prevention of pollution of the sea - informea

First published in the Government Gazette, Electronic Edition, on 7 September 2017 at 5.30 pm.

No. S 504

PREVENTION OF POLLUTION OF THE SEA ACT(CHAPTER 243)

PREVENTION OF POLLUTION OF THE SEA(BALLAST WATER MANAGEMENT)

REGULATIONS 2017

ARRANGEMENT OF REGULATIONSRegulation

1. Citation and commencement2. Definitions3. Application of Annex and Schedules4. References to Administration and other terms5. Exemptions6. Exemptions in certain circumstances7. Ballast water exchange8. Ballast water management9. Surveys and certifications of ships 400 gross tonnage and above10. International Ballast Water Management Certificates11. Type Approval Certificates12. Ballast water management plans13. Prohibition on proceeding to sea14. Powers to inspect15. Powers to detain ships16. Offences17. Fees

The Schedules

In exercise of the powers conferred by sections 10A(3), 13A and34(1)(ba) of the Prevention of Pollution of the Sea Act, the Maritimeand Port Authority of Singapore, with the approval of the Minister forTransport, makes the following Regulations:

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Citation and commencement

1. These Regulations are the Prevention of Pollution of the Sea(Ballast Water Management) Regulations 2017 and come intooperation on 8 September 2017.

Definitions

2. In these Regulations, unless the context otherwise requires —

“Administration”, in relation to any Contracting Party or to anyState, has the same meaning as in Article 1 of the BallastWater Management Convention;

“Annex” means the Annex to the Ballast Water ManagementConvention, the text of which is set out in the First Schedule;

“approved ballast water management plan”means a ballast watermanagement plan that meets the requirements ofregulation B‑1 of the Annex that has been approved —

(a) in the case of a Singapore ship, by the Director or anauthorised organisation; and

(b) in the case of any other ship, by or on behalf of theAdministration;

“authorised organisation” means an organisation authorised byregulations made under section 116 of the Merchant ShippingAct (Cap. 179) for the purposes of surveying ships and issuingcertificates under Part V of that Act;

“ballast water record book” means the ballast water record bookof the ship that is required to be on board a ship underregulation B‑2 of the Annex;

“Contracting Party” means any State Party to the Ballast WaterManagement Convention;

“FPSO” means a floating production storage and off-loadingunit;

“FSU” means a floating storage unit;

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“gross tonnage” means the gross tonnage calculated inaccordance with the regulations in Annex 1 of theInternational Convention on Tonnage Measurement ofShips, 1969 and any amendment to it which has come intoforce and has been accepted by the Government, or anysuccessor convention accepted by the Government;

“IBWM Certificate” means an international ballast watermanagement certificate in the form prescribed in theAnnex, that is —

(a) issued by or on behalf of the Administration of anyContracting Party to the Ballast Water ManagementConvention under regulation E‑2 of the Annex; or

(b) issued by another Contracting Party at the request ofthe Administration of any Contracting Party underregulation E‑3 of the Annex;

“IMO” or “Organization” means the International MaritimeOrganization;

“IOPP Certificate” has the same meaning as in regulation 2 of thePrevention of Pollution of the Sea (Oil) Regulations 2006(G.N. No. S 685/2006);

“owner”, in relation to a ship, includes any organisation orperson such as the manager, or the bareboat charterer, who hasassumed the responsibility for operation of the ship from theowner of the ship and who on assuming such responsibilityhas agreed to take over all the duties and responsibilitiesimposed by the International Safety Management Code;

“Port Master” means the Port Master appointed under theMaritime and Port Authority of Singapore Act (Cap. 170A)and includes any Deputy Port Master;

“relevant ship” means a ship other than any floating platform,FSU or FPSO that is fixed in position;

“ship” means a vessel of any type whatsoever operating in themarine environment, and includes a submersible, a floatingcraft, a fixed or floating platform, an FSU and an FPSO;

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“Singapore ship” means a ship that is registered under Part II ofthe Merchant Shipping Act;

“Type Approval Certificate” means a certificate issued by or onbehalf of an Administration to certify that a ballast watermanagement system is approved under regulation D‑3.1 ofthe Annex.

Application of Annex and Schedules

3.—(1) Subject to these Regulations, the Annex has the force of lawin Singapore —

(a) except for regulations C-3 and D-5 of the Annex; and

(b) except that —

(i) regulation B-3 of the Annex is substituted with therevised regulation B-3 set out in the SecondSchedule; and

(ii) regulations E-1 and E-5 of the Annex are substitutedwith the revised regulations E-1 and E‑5,respectively, set out in the Third Schedule.

(2) Any reference to “ship” or “ships” in these Regulations, theAnnex, the Second Schedule and the Third Schedule is a referenceto —

(a) a Singapore ship or ships; and

(b) any other ship or ships while in Singapore waters.

(3) These Regulations apply to the ships mentioned in paragraph (2)unless the ships are excluded from the application of the Ballast WaterManagement Convention under Article 3(2) of the Convention.

(4) To avoid doubt, ships that are excluded from the application ofthe Ballast Water Management Convention under Article 3(2)(b) and(d) of the Convention are ships that only operate in Singapore waters,or that only operate in Singapore waters and on the high seas, unlessthe Director determines that the discharge of ballast water from suchships would impair or damage the environment, human health,property or resources, of Singapore or other States.

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References to Administration and other terms

4.—(1) For the purposes of regulations A-5, D-4.1, D-4.2, E‑2.1,E‑2.2, E‑3.1, E‑3.2 and E-3.3 of the Annex, and regulations E‑1.1.2,E‑1.2, E‑1.3, E‑1.4, E-1.5, E-1.6, E-1.7, E-1.8, E‑5.1, E‑5.3, E‑5.5,E‑5.6, E-5.7 and E-5.9.1 of the Third Schedule, a reference to theAdministration is a reference to the Director.

(2) For the purposes of regulations A‑1.5.3, B‑1, D‑3.1 of theAnnex, and E‑1.10 of the Third Schedule, a reference to theAdministration is a reference to the Director or an authorisedorganisation.

(3) For the purposes of regulation E-2.2 of the Annex andregulation E‑5.4 of the Third Schedule, a reference to a person ororganisation authorised or duly authorised by the Administration is areference to an authorised organisation.

(4) In Appendix I of the Annex —

(a) a reference to a competent person is a reference to theDirector, a surveyor of ships or an authorised organisation;and

(b) a reference to an authorised official or a duly authorisedofficial is a reference to the Director, an inspector or anauthorised organisation.

(5) In the Second Schedule, a reference to the renewal survey is areference to the renewal survey associated with the IOPP Certificateunder MARPOL Annex I.

(6) For the purposes of these Regulations, unless the contextotherwise requires —

(a) a reference to regulation B-3 of the Annex is a reference toregulation B‑3 of the Second Schedule;

(b) a reference to regulation B-3.3, B-3.4 and B-3.5 inregulation B‑5.2 of the Annex is a reference toregulation B‑3.3, B-3.4 and B-3.5, respectively, of theSecond Schedule; and

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(c) a reference to regulation E-1 and E-5 of the Annex is areference to regulation E‑1 and E-5, respectively, of theThird Schedule.

Exemptions

5.—(1) The Director may exempt any person or ship, or class ordescription of persons or ships from all or any of these Regulations onsuch terms as the Director may specify and may, subject to givingreasonable notice, alter or cancel any such exemption.

(2) In granting an exemption from any requirement ofregulation C‑1 (relating to Additional Measures) of the Annex orregulation B‑3 (relating to Ballast Water Management for Ships) ofthe Second Schedule, the Director must comply with the requirementsof regulation A‑4.1 to A‑4.4 of the Annex.

(3) The Port Master may exempt any ship, or description of shipswithin the port, from the operation of section 10A(1) of the Act, onsuch terms as the Port Master may specify and may, subject to givingreasonable notice, alter or cancel any such exemption.

(4) The owner or master of a ship must ensure that any exemptiongranted under paragraph (1) or (3) is recorded in the ballast waterrecord book of the ship.

Exemptions in certain circumstances

6.—(1) Section 10A(1) of the Act does not apply to the discharge ofballast water if the discharge is made into any part of the sea by a shipthrough ballast water management that meets the standard describedin regulation D-2 of the Annex.

(2) Until such time as a ship is required to conduct ballast watermanagement under regulation B-3 of the Second Schedule, thefollowing discharges of ballast water by a Singapore ship into any sea,or by any ship into Singapore waters, are exempt from the operation ofsection 10A(1) of the Act:

(a) a discharge made into Singapore waters by a ship (otherthan a ship that is exempted under regulation 7(1)) that has,prior to its entry into Singapore waters, conducted ballast

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water exchange in accordance with the requirements ofregulation B‑4 of the Annex;

(b) a discharge made into the waters of any State that is notparty to the Ballast Water Management Convention, by aSingapore ship (other than a ship that is exempted underregulation 7(1)) that has, prior to its entry into such waters,conducted ballast water exchange in accordance with therequirements of regulation B‑4 of the Annex;

(c) a discharge made into the waters of a Contracting Party thatis not Singapore, by a Singapore ship that has, prior to itsentry into such waters, conducted ballast water exchange inaccordance with the requirements of regulation B‑4 of theAnnex in the manner permitted by that Contracting Party;

(d) a discharge made into the high seas by a ship in the courseof conducting ballast water exchange in accordance withthe requirements of regulation B‑4 of the Annex;

(e) a discharge made into Singapore waters, or the waters ofany State not party to the Ballast Water ManagementConvention, by a ship exempted under regulation 7(1) fromconducting ballast water exchange in accordance with therequirements of regulation B‑4.1 of the Annex before theship’s entry into Singapore waters.

