INTERNATIONAL CONFERENCE ON 

BALLAST WATER MANAGEMENT FOR 

SHIPS 

Agenda item 8 

BWM/CONF/36

 16 February 2004

 Original: ENGLISH

ADOPTION OF THE FINAL ACT AND ANY INSTRUMENTS, RECOMMENDATIONS 

AND RESOLUTIONS RESULTING FROM THE WORK OF THE CONFERENCE 

INTERNATIONAL CONVENTION FOR THE CONTROL AND MANAGEMENT OF 

SHIPS' BALLAST WATER AND SEDIMENTS, 2004 

Text adopted by the Conference 

1 As a result of its deliberations, as recorded in the Record of Decisions of the Plenary 

(BWM/CONF/RD/2/Rev.1) and the Final Act of the Conference (BWM/CONF/37), the 

Conference adopted the International Convention for the Control and Management of Ships’ 

Ballast Water and Sediments, 2004. 

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

*** 

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INTERNATIONAL CONVENTION FOR THE CONTROL AND MANAGEMENT OF 

SHIPS' BALLAST WATER AND SEDIMENTS, 2004 

THE PARTIES TO THIS CONVENTION, 

RECALLING Article 196(1) of the 1982 United Nations Convention on the Law of the Sea 

(UNCLOS), which provides that “States shall take all measures necessary to prevent, reduce and 

control pollution of the marine environment resulting from the use of technologies under their 

jurisdiction or control, or the intentional or accidental introduction of species, alien or new, to a 

particular part of the marine environment, which may cause significant and harmful changes 

thereto,” 

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

transfer and introduction of Harmful Aquatic Organisms and Pathogens via ships’ ballast water 

threatens the conservation and sustainable use of biological diversity as well as decision IV/5 of 

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

sustainable use of marine and coastal ecosystems, as well as decision VI/23 of the 2002 

Conference of the Parties (COP 6) to the CBD on alien species that threaten ecosystems, habitats

or species, including guiding principles on invasive species, 

NOTING FURTHER that the 1992 United Nations Conference on Environment and 

Development (UNCED) requested the International Maritime Organization (the 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 

Environment and Development and referred to in resolution MEPC.67(37), adopted by the

Organization’s Marine Environment Protection Committee on 15 September 1995, 

ALSO MINDFUL that the 2002 World Summit on Sustainable Development, in 

paragraph 34(b) of its Plan of Implementation, calls for action at all levels to accelerate the 

development of measures to address invasive alien species in ballast water,

CONSCIOUS that the uncontrolled discharge of Ballast Water and Sediments from ships has 

led to the transfer of Harmful Aquatic Organisms and Pathogens, causing injury or damage to the 

environment, human health, property and resources, 

RECOGNIZING the importance placed on this issue by the Organization through Assembly

resolutions A.774(18) in 1993 and A.868(20) in 1997, adopted for the purpose of addressing the 

transfer of Harmful Aquatic Organisms and Pathogens,

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RECOGNIZING FURTHER that several States have taken individual action with a view to 

prevent, minimize and ultimately eliminate the risks of introduction of Harmful Aquatic 

Organisms and Pathogens through ships entering their ports, and also that this issue, being of 

worldwide concern, demands action based on globally applicable regulations together with

guidelines for their effective implementation and uniform interpretation, 

DESIRING to continue the development of safer and more effective Ballast Water Management 

options that will result in continued prevention, minimization and ultimate elimination of the 

transfer of Harmful Aquatic Organisms and Pathogens, 

RESOLVED to prevent, minimize and ultimately eliminate the risks to the environment, human 

health, property and resources arising from the transfer of Harmful Aquatic Organisms and

Pathogens through the control and management of ships’ Ballast Water and Sediments, as well as 

to avoid unwanted side-effects from that control and to encourage developments in related 

knowledge and technology, 

CONSIDERING that these objectives may best be achieved by the conclusion of an 

International Convention for the Control and Management of Ships’ Ballast Water and 

Sediments, 

HAVE AGREED as follows: 

Article 1 Definitions

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

1 "Administration" means the Government of the State under whose authority the ship is 

operating. With respect to a ship entitled to fly a flag of any State, the Administration is the 

Government of that State. With respect to floating platforms engaged in exploration and 

exploitation of the sea-bed and subsoil thereof adjacent to the coast over which the coastal State 

exercises sovereign rights for the purposes of exploration and exploitation of its natural 

resources, including Floating Storage Units (FSUs) and Floating Production Storage and 

Offloading Units (FPSOs), the Administration is the Government of the coastal State concerned. 

2 “Ballast Water” means water with its suspended matter taken on board a ship to control 

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

3 “Ballast Water Management” means mechanical, physical, chemical, and biological 

processes, either singularly or in combination, to remove, render harmless, or avoid the uptake or 

discharge of Harmful Aquatic Organisms and Pathogens within Ballast Water and Sediments. 

4 “Certificate” means the International Ballast Water Management Certificate. 

5 “Committee” means the Marine Environment Protection Committee of the Organization. 

6 “Convention” means the International Convention for the Control and Management of 

Ships’ Ballast Water and Sediments. 

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7 “Gross tonnage” means the gross tonnage calculated in accordance with the tonnage 

measurement regulations contained in Annex I to the International Convention on Tonnage 

Measurement of Ships, 1969 or any successor Convention. 

8 “Harmful Aquatic Organisms and Pathogens” means aquatic organisms or pathogens

which, if introduced into the sea including estuaries, or into fresh water courses, may create 

hazards to the environment, human health, property or resources, impair biological diversity or 

interfere with other legitimate uses of such areas. 

9 “Organization” means the International Maritime Organization. 

10 “Secretary-General” means the Secretary-General of the Organization. 

11 “Sediments” means matter settled out of Ballast Water within a ship. 

12 “Ship” means a vessel of any type whatsoever operating in the aquatic environment and 

includes submersibles, floating craft, floating platforms, FSUs and FPSOs.

Article 2 General Obligations

1 Parties undertake to give full and complete effect to the provisions of this Convention and 

the Annex thereto in order to prevent, minimize and ultimately eliminate the transfer of Harmful 

Aquatic Organisms and Pathogens through the control and management of ships’ Ballast Water 

and Sediments. 

2 The Annex forms an integral part of this Convention. Unless expressly provided 

otherwise, a reference to this Convention constitutes at the same time a reference to the Annex. 

3 Nothing in this Convention shall be interpreted as preventing a Party from taking, 

individually or jointly with other Parties, more stringent measures with respect to the prevention, 

reduction or elimination of the transfer of Harmful Aquatic Organisms and Pathogens through 

the control and management of ships’ Ballast Water and Sediments, consistent with international 

law. 

4 Parties shall endeavour to co-operate for the purpose of effective implementation, 

compliance and enforcement of this Convention. 

5 Parties undertake to encourage the continued development of Ballast Water Management

and standards to prevent, minimize and ultimately eliminate the transfer of Harmful Aquatic 

Organisms and Pathogens through the control and management of ships’ Ballast Water and 

Sediments. 

6 Parties taking action pursuant to this Convention shall endeavour not to impair or damage

their environment, human health, property or resources, or those of other States. 

7 Parties should ensure that Ballast Water Management practices used to comply with this 

Convention do not cause greater harm than they prevent to their environment, human health, 

property or resources, or those of other States. 

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8 Parties shall encourage ships entitled to fly their flag, and to which this Convention 

applies, to avoid, as far as practicable, the uptake of Ballast Water with potentially Harmful 

Aquatic Organisms and Pathogens, as well as Sediments that may contain such organisms, 

including promoting the adequate implementation of recommendations developed by the 

Organization. 

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

threats and risks to sensitive, vulnerable or threatened marine ecosystems and biodiversity in

areas beyond the limits of national jurisdiction in relation to Ballast Water 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 which operate under the authority of 

a Party. 

