INTERNAT I ONAL C O NFERE N C E ON

BALL AST WAT E R M ANAGEME NT FOR

SHIPS Agenda item 8 BW M/CONF/36

16 F e b r u a ry 2004 Origina l: E NGLISH

ADOPTION OF THE FINAL ACT AND ANY INST RUMENTS, RECOMMENDATIONS

AND RES O LUTIONS RES U LT ING FROM TH E WORK OF THE CONF ERE NCE

INTERNATIONAL CONVENTION FOR T H E CONT ROL AND MANAGE M ENT OF SHIPS' BALLAST WATER AND SEDIMENTS, 2004

Text adopted by the Conference

1 As a re sult of its de lib e r ati ons, as recorded in the Record of Decisions of the P l enary (BW M /CONF/RD/2/Rev.1) and the Final Ac t of the Conference (BW M /CONF/37), the Conference adopted the International Convention for the Control and Managem e nt of Ships’

Ballast W a t e r and Sedim e nts, 2004.

2 The above-m entioned Convention, as adopted by the Conference, is annexed hereto.

***

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ANNEX

INTERNATIONAL CONVENTION FOR T H E CONT ROL AND MANAGE M ENT OF SHIPS' BALLAST WATER AND SEDIMENTS, 2004

THE PART IES TO THIS CONVE NTION,

RECALLI NG Article 196(1) of the 1982 United Natio ns Convention on the Law of the Sea (UNCLOS), which prov ides that “States s h all ta ke all m easures ne cessary to prevent, reduce and

contro l pollution of the m a rine environm ent resulting from the use of technolog ies under th eir jurisd ic tion or contro l, o r the in tentional or ac ci dental introduction of speci es, alien or new, to a particular part of the m a rine environm ent, which m a y cause significant and harmful changes thereto,”

NOTING the objectives of the 1992 Convention on Bi ological Diversity (CBD) and that the

transfer and introduction of Ha r m ful Aquatic O r ganism s and Pat hogens via ships’ ballast water

threatens the conservation and sustainabl e use of biological divers ity as well as decision IV/5 of

the 1998 C onference of the Parties (COP 4) to the CBD concerning the conservation and

sustainable use of m a rine a nd coastal ecosystem s, as well as decision VI/23 of the 2002

Conf erence of the Par tie s (COP 6) to the CBD on alien spe c ie s tha t th rea t en ecosys te m s , habitats or species, including guiding principles on invasive species,

NOTING FURTHE R that the 1992 United Nations C onference on Environm ent and Developm ent (UNCED) requested th e In terna tio na l Maritim e Organization (t he Organization) to consider the adoption of appropriate rules on ballast water discharge,

MINDFUL of the precautionary approach set out in Principle 15 of the Rio Declaration on

Environm ent and Developm ent and referred to in resolution MEPC.67(37), adopted by the Organization’s Marine Environm ent Protection Comm ittee on 15 September 1995,

ALSO MINDFUL that the 2002 W o rld Summ it on Su stainable Developm ent, in paragraph 34(b) of its Plan of Im plem entation, calls f o r a c tion a t all levels to ac cele r ate the developm ent of m easures to address inva siv e alie n species in balla st wate r ,

CONSCIOUS that the uncontrolled discharge of Ballast Water and Sedim e nts from ships has

led to th e tr a n sf er of Harmf u l Aquatic Organism s and Pathogens, causing in jury o r da m a ge to the

environm ent, hum a n health, property and resources,

RECOGNIZ ING the importance placed on this issu e by the Organization throu gh Assem b l y resolutions A.774(18) in 1993 and A.868(20) in 1997, adopted for the purpose of addressing the transfer of Harmful Aquatic Organism s and Pathogens,

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RECOGNIZ ING FURTHER that several States have taken individual action with a view to
prevent, m i nim i ze and ultim ately elim inate th e risks o f introduction of Harmful Aquat i c Organism s and Pathogens through ships entering their ports, and also that this issue, being of worldwide concern, dem a nds action based on globa lly a pplicab le re gulations to gether with guidelines for their effective im plem entation and uniform i n terpretation,

DESIRI NG to continue the developm ent of sa fer and m o re ef f ective Ballast W a ter M a nagem e nt options th at will resu lt in continu e d preventio n, m i nim i zation and ultim a te elim ination of the transfer of Harmful Aquatic Organism s and Pathogens,

RESOLVE D to prev ent, m i nim i ze a nd ultim a tely elim in ate the risks to the environment, hum an health, property and resources ar ising f r om the transf er o f Harmf u l Aquatic Or ganism s and Pathogens through the control and m a nage m e nt of ships’ Ballast W a ter and Sedi m e nts, as well as

to avoid unwanted side-effects from that contro l and to encourage developm ents in related knowledge and technology,

CONSIDE R ING that these objectives m a y best be achieved by the conclusion of an

International Convention for th e Control and Managem e nt of Ships’ Ballast W a ter and

Sedim e nts,

HAVE AG REE D as f o llows:

Article 1 Definitions

For the purpose of this Convention, unless expressly provided otherwise:

1 "Adm inistration" m eans the Governm e nt of the State under whose authority the ship is operating. W ith respect to a ship entitled to fly a flag of any State, the Adm i nistration is the

Governm e nt of that State. W ith respec t to f l oating platfor m s engaged in exploration and exploitation of the sea-b e d and subsoil thereof adjacen t to th e coast over which the coastal State exercises sovereign rights for the purposes of exploration an d exploitation of its natural resources, including Floating Storage Units (FSUs) and Floating Production Storage and Offloading Units (FPSOs), the Adm i nistration is th e Govern m e nt of the coastal State concerned.

2 “Ballas t W a ter” m eans water with its susp ended m a tter taken on board a ship to control

trim , list, draught, stability or stresses of the ship.

3 “Ballast Water Managem e nt” m e ans m ech anical, physical, chem ical, and biological processes, either singularly or in combination, to rem ove, render harm less, or avoid the uptake or discharge of Harmful Aquatic Organism s and Pa t hogens within Ballast Water and Sedim e nts.

4 “Certif ica t e” m eans the I n terna tiona l Ballast W a ter Managem e nt Certif ica t e.

5 “Comm ittee” m eans the Marine Env i ronm ent Protection Comm ittee of the Organiza tio n.

6 “Convention” m eans the International Conve ntion for the Control and Managem e nt of Ships’ Ballast W a ter and Sedim e nts.

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7 “Gross tonnage” m eans the gross tonnage cal culated in accordance with the tonnage

m easure m ent regulations contained in Annex I to the International Convention on Tonnage

Measurem ent of Ships, 1969 or any successo r Convention.

8 “Harmful Aquatic Organism s and Pathoge ns” m eans aquatic organism s or pathogens which, if in troduced in to the sea in cluding estu arie s, or in to fresh water cou r ses, m a y create
hazards to the environ m ent, human health, propert y or resources, im pair bio l ogical dive rsity or inte rf ere with other legitim a te uses of such areas.

9 “Organization” m eans the Inte rnational Maritime Organization.

10 “Secretary-General” m eans the Secr etary-General of the Organization.

11 “Sedim ents” m eans m a tter settled ou t of Ballast W a ter within a ship.

12 “Ship” m e a n s a vessel of any type whatsoev er operating in the aquatic environm ent and

includes subm ersibles, floating craft, floating platfor m s, FSUs and FPSOs.

Article 2 General Obligations

1 Parties undertake to give full and complete eff ect to the provisions of this Convention and the Annex thereto in order to prevent, m i ni m i ze a nd ultim a tely elim inate the transf e r

of Harmf u l Aquatic Organism s and Pathogens through the cont rol and m a nage m e nt of ships’ Ballast W a ter
and Sedim e nts.

2 The Annex for m s an integral part of th is Convention. Unless expressly provided otherwise, a reference to this Convention constitu tes at the sam e ti m e a reference to the Annex.

3 Nothing in this Convention shall be interpreted as preventing a P a rty from t a king, individually or join tly w i th other Parties, m o re stringent m easures with respect to the prevention,

reduction or elim ination of the transfer of Har m ful Aquatic Organism s and Pathogens through

the control and m a nagem e nt of sh ips’ Ballas t W a ter and Sed i m e nts, consisten t with interna tiona l

law.

4 Parties shall endeavour to co-operate fo r the purpose of effective im ple m entation,

com p liance and enforcem ent of this Convention.

5 Parties undertake to encourage the continue d developm ent of Ballast W a ter Managem e nt and standards to prevent, m i ni m i ze and ultimate ly e lim inate the tran sf er of Harmf u l Aquatic Organism s and Pathogens through the control a nd m a nagem e nt of ships’ Ballast W a ter and

Sedim e nts.

6 Parties taking action pursuant to this Conven tion shall endeavour not to impair or dam a ge their environm ent, human h ealth, property or resources, or those of other States.

7 Parties shou ld ensure th at Balla st W a ter Man a ge m e nt practic es used to c o m p ly with this Convention do not cause greater harm than they prevent to their environm ent, hum an health,
property or resources, or those of other States.

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8 Parties shall encourage ships entitled to fly their flag, and to which this Convention applies, to avoid, as fa r as practicable, the up take of Ballast W a ter with poten tially Ha rm f u l Aquatic Organism s and Pathogens, as well as Se di m e nts that m a y contain such organism s, including prom oting the adequate im ple m en tation of recommendations developed by the Organization.

9 Parties shall endeavour to co -operate under the auspices of the Organization to address

threa t s and risks to sen s itiv e, vulne rable o r thr eatened m a rine ecosys te m s and biodivers ity in areas beyond the lim its of national jurisdicti on in relation to Ballast W a t e r Management.