(3) For the purposes of section 10A(3) of the Act, a ship thatdischarges sediments into the sea is exempt from the operation ofsection 10A(1) of the Act in relation to that discharge, if the dischargewas made —

(a) into such part of the sea as is at least 200 nautical milesaway from land;

(b) in depths of over 200 metres; and

(c) in accordance with the ship’s approved ballast watermanagement plan.

Ballast water exchange

7.—(1) Despite any other exemption under regulation B-4 of theAnnex, a ship is exempted from conducting ballast water exchange in

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accordance with the requirements of regulation B-4.1 of the Annexbefore the ship’s entry into Singapore waters if it is not possible forthat ship to conduct ballast water exchange in accordance with therequirements of regulation B‑4.1 of the Annex.

(2) The requirements of regulation B-3 of the Second Schedule donot apply to a ship exempted under paragraph (1).

(3) A ship mentioned in paragraph (1) that does not conduct ballastwater exchange must record the reasons for not conducting ballastwater exchange in its ballast water record book.

Ballast water management

8.—(1) A ship must conduct ballast water management inaccordance with regulation B-3 of the Second Schedule.

(2) For the purpose of regulation B-3.7 of the Second Schedule,other methods of ballast water management may be accepted asalternatives by the Director.

Surveys and certifications of ships 400 gross tonnage and above

9. A relevant ship that is 400 gross tonnage and above must complywith the survey and certification requirements in regulation E‑1 of theThird Schedule.

International Ballast Water Management Certificates

10.—(1) The owner of a Singapore ship that is a relevant ship of400 gross tonnage and above may apply to the Director or anauthorised organisation for an IBWM Certificate.

(2) The Director or an authorised organisation may, upon anapplication under paragraph (1) and after a survey of the ship inaccordance with the provisions of regulation E-1 of theThird Schedule, issue an IBWM Certificate in respect of the ship.

(3) For the purposes of these Regulations, the duration and validityof an IBWM Certificate issued in respect of a ship is determined inaccordance with regulation E-5 of the Third Schedule.

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Type Approval Certificates

11.—(1) The manufacturer of a ballast water management systemmay apply to the Director for approval of a ballast water managementsystem for installation on board a Singapore ship.

(2) The Director or an authorised organisation may issue a TypeApproval Certificate to the manufacturer if the Director or theauthorised organisation, as the case may be, is satisfied that the ballastwater management system meets the requirements of regulation D-3of the Annex.

(3) Despite paragraph (2), where the ballast water managementsystem has already been approved by the Administration of any State,the Director may, in respect of a ship on which the ballast watermanagement system is installed, issue an IBWM Certificate to theowner of the ship.

Ballast water management plans

12.—(1) The owner of a Singapore ship may apply to the Director oran authorised organisation for approval of a ballast water managementplan for that ship.

(2) The Director or an authorised organisation may approve theballast water management plan if the Director or the authorisedorganisation, as the case may be, is satisfied that the plan meets therequirements of regulation B-1 of the Annex.

Prohibition on proceeding to sea

13.—(1) The owner, master or agent of a relevant ship that is of400 gross tonnage and above must produce to the Port Master, at thetime clearance for the ship under section 46 of the Maritime and PortAuthority of Singapore Act (Cap. 170A) is demanded for a voyagefrom Singapore to a port or place outside Singapore waters —

(a) in the case of a ship the flag State of which is a ContractingParty, an IBWM Certificate; or

(b) in the case of a ship flagged by the Administration of a Statewhich is not a Contracting Party, written evidence of

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compliance with the requirements of regulation E-1 of theThird Schedule.

(2) Clearance for a ship may be refused and the ship may bedetained until the certificate mentioned in paragraph (1)(a), or theevidence mentioned in paragraph (1)(b), is produced.

(3) The Port Master may, in the Port Master’s discretion, exempt anyship from the requirements of paragraph (1).

Powers to inspect

14.—(1) A ship in Singapore waters is subject to inspection by aninspector taking into account guidelines for surveys developed byIMO.

(2) Subject to paragraph (4), any inspection under paragraph (1) of aship of 400 gross tonnage and above is limited to one or more of thefollowing:

(a) verifying —

(i) in the case of a relevant ship the flag State of which isa Contracting Party, that the ship carries a validIBWM Certificate; or

(ii) in the case of a relevant ship the flag State of which isnot a Contracting Party, that there is written evidenceof compliance with the requirements ofregulation E‑1 of the Third Schedule;

(b) inspecting the ballast water record book;

(c) sampling the ship’s ballast water taking into account ballastwater sampling and analysis guidelines developed by IMO.

(3) Subject to paragraph (4) or (5), any inspection underparagraph (1) of a ship below 400 gross tonnage is limited to oneor more of the following:

(a) verifying that the ship carries an approved ballast watermanagement plan;

(b) inspecting the ballast water record book;

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(c) sampling the ship’s ballast water taking into account ballastwater sampling and analysis guidelines developed by IMO.

(4) A detailed inspection of the ship may be carried out by aninspector in any of the circumstances in which a detailed inspection ofa ship is permitted by the Ballast Water Management Convention.

(5) Without limiting paragraph (4), a detailed inspection may becarried out in any of the following circumstances:

(a) the ship does not carry an approved ballast watermanagement plan or a ballast water record book;

(b) the master or the crew of the ship are not familiar withessential shipboard procedures relating to ballast watermanagement, or have not implemented such procedures;

(c) in the case of a relevant ship of 400 gross tonnage andabove —

(i) if the flag State of the ship is a Contracting Party —

(A) the ship does not carry a valid IBWMCertificate; or

(B) the condition of the ship or its equipment doesnot correspond substantially with theparticulars of the ship’s IBWM Certificate orapproved ballast water management plan;

(ii) if the flag State of the ship is not a ContractingParty —

(A) the ship does not carry any written evidence ofcompliance with the requirements ofregulation E-1 of the Third Schedule; or

(B) the condition of the ship or its equipment doesnot correspond substantially with any writtenevidence of compliance with the requirementsof regulation E-1 of the Third Schedule.

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(6) Where the sampling mentioned in paragraph (2)(c) or (3)(c)leads to a result, or supports information received from another port oroffshore terminal, indicating that the ship poses a threat to theenvironment, human health, property or resources, the Director maydirect the owner, master or agent of the ship to take steps to prevent theship from discharging ballast water until the threat is removed.

(7) In any case where a detailed inspection may be carried out underparagraph (4) or (5), the Director may direct the owner, master oragent of the ship to take such steps as will ensure that the ship will notdischarge ballast water until it can do so without presenting a threat ofharm to the environment, human health, property or resources.

(8) There must be readily available for inspection aboard eachship —

(a) an approved ballast water management plan and a ballastwater record book; and

(b) in the case of a relevant ship of 400 gross tonnage andabove, an IBWM Certificate or a written evidence ofcompliance with the requirements of regulation E‑1 of theThird Schedule.

(9) The Director may cause any ship to be inspected by an inspectorwhen it enters a port, a shipyard or an offshore terminal in Singaporewaters, if the Director receives —

(a) a request for an investigation from any Contracting Party;or

(b) evidence that the ship is operating or has operated inviolation of the Ballast Water Management Convention inany place.

(10) Following a report of an inspection by an inspector underparagraph (9), the Director may send the report to —

(a) the Contracting Party requesting the investigation; and

(b) the competent authority of the Administration of the ship.

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Powers to detain ships

15.—(1) A ship is liable to be detained under section 23 of the Act ifan inspector has, following an inspection, determined —

(a) in the case of a relevant ship of 400 gross tonnage andabove the flag State of which is a Contracting Party, that theship’s IBWM Certificate is invalid;

(b) in the case of a relevant ship of 400 gross tonnage andabove the flag State of which is not a Contracting Party, thatthe written evidence of the ship’s compliance with therequirements of regulation E-1 of the Third Schedule isinadequate; or

(c) the ship has contravened any of the requirements of theseRegulations.

(2) The Director may permit a ship detained under paragraph (1) toleave Singapore waters for the purpose of discharging ballast water orproceeding to the nearest repair yard or reception facility available, ifdoing so does not present a threat of harm to the environment, humanhealth, property or resources.

Offences

16.—(1) The master and owner of a ship shall each be guilty of anoffence —

(a) if the owner or master of the ship fails to ensure that anyexemption granted under regulation 5(1) or (3) is recordedin the ballast water record book of the ship as requiredunder regulation 5(4);

(b) if the owner or master of the ship refuses or fails to complywith a direction given by the Director underregulation 14(6) or (7);

(c) if the ship fails to have on board for inspection an approvedballast water management plan or a ballast water recordbook as required under regulation 14(8)(a); or

(d) if the ship, being a relevant ship of 400 gross tonnage andabove, fails to have on board for inspection an IBWM

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Certificate, or written evidence of compliance with therequirements of regulation E‑1 of the Third Schedule, asrequired under regulation 14(8)(b).

