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ANNEX
REGULATIONS FOR THE CONTROL AND MANAGEMENT OF SHIPS' BALLAST
WATER AND SEDIMENTS TO PREVENT, REDUCE AND ELIMINATE THE
TRANSFER OF HARMFUL AQUATIC ORGANISMS AND PATHOGENS
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 Code.
[4 "Concerted Area" means a sea or portion of a sea designated by a Party or Parties acting through regional or sub-regional agreements in which Ballast Water exchange is controlled.]
5 "Constructed" in respect of a ship means a stage of construction where:
.1 the keel is laid; or
.2 construction identifiable with a specific ship begins;
.3 assembly of the ship has commenced comprising at least 50 tonnes or 1% of the estimated mass of all structural material, whichever is less, or
.4 the ship undergoes a major conversion.
[6 "Major conversion" means [to be developed]]
7 "Nearest land". The term "from the nearest land. has the same meaning as that in the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto, or any successor convention.
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 additional measures adopted by a Party pursuant to 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 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 except if 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
.4 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 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 Special Permission by a Party
1 A Party or Parties, in waters under their jurisdiction, may grant exceptions to [any requirements to apply Regulations D-1 or D-2] in addition to those contained elsewhere in this Convention, but only when they are:
.1 granted to a ship or ships on a voyage or voyages between [two] specified ports or locations; or to a ship which operates exclusively between [two] specified ports or locations;
.2 [effective for a period of no more than one year] [subject to regular 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 in accordance with Guidelines on risk assessment developed by the Organization.
2 Grants pursuant to Paragraph 1 shall not be effective until [six months] after communication to the Organization for circulation of relevant information to the Parties.
3 Any grants 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 toward resolving any identified concerns.
4 Any grants 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 meters in length, and with a maximum Ballast Water capacity of 8 metric tonnes shall be determined in accordance with Guidelines developed by the Organization.
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 approved by the Administration. Such a plan shall be based on Ballast Water Management 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 the 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 the Convention;
.3 detail the procedures for the disposal of Sediments:
.1 at sea; and
.2 in port or dry-dock, in accordance with port State requirements;
.4 include the procedures for coordinating shipboard Ballast Water Management with the coastal or port State authorities in whose waters such actions 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 the 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, 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 accidental or other exceptional discharge of Ballast Water not otherwise exempted by the Convention, an entry shall be made in the Ballast Water Record Book describing the circumstances of, and the reason for, the discharge.
4 The Ballast Water Record Book shall be kept readily available for inspection at all reasonable times and, except in the case of unmanned ships under tow, shall be kept on board the ship.
5 Each operation concerning Ballast Water Management shall be fully recorded without delay in the Ballast Water Record Book. Each entry shall be signed by the officer or officers 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.
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 Ships constructed before [date of entry into force plus three years] [2009]:
.1 with a Ballast Water Capacity of between [1500 and 5000] cubic metres shall, on or before the anniversary date of delivery of the ship in [date of entry into force plus three years] [2009] conduct Ballast Water Management that meets or exceeds the standard described in Regulation D-1 or Regulation D-2[, until the anniversary date of delivery in [8 years after date of entry into force][2014], after which time it shall meet or exceed the standard described in Regulation D-2]1.
.2 with a Ballast Water Capacity of less than [1500] and greater than [5000] cubic metres, shall on or before the anniversary date of delivery of the ship in [date of entry into force plus 3 years] [2009] conduct Ballast Water Management that meets or exceeds the standard in Regulation D-1 or D-2[, until the anniversary date of delivery in [until 10 years after date of entry into force][2016], after which time it shall meet or exceed the standard described in Regulation D-2].2
2 Ships constructed in or after [date of entry into force plus 3 years] [2009]:
.1 with a Ballast Water Capacity of less than [5000] cubic metres shall conduct Ballast Water Management that meets or exceeds the standard described in Regulation D-2.
.2 with a Ballast Water Capacity of more than [5000] cubic metres shall, on or before [date of entry into force plus 5 years] [2011], conduct Ballast Water Management that meets or exceeds the standard described in Regulation D-2.
3 Paragraphs 1 and 2 of this Regulation do not apply to the discharge of Ballast Water to a reception facility designed taking into account the Guidelines developed by the Organization for such facilities.
4 Ships conducting Ballast Water Management in accordance with paragraphs 1 and 2 of this Regulation, (i.e., Ballast Water exchange), or using Ballast Water exchange to meet the standards in Regulation D-2 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 except as provided in paragraph 4.3, in cases where the ship is unable to conduct Ballast Water exchange in accordance with paragraph 4.1 of this Regulation, such Ballast Water exchange shall be conducted taking into account the Guidelines described in paragraph 4.1 and as far from the nearest land as possible, and in all cases [at least [12] [50] nautical miles from the nearest land] [and at least [200] metres in depth]3;
[.3 Concerted Areas:
.1 A Party or Parties establishing a Concerted Area may designate locations in which Ballast Water exchange may be conducted or prohibited;
.2 Concerted Areas may be designated for reasons relating to their hydrological, ecological, or cultural characteristics;
.3 Concerted Areas shall include specified locations suitable for Ballast Water exchange, which for oceanographic reasons are most likely to limit significantly the impact of organisms carried in Ballast Water; and
.4 The coordinates of the Concerted Area and the specified locations designated therein for Ballast Water exchange shall be communicated to the Organization at least [6 months] prior to the effective date of any requirements for ships in the Concerted Area;]
.4 in cases where the ship is unable to conduct Ballast Water exchange at the distances or depths described in paragraphs 4.1 or 4.2, a port State may allow the ship to conduct Ballast Water exchange taking into account the Guidelines described in paragraph 4.1 in designated areas under its jurisdiction, under such conditions as the port State may prescribe, provided such conditions do not impair the environment, human health, property or resources of adjacent or other States.
5 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 4.1 of this Regulation.
6 Ships conducting Ballast Water exchange shall not be required to comply with paragraphs 4.1, 4.2 or 4.4, 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, vessel architectural design, equipment failure, or any other extraordinary condition.
7 When a ship does not comply with paragraph 4.1, 4.2 or 4.4, for the reasons stated in paragraph 6, the reasons shall be entered in the Ballast Water Record Book.
Regulation B-4 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 ships. Ballast Water Management Plan.
2 Ships described in Regulation B-3.2 shall be designed and constructed to minimize the uptake and undesirable entrapment of Sediments, facilitate removal of Sediments, and to provide safe access to allow for Sediment removal and sampling, based on Guidelines developed by the Organization. Ships described in Regulation B-3.1 shall, to the extent practicable, comply with this paragraph.
Regulation B-5 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 ships' Ballast Water Management Plan.
1 The bracketed text in the final clause reflects grand fathering options. If all bracketed text is removed grand fathering for the life of the ship is indicated.
2 See footnote 1
3 Bracketed options may also be seen in combination. The issue of short voyages should be considered when making a final choice between these options.
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