Ballast Water Management Convention and BWMS Code with Guidelines for Implementation, 2018 Edition (KA621E)

The BWM Convention also aims to avoid unwanted side-effects from that control and encourages developments in related knowledge and technology.

The 2018 consolidated edition reproduces:

• the updated text of the BWM Convention, including the incorporation of the amendments that have been adopted by the Marine Environment Protection Committee (MEPC) at its 72nd session (9 to 13 April 2018);
• the text of the Code for Approval of Ballast Water Management Systems (BWMS Code), also adopted by MEPC 72;
• four Conference resolutions adopted at the International Conference on Ballast Water Management for Ships held at IMO’s Headquarters in London from 9 to 13 February 2004;
• the up-to-date set of Guidelines for the uniform implementation of the Convention developed and adopted by MEPC, including revised versions adopted by MEPC up to its 71st session (3 to 7 July 2017); and
• other guidelines related to the implementation of the Convention.

The harmful effects of unwanted species in ships’ ballast water was first reported to IMO in 1988, when Canada informed the Marine Environment Protection Committee (MEPC) about invasive aquatic species in the Great Lakes. In response, the MEPC adopted in 1991 the first voluntary guidelines for preventing the introduction into the marine environment of unwanted aquatic organisms and pathogens from ships’ ballast waters and sediment discharges.

Following the UN Conference on Environment and Development (UNCED), held in Rio de Janeiro in 1992, the MEPC guidelines were reviewed and adopted as an Assembly resolution in 1993. The twentieth session of the IMO Assembly in 1997 adopted resolution A.868(20), Guidelines for the control and management of ships’ ballast water to minimize the transfer of harmful aquatic organisms and pathogens, which superseded earlier and less comprehensive guidelines. The new resolution requested Governments to take urgent action in applying the guidelines and to report any experience gained in their implementation to the MEPC. The resolution further requested the MEPC to work towards the completion of legally binding provisions on ballast water management together with guidelines for their uniform and effective implementation.

From 1999 onwards, the Ballast Water Working Group, established by the MEPC in 1994, focused on the preparation of a free-standing Convention on control and management of ships’ ballast water and sediments. In 2002, the World Summit on Sustainable Development, held in Johannesburg, called for action at all levels to accelerate the development of measures to address invasive alien species in ballast water. The introduction of harmful aquatic organisms and pathogens to new environments has been identified as one of the four greatest threats to the world’s oceans (the other three being land-sourced marine pollution, overexploitation of living marine resources and destruction of habitat). Proper control and management of ships’ ballast water is therefore a major environmental challenge for IMO and the global shipping industry.

In accordance with Article 2(b) of the Convention on the International Maritime Organization, the IMO Council agreed in principle to convene a diplomatic conference in 2003 to consider the adoption of the instrument.

At its eighty-ninth session in November 2002, the Council reconsidered the matter and approved the convening of the Diplomatic Conference in early 2004. The decision of the Council was endorsed by the twenty-third session of the Assembly in December 2003 and the International Conference on Ballast Water Management for Ships was held at IMO’s headquarters in London from 9 to 13 February 2004.

The Conference adopted the International Convention for the Control and Management of Ships’ Ballast Water and Sediments (the Ballast Water Management Convention or BWM Convention), together with four Conference resolutions.

Several articles and regulations of the BWM Convention refer to guidelines to be developed by the Organization and Conference resolution 1 invites IMO to develop these guidelines as a matter of urgency and adopt them as soon as practicable and, in any case, before the entry into force of the Convention, with a view to facilitate global and uniform implementation of the instrument.

The MEPC, at its fifty-first session in April 2004, approved a programme for the development of guidelines and procedures for uniform implementation of
the BWM Convention, listed in Conference resolution 1, including additional guidance required but not listed in the resolution, which was further expanded
at the fifty-third session of the MEPC in July 2005. In accordance with this programme, 14 sets of Guidelines were developed and adopted between
the fifty-third and fifty-eighth sessions of the MEPC by October 2008, while subsequently some of these Guidelines were revised and additional ones
were also adopted.

International Convention for the Control and Management of Ships’ Ballast Water and Sediments, 2004

Article 1 Definitions

Article 2 General obligations

Article 3 Application

Article 4 Control of the transfer of harmful aquatic organisms and pathogens through ships’ ballast water and sediments

Article 5 Sediment reception facilities

Article 6 Scientific and technical research and monitoring

Article 7 Survey and certification

Article 8 Violations

Article 9 Inspection of ships

Article 10 Detection of violations and control of ships

Article 11 Notification of control actions

Article 12 Undue delay to ships

Article 13 Technical assistance, cooperation and regional cooperation

Article 14 Communication of information

Article 15 Dispute settlement

Article 16 Relationship to international law and other agreements

Article 17 Signature, ratification, acceptance, approval and accession

Article 18 Entry into force

Article 19 Amendments

Article 20 Denunciation

Article 21 Depositary

Article 22 Languages

Annex – Regulations for the control and management of ships’ ballast water and sediments