Article 3 Application

1 Except as expressly provided otherwise in this Convention, this Convention shall apply

to:

(a) ships entitled to fly the flag of a Party; and

(b) ships not entitled to fly the flag of a Party but w h ich operate under the authority of a Party.

2 This Convention shall not apply to:

(a) ships not designed or constr uc ted to carry Ba llas t W a ter;

(b) ships of a P a rty which only operate in wa ters u nder the jur i sdic tion of that Party,

unless the P a rty determ ines that the discharge o f Ballast W a ter f r om such ships

would im pai r or dam a ge their environm en t, human health, prope rty or resources, or those of adjacen t or other States;

(c) ships of a Party which only operate in waters under the jurisdiction of another Party, subje c t to the authoriza tion o f the la tter P a rty for such exclusion. No Party shall gran t such au th oriza tion if doi ng so would im pair or dam a ge their

environm ent, hum an health, property or res ources, or those of adjacent or other States. Any Party not granting such aut horiz atio n shall notif y the Adm i nistr a tion of the ship concerned that this Convention applies to such ship;

(d) ships which only operate in waters unde r the jurisdiction of one Party and on the high seas, except for ships not granted an authorization pursuant to sub-paragraph (c), un less s u ch Party d e term ines th at th e dis c h a rge of Ballast W a ter f r o m such ships would im pair or dam a ge their en vironm ent, hum an health, property or resources, or those of adjacent of oth e r States;

(e) any warship, naval auxiliary or other ship owned or operated by a State and used,

for the tim e being, only on govern m e nt non- commercial service. However, each Party shall ensure, by the adoption of appr opriate m e a s ures not impairing operations or operational capabilities of su ch ships owned or operated by it, that such ships act in a m a nner consistent, so fa r as is reason able a nd practicable, with this Convention; and

(f) perm anent Ballast W a t e r in sealed tanks on ship s, that is not s ubject to discharge.

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3 W ith respect to ships of non-Pa rties to this Convention, Parties shall apply the requirem e nts of this Convention as m a y be nece ssa ry to ensure that no more favourable treatm e n t is given to such ships.

Article 4 Control of the Transfer of Harmful A quatic Organisms and Pathogens T h rough Ships’ Ballast Water and Sediments

1 Each Party shall require that ships to which this Convention applies and which are

entitled to f l y its f l ag or opera ting u nder its auth ority com p ly with the r e quirem e nts set f o rth in this Convention, including the applicable standard s and requirem e nts in the Annex, and shall take

ef

f ective m e asures to ens u re tha t thos e ships com p ly with tho s e requirem e nts.

2 Each Party shall, with due regard to its particular condi tions and capabilities, develop national policies, strategi es or programmes for Ballast W a ter Ma nagem e nt in its ports and waters under its jurisdiction that accord with, and promote the atta inm e nt of the objectives of th is

Convention.

Article 5 Sediment Reception Facilities

1 Each Party undertakes to en sure that, in ports and term inals designated by that P a rty where cleaning or repair of balla st tanks occurs, adequate facili ties are provided for the reception

of Sedi m e nts, taking into account the Guidelin es developed by the Orga nization. Such reception facilities shall operate without causing undue delay to ship s and shall provide f o r the safe disposal of such Sediments that does not im pa ir or dam a ge their environm ent, hum a n health, property or resources or those of other States.

2 Each Party shall notify the Organization for tr ansm ission to the other Parties concerned of

all cases where the facilities provided under paragraph 1 are alleged to be inadequate.

Article 6 Scientific and Technical Research and Monitoring

1 Parties shall endeavour, i ndividually or jointly, to:

(a) prom ote and f acilitate scientif ic and techn i cal resea r c h on Balla st W a ter Managem e nt; and

(b) monitor th e ef f ects of Ballast W a ter Man a gem e nt in waters un der the i r jurisd ic tion.

Such research and m onitoring should include ob servation, m easure m ent, sam p ling, evaluation and analysis of the effectiveness and adverse im pacts of any technology or m e thodology as well as any adverse im pacts caused by such organism s and pathogens that have been identified to have been transferred through ships’ Ballast W a t e r.

2 Each Party shall, to further the objectives of this Convention, prom ote the availability of

relevant inform ation to othe r Parties who request it on:

(a) scientific and technology programmes and technical m easures undertaken with

respec t to B a lla st W a ter Managem e nt; and

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(b) the effectiveness of Ballast W a ter Managem e nt deduced from any m onitoring and

assessm ent programm e s.

Article 7 Survey and certifica tion

1 Each Party shall ensure that ships flying its flag or operating under its authority and subject to survey and certificatio n are so s u rveyed an d certified in accord an ce with th e regulations in the Annex.

2 A Party im plem enting 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

Adm i nistration of the ship be obligated to su rvey and certify additional m easures imposed by another Party. Verification of su ch additional m easures shall be the responsibility of the Party

im ple m enting such m eas ures and sha ll not cause undue delay to the ship.

Article 8 Violations

1 Any violation of the requirem e nts of this Convention shall be prohibited and sanctions

shall be established under the law of the Adm i ni stration of the ship concerned, wherever the

violation occurs. If the Adm i nist r a tion is inf o r

m ed of such a v i ola tio n, it sha ll in vestig ate th e

m a tter and m a y request the reportin g Party to furnish additional evid ence of the alleged violation.

If

the Adm i nistr a tion is satisf i ed tha t suf f i cient e v idence is a v ailab l e to e n able pro c e e dings to be brought in respect of the alleged violation, it sh all cause such proceedings to be taken as soon as possible, in accordan ce with its law

. The Admini stration s h all prom ptly inform the Party th at reported the alleged violation, as well as th e Organization, of any action taken. If the

Adm i nistration has no t taken any action with in 1 y ear after receiv i ng th e inform ation, it shall so

inform the Party which reported the alleged violation.

2 Any violation of the requirem ents of this Convention within the ju risdiction of any Party shall be prohibited and sanctions shall be establ ished under the law of that Party. Whenever such a violation occurs, that P a rty sha ll either:

(a) cause proceedings to be taken in accordance with its law; or

(b) f u rnish to th e Adm i nistr a tion of the ship such in for m ation and evidence as m a y be in its possession that a violation has occurred.

3 The sanctions provided for by the laws of a Party pu rsu a nt to th is Artic le sha l l be adequate in severity to disc ourage violations of this Conve ntion wherever they occur.

Article 9 Inspection of Ships

1 A ship to which this Convention applies m a y, in any port or offshore term inal of another Party, be subject to inspection by officers duly authorized by that P a rty for the purpose of

determ ining whether the ship is in com p liance w ith this Convention. Except as provided in paragraph 2 of this Article, a ny such inspection is lim ited to:

(a) verifying that there is onboard a valid Certificate, which, if valid shall be accepted; an d

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(b) inspection of the Ballast Water record book, and/or

(c) a sam p ling of the ship’s Ballas t W a ter, car ried out in accordanc e with the guidelines to be developed by the Organi zation. However, the tim e required to analyse the sam p les shall not be used as a basis for unduly de laying the operation,

move m e nt or departure of the ship.

2 Where a ship does not carry a valid Certific ate or there are clear grounds for believing

that:

(a) the condition of the ship or its equipm ent does not correspond substantially with the par ticu l a r s of the Cer tif ica t e; o r

(b) the m a ster or the crew are not fam iliar with essential s h ipboard procedures relating to Ballast W a ter Managem e nt, or have not im ple m ented such procedures;

a deta iled in spection m a y be carried out.

3 In the circum stances given in paragraph 2 of this Article, the Party carrying out the inspec tion s h all tak e suc h steps as will ensu re th at the ship s h all not disc harge Ballas t W a ter until it can do so without presenting a th reat of harm to the environm ent, hum an health, property or

resources.

Article 10 Detection of Violations and Control of Ships

1 Parties sha l l co-ope ra te in the detection of violations and th e enforcem ent of the provisions of this Convention.

2 If a ship is detected to have violated th is Convention, the Party whose flag the ship is entitled to fly, and/or the Party in whose port or offshore term inal the ship is operating, m a y, 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 offs hore term inal the ship is operating, however, m a y grant such a ship perm issi on to leave the port or offshore term inal for the purpose of discharging Ballas t Water or proceed ing to the nearest appropriate repair yard o r

recep tion facility av ailable, prov id ed doing s o does not presen t a threat of harm to the

environm ent, hum a n health, property or resources.

3 If the sam p ling described in Article 9.1(c) leads to a result, or supports information received from another port or offshore term inal, indicating that the sh ip poses a threat to th e environm ent, hum an health, property or resources, the Party in whose waters the sh ip is opera ting shall prohibit such ship f r om discharging Ballast Water until the threat is rem oved.

4 A Party m a y also inspect a ship when it en ters the ports or offs hore term inals under its jurisd iction, if a requ est for an investigation is received from a ny Party, togeth er w ith sufficien t evidence that a ship is operating or has operated in violation of a provision in this Convention. The repor t of such inv e stig ation s h all b e sen t to th e Par t y reques ting it and to the com p etent authority of the Adm i nistration of the ship concerned so that appropriate action m a y be taken.

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Article 11 Notification of Control A c tions

1 If an inspection conducted pursuant to Article 9 or 10 i ndicates a violation of this Convention, the ship shall be notified. A repor t shall be forwarded to the Adm i nistration,

includ ing an y eviden ce of the violation.

2 In the event that any action is taken pur suant to Article 9.3, 10.2 or 10.3, the officer carrying out such act ion shall forthwith inform, in wri ting, the Adm i nistration of the ship concerned, or if this is not possible, the consul or diplom atic representative of the ship concerned,

of all the circum stances in which the action wa s deem ed nec e ssary. In addition, the recognized organization responsible for the issu e of certificates shall be notified.

