1. Ballast Water Management Convention and Guidelines
MODULE 2
Ballast Water Management Convention and Guidelines
TO INSTRUCTOR:
Now we will start Module 2 that will be about the BWM Convention and the Guidelines.
Views expressed in this presentation are those of the author and should not be construed as necessarily reflecting the views of IMO or its Secretariat.

2. MODULE 2 2. The Ballast Water Management Convention and Guidelines
1. Introduction to Ballast Water Management
3. Other International Conventions and Principles relevant to Ballast Water Management
2. The Ballast Water Management Convention and Guidelines
4. Implementing the Ballast Water Management Convention
5. Guide to Drafting a Ballast Water Management Act
TO INSTRUCTOR:
Explain the sequence of modules in the course; link with the previous and next modules.

3. Module 2: Objectives
Have a good knowledge of the provisions of the BWM Convention.
Be able to identify the aspects of the BWM Convention that need to be incorporated in the national legislation.
Be aware of the Ballast Water Management Guidelines developed for the implementation of the Convention.
TO INSTRUCTOR:
Explain the aims and objectives of the module.
Att.: inform the participants that the slides present a summary of the full text in the Participants Manual. The presentation presents the key points only and it is an opportunity for the participants to question the instructor and other participants about details/doubts on the issues presented.

4. Objective of the Convention: Preamble
WHAT: “to prevent, reduce and ultimately eliminate the risks to the environment, human health, property and resources caused by the transfer of aquatic organisms and pathogens” by ships
HOW: “through the control and management of ships’ ballast water and sediments”
TO INSTRUCTOR:
Explain what is the objective of the Convention, which can be found in the preamble, and make clear the link between the said objective (WHAT) the measure advocated (HOW) and the following main requirement of the Convention, i.e. the management of ships’ ballast water.
The discharge of ballast water into the sea shall be managed according to the provisions of the BWM Convention 4

5. General obligations: Article 2
Parties undertake to give full effect to the provisions of this Convention 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.
TO INSTRUCTOR:
The main requirement highlighted in the previous slide is reflected in Article 2.1 of the Convention. 5

6. Port reception facilities
Article B-3.6: the D1 and D2 Regulations do not apply to ships that discharge ballast water in port reception facilities.
Article 5: Adequate reception facilities for sediments are to be provided by the Party in ports and terminals where cleaning or repair of ballast water occurs.
TO INSTRUCTOR:
management of ballast water and sediments by using port reception facilities. Basically Article B-3.6 provides a third option: the discharge of ballast water in port reception facilities.
The figure shows the cleaning procedures of a ship. 6

7. Definitions - Article 1 Ballast water
water with its suspended matter taken on board a ship to control trim, list draught, stability or stresses of the ships.
What is Ballast water management?
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 (HAOP) within ballast water and sediments.
TO INSTRUCTOR:
State that Article 1 of the Convention provides with a set of definition, some of which are the usual ones that can be found in IMO Conventions, such as Administration, Certificate, Committee, Convention (official title of the Convention), Gross Tonnage, Organization (IMO); Secretary-General. The most relevant definitions are those defining Ballast Water, Ballast Water Management, Harmful Aquatic organisms and Pathogens, Sediments and Ships.
Ask the participants: What is Ballast water management?
Wait for the answers and try to build the answer from there. Only then show the definition.
- Top figure - a ship deballasting;
- Bottom figure – an equipment for BW treatment. 7

8. Definitions - Article 1 Harmful Aquatic Organisms and Pathogens - HAOP
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 and resources, impair biological diversity or interfere with other legitimate use of such areas.
Sediments
Matter settled out of ballast water within a ship.
Ships
A vessel of any type whatsoever operating in the aquatic environment and includes submersibles, floating craft, floating platforms, and floating units.
TO INSTRUCTOR:
State that Article 1 of the Convention provides with a set of definition, some of which are the usual ones that can be found in IMO Conventions, such as Administration, Certificate, Committee, Convention (official title of the Convention), Gross Tonnage, Organization (IMO); Secretary-General. The most relevant definitions are those defining Ballast Water, Ballast Water Management, Harmful Aquatic organisms and Pathogens, Sediments and Ships.
Comments:
The definition of Harmful Aquatic Organisms and Pathogens focuses exclusively on the impacts of the these organisms when introduced into the sea, i.e. environment, human health, property and resources, biological diversity, legitimate use of areas (top figure).
Sediments: since this is not really a clear definition, it is recommended to provide further explanation: Material/settled matter/residue, originally suspended in the ballast water, that settles at the bottom of the ballast water/ballast tank when it is left standing for some time (middle figure).
Ships: the definition is quite a standard one, very close to the definition found in MARPOL (bottom figure). Note the use of the word “aquatic” environment (instead of “marine” environment in MARPOL) 8

