The ship complies with the relevant provisions of the Convention and this Certificate shall, in
accordance with regulation E-5.4 of the Annex to the Convention, be accepted as valid until
Signed ………………………………..
(Signature of duly authorized official)
Place …………………………………..
Date …………………………………….
*
Delete as appropriate.
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This Certificate shall, in accordance with regulation E-5.5 or E-5.6* of the Annex to the
Convention, be accepted as valid until …………………..
Signed ………………………………..
(Signature of duly authorized official)
Place …………………………………..
Date …………………………………….
In accordance with regulation E-5.8 of the Annex to the Convention the new Anniversary
date is …………….
Signed ………………………………..
(Signature of duly authorized official)
Place …………………………………..
Date …………………………………….
In accordance with regulation E-5.8 of the Annex to the Convention the new Anniversary
date is …………….
Signed ………………………………..
(Signature of duly authorized official)
Place …………………………………..
Date …………………………………….
*
Delete as appropriate.
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Appendix 2 page 33/35
Appendix II
Flag ……………………………………………………………………
1 Introduction
In accordance with regulation B-2 of the Annex to the International Convention for the
Control and Management of Ships’ Ballast Water and Sediments, a record is to be kept of
each Ballast Water operation. This includes discharges at sea and to reception facilities.
“Ballast Water” means water with its suspended matter taken on board a ship to control trim,
list, draught, stability, or stresses of a ship. Management of Ballast Water shall be in
accordance with an approved Ballast Water Management plan and taking into account
Guidelines* developed by the Organization.
Entries in the Ballast Water record book shall be made on each of the following occasions:
.1 Date, time and location port or facility of uptake (port or lat/long), depth if
outside port
*
Refer to the Guidelines for the control and management of ships’ ballast water to minimize the transfer of
harmful aquatic organisms and pathogens adopted by the Organization by resolution A.868(20).
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3.2 Whenever Ballast Water is circulated or treated for Ballast Water Management
purposes:
.3 Port or facility
The volume of Ballast Water onboard should be estimated in cubic metres. The Ballast
Water record book contains many references to estimated volume of Ballast Water. It is
recognized that the accuracy of estimating volumes of ballast is left to interpretation.