Ballast Water Management Convention

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Ballast Water Management Convention Convention sur la gestion des eaux de ballast sobre la Gestion del Agua de Lastre

INTERNATIONAL

MARITIME ORGANIZATION















Foreword

The harmful effects of unwanted species in ships' Ballast Water was first reported to in when Canada informed the Marine Environment Protection Committee (MEPC) about invasive aquatic species in the Great Lakes. In response, the MEPC adopted in the first vo luntary guidelines guidelines for preventing the introduction into the marine environment of unwanted aquatic organisms and pathogens from ships' Ballast Waters and sediment discharges. Following the UN Conference on Environment and Development (UNCED), held in Rio de Janeiro in the MEPC guidelines were reviewed and adopted as an Assembly resolution in The twentieth sess ion of the the IMO IMO Assembly in adopted resolution A.868(20) "Guidelines for the control and management of ships' ballast water to minimize the transfer of harmful aquatic organisms and pathogens" which superseded earlier and less comprehensive guidelines. The new resolution requested Governments to take urgent action in applying the guidelines and to report any experience

gained in their implementation to the MEPC. The resolution further requested the MEPC to work towards the completion of legally binding provisions on ballast water management together with guidelines for their uniform and effective implementation. From onwards, the Ballast Water Working Group, established by MEPC in focused on the preparation of a free-standing Convention on control and management of ships' ballast water and sediments. In 2002, the World Summit on Sustainable Development held in Johannesburg, called for action at all levels to accelerate the development of measures to address invasive alien species in ballast water. The introduction of harmful aquatic organisms

and pathogens to new environments has been identified as one of the four greatest threats to the world's oceans (the other three being marine pollution, overexploitation of living marine resources and destruction of habitat). habitat). Proper con trol and management of ships' ballast water water is therefore a major environmental challenge for IMO and the global shipping industry. accordance with Article 2(b) of the Convention on the International Maritime Organization, the Council agreed in principle to convene a diplomatic conference in 2003 to consider the adoption of the instrument. At its eighty-ninth session in November 2002, the Council reconsidered the matter, in view of the preparations made by MEPC, and approved the convening of the Diplomatic Conference in early 2004. The decision of the Council was endorsed by the twenty-third session of the Assembly in December 2003 and the International Conference on Ballast Water

Management for Ships was held at

Headquarters in London from 9















Foreword

The Conference adopted the International Convention for the Control and Management of Ships' Ballast Water and Sediments (the Ballast Water Management Convention), together with four conference resolutions. This publication contains the texts of the Convention and the four resolutions, aiming to provide an easy reference to administrators, shipowners, ship operators, port officers, seafarers and any other interested parties. It should be noted that, for legal purposes, the authentic text of the Convention Conventio n should always be consulted.















Avant-propos

C'est en que les effets des especes indesirables dans eaux de ballast des navires ont ete a pour la premiere fois, lorsque Canada a le de la protection du milieu (MEPC) que des especes aquatiques se trouvaient dans les Grands Lacs. A la suite de le MEPC a adopte en les premieres directives facultatives facultatives visant a

I'introduction dans le milieu marin d'organismes aquatiques

et d'agents pathogenes indesirables par suite des rejets d'eaux de ballast et de sediments par les navires. A la suite de la Conference des Nations I'environnement et le (CNUED), tenue a Rio de Janeiro en les directives du MEPC ont ete et adoptees sous couvert d'une resolution de en 1993. A sa session tenue en de I'OMI a adopte la resolution A.868(20), relatives au controle et a la gestion des eaux de ballast des navires en vue de au minimum le d'organismes aquatiques nuisibles et d'agents palaquelle a et les directives qui exhaustives. exhaustives. Cette nouvelle resolutio n priait les gouvernemen ts de prendre de toute urgence des dispositions pour appliquer les directives et de rendre compte au MEPC de acquise dans application. application. L a resolution priait le MEPC d'oeuvrer a la au point de dispositions juridiquement obligatoires sur la gestion des eaux de ballast et de

directives pour leur application uniforme et effective. A partir de 1999, les travaux du de travail sur les eaux de ballast, par le MEPC en ontt on essentiellement sur d'une convention autonome pour le controle et la gestion des eaux de ballast et sediments des navires. En 2002, le Sommet mondial pour le developpement durable, durable, tenu a Johann esburg, a des actio ns a tous les niveaux pour