2 This Convention shall not apply to: 

(a) ships not designed or constructed to carry Ballast Water; 

(b) ships of a Party which only operate in waters under the jurisdiction of that Party, 

unless the Party determines that the discharge of Ballast Water from such ships

would impair or damage their environment, human health, property or resources, 

or those of adjacent or other States; 

(c) ships of a Party which only operate in waters under the jurisdiction of another 

Party, subject to the authorization of the latter Party for such exclusion. No Party

shall grant such authorization if doing so would impair or damage their 

environment, human health, property or resources, or those of adjacent or other 

States. Any Party not granting such authorization shall notify the Administration

of the ship concerned that this Convention applies to such ship; 

(d) ships which only operate in waters under the jurisdiction of one Party and on the 

high seas, except for ships not granted an authorization pursuant to sub-paragraph 

(c), unless such Party determines that the discharge of Ballast Water from such 

ships would impair or damage their environment, human health, property or 

resources, or those of adjacent of other States; 

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

for the time being, only on government non-commercial service. However, each

Party shall ensure, by the adoption of appropriate measures not impairing 

operations or operational capabilities of such ships owned or operated by it, that 

such ships act in a manner consistent, so far as is reasonable and practicable, with 

this Convention; and 

(f) permanent Ballast Water in sealed tanks on ships, that is not subject to discharge. 

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3 With respect to ships of non-Parties to this Convention, Parties shall apply the 

requirements of this Convention as may be necessary to ensure that no more favourable treatment 

is given to such ships. 

Article 4 Control of the Transfer of Harmful Aquatic Organisms and Pathogens Through 

Ships’ Ballast Water and Sediments 

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

entitled to fly its flag or operating under its authority comply with the requirements set forth in

this Convention, including the applicable standards and requirements in the Annex, and shall take 

effective measures to ensure that those ships comply with those requirements. 

2 Each Party shall, with due regard to its particular conditions and capabilities, develop 

national policies, strategies or programmes for Ballast Water Management in its ports and waters 

under its jurisdiction that accord with, and promote the attainment of the objectives of this 

Convention. 

Article 5 Sediment Reception Facilities

1 Each Party undertakes to ensure that, in ports and terminals designated by that Party 

where cleaning or repair of ballast tanks occurs, adequate facilities are provided for the reception 

of Sediments, taking into account the Guidelines developed by the Organization. Such reception

facilities shall operate without causing undue delay to ships and shall provide for the safe 

disposal of such Sediments that does not impair or damage their environment, human health, 

property or resources or those of other States. 

2 Each Party shall notify the Organization for transmission to the other Parties concerned of 

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

Article 6 Scientific and Technical Research and Monitoring 

1 Parties shall endeavour, individually or jointly, to: 

(a) promote and facilitate scientific and technical research on Ballast Water 

Management; and 

(b) monitor the effects of Ballast Water Management in waters under their

jurisdiction.

Such research and monitoring should include observation, measurement, sampling, evaluation 

and analysis of the effectiveness and adverse impacts of any technology or methodology as well 

as any adverse impacts caused by such organisms and pathogens that have been identified to 

have been transferred through ships’ Ballast Water. 

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

relevant information to other Parties who request it on: 

(a) scientific and technology programmes and technical measures undertaken with 

respect to Ballast Water Management; and 

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(b) the effectiveness of Ballast Water Management deduced from any monitoring and 

assessment programmes. 

Article 7 Survey and certification

1 Each Party shall ensure that ships flying its flag or operating under its authority and 

subject to survey and certification are so surveyed and certified in accordance with the 

regulations in the Annex. 

2 A Party implementing measures pursuant to Article 2.3 and Section C of the Annex shall 

not require additional survey and certification of a ship of another Party, nor shall the 

Administration of the ship be obligated to survey and certify additional measures imposed by 

another Party. Verification of such additional measures shall be the responsibility of the Party 

implementing such measures and shall not cause undue delay to the ship. 

Article 8 Violations

1 Any violation of the requirements of this Convention shall be prohibited and sanctions 

shall be established under the law of the Administration of the ship concerned, wherever the 

violation occurs. If the Administration is informed of such a violation, it shall investigate the 

matter and may request the reporting Party to furnish additional evidence of the alleged violation. 

If the Administration is satisfied that sufficient evidence is available to enable proceedings to be

brought in respect of the alleged violation, it shall cause such proceedings to be taken as soon as 

possible, in accordance with its law. The Administration shall promptly inform the Party that 

reported the alleged violation, as well as the Organization, of any action taken. If the 

Administration has not taken any action within 1 year after receiving the information, it shall so

inform the Party which reported the alleged violation. 

2 Any violation of the requirements of this Convention within the jurisdiction of any Party 

shall be prohibited and sanctions shall be established under the law of that Party. Whenever such 

a violation occurs, that Party shall either: 

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

(b) furnish to the Administration of the ship such information and evidence as may be 

in its possession that a violation has occurred. 

3 The sanctions provided for by the laws of a Party pursuant to this Article shall be 

adequate in severity to discourage violations of this Convention wherever they occur. 

Article 9 Inspection of Ships 

1 A ship to which this Convention applies may, in any port or offshore terminal of another 

Party, be subject to inspection by officers duly authorized by that Party for the purpose of

determining whether the ship is in compliance with this Convention. Except as provided in 

paragraph 2 of this Article, any such inspection is limited to: 

(a) verifying that there is onboard a valid Certificate, which, if valid shall be 

accepted; and 

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

(c) a sampling of the ship’s Ballast Water, carried out in accordance with the 

guidelines to be developed by the Organization. However, the time required to 

analyse the samples shall not be used as a basis for unduly delaying the operation, 

movement or departure of the ship. 

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

that: 

(a) the condition of the ship or its equipment does not correspond substantially with 

the particulars of the Certificate; or

(b) the master or the crew are not familiar with essential shipboard procedures 

relating to Ballast Water Management, or have not implemented such procedures; 

a detailed inspection may be carried out. 

3 In the circumstances given in paragraph 2 of this Article, the Party carrying out the 

inspection shall take such steps as will ensure that the ship shall not discharge Ballast Water until 

it can do so without presenting a threat of harm to the environment, human health, property or 

resources. 

Article 10 Detection of Violations and Control of Ships 

1 Parties shall co-operate in the detection of violations and the enforcement of the 

provisions of this Convention. 

2 If a ship is detected to have violated this Convention, the Party whose flag the ship is 

entitled to fly, and/or the Party in whose port or offshore terminal the ship is operating, may, in 

addition to any sanctions described in Article 8 or any action described in Article 9, take steps to 

warn, detain, or exclude the ship. The Party in whose port or offshore terminal the ship is 

operating, however, may grant such a ship permission to leave the port or offshore terminal for

the purpose of discharging Ballast Water or proceeding to the nearest appropriate repair yard or

reception facility available, provided doing so does not present a threat of harm to the 

environment, human health, property or resources. 

3 If the sampling described in Article 9.1(c) leads to a result, or supports information 

received from another port or offshore terminal, indicating that the ship poses a threat to the 

environment, human health, property or resources, the Party in whose waters the ship is operating

shall prohibit such ship from discharging Ballast Water until the threat is removed. 

4 A Party may also inspect a ship when it enters the ports or offshore terminals under its 

jurisdiction, if a request for an investigation is received from any Party, together with sufficient 

evidence that a ship is operating or has operated in violation of a provision in this Convention. 

The report of such investigation shall be sent to the Party requesting it and to the competent 

authority of the Administration of the ship concerned so that appropriate action may be taken. 

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Article 11 Notification of Control Actions 

1 If an inspection conducted pursuant to Article 9 or 10 indicates a violation of this 

Convention, the ship shall be notified. A report shall be forwarded to the Administration, 

including any evidence of the violation. 

2 In the event that any action is taken pursuant to Article 9.3, 10.2 or 10.3, the officer 

carrying out such action shall forthwith inform, in writing, the Administration of the ship 

concerned, or if this is not possible, the consul or diplomatic representative of the ship concerned, 

of all the circumstances in which the action was deemed necessary. In addition, the recognized 

organization responsible for the issue of certificates shall be notified. 

3 The port State authority concerned shall, in addition to parties mentioned in paragraph 2, 

notify the next port of call of all relevant information about the violation, if it is unable to take 

action as specified in Article 9.3, 10.2 or 10.3 or if the ship has been allowed to proceed to the

next port of call. 

Article 12 Undue Delay to Ships

1 All possible efforts shall be made to avoid a ship being unduly detained or delayed under 

Article 7.2, 8, 9 or 10. 

2 When a ship is unduly detained or delayed under Article 7.2, 8, 9 or 10, it shall be entitled 

to compensation for any loss or damage suffered. 

Article 13 Technical Assistance, Co-operation and Regional Co-operation

1 Parties undertake, directly or through the Organization and other international bodies, as 

appropriate, in respect of the control and management of ships' Ballast Water and Sediments, to 

provide support for those Parties which request technical assistance: 

(a) to train personnel; 

(b) to ensure the availability of relevant technology, equipment and facilities; 

(c) to initiate joint research and development programmes; and 

(d) to undertake other action aimed at the effective implementation of this Convention 

and of guidance developed by the Organization related thereto. 

2 Parties undertake to co-operate actively, subject to their national laws, regulations and 

policies, in the transfer of technology in respect of the control and management of ships' Ballast 

Water and Sediments. 

3 In order to further the objectives of this Convention, Parties with common interests to 

protect the environment, human health, property and resources in a given geographical area, in 

particular, those Parties bordering enclosed and semi-enclosed seas, shall endeavour, taking into 

account characteristic regional features, to enhance regional co-operation, including through the 

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conclusion of regional agreements consistent with this Convention. Parties shall seek to cooperate with the Parties to regional agreements to develop harmonized procedures. 

Article 14 Communication of information 

1 Each Party shall report to the Organization and, where appropriate, make available to

other Parties the following information: 

(a) any requirements and procedures relating to Ballast Water Management, including 

its laws, regulations, and guidelines for implementation of this Convention; 

(b) the availability and location of any reception facilities for the environmentally

safe disposal of Ballast Water and Sediments; and 

(c) any requirements for information from a ship which is unable to comply with the

provisions of this Convention for reasons specified in regulations A-3 and B-4 of 

the Annex. 

2 The Organization shall notify Parties of the receipt of any communications under the 

present Article and circulate to all Parties any information communicated to it under 

subparagraphs 1(b) and (c) of this Article. 

Article 15 Dispute Settlement 

Parties shall settle any dispute between them concerning the interpretation or application of this 

Convention by negotiation, enquiry, mediation, conciliation, arbitration, judicial settlement, 

resort to regional agencies or arrangements or other peaceful means of their own choice.

Article 16 Relationship to International Law and Other Agreements 

Nothing in this Convention shall prejudice the rights and obligations of any State under 

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

Article 17 Signature, Ratification, Acceptance, Approval and Accession

1 This Convention shall be open for signature by any State at the Headquarters of the 

Organization from 1 June 2004 to 31 May 2005 and shall thereafter remain open for accession by 

any State. 

2 States may become Parties to the Convention by: 

(a) signature not subject to ratification, acceptance, or approval; or 

(b) signature subject to ratification, acceptance, or approval, followed by ratification,

acceptance or approval; or 

(c) accession. 

3 Ratification, acceptance, approval or accession shall be effected by the deposit of an 

instrument to that effect with the Secretary-General. 

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4 If a State comprises two or more territorial units in which different systems of law are 

applicable in relation to matters dealt with in this Convention, it may at the time of signature, 

ratification, acceptance, approval, or accession declare that this Convention shall extend to all its 

territorial units or only to one or more of them and may modify this declaration by submitting

another declaration at any time. 

5 Any such declaration shall be notified to the Depositary in writing and shall state 

expressly the territorial unit or units to which this Convention applies. 

Article 18 Entry into Force 

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

thirty States, the combined merchant fleets of which constitute not less than thirty-five percent of

the gross tonnage of the world’s merchant shipping, have either signed it without reservation as 

to ratification, acceptance or approval, or have deposited the requisite instrument of ratification,

acceptance, approval or accession in accordance with Article 17. 

2 For States which have deposited an instrument of ratification, acceptance, approval or 

accession in respect of this Convention after the requirements for entry into force thereof have 

been met, but prior to the date of entry in force, the ratification, acceptance, approval or 

accession shall take effect on the date of entry into force of this Convention or three months after 

the date of deposit of instrument, whichever is the later date. 

3 Any instrument of ratification, acceptance, approval or accession deposited after the date 

on which this Convention enters into force shall take effect three months after the date of deposit. 

4 After the date on which an amendment to this Convention is deemed to have been 

accepted under Article 19, any instrument of ratification, acceptance, approval or accession

deposited shall apply to this Convention as amended. 

Article 19 Amendments

1 This Convention may be amended by either of the procedures specified in the following 

paragraphs. 

2 Amendments after consideration within the Organization: 

(a) Any Party may propose an amendment to this Convention. A proposed 

amendment shall be submitted to the Secretary-General, who shall then circulate it 

to the Parties and Members of the Organization at least six months prior to its 

consideration. 

(b) An amendment proposed and circulated as above shall be referred to the 

Committee for consideration. Parties, whether or not Members of the 

Organization, shall be entitled to participate in the proceedings of the Committee

for consideration and adoption of the amendment.

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(c) Amendments shall be adopted by a two-thirds majority of the Parties present and

voting in the Committee, on condition that at least one-third of the Parties shall be

present at the time of voting. 

(d) Amendments adopted in accordance with subparagraph (c) shall be communicated

by the Secretary-General to the Parties for acceptance. 

(e) An amendment shall be deemed to have been accepted in the following 

circumstances: 

(i) An amendment to an article of this Convention shall be deemed to have 

been accepted on the date on which two-thirds of the Parties have notified

the Secretary-General of their acceptance of it. 

(ii) An amendment to the Annex shall be deemed to have been accepted at the 

end of twelve months after the date of adoption or such other date as

determined by the Committee. However, if by that date more than 

one-third of the Parties notify the Secretary-General that they object to the

amendment, it shall be deemed not to have been accepted. 

(f) An amendment shall enter into force under the following conditions: 

(i) An amendment to an article of this Convention shall enter into force for 

those Parties that have declared that they have accepted it six months after 

the date on which it is deemed to have been accepted in accordance with 

subparagraph (e)(i). 

(ii) An amendment to the Annex shall enter into force with respect to all 

Parties six months after the date on which it is deemed to have been 

accepted, except for any Party that has: 

(1) notified its objection to the amendment in accordance with

subparagraph (e)(ii) and that has not withdrawn such objection; or 

(2) notified the Secretary-General, prior to the entry into force of such 

amendment, that the amendment shall enter into force for it only

after a subsequent notification of its acceptance. 

(g) (i) A Party that has notified an objection under subparagraph (f)(ii)(1) may 

subsequently notify the Secretary-General that it accepts the amendment. 

Such amendment shall enter into force for such Party six months after the 

date of its notification of acceptance, or the date on which the amendment 

enters into force, whichever is the later date. 

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

notifies the Secretary-General of its acceptance with respect to an 

amendment, such amendment shall enter into force for such Party six 

months after the date of its notification of acceptance, or the date on which 

the amendment enters into force, whichever is the later date. 

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3 Amendment by a Conference: 

(a) Upon the request of a Party concurred in by at least one-third of the Parties, the 

Organization shall convene a Conference of Parties to consider amendments to

this Convention. 

(b) An amendment adopted by such a Conference by a two-thirds majority of the

Parties present and voting shall be communicated by the Secretary-General to all 

Parties for acceptance. 

(c) Unless the Conference decides otherwise, the amendment shall be deemed to have 

been accepted and shall enter into force in accordance with the procedures

specified in paragraphs 2(e) and (f) respectively. 

