Outline

Understand the history and complexity of the Ballast Water Management Convention (BWMC) and selected Guidelines

and the

Obligations of Parties

International Maritime Organization

(IMO)

1970s – First discussions

1973 – First IMO Resolution

1993 – First guidelines adopted by Assembly,

Resolution A.774(18)

1997 – New guidelines adopted by Assembly,

Resolution A.868(20)

2004 – Ballast Water Management Convention

Responses of IMO to the

Transfer of Species

International Convention for the Control and

Management of Ship’s Ballast Water and Sediments

- the Ballast Water Management Convention (BWMC)

ARTICLES (1-22) (13 pages)

ANNEXES

Regulations (A-E) (15 pages)

Technical standards and requirements for the control and management of ship’s ballast water and sediments

Appendix I

Form of International BWM Certificate (IBWMC)

Appendix II

Ballast Water Record Book (BWRB)

BWMC SUPPORTING GUIDELINES (1-15)

BWMC - HIGHLIGHTS ARTICLE 1 Definitions

Ballast Water Management

means mechanical, physical, chemical, and biological processes to

remove, render harmless, or avoid the uptake or discharge of

Harmful Aquatic Organisms and Pathogens (HAOP) within Ballast

Water and Sediments

HAOP

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. Not limited to alien or invasive species, the BWMC

concerns all species.

Sediments

means matter settled out of ballast water within a ship.

BWMC - HIGHLIGHTS ARTICLE 2 General Obligations

- Nothing 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

HAOP through the control and management of ships’ ballast water and

sediments, consistent with international law

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

implementation, compliance and enforcement of this Convention

- 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 other States

- 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 HAOP

BWMC - HIGHLIGHTS ARTICLE 3 Application

Except as expressly provided otherwise BWMC shall apply to:

- ships entitled to fly the flag of a Party; and

- ships not entitled to fly the flag of a Party but which operate under

the authority of a Party

This BWMC shall not apply to:

- ships not designed to carry ballast water

- ships which only operate in waters of one Party, unless the Party

determines that ballast water discharge would damage the

environment, human health, property or resources

- ships which only operate in waters of one Party and the high seas

- warships, naval auxiliary and others used only in governmental

non-commercial service

- ships carrying permanent ballast water in sealed tanks,

not subject to discharge

ARTICLE 4 Control of the Transfer of HAOP Through Ships’ Ballast

Water and Sediments

- 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 and shall take effective

measures to ensure that those ships comply with those requirements.

- Each Party shall develop national policies, strategies or programmes for

BWM in its ports and waters under its jurisdiction that accord with, and

promote the attainment of the objectives of this Convention

BWMC - HIGHLIGHTS

ARTICLE 5 Sediment Reception Facilities

- where cleaning and repair of ballast water tanks occur

- discharge to reception facilities should not cause delays

- sediments disposal should not damage the environment

ARTICLE 6 Scientific and Technical Research

- Parties shall endeavour to promote, facilitate and monitor research

on BWM

- including on board sampling, analysis of the effectiveness and adverse

effects of BWM methods

ARTICLE 7 Survey and Certification

- each Party shall survey and certify its ships

- other Parties should accept a certificate issued under the authority

of a Party to the BWM Convention

BWMC - HIGHLIGHTS

ARTICLE 8 Violations

Any violation within the jurisdiction of a Party shall be prohibited

and sanctions shall be established. The sanctions shall be adequate in severity to

discourage violations of this Convention wherever they occur.

ARTICLE 9 Inspections of Ships

Ballast water sampling. When no valid IBWMC is on board or the equipment does

not correspond with the IBWMC or the crew is unfamiliar with BWM 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 (reference to Guidelines G2

for Ballast Water Sampling and Guidelines G15 for Port State Control).

ARTICLE 10 Detection of Violations and Control of Ships

If it is indicated 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.

BWMC - HIGHLIGHTS

ARTICLE 11 Notification of Control Actions

- The port State authority concerned shall notify the next port of call with

relevant information about the violation

ARTICLE 12 Undue Delay to Ships

- All possible efforts shall be made to avoid a ship being unduly detained or

delayed under Article 7.2, 8, 9 or 10.

- 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

- Train personnel, availability of technology, equipment and facilities,

joint research, implementation of BWMC

BWMC - HIGHLIGHTS

ARTICLE 14 Communication of Information

- Each Party or ship shall report to IMO on BWM requirements and on

availability of reception facilities

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.

