Section 13.1 The Ballast Water Management Convention (BWMC): Requirements and Timelines

The BWM Convention is a comprehensive international treaty designed to prevent, minimize, and ultimately eliminate the transfer of HAOP and sediments through the control and management of ships’ ballast water. Its successful implementation relies on ships adhering to a set of core requirements and meeting specific operational standards within a defined timeline.

1. Objectives and Application:

  • Objective: The primary objective of the BWM Convention is “to prevent, minimize and ultimately eliminate the risks to the environment, human health, property and resources arising from the transfer of Harmful Aquatic Organisms and Pathogens through the control and management of ships’ Ballast Water and Sediments.”
  • Application: The Convention applies generally to all ships entitled to fly the flag of a Party and those operating under the authority of a Party. This includes submersibles, floating craft, Floating Platforms, Floating Storage Units (FSUs), and Floating Production Storage and Offloading Units (FPSOs). However, there are some exceptions, such as:
    • Ships not designed or constructed to carry ballast water.
    • Ships operating exclusively in waters under the jurisdiction of one Party (unless that Party directs otherwise).
    • Ships operating exclusively between specified ports or locations, or on voyages within certain defined sea areas, subject to agreement and risk assessment (Regulation A-4).
    • Warships, naval auxiliary, or other ships owned or operated by a State and used only on government non-commercial service.
    • Ships with permanent ballast water in sealed tanks not subject to discharge. For practical purposes, virtually all internationally trading bulk carriers are subject to the full requirements of the BWM Convention.

2. Key Definitions Under the BWMC:

Understanding the Convention’s terminology is essential:

  • “Ballast Water”: Water with its suspended matter taken on board a ship to control trim, list, draught, stability, or stresses of the ship.
  • “Sediments”: Matter settled out of Ballast Water within a ship.
  • “Harmful Aquatic Organisms and Pathogens” (HAOP): Aquatic organisms or pathogens which, if introduced into the sea including estuaries, or into fresh water courses, may create hazards to the environment, human health, property or resources, impair biological diversity or interfere with other legitimate uses of such areas.
  • “Ballast Water Management”: Mechanical, physical, chemical, and biological processes, either singularly or in combination, to remove, render harmless, or avoid the uptake or discharge of Harmful Aquatic Organisms and Pathogens within Ballast Water and Sediments.

3. Core Requirements of the Convention (Section B – Management and Control Requirements for Ships):

Section B of the Convention lays down the primary obligations for ships:

  • Regulation B-1: Ballast Water Management Plan (BWMP):
    • Each ship shall have on board and implement a Ballast Water Management Plan.
    • The BWMP must be approved by the Administration (Flag State or a Recognized Organization – RO).
    • It must be specific to each ship and include detailed operational guidance for the crew, safety procedures for the ship and crew associated with BWM, procedures for the disposal of sediments, and methods for coordinating with coastal and port states.
    • It must designate the officer on board in charge of ensuring the plan is properly implemented.
  • Regulation B-2: Ballast Water Record Book (BWRB):
    • Each ship shall have on board a Ballast Water Record Book, which may be an electronic record system or integrated into another record book or system.
    • All ballast water operations shall be fully recorded without delay in the BWRB. This includes uptake, treatment, circulation, exchange, discharge to sea, discharge to reception facilities, and accidental or other exceptional discharges.
    • Each entry shall be signed by the officer in charge of the operation concerned and each completed page shall be signed by the Master.
    • The BWRB must be kept on board for at least two years after the last entry and thereafter in the Company’s control for a minimum of three years.
    • It must be kept readily available for inspection at all reasonable times.
  • Regulation B-3: Ballast Water Management for Ships (The Standards): This crucial regulation outlines the schedule and standards for ballast water management that ships must meet.
    • D-1 Standard (Ballast Water Exchange Standard): Ships performing ballast water exchange shall do so with an efficiency of at least 95% volumetric exchange of ballast water. For ships using the pump-through method, pumping through three times the volume of each ballast water tank shall be considered to meet this standard.
    • D-2 Standard (Ballast Water Performance Standard): Ships conducting ballast water management shall discharge less than 10 viable organisms per cubic metre ≥ 50 µm in minimum dimension and less than 10 viable organisms per millilitre < 50 µm and ≥ 10 µm in minimum dimension; and discharge of indicator microbes (Vibrio cholerae, E. coli, Enterococci) shall not exceed specified concentrations. This standard usually necessitates the use of an approved Ballast Water Management System (BWMS).
    • The regulation details the phased implementation schedule for ships to meet the D-2 standard, based on their construction date and IOPP renewal survey cycle (see timelines below).
  • Regulation B-4: Ballast Water Exchange:
    • Provides more detailed requirements for ships undertaking ballast water exchange to meet the D-1 standard. This includes requirements for conducting exchange in open sea, as far as possible from land and in deep water (generally at least 200 nm from the nearest land and in water at least 200 m in depth, or if not possible, at least 50 nm / 200 m).
    • Crucially, it states that a ship shall not be required to deviate from its intended voyage or delay the voyage to comply with specific exchange location requirements if doing so would compromise the safety of the ship.
    • The Master has the discretion to not undertake BWE if it would threaten the safety or stability of the ship, its crew, or passengers due to adverse weather, ship design, stress, equipment failure, or any other extraordinary condition. Such decisions must be fully documented in the BWRB.
  • Regulation B-5: Sediment Management for Ships:
    • All ships shall remove and dispose of sediments from spaces designated to carry ballast water in accordance with the provisions of the ship’s Ballast Water Management Plan.
    • Ships constructed in or after 2009 should be designed and constructed to minimize sediment uptake and entrapment and facilitate removal.
  • Regulation B-6: Duties of Officers and Crew:
    • Officers and crew shall be familiar with their duties in the implementation of ballast water management particular to the ship on which they serve and shall, appropriate to their duties, be familiar with the ship’s Ballast Water Management Plan.