4 Any Party that has declined to accept an amendment to the Annex shall be treated as a 

non-Party only for the purpose of application of that amendment. 

5 Any notification under this Article shall be made in writing to the Secretary-General. 

6 The Secretary-General shall inform the Parties and Members of the Organization of: 

(a) any amendment that enters into force and the date of its entry into force generally 

and for each Party; and 

(b) any notification made under this Article. 

Article 20 Denunciation 

1 This Convention may be denounced by any Party at any time after the expiry of two years

from the date on which this Convention enters into force for that Party. 

2 Denunciation shall be effected by written notification to the Depositary, to take effect one 

year after receipt or such longer period as may be specified in that notification. 

Article 21 Depositary

1 This Convention shall be deposited with the Secretary-General, who shall transmit 

certified copies of this Convention to all States which have signed this Convention or acceded 

thereto. 

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

shall: 

(a) inform all States that have signed this Convention, or acceded thereto, of: 

(i) each new signature or deposit of an instrument of ratification, acceptance, 

approval or accession, together with the date thereof; 

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

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(iii) the deposit of any instrument of denunciation from the Convention, 

together with the date on which it was received and the date on which the

denunciation takes effect; and 

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

Secretariat of the United Nations for registration and publication in accordance 

with Article 102 of the Charter of the United Nations. 

Article 22 Languages 

This Convention is established in a single original in the Arabic, Chinese, English, French, 

Russian and Spanish languages, each text being equally authentic. 

DONE AT LONDON this thirteenth day of February, two thousand and four. 

IN WITNESS WHEREOF the undersigned, being duly authorised by their respective 

Governments for that purpose, have signed this Convention. 

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ANNEX 

REGULATIONS FOR THE CONTROL AND MANAGEMENT OF SHIPS' 

BALLAST WATER AND SEDIMENTS 

SECTION A - GENERAL PROVISIONS 

Regulation A-1 Definitions 

For the purposes of this Annex: 

1 “Anniversary date” means the day and the month of each year corresponding to the date 

of expiry of the Certificate. 

2 “Ballast Water Capacity” means the total volumetric capacity of any tanks, spaces or 

compartments on a ship used for carrying, loading or discharging Ballast Water, including any 

multi-use tank, space or compartment designed to allow carriage of Ballast Water. 

3 “Company” means the owner of the ship or any other organization or person such as the 

manager, or the bareboat charterer, who has assumed the responsibility for operation of the ship

from the owner of the ship and who on assuming such responsibility has agreed to take over all 

the duties and responsibilities imposed by the International Safety Management Code1

.

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

.1 the keel is laid; or 

.2 construction identifiable with the specific ship begins; 

.3 assembly of the ship has commenced comprising at least 50 tonnes or 1 percent of 

the estimated mass of all structural material, whichever is less; or

.4 the ship undergoes a major conversion. 

5 “Major conversion” means 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 Administration, is projected to prolong its life by ten 

years or more, or 

.4 which results in modifications to its ballast water system other than component 

replacement-in-kind. Conversion of a ship to meet the provisions of regulation D1 shall not be deemed to constitute a major conversion for the purpose of this 

Annex. 

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6 “From the nearest land” means from the baseline from which the territorial sea of the

territory in question is established in accordance with international law except that, for the

purposes of the Convention, “from the nearest land” off the north-eastern coast of Australia shall

mean from a line drawn from a point on the coast of Australia in 

latitude 11°00 ́ S, longitude 142°08 ́ E 

to a point in latitude 10°35 ́ S, longitude 141°55 ́ E 

thence to a point 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 point latitude 10°41 ́ S, longitude 145°00 ́ E 

thence to a point latitude 13°00 ́ S, longitude 145°00 ́ E 

thence to a point latitude 15°00 ́ S, longitude 146°00 ́ E 

thence to a point latitude 17°30 ́ S, longitude 147°00 ́ E 

thence to a point latitude 21°00 ́ S, longitude 152°55 ́ E 

thence to a point latitude 24°30 ́ S, longitude 154°00 ́ E 

thence to a point on the coast of Australia 

in latitude 24°42 ́ S, longitude 153°15 ́ E. 

7 “Active Substance” means a substance or organism, including a virus or a fungus, that has 

a general or specific action on or against Harmful Aquatic Organisms and Pathogens. 

Regulation A-2 General Applicability

Except where expressly provided otherwise, the discharge of Ballast Water shall only be

conducted through Ballast Water Management in accordance with the provisions of this Annex. 

Regulation A-3 Exceptions

The requirements of regulation B-3, or any measures adopted by a Party pursuant to Article 2.3 

and Section C, shall not apply to: 

1 the uptake or discharge of Ballast Water and Sediments necessary for the purpose 

of ensuring the safety of a ship in emergency situations or saving life at sea; or 

2 the accidental discharge or ingress of Ballast Water and Sediments resulting from 

damage to a ship or its equipment: 

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

the occurrence of the damage or discovery of the damage or discharge for

the purpose of preventing or minimizing the discharge; and 

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

caused damage; or 

 

3 the uptake and discharge of Ballast Water and Sediments when being used for the 

purpose of avoiding or minimizing pollution incidents from the ship; or 

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4 the uptake and subsequent discharge on the high seas of the same Ballast Water 

and Sediments; or 

5 the discharge of Ballast Water and Sediments from a ship at the same location

where the whole of that Ballast Water and those Sediments originated and 

provided that no mixing with unmanaged Ballast Water and Sediments from other 

areas has occurred. If mixing has occurred, the Ballast Water taken from other

areas is subject to Ballast Water Management in accordance with this Annex. 

Regulation A-4 Exemptions

1 A Party or Parties, in waters under their jurisdiction, may grant exemptions to any 

requirements to apply regulations B-3 or C-1, in addition to those exemptions contained 

elsewhere in this Convention, but only when they are: 

.1 granted to a ship or ships on a voyage or voyages between specified ports or

locations; or to a ship which operates exclusively between specified ports or

locations; 

.2 effective for a period of no more than five years subject to intermediate review; 

.3 granted to ships that do not mix Ballast Water or Sediments other than between 

the ports or locations specified in paragraph 1.1; and 

.4 granted based on the Guidelines on risk assessment developed by the 

Organization. 

2 Exemptions granted pursuant to paragraph 1 shall not be effective until after 

communication to the Organization and circulation of relevant information to the Parties. 

3 Any exemptions granted under this regulation shall not impair or damage the 

environment, human health, property or resources of adjacent or other States. Any State that the 

Party determines may be adversely affected shall be consulted, with a view to resolving any 

identified concerns. 

4 Any exemptions granted under this regulation shall be recorded in the Ballast Water 

record book. 

Regulation A-5 Equivalent compliance

Equivalent compliance with this Annex for pleasure craft used solely for recreation or 

competition or craft used primarily for search and rescue, less than 50 metres in length overall, 

and with a maximum Ballast Water capacity of 8 cubic metres, shall be determined by the 

Administration taking into account Guidelines developed by the Organization. 

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SECTION B – MANAGEMENT AND CONTROL REQUIREMENTS FOR SHIPS 

Regulation B-1 Ballast Water Management Plan

Each ship shall have on board and implement a Ballast Water Management plan. Such a plan 

shall be approved by the Administration taking into account Guidelines developed by the 

Organization. The Ballast Water Management plan shall be specific to each ship and shall at 

least: 

1 detail safety procedures for the ship and the crew associated with Ballast Water 

Management as required by this Convention; 

2 provide a detailed description of the actions to be taken to implement the Ballast Water

Management requirements and supplemental Ballast Water Management practices as set 

forth in this Convention; 

3 detail the procedures for the disposal of Sediments: 

.1 at sea; and 

.2 to shore; 

4 include the procedures for coordinating shipboard Ballast Water Management that 

involves discharge to the sea with the authorities of the State into whose waters such 

discharge will take place; 

5 designate the officer on board in charge of ensuring that the plan is properly 

implemented; 

6 contain the reporting requirements for ships provided for under this Convention; and 

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

French or Spanish, a translation into one of these languages shall be included. 

Regulation B-2 Ballast Water Record Book

1 Each ship shall have on board a Ballast Water record book that may be an electronic 

record system, or that may be integrated into another record book or system and, which shall at 

least contain the information specified in Appendix II. 

2 Ballast Water record book entries shall be maintained on board the ship for a minimum 

period of two years after the last entry has been made and thereafter in the Company’s control for 

a minimum period of three years. 

3 In the event of the discharge of Ballast Water pursuant to regulations A-3, A-4 or B-3.6 

or in the event of other accidental or exceptional discharge of Ballast Water not otherwise 

exempted by this Convention, an entry shall be made in the Ballast Water record book describing 

the circumstances of, and the reason for, the discharge. 

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4 The Ballast Water record book shall be kept readily available for inspection at all 

reasonable times and, in the case of an unmanned ship under tow, may be kept on the towing 

ship. 

5 Each operation concerning Ballast Water shall be fully recorded without delay in the 

Ballast Water record book. Each entry shall be signed by the officer in charge of the operation

concerned and each completed page shall be signed by the master. The entries in the Ballast

Water record book shall be in a working language of the ship. If that language is not English,

French or Spanish the entries shall contain a translation into one of those languages. When 

entries in an official national language of the State whose flag the ship is entitled to fly are also 

used, these shall prevail in case of a dispute or discrepancy. 

6 Officers duly authorized by a Party may inspect the Ballast Water record book on board 

any ship to which this regulation applies while the ship is in its port or offshore terminal, and 

may make a copy of any entry, and require the master to certify that the copy is a true copy. Any 

copy so certified shall be admissible in any judicial proceeding as evidence of the facts stated in 

the entry. The inspection of a Ballast Water record book and the taking of a certified copy shall 

be performed as expeditiously as possible without causing the ship to be unduly delayed. 

Regulation B-3 Ballast Water Management for Ships 

1 A ship constructed before 2009: 

.1 with a Ballast Water Capacity of between 1500 and 5000 cubic metres, inclusive, 

shall conduct Ballast Water Management that at least meets the standard described 

in regulation D-1 or regulation D-2 until 2014, after which time it shall at least 

meet the standard described in regulation D-2; 

.2 with a Ballast Water Capacity of less than 1500 or greater than 5000 cubic metres 

shall conduct Ballast Water Management that at least meets the standard described 

in regulation D-1 or regulation D-2 until 2016, after which time it shall at least 

meet the standard described in regulation D-2. 

2 A ship to which paragraph 1 applies shall comply with paragraph 1 not later than the first 

intermediate or renewal survey, whichever occurs first, after the anniversary date of delivery of

the ship in the year of compliance with the standard applicable to the ship. 

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

metres shall conduct Ballast Water Management that at least meets the standard described in 

regulation D-2. 

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

5000 cubic metres or more shall conduct Ballast Water Management in accordance with

paragraph 1.2. 

5 A ship constructed in or after 2012 with a Ballast Water Capacity of 5000 cubic metres or 

more shall conduct Ballast Water Management that at least meets the standard described in 

regulation D-2. 

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6 The requirements of this regulation do not apply to ships that discharge Ballast Water to a

reception facility designed taking into account the Guidelines developed by the Organization for 

such facilities. 

7 Other methods of Ballast Water Management may also be accepted as alternatives to the 

requirements described in paragraphs 1 to 5, provided that such methods ensure at least the same

level of protection to the environment, human health, property or resources, and are approved in 

principle by the Committee. 

Regulation B-4 Ballast Water Exchange

1 A ship conducting Ballast Water exchange to meet the standard in regulation D-1 shall: 

.1 whenever possible, conduct such Ballast Water exchange at least 200 nautical 

miles from the nearest land and in water at least 200 metres in depth, taking into 

account the Guidelines developed by the Organization; 

.2 in cases where the ship is unable to conduct Ballast Water exchange in accordance 

with paragraph 1.1, such Ballast Water exchange shall be conducted taking into 

account the Guidelines described in paragraph 1.1 and as far from the nearest land 

as possible, and in all cases at least 50 nautical miles from the nearest land and in 

water at least 200 metres in depth.

2 In sea areas where the distance from the nearest land or the depth does not meet the 

parameters described in paragraph 1.1 or 1.2, the port State may designate areas, in 

consultation with adjacent or other States, as appropriate, where a ship may conduct 

Ballast Water exchange, taking into account the Guidelines described in paragraph 1.1. 

3 A ship shall not be required to deviate from its intended voyage, or delay the voyage, in 

order to comply with any particular requirement of paragraph 1. 

4 A ship conducting Ballast Water exchange shall not be required to comply with 

paragraphs 1 or 2, as appropriate, if the master reasonably decides that such exchange 

would threaten the safety or stability of the ship, its crew, or its passengers because of 

adverse weather, ship design or stress, equipment failure, or any other extraordinary 

condition. 

5 When a ship is required to conduct Ballast Water exchange and does not do so in 

accordance with this regulation, the reasons shall be entered in the Ballast Water record

book.

Regulation B-5 Sediment Management for Ships

1 All ships shall remove and dispose of Sediments from spaces designated to carry Ballast 

Water in accordance with the provisions of the ship’s Ballast Water Management plan. 

2 Ships described in regulation B-3.3 to B-3.5 should, without compromising safety or 

operational efficiency, be designed and constructed with a view to minimize the uptake and 

undesirable entrapment of Sediments, facilitate removal of Sediments, and provide safe access to

allow for Sediment removal and sampling, taking into account guidelines developed by the 

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Organization. Ships described in regulation B-3.1 should, to the extent practicable, comply with 

this paragraph. 

Regulation B-6 Duties of Officers and Crew 

Officers and crew shall be familiar with their duties in the implementation of Ballast Water

Management particular to the ship on which they serve and shall, appropriate to their duties, be 

familiar with the ship’s Ballast Water Management plan. 

SECTION C – SPECIAL REQUIREMENTS IN CERTAIN AREAS

Regulation C-1 Additional Measures

1 If a Party, individually or jointly with other Parties, determines that measures in addition

to those in Section B are necessary to prevent, reduce, or eliminate the transfer of Harmful 

Aquatic Organisms and Pathogens through ships’ Ballast Water and Sediments, such Party or 

Parties may, consistent with international law, require ships to meet a specified standard or 

requirement. 

2 Prior to establishing standards or requirements under paragraph 1, a Party or Parties 

should consult with adjacent or other States that may be affected by such standards or

requirements. 

3 A Party or Parties intending to introduce additional measures in accordance with

paragraph 1 shall: 

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

.2 communicate their intention to establish additional measure(s) to the Organization

at least 6 months, except in emergency or epidemic situations, prior to the

projected date of implementation of the measure(s). Such communication shall

include: 

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

.2 the need and reasoning for the application of the additional measure(s), 

including, whenever possible, benefits; 

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

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

the additional measure(s). 

. 3 to the extent required by customary international law as reflected in the United

Nations Convention on the Law of the Sea, as appropriate, obtain the approval of

the Organization. 

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4 A Party or Parties, in introducing such additional measures, shall endeavour to make

available all appropriate services, which may include but are not limited to notification to 

mariners of areas, available and alternative routes or ports, as far as practicable, in order to ease

the burden on the ship. 

5 Any additional measures adopted by a Party or Parties shall not compromise the safety

and security of the ship and in any circumstances not conflict with any other convention with 

which the ship must comply. 

6 A Party or Parties introducing additional measures may waive these measures for a period 

of time or in specific circumstances as they deem fit. 

Regulation C-2 Warnings Concerning Ballast Water Uptake in Certain Areas and Related 

Flag State Measures

1 A Party shall endeavour to notify mariners of areas under their jurisdiction where ships

should not uptake Ballast Water due to known conditions. The Party shall include in such 

notices the precise coordinates of the area or areas, and, where possible, the location of any 

alternative area or areas for the uptake of Ballast Water. Warnings may be issued for areas: 

.1 known to contain outbreaks, infestations, or populations of Harmful Aquatic 

Organisms and Pathogens (e.g., toxic algal blooms) which are likely to be of

relevance to Ballast Water uptake or discharge; 

.2 near sewage outfalls; or 

.3 where tidal flushing is poor or times during which a tidal stream is known to be

more turbid.

