MEPC 56/23

I:\MEPC\56\23.doc ANNEX 1

RESOLUTION MEPC.161(56)

Adopted on 13 July 2007

GUIDELINES FOR ADDITIONAL MEAS URES REGARDING BALLAST WATER

MANAGEMENT INCLUDING EMERGENCY SITUATIONS (G13)

THE MARINE ENVIRONMENT PROTECTION COMMITTEE,

RECALLING Article 38(a) of the Convention on the International Maritime Organization concerning the functions of the Marine Envi ronment Protection Committee conferred upon it by

the international conventions for the prevention and c ontrol of marine pollution,

RECALLING ALSO that the International C onference on Ballast Water Management for Ships held in February 2004 adopted the In ternational Convention for the Control and Management of Ships’ Ballast Water and Sediments, 2004 (Ballast Water Management Convention) together with four Conference resolutions,

NOTING that regulation A-2 of the Ballast Water Management Convention requires that discharge of ballast water shall only be conducted through Ballast Water Management in accordance with the provisions of the Annex to the Convention,

NOTING FURTHER that Section C of the Anne x to the International Convention for the Control and Management of Ships’ Ballast Wa ter and Sediments provide s that, if a Party, individually or jointly with ot her Parties, determines that me asures in addition to those in Section B of the Convention are necessary to preven t, reduce, or eliminate the transfer of harmful aquatic organisms and pathogens through ships’ ballast water and sedime nts, such Party or Parties may, consistent with international law, require ships to meet a specified standard or requirement taking into account the Gu idelines developed by the Organization,

NOTING ALSO that resolution 1 adopted by the International Conference on Ballast Water Management for Ships invited the Organizati on to develop these Guidelines as a matter of

urgency,

HAVING CONSIDERED, at its fifty-sixth se ssion, the draft Guidelines for additional measures regarding ballast water management including emergency situations (G13) developed by the Ballast Water Working Group,

1. ADOPTS the Guidelines for additional meas ures regarding ballast water management including emergency situations (G13) as se t out in the annex to this resolution;

2. INVITES Governments to apply these Guide lines as soon as possible, or when the Convention becomes applicable to them; and

3. AGREES to keep these Guidelines under review.MEPC 56/23

ANNEX 1 Page 2

I:\MEPC\56\23.doc ANNEX

GUIDELINES FOR ADDITIONAL MEAS URES REGARDING BALLAST WATER

MANAGEMENT INCLUDING EMER GENCY SITUATIONS (G13)

1 INTRODUCTION

1.1 The International Convention for the Control and Management of Ships’ Ballast Water and Sediments, 2004, hereafter refe rred to as the “Convention”, regul ates the transf er of harmful aquatic organisms and pathogens from ships’ ballast water and sediments.

1.2 These Guidelines have been developed pur suant to regulation C-1 of the Convention. These Guidelines provide guidance under regulati on C-1 for a Party or Parties to use when determining if measures in addition to those in Section B of the Convention are necessary in order to prevent, reduce or eliminate the transf er of harmful aquatic organisms and pathogens through ships’ ballast water and sediments.

1.3 The Guidelines should be kept under review in order to make use of experiences gained in their application.

2 ASSESSMENT WHEN A STATE INTENDS TO INTRODUCE ADDITIONAL

MEASURES

2.1 General

2.1.1 The Convention, in regulation C-1 Add itional Measures, provides that a Party individually or jointly with other Parties, ma y introduce measures in addition to those in Section B. A Party or Parties may require ships, in accordance with international law, to meet or exceed a specified standard or requirement.

2.1.2 A Party intending to introduce additional meas ures should take these Guidelines into account, and endeavour to make available all appropr iate services for ship s to facilitate their compliance with any additional measures.

2.2 The assessment

2.2.1 Before a Party, individually or jointly with othe r Parties, intends to introduce additional measures in accordance with regulation C-1 of th e Convention, it should assess the need for and nature of the measures, which should include:

.1 identification of the concern, i.e., the potential harm from the introduction of harmful aquatic organisms and pathogens in the area to be covered by the additional measures;

.2 description of the cause(s) of the identified concern;

.3 identification of potential additiona l measures to be introduced; and

.4 identification of potential effects and c onsequences, beneficial and detrimental, resulting from introduction of the proposed additional measure(s).MEPC 56/23

ANNEX 1 Page 3

I:\MEPC\56\23.doc 2.2.2 A Party should assess the character of the concern. Such an assessment may include a consideration of such things as:

.1 What are the probabilities or consequen ces of future intro ductions of harmful aquatic organisms and pathogens on the environment, human health, property, or

resources?