Section A – General provisions

Regulation A-1 Definitions

Regulation A-2 General applicability

Regulation A-3 Exceptions

Regulation A-4 Exemptions

Regulation A-5 Equivalent compliance

Section B – Management and control requirements for ships

Regulation B-1 Ballast water management plan

Regulation B-2 Ballast water record book

Regulation B-3 Ballast water management for ships

Regulation B-4 Ballast water exchange

Regulation B-5 Sediment management for ships

Regulation B-6 Duties of officers and crew

Section C – Special requirements in certain areas

Regulation C-1 Additional measures

Regulation C-2 Warnings concerning ballast water uptake in certain areas and related flag State measures

Regulation C-3 Communication of information

Section D – Standards for ballast water management

Regulation D-1 Ballast water exchange standard

Regulation D-2 Ballast water performance standard

Regulation D-3 Approval requirements for ballast water management systems

Regulation D-4 Prototype ballast water treatment technologies

Regulation D-5 Review of standards by the Organization

Section E – Survey and certification requirements for ballast water management

Regulation E-1 Surveys

Regulation E-2 Issuance or endorsement of a Certificate

Regulation E-3 Issuance or endorsement of a Certificate by another Party

Regulation E-4 Form of the Certificate

Regulation E-5 Duration and validity of the Certificate

Appendices to annex

Appendix I Form of International Ballast Water Management Certificate

Appendix II Form of ballast water record book

Unified interpretation of Appendix I (Form of the International Ballast Water Management Certificate) of the BWM Convention

Code for Approval of Ballast Water Management Systems (BWMS Code)

Resolution MEPC.300(72)
Code for Approval of Ballast Water Management Systems

Resolutions adopted by the Conference

Resolution 1 Future work by the Organization pertaining to the International Convention for the Control and Management of Ships’ Ballast Water and Sediments. . .

Resolution 2 The use of decision-making tools when reviewing the standards pursuant to regulation D-5

Resolution 3 Promotion of technical cooperation and assistance

Resolution 4 Review of the Annex to the International Convention for the Control and Management of Ships’ Ballast Water and Sediments

Guidelines for the uniform implementation of the Ballast Water Management Convention
Resolution MEPC.152(55)

Guidelines for sediment reception facilities (G1)
Resolution MEPC.173(58)

Guidelines for ballast water sampling (G2)

Part 1 Sampling from the ballast water discharge line

Part 2 Sampling from ballast water tanks

Part 3 Sampling and analysis protocols

Part 4 Sample data form

Part 5 Health and safety aspects

Part 6 Recommendation for a port State control ballast water sampling kit

Part 7 Maintenance, storage, labelling and transportation

Part 8 Chain of custody record

Resolution MEPC.123(53)
Guidelines for ballast water management equivalent compliance (G3)

Resolution MEPC.127(53)
Guidelines for ballast water management and development of ballast water management plans (G4)

Part A Guidelines for ballast water management

Part B Guidelines for the development of ballast water management plans

Appendix Standard format for the ballast water management plan

Resolution MEPC.153(55)
Guidelines for ballast water reception facilities (G5)

Resolution MEPC.288(71)
2017 Guidelines for ballast water exchange (G6)

Resolution MEPC.289(71)
2017 Guidelines for risk assessment under regulation A-4 of the BWM Convention (G7)

Guidelines for approval of ballast water management systems (G8) is not included in this edition as it is being revoked by the BWMS Code

Resolution MEPC.169(57)
Procedure for approval of ballast water management systems that make use of Active Substances (G9)

Appendix Approval scheme for Active Substances or Preparations and ballast water management systems that make use of Active Substances

Resolution MEPC.140(54)
Guidelines for approval and oversight of prototype ballast water treatment technology programmes (G10)

Appendix Statement of compliance for a prototype ballast water treatment technology

Resolution MEPC.149(55)
Guidelines for ballast water exchange design and construction standards (G11)

Resolution MEPC.209(63)
2012 Guidelines on design and construction to facilitate sediment control on ships (G12)

Resolution MEPC.161(56)
Guidelines for additional measures regarding ballast water management including emergency situations (G13)

Appendix Flow chart – procedure for introducing additional measures

Resolution MEPC.151(55)
Guidelines on designation of areas for ballast water exchange (G14)

Other guidelines related to the implementation of the Convention

Resolution MEPC.290(71)
The experience-building phase associated with the BWM Convention

Resolution MEPC.252(67)
Guidelines for port State control under the BWM Convention

Resolution MEPC.228(65)
Information reporting on type approved ballast water management systems

Resolution MEPC.206(62)
Procedure for approving other methods of ballast water management in accordance with regulation B-3.7 of the BWM Convention

Resolution MEPC.163(56)
Guidelines for ballast water exchange in the Antarctic Treaty area

A??s a specialized agency of the United Nations, IMO is the global standard-setting authority for the safety, security and environmental performance of international shipping. Its main role is to create a regulatory framework for the shipping industry that is fair and effective, universally adopted and universally implemented.

In other words, its role is to create a level playing field so that ship operators cannot address their financial issues by simply cutting corners and compromising on safety, security and environmental performance. This approach also encourages innovation and efficiency.

Shipping is a truly international industry, and it can only operate effectively if the regulations and standards are themselves agreed, adopted and implemented on an international basis. IMO is the forum at which this process takes place.