GUIDELINES
FOR THE CONTROL AND MANAGEMENT OF SHIPS' BALLAST WATER TO MINIMIZE THE TRANSFER
OF HARMFUL AQUATIC ORGANISMS AND PATHOGENS
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The IMO Guidelines
Resolution A.868(20) Adobe PDF versions
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Adopted on 27 November 1997
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(Agenda item 11)
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Ballast Water Reporting Form
(MS Word)
THE ASSEMBLY,
RECALLING Article 15(j) of the Convention on the International
Maritime Organization concerning the functions of the Assembly in relation to
regulations and guidelines concerning prevention and control of marine
pollution from ships,
RECALLING ALSO resolution A.774(18) by which it recognized that the
uncontrolled discharge of ballast water and sediment from ships has led to the
transfer of harmful aquatic organisms and pathogens, causing injury to public
health and damage to property and the environment, and accordingly adopted
Guidelines for Preventing the Introduction of Unwanted Aquatic Organisms and
Pathogens from Ships' Ballast Water and Sediment Discharges, and further that
the Marine Environment Protection Committee (MEPC) and the Maritime Safety
Committee (MSC) shall keep the ballast water issue and the application of the
Guidelines under review with a view to further developing the Guidelines as a
basis for a new Annex to MARPOL 73/78,
RECALLING FURTHER that the 1992 United Nations Conference on
Environment and Development (UNCED), in its Agenda 21 requests IMO to consider
the adoption of appropriate rules on ballast water discharge to prevent the
spread of non-indigenous organisms, and further proclaims in its Declaration on
Environment and Development that States shall widely apply the precautionary
approach according to their capabilities,
BEARING IN MIND that MEPC/Circ.288 recognized that the existing
Guidelines do not provide a complete solution towards the total prevention of
the introduction of harmful aquatic organisms and pathogens, but urged that
focus should be directed on measures aimed at minimizing the risks, emphasizing
further that in applying the existing Guidelines, the ship's safety was of
paramount importance,
NOTING the objectives of the Convention on Biological Diversity,
1992, and that the transfer and introduction of alien aquatic species with
ballast water threatens the conservation and sustainable use of biological
diversity,
NOTING FURTHER the status of work carried out by MEPC as requested
by resolution A.774(18) concerning the development of legally binding
provisions on ballast water management together with guidelines for their
effective implementation, as well as the Guidance on Safety Aspects of Ballast
Water Exchange at Sea prepared by the Sub-Committee on Ship Design and
Equipment, and distributed as MEPC/Circ.329 and MSC/Circ.806, both of 30 June
1997,
RECOGNIZING that several States have taken unilateral action by
adopting legally binding provisions for local, regional or national application
with a view to minimizing the risks of introducing harmful aquatic organisms
and pathogens through ships entering their ports, and also that this issue,
being of worldwide concern, demands action based on globally applicable
regulation together with guidelines for their effective implementation and
uniform interpretation,
HAVING CONSIDERED the recommendation of the MEPC at its fortieth
session on this issue,
ADOPTS the Guidelines for the Control and Management of Ships'
Ballast Water to Minimize the Transfer of Harmful Aquatic Organisms and
Pathogens set out in the Annex to the present resolution;
REQUESTS Governments to take urgent action in applying these
Guidelines, including the dissemination thereof to the shipping industry, to
use them as a basis for any measures they adopt with a view to minimizing the
risks of introducing harmful aquatic organisms and pathogens, and to report to
the MEPC on any experience gained in their implementation;
REQUESTS ALSO the MEPC to work towards completion of legally binding
provisions on ballast water management in the form of a new Annex to MARPOL
73/78, together with guidelines for their uniform and effective implementation
with a view to their consideration and adoption in the year 2000;
REQUESTS FURTHER the MSC to include in its workplan the evaluation
of information received from interested parties, particularly that relevant to
12.2 of the Guidelines adopted herewith, with a view to determining the hazards
and potential consequences for various existing ship types and operations. The
MSC is also requested to consider any other relevant issues concerning ballast
water management as well as design objectives for new ships, with a view to
minimizing to the extent possible risks of introducing harmful aquatic
organisms and pathogens with ships' ballast water and sediments;
REVOKES resolution A.774(18).
