Regulation E-1 Surveys

　

1 Ships of 400 gross tonnage and above to which the Convention applies, excluding [floating] platforms, [FSUs and FPSOs] shall be subject to surveys specified below:

　

　

2 The Administration shall establish appropriate measures for ships that are not subject to the provisions of paragraph 1 of this Regulation in order to ensure that the applicable provisions of the Convention are complied with.

　

3 Surveys of ships for the purpose of enforcement of the provisions of the 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 of this Regulation shall, as a minimum, empower such nominated surveyors or recognized organizations to:

　

　

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 of this Annex or is such that the ship is not fit to proceed to sea without presenting an unreasonable threat of harm to the environment, human health, property or resources such surveyor and 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A surveyor or organization shall be notified immediately, and it shall ensure that the Certificate is not issued or is withdrawn as appropriate.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 of the Convention.

　

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 the 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 of this Regulation 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 shall be maintained to conform with the provisions of the Convention to ensure that the ship in all respects will remain fit to proceed to sea without presenting an unreasonable threat of harm to the environment, human health, property or resources.

　

10 After any survey of the ship under the paragraph 1 of this Regulation has been completed, no change shall be made in the structure, equipment, fittings, arrangements or material 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 of this Annex 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 the 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 the 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.

　

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:

　

　

　

　

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 of this Regulation, provided that the surveys referred to in Regulation E-1.1.3 of this Annex 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 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 of this Annex, then:

　

　

9 A Certificate issued under Regulation E-2 or E-3 of this Annex shall cease to be valid in any of the following cases: