1. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Ballast Water Management Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry The role of the ship owner and the responsibilities Tim Wilkins Environmental Manager INTERTANKO London Office

2. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Role of the Shipping Industry Overview Guidelines Unravelling the International Ballast Water Convention in 16 easy steps! Treatment Technology A matter of timing and confidence, but for who? State Awareness Shipping Awareness of the State of National legislation! Shipping Industry ResponsibilityThe Issues to be Discussed Compliance 2

3. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 International Ballast Water Management Certificate – Appendix I Ballast Water Management Plan – INTERTANKO/ICS and IMO Guideline Ballast Water Record Book – Appendix II Officers and Crew to be able to understand requirements (training) Ballast Water Management reporting – national only Surveys – initial, renewal (5 yr), intermediate, annual, additional PSC Sampling – undue delay / clear grounds? Compliance Role of the Shipping Industry Overview 3

4. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Role of the Shipping Industry Guidelines Unravelling the International Ballast Water Convention in 16 easy steps…

5. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Role of the Shipping Industry Guidelines Guidelines for sediments reception facilities Guidelines for Ballast Water Sampling Guidelines for ballast water management equivalent compliance Guidelines for Ballast Water Management and Development of Ballast Water Management Plans Guidelines for ballast water reception facilities Guidelines for Ballast Water Exchange Guidelines for Risk Assessment under Regulation A-4 Guidelines for approval of Ballast Water Management Systems Procedure for Approval of Ballast Water Management Systems that make use of Active Substances Guidelines for approval and oversight of prototype ballast water treatment technology programmes Guidelines for Ballast Water Exchange Design and Construction Standards Guidelines for sediment control on ships Guidelines for additional measures including emergency situations Guidelines on designation of areas for ballast water exchange 5

6. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Role of the Shipping Industry Guidelines Guidelines for Ballast Water Sampling Guidelines for Ballast Water Management and Development of Ballast Water Management Plans Guidelines for Ballast Water Exchange Guidelines for Ballast Water Exchange Design and Construction Standards Guidelines for Sediment Control on Ships Compliance – Incorporate and Implement Significant for the Shipping Industry 6

7. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Role of the Shipping Industry Guidelines Guidelines for Sediments Reception Facilities Guidelines for Ballast Water Reception Facilities Guidelines for Risk Assessment under Regulation A-4 Guidelines for Approval of Ballast Water Management Systems Procedure for Approval of Ballast Water Management Systems that make use of Active Substances Guidelines for Approval and Oversight of Prototype Ballast Water Treatment Technology Programmes Guidelines for Additional Measures including Emergency Situations Guidelines on Designation of Areas for Ballast Water Exchange Familiarity Who is the Responsible Party What are the Implications for the Ship Operator 7

8. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Role of the Shipping Industry Guidelines Guidelines for sediments reception facilities Guidelines for Ballast Water Sampling Guidelines for ballast water management equivalent compliance Guidelines for Ballast Water Management and Development of Ballast Water Management Plans Guidelines for ballast water reception facilities Guidelines for Ballast Water Exchange Guidelines for Risk Assessment under Regulation A-4 Guidelines for approval of Ballast Water Management Systems Procedure for Approval of Ballast Water Management Systems that make use of Active Substances Guidelines for approval and oversight of prototype ballast water treatment technology programmes Guidelines for Ballast Water Exchange Design and Construction Standards Guidelines for sediment control on ships Guidelines for additional measures including emergency situations Guidelines on designation of areas for ballast water exchange 8

9. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 9 Role of the Shipping Industry Guidelines For the Ship Owner: It is too early to assess full impact of Guidelines / Convention Implementation There are still too many questions unanswered / incomplete Guidelines There is a reluctance to change operation until Confidence in treatment systems is demonstrated, and; Implementation of legislation is confirmed

10. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Role of the Shipping Industry Overview Guidelines Unravelling the International Ballast Water Convention in 16 easy steps! Treatment Technology A matter of timing and confidence, but for who? Shipping Industry ResponsibilityThe Issues to be Discussed Compliance 10

11. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Role of the Shipping Industry Treatment Technology Shipping industry will need to install a system that meets the standard and have this system installed on time 11 Meets the standard?In time for what?

12. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Ships Constructed before 2009 with BW capacity 1500-5000, treatment technology in use after 2014 Phase in for Treatment System Installation (B-3) Ships Constructed before 2009 with BW capacity less than 1500 and greater than 5000, treatment technology in use after 2016 Ships Constructed on or after 2009 with BW capacity less than 5000, treatment technology in use from 2009 Ships Constructed after 2009 but before 2012 with BW capacity greater than 5000, treatment technology in use after 2016 Ships Constructed at 2012 or after with BW capacity greater than 5000, treatment technology in use after 2012 Role of the Shipping Industry Treatment Technology – In time for what? Convention Implementation Dates

13. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Role of the Shipping Industry Treatment Technology – In time for what? Convention Implementation Dates A)40,000dwt Product Tanker to be delivered July 2007 Ballast water capacity greater than 5000m 3 so will be able to conduct ballast water exchange until 2016, when it will then have to have been retrofitted with a ballast water treatment system. B)8,000dwt Chemical Tanker to be delivered July 2007 Ballast capacity of less than 5000m 3 but greater than 1500m 3, will have to be retrofitted with a ballast water treatment system by 2014. C)Existing VLCC – delivered 2003 Ballast water exchange until 2016, retrofitted after 2016. BUT, if prototype system installed and test programme approved by IMO, 5 year exemption may be given, upgrade system by 2021.

14. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Role of the Shipping Industry Treatment Technology – In time for what? System Approval Time Line 1) Systems that do not use Active Substances Land-based test facilities available February 2006 a)Earliest type approval using parallel ship and land-based testing October 2006 b)Type approval assuming difficulties encountered February 2008 2) Systems that use Active Substances Consideration by the Technical Group December 2005 Basic approval at MEPC 54 March 2006 a)Earliest (G8) completion using parallel land and ship testing January 2007 Earliest final approval at MEPC 56 July 2007 b) (G8) completion assuming difficulties encountered May 2008 Final approval assuming no difficulties encountered, at MEPC 58 October 2008 14

15. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Role of the Shipping Industry Treatment Technology – Meeting the Standard Some common views on ship board pollution control equipment “Adequate equipment is essential – IMO approval of equipment does not alone provide assurance that equipment is appropriate for a given vessel” “Class, Flag State and Port State certifications do not alone provide assurance of compliance” 15 Who Decides if it meets the Standard?

16. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Role of the Shipping Industry Treatment Technology – Meeting the Standard Some views on what to do when the equipment doesn’t work “Prosecutions against corporations resulting in multi-million dollar (US) criminal fines, restitution, and probation with court supervised environmental compliance programs” “Prosecution against individuals resulting in prison sentences” “Cases involve U.S. and foreign flag vessels with discharges of [pollution] in internal waters, territorial sea, contiguous zone, exclusive economic zone and high seas” “We have a range of enforcement options with criminal prosecution reserved for worst conduct - Sliding scale of factors focusing on harm and culpability: - Significant environmental harm - Actual harm/threat of significant harm” 16 Who Decides if it meets the Standard?

17. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Role of the Shipping Industry Overview Guidelines Unravelling the International Ballast Water Convention in 16 easy steps! Treatment Technology A matter of timing and confidence, but for who? State Awareness Shipping Awareness of the State of National legislation! Shipping Industry ResponsibilityThe Issues to be Discussed Compliance 17

18. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Compliance – with what? Role of the Shipping Industry State Awareness 18 CaliforniaBallast Water exchange 200nm offshore BrazilBallast Water exchange followed by chlorination followed by fresh water ballast water exchange AustraliaBallast Water Exchange…if they decide to Port/Coastal State Responsible for Protecting Environment Ship Owner’s AgentShip Owner Web / Shipping Association / Press / Circulars etc

19. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Compliance – with what? Tanker from Canada to California – is there a ballast requirement? 1.International Convention Regulation B-4Ballast Water Exchange 1A ship conducting Ballast Water exchange to meet the standard in regulation D-1 shall:.1whenever possible, conduct such Ballast Water exchange at least 200 nautical miles from the nearest land and in water at least 200 metres in depth, taking into account the Guidelines developed by the Organization;.2in cases where the ship is unable to conduct Ballast Water exchange in accordance with paragraph 1.1, such Ballast Water exchange shall be conducted taking into account the Guidelines described in paragraph 1.1 and as far from the nearest land as possible, and in all cases at least 50 nautical miles from the nearest land and in water at least 200 metres in depth. 2In sea areas where the distance from the nearest land or the depth does not meet the parameters described in paragraph 1.1 or 1.2, the port State may designate areas, in consultation with adjacent or other States, as appropriate, where a ship may conduct Ballast Water exchange, taking into account the Guidelines described in paragraph 1.1. 3A ship shall not be required to deviate from its intended voyage, or delay the voyage, in order to comply with any particular requirement of paragraph 1. 4A ship conducting Ballast Water exchange shall not be required to comply with paragraphs 1 or 2, as appropriate, if the master reasonably decides that such exchange would threaten the safety or stability of the ship, its crew, or its passengers because of adverse weather, ship design or stress, equipment failure, or any other extraordinary condition. 5When a ship is required to conduct Ballast Water exchange and does not do so in accordance with this regulation, the reasons shall be entered in the Ballast Water record book. Role of the Shipping Industry State Awareness 19

20. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Compliance – with what? Tanker from Canada to California – is there a ballast requirement? 1. International Convention 2. National Legislation - NI Circular 07-04, Change 1 Enclosure 2, paragraph 6 states; "In areas other than the Great Lakes and the Hudson River, masters are not required to divert or delay a voyage in order to conduct mid-ocean BWE. Whenever a vessel enters US waters after operating beyond he EEZ, but cannot conduct mid-ocean BWE because the voyage to the US was such that the vessel did not transit outside 200nm of any coast for enough time to conduct exchange, the vessel must retain its unexchanged ballast water while operating in US waters and only discharge the minimal amount of unexchanged ballast water that is operationally necessary to safely conduct cargo operations. Such situations may be likely for vessels that enter the US EEZ from a Caribbean, Canadian, or South American port where a direct transit to the US may not take the vessel more than 200nm from shore for sufficient time to conduct BWE before reaching their US destination." Role of the Shipping Industry State Awareness 20

21. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Compliance - with what? Tanker from Canada to California – is there any ballast requirement? 1.International Convention – IMO Ballast Convention 2.National Legislation - NI Circular 07-04, Change 1 3.State Legislation – California Lands Commission State of California Assembly Bill 703, Chapter 849; Ballast Water Management for Control of Nonindigenous Species Chapter 1, paragraph 71200(j) " "Voyage" means any transit by a vessel destined for any California port from a port or place outside the EEZ, including intermediate stops at a port of place within the EEZ. For the purposes of this division, a transit by a vessel from a United States port to any other United States port, if at any time the vessel operates outside the EEZ or equivalent zone of Canada, is also a voyage." Role of the Shipping Industry State Awareness 21

22. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Compliance – with what? Tanker from Canada to California – is there any ballast requirement? 1.International Convention – IMO Ballast Convention 2.National Legislation - NI Circular 07-04, Change 1 3.State Legislation – California Lands Commission 4.State Legislation – New California Lands Commission State of California Assembly Bill 433, an act to amend Section 71200 (among others). New section; " "Voyage" means any transit by a vessel destined for any California port or place from a port or place outside of the coastal waters of the state." Role of the Shipping Industry State Awareness 22

23. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Compliance – with what? Tanker from Canada to California – is there any ballast requirement? 1.International Convention – IMO Ballast Convention 2.National Legislation - NI Circular 07-04, Change 1 3.State Legislation – California Lands Commission 4.State Legislation – New California Lands Commission 5.Port Legislation – Port of Oakland Authority Tanker has to exchange ballast en route or risks being sent from the port to exchange ballast on arrival (lost time / loss of earnings) Role of the Shipping Industry State Awareness 23

24. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Are we up to date? -Ballast Water Management Plan onboard (includes Ballast Water Record Book) -Checking of port, national and regional requirements? Ballast exchange or reporting? -Ballast Water Exchange Requirements? 200nm and/or 200m depth – ballast exchange zone? -Inspection requirements: sampling (master/designated officer aware of procedure) -Newbuilding implications (when delivered and how large – 4999m 3 ?) -Treatment systems – balance: zero emissions with use of active substance -Familiarity of Convention and its Guidelines Role of the Shipping Industry State Awareness - Demonstrating Compliance 24

25. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Role of the Shipping Industry Drawing this Together Shipping Industry Coastal/Port State Treatment Technology Developers Regulators 25 Clear Guidelines International Standard

26. Assessing the Impact of Ballast Water Guidelines, Technologies and State Awareness on the Shipping Industry Tim Wilkins: Ballast Water Management, London 2005 Role of the Shipping Industry …thank you for your attention.