(2) The owner, master and agent of a ship shall each be guilty of anoffence if the IBWM Certificate, or the written evidence ofcompliance with the requirements of regulation E-1 of theThird Schedule, mentioned in regulation 13(1) is not produced asrequired under that regulation.

(3) The owner and master of a ship shall each be guilty of an offenceif any requirement relating to the ship under regulation B‑1, B‑2.1,B‑2.3, B-2.4, B-2.5, B-4.1, B-4.5, B‑5.1, B‑6, D‑1.1 or D‑2.1 of theAnnex is not complied with.

(4) The owner and master of a ship shall each be guilty of an offenceif ballast water book entries are not maintained on board the ship for aminimum period of 2 years after the last entry as required underregulation B-2 of the Annex.

(5) The owner of a ship shall be guilty of an offence if ballast waterbook entries are not maintained in the Company’s control for aminimum period of 3 years immediately after the 2‑year periodmentioned in paragraph (4) as required under regulation B‑2 ofAnnex.

(6) The owner and master of a ship shall each be guilty of an offenceif any requirement relating to the ship under regulation B‑3 of theSecond Schedule is not complied with.

(7) The owner and master of a ship shall each be guilty of an offenceif any requirement relating to the ship under regulation E‑1.1, E-1.7,E-1.9 or E-1.10 of the Annex is not complied with.

(8) An owner, master or agent of a ship who is guilty of an offenceunder this regulation shall each be liable on conviction to a fine notexceeding $10,000.

Fees

17. The fees specified in the second column of the Fourth Scheduleare payable to the Director for services set out in the first column ofthat Schedule.

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FIRST SCHEDULE

Regulation 2

ANNEX OF THE BALLAST WATER MANAGEMENT CONVENTION

REGULATIONS FOR THE CONTROL AND MANAGEMENTOF SHIPS’ BALLAST WATER AND SEDIMENTS

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 correspondingto 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 dischargingBallast Water, including any multi-use tank, space or compartment designed toallow carriage of Ballast Water.

3 “Company” means the owner of the ship or any other organization or personsuch as the manager, or the bareboat charterer, who has assumed theresponsibility for operation of the ship from the owner of the ship and who onassuming such responsibility has agreed to take over all the duties andresponsibilities imposed by the International Safety Management Code1.

4 “Constructed” in respect of a ship means a stage of construction where:

.1 the keel is laid; or

.2 construction identifiable with the specific ship begins;

.3 assembly of the ship has commenced comprising at least 50 tonnes or1 percent of the estimated mass of all structural material, whichever isless; or

.4 the ship undergoes a major conversion.

5 “Major conversion” means a conversion of a ship:

.1 which changes its ballast water carrying capacity by 15 percent or greater,or

.2 which changes the ship type, or

.3 which, in the opinion of the Administration, is projected to prolong its lifeby ten years or more, or

1 Refer to the ISM Code adopted by the Organization by resolution A.741(18), as amended.

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FIRST SCHEDULE — continued

.4 which results in modifications to its ballast water system other thancomponent replacement-in-kind. Conversion of a ship to meet theprovisions of regulation D-1 shall not be deemed to constitute a majorconversion for the purpose of this Annex.

6 “From the nearest land”means from the baseline from which the territorial seaof the territory in question is established in accordance with international lawexcept that, for the purposes of the Convention, “from the nearest land” off thenorth-eastern coast of Australia shall mean from a line drawn from a point onthe coast of Australia in

latitude 11°00´ S, longitude 142°08´ E

to a point in latitude 10°35´ S, longitude 141°55´ E

thence to a point latitude 10°00´ S, longitude 142°00´ E









thence to a point on the coast of Australia

in latitude 24°42´ S, longitude 153°15´ E.

7 “Active Substance” means a substance or organism, including a virus or afungus, that has a general or specific action on or against Harmful AquaticOrganisms and Pathogens.

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Regulation A-2

General Applicability

Except where expressly provided otherwise, the discharge of Ballast Water shallonly be conducted through Ballast Water Management in accordance with theprovisions of this Annex.

Regulation A-3

Exceptions

The requirements of regulation B-3, or any measures adopted by a Party pursuantto Article 2.3 and Section C, shall not apply to:

1 the uptake or discharge of Ballast Water and Sediments necessary for thepurpose of ensuring the safety of a ship in emergency situations or saving lifeat sea; or

2 the accidental discharge or ingress of Ballast Water and Sediments resultingfrom damage to a ship or its equipment:

.1 provided that all reasonable precautions have been taken before and afterthe occurrence of the damage or discovery of the damage or discharge forthe purpose of preventing or minimizing the discharge; and

.2 unless the owner, Company or officer in charge wilfully or recklesslycaused damage; or

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

4 the uptake and subsequent discharge on the high seas of the same BallastWater and Sediments; or

5 the discharge of Ballast Water and Sediments from a ship at the same locationwhere the whole of that Ballast Water and those Sediments originated andprovided that no mixing with unmanaged Ballast Water and Sediments fromother areas has occurred. If mixing has occurred, the Ballast Water taken fromother areas is subject to Ballast Water Management in accordance with thisAnnex.

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Regulation A-4

Exemptions

1 A Party or Parties, in waters under their jurisdiction, may grant exemptions toany requirements to apply regulations B-3 or C-1, in addition to thoseexemptions contained elsewhere in this Convention, but only when they are:

.1 granted to a ship or ships on a voyage or voyages between specified portsor locations; or to a ship which operates exclusively between specifiedports or locations;

.2 effective for a period of no more than five years subject to intermediatereview;

.3 granted to ships that do not mix Ballast Water or Sediments other thanbetween the ports or locations specified in paragraph 1.1; and

.4 granted based on the Guidelines on risk assessment developed by theOrganization.

2 Exemptions granted pursuant to paragraph 1 shall not be effective until aftercommunication to the Organization and circulation of relevant information tothe Parties.

3 Any exemptions granted under this regulation shall not impair or damage theenvironment, human health, property or resources of adjacent or other States.Any State that the Party determines may be adversely affected shall beconsulted, with a view to resolving any identified concerns.

4 Any exemptions granted under this regulation shall be recorded in the BallastWater record book.

Regulation A-5

Equivalent compliance

Equivalent compliance with this Annex for pleasure craft used solely forrecreation or competition or craft used primarily for search and rescue, less than50 metres in length overall, and with a maximum Ballast Water capacity of8 cubic metres, shall be determined by the Administration taking into accountGuidelines developed by the Organization.

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SECTION B — MANAGEMENT AND CONTROLREQUIREMENTS FOR SHIPS

Regulation B-1

Ballast Water Management Plan

Each ship shall have on board and implement a Ballast Water Management plan.Such a plan shall be approved by the Administration taking into accountGuidelines developed by the Organization. The Ballast Water Management planshall be specific to each ship and shall at least:

1 detail safety procedures for the ship and the crew associated with Ballast WaterManagement as required by this Convention;

2 provide a detailed description of the actions to be taken to implement theBallast Water Management requirements and supplemental Ballast WaterManagement practices as set forth in this Convention;

3 detail the procedures for the disposal of Sediments:

.1 at sea; and

.2 to shore;

4 include the procedures for coordinating shipboard Ballast Water Managementthat involves discharge to the sea with the authorities of the State into whosewaters such discharge will take place;

5 designate the officer on board in charge of ensuring that the plan is properlyimplemented;

6 contain the reporting requirements for ships provided for under thisConvention; and

7 be written in the working language of the ship. If the language used is notEnglish, French or Spanish, a translation into one of these languages shall beincluded.

Regulation B-2

Ballast Water Record Book

1 Each ship shall have on board a Ballast Water record book that may be anelectronic record system, or that may be integrated into another record book orsystem and, which shall at least contain the information specified inAppendix II.

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2 Ballast Water record book entries shall be maintained on board the ship for aminimum period of two years after the last entry has been made and thereafterin 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‑4or B-3.6 or in the event of other accidental or exceptional discharge of BallastWater not otherwise exempted by this Convention, an entry shall be made inthe Ballast Water record book describing the circumstances of, and the reasonfor, the discharge.

4 The Ballast Water record book shall be kept readily available for inspection atall reasonable times and, in the case of an unmanned ship under tow, may bekept on the towing ship.

5 Each operation concerning Ballast Water shall be fully recorded without delayin the Ballast Water record book. Each entry shall be signed by the officer incharge of the operation concerned and each completed page shall be signed bythe master. The entries in the Ballast Water record book shall be in a workinglanguage of the ship. If that language is not English, French or Spanish theentries shall contain a translation into one of those languages. When entries inan official national language of the State whose flag the ship is entitled to flyare also used, these shall prevail in case of a dispute or discrepancy.