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ANNEX - GUIDELINES FOR THE CONTROL AND MANAGEMENT OF SHIPS' BALLAST
WATER TO MINIMIZE THE TRANSFER OF HARMFUL AQUATIC ORGANISMS AND PATHOGENS
Contents
CHAPTER 1 - INTRODUCTION
CHAPTER 2 - DEFINITIONS
CHAPTER 3 - APPLICATION
CHAPTER 4 - GUIDELINE OBJECTIVES AND BACKGROUND
CHAPTER 5 - DISSEMINATION OF INFORMATION
CHAPTER 6 - TRAINING AND EDUCATION
CHAPTER 7 - PROCEDURES FOR SHIPS AND PORT STATES
7.1 Procedures for ships
7.2 Procedures for port States
CHAPTER 8 - RECORDING AND REPORTING PROCEDURES
8.1 Procedures for ships
8.2 Procedures for port States
CHAPTER 9 - SHIPS' OPERATIONAL PROCEDURES
9.1 Precautionary practices
.1 Minimizing uptake of harmful aquatic organisms, pathogens and
sediments
.2 Removing ballast sediment on a timely basis
.3 Avoiding unnecessary discharge of ballast water
9.2 Ballast water management options
.1 Ballast water exchange
.2 Non-release or minimal release of ballast water
.3 Discharge to reception facilities
.4 Emergent and new technologies and treatments
CHAPTER 10 - PORT STATE CONSIDERATIONS
10.1 Highly disparate conditions between uptake and discharge ports
10.2 Ballast water age
10.3 Presence of target organisms
CHAPTER 11 - ENFORCEMENT AND MONITORING BY PORT STATES
CHAPTER 12 - FUTURE CONSIDERATIONS IN RELATION TO BALLAST WATER
EXCHANGE
12.1 Research needs
12.2 Long-term evaluation of safety aspects in relation to ballast
water exchange
CHAPTER 13 - BALLAST SYSTEM DESIGN
Appendix 1 - Ballast water reporting form - (available in MS Word)
Appendix 2 - Guidance on safety aspects of ballast water exchange at
sea
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1 Introduction
1.1 Studies carried out in several countries have shown that many
species of bacteria, plants, and animals can survive in a viable form in the
ballast water and sediment carried in ships, even after journeys of several
months' duration. Subsequent discharge of ballast water or sediment into the
waters of port States may result in the establishment of harmful aquatic
organisms and pathogens which may pose threats to indigenous human, animal and
plant life, and the marine environment. Although other media have been
identified as being responsible for transferring organisms between
geographically separated water bodies, ballast water discharge from ships
appears to have been among the most prominent.
1.2 The potential for ballast water discharge to cause harm has been
recognised not only by the International Maritime Organization but also by the
World Health Organization, which is concerned about the role of ballast water
as a medium for the spreading of epidemic disease bacteria.
1.3 These Guidelines are not to be regarded as a certain solution to
the problem. Rather, each part of them should be viewed as a tool which, if
correctly applied, will help to minimize the risks associated with ballast
water discharge. As scientific and technological advances are made, the
Guidelines will be refined to enable the risk to be more adequately addressed.
In the interim, port States, flag States and other parties that can assist in
mitigating this problem should exercise due care and diligence in an effort to
conform to the maximum extent possible with the Guidelines.
1.4 The selection of appropriate methods of risk minimization will
depend upon several factors, including the type or types of organisms being
targeted, the level of risk involved, its environmental acceptability, the
economic and ecological costs involved and the safety of ships.
2 Definitions
For the purposes of these Guidelines, the following definitions
apply:
'Administration' means the Government of the State under whose
authority the ship is operating.
'Convention' means MARPOL 73/78 (International Convention for the
Prevention of Pollution from Ships, 1973, and the Protocol of 1978 related
thereto).
'Member States' means States that are Members of the International
Maritime Organization.
'Organization means' the International Maritime Organization (IMO).
'Port State authority' means any official or organization authorized
by the Government of a port State to administer guidelines or enforce standards
and regulations relevant to the implementation of national and international
shipping control measures.
'Treatment' means a process or mechanical, physical, chemical or
biological method to kill, remove or render infertile, harmful or potentially
harmful organisms within ballast water.
3 Application
The Guidelines are directed to Member States and can apply to all
ships; however, a port State authority shall determine the extent to which they
do apply.
4 Guideline objectives and background
4.1 The objectives of these Guidelines, developed under technical
and scientific guidance, are to assist Governments and appropriate authorities,
ship masters, operators and owners, and port authorities, as well as other
interested parties, in minimizing the risk of introducing harmful aquatic organisms
and pathogens from ships' ballast water and associated sediments while
protecting ships' safety.