3 The port State authority concerned shall, in addition to parties m e ntioned in paragraph 2, notify the next port of call of all relevant inform a tion about the violation, if it is unable to take action as sp ecified in A r ticle 9.3, 1 0.2 or 10.3 or if the ship has been allowed to p r oceed to th e next port of call.

Article 12 Undue Delay to Ships

1 All possible efforts shall be m a de to avoid a ship being undul y 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 com p ensation for any loss or dam a ge suffered.

Article 13 Technical A ssistance, Co-ope ration and Regional Co-operation

1 Parties undertake, directly or through the Organization and other internati onal bodies, as appropriate, in respect of the control and m a nage m e nt of ships' Ballast Water and S e dim e nts, to provide support for those Parties wh ich requ est technical ass i stance:

(a) to train personnel;

(b) to ensure the availability of re levant technology, equipm ent and facilities;

(c) to initia te joint rese arch a nd develop m ent programmes; and

(d) to undertake other action aim e d at the effective implem e ntation of this Convention and of guidance developed by the Organization related thereto.

2 Parties undertake to co-operate actively, subj ect to their national laws, regulations and policies, in the transfer of technology in respect of the control and m a nagem e nt of shi p s' Ballast

Water and S e dim e nts.

3 In order to further the objectives of this Convention, Parties with common interests to protect the environm ent, hum a n health, property and resources in a given geographical area, in particular, those Parties borderi ng enclosed and sem i -enclosed seas, shall endeavour, taking into account characteristic regional f eatures, to enhance regional co -operation, including through the

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conclusion of regional agreem ents consistent withthis Convention. Parties shall seek to cooperate with the Par ties to regional agreem ents to develop harm onized procedures.

Article 14 Communication of information

1 Each Party shall repo rt to the Organization and

, where app r opriate, m a ke availab l e to
other Par t ies the f o llowin g inf o rm ation:

(a) any requirem ents and procedures relati ng to Ballast W a ter Managem e nt, including its laws, regulations, and guidelines fo r im ple m entation of this Convention;

(b) the availab i lity and lo cation of any r eception facilities for the enviro nm entally safe disposal of Ballast Water and S e dim e nts; and

(c) any require m e nts f o r inf o rm ation f r om a ship which is un ab le to com p ly 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 receip t of any comm uni cation s under th e present Article and circulate to all Partie s any inform ation communicated to it under subparagraphs 1(b) and (c) of this Article.

Article 15 Dispute Settlement

Parties shall settle any dispute between them concer ning the inte rpre tatio n or application of this Convention by negotiation, enquiry, m e diation, conciliation, arbitr ation, judicial settlem e nt, resort to regional agencies or arrangem e nts or other peaceful m e a n s o f t h e i r o w n c h o i c e

.

Article 16 Relationship to International Law and Other Agreements

Nothing in this Conv ention sh all prejud ice th e rights and obligations of any State under

custom ary international law as reflected in the United Nations Convention on the Law of the Sea.

Article 17 Signature, R a tification, Acceptance, Approval an d Accession

1 This Convention shall be open for signature by any Stat e at the Headquarters of the Organization from 1 June 2004 to 31 May 2005 and shall thereafter rem a in ope n for accession by any State.

2 States m a y becom e Parties to the Convention by:

(a) signatu re no t subject to ratific ation, acceptan ce, o r approval; o r

(b) signatu re su bject to ratification, acceptan ce, or approval, followed by ratification

, acceptance or approval; or

(c) accession.

3 Ratification, acceptan ce, approval o r access i on shall be effected by th e deposit of an

instrum e nt to that ef f ect with the Sec r eta r y-Gene r a l.

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4 If a Sta t e c o m p rises two or m o re territorial un its in which dif f e re nt sy stem s of law are applicable in relation to m a tters dealt with in this Convention, it m a y a t the tim e of signature, ratification, acceptance, approval, or accession d eclar e that this Convention shall extend to all its

terr ito ria l u n its or only to one or more of th em and m a y modif y this decla r ation by subm ittin g another d eclaration at an y tim e.

5 Any such declaration shall be no tif ied to th e Deposita r y in writin g and shall state expressly the territorial unit or units to which this Convention applies.

Article 18 Entry in to Force

1 This Convention shall enter into force twelve m onths after the date on which not less than

thir ty Sta t es, the com b ined m e rchant f l eets of which cons titute not less th an thirty-f iv e percen t of the gross tonnage of the world’s m e rchant shippi ng, have either signed it without reservation as

to ratificatio n, acceptance or approv al, or have deposited th e requisi te instrum e nt of ratification

, acceptance, approval o r accession in accordan ce with Article 17.

2 For States which have deposited an instrum e nt of ratification, accep tance, approv al or

accession in respect of this Convention after the requirem e nts for entry into force th ereof have

been m e t, but prior to the date of entry in force, the ratification, acceptance, approval or

accession sh all take effect on the date of entry in to force of this Conventi on or three months after the date of deposit of instrum e nt, whichever is the later date.

3 Any instrument of ratification, acceptance, a pprov al or accession deposited after the d a te
on which this Convention enters into force shall take effect three m onths after the date of deposit.

4 After the date on which an am endm ent to this Convention is deem ed to have been accepted un der Article 19, any instrum e nt of r a tification, acceptance, approval o r accessio n deposited shall apply to this Convention as am ended.

Article 19 Amendments

1 This Convention m a y be am ended by either of the procedures specified in the following paragraphs.

2 Am endm ent s after cons iderat ion within the Organization:

(a) Any Party m a y propose an amendm ent to this Convention. A proposed

am endm ent shall be sub m itted to the Secreta r y-G e nera l, who shall th en circula t e it

to th e Parties and Members of the Organization at leas t six m onths prior to its

consideration.

(b) An am endm ent proposed and circulated as above shall be referred to the

Comm ittee for consideration. Parties, whether or not Mem b ers of the Organiza tio n, shall be entitled to pa rticip a t e in the proceedings of the Comm ittee for consideration and adoption of the am endm ent

.

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(c) Am endm ents shall be ad opted by a two-thirds m a jor ity of the Partie s pre s ent and voting in the Comm ittee, on condition that at least one-third of the Parties shall b e present at the tim e of voting.

(d) Am endm ent s adopted in accordan ce with subparagraph (c) shall be communicated by the Secretary-Gen e ral to the Parties for acceptance.

(e) An am endm ent shall be deem ed to hav e been acce pted in the following

circum stances:

(i) An a m endment to an article of this Convention shall be deem ed to have been accepted on the date on which two- thirds o f the Par ties have no tif ie d the Secretary-General of their accep tance of it.

(ii) An am endment to the A nnex shall b e deem ed to have been a ccepted at th e end of twelve m onths af ter the date of adoption or such other date as

determ ined by the Committee. However, if by that date m o re than

one-th i rd of the Par ties n o tif y the Se cretary-Gen e ral that the y object to th e

am endm ent, it shall be d eem ed not to have been accepted.

(f) An a m endment shall en ter in to force under the fo llowing con d itions :

(i) An a m endment to an article of this Convention shall enter into force for

those Parties that h a ve d eclared th at they have accepted it six m onths after

the date on which it is deem ed to ha ve been accepted in accordance with subparagraph (e)(i).

(ii) An am endm ent to the Annex sha ll en ter in to f o rce with respe c t to all

Parties six months after the date on which it is deem ed to have been accepted, ex cept for any Party th at has:

(1) notified its objection to th e am endment in acco rdan ce with subparagraph (e)(ii) and that has not withdraw n such objection; or

(2) notif ied the Secretary-G e nera l, pr io r to the entry into f o rce o f such

am endm ent, that the amendm ent shall enter into force for it only

after a subs equent notific ation of its acceptan c e.

(g) (i) A Party that has notifie d an objection under subpa ragraph (f)(ii)(1) m a y subsequently notify the Secretary-Gene ral that it ac cepts the am endment.

Such am endm ent shall enter in to f o rce for such Party six months after the

date of its n o tification o f acceptance, or the date on which the am endm ent
enters into f o rce, whiche ver is the later date.

(ii) If a Party that has m a de a notification referred to in subparagraph (f)(ii)(2)

notifies th e Secretary-General of its accep tance with respect to an

am endm ent, such am endm ent shall en te r in to force for su ch Party six

months after the date of its notificatio n of acceptanc e, or the d a te on whic h

the am endment enters in to f o rce, whichever is the late r date.

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3 Am endm ent by a Conference:

(a) Upon the request of a P a rty concurred in by at least one-third of the Parties, the Organizatio n shall con v ene a Conference of Parties to consider am endm ents to
this Convention.

(b) An a m endment adopted by such a Conf erence by a two-thirds m a jority of the Parties present and voting shall be comm unicated by the S e cretary

- General to al l Parties for acceptan ce.

(c) Unless the Conference decides oth e rwise, the am endment shall be deem ed to have been accepted and shall en ter in to for ce in accordance with th e procedure s specified in paragraphs 2( e) and (f) respectively.

4 Any Party that has declined to accept an am endm ent to the Annex shall be treated as a non-Party only for the purpose of application of that am endment.

5 Any notification under this Arti cle shall be m a de in writi ng to the Secretary-General.

6 The Secretary-General s h all inform t h e Pa rties and Mem b ers of the Organization of:

(a) any am endm ent that enters in to f o rce and the date of its entry into f o rce generally

and for each Party; and

(b) any notification m a de under this Article.

Article 20 Denunciation

1 This Convention m a y be denounced by any Part y at any time after the expiry of two years from the date on which this Convention enters into force for that Party.

2 Denunciation shall be effected by written notif ication to the D e positar y, to take effect one year after receipt or such longer period as m a y be speci fied in that notification.

Article 21 Depositary

1 This Convention shall be deposited with the Secretary-General, w ho shall transm it

certified co pies of this Convention to all States which have signed th is Convention or acceded

thereto.