9. Application - Article 3
Ships of a Party or operating under the authority of a Party;
All ships that carry ballast waters; with the exception of ships carrying permanent ballast water in sealed tanks, not subject to discharge;
Ships engaged in international travel, unless otherwise determined;
Excluded in principle: warships, naval auxiliary or other ships owned or operated by a state and used on government non commercial service.
TO INSTRUCTOR:
This summarises the situations where a ship is subject to the Convention requirements. In yellow are the main key words. Exclusion: standard provision.

10. Violations - Article 8
The violations to the requirements of the Convention shall be prohibited and sanctions established under the law;
The sanctions provided by the law shall be adequate in severity to discourage violations.
TO INSTRUCTOR:
It explains what violations are and the severity to discourage violations. 10

11. Violations - Article 8
The Flag State, wherever a violation occurs, shall:
when informed of a violation, investigate the matter;
if sufficient evidence is provided, cause proceedings as soon as possible.
The Coastal State, when a violation occurs within its jurisdiction, shall:
cause proceedings; or
provide the administration of the ship with the necessary evidence.
TO INSTRUCTOR:
This explains what a flag state and a coastal state should do when a violation occurs. 11

12. Inspections Article 9 PORT STATE CONTROL Limited inspection:
valid certificate on board;
ballast water record book;
sampling of the ballast water.
Detailed inspection if:
no valid certificate on board; or
doubts on condition of ship/equipment; or
BW procedures not known or not implemented.
TO INSTRUCTOR:
Ships are required to be surveyed and certified and may be inspected by Port State Control officers.
An example of a BW record book is shown. 12

13. Detection of violations: Article 10
PORT STATE CONTROL
Cooperation between Parties:
the port State control officers can investigate a ship upon request by another Party
PORT STATE CONTROL
Sanctions in case of detection of violation
warning, detention or exclusion of the ship;
permission to the ship to leave the port to discharge BW or proceed to repair yard or reception facilities
sampling of the ballast water.
TO INSTRUCTOR:
The sanctions of violations can be imposed by port State control officers in addition to any sanction established by the Flag state of by the Coastal State under Article 8.
The figure shows BW being sampled. 13

14. Assistance and cooperation : Article 13
Technical assistance to train personnel;
Availability of technology; equipment and facilities
Joint research and development programmes;
Other actions for the effective implementation of the Convention and Guidelines.
TO INSTRUCTOR:
Mention GloBallast project and the technical assistance provided (top figure);
Mention regional agreements establishing guidance on ballast water exchange.
Bottom figure shows an equipment for BW treatment. 14

15. Technical Provisions Annex
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 for ballast water management
TO INSTRUCTOR:
Annex to the convention is divided into 5 sections 15

16. Annex / Section A Section A – General provisions Set of definitions
Exceptions: safety consideration; damage to ship or equipment; avoid pollution; uptake and discharge in the same area in the high sea
Exemptions: ships operating between specified ports or locations
Equivalent compliance: small pleasure crafts and search and rescue boats
TO INSTRUCTOR:
Exceptions (regulation A-3)
Exemptions (regulation A-4)
Equivalent compliance (regulation A-5) 16

17. Annex / Section B
Section B – Management and control requirements for ships
Ballast Water Management Plan (Reg. B1): each ship has to have on board and implement a BW management Plan detailing all procedures for the management of ballast water and sediments.
Ballast Water Record Book (Reg. B2): all discharge of BW and each operation concerning ballast water shall be recorded. Signed by the officer in charge of the operation concerned and by the master.
TO INSTRUCTOR:
2 documents have to be on board ships; the Ballast Water Management Plan (approved by the Administration of the ship in accordance with the Guidelines of IMO), and the Ballast Water Record Book. A Form for the Ballast water record book is provided in Appendix II of the convention. Any ballast water record book should contain at lest the information listed in Appendix II. The ballast water record book is subject to investigation by the Port State control officers. 17

18. Annex / Section B (cont.)
Ballast Water Management for ships: Regulation B-3
Indicate what are the applicable options for ballast water management (D1 or D2) according to ships’ BW capacity and year of construction.
TO INSTRUCTOR:
Table 1 schematizes the periods of applicability of Regulation D-1 and Regulation D-2 standards for ships constructed before 2009. 18