4.2 The Guidelines allow port States to exempt ships within the area
under their jurisdiction from part or all of the relevant provisions.
Notwithstanding, any administration wishing to apply restrictions to ballast
water operations should still follow these Guidelines, when developing
legislation or procedures.
4.3 In order that the Guidelines may be implemented in a standard
and uniform manner, all Member State Governments, ship operators, other
appropriate authorities and interested parties are requested to apply these
Guidelines.
5 Dissemination of information
5.1 Administrations are encouraged to maintain and exchange
information relevant to these Guidelines through the Organization. Accordingly,
administrations are encouraged to provide the Organization with the following:
.1 Information on severe outbreaks or infestations of harmful
aquatic organisms which may pose a risk;
.2 Copies of current domestic laws and regulations;
.3 Technical and research information;
.4 Education materials (such as audio and video tapes) and printed
materials; and
.5 Location and terms of use of alternative exchange zones,
contingency strategies, availability of shore reception facilities, fees, etc.
5.2 Member States, applying ballast water and sediment discharge
procedures, should notify the Organization of specific requirements and provide
to the Organization, for the information of other Member States and
non-governmental organizations, copies of any regulations, standards,
exemptions or guidelines being applied. Verification and detailed information
concerning port State requirements should be obtained by the ship prior to
arrival.
5.3 Port
State authorities should
provide the widest possible distribution of information on ballast water and
sediment management and treatment requirements that are being applied to
shipping. Failure to do so may lead to unnecessary delays for ships seeking
entry to port States.
5.4 Shipping organizations and ships' managers should be familiar
with the requirements of port State authorities with respect to ballast water
and sediment management and treatment procedures, including information that
will be needed to obtain entry clearance.
5.5 Member States are invited to provide the Organization with
details of any research and development studies that they carry out with
respect to the impact and control of harmful aquatic organisms and pathogens in
ships' ballast water and sediment.
5.6 Member States should provide to the Organization details of
records describing reasons why existing requirements could not be complied
with, e.g. force majeure, heavy weather, failure of equipment, or lack of
information concerning port State requirements.
6 Training and education
6.1 Training for ships' masters and crews as appropriate should
include instructions on the application of ballast water and sediment
management and treatment procedures, based upon the information contained in
these Guidelines. Instruction should also be provided on the maintenance of
appropriate records and logs. Governments should ensure that their marine
training organizations include this in the contents of their syllabus.
6.2 The application of processes and procedures concerning ballast
water management are currently at the core of the solution to minimize the
introduction of harmful aquatic organisms and pathogens.
6.3 Governments are encouraged to include knowledge of duties
regarding the control of pollution of the sea by harmful aquatic organisms and
pathogens in their training requirements for certificates.
7 Procedures for ships and port States
7.1 Procedures for ships
7.1.1 Every ship that carries ballast water should be provided with
a ballast water management plan to assist in the minimization of transfer of
harmful aquatic organisms and pathogens. The intent of the plan should be to
provide safe and effective procedures for ballast water management.
7.1.2 The ballast water management plan should be specific to each
ship.
7.1.3 The ballast water management plan should be included in the
ship's operational documentation. Such a plan should address, inter alia:
- relevant parts of these Guidelines;
- approval documentation relevant to treatment equipment;
- an indication of records required; and
- the location of possible sampling points.
7.2 Procedures for port States
7.2.1 Reception and treatment facilities should be made available
for the environmentally safe disposal of ballast tank sediments.
7.2.2 Discharge of ship's ballast water into port reception and/or
treatment facilities may provide an acceptable means of control. Port State
authorities wishing to utilize this strategy should ensure that the facilities
are adequate.
8 Recording and reporting procedures
8.1 Procedures for ships
8.1.1 Where a port State authority requires that specific ballast
water procedures and/or treatment option(s) be undertaken, and due to weather,
sea conditions or operational impracticability such action cannot be taken, the
master should report this fact to the port State authority as soon as possible
and, where appropriate, prior to entering seas under its jurisdiction.
8.1.2 To facilitate the administration of ballast water management
and treatment procedures on board each ship, a responsible officer should be
appointed to maintain appropriate records and to ensure that ballast water
management and/or treatment procedures are followed and recorded.