2 In addition to notifying mariners of areas in accordance with the provisions of 

paragraph 1, a Party shall notify the Organization and any potentially affected coastal States of 

any areas identified in paragraph 1 and the time period such warning is likely to be in effect. The 

notice to the Organization and any potentially affected coastal States shall include 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. The notice shall include advice to ships needing to uptake 

Ballast Water in the area, describing arrangements made for alternative supplies. The Party shall 

also notify mariners, the Organization, and any potentially affected coastal States when a given 

warning is no longer applicable. 

Regulation C-3 Communication of Information

The Organization shall make available, through any appropriate means, information 

communicated to it under regulations C-1 and C-2. 

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SECTION D - STANDARDS FOR BALLAST WATER MANAGEMENT 

Regulation D-1 Ballast Water Exchange Standard

1 Ships performing Ballast Water exchange in accordance with this regulation shall do so 

with an efficiency of at least 95 percent volumetric exchange of Ballast Water. 

2 For ships exchanging Ballast Water by the pumping-through method, pumping through 

three times the volume of each Ballast Water tank shall be considered to meet the standard

described in paragraph 1. Pumping through less than three times the volume may be accepted 

provided the ship can demonstrate that at least 95 percent volumetric exchange is met. 

Regulation D-2 Ballast Water Performance Standard

1 Ships conducting Ballast Water Management in accordance with this regulation shall 

discharge less than 10 viable organisms per cubic metre greater than or equal to 50 

micrometres in minimum dimension and less than 10 viable organisms per milliliter less

than 50 micrometres in minimum dimension and greater than or equal to 10 micrometres 

in minimum dimension; and discharge of the indicator microbes shall not exceed the 

specified concentrations described in paragraph 2. 

2 Indicator microbes, as a human health standard, shall include: 

.1 Toxicogenic Vibrio cholerae (O1 and O139) with less than 1 colony forming unit 

(cfu) per 100 milliliters or less than 1 cfu per 1 gram (wet weight) zooplankton

samples ; 

.2 Escherichia coli less than 250 cfu per 100 milliliters; 

.3 Intestinal Enterococci less than 100 cfu per 100 milliliters. 

Regulation D-3 Approval requirements for Ballast Water Management systems

1 Except as specified in paragraph 2, Ballast Water Management systems used to comply

with this Convention must be approved by the Administration taking into account Guidelines 

developed by the Organization. 

2 Ballast Water Management systems which make use of Active Substances or preparations 

containing one or more Active Substances to comply with this Convention shall be approved by

the Organization, based on a procedure developed by the Organization. This procedure shall 

describe the approval and withdrawal of approval of Active Substances and their proposed 

manner of application. At withdrawal of approval, the use of the relevant Active Substance or 

Substances shall be prohibited within 1 year after the date of such withdrawal. 

3 Ballast Water Management systems used to comply with this Convention must be safe in 

terms of the ship, its equipment and the crew. 

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Regulation D-4 Prototype Ballast Water Treatment Technologies 

1 For any ship that, prior to the date that the standard in regulation D-2 would otherwise 

become effective for it, participates in a programme approved by the Administration to test and

evaluate promising Ballast Water treatment technologies, the standard in regulation D-2 shall not 

apply to that ship until five years from the date on which the ship would otherwise be required to 

comply with such standard. 

2 For any ship that, after the date on which the standard in regulation D-2 has become

effective for it, participates in a programme approved by the Administration, taking into account 

Guidelines developed by the Organization, to test and evaluate promising Ballast Water 

technologies with the potential to result in treatment technologies achieving a standard higher 

than that in regulation D-2, the standard in regulation D-2 shall cease to apply to that ship for five 

years from the date of installation of such technology. 

3 In establishing and carrying out any programme to test and evaluate promising Ballast

Water technologies, Parties shall: 

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

.2 allow participation only by the minimum number of ships necessary to effectively

test such technologies. 

4 Throughout the test and evaluation period, the treatment system must be operated 

consistently and as designed. 

Regulation D-5 Review of Standards by the Organization

1 At a meeting of the Committee held no later than three years before the earliest effective

date of the standard set forth in regulation D-2, the Committee shall undertake a review which 

includes a determination of whether appropriate technologies are available to achieve the

standard, an assessment of the criteria in paragraph 2, and an assessment of the socio-economic

effect(s) specifically in relation to the developmental needs of developing countries, particularly 

small island developing States. The Committee shall also undertake periodic reviews, as

appropriate, to examine the applicable requirements for ships described in regulation B-3.1 as

well as any other aspect of Ballast Water Management addressed in this Annex, including any 

Guidelines developed by the Organization. 

2 Such reviews of appropriate technologies shall also take into account: 

.1 safety considerations relating to the ship and the crew; 

.2 environmental acceptability, i.e., not causing more or greater environmental 

impacts than they solve; 

.3 practicability, i.e., compatibility with ship design and operations; 

.4 cost effectiveness, i.e., economics; and 

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.5 biological effectiveness in terms of removing, or otherwise rendering not viable, 

Harmful Aquatic Organisms and Pathogens in Ballast Water. 

3 The Committee may form a group or groups to conduct the review(s) described in 

paragraph 1. The Committee shall determine the composition, terms of reference and specific 

issues to be addressed by any such group formed. Such groups may develop and recommend 

proposals for amendment of this Annex for consideration by the Parties. Only Parties may 

participate in the formulation of recommendations and amendment decisions taken by the 

Committee. 

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

amendments to this Annex, such amendments shall be adopted and enter into force in accordance 

with the procedures contained in Article 19 of this Convention. 

SECTION E - SURVEY AND CERTIFICATION REQUIREMENTS FOR BALLAST 

WATER MANAGEMENT 

Regulation E-1 Surveys 

1 Ships of 400 gross tonnage and above to which this Convention applies, excluding 

floating platforms, FSUs and FPSOs, shall be subject to surveys specified below: 

.1 An initial survey before the ship is put in service or before the Certificate required

under regulation E-2 or E-3 is issued for the first time. This survey shall verify

that the Ballast Water Management plan required by regulation B-1 and any 

associated structure, equipment, systems, fitting, arrangements and material or

processes comply fully with the requirements of this Convention. 

.2 A renewal survey at intervals specified by the Administration, 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 verify that the Ballast Water Management plan required by 

regulation B-1 and any associated structure, equipment, systems, fitting,

arrangements and material or processes comply fully with the applicable

requirements of this Convention. 

.3 An intermediate survey within three months before or after the second 

Anniversary date or within three months before or after the third Anniversary date 

of the Certificate, which shall take the place of one of the annual surveys specified 

in paragraph 1.4. The intermediate surveys shall ensure that the equipment, 

associated systems and processes for Ballast Water Management fully comply 

with the applicable requirements of this Annex and are in good working order. 

Such intermediate surveys shall be endorsed on the Certificate issued under 

regulation E-2 or E-3. 

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

including a general inspection of the structure, any equipment, systems, fittings, 

arrangements and material or processes associated with the Ballast Water 

Management plan required by regulation B-1 to ensure that they have been 

maintained in accordance with paragraph 9 and remain satisfactory for the service 

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for which the ship is intended. Such annual surveys shall be endorsed on the 

Certificate issued under regulation E-2 or E-3. 

.5 An additional survey either general or partial, according to the circumstances, 

shall be made after a change, replacement, or significant repair of the structure, 

equipment, systems, fittings, arrangements and material necessary to achieve full 

compliance with this Convention. The survey shall be such as to ensure that any 

such change, replacement, or significant repair has been effectively made, so that 

the ship complies with the requirements of this Convention. Such surveys shall be 

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

2 The Administration shall establish appropriate measures for ships that are not subject to

the provisions of paragraph 1 in order to ensure that the applicable provisions of this Convention 

are complied with.