6 Officers duly authorized by a Party may inspect the Ballast Water record bookon board any ship to which this regulation applies while the ship is in its portor offshore terminal, and may make a copy of any entry, and require the masterto certify that the copy is a true copy. Any copy so certified shall be admissiblein any judicial proceeding as evidence of the facts stated in the entry. Theinspection of a Ballast Water record book and the taking of a certified copyshall be performed as expeditiously as possible without causing the ship to beunduly delayed.

Regulation B-3

Ballast Water Management for Ships

1 A ship constructed before 2009:

.1 with a Ballast Water Capacity of between 1,500 and 5,000 cubic metres,inclusive, shall conduct Ballast Water Management that at least meets thestandard described in regulation D-1 or regulation D-2 until 2014, afterwhich time it shall at least meet the standard described in regulation D-2;

.2 with a Ballast Water Capacity of less than 1,500 or greater than5,000 cubic metres shall conduct Ballast Water Management that atleast meets the standard described in regulation D-1 or regulation D-2

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until 2016, after which time it shall at least meet the standard described inregulation D-2.

2 A ship to which paragraph 1 applies shall comply with paragraph 1 not laterthan the first intermediate or renewal survey, whichever occurs first, after theanniversary date of delivery of the ship in the year of compliance with thestandard applicable to the ship.

3 A ship constructed in or after 2009 with a Ballast Water Capacity of less than5,000 cubic metres shall conduct Ballast Water Management that at leastmeets the standard described in regulation D-2.

4 A ship constructed in or after 2009, but before 2012, with a Ballast WaterCapacity of 5,000 cubic metres or more shall conduct Ballast WaterManagement in accordance with paragraph 1.2.

5 A ship constructed in or after 2012 with a Ballast Water Capacity of5,000 cubic metres or more shall conduct Ballast Water Management that atleast meets the standard described in regulation D-2.

6 The requirements of this regulation do not apply to ships that discharge BallastWater to a reception facility designed taking into account the Guidelinesdeveloped by the Organization for such facilities.

7 Other methods of Ballast Water Management may also be accepted asalternatives to the requirements described in paragraphs 1 to 5, provided thatsuch methods ensure at least the same level of protection to the environment,human health, property or resources, and are approved in principle by theCommittee.

Regulation B-4

Ballast Water Exchange

1 A ship conducting Ballast Water exchange to meet the standard inregulation D-1 shall:

.1 whenever possible, conduct such Ballast Water exchange at least200 nautical miles from the nearest land and in water at least200 metres in depth, taking into account the Guidelines developed bythe Organization;

.2 in cases where the ship is unable to conduct Ballast Water exchange inaccordance with paragraph 1.1, such Ballast Water exchange shall beconducted taking into account the Guidelines described in paragraph 1.1and as far from the nearest land as possible, and in all cases at least

S 504/201721


50 nautical miles from the nearest land and in water at least 200 metres indepth.

2 In sea areas where the distance from the nearest land or the depth does notmeet the parameters described in paragraph 1.1 or 1.2, the port State maydesignate areas, in consultation with adjacent or other States, as appropriate,where a ship may conduct Ballast Water exchange, taking into account theGuidelines described in paragraph 1.1.

3 A ship shall not be required to deviate from its intended voyage, or delay thevoyage, in order to comply with any particular requirement of paragraph 1.

4 A ship conducting Ballast Water exchange shall not be required to complywith paragraphs 1 or 2, as appropriate, if the master reasonably decides thatsuch exchange would threaten the safety or stability of the ship, its crew, or itspassengers because of adverse weather, ship design or stress, equipmentfailure, or any other extraordinary condition.

5 When a ship is required to conduct Ballast Water exchange and does not do soin accordance with this regulation, the reasons shall be entered in the BallastWater record book.

Regulation B-5

Sediment Management for Ships

1 All ships shall remove and dispose of Sediments from spaces designated tocarry Ballast Water in accordance with the provisions of the ship’s BallastWater Management plan.

2 Ships described in regulation B-3.3 to B-3.5 should, without compromisingsafety or operational efficiency, be designed and constructed with a view tominimize the uptake and undesirable entrapment of Sediments, facilitateremoval of Sediments, and provide safe access to allow for Sediment removaland sampling, taking into account guidelines developed by the Organization.Ships described in regulation B-3.1 should, to the extent practicable, complywith this paragraph.

Regulation B-6

Duties of Officers and Crew

Officers and crew shall be familiar with their duties in the implementation ofBallast Water Management particular to the ship on which they serve and shall,appropriate to their duties, be familiar with the ship’s Ballast Water Managementplan.

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SECTION C — SPECIAL REQUIREMENTS IN CERTAIN AREAS

Regulation C-1

Additional Measures

1 If a Party, individually or jointly with other Parties, determines that measuresin addition to those in Section B are necessary to prevent, reduce, or eliminatethe transfer of Harmful Aquatic Organisms and Pathogens through ships’Ballast Water and Sediments, such Party or Parties may, consistent withinternational law, require ships to meet a specified standard or requirement.

2 Prior to establishing standards or requirements under paragraph 1, a Party orParties should consult with adjacent or other States that may be affected bysuch standards or requirements.

3 A Party or Parties intending to introduce additional measures in accordancewith paragraph 1 shall:

.1 take into account the Guidelines developed by the Organization.

.2 communicate their intention to establish additional measure(s) to theOrganization at least 6 months, except in emergency or epidemicsituations, prior to the projected date of implementation of themeasure(s). Such communication shall include:

.1 the precise co-ordinates where additional measure(s) is/areapplicable;

.2 the need and reasoning for the application of the additionalmeasure(s), including, whenever possible, benefits;

.3 a description of the additional measure(s); and

.4 any arrangements that may be provided to facilitate ships’compliance with the additional measure(s).

.3 to the extent required by customary international law as reflected in theUnited Nations Convention on the Law of the Sea, as appropriate, obtainthe approval of the Organization.

4 A Party or Parties, in introducing such additional measures, shall endeavour tomake available all appropriate services, which may include but are not limitedto notification to mariners of areas, available and alternative routes or ports, asfar as practicable, in order to ease the burden on the ship.

5 Any additional measures adopted by a Party or Parties shall not compromisethe safety and security of the ship and in any circumstances not conflict withany other convention with which the ship must comply.

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6 A Party or Parties introducing additional measures may waive these measuresfor a period of time or in specific circumstances as they deem fit.

Regulation C-2

Warnings Concerning Ballast Water Uptake inCertain Areas and Related Flag State Measures

1 A Party shall endeavour to notify mariners of areas under their jurisdictionwhere ships should not uptake Ballast Water due to known conditions. TheParty shall include in such notices the precise coordinates of the area or areas,and, where possible, the location of any alternative area or areas for the uptakeof Ballast Water. Warnings may be issued for areas:

.1 known to contain outbreaks, infestations, or populations of HarmfulAquatic Organisms and Pathogens (e.g., toxic algal blooms) which arelikely to be of relevance to Ballast Water uptake or discharge;

.2 near sewage outfalls; or

.3 where tidal flushing is poor or times during which a tidal stream is knownto be more turbid.

2 In addition to notifying mariners of areas in accordance with the provisions ofparagraph 1, a Party shall notify the Organization and any potentially affectedcoastal States of any areas identified in paragraph 1 and the time period suchwarning is likely to be in effect. The notice to the Organization and anypotentially affected coastal States shall include the precise coordinates of thearea or areas, and, where possible, the location of any alternative area or areasfor the uptake of Ballast Water. The notice shall include advice to shipsneeding to uptake Ballast Water in the area, describing arrangements made foralternative supplies. The Party shall also notify mariners, the Organization,and any potentially affected coastal States when a given warning is no longerapplicable.

Regulation C-3

Communication of Information

The Organization shall make available, through any appropriate means,information communicated to it under regulations C-1 and C‑2.

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SECTION D — STANDARDS FOR BALLASTWATER MANAGEMENT

Regulation D-1

Ballast Water Exchange Standard

1 Ships performing Ballast Water exchange in accordance with this regulationshall do so with an efficiency of at least 95 percent volumetric exchange ofBallast Water.

2 For ships exchanging Ballast Water by the pumping‑through method,pumping through three times the volume of each Ballast Water tank shallbe considered to meet the standard described in paragraph 1. Pumping throughless than three times the volume may be accepted provided the ship candemonstrate that at least 95 percent volumetric exchange is met.

Regulation D-2

Ballast Water Performance Standard

1 Ships conducting Ballast Water Management in accordance with thisregulation shall discharge less than 10 viable organisms per cubic metregreater than or equal to 50 micrometres in minimum dimension and less than10 viable organisms per millilitre less than 50 micrometres in minimumdimension and greater than or equal to 10 micrometres in minimumdimension; and discharge of the indicator microbes shall not exceed thespecified concentrations described in paragraph 2.

2 Indicator microbes, as a human health standard, shall include:

.1 Toxicogenic Vibrio cholerae (O1 and O139) with less than 1 colonyforming unit (cfu) per 100 millilitres or less than 1 cfu per 1 gram (wetweight) zooplankton samples;

.2 Escherichia coli less than 250 cfu per 100 millilitres;

.3 Intestinal Enterococci less than 100 cfu per 100 millilitres.

Regulation D-3

Approval requirements for Ballast Water Management systems

1 Except as specified in paragraph 2, Ballast Water Management systems usedto comply with this Convention must be approved by the Administrationtaking into account Guidelines developed by the Organization.

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2 Ballast Water Management systems which make use of Active Substances orpreparations containing one or more Active Substances to comply with thisConvention shall be approved by the Organization, based on a proceduredeveloped by the Organization. This procedure shall describe the approval andwithdrawal of approval of Active Substances and their proposed manner ofapplication. At withdrawal of approval, the use of the relevant ActiveSubstance or Substances shall be prohibited within 1 year after the date of suchwithdrawal.

3 Ballast Water Management systems used to comply with this Convention mustbe safe in terms of the ship, its equipment and the crew.

Regulation D-4

Prototype Ballast Water Treatment Technologies

1 For any ship that, prior to the date that the standard in regulation D-2 wouldotherwise become effective for it, participates in a programme approved by theAdministration to test and evaluate promising Ballast Water treatmenttechnologies, the standard in regulation D-2 shall not apply to that shipuntil five years from the date on which the ship would otherwise be required tocomply with such standard.

2 For any ship that, after the date on which the standard in regulation D-2 hasbecome effective for it, participates in a programme approved by theAdministration, taking into account Guidelines developed by theOrganization, to test and evaluate promising Ballast Water technologieswith the potential to result in treatment technologies achieving a standardhigher than that in regulation D-2, the standard in regulation D-2 shall cease toapply to that ship for five years from the date of installation of suchtechnology.

3 In establishing and carrying out any programme to test and evaluate promisingBallast Water technologies, Parties shall:

.1 take into account Guidelines developed by the Organization, and

.2 allow participation only by the minimum number of ships necessary toeffectively test such technologies.

4 Throughout the test and evaluation period, the treatment system must beoperated consistently and as designed.

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Regulation D-5

Review of Standards by the Organization

1 At a meeting of the Committee held no later than three years before the earliesteffective date of the standard set forth in regulation D-2, the Committee shallundertake a review which includes a determination of whether appropriatetechnologies are available to achieve the standard, an assessment of the criteriain paragraph 2, and an assessment of the socio‑economic effect(s) specificallyin relation to the developmental needs of developing countries, particularlysmall island developing States. The Committee shall also undertake periodicreviews, as appropriate, to examine the applicable requirements for shipsdescribed in regulation B-3.1 as well as any other aspect of Ballast WaterManagement addressed in this Annex, including any Guidelines developed bythe Organization.

2 Such reviews of appropriate technologies shall also take into account:

.1 safety considerations relating to the ship and the crew;

.2 environmental acceptability, i.e., not causing more or greaterenvironmental impacts than they solve;

.3 practicability, i.e., compatibility with ship design and operations;

.4 cost effectiveness, i.e., economics; and

.5 biological effectiveness in terms of removing, or otherwise rendering notviable, Harmful Aquatic Organisms and Pathogens in Ballast Water.

3 The Committee may form a group or groups to conduct the review(s)described in paragraph 1. The Committee shall determine the composition,terms of reference and specific issues to be addressed by any such groupformed. Such groups may develop and recommend proposals for amendmentof this Annex for consideration by the Parties. Only Parties may participate inthe formulation of recommendations and amendment decisions taken by theCommittee.

4 If, based on the reviews described in this regulation, the Parties decide to adoptamendments to this Annex, such amendments shall be adopted and enter intoforce in accordance with the procedures contained in Article 19 of thisConvention.

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SECTION E — SURVEYAND CERTIFICATION REQUIREMENTSFOR BALLAST WATER MANAGEMENT

Regulation E-1

Surveys

1 Ships of 400 gross tonnage and above to which this Convention applies,excluding floating platforms, FSUs and FPSOs, shall be subject to surveysspecified below:

.1 An initial survey before the ship is put in service or before the Certificaterequired under regulation E-2 or E-3 is issued for the first time. Thissurvey shall verify that the Ballast Water Management plan required byregulation B-1 and any associated structure, equipment, systems, fitting,arrangements and material or processes comply fully with therequirements of this Convention.

.2 A renewal survey at intervals specified by the Administration, but notexceeding five years, except where regulation E-5.2, E-5.5, E‑5.6, orE‑5.7 is applicable. This survey shall verify that the Ballast WaterManagement plan required by regulation B-1 and any associatedstructure, equipment, systems, fitting, arrangements and material orprocesses comply fully with the applicable requirements of thisConvention.

.3 An intermediate survey within three months before or after the secondAnniversary date or within three months before or after the thirdAnniversary date of the Certificate, which shall take the place of one ofthe annual surveys specified in paragraph 1.4. The intermediate surveysshall ensure that the equipment, associated systems and processes forBallast Water Management fully comply with the applicablerequirements of this Annex and are in good working order. Suchintermediate surveys shall be endorsed on the Certificate issued underregulation E-2 or E-3.

.4 An annual survey within three months before or after each Anniversarydate, including a general inspection of the structure, any equipment,systems, fittings, arrangements and material or processes associated withthe Ballast Water Management plan required by regulation B-1 to ensurethat they have been maintained in accordance with paragraph 9 andremain satisfactory for the service for which the ship is intended. Suchannual surveys shall be endorsed on the Certificate issued underregulation E-2 or E-3.

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.5 An additional survey either general or partial, according to thecircumstances, shall be made after a change, replacement, orsignificant repair of the structure, equipment, systems, fittings,arrangements and material necessary to achieve full compliance withthis Convention. The survey shall be such as to ensure that any suchchange, replacement, or significant repair has been effectively made, sothat the ship complies with the requirements of this Convention. Suchsurveys shall be endorsed on the Certificate issued under regulation E-2or E-3.

2 The Administration shall establish appropriate measures for ships that are notsubject to the provisions of paragraph 1 in order to ensure that the applicableprovisions of this Convention are complied with.

3 Surveys of ships for the purpose of enforcement of the provisions of thisConvention shall be carried out by officers of the Administration. TheAdministration may, however, entrust the surveys either to surveyorsnominated for the purpose or to organizations recognized by it.

4 An Administration nominating surveyors or recognizing organizations toconduct surveys, as described in paragraph 3 shall, as a minimum, empowersuch nominated surveyors or recognized organizations2 to:

.1 require a ship that they survey to comply with the provisions of thisConvention; and

.2 carry out surveys and inspections if requested by the appropriateauthorities of a port State that is a Party.

5 The Administration shall notify the Organization of the specificresponsibilities and conditions of the authority delegated to the nominatedsurveyors or recognized organizations, for circulation to Parties for theinformation of their officers.

6 When the Administration, a nominated surveyor, or a recognizedorganization determines that the ship’s Ballast Water Management doesnot conform to the particulars of the Certificate required under regulation E-2or E-3 or is such that the ship is not fit to proceed to sea without presenting athreat of harm to the environment, human health, property or resources suchsurveyor or organization shall immediately ensure that corrective action istaken to bring the ship into compliance. A surveyor or organization shall benotified immediately, and it shall ensure that the Certificate is not issued or iswithdrawn as appropriate. If the ship is in the port of another Party, the

2 Refer to the guidelines adopted by the Organization by resolution A.739(18), as may be amended by theOrganization, and the specifications adopted by the Organization by resolution A.789(19), as may be amended bythe Organization.

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appropriate authorities of the port State shall be notified immediately. Whenan officer of the Administration, a nominated surveyor, or a recognizedorganization has notified the appropriate authorities of the port State, theGovernment of the port State concerned shall give such officer, surveyor ororganization any necessary assistance to carry out their obligations under thisregulation, including any action described in Article 9.

7 Whenever an accident occurs to a ship or a defect is discovered whichsubstantially affects the ability of the ship to conduct Ballast WaterManagement in accordance with this Convention, the owner, operator orother person in charge of the ship shall report at the earliest opportunity to theAdministration, the recognized organization or the nominated surveyorresponsible for issuing the relevant Certificate, who shall causeinvestigations to be initiated to determine whether a survey as required byparagraph 1 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 theappropriate authorities of the port State and the nominated surveyor orrecognized organization shall ascertain that such report has been made.

8 In every case, the Administration concerned shall fully guarantee thecompleteness and efficiency of the survey and shall undertake to ensure thenecessary arrangements to satisfy this obligation.

9 The condition of the ship and its equipment, systems and processes shall bemaintained to conform with the provisions of this Convention to ensure thatthe ship in all respects will remain fit to proceed to sea without presenting athreat of harm to the environment, human health, property or resources.

10 After any survey of the ship under paragraph 1 has been completed, nochange shall be made in the structure, any equipment, fittings, arrangementsor material associated with the Ballast Water Management plan required byregulation B-1 and covered by the survey without the sanction of theAdministration, 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 applies isissued a Certificate after successful completion of a survey conducted inaccordance with regulation E-1. A Certificate issued under the authority of aParty shall be accepted by the other Parties and regarded for all purposescovered by this Convention as having the same validity as a Certificate issuedby them.

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2 Certificates shall be issued or endorsed either by the Administration or by anyperson or organization duly authorized by it. In every case, the Administrationassumes 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 besurveyed and, if satisfied that the provisions of this Convention are compliedwith, shall issue or authorize the issuance of a Certificate to the ship, andwhere appropriate, endorse or authorize the endorsement of that Certificate onthe ship, in accordance with this Annex.