8.1.3 When taking on or discharging ballast water, as a minimum, the
dates, geographical locations, ship's tank(s) and cargo holds, ballast water
temperature and salinity as well as the amount of ballast water loaded or
discharged should be recorded. A suitable format is shown in appendix 1. The
record should be made available to the port State authority.
8.1.4 The location and suitable access points for sampling ballast
or sediment should be described in the ship's ballast water management plan.
This will allow crew members to provide maximum assistance when officers of the
port State authority require a sample of the ballast water or sediment.
8.2 Procedures for port States
8.2.1 Consistent with 5.2 above, port States should provide ships
with the following information:
- details of their requirements concerning ballast water management;
- location and terms of use of alternative exchange zones;
- any other port contingency arrangements; and
- the availability, location, capacities of and applicable fees
relevant to reception facilities that are being provided for the environmentally
safe disposal of ballast water and associated sediment.
8.2.2 To assist ships in applying the precautionary practices
described in 9.1.1 below, port States should inform local agents and/or the
ship of areas and situations where the uptake of ballast water should be
minimized, such as:
- areas with outbreaks, infestations or known populations of harmful
organisms and pathogens;
- areas with current phytoplankton blooms (algal blooms, such as red
tides);
- nearby sewage outfalls;
- nearby dredging operations;
- when a tidal stream is known to be the more turbid; and
- areas where tidal flushing is known to be poor.
9 Ships' operational procedures
9.1 Precautionary practices
9.1.1 Minimizing uptake of harmful aquatic organisms, pathogens and
sediments
When loading ballast, every effort should be made to avoid the
uptake of potentially harmful aquatic organisms, pathogens and sediment that
may contain such organisms. The uptake of ballast water should be minimized or,
where practicable, avoided in areas and situations such as:
- areas identified by the port State in connection with advice
relating to 8.2.2 above;
- in darkness when bottom-dwelling organisms may rise up in the
water column;
- in very shallow water; or
- where propellers may stir up sediment.
9.1.2 Removing ballast sediment on a timely basis
Where practicable, routine cleaning of the ballast tank to remove
sediments should be carried out in mid-ocean or under controlled arrangements
in port or dry dock, in accordance with the provisions of the ship's ballast
water management plan.
9.1.3 Avoiding unnecessary discharge of ballast water
If it is necessary to take on and discharge ballast water in the
same port to facilitate safe cargo operations, care should be taken to avoid
unnecessary discharge of ballast water that has been taken up in another port.
9.2 Ballast water management options
9.2.1 Ballast water exchange
Near-coastal (including port and estuarine) organisms released in
mid-ocean, and oceanic organisms released in coastal waters, do not generally
survive.
When exchanging ballast at sea, guidance on safety aspects of
ballast water exchange as set out in appendix 2 should be taken into account.
Furthermore, the following practices are recommended:
- where practicable, ships should conduct ballast exchange in deep
water, in open ocean and as far as possible from shore. Where this is not
possible, requirements developed within regional agreements may be in
operation, particularly in areas within 200 nautical miles from shore. Consistent
with 9.1.2 above, all of the ballast water should be discharged until suction
is lost, and stripping pumps or eductors should be used if possible;
- where the flow-through method is employed in open ocean by pumping
ballast water into the tank or hold and allowing the water to overflow, at
least three times the tank volume should be pumped through the tank;
- where neither form of open ocean exchange is practicable, ballast
exchange may be accepted by the port State in designated areas; and
- other ballast exchange options approved by the port State.
9.2.2 Non-release or minimal release of ballast water
In cases where ballast exchange or other treatment options are not
possible, ballast water may be retained in tanks or holds. Should this not be
possible, the ship should only discharge the minimum essential amount of
ballast water in accordance with port States' contingency strategies.
9.2.3 Discharge to reception facilities
If reception facilities for ballast water and/or sediments are
provided by a port State, they should, where appropriate, be utilized.
9.2.4 Emergent and new technologies and treatments
9.2.4.1 If suitable new and emergent treatments and technologies
prove viable, these may substitute for, or be used in conjunction with, current
options. Such treatments could include thermal methods, filtration,
disinfection including ultraviolet light, and other such means acceptable to
the port State.
9.2.4.2 Results concerning the application and effectiveness of new
ballast water management technologies and associated control equipment should
be notified to the Organization with a view to evaluation and incorporation, as
appropriate, into these Guidelines.
10 Port
State considerations
The following is provided for the guidance of port State authorities
in the implementation of their ballast water management programme, and to
assess risks in relation to the ballast water containing harmful aquatic
organisms and pathogens.
10.1 Highly disparate conditions between uptake and discharge ports
Significantly different conditions may exist between port(s) of
origin and the port in which ballast water is discharged. Examples include
freshwater ballast being released into highly saline ports. There may be
organisms capable of surviving such extreme transfers; however, there is a
lower probability of species establishment under such transport events.
10.2 Ballast water age
The length of time during which ballast water is within an enclosed
ballast tank may also be a factor in determining the number of surviving
organisms, because of the absence of light, decreasing nutrients and oxygen,
changes of salinity and other factors. However, the maximum length of survival
of organisms in ballast water varies, and in many cases is not known. Water of
an age of 100 days should be considered the minimum for applying this
consideration. Ballast water and sediments may contain dinoflagellate cysts and
other organisms capable of surviving for a much longer length of time.
10.3 Presence of target organisms
10.3.1 Under certain circumstances it may be possible to determine
if one or more target species are present in the water of a specific port and
have been ballasted in a ship. In these circumstances, the receiving port State
authority may invoke management measures accordingly. Even if such target
species are not present, however, it should be noted that the ship may still be
carrying many untargetted species which, if released in new waters, could be
potentially harmful.
10.3.2 Port States are encouraged to carry out biological baseline
surveys in their ports and to disseminate the results of their investigations.
11 Enforcement and monitoring by port states
11.1 Consistent with the precautionary approach to environmental
protection, these Guidelines can apply to all ships unless specifically
exempted by a port State authority within its jurisdiction. In accordance with
5.2 above, port State authorities should inform the Organization on how the
Guidelines are being applied.
11.2 Member States have the right to manage ballast water by
national legislation. However, any ballast discharge restrictions should be
notified to the Organization.
11.3 In all cases, a port State authority should consider the
overall effect of ballast water and sediment discharge procedures on the safety
of ships and those on board. Guidelines will be ineffective if compliance is
dependent upon the acceptance of operational measures that put a ship or its
crew at risk. Port States should not require any action of the master which
imperils the lives of seafarers or the safety of the ship.
11.4 It is essential that ballast water and sediment management
procedures be effective as well as environmentally safe, practicable, designed
to minimize costs and delays to the ship, and based upon these Guidelines
whenever possible.
11.5 Any instructions or requirements of a ship should be provided
in a timely manner and be clear and concise.
11.6 Port States should on request provide a visiting ship with any
requested information relative to ballast water management and its potential
effects with respect to harmful aquatic organisms and pathogens.
11.7 Any enforcement or monitoring activities should be undertaken
in a fair, uniform and nationally consistent manner at all ports within the
port State. Where there are compelling reasons whereby nationally consistent
procedures cannot be followed, then deviations should be reported to the
Organization.
11.8 Compliance monitoring should be undertaken by port State
authorities by, for example, taking and analysing ballast water and sediment
samples to test for the continued survival of harmful aquatic organisms and
pathogens.
11.9 Where ballast water or sediment sampling for compliance or
effectiveness monitoring is being undertaken, port State authorities should minimize
delays to ships when taking such samples.
11.10 When sampling for research or compliance monitoring, the port
State authority should give as much notice as possible to the ship that
sampling will occur, to assist in planning staffing and operational resources.
11.11 The master has a general obligation to provide reasonable
assistance for the above monitoring which may include provision of officers or
crew, provision of the ship's plans, records pertaining to ballast arrangements
and details concerning the location of sampling points.
11.12 Sampling methods for research and monitoring is the
responsibility of the individual port State. The Organization welcomes
information on new or innovative methods of sampling and/or analysis, and any
relevant information should be provided to it.
11.13 Port
State authorities should
indicate to the master or responsible officer the purpose for which a sample is
taken (i.e., monitoring, research or enforcement). Results of analyses of
samples should be made available to ship's operators on request.
11.14 Port
State authorities may
sample or require samples to analyse ballast water and sediment, before
permitting a ship to proceed to discharge its ballast water in environmentally
sensitive locations. In the event that harmful aquatic organisms or pathogens
are found to be present in the samples, a port State's contingency strategy may
be applied.
12 Future considerations in relation to ballast water exchange
12.1 Research needs
Operational measures such as ballast water exchange may be
appropriate in the short term; however, there is a clear need for further
research. These Guidelines should be revised and adjusted in the light of
results concerning new ballast water management options.