2 In addition to the functions specified elsewh ere in this Convention, the Secretary-General

shall:

(a) inform all States that hav e signed this Convention

, or acced ed thereto, of:

(i) each new signature or d e posit of an instrum e nt o f ratification

, accep tance, approval o r accession, to gether with the date thereof;

(ii) the date of entry into force of this Convention; and

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(iii) the deposit of any instrum e nt of denunciation from the Convention, togethe r with the d a te o n which it was rece ive d and th e da te on wh ich the denunciation takes effect; and

(b) as soon as this Convention enters into force, transm it the text thereof to the

Secretariat of the United Nations for re gistration and publication in accordance

with Article 102 of the Char ter of the United Nations.

Article 22 Languages

This Convention is established in a single original in the Arabic, Chinese, English, French, Russian and Spanish lan guages, each text being equally au thentic.

DONE AT LONDON t h is thirteenth day of February, two thousand and four.

IN W I TNESS W H EREOF the undersigned, bei ng duly authorised by their respective

Governm e nt s for that purpose, have signed this Convention.

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ANNE X

REGUL A T I ONS FOR THE CONTROL AND MANAG EMENT O F SHIPS'

BAL L AS T WATE R AND SE DIMENTS

SECTION A - GENERAL PROVI S IONS

Regulation A-1 Definitions

For the purposes of this Annex:

1 “Anniversary date” m eans the day and the m onth of each year correspon ding to the date of expiry of the Certificate.

2 “Ballas t W a ter Capac ity ” m eans the tota l vol um etric capacity of any tanks, spaces or

com p art m ents on a ship used for carrying, loadi ng or discharging Ballast W a ter, including any

multi-us e tank, space or com p art m ent design ed to allow carriage of Ballast W a ter.

3 “Com pany” m eans the owner of the ship or any other organi zation or p e rson such as the

m a nager, or the bareboat charterer, who has assu m e d the responsibility for operation of the shi p from the owner of the ship and who on assum i ng su ch resp onsibility ha s agreed to take over all the duties and responsib ilities im pose d by th e International Safe ty Managem e nt Code 1

.

4 “Constructed” in respect of a ship means a stag e of construction where:

.1 the kee l is la id; or

.2 construc tion identif i able with the sp e c if ic ship b e gins;

.3 assem b ly of the ship has commenced com p rising at least 50 tonnes or 1 percent of

the es tim ated m a ss of all structural m a t e r i a l

, w h i c h e v e r i s l e s s ; o r

.4 the ship undergoes a m a jor conversion.

5 “Major conversion” m ean s a conversion of a ship:

.1 which changes its ballast water carrying capacity by 15 percent or greater, or

.2 which changes the ship type, or

.3 which, in the opinion of the Adm i nistration, is projected to pr olong its life by ten

years or m o re, or

.4 which results in m odific a tions to its ba llast water system ot her than component replacem ent-in-kind. C onversion of a ship to meet the provisions of regulation D1 shall not be deem ed to constitute a m a jor conversi on for the purpose of this

Annex.

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6 “From the neares t land ” m eans from the base line f r om which the ter r itorial sea of the

terr ito ry in question is estab lished in accordan ce with international law except that, f o r the purposes of the Convention, “from t h e nearest land” off the north-eastern co ast of Australia shall

m ean from a line d r awn from a poi nt on the coast of Australia in

latitude 11°00 ́ S, longitude 142°08 ́ E to a point in latitude 10°35 ́ S, longitude 141°55 ́ E thence to a p o int latitude 10°00 ́ S, longitude 142°00 ́ E thence to a point latitude 9°10 ́ S, longitude 143°52 ́ E thence to a point latitude 9°00 ́ S, longitude 144°30 ́ E thence to a p o int latitude 10°41 ́ S, longitude 145°00 ́ E thence to a p o int latitude 13°00 ́ S, longitude 145°00 ́ E thence to a p o int latitude 15°00 ́ S, longitude 146°00 ́ E thence to a p o int latitude 17°30 ́ S, longitude 147°00 ́ E thence to a p o int latitude 21°00 ́ S, longitude 152°55 ́ E thence to a p o int latitude 24° 30 ́ S, longitude 154°00 ́ E thence to a p o int on th e coast of Australia

in latitud e 2 4 °42 ́ S, longitude 153° 15 ́ E.

7 “Active Substance” m e a n s a substance or or ganism , including a virus or a fungus, that has a general or specific action on or against Harm ful Aquatic Organism s and Pathogens.

Regulation A-2 General Applicab ility

Except where expressly provided otherwise, the discharge of Ballast W a ter shall on ly be conducted through Ballast W a ter Managem e nt in acco rdan ce with the p r ovisions of this Annex.

Regulation A-3 Exception s

The requirem e nts of regulation B-3, or any m easures adopted by a Party pursuant to Article 2.3 and Section C, shall not apply to:

1 the uptake or discharge of Ballast Wa ter and S e dim e nts necessary for the purpose of ensuring the safety of a ship in emerge ncy situations or saving life at sea; or

2 the accidental discharge or ingress of Ballast W a ter and Sedim e nts resulting from

dam a ge to a ship or its equipm ent:

.1 provided that all reasonable precautions have been taken before and after

the occurrence of the dam a ge or discove ry of the dam a ge or discharge for the purpose of preventing or m i ni m i zing the discharge; and

.2 unless the owner, Company or officer in charge wilfully or recklessly

caused dam a ge; or

3 the uptake and discharge of Ballast Wate r and S e dim e nts when being used for the purpose of avoiding or m i ni m i zing pollu tion incidents from the ship; or

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4 the uptake and subsequent discharge on the high seas of the sam e Ballas t W a ter
and Sedim e nts; or

5 the discharge of Ballast W a ter and Sedi m e nts from a ship at the sam e location

where the whole of t h at Ballas t W a te r and those Sedim e nts originated and provided that no m i xing with unm anaged Ba llast W a ter and Sedim e nts from other

areas has occurred. If m i xing has occurr ed, th e Ballas t W a ter taken f

r om other areas is subject to Ballas t W a ter Managem e nt in accordance with th is Ann e x.

Regulation A-4 E x e m p t i o n s

1 A Party or Parties, in waters under thei r jurisdiction, m a y grant exem ptions to any requirem e nts to apply regulations B-3 or C-1, in addition to those exem ptions contained elsewhere in this Convention, but only when they are:

.1 granted to a ship or ships on a voyage or voyages between spec if ied ports o r locations; o r to a ship which operates ex clus ively betwe e n specif ied ports or locations;

.2 effective for a period of no m o re than fi ve years subjec t to in term ediate r e view;

.3 granted to ships that do not m i x Ballast W a ter or Sedim e nts other than between the ports or locations spec ified in paragraph 1.1; and

.4 granted based on the Guidelines on risk assessm ent developed by the Organization.

2 Exem ptions granted pursuant to paragr aph 1 shall not be e f f ectiv e until af ter communication to the Organization and circulation of relevant inf o rm ation to the Pa rtie s.

3 Any exemptions granted unde r this regulation shall not im pair or dam a ge the

environm ent, hum a n health, prop erty or resou r ces of adjacen t or oth e r States. Any S t ate that th e Party determ ines m a y be adversel y affected shall be consulted, with a view to r e solving a n y identified co ncerns.

4 Any exe m ptions granted under this regulatio n shall be recorded in the Ballast Water

record book.

Regulation A-5 Equivalent compliance

Equivalent com p liance with this Annex for pl easu r e craft used sole ly for recreation or

com p etition or craf t use d prim arily f o r search a nd rescue, less than 50 m e tres in le ngth overa ll,

and with a m a xim u m Ballas t W a ter cap acity of 8 cubic m e tres, shall be determ ined by the

Adm i nistration taking into account G u id elines developed by the Organization.

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SECTION B – MANAGEMENT AND CONT ROL RE QUIREME N TS FOR S H IPS

Regulation B-1 Ballast Water Managem e nt Plan

Each ship shall have on board and implem e nt a Ballast W a ter Managem e nt plan. Such a plan shall be approved by the Adm i nistration taking into account Guidelines developed by the Organization. The Ballast W a ter Managem e nt plan shall be specific to each ship and shall at

leas t:

1 detail safety procedures for the ship an d th e crew ass o ciated with Ballast W a ter Managem e nt as required by this Convention;

2 provide a detailed descriptio n of the actions to be taken to im plem ent the Balla st W a ter Managem e nt requirem ents and supplem e ntal Balla st W a ter Managem e nt prac tic es as set forth in this Convention;

3 detail the procedures for the disposal of Sedi m e nts:

.1 at sea; and

.2 to shore;

4 include the procedures for coordinating sh ip board Balla s t W a ter Managem e nt that involves discharge to the sea with the author ities of the State into whose waters such discharge will take place;

5 designate the officer on board in charge o f ensuring that th e plan is properly

im ple m ented;

6 contain the reporting requirem ents for sh ips provided for under this Convention; and

7 be written in the working language of the sh ip. If the language used is not English,

French or S p anish, a translation into one of these languages shall be included.

Regulation B-2 Ballast Water Record B ook

1 Each ship s h all h a ve o n board a Balla st W a ter record book that m a y be an electronic record system, or that may be integrated into another record book or sys t em and, which shall at

least contain the inform ation specified in Appendix II.

2 Ballas t W a ter r ecord bo ok entr ies s h all b e m a intained on board th e sh ip f o r a m i nim u m period of two years after the last en try has been m a de and thereafter in the Com p any’s contro l for

a m i ni m u m period of three years.

3 In the event of the discharge of Ballast W a ter pursuant to regulat ions A-3, A-4 or B-3.6

or in th e e v ent of oth e r acc identa l or exc e pt ional discharge of Ballast W a ter not otherwise

exem pted by this Convention, an entry shall be m a de in the Balla st W a ter record book describing

the circum stances of, and the reason for, the discharge.