2 A copy of the Certificate and a copy of the survey report shall be transmitted assoon as possible to the requesting Administration.

3 A Certificate so issued shall contain a statement to the effect that it has beenissued at the request of the Administration and it shall have the same force andreceive 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 isnot a Party.

Regulation E-4

Form of the Certificate

The Certificate shall be drawn up in the official language of the issuing Party, inthe form set forth in Appendix I. If the language used is neither English, Frenchnor 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 thatshall not exceed five years.

2 For renewal surveys:

.1 Notwithstanding the requirements of paragraph 1, when the renewalsurvey is completed within three months before the expiry date of theexisting Certificate, the new Certificate shall be valid from the date ofcompletion of the renewal survey to a date not exceeding five years fromthe date of expiry of the existing Certificate.

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.2 When the renewal survey is completed after the expiry date of the existingCertificate, the new Certificate shall be valid from the date of completionof the renewal survey to a date not exceeding five years from the date ofexpiry of the existing Certificate.

.3 When the renewal survey is completed more than three months before theexpiry date of the existing Certificate, the new Certificate shall be validfrom the date of completion of the renewal survey to a date not exceedingfive years from the date of completion of the renewal survey.

3 If a Certificate is issued for a period of less than five years, the Administrationmay extend the validity of the Certificate beyond the expiry date to themaximum period specified in paragraph 1, provided that the surveys referredto in regulation E-1.1.3 applicable when a Certificate is issued for a period offive years are carried out as appropriate.

4 If a renewal survey has been completed and a new Certificate cannot be issuedor placed on board the ship before the expiry date of the existing Certificate,the person or organization authorized by the Administration may endorse theexisting Certificate and such a Certificate shall be accepted as valid for afurther 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 tobe surveyed, the Administration may extend the period of validity of theCertificate but this extension shall be granted only for the purpose of allowingthe ship to complete its voyage to the port in which it is to be surveyed, andthen only in cases where it appears proper and reasonable to do so. NoCertificate shall be extended for a period longer than three months, and a shipto which such extension is granted shall not, on its arrival in the port in whichit is to be surveyed, be entitled by virtue of such extension to leave that portwithout having a new Certificate. When the renewal survey is completed, thenew Certificate shall be valid to a date not exceeding five years from the dateof expiry of the existing Certificate before the extension was granted.

6 A Certificate issued to a ship engaged on short voyages which has not beenextended under the foregoing provisions of this regulation may be extended bythe Administration for a period of grace of up to one month from the date ofexpiry stated on it. When the renewal survey is completed, the new Certificateshall be valid to a date not exceeding five years from the date of expiry of theexisting Certificate before the extension was granted.

7 In special circumstances, as determined by the Administration, a newCertificate need not be dated from the date of expiry of the existingCertificate as required by paragraph 2.2, 5 or 6 of this regulation. In these

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special circumstances, the new Certificate shall be valid to a date notexceeding 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,then:

.1 the Anniversary date shown on the Certificate shall be amended byendorsement to a date which shall not be more than three months laterthan the date on which the survey was completed;

.2 the subsequent annual or intermediate survey required by regulation E-1shall be completed at the intervals prescribed by that regulation using thenew Anniversary date;

.3 the expiry date may remain unchanged provided one or more annualsurveys, as appropriate, are carried out so that the maximum intervalsbetween the surveys prescribed by regulation E-1 are not exceeded.

9 A Certificate issued under regulation E-2 or E-3 shall cease to be valid in anyof the following cases:

.1 if the structure, equipment, systems, fittings, arrangements and materialnecessary to comply fully with this Convention is changed, replaced orsignificantly repaired and the Certificate is not endorsed in accordancewith this Annex;

.2 upon transfer of the ship to the flag of another State. A new Certificateshall only be issued when the Party issuing the new Certificate is fullysatisfied that the ship is in compliance with the requirements ofregulation E-1. In the case of a transfer between Parties, if requestedwithin three months after the transfer has taken place, the Party whose flagthe ship was formerly entitled to fly shall, as soon as possible, transmit tothe Administration copies of the Certificates carried by the ship before thetransfer and, if available, copies of the relevant survey reports;

.3 if the relevant surveys are not completed within the periods specifiedunder regulation E-1.1; or

.4 if the Certificate is not endorsed in accordance with regulation E‑1.1.

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APPENDIX I

FORM OF INTERNATIONAL BALLASTWATER MANAGEMENT CERTIFICATE

INTERNATIONAL BALLAST WATER MANAGEMENT CERTIFICATE

Issued under the provisions of the International Convention for the Control andManagement of Ships’ Ballast Water and Sediments (hereinafter referred to as“the Convention”) under the authority of the Government of

..............................................................................................................................(full designation of the country)

by ..........................................................................................................................(full designation of the competent person ororganization authorized under the provisions

of the Convention)

Particulars of ship1

Name of ship .....................................................................................................

Distinctive number or letters .............................................................................

Port of registry ....................................................................................................

Gross Tonnage ...................................................................................................

IMO number2 .....................................................................................................

Date of construction ...........................................................................................

Ballast Water Capacity (in cubic metres) ..........................................................

Details of Ballast Water Management Method(s) Used

Method of Ballast Water Management used ........................................................

Date installed (if applicable) ..............................................................................

Name of manufacturer (if applicable) .................................................................

1 Alternatively, the particulars of the ship may be placed horizontally in boxes.

2 IMO Ship Identification Number Scheme adopted by the Organization by resolution A.600(15).

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The principal Ballast Water Management method(s) employed on this ship is/are:

□ in accordance with regulation D-1

□ in accordance with regulation D-2(describe) .....................................................................................................

□ the ship is subject to regulation D-4

THIS IS TO CERTIFY:

1 That the ship has been surveyed in accordance with regulation E-1 of theAnnex to the Convention; and

2 That the survey shows that Ballast Water Management on the ship complieswith the Annex to the Convention.

This certificate is valid until ................................. subject to surveys inaccordance with regulation E-1 of the Annex to the Convention.

Completion date of the survey on which this certificate is based: dd/mm/yyyy

Issued at .................................................................................................................(Place of issue of certificate)

........................(Date of issue)

.....................................................(Signature of authorized official

issuing the certificate)

(Seal or stamp of the authority, as appropriate)

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ENDORSEMENT FOR ANNUAL AND INTERMEDIATE SURVEY(S)

THIS IS TO CERTIFY that a survey required by regulation E-1 of the Annex tothe Convention the ship was found to comply with the relevant provisions of theConvention:

Annual survey: Signed..................................................................(Signature of duly authorized official)

Place....................................................................

Date.....................................................................


Annual*/Intermediate survey*: Signed.................................................................(Signature of duly authorized official)

Place....................................................................

Date.....................................................................


Annual*/Intermediate survey*: Signed.................................................................(Signature of duly authorized official)

Place....................................................................

Date.....................................................................


Annual survey: Signed.................................................................(Signature of duly authorized official)

Place....................................................................

Date.....................................................................


* Delete as appropriate.

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ANNUAL/INTERMEDIATE SURVEYIN ACCORDANCE WITH REGULATION E-5.8.3

THIS IS TOCERTIFY that, at an annual/intermediate* survey in accordance withregulation E-5.8.3 of the Annex to the Convention, the ship was found to complywith the relevant provisions of the Convention:

Signed............................................................(Signature of authorized official)

Place..............................................................

Date...............................................................


ENDORSEMENT TO EXTEND THE CERTIFICATE IF VALIDFOR LESS THAN 5 YEARS WHERE REGULATION E-5.3 APPLIES

The ship complies with the relevant provisions of the Convention, and thisCertificate shall, in accordance with regulation E-5.3 of the Annex to theConvention, be accepted as valid until...........................


Place..............................................................

Date...............................................................


ENDORSEMENT WHERE THE RENEWAL SURVEY HAS BEENCOMPLETED AND REGULATION E-5.4 APPLIES

The ship complies with the relevant provisions of the Convention, and thisCertificate shall, in accordance with regulation E-5.4 of the Annex to theConvention, be accepted as valid until...........................


Place..............................................................

Date...............................................................



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ENDORSEMENT TO EXTEND THE VALIDITY OF THE CERTIFICATEUNTIL REACHING THE PORT OF SURVEY OR FOR A PERIODOF GRACE WHERE REGULATION E-5.5 OR E-5.6 APPLIES

This Certificate shall, in accordance with regulation E-5.5 or E-5.6* of the Annexto the Convention, be accepted as valid until .......................


Place..............................................................

Date...............................................................


ENDORSEMENT FOR ADVANCEMENT OF ANNIVERSARY DATEWHERE REGULATION E-5.8 APPLIES

In accordance with regulation E-5.8 of the Annex to the Convention the newAnniversary date is ................


Place..............................................................

Date...............................................................


In accordance with regulation E-5.8 of the Annex to the Convention the newAnniversary date is ................


Place..............................................................

Date...............................................................




APPENDIX II

FORM OF BALLAST WATER RECORD BOOK

INTERNATIONAL CONVENTION FOR THE CONTROL ANDMANAGEMENT OF SHIPS’ BALLAST WATER AND SEDIMENTS

Period From: ........... To: ............