12.2 Long-term evaluation of safety aspects in relation to ballast
water exchange
Recognizing the need to evaluate the hazards and potential
consequences for various types of ships and operations, interested parties
should carry out detailed studies and provide information relevant to:
- experience gained from carrying out ballast water exchange at sea,
including any samples/model procedures;
- operational precautions and procedures implemented to avoid
potential hazards and consequences that may arise during the ballast water exchange
at sea;
- an evaluation of the safety margins between the actual metacentric
height and stresses versus the allowable seagoing limits specified in the
approved trim and stability booklet and loading manual, relevant to different
types of ships and loading conditions;
- any hazards which may arise due to human element issues relative
to the responsible execution of ballast water exchange at sea in a manner which
may not be fully prudent;
- operational procedures carried out prior to initiating the ballast
water exchange at sea and check points during the exchange;
- the extent of training and management necessary to ensure that the
process of ballast water exchange at sea is effectively monitored and
controlled on board;
- plan of action to incorporate any unique procedures should an
emergency occur which may affect the exchange of ballast water at sea; and
- the decision-making process, taking into account relevant safety
matters, including ship's position, weather conditions, machinery performance,
ballast system inspection and maintenance, crew safety and availability.
13 Ballast system design
Builders, owners and classification societies should take these
Guidelines into consideration when designing new ships or modifying existing
ships.
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Appendix 1
BALLAST WATER REPORTING FORM (TO BE PROVIDED TO PORT STATE AUTHORITY
UPON REQUEST)
(available in MS Word)
1. VESSEL INFORMATION
2. BALLAST WATER
Vessel Name:
Type:
IMO Number:
Specify Units: m³, MT, LT, ST
Owner:
GT:
Call Sign:
Total Ballast Water on Board:
Flag:
Arrival Date:
Agent:
Last Port and Country:
Arrival Port:
Total Ballast Water
Capacity:
Next Port and Country:
3. BALLAST WATER TANKS
BALLAST WATER MANAGEMENT PLAN ON BOARD? YES_____ NO_____ HAS THIS
BEEN IMPLEMENTED?
TOTAL NO. OF TANKS ON BOARD_______ NO. OF TANKS IN BALLAST_______
YES_____ NO_____
IF NONE IN BALLAST GO TO NO. 5
NO. OF TANKS EXCHANGED_________ NO. OF TANKS NOT
EXCHANGED___________
4. BALLAST WATER HISTORY: RECORD ALL TANKS THAT WILL BE DEBALLASTED
IN PORT STATE OF ARRIVAL; IF NONE, GO TO NO. 5
BW Source:
Tanks/Holds (list multiple sources/tanks separately) Date ddmmyy End Port
or
Lat. Long. Volume (units)
Temp (units)
BW Exchange: circle one: Empty/Refill or Flow Through
Tanks/Holds (list multiple sources/tanks separately) Date ddmmyy End
Point or Lat. Long. Volume (units) % Exch. Sea Hgt. (m)
BW Discharge
Tanks/Holds (list multiple sources/tanks separately) Date ddmmyy
Port or Lat. Long. Volume
(units) Salinity (units)
Ballast water tank codes: Forespeak=FP, Aftpeak=AP, Double Bottom=DB,
Wing=WT, Topside=TS, Cargo Hold=CH, O=Other
IF EXCHANGES WERE NOT CONDUCTED, STATE OTHER CONTROL ACTION(S)
TAKEN: _________________________________
IF NONE, STATE REASON WHY NOT:___________________________
5. IMO BALLAST WATER GUIDELINES ON BOARD (RES. 868(20))? YES_____
NO_____ RESPONSIBLE OFFICER’S NAME AND
TITLE (PRINTED) AND SIGNATURE_______________________________
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Appendix 2
GUIDANCE ON SAFETY ASPECTS OF BALLAST WATER EXCHANGE AT SEA
1 Introduction
1.1 This document is intended to provide guidance on the safety
aspects of ballast water exchange at sea. The different types of ships which
may be required to undertake ballast water exchange at sea make it presently
impractical to provide specific guidelines for each ship type. Shipowners are
cautioned that they should consider the many variables that apply to their
ships. Some of these variables include type and size of ship, ballast tank
configurations and associated pumping systems, trading routes and associated
weather conditions, port State requirements and manning.
