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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 entitled to fly its flag or operating under its authority comply with the requirements set forth in the Convention, including the applicable standards and requirements in the Annex, and shall take effective measures to ensure that ships comply with those requirements.
[2 Each Party shall, in accordance with its particular conditions and capabilities, develop national policies, strategies or programmes for Ballast Water Management in its ports and coastal waters that accord with, and promote the attainment of the objectives of this Convention.]
Article 5 Sediment Reception Facilities
1 Each Party undertakes to ensure as soon as practicable that ports and terminals where cleaning or repair of ballast tanks occurs, have adequate reception facilities for the reception of Sediments. Such reception facilities shall operate without causing undue delay to ships and shall provide for the disposal of such Sediments that does not damage or injure the environment, public health, property and resources.
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 The 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 the 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
(b) the effectiveness of Ballast Water Management deduced from any monitoring and assessment programmes.
Article 7 Survey and certification
1 A 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 additional measures pursuant to 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 the 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 the Convention within the jurisdiction of any Party shall be prohibited and sanctions shall be established therefore 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 penalties provided for by the laws of a Party pursuant to this Article shall be adequate in severity to discourage violations of the Convention wherever they occur.
Article 9 Inspection of Ships
1 A ship to which the 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 the Convention. Except as provided in Article 10.2, any such inspection is limited to:
(a) verifying that there is onboard a valid Certificate, which, if valid shall be accepted; and/or
(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 In the case that the 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 an unreasonable 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 the Convention.
2 If a ship is detected to have violated the 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 an unreasonable 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, including results received from another port or offshore terminal, indicating that the ship poses an unreasonable 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 the Convention. The report of such investigation shall be sent to the Party requesting it and to the competent authority of the Administration of the ship concerned so that appropriate action may be taken.
Article 11 Notification of Control Actions
1 If an inspection conducted pursuant to Article 9 or 10 indicates a violation of the Convention, when practicable, the master shall be notified. A report, including evidence of the violation, if any, shall be forwarded to the Administration.
2 In the event that any action is taken pursuant to Article 9.3 or Article 10.2 or 10.3, the officer carrying out such action shall forthwith inform, in writing, the Administration whose flag the ship is entitled to fly, 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 of this Article, notify the next port of call of all relevant information about the violation, if it is unable to take action as specified in Articles 9.3 or 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 Articles 7.2, 8, 9 and 10 of the Convention.
2 When a ship is unduly detained or delayed under Articles 7.2, 8, 9 and 10 of the Convention, it shall be entitled to compensation for any loss or damage suffered.
Article 13 Regional Co-operation
In order to further the objectives of the 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 the conclusion of regional agreements consistent with the Convention. Parties shall seek to co-operate with the Parties to regional agreements to develop harmonized procedures.
Article 14 Communication of information
1 Each Party shall report to the Organization and, where appropriate, make available to other Parties the following information:
(a) any requirements and procedures relating to Ballast Water Management, including its laws, regulations, and guidelines for implementation of the 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 the Convention for reasons specified in Regulation A-3 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 the 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 the 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 The Convention shall be open for signature by any State at the Headquarters of the Organization from [ ] to [ ] 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.
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 the Convention, it may at the time of signature, ratification, acceptance, approval, or accession declare that the 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 the Convention applies
Article 18 Entry into Force
1 The Convention shall enter into force [to be developed].
2 For States which have deposited an instrument of ratification, acceptance, approval or accession in respect of the 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 the 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 the Convention enters into force shall take effect three months after the date of deposit.
4 After the date on which an amendment to the Convention is deemed to have been accepted under Article 19, any instrument of ratification, acceptance, approval or accession deposited shall apply to the Convention as amended.
Article 19 Amendments
1 The 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 the 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.
(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 the 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 the 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.
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 the 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 of this Article.
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 The Convention may be denounced by any Party at any time after the expiry of two years from the date on which the 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 The Convention shall be deposited with the Secretary-General, who shall transmit certified copies of the Convention to all States which have signed the Convention or acceded thereto.
2 In addition to the functions specified elsewhere in the Convention, the Secretary-General shall:
(a) inform all States that have signed the 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 the Convention; and
(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;
(b) as soon as the 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
The Convention is established in a single original in the Arabic, Chinese, English, French, Russian and Spanish languages, each text being equally authentic.
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