Name of Ship ........................................................................................................

IMO number ..........................................................................................................

Gross tonnage .......................................................................................................

Flag .......................................................................................................................

Total Ballast Water capacity (in cubic metres) .....................................................

The ship is provided with a Ballast Water Management plan □Diagram of ship indicating ballast tanks:

1 Introduction

In accordance with regulation B-2 of the Annex to the International Conventionfor the Control and Management of Ships’ Ballast Water and Sediments, a recordis to be kept of each Ballast Water operation. This includes discharges at sea andto reception facilities.

2 Ballast Water and Ballast Water Management

“Ballast Water” means water with its suspended matter taken on board a ship tocontrol trim, list, draught, stability, or stresses of a ship. Management of BallastWater shall be in accordance with an approved Ballast Water Management planand taking into account Guidelines3 developed by the Organization.

3 Refer to the Guidelines for the control andmanagement of ships’ ballast water to minimize the transfer of harmfulaquatic organisms and pathogens adopted by the Organization by resolution A.868(20).

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3 Entries in the Ballast Water Record Book

Entries in the Ballast Water record book shall be made on each of the followingoccasions:

3.1 When Ballast Water is taken on board:

.1 Date, time and location port or facility of uptake (port or lat/long),depth if outside port

.2 Estimated volume of uptake in cubic metres

.3 Signature of the officer in charge of the operation.

3.2 Whenever Ballast Water is circulated or treated for Ballast WaterManagement purposes:

.1 Date and time of operation

.2 Estimated volume circulated or treated (in cubic metres)

.3 Whether conducted in accordance with the Ballast WaterManagement plan

.4 Signature of the officer in charge of the operation

3.3 When Ballast Water is discharged into the sea:

.1 Date, time and location port or facility of discharge (port or lat/long)

.2 Estimated volume discharged in cubic metres plus remainingvolume in cubic metres

.3 Whether approved Ballast Water Management plan had beenimplemented prior to discharge

.4 Signature of the officer in charge of the operation.

3.4 When Ballast Water is discharged to a reception facility:

.1 Date, time, and location of uptake

.2 Date, time, and location of discharge

.3 Port or facility

.4 Estimated volume discharged or taken up, in cubic metres


.6 Signature of officer in charge of the operation

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3.5 Accidental or other exceptional uptake or discharges of Ballast Water:

.1 Date and time of occurrence

.2 Port or position of the ship at time of occurrence

.3 Estimated volume of Ballast Water discharged

.4 Circumstances of uptake, discharge, escape or loss, the reasontherefore and general remarks.


.6 Signature of officer in charge of the operation

3.6 Additional operational procedure and general remarks

4 Volume of Ballast Water

The volume of Ballast Water onboard should be estimated in cubic metres. TheBallast Water record book contains many references to estimated volume ofBallast Water. It is recognized that the accuracy of estimating volumes of ballast isleft to interpretation.

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RECORD OF BALLAST WATER OPERATIONS

SAMPLE BALLAST WATER RECORD BOOK PAGE

Name of Ship: ........................................................................................................

Distinctive number or letters ................................................................................

Date Item(number)

Record of operations/signature of officers in charge

. . Signature of master ......................................

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SECOND SCHEDULE

Regulations 3(1)(b) and (2), 4(5), (6)(a)and (b), 5(2), 6(2), 7(2), 8(1) and (2)

and 16(6)

Regulation B-3

Ballast Water Management for Ships

1 A ship constructed before 2009:

.1 with a ballast water capacity of between 1,500 and 5,000 cubic metres,inclusive, shall conduct ballast water management that at least meets thestandard described in regulation D-1 or regulation D-2 until the renewalsurvey described in paragraph 10, after which time it shall at least meetthe standard described in regulation D-2;

.2 with a ballast water capacity of less than 1,500 or greater than5,000 cubic metres shall conduct ballast water management that atleast meets the standard described in regulation D-1 or regulation D‑2until the renewal survey described in paragraph 10 after which time itshall at least meet the standard described in regulation D-2.

2 A ship constructed in or after 2009 and before 8 September 2017 with aballast water capacity of less than 5,000 cubic metres shall conduct ballastwater management that at least meets the standard described inregulation D‑2 from the date of the renewal survey described inparagraph 10.

3 A ship constructed in or after 2009, but before 2012, with a ballast watercapacity of 5,000 cubic metres or more shall conduct ballast watermanagement in accordance with paragraph 1.2.

4 A ship constructed in or after 2012 and before 8 September 2017 with aballast water capacity of 5,000 cubic metres or more shall conduct ballastwater management that at least meets the standard described inregulation D‑2 from the date of the renewal survey described inparagraph 10.

5 A ship constructed on or after 8 September 2017 shall conduct ballast watermanagement that at least meets the standard described in regulation D‑2.

6 The requirements of this regulation do not apply to ships that dischargeballast water to a reception facility designed taking into account theGuidelines developed by the Organization for such facilities.

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7 Other methods of ballast water management may also be accepted asalternatives to the requirements described in paragraphs 1 to 5 andparagraph 8, provided that such methods ensure at least the same level ofprotection to the environment, human health, property or resources, and areapproved in principle by the Committee.

8 A ship constructed before 8 September 2017 to which the renewal surveydescribed in paragraph 10 does not apply, shall conduct ballast watermanagement that at least meets the standard described in regulation D-2 fromthe date decided by the Administration, but not later than 8 September 2024.

9 A ship subject to paragraphs 2, 4 or 8 will be required to comply with eitherregulation D-1 or regulation D-2, until such time as it is required to complywith regulation D-2.

10 Notwithstanding regulation E-1.1.2, the renewal survey referred to inparagraph 1.1, 1.2, 2 or 4 is:

.1 the first renewal survey as determined by the Committee following thedate of entry into force of the Ballast Water Management Convention if:

.1 this survey is completed on or after 8 September 2019; or

.2 a renewal survey is completed on or after 8 September 2014 butprior to 8 September 2017; and

.2 the second renewal survey as determined by the Committee followingthe date of entry into force of the Ballast Water Management Conventionif the first renewal survey following the date of entry into force of theBallast Water Management Convention is completed prior to8 September 2019, provided that the conditions of paragraph 10.1.2are not met.

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THIRD SCHEDULE

Regulations 3(1)(b) and (2), 4(1), (2),(3) and (6)(c), 9, 10(2) and (3), 13(1)(b),14(2)(a), (5)(c)(ii) and (8)(b), 15(1)(b)

and 16(1)(d) and (2)

Regulation E-1

Surveys

1 Ships of 400 gross tonnage and above to which this Convention applies,excluding floating platforms, FSUs and FPSOs, shall be subject to surveysspecified below:

.1 An initial survey before the ship is put in service or before the Certificaterequired under regulation E-2 or E-3 is issued for the first time. Thissurvey shall verify that the Ballast Water Management plan required byregulation B-1 and any associated structure, equipment, systems, fitting,arrangements and material or processes comply fully with therequirements of this Convention.

.2 A renewal survey at intervals specified by the Administration, but notexceeding five years, except where regulation E-5.2, E‑5.5, E‑5.6, orE‑5.7 is applicable. This survey shall verify that the Ballast WaterManagement plan required by regulation B-1 and any associatedstructure, equipment, systems, fitting, arrangements and material orprocesses comply fully with the applicable requirements of thisConvention.

.3 An intermediate survey within three months before or after the secondAnniversary date or within three months before or after the thirdAnniversary date of the Certificate, which shall take the place of one ofthe annual surveys specified in paragraph 1.4. The intermediate surveysshall ensure that the equipment, associated systems and processes forBallast Water Management fully comply with the applicablerequirements of this Annex and are in good working order. Suchintermediate surveys shall be endorsed on the Certificate issued underregulation E-2 or E-3.

.4 An annual survey within three months before or after each Anniversarydate, including a general inspection of the structure, any equipment,systems, fittings, arrangements and material or processes associated withthe Ballast Water Management plan required by regulation B-1 to ensurethat they have been maintained in accordance with paragraph 9 andremain satisfactory for the service for which the ship is intended. Suchannual surveys shall be endorsed on the Certificate issued underregulation E-2 or E-3.

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.5 An additional survey, either general or partial, according to thecircumstances, shall be made after a change, replacement, orsignificant repair of the structure, equipment, systems, fittings,arrangements and material necessary to achieve full compliance withthis Convention. The survey shall be such as to ensure that any suchchange, replacement, or significant repair has been effectively made, sothat the ship complies with the requirements of this Convention.

2 The Administration shall establish appropriate measures for ships that are notsubject to the provisions of paragraph 1 in order to ensure that the applicableprovisions of this Convention are complied with.

3 Surveys of ships for the purpose of enforcement of the provisions of thisConvention shall be carried out by officers of the Administration. TheAdministration may, however, entrust the surveys either to surveyorsnominated for the purpose or to organizations recognized by it.

4 An Administration nominating surveyors or recognizing organizations toconduct surveys, as described in paragraph 3 shall, as a minimum, empowersuch nominated surveyors or recognized organizations to:

.1 require a ship that they survey to comply with the provisions of thisConvention; and

.2 carry out surveys and inspections if requested by the appropriateauthorities of a port State that is a Party.