BWMC - HIGHLIGHTS

ARTICLE 17 Signature, Ratification, Acceptance, Approval and

Accession

- States may become Parties to the Convention by:

-- signature not subject to ratification, acceptance, or approval; or

-- signature subject to ratification, acceptance, or approval, followed by

ratification, acceptance or approval; or

-- accession

- Done by the deposit of an instrument with the Secretary-General.

ARTICLE 18 Entry into Force

- 12 months after not less than 30 States with not less than 35% of the

world’s gross tonnage have ratified the Convention

BWMC - HIGHLIGHTS

BWMC Entry Into Force Status

• As per November 2015: 46 States with 33.94%

• including Caspian Sea countries Iran and Russia

Update available at: http://www.imo.org/en/About/Conventions/StatusOfConventions/Pages/Default.aspx

Not all countries shown

BWMC - Regulations

Section A - General Provisions

Section B - Management and Control

Requirements for Ships

Section C - Special Requirements in Certain Areas

Section D - Standards for Ballast Water

Management

Section E - Survey and Certification Requirements

or Ballast Water Management

Regulations, Section A

Regulation A-3 Exceptions Exceptions from BWM requirements:

– when uptake or discharge to ensure safety in emergency situations

– if accidental discharge resulting from damage to a ship or its equipment

– if uptake and discharge is used to avoid pollution incidents

– when uptake and discharge of the same ballast water on high seas

– when discharge from ballast water at the same location where the whole of that ballast water originated (no mixing with unmanaged ballast water)

Regulation A-4 Exemptions (Reference to Guidelines G7 for Risk Assessment)

Exemptions from BWM requirements may be granted: – for ships on voyages between specified ports or locations

– according to the risk assessment guidelines developed by IMO

– but exemptions shall not damage the environment of adjacent

or other states

Regulations, Section A

Regulation A-5 Equivalent compliance (Reference to Guidelines G3 for BWM Equivalent Compliance)

Equivalent compliance:

– for pleasure craft used solely for recreation or competition

– craft used primarily for search and rescue

– less than 50 metres in length overall,

– with a maximum ballast water capacity of 8 cubic metres

Regulations, Section B

Regulation B-3 Ballast Water Management for Ships (Reference to Guidelines G5 for Ballast Water Reception Facilities)

Formerly fixed dates for the phase-in of the D-2 Standard applied for existing

vessels and new builds per ballast water capacity. As BWMC did not enter into

force until several of these dates passed, the approach was modified to:

“A vessel will not be required to comply with regulation D-2 until its first renewal

survey following the date of entry into force of the Convention“

Which means up to 5 years after entry into force!

Regulation B-1 Ballast Water Management Plan (Reference to Guidelines G4 for BWM and Development of BWM Plans)

- Each ship shall have on board and implement a BWM plan

- ship specific BWM plan

- detail safety procedures for the ship and the crew associated with BWM

- detailed description of the actions to be taken to implement BWM

- detail the procedures for the disposal of sediments at sea and to shore

- reporting requirements

Regulations, Section B

Regulation B-5 Sediment Management for Ships (Reference to Guidelines G1 for Sediment Reception Facilities and Guidelines

G12 on Sediment Control on Ships) - Remove and dispose of sediments from spaces designated to carry ballast water in

accordance with ship’s Ballast Water Management plan

- Minimize the uptake and undesirable entrapment of sediments

- Facilitate removal of sediments

- Provide safe access to allow for sediment removal and sampling

Regulation B-4 Ballast Water Exchange (Reference to Guidelines G6 for Ballast Water Exchange and Guidelines 14 on Designation of Areas for Ballast Water Exchange) BWE should be undertaken:

– at least 200 nm and at least 200 m water depth, or if not possible – at least 50 nm and at least 200 m depth, or if not possible – in areas designated by the Port State – BWE should only be undertaken when safety of the ship is guaranteed

Regulations, Section C

Regulation C-1 Additional Measures (Reference to Guidelines G13 for Additional Measures including Emergency

Situation) – measures in addition to Section B necessary to prevent, reduce, or eliminate

the transfer of HAOP

– taken individually or jointly with other Parties

– consult with adjacent or other States that may be affected

– communicate measures, reasoning and where they apply to IMO

– communicate any arrangements that may be provided to facilitate ships’

compliance with the additional measure(s)

– measures 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

Regulations, Section D Regulation D-1 BWE Standard

– at least 95% volumetric exchange (sequential empty and refill; flow-through with, e.g., overflow on deck; dilution method, e.g., tank filled from top and emptied from the bottom)

Regulation D-2 BW Performance Standard – < 10 viable organisms ≥ 50 µm minimum size per m³, and

– < 10 viable organisms < 50 µm and ≥ 10 µm minimum size per ml,

– discharge of indicator microbes:

• E. coli less than 250 cfu per 100 ml

• Enterococci less than 100 cfu per 100 ml

• Toxicogenic Vibrio cholerae (O1 and O139) less than 1 cfu per 100 ml or 1 gr wet weight zooplankton

Regulation D-3 Approval requirements for BWMS (Reference to Guidelines G8 for Approval of BWMS and Guidelines G9 for Approval of BWMS that make use of Active Substances)

– BWMS to be approved by the Administration

– BWMS must be safe in terms of the ship, its equipment and the crew

Regulations, Section D Regulation D-4 Prototype BWT Technologies

(Reference to Guidelines G10 for Approval and Oversight of Prototype

BWMS)

– For ships having installed BWM systems to test and evaluate promising BWM

systems prior to the date when D-2 is required, the standards in D-2 shall not

apply until 5 years from the date on which the ship should otherwise be required

to comply with D-2

APPENDIX I

Form of International BWM Certificate (IBWMC)

- Name of ship, port of registry etc.

- Details of BWM used (installation date, manufacturer)

- Principal BWM method employed according to

Regulation D-1, D-2, prototye testing

Documentation of Annual / Intermediate Surveys according to

Section E Survey and Certification Requirements

APPENDIX II

Ballast Water Record Book (BWRB)

Documentation:

- of ballast water uptake (date, time, port or lat/long, volume)

- if ballast water is circulated or treated for BWM purposes

- of ballast water discharged into the sea and reception facilities

- of accidental or other exceptional uptakes or discharges of

ballast water

• G1: Guidelines for Sediments Reception Facilities (Regulation B-5)

• G2: Guidelines for Ballast Water Sampling (Article 9)

• G3: Guidelines for Ballast Water Management Equivalent Compliance (Reg. A-5)

• G4: Guidelines for Ballast Water Management and Development of Ballast Water

Management Plans (Regulation B-1)

• G5: Guidelines for Ballast Water Reception Facilities (Regulation B-3)

• G6: Guidelines for Ballast Water Exchange (Regulation B-4)

• G7: Guidelines for Risk Assessment under Regulation A-4

• G8: Guidelines for Approval of Ballast Water Management Systems (Regulation D-3)

• G9: Procedure for Approval of Ballast Water Management Systems that make use of

Active Substances (Regulation D-3)

• G10: Guidelines for Approval and Oversight of Prototype Ballast Water Treatment

Technology Programmes (Regulation D-4)

• G11: Guidelines for Ballast Water Exchange Design and Construction Standards

• G12: Guidelines for Sediment Control on Ships (Regulation B-5)

• G13: Guidelines for Additional Measures including Emergency Situations (Reg. C-1)

• G14: Guidelines on Designation of Areas for Ballast Water Exchange (Reg. B-4)

• G15: Guidelines for Port State Control under the BWM Convention (Article 9)

The Guidelines

G2 and G15

Two Guidelines are of particular interest for this event:

G2: Guidelines for Ballast Water Sampling,

adopted 2008

(Guidance to sampling, agreed 2013)

and

G15: Guidelines for Port State Control under the BWMC, adopted 2014

G2 Guidelines

G2: Guidelines for Ballast Water Sampling

- Adopted 2008, before any CME sampling was performed

- Recommendations for D-1 and D-2 compliance sampling

- In-tank and in-line sampling (sampling kit description)

- Indicative and detailed analysis

- Sampling point design

- Isokinetic sampling

- Representative sampling, i.e. “representative of the whole

discharge of ballast water from any single tank or any

combination of tanks being discharged“

- Sample transport, storage and labelling

- Chain of Custody

Guidance to G2 Guidelines Guidance on ballast water sampling and analysis for trial use

in accordance with the BWM Convention and Guidelines (G2) - principles of sampling

- list of recommended methods and approaches for analysis,

- sampling protocols

- representative problem: means now “representative of the volume of interest“

- indicative and detailed sampling (water volumes, sample access points)

- Indicative sample analysis – indirect biological measurement (Adenosine

triphosphate (ATP), Chlorophyll a (Chl a))

- Detailed sample analysis – direct biological measurement (viable organism

counts)

- IMO agreed on a 2 to 3 year trial period following entry into force of the

Convention during which sampling experience may be gained and non-

compliance sanctions should not be based upon sampling results alone

G15 Guidelines

G15: Guidelines for Port State Control under the BWM

Convention

Provide basic guidance for the port State control (PSC) inspection to verify

compliance with the requirements of the BWMC

Four-stage inspection (in flexible order)