la mise au point de mesures visant a trouver une solution au

des especes dans de ballast. L'introduction d'organismes aquatiques nuisibles et d'agents pathogenes dans de nouveaux environnements a ete des quatre plus grandes menaces aux oceans du entier (les trois autres la pollution marine d'origine tellurique, la surexploitation des ressources marines giques et la destruction de I'habitat). La gestion et le controle des de s eaux de ballast des navires posent un important a I'OMI et au secteur mondial des transports maritimes. a I'article 2 b) de la Convention portant creation de I'Organisation maritime internationale, le Conseil decide en principe de convoquer en 2003 une conference diplomatique d'examiner de A sa session tenue en novembre 2002, le Conseil a la question, compte tenu des travaux paratoires par le MEPC, et a decide que cette conference di-















decision du Conseil a sa session, en 2003, et la Conference sur la gestion des eaux de ballast des navires s'est tenue au Siege de a Londres, du 9 au 2004. La Conference a la Convention internationale pour et la gestion des eaux de ballast et sediments des navires (Convention sur la gestion des eaux de ainsi que quatre resolutions. La publication contient le texte de la Convention et d es quatre resolutions, dont est de fournir des references pratiques aux administrateurs, aux et exploitants de navires, aux officiers de port, aux gens de mer et a toute autre partie II convient de noter que, a des fi ns fa ud rai t tou jou rs consulter le tex texte te de la Convention.

















Prefacio

Los efectos perjudiciale perjudicialess de las especies no deseadas presentes en el agua de lastre de se por primera vez a la en cuando Canada informo al Comite de Proteccion del Medio Marino (MEPC) de las especies invasoras de los Grandes Lagos. La respuesta del MEPC fue adoptar en las primeras directrices voluntarias para impedir la inen el marino de organismos acuaticos no deseados y agentes procedentes de las descargas de agua de lastre y sedimentos de los buques. Tras la Conferencia de las Naciones Unidas sobre el Medio Ambiente y el Desarrollo (CNUMAD), celebrada en de Janeiro en las directrices del MEPC se revisaron y se adoptaron como resolucidn de la Asamblea en En la Asamblea de la OMI, reunida en su periodo de sesiones, adoptd la resolucion titulada "Directrices para el control y la gestidn del agua de lastre de los buques a fin de reducir al la transferencia de organismos acuaticos perjudiciales y agentes patdgenos", que pasd pasd a sustituir a las directrices anter iores, completas. En la nueva resolucion se a los Gobiernos que tomasen medidas urgentes para aplicar las directrices y que comunicasen al MEPC la experiencia que adquirieran mediante esa aplicacidn. En la resolucion se pedfa al MEPC que trabajase con a ultimar disposiciones de obligado cumplimiento sobre la del agua de lastre y directrices para la implantacidn efectiva y uniforme de dichas disposiciones. A partir del el Grupo de sobre el agua de lastre, que el MEPC habfa establecido en se centrd en la elaboracidn elaboracidn de un co nvenio independiente sobre el control y la gestidn del agua de lastre y los sedimentos de los buques. En 2002, la Cumbre Mundial sobre el Desarrollo Sostenible, celebrada en Johannesburgo, un llamamiento para que se tomasen medidas a todos los niveles para acelerar la elaboracidn de soluciones al problema de las especies inva sora s presen tes en el agua agua de lastre. lastre. La introduccidn de organismos acuaticos perjudiciales y agentes patdgenos en nuevos entornos constituye una de las cuatro grandes amenazas para los del (las otras son: la contaminacidn marina de fuentes terrestres, la sobreexplotacidn de los recursos vivos del mar y la destruccidn de

















reunida en tercer periodo de sesiones, en diciembre de y la Conferencia internacional sobre la gestidn del de lastre para se en la sede de la en del 9 13 de febrero de 2004. La Conferencia el Convenio internacional para el control y la del agua agua de la stre y sedimentos de buques buques (Convenio s obre la del Agua de Lastre) y cuatro resoluciones. La presente contiene el texto del Convenio y las cuatro resoluciones a fin de facilitar un instrumento de referencia para los administradores, los propietarios de buques, los armadores, los oficiales de puertos, la gente de mar y las partes interesadas. Cabe observar que, por motivos jun'dicos, siempre debe consultarse el texto autentico del Convenio.

