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4 The Ballast W a ter record book shall be kept readily available fo r inspection at all

reasonable tim e s and, in the case of an unm a nned ship under tow, m a y be kept on the towing ship.

5 Each operation concerning Ball ast W a ter sha l l be f u lly r e corded with out de lay in the

Ballast W a ter record book. Each entry shall be signed by the offi cer in charge of the operation

concerned and each co mpleted pag e shall be s i gne d by the m a ster. T h e entries in the Ballas t Water record book shall be in a working language of the ship. If that language is not English,

French or S p anish the entries shall contain a tr anslation into one of those languages. W h en entries in an official national langua ge of the State whose flag the sh ip is entitled to fly are also used, these shall prevail in case of a dispute or discrepancy.

6 Officers duly authorized by a Party m a y in spect the Ballast Water record book on board any ship to which this r e gulation applies while the ship is in its port or off s hore ter m inal, and

m a y make a copy of any entry, and require the m a st er to certif y that the co py is a true copy. Any copy so certified shall be adm i ssible in any judici al proceeding as evidence of the facts stated in the entry. T h e inspection of a Ballast W a ter record book and the taking of a certified copy shall be perform e d as expeditiously as possible wi thout causing the ship to be unduly delayed.

Regulation B-3 Ballast Water Managem e nt for Ships

1 A ship constructed before 2009:

.1 with a Ballast W a ter Capacity of be tween 1500 and 5000 cubic m e tres, inclusive,

shall conduct Ballast W a ter Managem e nt that at least m eets the standard described in regulation D-1 or regulation D-2 until 2014, after which tim e it shall at least

m eet the standard described in regulation D-2;

.2 with a Ballast W a ter Capacity of less than 1500 or greater th an 5000 cubic m e tres
shall conduct Ballast W a ter Managem e nt that at least m eets the standard described in regulation D-1 or regulation D-2 until 2016, after which tim e it shall at least

m eet the standard described in regulation D-2.

2 A ship to which parag r a ph 1 applies shall com p ly with parag r aph 1 not la ter th an the f i rs t
inte rm ediate or renewal survey, whichever occu rs first, after the anniversary date of delivery of the ship in the year of c o m p liance with the s t an dard applica b le to the sh ip.

3 A ship constructed in or after 2009 w ith a Ballast Water Capacity of less than 5000 cubic

m e tres shall conduct Ballast W a ter Managem e nt th at at least m eets the standard described in regulation D

- 2.

4 A ship constructed in or after 2009, but before 2012, with a Ballast Water Capacity of

5000 cubic m e tres or m o re shall conduct Balla st W a ter Management in acco rdance with paragraph 1.2.

5 A ship constructed in or after 2012 with a Ba llast Water Capacity of 5000 cubic m e tres or
more shall conduct Ballast W a ter Managem e nt that at least m eets the standard described in regulation D

- 2.

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6 The requirem e nts of this regulation do not appl y to ships th at discharg e Balla st W a ter to a

recep tion facility d e sign ed tak i ng into accoun t th e Guidelines develop e d by the Org a nization for

such facilities.

7 Other m e thods of Ballast W a ter Managem e nt m a y also be accepted as alternatives to the requirem e nts described in paragraphs 1 to 5, provid ed that such m e thods ensure at least the sam e level of protection to the environm ent, hum a n he alth, property or resources, and are approved in principle by the Comm itt ee.

Regulation B-4 Ballast Water Exchange

1 A ship conducting Ballast W a ter exchange to m eet the standard in regulation D-1 shall:

.1 whenever p o ssible, con duct such Ballas t W a ter exchang e at least 20 0 nautical

m iles from the nearest land and in water at least 200 m e tres in depth, taking into

account the Guidelines deve loped by the Organization;

.2 in cases where the ship is unable to conduct Ballast W a ter exchange in accordance with paragraph 1.1, such Ballast W a ter ex change shall be conducted taking into account the Guidelines described in paragr aph 1.1 and as far from the nearest land

as poss i ble, and in all cases at least 50 nautical m iles from the nearest land and in

water at least 200 m e t r e s i n d e p t h

.

2 In sea areas where the distan ce from the nearest land or the depth does not m e et the

param e ters described in paragraph 1.1 or 1.2, the port State m a y desi gnate areas, in consultation with adjacent or other States, as appropria te, where a ship m a y conduct

Ballast W a t e r exchange, taking into account th e Guidelines described in paragraph 1.1.

3 A ship shall not be required to dev i ate f r om its intended vo yage, or delay the voyage, in order to comply with any particul ar requirem e nt of paragraph 1.

4 A ship con ducting Ballast W a ter exchange shall not be require d to com p ly with paragraphs 1 or 2, as appropriate, if the m a ster reasonab l y decides that such exchange would threaten the safety or s t ab ility of the sh ip, its c r ew , or its passengers because of adverse weather, ship design or stress, eq uipm ent failure, or any other extraordinary

condition.

5 When a ship is required to conduct Ball ast Water exchange an d does not do so in

accordan ce with th is regulation, th e reason s sha ll b e en tered in the Ballast W a ter record

b o o k

.

Regulation B-5 Sediment Management for Ships

1 All ships shall rem ove and dispose of Sedi m e nts from spac es designated to carry B a llast Water in accordance with the provisions of the ship’s Ballast Water Managem e nt plan.

2 Ships described in regulati on B-3.3 to B-3.5 should, with out com p rom i sing safety or operational efficiency, be design ed and constructed with a view to m i ni m i ze the uptake an d

undesirab l e entrapm e nt of Sedi m e nts, facilitate rem oval of Sedim e nts, and provide safe access to

allow for Sedim e nt removal and sam p ling, taki ng into account guidelines developed by the

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Organization. Ships described in regulation B-3.1 should, to the ex tent practicable, com p ly with this paragraph.

Regulation B-6 Duties of Officers and Crew

Off i cers an d crew sh all be f a m ilia r with the i r duties in the im plem entation of Ballas t W a ter Managem e nt par ticu l ar to the ship o n which the y serve and shall, appropriate to their duties, be

f a m iliar with the ship ’s Ballas t W a ter Manag e ment plan.

SECTION C – SPE C IAL REQUIREMENTS IN CE RTAIN AREAS

Regulation C-1 Additional Measures

1 If a Party, individually or join tly with other Pa rties, determ ines that m easures in add itio n to those in Section B are necess a ry to prevent, reduce, or elim inate th e transfer o f Har m ful Aquatic Organism s and Pathogens through ships’ Ballast Water an d Sedim e nts, such Party or

Parties m a y, consis ten t with inte rn ationa l law, require ships to m eet a specified standard or requirem e nt.

2 Prior to establishing standards or require m e nts under paragraph 1, a Party or Parties

should consult with ad jacen t or other States that m a y be affected by such standards o r requirem e nts.

3 A Party o r Parties intending to introduce ad dition a l m easures in accordance with paragraph 1 shall:

.1 take into account the Guidelin es developed by the Organization.

.2 communicate the i r inten t ion to estab l ish add ition a l m easure(s ) to the Org a niza tio n at leas t 6 months, ex cept in em ergency or epidem ic situations, p r ior to the projected date of i m plem entation of th e m easure(s ) . Such comm unication shall

include :

.1 the precise co-ordinates where addi tional m easure(s) is/a re ap plicab le;

.2 the need an d reasoning for the app lication of the additional m easure(s), including, whenever possible, benefits;

.3 a description of the additional m easure(s); and

.4 any arrangem e nts that m a y be provided to facilitate sh ips’ com p liance with

the addition a l m easure(s )

.

. 3 to the exten t required b y custom ary intern ation a l law as re f l ected in th e United

Nations Convention on the Law of t h e Sea, as appropriate, obt ain the approval of the Organization.

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4 A Party or Parties, in introducing such a dditional m easures, shall endeavour to m a ke

available all appropr ia te serv ices, which m a y inc l ude bu t ar e no t lim ited to no tif ica tion to

m a riners of areas, av ailable and alternative routes or ports, as far as practi cab le, in o r der to ease the burden on the ship.

5 Any additio nal m easures adopted b y a Party or Parties shall not com p rom i se the s a fety and security of the ship and in any circum stan ces not conf lict with any other convention with

which the sh ip m u st comply.

6 A Party or P a rties introducing additional m easures m a y waive thes e m easures for a period

of tim e or in specific circum stances as they deem fit.

Regulation C-2 Warnings Concerning B a llast Water Uptake in Certain Areas and Related Flag State Measures

1 A Party shall endeavour to notify m a riners of areas under their jurisdiction where ships should not uptake Ballast W a ter due to known condi tions. 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. W a r n ings m a y be issued for areas:

.1 known to contain outbreaks, infestati ons, or populations of Har m ful Aquatic Organism s and Pathogens (e.g., toxic alga l bloom s ) which are likely to be of

relev a nce to Ballas t W a te r uptake or discharge;

.2 near sewage outfalls; or

.3 where tidal flushing is poor or tim es dur ing which a tidal stream is known to be

more turbid.

2 In addition to notifying m a riners of ar eas in acco rd ance with the prov isions of paragraph 1, a Party shall notify the Organizatio n and any potentially affected coas tal States of any areas identified in paragraph 1 and the tim e peri od such warning is likely to be in effect. The notice to the Organization and any potentially affected coas tal S t ates sh all inc l ude the prec ise

coordinates of the area o r areas, and, where possi ble, the location of any alternative area or area s f o r the up ta ke of Balla st W a ter. The notice sh all includ e advice to sh ips needing to uptake

Ballas t W a ter in the are a , desc ri bing arrangem e nts m a de for altern a tive supplies. T h e Party sha l l also notify m a riners, the Organization, and any poten tially affected coastal States when a given warning is no longer applicable.