3 Surveys of ships for the purpose of enforcement of the provisions of this Convention shall 

be carried out by officers of the Administration. The Administration may, however, entrust the 

surveys either to surveyors nominated for the purpose or to organizations recognized by it.

4 An Administration nominating surveyors or recognizing organizations to conduct 

surveys, as described in paragraph 3 shall, as a minimum, empower such nominated surveyors or

recognized organizations2

 to: 

.1 require a ship that they survey to comply with the provisions of this Convention;

and 

.2 carry out surveys and inspections if requested by the appropriate authorities of a 

port State that is a Party. 

5 The Administration shall notify the Organization of the specific responsibilities and 

conditions of the authority delegated to the nominated surveyors or recognized organizations, for

circulation to Parties for the information of their officers. 

6 When the Administration, a nominated surveyor, or a recognized organization determines 

that the ship’s Ballast Water Management does not conform to the particulars of the Certificate 

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 environment, human health, property or resources such 

surveyor or organization shall immediately ensure that corrective action is taken to bring the ship 

into compliance. A surveyor or organization shall be notified immediately, and it shall ensure

that the Certificate is not issued or is withdrawn as appropriate. If the ship is in the port of 

another Party, the appropriate authorities of the port State shall be notified immediately. When 

an officer of the Administration, a nominated surveyor, or a recognized organization has notified 

the appropriate authorities of the port State, the Government of the port State concerned shall 

give such officer, surveyor or organization any necessary assistance to carry out their obligations 

under this regulation, including any action described in Article 9.

 

2 Refer to the guidelines adopted by the Organization by resolution A.739(18), as may be amended by the 

Organization, and the specifications adopted by the Organization by resolution A.789(19), as may be amended by

the Organization.

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7 Whenever an accident occurs to a ship or a defect is discovered which substantially

affects the ability of the ship to conduct Ballast Water Management in accordance with this

Convention, the owner, operator or other person in charge of the ship shall report at the earliest

opportunity to the Administration, the recognized organization or the nominated surveyor 

responsible for issuing the relevant Certificate, who shall cause investigations to be initiated to 

determine 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 also report immediately to the

appropriate authorities of the port State and the nominated surveyor or recognized organization 

shall ascertain that such report has been made. 

8 In every case, the Administration concerned shall fully guarantee the completeness and 

efficiency of the survey and shall undertake to ensure the necessary arrangements to satisfy this 

obligation.

9 The condition of the ship and its equipment, systems and processes shall be maintained to 

conform with the provisions of this Convention to ensure that the ship in all respects will remain

fit to proceed to sea without presenting a threat of harm to the environment, human health, 

property or resources. 

10 After any survey of the ship under paragraph 1 has been completed, no change shall be 

made in the structure, any equipment, fittings, arrangements or material associated with the 

Ballast Water Management plan required by regulation B-1 and covered by the survey without

the sanction of the Administration, except the direct replacement of such equipment or fittings. 

Regulation E-2 Issuance or Endorsement of a Certificate 

1 The Administration shall ensure that a ship to which regulation E-1 applies is issued a

Certificate after successful completion of a survey conducted in accordance with regulation E-1.

A Certificate issued under the authority of a Party shall be accepted by the other Parties and

regarded for all purposes covered by this Convention as having the same validity as a Certificate 

issued by them. 

2 Certificates shall be issued or endorsed either by the Administration or by any person or 

organization duly authorized by it. In every case, the Administration assumes full responsibility 

for the Certificate. 

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

1 At the request of the Administration, another Party may cause a ship to be surveyed and, 

if satisfied that the provisions of this Convention are complied with, shall issue or authorize the 

issuance of a Certificate to the ship, and where appropriate, endorse or authorize the endorsement 

of that Certificate on the ship, in accordance with this Annex. 

2 A copy of the Certificate and a copy of the survey report shall be transmitted as soon as 

possible to the requesting Administration. 

3 A Certificate so issued shall contain a statement to the effect that it has been issued at the

request of the Administration and it shall have the same force and receive the same recognition as

a Certificate issued by the Administration. 

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4 No Certificate shall be issued to a ship entitled to fly the flag of a State which is not a 

Party. 

Regulation E-4 Form of the Certificate 

The Certificate shall be drawn up in the official language of the issuing Party, in the form set 

forth in Appendix I. If the language used is neither English, French nor Spanish, the text shall 

include a translation into one of these languages. 

Regulation E-5 Duration and Validity of the Certificate 

1 A Certificate shall be issued for a period specified by the Administration that shall not 

exceed five years. 

2 For renewal surveys:

.1 Notwithstanding the requirements of paragraph 1, when the renewal survey is 

completed within three months before the expiry date of the existing Certificate, 

the new Certificate shall be valid from the date of completion of the renewal 

survey to a date not exceeding five years from the date of expiry of the existing 

Certificate. 

.2 When the renewal survey is completed after the expiry date of the existing 

Certificate, the new Certificate shall be valid from the date of completion of the 

renewal survey to a date not exceeding five years from the date of expiry of the 

existing Certificate. 

.3 When the renewal survey is completed more than three months before the expiry 

date of the existing Certificate, the new Certificate shall be valid from the date of 

completion of the renewal survey to a date not exceeding five years from the date 

of completion of the renewal survey. 

3 If a Certificate is issued for a period of less than five years, the Administration may 

extend the validity of the Certificate beyond the expiry date to the maximum period specified in 

paragraph 1, provided that the surveys referred to in regulation E-1.1.3 applicable when a 

Certificate is issued for a period of five years are carried out as appropriate. 

4 If a renewal survey has been completed and a new Certificate cannot be issued or placed 

on board the ship before the expiry date of the existing Certificate, the person or organization 

authorized by the Administration may endorse the existing Certificate and such a Certificate shall

be accepted as valid for a further period which shall not exceed five months from the expiry date. 

5 If a ship at the time when the Certificate expires is not in a port in which it is to be

surveyed, the Administration may extend the period of validity of the Certificate but this 

extension shall be granted only for the purpose of allowing the ship to complete its voyage to the 

port in which it is to be surveyed, and then only in cases where it appears proper and reasonable 

to do so. No Certificate shall be extended for a period longer than three months, and a ship to 

which such extension is granted shall not, on its arrival in the port in which it is to be surveyed,

be entitled by virtue of such extension to leave that port without having a new Certificate. When

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the renewal survey is completed, the new Certificate shall be valid to a date not exceeding five 

years from the date of expiry of the existing Certificate before the extension was granted. 

6 A Certificate issued to a ship engaged on short voyages which has not been extended 

under the foregoing provisions of this regulation may be extended by the Administration for a 

period of grace of up to one month from the date of expiry stated on it. When the renewal survey 

is completed, the new Certificate shall be valid to a date not exceeding five years from the date of 

expiry of the existing Certificate before the extension was granted. 

7 In special circumstances, as determined by the Administration, 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 circumstances, the new Certificate shall be valid to a date not 

exceeding five years from the date of completion 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 Certificate shall be amended by endorsement 

to a date which shall not be more than three months later than the date on which

the survey was completed; 

.2 the subsequent annual or intermediate survey required by regulation E-1 shall be 

completed at the intervals prescribed by that regulation using the new Anniversary 

date; 

.3 the expiry date may remain unchanged provided one or more annual surveys, as 

appropriate, are carried out so that the maximum intervals between the surveys

prescribed by regulation E-1 are not exceeded. 

