1. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch IMO Ballast Water Convention Diplomatic Conference Feb. 2004 This presentation was compiled by Stephan Gollasch and does not necessarily reflect the views of the German Delegation at IMO.

2. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch Diplomatic Conference The conference was held 9-13. Feb. 2004 With 74 IMO Member Countries, EC, 18 NGOs, > 500 participants In total 35 Submissions (BWM/CONF/1-35) and 7 INF-Papers (BWM/CONF/INF/1-7) were submitted The convention was signed on Friday, the 13th (!) of Feb. 2004 by 67 IMO Member Countries

3. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch Submissions BWM/CONF/1-35: –IMO Sekretariat –AWES (Association of European Shipbuilders and Shiprepairers) –ICS (International Chamber of Shipping) –UN DOALOS (Division for Ocean Affairs and the Law of the Sea) –WHO (World Health Organization) –Brazil, Columbia, Croatia, Croatia-Italy-Slovenia, Denmark, Germany, Japan, Mexico, Netherlands, Norway, United Kingdom and USA INF-Papers 1-7: –ICES (ICES/IOC/IMO WGBOSV) –Brazil, Japan, Netherlands and United Kingdom

4. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch Convention The Convention consists of Articles 1-22 (13 pages) with the following Annexes: –Regulations A-1 to E-5 (15 pages) –Appendix I Form of International BWM Certificate –Appendix II Ballast Water Record Book

5. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch Highlights Article 3 Application / This Ballast Water Manage- ment Convention (BWMC) shall not apply to: –ships not designed to carry ballast water (BW) –ships which only operate in waters of one Party, unless the Party determines that BW discharge would damage the environment, human health etc. –ships which only operate in waters of one Party and the high seas –warships, naval auxiliary and others used only in governmental non-commercial service –permanent BW in sealed tanks, not subject to discharge

6. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch Highlights Article 5 Sediment Reception Facilities –where cleaning and repair of BW tanks occurs –discharge to reception facilities should not cause delays –sediments disposal should not damage the environment Article 6 Scientific and Technical Research –Parties shall endeavour to promote, facilitate and monitor research on BW Management (BWM) –including onboard sampling, analysis of the effectiveness and adverse effects of BWM methods Article 7 Survey and Certification –Each party shall survey and certifiy its ships

7. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch Highlights Article 8 Violations –Any violation within the jurisdiction of a Party shall be prohibited and sanctions shall be established. Sanctions shall be adequate in severity to discourage violations Article 9 Inspections of Ships –in any port or offshore terminal of a Party to determine whether the ship is in compliance with this Convention (including inspection of BW record book, validity of Certificate and BW sampling -> no delay) –ships without valid certificate -> detailed inspection. No BW discharge until proven harmless

8. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch Highlights Article 13 Technical Assistance, Co-operation and Regional Co-operation –train personnel, availability of technology, equipment and facilities, joint research, implementation of BWMC Article 14 Communication of Information –Each Party or ship shall report to IMO on BWM requirements and on availability of reception facilities Article 18 Entry into Force –12 months after 30 States with 35% of the worlds gross tonnage have ratified the convention

9. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch Regulations Section A - General Provisions Section B - Management and Control Requirements for Ships Section C - Special Requirements in Certain Areas Section D - Standards for Ballast Water Management Section E - Survey and Certification Requirements for Ballast Water Management

10. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch Regulations, Section A Regulation A-3 Exceptions Requirements of regulation B-3 shall not apply to: –uptake or discharge to ensure safety in emergency situations –accidental discharge resulting from damage –uptake and discharge when used to avoid pollution incidents –uptake and discharge on high seas of the same BW –discharge from BW at the same location where the whole of that BW originated (no mixing with unmanaged BW)

11. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch Regulations, Section A Regulation A-4 Exemptions Exemptions to B-3 or C-1 may be granted: –for ships on voyages between specified ports or locations –according to risk assessment developed by IMO –but exemptions shall not damage the environment of adjacent or other states Regulation A-5 Equivalent Compliance according to Guidelines developed by IMO for: –pleasure craft (recreation, competition, search and rescue) less than 50 m with max. BW capacity of 8 m³

12. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch Regulations, Section B Regulation B-4 Ballast Water Exchange BWE should be undertaken: –200 nm and 200 m depth*, or if not possible –50 nm and 200 m depth*, or if not possible –in areas designated by the Port State* * neither deviation nor delay of the ship –BWE should only be undertaken when safety of the ship is guaranteed

13. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch Regulations, Section C Regulation C-1 Additional Measures (to Section B) Additional measures can be undertaken by: –a Party or jointly with other Parties –when consistent with international law –in consultation with adjacent or other states Regulation C-2 Warnings concerning BW uptake... (BW uptake should be avoided): –in cases of outbreakes of harmful aquatic organisms, –near sewage outfalls, and –in cases of poor tidal flushing

14. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch Regulations, Section D Regulation D-1 BWE Standard –at least 95% volumetric exchange –pump through method - three times. Less than three times accepted when ship demonstrates that at least 95% volumetric exchange is met Regulation D-2 BW Performance Standard –< 10 viable organisms ≥ 50 µm minimum size per m³, and –< 10 viable organisms < 50 µm and ≥ 10 µm minimum size per ml, –discharge of indicator microbes: Vibrio cholerae less than 1 cfu per 100 ml or 1 gr zooplankton E. coli less than 250 cfu per 100 ml Enterococci less than 100 cfu per 100 ml

15. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch Regulations, Section B Regulation B-3 Ballast Water Management D1/D2 D2 D1/D2 D2 Reg. D-5 Review of Standards by IMO prior 1. Jan. 2006

16. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch Regulations, Section D Regultion D-3 Approval Requirements for BWM Systems: –mechanical, physical, biological (fungi & viruses) and systems using active substances (chemical treatment) must be approved by IMO (guidelines to be developed) –systems must be safe for ship, equipment and crew Regulation D-4 Prototype BWT Technologies –for ships having installed BWT systems to test and evaluate promising BWT systems prior to date required in D-2, standards in D-2 shall not apply until 5 years from the date on which the ship should otherwise be required to comply with D-2. Needs approval by IMO

17. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch Regulations, Section D Regulation D-5 Review of Standards by IMO –review to assess best available technology –prior 1. Jan. 2006 –review considering in addition: safety and environmental aspects, practicability, cost, and biological effectiveness

18. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch Regulations, Section E Regulation E-1 Surveys –for ships of 400 gross tonnage and above –verification of BWM plan and equipment initial survey before ship put in service renewal survey not exceeding five years intermediate surveys additional survey after change, replacements or significant repair

19. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch BWMC Appendix I Form of International BWM Certificate –name of ship, port of registry etc. –details of BWM used (installation date, manufacturer) –principal BWM method employed according to Regulation D-1, D-2, prototype testing Documentation of Annual / Intermediate Surveys according to Section E

20. Highlights of IMO Ballast Water Management Convention, Dr. Stephan Gollasch BWMC Appendix II Ballast Water Record Book Dokumentation: –of BW uptake (date, time, port or lat/long, volume) –if BW is circulated or treated for BWM purposes –of BW discharge into the sea and reception facilities –of accidental or other exceptional uptake or discharge of BW