Regulation C-3 Communication of Information

The Organization shall m a ke a v ailable, th rough any appropriate m eans, inform ation communicated to it under regulations C-1 and C-2.

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SECTION D - STANDARDS FOR BAL L AS T WATE R MANAGE M ENT

Regulation D-1 Ballast Water Exchange Standard

1 Ships perform i ng Ballast W a ter exchange in accordance with this regulation shall do so with an efficiency of at least 95 percen t volum etric exchang e of Ballast Water.

2 For ships exchanging Ballast W a t e r by th e pumping-through m e thod, pum p ing through

three tim e s the volum e of each Bal l ast W a ter tank shall b e considered to m eet the standard

describ e d in paragraph 1

. Pum p ing through less than th ree tim es the vo lum e m a y be accep ted provided the ship can demonstrat e th at at leas t 95 percen t volum etric ex change is m e t.

Regulation D-2 Ballast Water Performance Standard

1 Ships conducting Ballast W a ter Managem e nt in accordance with this regulation shall discharge less than 10 viable organism s per cubic m e tre greater than or equal to 50

m i crom etres in m i nim u m dim e nsion and less th an 10 viable organism s per m illilite r less

than 50 m i c r om etres in m i ni m u m di m e nsion an d greater than or equal to 10 m i crom etres
in m i ni m u m dim e nsion; and discharge of the indicato r m i crobes shall not exceed the specified co ncentration s de scribed in paragraph 2.

2 Indicator m i crobes, as a hum a n health standard, shall include:

.1 Toxicogenic Vibrio cholerae (O1 and O139) with less than 1 colony form ing unit (cfu) per 100 m illiliters or less than 1 cf u per 1 gram (wet weight) zoo p lankto n

sam p les ;

.2 Escherich i a coli less tha n 250 cfu per 100 m illiliters;

.3 Intes tina l En teroco cci les s than 100 cfu per 100 m illiliters.

Regulation D-3 Approval requirements for Balla st Water Management systems

1 Except as specified in paragraph 2, Ballast W a ter Managem e nt system s used to com p l y with th is Convention must be ap proved by the Adm i nistration tak i n g into acco unt Guidelines developed by the Organization.

2 Ballast W a ter Management system s which m a ke use of Active Substanc es or preparations containing one or m o re Active Subs tances to comply with this Convention shall be approved by the Organization, based on a procedure develope d by the Organization. This procedure shall describe the approval and withdr awal of approval of Active Substances and their proposed

m a nner of a pplication. At withdrawal of appr ova l, the use of the relevant Active Substance or Substances shall be prohibited within 1 y ear after the date of su ch withdraw al.

3 Ballast W a ter Management system s used to co m p ly with this Conven tion m u st be saf e in

term s of the ship, its equipm ent and the crew.

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Regulation D-4 Prototype B a llast Water Treatment Technologies

1 For any sh ip that, pr ior to th e da te that the stan dard in regu la tion D-2 would otherwise

becom e effective for it, participates in a progr amme approved by the Adm i nistration to test and

evalua te p r o m ising Balla st W a ter tre a tm ent tech nol ogies, 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

com p ly with such standard.

2 For any sh ip tha t , af te r the d a te o n whic h the standard in regul ation D-2 has become effective for it, participates in a programm e approved by the Adm i nistration, taking into account Guidelines developed by the Organization, to test and evaluate prom ising Ballast W a ter technologies with the potential to result in treatm ent technologi es achieving a standard higher

than that in r e gulation D- 2, the stand a rd in regu la ti on D-2 shall cease to apply to tha t s h ip f o r f i ve years from the date of inst allation of such technology.

3 In establishing and carrying out any programme to tes t an d evaluate p r om ising Ballas t

W a ter techn o logies, Pa rties sha l l:

.1 take into account Guidelines developed by the Organization, and

.2 allow participation only by the m i nimum nu mber of ships necessary to ef fectively test such technologies.

4 Throughout the test and evaluation period, the treatm e nt system must be operated consistently and as designed.

Regulation D-5 Review of Standards by the Organization

1 At a m eetin g of the Co mmittee he ld no la te r th an thr ee y e a r s bef o re the ear lie st ef f ective

date of the standard set forth in r e g u lation D-2, the Comm ittee shall undertake a review which

include s a determ inatio n of whet her appropriate technologies are a v ailab l e to achieve the standard, an assessm ent of the criteria in paragraph 2, and an assessm ent of the socio-econom ic effect(s) specifically in relation to the developmental needs of de veloping countries, particularly

sm all island developing States. The Comm itt ee shall also undertake periodic reviews, as appropriate, to exam ine the applicable requirem ents for ships described in regulation B-3.1 as well as any other aspect of Ballast Water Mana gem e nt addressed in this Annex, including any Guidelines developed by the Organization.

2 Such review s of appropriate technol ogies shall also take into account:

.1 safety considerations relati ng to the ship and th e crew;

.2 environm ental a cceptability, i.e., n o t cau sing more or g r eate r env i ro nm ental

im pacts than they solv e;

.3 practicab ility, i.e., com p atib ility with ship design and operations;

.4 cost effectiveness, i.e., econom ics; and

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.5 biological effectiveness in term s of re m oving, or otherwise rendering not viable, Harmful Aquatic Organism s and Pat hogens in Ballast W a ter.

3 The Comm i ttee m a y form a group or groups to conduct the review(s) described in paragraph 1. The Comm ittee shall determ ine th e com position, term s of reference and specific issues to be addressed by any such group form ed. Such groups m a y develop and recomm end proposals f o r am endment of this Annex for cons ideration by the Partie s. Only Parties m a y participate in the for m ulation of r ecomm e ndat i ons and am endment decisions taken by the

Comm ittee.

4 If, based on the reviews described in this regulation, the Parties decide to adopt

am endm ents to this Ann e x, such amendm ents shall be adop ted and enter into force in accordance with the procedures contained in Article 19 of this Convention.

SECTION E - SURVEY AND CERTIFIC ATION REQUIREM ENTS FOR BALLAST

WATE R MANAGEM ENT

Regulation E-1 Surveys

1 Ships of 400 gross tonnage and above to which this Convention applies, excluding floating platfor m s, FSUs and FPSOs, shall be subject to surveys specified below:

.1 An initia l survey bef o re the ship is put in servic e or bef o re the Certif ica t e required under regulation E

- 2 or E-3 is issued for th e first tim e. This survey shall verif y that the Ballast W a ter Managem e nt plan required by regulation B-1 and any

associa t ed s t ruc t ure, eq uipm ent, system s, f ittin g, ar rangements and mater i al o r processes comply fully with the requirem ents of this Convention.

.2 A renewal survey at intervals specifie d by the Adm i nistrati on, but not exceeding five years, except where regulation E-5.2, E-5.5, E-5.6, or E-5.7 is applicable. This survey shall ver i f y that the Balla st W a ter Managem e nt plan required by regula tion B-1 and a ny associated stru ctur e, equipm ent, system s, f itting,

arrang em ents and m a teria l or pr ocesses co mply f u lly with the applic able requirem e nts of this Convention.

.3 An interm e d iate survey within three m onths before or after the second Anniversary date or within three m o nths be f o re or af ter the th ird Anniversary date

of

the Cer tif icate, which shall tak e th e pl ace of o n e of the an nual su rveys specified in paragraph 1.4. The interm ediate surv eys shall ensure that the equipm ent,
associated system s and processes for Ba llast W a ter Man a gem e nt f u lly com p ly with the applicable requirem ents of this Annex a nd are in good working order.

Such interm ediate surveys shall be endorsed on the Certificate issued under regulation E

- 2 or E-3.

.4 An annual survey within three m onths before or after each Anniversary date,

includ ing a genera l in sp ection of th e struct ure, any equipm ent, system s, fittings,

arrang em ents and m a terial or p r o cesses asso ciated with the Ballas t W a ter Managem e nt plan required by regulation B-1 to ensure that they have been

m a intained in accordan ce with parag r aph 9 and rem a in satisfactory for th e service

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for which the ship is intended. S u ch annual surveys shall be endorsed on the Certificate issued under regulation E

- 2 or E-3.

.5 An addition a l survey either gene ral or partia l, accord ing to the circu m stances,
shall b e m a de after a change, rep l acem ent, or significant repair of the structure, equipm ent, system s, f ittings, arr a ng em ents and m a terial nec e ssary to a c hieve f u ll

com p liance with this Conventi on. The survey shall be such as to ensure that any such chang e , rep l acem ent, or sign ificant re pair h a s been effectively m a de, so that the ship complies with the re quirem ents of this Conventi on. Such surveys shall be

endorsed on the Certificate issued under regulation E-2 or E-3.

2 The Adm i nistration shall establ ish appropriate m easures for sh ips that are not subject to the provisions of paragraph 1 in order to ensure that the applicab le provisions of this Convention

are com p l i e d w i t h

.

3 Surveys of ships for the purpose of enforcem en t of the provisions of this Convention shall be carried out by officers of the Adm i nistration. The Adm i nistration may, however, entrust the surveys either to surveyors nom inated for the purpose or to o r g a n i z a t i o n s r e c o g n i z e d b y i t

.

4 An Adm i nistration nom i nating surveyors or recognizing organizations to conduct surveys, as describ e d in parag r aph 3 shall, as a m i ni m u m, empower such nom inated surveyo r s o r recognized organizations 2 to:

.1 requir e a ship that they s u rvey to comply with the provision s of this Convention ; and

.2 carry out surveys a nd inspections if reque sted b y the appro p riate autho r ities of a port State that is a Party.