1.2 Ballast water exchange at sea procedures contained in relevant
management plans should be individually assessed for their effectiveness from
the environmental protection point of view as well as from the point of view of
their acceptability in terms of structural strength and stability.
1.3 In the absence of a more scientifically based means of control,
exchange of ballast water in deep ocean areas or open seas currently offers a
means of limiting the probability that fresh water or coastal aquatic species
will be transferred in ballast water. Two methods of carrying out ballast water
exchange at sea have been identified:
.1 the sequential method, in which ballast tanks are pumped out and
refilled with clean water; and/or
.2 the flow-through method, in which ballast tanks are
simultaneously filled and discharged by pumping in clean water.
2 Safety precautions
2.1 Ships engaged in ballast water exchange at sea should be
provided with procedures which account for the following, as applicable:
.1 avoidance of over and under-pressurization of ballast tanks;
.2 free surface effects on stability and sloshing loads in tanks
that may be slack at any one time;
.3 admissible weather conditions;
.4 weather routeing in areas seasonably affected by cyclones,
typhoons, hurricanes, or heavy icing conditions;
.5 maintenance of adequate intact stability in accordance with an
approved trim and stability booklet;
.6 permissible seagoing strength limits of shear forces and bending
moments in accordance with an approved loading manual;
.7 torsional forces, where relevant;
.8 minimum/maximum forward and aft draughts;
.9 wave-induced hull vibration;
.10 documented records of ballasting and/or de-ballasting;
.11 contingency procedures for situations which may affect the
ballast water exchange at sea, including deteriorating weather conditions, pump
failure, loss of power, etc.;
.12 time to complete the ballast water exchange or an appropriate
sequence thereof, taking into account that the ballast water may represent 50 %
of the total cargo capacity for some ships; and
.13 monitoring and controlling the amount of ballast water.
2.2 If the flow through method is used, caution should be exercised,
since:
.1 air pipes are not designed for continuous ballast water overflow;
.2 current research indicates that pumping of at least three full
volumes of the tank capacity could be needed to be effective when filling clean
water from the bottom and overflowing from the top; and
.3 certain watertight and weathertight closures (e.g. manholes)
which may be opened during ballast exchange, should be re-secured.
2.3 Ballast water exchange at sea should be avoided in freezing
weather conditions. However, when it is deemed absolutely necessary, particular
attention should be paid to the hazards associated with the freezing of
overboard discharge arrangements, air pipes, ballast system valves together
with their means of control, and the accretion of ice on deck.
2.4 Some ships may need the fitting of a loading instrument to
perform calculations of shear forces and bending moments induced by ballast
water exchange at sea and to compare with the permissible strength limits.
2.5 An evaluation should be made of the safety margins for stability
and strength contained in allowable seagoing conditions specified in the
approved trim and stability booklet and the loading manual, relevant to
individual types of ships and loading conditions. In this regard particular
account should be taken of the following requirements:
.1 stability to be maintained at all times to values not less than
those recommended by the Organization (or required by the Administration);
.2 longitudinal stress values not to exceed those permitted by the
ship's classification society with regard to prevailing sea conditions; and
.3 exchange of ballast in tanks or holds where significant
structural loads may be generated by sloshing action in the partially filled
tank or hold to be carried out in favourable sea and swell conditions so that
the risk of structural damage is minimized.
2.6 The ballast water management plan should include a list of
circumstances in which ballast water exchange should not be undertaken. These
circumstances may result from critical situations of an exceptional nature,
force majeure due to stress of weather, or any other circumstances in which
human life or safety of the ship is threatened.
3 Crew training and familiarization
3.1 The ballast water management plan should include the nomination
of key shipboard control personnel undertaking ballast water exchange at sea.
3.2 Ships' officers and ratings engaged in ballast water exchange at
sea should be trained in and familiarized with the following:
.1 the ship's pumping plan, which should show ballast pumping
arrangements, with positions of associated air and sounding pipes, positions of
all compartment and tank suctions and pipelines connecting them to ship's
ballast pumps and, in the case of use of the flow through method of ballast
water exchange, the openings used for release of water from the top of the tank
together with overboard discharge arrangements;
.2 the method of ensuring that sounding pipes are clear, and that
air pipes and their non-return devices are in good order;
.3 the different times required to undertake the various ballast
water exchange operations;
.4 the methods in use for ballast water exchange at sea if
applicable with particular reference to required safety precautions; and
.5 the method of on-board ballast water record keeping, reporting
and recording of routine soundings.
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