19. Annex / Section B (cont.)
Ballast Water Management for ships: Regulation B-3
TO INSTRUCTOR:
Highlight that whether for new ships of for existing ships, in 2016, all ships will have to comply with D2 standards. 19

20. Requirements for ballast water management
2 options:
1st option (Interim)
exchange the ballast water (Regulation D1).
TO INSTRUCTOR:
Recall what are the main options for ballast water management. Make reference to Module 1 where the two options are described. Make it clear that option 1 (regulation D1) is an interim measure whistle option 2 (Regulation D2) is mandatory. State that the dates of entering into effect of regulation D2 are going to be addressed later.
2nd option (mandatory)
treating the ballast water (Regulation D2). 20

21. Annex / Section B (cont.)
Ballast Water Exchange: Regulation B-4
Indicate where and under which conditions exchange of ballast water at sea (D1 option) can take place.
Whenever possible: at least 200 nm from the nearest land and in water at least 200 meters depth.
If not, at least 50 nm from the nearest land and in water at least 200 meters depth.
TO INSTRUCTOR:
Highlight the conditions that BW exchange should take place. 21

22. Annex / Section B (cont.)
Ballast Water Exchange: Regulation B-4
Condition: the ship should not be required to deviate from its intended voyage, or delay the voyage to comply with distance/depth requirements
Exception: ballast water exchange shall not take place if the master decides so for safety issues.
TO INSTRUCTOR:
Draw attention to the conditions, exceptions and options that BW exchange should/should not take place.
Option: if distance/depth requirements cannot be met, the Port State may designate areas where a ship can conduct ballast water exchange. 22

23. Annex / Section C Special requirements in certain areas
Additional measures
Consultation with adjacent States;
Measures consistent with IMO Guidelines (G13);
IMO advised 6 months in advance.
Communication to IMO shall include co-ordinates of areas, need, reasoning and benefits, description of the measure; arrangements for ships’ compliance.
Measures shall be approved by IMO.
TO INSTRUCTOR:
Additional measures to Section B of the Annex. A Party or Parties may require ships to meet a specific standard or requirements. The measures shall be approved by IMO. The basic procedure is given in the Article. 23

24. Annex / Section D Standards for Ballast Water Management
Regulation D1
Ballast water exchange standard
exchange of at least 95 % volume;
If pumping-through method: 3 times the volume of each tank should be pumped- through.
TO INSTRUCTOR:
To exchange BW, standards should be met: at least 95% volume or 3 times the volume (pumping-through method). 24

25. Annex / Section D Standards for Ballast Water Management
Regulation D2
Ballast water performance standard
Discharge less than a certain quantity of viable organisms per cubic meters;
Indicator microbes shall not exceed specified concentrations.
TO INSTRUCTOR:
Refer to Regulation D-1 if details on the quantity are required. 25

26. Annex / Section D Standards for Ballast Water Management
Regulation D3
Approval of BWM systems
Approved by the Administration taking into account IMO Guidelines (G8 and G9).
MEPC 59 (July 2009) gave Final Approval to 4 BWM systems using Active substance.
TO INSTRUCTOR:
Inform how BW management systems are approved. 26

27. Annex / Section D Standards for Ballast Water Management
Regulation D4 - Prototype technologies
Ships participating in a programme to test prototypes have a leeway of 5 years before having to comply with the BWM Convention.
Regulation D5 – Review of standards
The review shall be carried out by IMO’s MEPC
TO INSTRUCTOR:
Inform about prototype technologies and the review of standards by IMO. 27

28. Annex / Section E Survey and certification requirements
Surveys by the Flag State to verify that the ship complies with the Convention
Certificate issued; to be retained on board
Form of the Certificate: provided in Appendix I to the BWM Convention
Maximum validity: 5 years
TO INSTRUCTOR:
Explain about survey and certification requirements. 28

29. Flag State Survey ships and deliver certificate;
Enact domestic legislation, including sanctions;
Take action and cause proceeding when a violation by a ship flying its flag is reported.
TO INSTRUCTOR:
Describe Flag State obligations under the Convention. 29

30. Port/Coastal State Enact domestic legislation;
Carry out Port State control inspections;
Provide adequate reception facilities for sediments;
Take action and cause proceeding when a violation by a ship in a port or within the jurisdiction is detected.
TO INSTRUCTOR:
Describe Port/Coastal State obligations under the Convention. 30

31. Summary TO INSTRUCTOR:
If necessary, briefly resume the key issues of the Module, preparing for Module 3. 31