5 The Adm i nistration shall notify the Organiza tion of the specific responsibilities and conditions of the authority delegated to the nom i nated surveyors or recognized organizations, for

circu l ation to Parties for the inform ation of their officers.

6 When the Adm i nistration, a nom inated survey or, or a recognized organization determ ines

that the sh ip ’s Ballas t W a ter Man a ge m e nt does not conf orm to the partic ulars of the Certif ica t e required under regulation E-2 or E-3 or is such that the ship is not fit to proceed to sea without presenting a threat of harm to the environ m en t, hum a n health, propert y or resources such surveyor or organization shall imm e diately ensure that cor r e c tive ac tion is taken to b r ing the ship

into com p liance. A surveyor or organization sh all be no tif ied imm e diately, and it shall ensure

that the Cer tif ica t e is n o t is sued o r is withdr a w n as appropriate. If the sh ip is in the po rt of another Party, the appropriate auth o r ities of the port State s h all be notified imm e dia t ely. W h en an officer of the Adm i nistration, a nom i nated su rveyor, or a recognized organization has notified the approp riate autho r ities of the port State, th e Governm e nt of the port State concerned shall give such officer, surveyor or organization any n ecessary ass i stan ce to carry out their obligations under this regulation, including any a c t i o n d e s c r i b e d i n A r t i c l e 9

.

2 R e fer t o t h e g u i del i n es a d o p t e d by t h e O r ga n i zat i on by res o l u t i on A. 7 3 9 ( 1 8 )

, as m a y be a m ended by t h e Or ga ni zat i on, and t h e speci fi cat i ons a d opt e d by t h e O r ga n i zat i on by res o l u t i on A. 7 8 9 ( 1 9 )

, as m a y be a m ended by

th e Org a n i zatio n

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7 Whenever an accid e nt occurs to a ship o r a defect is discovered which subs tantially affects the ability of the ship to conduct Ballast W a ter Ma nagem e nt in accordance with this Convention, the owner

, operator or other person in charge of the ship shall repo rt at the ear lies t opportunity to the Adm i nistrati on, the recognized organization or the nom i nated surveyor responsible for issuing the relevant Certificate, who shall cause inve stigations to be initiated to

determ ine whether a survey as required by paragraph 1 is necessary. If the ship is in a port of another Party, the owner

, operator or other person in charge shall a l so r e port imm e diately to the appropriate authorities of the port State and the nom i nated surv eyor or recognized organization shall ascertain that such report has been m a de.

8 In every case, the Adm i nistration concerned sha ll f u lly gua r a ntee the co mpleteness and efficiency o f the survey and shall u ndertak e to ensure th e n ecessary arrangem e nts to satisfy th is

o b l i g a t i o n

.

9 The condition of the ship and its equipm ent, system s and proc esses shall be m a intained to

confor m wit h the provisions of this Convention to en sure th at the ship in all respects will rem a in fit to proceed to sea without presenting a threat of harm to the environm ent, hum an health,
property or resources.

10 After any survey of the ship under paragra ph 1 has been com p leted, no change shall be

m a de in the structu r e, any equipment, f itting s , arrangem e nts or m a terial a ssociated with the

Ballast W a ter Managem e nt plan r e quired by regul ation B-1 and covered by the survey without

the sanction of the Adm i nistration, except the d i r ect rep l acem ent of such equipm ent or fittings.

Regulation E-2 Issuance or Endorsement of a Certificate

1 The Adm i nistration sh all ensure that a sh ip to which regulation E-1 a pplies is iss u ed a

Certificate after successful com p letion of a survey conducted in accord an ce with regu lation E

- 1.

A Certificate issued un der the au th ority of a Party shall b e accepted by the other Parties and regarded for all purposes covered b y this Conv ention as h a ving th e sa m e validity as a Certif ic ate issued by them

.

2 Certificates shall be issued or endorsed eith er by the Adm i nistration or by any person or organization duly authorized by it. In every cas e, the Adm i nistration as sum e s full responsibility

for the Certificate.

Regulation E-3 Issuance or Endorsement of a Certificate by Another Party

1 At the request of the Adm i nistration, anothe r Party m a y cause a ship to be surveyed a n d, if satisfied that the provisions of this Convention are com p l i ed w ith, shall issue or authorize the

issuance of a Certificate to th e ship, and where appropriate, endor se or authorize the endorsem e nt of that Certificate on the ship, in accordance with this Annex.

2 A copy of the Certificate and a cop y of the survey report s h all be tran s m itted as so on as possible to the requesting Adm i nistration.

3 A Certificate so issued s h all con t ain a statem en t to the ef f ect that it ha s be en issued a t the request of th e Adm i nistration and it shall have th e sam e force and receive the sam e recognition as a Certificate issued by the Adm i nistration.

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4 No Certif ica t e shall be issued to a ship enti tled to f l y the f l ag 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 for m set forth in Appendix I. If the langu age used is neither English, Fr ench nor Spanish, the tex t shall

include a translation into one of these languages.

Regulation E-5 Duration an d Validity of the Certific ate

1 A Certificate shall be is sued for a period specified by the Adm i nist ra tio n that shall not exceed five years.

2 For renewal s u r v e y s :

.1 Notwithstanding the requirem e nts of pa ragraph 1, when the renewal survey is

com p leted within thre e m onths before the expiry date of the existing Certif ica t e, the new Certif ica t e sha ll be valid f r om the date of com p letion of the renewal survey to a date not exceeding five years from the date of expiry of the existing

Certif ica t e.

.2 W h en the r e newal surv ey is com p leted af ter the expiry d a te of the existing

Certif ica t e, the new Certif icate sh all be valid f r o m the date of com p letion of the renewal survey to a date not exceeding five years from the date of expiry of the existing Certificate.

.3 When the renewal survey is com p leted m o re than three m o nths before the expiry

date of the existing Cer t if icate, the n e w Certif ica t e shall be v a lid f r om the date of

com p letion of the renewal survey to a date not exceeding five years from the date

of com p letion of the renewal survey.

3 If a Cer tif ic ate is issue d for a period of less than five years, the Adm i nistration m a y extend the validity of the Certificate beyond the e xpiry date to the m a xi mum period specified in paragraph 1, provided that the surveys referred to in regula tion E-1.1.3 applicable when a Certificate is issued for a period of fi ve years are carried out as appropriate.

4 If a renewal survey has been com p leted and a n e w Certificate canno t b e issued or placed on board the ship before the expiry date of th e existing Ce rtif ica t e, th e person or organization authorized by the Adm i nistration m a y endorse the existing Certificate and su ch a Certificate shall be accepted as valid for a further period which sh a ll not exceed five m onths from the expiry date.

5 If a ship at the tim e when the Certificate expires is not in a port in which it is to b e surveyed, the Adm i nistration m a y extend the peri od of validity of the Cer tif ic ate bu t th is extension shall be granted only for the purpose of a llowing th e ship to complete its v oyage to the port in whic h it is to be surveyed, an d then onl y in cas es wh ere it appe ars proper and reasonable

to do so. N o Certificate shall be extended for a period longer than three months, and a ship to which such extension is granted sha l l not, on its arriv a l in th e port in which it is to b e surveyed, be entitled by virtue of such extension to leave that port without having a new Certificate. W h e n

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the ren e wal survey is co mpleted, the new Certif icat e sh all be valid to a d a te not exceeding five years from the date of expiry of the existi ng Certificate before th e 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 regulatio n m a y be e x tended by the Adm i nistration for a period of g r ace of up to one m onth fro m the date of expiry stated on it. When the re newal surv ey is com p leted

, the new Certificate shall be valid to a date not ex ceeding five years from the date of expiry of the existing Certificate before the extension was granted.

7 In special circum stances, as determ i n ed by the Adm i nistration, a new Certificate need not

be dated from the date of expiry of the existing Certificate as required by paragraph 2.2, 5 or 6 of this regulation. In these special circum stances, th e new Certificate shall be valid to a date not exceeding five years fro m the date o f com p letion of the renewal survey.

8 If an annual survey is completed before the period specified in regulation E-1, then:

.1 the Anniversary date shown on the Cer tificate shall be am e nded by endorsem ent
to a date wh ich shall not be m o re than three m onths la ter th an the date on which the survey w a s com p leted;

.2 the subsequent annual or interm ediate survey required by regulation E

- 1 shall be

com p leted at the inte rvals presc r ibed by that regulation using the new Anniversary date;

.3 the expiry date m a y rem a in uncha nged pr ovided one or more annual surveys, as appropriate, are carried out so that th e m a ximum interva l s between th e survey s prescribed b y regulation E-1 are not exceeded.

9 A Certificate issued under regulation E-2 or E-3 shall c e a se to be v a lid in any of the following cases:

.1 if the struc t ure, equipm ent, system s, fittings, a r rangem e nts and m a teria l necessa ry

to com p ly fully with th is Conventio n is changed

, replaced o r significantly repaired

and the Certificate is not endorsed in accordance with this An nex;

.2 upon transfer of the ship to the flag of another State. A new Certificate shall only

be issu ed w h en the Party issu ing th e new Cer tif icate is f u lly satisf ied th at th e sh ip

is in com p liance with th e requirem e nts of regulation E-1. In the case of a transfer

between Pa rtie s, if r e q u ested within three m o nths af ter the tran sf er has taken place, the P a rty whose f l ag the ship was fo r m erly entitled to fly shall, as soon as possible, tra n sm it to the Adm i nistra tion c opies of the Certif i cates 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

.4 if the Certificate is not endorsed in accordance w ith regulation E-1.1.

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APPE NDI X I

FORM OF INTERNATIONAL B A LL AS T WATE R MANAGEM ENT CERT IFICATE

INTERNATIONAL B A LL AST WATE R MANAGEM ENT CERT IFICATE

Issued under the provisions of the International Convention for the Control and Managem e nt of Ships’ Ballast W a ter and Sedim e nts (hereinafter referred to as "the Convention") under the authority of the Governm e nt of

............................................................................................................ (full designation of the country)

by

....................................................................................................... (full designation of the competent person or organization authorized under the provisions of the C onvention)

Particu l ars of ship 1

Na m e of shi p

...........................................................................................................

Distinctive num b er or letters

...................................................................................

Port of registry

........................................................................................................

Gross Tonnage

........................................................................................................

IMO num be r 2

..........................................................................................................

Date of Construction ........................................................................

Ballast W a t e r Capacity (in cubic m e tres)

...............................................................

Details of B a llast Water M a n a g e m e n t M e t

h o d ( s ) U s e d

Method of Ballast W a ter Managem e nt used ......................................................

Date installed (if applicable)

...................................................................................

Na m e of m a nufacturer (if applicable)

....................................................................

1 Alternatively, t h e particula r s of the s h ip m a y be placed horizontally in boxes.

2 IM O Shi p I d e n t i f i cat i on N u m b er Sc hem e adopt e d by t h e O r ga ni zat i o n by resol u t i o n A

. 6 0 0 ( 15 ).

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The princ i pa l Balla st W a ter Man a ge m e nt m e thod(s) em ployed on this ship is/are:

in acco rdance with regu lation D-1

in acco rdance with regu lation D-2 (describe) .....................................................................................................

the ship is s ubject to reg u lation D-4

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 su rvey shows that Ballas t W a te r Ma nagem e nt on the sh ip com p lies with the

Annex to the Convention.

This certificate is valid u n til .........

........................ subject to surv eys in accordance with regulation E

- 1 of the Annex to the C onvention.

Com p letion date of the survey on which this certificate is based: dd/mm /yyyy

Issued at

................................................................................................................... ....................... (Place of iss u e of cer tificate)

............................ .................................................................................................. ........... ( Date of issue ) Signature of authorized offici al issuing th e certificate)

(Seal or stamp of the authority, as appropriate)

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ENDORSE M ENT FOR ANNUAL AND INT E R MEDIAT E SUR V EY(S)

THIS IS TO CERTIFY that a surv ey required by regu lation E-1 of the Anne x to the Convention the ship was found to comply with the relevant provisions of the Convention:

Annual survey: Signed ........................... (Signature of duly authorized official)

Place ..........

..................

Date..............................

(Seal or stamp of the authority, as appropriate)

Annual*/Interm e diate survey*: Signed ........................... (Signature of duly authorized official)

Place ..........

..................

Date..............................

(Seal or stamp of the authority, as appropriate)

Annual*/Interm e diate survey * : Signed ........................... (Signature of duly authorized official)

Place ..........

..................

Date..............................

(Seal or stamp of the authority, as appropriate)

Annual survey: Signed ........................... (Signature of duly authorized official)

Place ..........

..................

Date..............................

(Seal or stamp of the authority, as appropriate)

* Delete as a ppropriate

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ANNUAL / INTERM E DIATE SURVE Y

IN ACCORDANCE WITH REGULATION E-5.8.3

THIS IS TO CERTIFY t h at, at an an nual / inte rmediate * surv ey in acco rd ance with re gulation E-5.8.3 of the Annex to the Convention, the sh ip was found to comply with the relevant provisions of the Convention: Signed .......................... (Signature of authorized official)

Place ..........

..................

Date..............................

(Seal or stamp of the authority, as appropriate)

ENDORS E M ENT TO EXT E ND T H E CERTIFICAT E IF VALI D

FOR LESS THAN 5 YEARS WH ERE REG U LATION E-5.3 APPLIES

The ship complies with the releva nt provisions of the Convention, an d this Certificate shall, in

accordan ce with regulation E-5.3 of the Annex to the Convention, be accepted as valid

until........................... Signed ........................... (Signature of authorized official)

Place ..........

..................

Date.............................

(Seal or stamp of the authority, as appropriate)

ENDORS EMENT WH ERE THE RE NEWAL SURVEY HAS BEEN

COMPLETED AND REGULATION E-5.4 APPLIES

The ship co mplies with the relevan t prov isions of the Con v ention and this Certificate shall, in

accordan ce with regu lation E-5.4 o f the Annex to the Con v ention, b e accepted as valid until

..................... Signed ........................... (Signature of authorized official)

Place ..........

..................

Date..............................

(Seal or stamp of the authority, as appropriate)

* Delete as a ppropriate

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ENDORS EMENT TO EXTEND THE VALID ITY OF THE CE RTIFI CAT E UNTIL

REACHING THE PORT OF SURVE Y OR FOR A PE RIOD OF GRACE

WHERE REGULATION E-5.5 OR E-5.6 APPLIES

This Certificate shall, in accord an ce with regu lation E-5.5 or E-5.6 * of the Annex to the Convention, be accep ted as valid until ............

...........

Signed ........................... (Signature of authorized official)

Place ..........

..................

Date..............................

(Seal or stamp of the authority, as appropriate)

ENDORS E M ENT FO R ADVANCEM ENT OF ANNIVERSARY DATE

WHERE REGULATION E-5.8 APPLIES

In accord an ce with regu lation E-5.8 of the Anne x to the Convention th e new Anniversary date is

................

Signed ........................... (Signature of authorized official)

Place ..........

..................

Date..............................

(Seal or stamp of the authority, as appropriate)

In accord an ce with regu lation E-5.8 of the Anne x to the Convention th e new Anniversary date is

................

Signed ........................... (Signature of duly authorized official)

Place ..........

..................

Date..............................

(Seal or stamp of the authority, as appropriate)

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APPE NDI X II

FORM OF BAL L AS T WATE R RECORD B OOK

INTERNATIONAL CONVENTION FOR T H E CONT ROL AND

MANAGE M ENT OF SHIPS’ BALLA S T W A TE R AND SEDIME NTS

Period From: .......... To: ...........

Na m e of Shi p

.................................................................

IMO num be r ....................................................................

Gross tonnage ...............................................................

Flag ...........................................................................

Total Ballast W a ter capacity (in cubic m e tres) ..........................

The ship is provided with a Ballast Water Ma nagem e nt plan

Diagram of ship indi cating ballast tanks:

1 Introductio n

In accordan ce with regu lation B-2 o f the Annex to the Inte r n ationa l Co nvention f

o r the Control and Managem e nt of Ships’ Ballast Water and Sedim e nts, a record is to be kept of each Ballast Water operation. This includes discharges at sea and to re ception facilities.

2 Ballast Water and Ballast Water Management

“Ballas t W a ter” m eans water with its suspended m a tter taken on board a ship to con t r o l tr im , list, draught, stability, or stresses of a ship. Managem e nt of Ballast W a ter shall be in accordance with an approved Ballast W a ter Managem e nt plan and taking into account Guidelines 3 developed by the Organization.

3 Entries in the Ballast Water Record Book

Entries in th e Ballas t W a ter record bo ok sha ll b e m a de on each of the following occas ions:

3.1 When Ballast W a ter is taken on board:

.1 Date, tim e and location port or facility of uptake (port or lat/l ong), depth if outside
port

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MED/RC/ts 3 Refer to t h e Gu id elin es for t h e con t ro l and m a n a g e m e n t o f sh ips’ b a llast water to m i n i mize th e transfer o f

harm ful aq uat i c o r ga ni sm s and pat h oge ns ad opt e d by t h e O r ga ni zat i o n by resol u t i o n A

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.2 Estim ated volum e of upt ake in cubic m e tres

.3 Signature of the officer in charge of the operation.

3.2 Whenever Ballast W a ter is circulated or treated for Ballast W a ter Managem e nt purposes:

.1 Date and tim e of operation

.2 Estim ated volum e circulated or treated (in cubic m e tres)

.3 Whether conducted in accordance with the Ballast W a ter Managem e nt plan

.4 Signature of the officer in charge of the operation

3.3 When Ballast W a ter is discharged into the sea:

.1 Date, tim e and location port or facility of discharge (port or lat/long)

.2 Estim ated volum e discharged in cubic m e tres plus rem a ining volum e in cubic

me t r e s

.3 Whether approved Ballast W a ter Managem e nt plan had been i m plem ente d prior to discharge

.4 Signature of the officer in charge of the operation.

3.4 When Ballast W a ter is d i scharg ed to a recep tion f acility :

.1 Date, tim e, and location of uptake

.2 Date, tim e, and location of discharge

.3 Port or facility

.4 Estim ated volum e discharged or taken up, in cubic m e tres

.5 Whether approved Ballast W a ter Managem e nt plan had been i m plem ente d prior to discharge

.6 Signature of officer in charge of the operation

3.5 Accidental or other exceptional uptak e or discharges of Ballast W a ter:

.1 Date and tim e of occurrence

.2 Port or position of the sh ip at tim e of occurrence

.3 Estim ated volum e of Ba llast W a ter discharged

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MED/RC/ts .4 Circumstances of uptake, discharge, escape or loss, the reason therefore and general remarks.

.5 Whether approved Ballast Water Management plan had been implemented prior to discharge

.6 Signature of officer in charge of the operation

3.6 Additional operational pro cedure and general remarks

4 Volume of Ballast Water

The volume of Ballast Water onboar d should be estimated in cubi c metres. The Ballast Water record book contains many references to estimated vol ume of Ballast Water. It is reco gnized that the accuracy of estimating volumes of ballast is left to interpretation.

RECORD OF BALLAST WATER OPERATIONS

SAMPLE BALLAST WATER RECORD BOOK PAGE

Name of Ship: ......................................................

Distinctive number or letters .....................................

Date Item (number) Record of operations/signatu re of officers in charge

Signature of master ......................................

___________