9 A Certificate issued under regulation E-2 or E-3 shall cease to be valid in any of the 

following cases: 

.1 if the structure, equipment, systems, fittings, arrangements and material necessary 

to comply fully with this Convention is changed, replaced or significantly repaired 

and the Certificate is not endorsed in accordance with this Annex; 

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

be issued when the Party issuing the new Certificate is fully satisfied that the ship 

is in compliance with the requirements of regulation E-1. In the case of a transfer 

between Parties, if requested within three months after the transfer has taken

place, the Party whose flag the ship was formerly entitled to fly shall, as soon as 

possible, transmit to the Administration copies of the Certificates carried by the 

ship before the transfer and, if available, copies of the relevant survey reports; 

.3 if the relevant surveys are not completed within the periods specified under 

regulation E-1.1; or 

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

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APPENDIX I 

FORM OF INTERNATIONAL BALLAST WATER MANAGEMENT CERTIFICATE

INTERNATIONAL BALLAST WATER MANAGEMENT CERTIFICATE 

Issued under the provisions of the International Convention for the Control and Management of

Ships’ Ballast Water and Sediments (hereinafter referred to as "the Convention") under the 

authority of the Government of 

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

 (full designation of the country) 

by ....................................................................................................... 

 (full designation of the competent person or 

 organization authorized under the provisions 

 of the Convention)

Particulars of ship1 

Name of ship ........................................................................................................... 

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

Port of registry ........................................................................................................ 

Gross Tonnage ........................................................................................................ 

 IMO number

2

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

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

Ballast Water Capacity (in cubic metres) ............................................................... 

Details of Ballast Water Management Method(s) Used

Method of Ballast Water Management used ...................................................... 

Date installed (if applicable) ................................................................................... 

Name of manufacturer (if applicable) .................................................................... 

1 Alternatively, the particulars of the ship may be placed horizontally in boxes.

2 IMO Ship Identification Number Scheme adopted by the Organization by resolution A.600(15).

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The principal Ballast Water Management method(s) employed on this ship is/are: 

in accordance with regulation D-1

in accordance with regulation D-2 

(describe) ..................................................................................................... 

the ship is subject to regulation 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 survey shows that Ballast Water Management on the ship complies with the

Annex to the Convention. 

This certificate is valid until ................................. subject to surveys in accordance with 

regulation E-1 of the Annex to the Convention. 

Completion date of the survey on which this certificate is based: dd/mm/yyyy 

Issued at .......................................................................................................................................... 

(Place of issue of certificate)

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

(Date of issue) Signature of authorized official issuing the certificate)

(Seal or stamp of the authority, as appropriate)

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ENDORSEMENT FOR ANNUAL AND INTERMEDIATE SURVEY(S) 

THIS IS TO CERTIFY that a survey required by regulation E-1 of the Annex to the Convention 

the ship was found to comply with the relevant provisions of the Convention: 

Annual survey: Signed ........................... 

(Signature of duly authorized official) 

Place ............................ 

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

(Seal or stamp of the authority, as appropriate)

Annual*/Intermediate survey*: Signed ........................... 

(Signature of duly authorized official) 

Place ............................ 

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

(Seal or stamp of the authority, as appropriate)

Annual*/Intermediate 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 appropriate 

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ANNUAL / INTERMEDIATE SURVEY 

IN ACCORDANCE WITH REGULATION E-5.8.3 

THIS IS TO CERTIFY that, at an annual / intermediate*

 survey in accordance with regulation 

E-5.8.3 of the Annex to the Convention, the ship 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)

ENDORSEMENT TO EXTEND THE CERTIFICATE IF VALID

FOR LESS THAN 5 YEARS WHERE REGULATION E-5.3 APPLIES 

The ship complies with the relevant provisions of the Convention, and this Certificate shall, in 

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

until........................... 

Signed ........................... 

(Signature of authorized official)

Place ............................ 

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

(Seal or stamp of the authority, as appropriate)

ENDORSEMENT WHERE THE RENEWAL SURVEY HAS BEEN 

 COMPLETED AND REGULATION E-5.4 APPLIES 

The ship complies with the relevant provisions of the Convention and this Certificate shall, in 

accordance with regulation E-5.4 of the Annex to the Convention, be accepted as valid until 

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

Signed ........................... 

(Signature of authorized official)

Place ............................ 

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

(Seal or stamp of the authority, as appropriate)

*

 Delete as appropriate 

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ENDORSEMENT TO EXTEND THE VALIDITY OF THE CERTIFICATE UNTIL 

REACHING THE PORT OF SURVEY OR FOR A PERIOD OF GRACE 

WHERE REGULATION E-5.5 OR E-5.6 APPLIES 

This Certificate shall, in accordance with regulation E-5.5 or E-5.6*

 of the Annex to the 

Convention, be accepted as valid until ....................... 

Signed ........................... 

(Signature of authorized official)

Place ............................ 

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

(Seal or stamp of the authority, as appropriate)

ENDORSEMENT FOR ADVANCEMENT OF ANNIVERSARY DATE 

WHERE REGULATION E-5.8 APPLIES 

In accordance with regulation E-5.8 of the Annex to the Convention the new Anniversary date is

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

Signed ........................... 

(Signature of authorized official)

Place ............................ 

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

(Seal or stamp of the authority, as appropriate)

In accordance with regulation E-5.8 of the Annex to the Convention the new Anniversary date is

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

Signed ........................... 

(Signature of duly authorized official) 

Place ............................ 

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

(Seal or stamp of the authority, as appropriate)

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*

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APPENDIX II 

FORM OF BALLAST WATER RECORD BOOK

INTERNATIONAL CONVENTION FOR THE CONTROL AND 

MANAGEMENT OF SHIPS’ BALLAST WATER AND SEDIMENTS 

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

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

IMO number .................................................................... 

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

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

Total Ballast Water capacity (in cubic metres) .......................... 

The ship is provided with a Ballast Water Management plan 

Diagram of ship indicating ballast tanks: 

1 Introduction

In accordance with regulation B-2 of the Annex to the International Convention for the Control

and Management of Ships’ Ballast Water and Sediments, a record is to be kept of each Ballast 

Water operation. This includes discharges at sea and to reception facilities. 

2 Ballast Water and Ballast Water Management

“Ballast Water” means water with its suspended matter taken on board a ship to control trim, list,

draught, stability, or stresses of a ship. Management of Ballast Water shall be in accordance with 

an approved Ballast Water Management plan and taking into account Guidelines3

 developed by 

the Organization. 

3 Entries in the Ballast Water Record Book 

Entries in the Ballast Water record book shall be made on each of the following occasions: 

3.1 When Ballast Water is taken on board: 

.1 Date, time and location port or facility of uptake (port or lat/long), depth if outside 

port 

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3 Refer to the Guidelines for the control and management of ships’ ballast water to minimize the transfer of

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.2 Estimated volume of uptake in cubic metres 

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

3.2 Whenever Ballast Water is circulated or treated for Ballast Water Management purposes: 

.1 Date and time of operation 

.2 Estimated volume circulated or treated (in cubic metres) 

.3 Whether conducted in accordance with the Ballast Water Management plan 

.4 Signature of the officer in charge of the operation 

3.3 When Ballast Water is discharged into the sea: 

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

.2 Estimated volume discharged in cubic metres plus remaining volume in cubic 

metres

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

discharge 

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

3.4 When Ballast Water is discharged to a reception facility: 

.1 Date, time, and location of uptake 

.2 Date, time, and location of discharge 

.3 Port or facility 

.4 Estimated volume discharged or taken up, in cubic metres 

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

discharge 

.6 Signature of officer in charge of the operation 

3.5 Accidental or other exceptional uptake or discharges of Ballast Water: 

.1 Date and time of occurrence 

.2 Port or position of the ship at time of occurrence 

.3 Estimated volume of Ballast Water discharged 

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.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 procedure and general remarks 

4 Volume of Ballast Water 

The volume of Ballast Water onboard should be estimated in cubic metres. The Ballast Water 

record book contains many references to estimated volume of Ballast Water. It is recognized that 

the accuracy of estimating volumes of ballast is left to interpretation. 

RECORD OF BALLAST WATER OPERATIONS 

SAMPLE BALLAST WATER RECORD BOOK PAGE 

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

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

Date Item 

(number) 

Record of operations/signature of officers in charge 

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

___________