Contents Page

International Convention for the Control and Management of Ships' Ballast Water and Sediments

Article Articl e 1

- Definitions

2

Article Artic le 2

- Gen General eral obligations obligations

3

Article Articl e 3

- App Application lication

4

Article Articl e 4

- Control Control of the transfer tran sfer of Harmful Aquatic Organisms and Pathogens through ships' Ballast Water and Sediments

5

Articl e 5

- Sediment Sediment reception reception faciliti facil ities es

5

Article Articl e 6

- Scientific and technical research and monitoring

5

Article Articl e 7

- Survey and certification certif ication

6

Article Articl e 8

- Violations

6

Article Articl e 9

- Inspection Inspection of ships

7

Article

- Detection of violations violat ions and contol of ships

7

Article

- Notification Notification of control actions

8

Article

- Undue Undue delay to ships shi ps

8

Article

- Technical assistance, assist ance, co-operation co-operatio n and regional co-operation

9

Article

- Communicati Communication on of information informati on

Article

- Dispute settlement sett lement

Article Arti cle 16 - Relationship Relations hip of international inter national law and other agreements

9

10

















INTERNATIONAL INTERNATIONAL CONVENTION CONVENTION FOR THE C CONTROL ONTROL AND AND MANAGEMENT OF SHIPS' BALLAST WATER AND SEDIMENTS, 2004

THE PARTIES P ARTIES TO THIS CONVENTION,

Article of the United United Nations Convention on the Law of the Sea (UNCLOS), which provides that "States shall take all measures necessary to prevent, reduce and control pollution of the marine environment resulting from the use of technologies under their jurisdiction or control, or the intentional or accidental introduction of species, alien or new, to a part of the marine environment, which may cause significant and harmful changes thereto", NOTING NOTING the objectives obje ctives of the Convention on Biological Biological Diversity (CBD) and that the transfer and introduction of Harmful Aquatic Organisms and Pathogens via ships' ballast ballast water threa tens the conservatio conse rvation n and sustainable use of biological biological diversity as well as decision of the Conference of the Parties (COP 4) to the CBD concerning the conservation conservatio n and sustainable use of marine and coastal ecosystems, as well as decision of the 2002 Conference of the Parties Partie s (COP 6) to the CBD on alien alien species that threaten ecosystems, habitats or species, including guiding principles on invasive species, NOTING F U R T H E R that the United Nations Conference on Environment and Development (UNCED) requested the International Maritime Organization (the Organization) to consider the adoption of appropriate rules on ballast water discharge, MINDFUL of the precautionary approach set out in Principle of the Rio Declaration on Environment and Development and referred to in resolution adopted by the Organization's Marine Environment Environment Protection Protectio n Committee on September 1995, ALSO MINDFUL MINDFUL that the 2002 World Summit on Sustainable Development, in paragraph 34(b) of its Plan of Implementation, calls for action at all levels to

















Ballast Water Management

2004

RECOGNIZING FUR THER that seve ral States have taken taken individual action with a view to prevent, minimize and ultimately eliminate the risks of introduction of Harmful Aquatic Organisms and Pathogens through ships entering their ports, and also that this issue, being of worldwide concern, demands action based on globally applicable regulations together with guidelines for their effective implementation and uniform DESIRING to continue the development of safer and more effective Ballast Water Management options that will result in continued prevention, minimization and ultimate elimination of the transfer of Harmful Aquatic Organisms and Pathogens, RESOLVED to prevent, minimize and ultimately eliminate the risks to the environment, human health, property and resources arising from the transfer of Harmful Aquatic Organisms and Pathogens through the control and management of ships' Ballast Water and Sediments, as well as to avoid unwanted side-effects from that control and to encourage developments in related knowledge and technology, CONSIDERING that these objectives may best be achieved by the conclusion of an International Convention for the Control and Management of Ships' Ballast Water and Sediments, HAVE AGREED as follows:

Article 1

Definitions For the purpose purpose of this Convention, Convention, un less expressly provided otherw ise: 1 means the Government of the State under whose authority the ship is operating. With respect to a ship entitled to fly a flag of any Stat State, e, the Admin istration is the Governmen t of that that State. With respe ct to floating platforms engaged in exploration and exploitation of the the sea-bed and subsoil thereof adjacent to the coast over which the coastal State exercises sovereign rights for the purpos es of exploration and exploitation of its its natural natural resources, including Floating Storage Units (FSUs) and Floating Production Storage and Offloading Units (FPSOs), the Administration Administration is the Govern men t of the coastal State concerned. 2

Ballast Water means water with its suspended matter taken on board a



















Article 2 6 Convention means the International Convention for the Control and Management of Ships' Ballast Water and Sediments. 7 Cross tonnage mean means s the gross tonnage calculated in i n accordance with the tonnage measurement regulations contained in Annex I to the International Convention on Tonnage Measurement of Ships, or any successor Convention. Convention.

Harmful Aquatic Organisms and Pathogens means aquatic organisms 8 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. 9

Organization means the International Maritime Organization. means the Secretary-General of the Organization.

10

Sediments means matter settled out of Ballast Water within a ship. 12 Ship means a vessel of any type whatsoever operating in the aquatic environment and includes submersibles, floating craft, floating and FPSOs.