.2 If harmful aquatic organisms or pathoge ns have already been introduced, what effects are they already having on the e nvironment, human health, property or resources, and how might this be affected by future introductions?

.3 Whether ballast water from ships is a vector for the introduction of harmful aquatic organisms and pathogens?

Identification of the additional measures to be introduced

2.2.3 The additional measure(s) to be introduced shall be in accordance with Article 7.2 and regulation C-1.3 of the Convention, and shoul d be clearly identif ied in respect of:

.1 the area(s) where the additional measure(s) is/are applicable defined by precise co-ordinates;

.2 the operational and/or t echnical requirement(s) which applies to ships in the area(s), and the requirement(s) to provide documentation for compliance if needed;

.3 the arrangements which may be provided to facilitate ships’ compliance with the additional measure(s);

.4 the effective date and dura tion of the measure(s); and

.5 any other requirements and services in relation to the additional measure(s).

Effects and consequences of introduc tion of the proposed measure(s)

2.2.4 The economic consequences resulting from the introduction of the additional measure(s) should be taken into account. In this resp ect the following aspects may be relevant:

.1 the economic benefits and possible co sts, including costs to the industry, associated with the additional measure(s); and

.2 any other effects and consequences.

2.3 Procedures to follow when es tablishing additional measures

2.3.1 A Party or Parties intending to introduce additional measures in accordance with regulation C-1 of the Convention should consult adjacent States and other St ates that may be

affected before the additional measures are de cided upon so that such consultations can, where appropriate, meaningfully inform decision making. The Assessment as outlined in section 2.2 ofMEPC 56/23

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I:\MEPC\56\23.doc these Guidelines should be presented to affected States, and States should be invited to comment on the draft assessment, if appropriate.

.1 In regulation C-1 of the Convention two procedures for introducing additional measures are possible – one procedure wh ich requires IMO approval, and another procedure which only requi res IMO notification.

.2 The Party or Parties should ensure th at any additional measure(s) shall not compromise the safety and security of the ship and in any circumstances not conflict with any other conve ntions or customary intern ational law with which the ship must comply.

.3 The legal determination upon which the ad ditional measure(s) is submitted should

be identified.

.4 In introducing additional measures, the Party or Parties should, inter alia , provide the following information to the Organization, in particular the

Marine Environment Protection Committ ee (hereafter known as the “MEPC”):

.1 the Assessment as outlined in section 2.2;

.2 the identification of the legal de termination upon which each additional measure(s) is submitted; and

.3 the following additional details:

.1 if the additional measure(s) is already provided under an existing IMO instrument; or

.2 if the additional measure(s) doe s not yet exist but could become available through amendment of an y IMO instrument or adoption of a new IMO instrument; or

.3 if the additional measure(s) is proposed for adoption in the

territorial sea 1 or pursuant to the United Nations Convention on the Law of the Sea where existing measures or a generally applicable measure would not adequately address the concern identified in

section 2.2.

.5 Where a Party or Parties may seek to introduce additional measures through the notifying procedure, the IMO should be no tified at least 6 months prior to the projected date of implementation, ex cept in emergency circumstances in accordance with regulation C-1.3.2 of the Convention.

1 This provision does not derogate from the rights and duties of coastal States in the territorial sea as provided for

in the United Nations Convention on the Law of the Sea.MEPC 56/23

ANNEX 1 Page 5

I:\MEPC\56\23.doc .6 In the case where a Party or Parties in tend to introduce additional measure(s) that requires approval by the Organization under international law as reflected in UNCLOS (see regulation C-1.3.3 of the Convention), the Pa rty or Parties should, in accordance with the rules adopted by the MEPC for submission of papers, submit the application to introduce additi onal measure(s) to the MEPC for its approval.