1 - "initial inspection" documentation check (IBWMC, BWMP, BWRB), visual

check of equipment, ensuring that an officer has been nominated for BWM on

the ship, crew familiar to operate BWMS

2 - "more detailed inspection" where the operation of the BWMS is checked and the

PSCO clarifies whether the BWMS has been operated adequately, may result in

sampling

3 - "indicative analysis", checking for an indication of gross non-compliance with

the D-2 Standard

4 - "detailed analysis", sampling for compliance with D-2 the D-2 Standard, no

undue delay of the vessel

G15 Guidelines G15: Guidelines for Port State Control under the BWM

Convention

In case of non-compliance…

- retention of all ballast water on board

- require the ship to undertake any repairs required to the BWMS

- permit the ship to proceed to exchange ballast water in a location acceptable to

the port State

- allow the ship to discharge ballast to another ship or to an appropriate shipboard

or land-based reception facility

- allow the ship to manage the ballast water or a portion of it in accordance with a

method acceptable to the port State

- notify the ship and the flag State of the violation and the next port of call

Problem

- BWMS fully functioning, but ballast water non-compliant… no discharge to

environment, next port of call notified!

Obligations of Parties

• Many of the Articles and Regulations of the BWM Convention

determine obligations for different Parties

• Overall: Parties should ensure that ballast water management practices do

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

health, property or resources, or those of other States

• Obligations of ship owners

• Obligations of port States

Obligations of Parties

Ship Owners • Ballast water management is a major consideration also for the design and

equipment of vessels

• Ships will need to record all ballast water operations in the ballast water

record book. This is to be kept for at least the last two years on board the

vessel and for the next three years under the ships company control (in total

five years record keeping)

• BWMS onboard vessels will have installed equipment to record all

operations of the BWMS. This information should be made readily

available to appropriate authorities upon request

Obligations of Parties

Ship Owners • The BWMC requires all ships to have onboard an implemented Ballast

Water and Sediments Management Plan, which is vessel-specific and needs

to be approved by the administration (or a recognized classification society

on their behalf)

• Inform seafarers of BWM relevant information (communicate information

received from other Parties)

• Train seafarers to meet BWMC requirements

– Comply with ballast water management plan

– Complete and communicate Ballast Water Reporting Form

– Complete Ballast Water Record Book

Obligations of Parties

Port States • Be prepared and equipped to monitor compliance of ships discharging ballast

water: – know which documents, plans or certificates need to be checked

– know how to check records in the record book

– know how to find out whether the crew is familiar with their BWM obligations regarding the BWM plan

– know how to check whether a vessel has conducted Ballast Water Exchange (BWE)

– know how to sample ballast water for checking compliance with the BWE standard D-1 or with the performance standard D-2

• Violations of BWMC requirements shall be prohibited and sanctions should be established under their law. Sanctions sufficiently severe to discourage violations. If violation is identified, the ship and the administration shall be notified, and the evidence should be provided. Further, the next port of call has to be notified

• Ports and terminals, where cleaning or repair of ballast tanks occurs, should have adequate reception facilities for sediments

Obligations of Parties

Port States • Identify, assess and designate alternative areas where ships may conduct

ballast water exchange for those ships not having the possibility to exchange

ballast water beyond the 50 nm limit from the nearest land and in waters of at

least 200 meters depth

• Consider to conduct risk assessments to exempt low risk ships from the BWM

requirements, or to impose more stringent measures to high risk vessels

• Monitor waters where ships uptake ballast water. Seafarers need to be

informed of potentially risky areas for ballast water uptake which should be

avoided, e.g. outbreak of HAOP, shallow or turbid waters with poor flushing

and / or high nutrient concentrations

• Promote and facilitate scientific and technical research on BWM and monitor

the effects of BWM in their waters

• Provide for adequate training of personnel and to cooperate at the regional

level, e.g., in joint R&D programmes and action for implementation of the

BWM Convention

Obligations of Parties

Port States • Develop national policies, strategies or programmes that promote the

objectives in the BWM Convention

• Provide IMO with information:

– requirements and procedures, including laws, regulations and guidelines, for implementation

of BWMC

– the availability and location of any reception facilities for the environmentally safe disposal

of ballast water and sediments

– any requirements for information from ships being unable to comply with the BWMC

Summary

• Instruments to deal with species transfers are developing at IMO

since the 1970s

• In 2004 the BWM Convention was adopted,

but it is not yet in force

• Almost all vessels need to conduct BWM

• Port and Flag States have certain obligations

• Note the document Ballast Water Management: How to do it

draft submitted to PPR2 as document PPR 2/6

Next MEPC meeting will address this