Article 2

General obligations 1 Parties undertake to give full and complete effect to the provisions of this Convention and the Annex thereto in order to prevent, minimize and ultimately eliminate the transfer of Harmful Aquatic Organisms and Pathogens through the control and management of ships' Ballast Water andSediments. Sediments.



















7 Parties shou ld ensu re that Ballast Ballast Water Managem ent practices practices used to comply with this Convention do not cause greater harm than they prevent to their environment, human health, property or resources, or those of other

States. 8 Parties shall encourage ships entitled to fly th ei r flag , and to which thi s Convention applies, to avoid, as far as practicable, the uptake of Ballast Water with potentially Harmful Aquatic Organisms and Pathogens, as well as Sediments that may contain such organisms, including promoting the adequate implementation of recommendations developed by the Organization. 9 Parties Partie s shall shal l endeavo ur to co-operate co-operate un der de r the auspices of the Organization to address threats and risks to sensitive, vulnerable or threatened marine ecosystems and biodiversity in areas beyond the limits of national jur is di ct io n in relation to Ballast Water Water Management.

Article 3 Application 1 Except Except as expressly provi ded otherwise in this Convent ion, this Convention shall apply to: (a) ships entitled to fly the flag of a Party; and (b)

2

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

This Convention shall not apply to: (a) ships not designed or constructed to carry Ballast Water; (b)

ships of a Party which on ly operate in waters waters unde r the juri sdict ion of that Party, unless the Party determines that the discharge of



















Article 6 commercial service. However, each Party shall ensure, by the adoption of appropriate measures not impairing operations or operational capabilities of such ships owned or operated by it, that such ships act in a manner consistent consistent,, so far as is reasonable r easonable and practicable, with this Convention; and (f) permanent Ballast Water in sealed tanks on ships, that is not subject to discharge.

3 With respect to ships of non-Parties to this Co Conve nvention, ntion, Parties shall apply apply the the requirements requi rements of this Convention as may be necessary to ensure that t hat no more favourable treatment is given to such ships.

Article rticl e 4 Control of the transfer of Harmful Aquatic Organisms and Pathogens through ships' Ballast Water and Sediments 1 Each 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, including the applicable standards and requirements in the Annex, and shall take effective measures to ensure that those ships comply with those requirements. 2 Each Party shall, shall, with due regard to its particular conditions and capabilities, develop national policies, strategies or programmes for Ballast Water Management in its ports and waters under its jurisdiction that accord with, and promote the attainment of the objectives of this Convention.

Article 5 Sediment reception facilities



















Ballast Water Management Convention, 2004

Such research and monitoring should include observation, measurement, sam pling , eva luation and analysis of the the effectiveness effectiveness and adverse 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 fu rt her the the objectives objectives of this Con ventio n, prom ote the availability of relevant information to other Parties who request it on: (a) (a ) scientific and technology programmes and technical measures undertaken with respect to Ballast Water Management; and

the the effectiveness of Ballast Water Water Manage men t deduced from any monitoring and assessment programmes.

Article 7 Survey and certification 1 Each Party shall ens ure that ships fly ing its flag or opera ting un de r its authority and subject to survey and certification are so surveyed and certified in accordance with the regulations in the Annex. 2 A Party imp lem enti ng measures pu rsu an t to article article 2.3 and Secti Section on C of the Anne x shall shall not requ ire additio nal survey and certification of a ship of anot her Party, nor shall the Ad mi nis tra tio n of the 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



















Article (b) furnish to the Administration of the ship such information and evidence evidence as may be be in its possessi pos session on that a violation has occurred.

3 The sanctions provided provided for by the laws of a Party pursuant to this article shall be adequate in severity to discourage violations of this Convention wherever they occur.

Article 9 Inspection of ships 1 A ship to which this Convention applies ma may, y, in any port or offshore offsh ore 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 this Convention. Except as provided in paragraph 2 of this article, any such inspection is limited to: (a) verifying that there is on board a valid Certificate, which, if valid, shall be accepted; and (h) inspection of the Ballast Water record book, and/or

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 Where a ship does not carry a valid Certific Certi ficate ate 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) (b) the master or the crew are not familiar with essential shipboard procedures relating to Ballast Water Management, or have not





















Ballast Water Management Convention, 2004 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 a threat of harm to the environment, human health health,, property or resources. 3 If the sampling described descri bed in article articl e 9.1 (c) leads to a result, or supports information received from another port or offshore terminal, indicating that the ship poses a threat to the environment, human health, property or resources, resources , the Party in whose waters the ship is operating shall prohibit prohibit such ship from discharging Ballast Water until the threat is removed. 4 A Party ma may y also inspect inspe ct a ship when it enters enter s the ports port s or offshor off shore e 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 this 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.





