.7 In considering additional measures that require the approval of the Organization, the MEPC should be expected to consid er an application submitted to it by a proposing Party or Parties on a case-by-case basis. In assessing each proposal, the MEPC should be expected in particular to consider:

.1 whether such additional measures are in accordance with Article 7.2 and regulation C-1.3 of the Convention;

.2 whether the proposed additional meas ures are appropriate to prevent, reduce, or eliminate the identified po tential harm from the introduction of harmful aquatic organisms and pathogens in the area to be covered by the additional measures;

.3 whether such measures might result in an increased potential for significant adverse effects by intern ational shipping activities on the environment outside the area to be covered by the additional measures;

and

.4 whether such measures might, inter alia , result in any impact on the safety and commercial aspect of international shipping activities.

.8 In the case where an application is s ubmitted for approval, if the MEPC approves the application, the additional measure(s) may be implemented. If the application is not approved, the additional measure( s) cannot be implemented. The proposing Party or Parties may submit a revised ap plication to the Marine Environment Protection Committee for approval subsequently.

2.4 Communication of information

2.4.1 A Party or Parties intending to introduce additional measures should inform adjacent States and other States that may be affected, the shipping industry in general and ships entering the areas concerned as soon as possible, and in the case of those measures requiring approval of the Organization, as soon as the proposal has been so approved. The information should at least

contain:

.1 the precise co-ordinates where and appl icable date when additional measure(s) is/are applicable;

.2 the need and reasoning for the application of the addi tional measure(s), including, whenever possible, benefits;MEPC 56/23

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I:\MEPC\56\23.doc .3 a description of the additional measure(s); and

.4 any arrangements that may be provided to facilitate ships’ compliance with the

additional measures.

2.4.2 Communications in accordance with regulatio n C-1 of the Convention shall be submitted

to the Marine Environment Protection Committee. Except in emergency situations, the intention to establish such additional measures is requi red by regulation C-1.3 to be communicated to the Organization at least six months prior to the projected date of implementation. In emergency situations, additional measures should be communi cated to the Organization as soon as possible.

2.4.3 In both cases (approval/non-approval), in due time before the introduction of the additional measure(s) a Party or Parties intendin g to introduce additional measures should inform affected States, the shipping i ndustry in general and ships ente ring the areas concerned, the following should be communicated:

.1 the precise co-ordinates where addi tional measure(s) is/are applicable;

.2 the operational and/or tec hnical requirement(s) which a pplies or apply to ships in the area(s), and the requirement(s) to provide documentation for compliance if needed;

.3 the arrangements which may be provided to facilitate ships’ compliance with the additional measure(s);

.4 the effective date and dura tion of the measure(s); and

.5 any other requirements and services in relation to the additional measure(s).

2.4.4 The Organization shall issue circulars or post relevant in formation on the website in accordance with the provisions of the Convention.

3 EMERGENCY OR EPIDEMIC SITUATION

3.1 A Party or Parties may adopt an additiona l measure(s) to address an emergency or epidemic situation.

3.2 If such a measure is adopt ed, a Party or Parties should , as soon as possible, notify adjacent and other States that may be affecte d, the shipping industry in general, and ships operating in the areas of concern. Such information should contain:

.1 the precise co-ordinates of the area;

.2 the need for such additional measure(s);

.3 a description of the additional measure(s);MEPC 56/23

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I:\MEPC\56\23.doc .4 any arrangements that may be provided to facilitate ships’ compliance with the additional measure(s); and

.5 the effective date when the measure(s) applies and when the measure(s) is no longer in effect.

3.3 In an emergency or epidemic situation, the additional measure(s) adopted should be communicated to the Organization as soon as po ssible. The Organization shall post relevant

information on its website and retain such in formation for dissemination to the Committee.MEPC 56/23

ANNEX 1 Page 8

I:\MEPC\56\23.doc APPENDIX

FLOW CHART – PROCEDURE FOR IN TRODUCING ADDITIONAL MEASURES

Party or Parties to the Convention intending to

introduce Additional Measures

Assessment (section 2.2 of the Guidelines)

Are Additional Measures justified? Yes No

Consultation with

affected States

Application to IMO/MEPC seeking approval

Approval by

IMO/MEPC?

Yes No Party or Parties may

submit revised application

Additional Measures introduced Additional Measures not introduced IMO approval required? No

Yes Notify IMO/MEPC

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