5 The Administration shall notify the Organization of the specificresponsibilities and conditions of the authority delegated to the nominatedsurveyors or recognized organizations, for circulation to Parties for theinformation of their officers.

6 When the Administration, a nominated surveyor, or a recognizedorganization determines that the ship’s Ballast Water Management doesnot conform to the particulars of the Certificate required under regulation E-2or E-3 or is such that the ship is not fit to proceed to sea without presenting athreat of harm to the environment, human health, property or resources, suchsurveyor or organization shall immediately ensure that corrective action istaken to bring the ship into compliance. A surveyor or organization shall benotified immediately, and it shall ensure that the Certificate is not issued or iswithdrawn as appropriate. If the ship is in the port of another Party, theappropriate authorities of the port State shall be notified immediately. Whenan officer of the Administration, a nominated surveyor, or a recognizedorganization has notified the appropriate authorities of the port State, theGovernment of the port State concerned shall give such officer, surveyor or

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organization any necessary assistance to carry out their obligations under thisregulation, including any action described in Article 9.

7 Whenever an accident occurs to a ship or a defect is discovered whichsubstantially affects the ability of the ship to conduct Ballast WaterManagement in accordance with this Convention, the owner, operator orother person in charge of the ship shall report at the earliest opportunity to theAdministration, the recognized organization or the nominated surveyorresponsible for issuing the relevant Certificate, who shall causeinvestigations to be initiated to determine whether a survey as required byparagraph 1 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 theappropriate authorities of the port State and the nominated surveyor orrecognized organization shall ascertain that such report has been made.

8 In every case, the Administration concerned shall fully guarantee thecompleteness and efficiency of the survey and shall undertake to ensure thenecessary arrangements to satisfy this obligation.

9 The condition of the ship and its equipment, systems and processes shall bemaintained to conform with the provisions of this Convention to ensure thatthe ship in all respects will remain fit to proceed to sea without presenting athreat of harm to the environment, human health, property or resources.

10 After any survey of the ship under paragraph 1 has been completed, nochange shall be made in the structure, any equipment, fittings, arrangementsor material associated with the Ballast Water Management plan required byregulation B-1 and covered by the survey without the sanction of theAdministration, except the direct replacement of such equipment or fittings.

Regulation E-5

Duration and Validity of the Certificate

1 A Certificate shall be issued for a period specified by the Administration thatshall not exceed five years.

2 For renewal surveys:

.1 Notwithstanding the requirements of paragraph 1, when the renewalsurvey is completed within three months before the expiry date of theexisting Certificate, the new Certificate shall be valid from the date ofcompletion of the renewal survey to a date not exceeding five years fromthe date of expiry of the existing Certificate.

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.2 When the renewal survey is completed after the expiry date of the existingCertificate, the new Certificate shall be valid from the date of completionof the renewal survey to a date not exceeding five years from the date ofexpiry of the existing Certificate.

.3 When the renewal survey is completed more than three months before theexpiry date of the existing Certificate, the new Certificate shall be validfrom the date of completion of the renewal survey to a date not exceedingfive years from the date of completion of the renewal survey.

3 If a Certificate is issued for a period of less than five years, the Administrationmay extend the validity of the Certificate beyond the expiry date to themaximum period specified in paragraph 1, provided that the surveys referredto in regulation E-1.1.3 applicable when a Certificate is issued for a period offive years are carried out as appropriate.

4 If a renewal survey has been completed and a new Certificate cannot be issuedor placed on board the ship before the expiry date of the existing Certificate,the person or organization authorized by the Administration may endorse theexisting Certificate and such a Certificate shall be accepted as valid for afurther 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 tobe surveyed, the Administration may extend the period of validity of theCertificate, but this extension shall be granted only for the purpose of allowingthe ship to complete its voyage to the port in which it is to be surveyed, andthen only in cases where it appears proper and reasonable to do so. NoCertificate shall be extended for a period longer than three months, and a shipto which such extension is granted shall not, on its arrival in the port in whichit is to be surveyed, be entitled by virtue of such extension to leave that portwithout having a new Certificate. When the renewal survey is completed, thenew Certificate shall be valid to a date not exceeding five years from the dateof expiry of the existing Certificate before the extension was granted.

6 A Certificate issued to a ship engaged on short voyages which has not beenextended under the foregoing provisions of this regulation may be extended bythe Administration for a period of grace of up to one month from the date ofexpiry stated on it. When the renewal survey is completed, the new Certificateshall be valid to a date not exceeding five years from the date of expiry of theexisting Certificate before the extension was granted.

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7 In special circumstances, as determined by the Administration, a newCertificate need not be dated from the date of expiry of the existingCertificate as required by paragraph 2.2, 5 or 6 of this regulation. In thesespecial circumstances, the new Certificate shall be valid to a date notexceeding five years from the date of completion of the renewal survey.

8 If an annual or intermediate survey(s) is completed before the period specifiedin regulation E-1, then:

.1 the Anniversary date shown on the Certificate shall be amended byendorsement to a date which shall not be more than three months laterthan the date on which the survey was completed;

.2 the subsequent annual or intermediate survey required by regulation E-1shall be completed at the intervals prescribed by that regulation using thenew Anniversary date;

.3 the expiry date may remain unchanged provided one or more annual orintermediate surveys, as appropriate, are carried out so that the maximumintervals between the surveys prescribed by regulation E-1 are notexceeded.

9 A Certificate issued under regulation E-2 or E-3 shall cease to be valid in anyof the following cases:

.1 upon transfer of the ship to the flag of another State. A new Certificateshall only be issued when the Party issuing the new Certificate is fullysatisfied that the ship is in compliance with the requirements ofregulation E-1. In the case of a transfer between Parties, if requestedwithin three months after the transfer has taken place, the Party whose flagthe ship was formerly entitled to fly shall, as soon as possible, transmit tothe Administration copies of the Certificates carried by the ship before thetransfer and, if available, copies of the relevant survey reports;

.2 if the relevant surveys are not completed within the periods specifiedunder regulation E-1.1; or

.3 if the Certificate is not endorsed in accordance with regulation E‑1.1.

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Regulation 17

FEES

First column . Second column

1. Conducting — . .

(a) review of plans, drawings, records, manuals,specifications, calculations, arrangementsand details of ballast water managementsystems, materials, machinery, equipment,and processing of applications forexemption, for IBWM Certificates andextension of certificates, and for ballastwater management plans:

(i) per hour or part thereof; $100

(ii) transport for each visit by the inspectorwithin Singapore, if required;

$40

(b) inspection or survey (initial, annual,intermediate, renewal and additional) fullor partial, conducted in Singapore duringoffice hours:


(ii) transport for each visit by the inspectorwithin Singapore, if required;

$40

(c) type approval of ballast water managementsystems conducted within Singapore (inaddition to the fee prescribed under item 6):


(ii) transport for each visit by the inspectorwithin Singapore, if required; or

$40

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(d) type approval of ballast water managementsystems conducted abroad (in addition to thefee prescribed under item 6):

(i) first 24 hours or part thereof duringwhich the inspector is absent fromSingapore on account of such typeapproval;

$1,000

(ii) each subsequent hour or part thereofafter the first 24 hours, subject to amaximum charge of $1,000 for eachperiod of 24 hours;

$100

(iii) travelling, taxation, fee for a visa ifrequired and any expenses incurredarising from the type approval abroad;

Actual cost

(iv) board, lodging, insurance coverageand reasonable subsistence for theinspector

Sum to be determinedby the Director inaccordance withGovernmentInstruction Manual

2. Inspection or survey (initial, annual, intermediate,renewal and additional) full or partial conducted inSingapore outside office hours:

(a) first hour or part thereof; $200

(b) each additional 30 minutes or part thereof; $100

(c) transport for each visit by the inspectorwithin Singapore, if required

$40

3. Inspection or survey (initial, annual, intermediate,renewal and additional) full or partial conductedabroad:

(a) first 24 hours or part thereof during whichthe inspector is absent from Singapore onaccount of such survey or inspection;

$1,000

(b) each subsequent hour or part thereof after thefirst 24 hours, subject to a maximum chargeof $1,000 for each period of 24 hours;

$100

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(c) travelling, taxation, fee for a visa if requiredand any expenses incurred arising from thesurvey or inspection abroad;

Actual cost

(d) board, lodging, insurance coverage andreasonable subsistence for the inspector

Sum to be determinedby the Director inaccordance withGovernmentInstruction Manual

4. Issue of an IBWM Certificate or report, or a newcertificate on strength of an existing certificate

$65

5. Amendment of any particulars on any IBWMCertificate or Type Approval Certificate (if anyinspection or survey is required, charges inaccordance with item 1 shall be added)

$14

6. Issue of a Type Approval Certificate on strength ofcertificate/report issued by other Contracting Party(per ballast water management system)

$180

Made on 7 September 2017.

NIAM CHIANG MENGChairman,

Maritime and Port Authority ofSingapore.

[MPA 46/06.C13.V03/LSK; AG/LLRD/SL/243/2010/8 Vol. 1]

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