r

Article

Article

Technical assistance, co-operation co-op eration and regional co-operation 1 Parties undertake, undertake, directly directl y or through the Organization Organization and other international bodies, as appropriate, in respect of the control and management of ships' Ballast Water and Sediments, to provide support for those Parties which request technical assistance: assist ance: (a) to train personnel; (b) (b) to ensure the availability of relevant technology, equipment and facilities; (c) to initiate joint research and development programmes; and (d) to undertake other action aimed at the effective implementation of this Convention and of guidance developed by the Organization related thereto.

2 Parties undertake to co-operate actively, subject to their national laws, laws, regulations regulations and and policies, in the transf t ransfer er of technology in respect of the control and management of ships' Ballast Water and Sediments.






















Article 15 Dispute settlement Parties shall settle any dispute between between the them m concerning the interpretation or application of this Convention by negotiation, enquiry, mediation, conciliaarbitration, judicial settlement, resort to regional agencies or arrangements or other peaceful means of their own choice.

Article

Relationship to international internationa l law and other agreements Nothing in this Convention 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

ratification, acceptance, approval and accession 1

This Con Conven vention tion shall be open for signature by any State at the





















Article 19 merchant shipping, have either signed it without reservation as to ratification, acceptance or approval, or have deposited the requisite instrument of ratification, acceptance, approval or accession in accordance with article 1 7. 2 Forr States Fo States which have deposited an instrument of ratification, ratification, acceptance, approval or accession in respect of this Convention after the requirements for entry into force thereof have been met, but prior to the date of entry into force, the ratification, acceptance, approval or accession shall take effect on the date of entry into force of this Convention or three months after the date of deposit of instrument, whichever is the later date. 3 Any instrument of ratification, approval or accession deposited after the date on which this Convention enters into force shall take effect three months after the date of deposit. 4 After the date on which an amendment to this Convention is deemed to have been been accepted under under article 19, any instrument of ratification, acceptance, approval or accession deposited shall apply to this Convention as amended.





















Ballast Water Management

2004

(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 s uch other date as determined by the Committee. Committee. 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 amendment shall enter into force for ce under the following conditions: (i)

An amendment to an article of this 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 objection to the amendm amendment ent in accordance with ith subparagraph (e)(i (e)(ii) i) and that has not withdraw ithdrawn such objection; or























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 of that amendment. 5 Any notification notification under under this article shall be ma made de in writing to the Secretary-General. 6 The Secretary-General Secret ary-General shall inform the Parties Parti es and Mem Members bers of the Organization of:

(a) any amendment that ente enters rs into force and the date of its entry into force generally and for each Party; and
























Article 22 Languages This Convention is established in a single original in the English, French, Russian and Spanish languages, each text being equally authentic. DONE AT LONDON this thirteenth day of February, two thousand and four. IN WITNESS WHEREOF the undersigned* being duly authorized by their respective Governments for that purpose, have signed this Convention.























Annex for the control and management of Ballast Water and Sediments SECTION A - GENERAL PROV PROVIS ISIONS IONS























meet the provisions of regulation shall not be deemed to constitute a major conversion for the purpose of this Annex. 6 From the near est land means from the baseline from which the territorial sea of the territory in question is established in accordance with international law except that, for the purposes of the Convention, from the nearest land off the north-eastern coast of Australia shall mean from a line drawn from a point on the coast of Australia in latitude S, longitude E to a point in latitude S, longitude thence to a point latitude S, longitude

E E























Regulation A-5 3

the uptake and discharge discharge of Ballast Ball ast Water Water and Sediments when being used for the purpose of avoiding or minimizing pollution incidents from the ship; or

4

the uptake and subsequent discharge on the high high seas of the same Ballast Water and Sedim S ediments; ents; or

5

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 unmanaged Ballast Water and Sediments from other areas has occurred. If mixing has the Ballast Water taken from other areas is subject to Ballast Water Management in accor-

























Ballast Water Management Convention, 2004 of 8 cubic metres, shall be determined by the Administration, taking into account guidelines developed by the Organization.























3 In the event of the discharge of Ballast Ballast Water pursuant to regulations A-3, A-4 or or in the event of other accidental or exceptional discharge
























4

A ship constructed in or after 2009, but before

with a Ballast























Regulation

Regulation B-5























Ballast Water Management Convention, 2004 .2

the need and reasoning for the application of the additional







































































































































































































































































Ballast Water Management Convention

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