4. Approval and Certification (Section E – Survey and Certification Requirements for Ballast Water Management):

  • Regulation D-3: Approval Requirements for Ballast Water Management Systems:
    • BWMS used to comply with the D-2 standard must be approved by the Administration in accordance with IMO Guidelines (initially G8, now the mandatory BWMS Code adopted by MEPC.300(72)).
    • The Type Approval Certificate for the BWMS must be carried onboard.
  • Regulation E-1: Surveys:
    • Ships of 400 gross tonnage and above to which the Convention applies (excluding floating platforms, FSUs, and FPSOs) are subject to surveys:
      • An initial survey before the ship is put in service or before the Certificate is issued for the first time.
      • A renewal survey at intervals specified by the Administration, but not exceeding five years.
      • An intermediate survey within three months before or after the second or third anniversary date of the Certificate.
      • An annual survey within three months before or after each anniversary date.
      • An additional survey after any significant repair or alteration affecting the BWM system.
  • Regulation E-5: Issue or Endorsement of Certificate:
    • An International Ballast Water Management Certificate shall be issued to any ship to which Regulation E-1 applies, after successful completion of an initial or renewal survey.
    • The Certificate is valid for a period specified by the Administration, not exceeding five years.
    • It is endorsed at annual and intermediate surveys.

5. Implementation Timelines for D-2 Standard Compliance:

The BWM Convention established a phased approach for existing ships to meet the D-2 standard, primarily linked to their IOPP renewal survey schedule.

  • New Ships: Vessels with a keel-laying date on or after 8 September 2017 (the Convention’s entry-into-force date) must be D-2 compliant upon delivery.
  • Existing Ships (Constructed before 8 September 2017):
    • The key deadline revolved around the first IOPP renewal survey after the Convention’s entry into force.
    • If this first IOPP renewal survey was completed between 8 September 2017 and 7 September 2019, the ship had to comply with D-2 by this renewal survey.
    • If the first IOPP renewal survey was completed on or after 8 September 2019, D-2 compliance was required by that renewal survey.
    • Essentially, this meant that all existing ships subject to IOPP renewal surveys were required to meet the D-2 standard by the date of their first IOPP renewal survey after 8 September 2019, with the latest compliance date effectively being 8 September 2024 (covering the 5-year IOPP cycle).
    • Ships not subject to IOPP renewal surveys (e.g., some smaller vessels or those not carrying oil) had different or specific Flag State determined compliance dates but were generally expected to meet D-2 by 8 September 2024.

It is crucial for the Master to be aware of their specific vessel’s D-2 compliance date and ensure that an approved and operational BWMS is installed and used by that date, or that other compliance measures are in place.

6. Amendments and Ongoing Developments:

The BWM Convention and its associated guidelines are subject to ongoing review and amendment by the IMO to address implementation challenges, technological advancements, and scientific understanding. Key developments include:

  • The BWMS Code (Code for Approval of Ballast Water Management Systems), which became mandatory in October 2019, provides more robust type approval procedures for BWMS than the previous G8 guidelines.
  • Experience-Building Phase and Data Gathering: The IMO has been actively gathering data and experience on the implementation of the Convention to inform future revisions.
  • Ongoing work on Port State Control procedures, sampling and analysis of ballast water, and addressing challenges with BWMS operation in different environments.

7. Master’s Core Responsibilities Regarding BWMC Compliance:

  • Ensure Vessel Certification: Verify that the ship possesses a valid International Ballast Water Management Certificate and an approved Ballast Water Management Plan (BWMP).
  • Implement the BWMP: Ensure all procedures outlined in the BWMP are understood and followed by the crew.
  • Oversee BWMS Operation (if fitted): Ensure the BWMS is operated correctly as per the manufacturer’s instructions and the BWMP, and that all operational parameters are monitored and recorded.
  • Maintain the Ballast Water Record Book: Ensure all ballast water operations are accurately and diligently recorded in the BWRB and that the Master signs each completed page.
  • Crew Training and Familiarization: Ensure all officers and crew involved in ballast water management are properly trained and familiar with their duties under the BWMP, the operation of the BWMS, and safety precautions.
  • Sediment Management: Implement the ship’s sediment management procedures.
  • Reporting: Ensure compliance with all pre-arrival and incident reporting requirements related to ballast water.
  • Liaison: Communicate effectively with Port State Control, Flag State, and the company regarding BWM matters.
  • Stay Updated: Keep abreast of any amendments to the BWM Convention or new IMO guidelines.

Compliance with the Ballast Water Management Convention is a critical aspect of modern, environmentally responsible ship operation. The Master’s thorough understanding of its requirements and diligent oversight of its implementation onboard are essential for protecting marine biodiversity and ensuring the vessel can trade internationally without impediment.

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