Section 13.4 Ballast Water Record Book and Reporting

A cornerstone of demonstrating compliance with the International Convention for the Control and Management of Ships’ Ballast Water and Sediments (BWM Convention) is the diligent and accurate maintenance of the Ballast Water Record Book (BWRB). This official log provides a comprehensive and chronological record of all ballast water operations conducted onboard, serving as the primary documentary evidence that the vessel is adhering to its approved Ballast Water Management Plan (BWMP) and the specific requirements of the Convention. Alongside the meticulous upkeep of the BWRB, vessels are also subject to various reporting requirements to port State authorities concerning their ballast water management practices. For the Master and the designated ballast water management officer (often the Chief Officer), ensuring the BWRB is impeccably kept and all reporting obligations are fulfilled is a critical aspect of regulatory compliance, environmental stewardship, and preparedness for Port State Control (PSC) inspections.

1. The Ballast Water Record Book (BWRB) – Regulation B-2:

Regulation B-2 of the BWM Convention mandates the carriage and maintenance of a BWRB.

  • Mandatory Requirement: Every ship to which the Convention applies (which includes virtually all internationally trading bulk carriers) shall have on board a Ballast Water Record Book. This may be an electronic record system (if approved by the Administration) or, more commonly, a hard copy logbook.
  • Purpose:
    • To provide a complete, accurate, and chronological record of all ballast water handling operations.
    • To serve as verifiable proof that the ship is implementing its approved Ballast Water Management Plan (BWMP) and complying with the BWM Convention.
    • To facilitate inspection by Port State Control Officers (PSCOs), Flag State surveyors, and other authorized parties.
    • To assist in any investigations in the event of alleged non-compliance or an environmental incident related to ballast water discharge.
  • Format: The format of the BWRB must follow the model set out in Appendix II of the BWM Convention. This standardized format ensures consistency and facilitates review by authorities worldwide.
  • Language: Entries in the BWRB shall be in the working language of the ship. If that language is not English, French, or Spanish, the entries shall include a translation into one of those languages. All entries should be legible.
  • Responsibility for Entries:
    • Each ballast water operation must be recorded without delay by the officer in charge of that specific operation (typically the Chief Officer or another deck officer).
    • Each entry must be signed by the officer in charge.
    • Each completed page of the BWRB must be signed by the Master of the ship, signifying their oversight and verification of the records.
  • Retention Period: The BWRB must be kept on board the ship for a period of at least two years after the last entry has been made. Thereafter, it must be retained under the Company’s control for a minimum period of three years.
  • Availability: The BWRB must be kept readily available for inspection at all reasonable times by authorized officers.

2. Detailed Information to be Recorded in the BWRB:

The BWRB is structured to capture specific details for each type of ballast water operation. Meticulous attention to detail is required for each entry. The IMO model format includes codes for various operations (e.g., (A) for uptake, (B) for discharge to sea, (C) for exchange, (D) for discharge to reception facility, (E) for accidental discharge, (F) for treatment, (G) for sediment removal/disposal, (H) for BWMS failure/contingency).

  • A. When Ballast Water is Taken on Board (Uptake/Ballasating):
    • Date and start/end time of uptake.
    • Port of uptake or, if at sea, the geographical position (latitude and longitude).
    • Estimated volume of ballast water taken up in each tank (in cubic metres).
    • Whether the Ballast Water Management System (BWMS) was operated during uptake.
    • If BWMS was operated:
      • System name/model.
      • Operational parameters (e.g., flow rate, UV intensity/dose, TRO dosage, power consumption – as relevant to the specific BWMS and required by the BWMP).
      • Any malfunctions or alarms during operation.
    • Signature of the officer in charge.
  • B. When Ballast Water is Circulated or Treated for Ballast Water Management Purposes (e.g., in-tank treatment, or circulation through BWMS):
    • Date and start/end time of circulation or treatment.
    • Estimated volume of ballast water circulated or treated in each tank (in m³).
    • Whether BWMS was used. If so, operational details as above.
    • Position of the ship if the operation occurs during the voyage.
    • Signature of the officer in charge.
  • C. When Ballast Water is Discharged into the Sea (De-ballasting):
    • Date and start/end time of discharge.
    • Port of discharge or, if at sea, the geographical position (latitude/longitude).
    • Estimated volume of ballast water discharged from each tank (in m³).
    • Whether BWMS was operated during discharge (e.g., for secondary treatment or neutralization).
    • If BWMS was operated: System name/model and operational parameters.
    • Confirmation that the discharged ballast water met the required standard (D-1 if BWE was performed as a contingency and permitted, or D-2 if treated by BWMS). This is a critical entry.
    • Signature of the officer in charge.
  • D. When Ballast Water is Discharged to a Shore-Based Reception Facility:
    • Date, start and end time of discharge.
    • Port and specific location/name of the reception facility.
    • Estimated volume discharged from each tank (in m³).
    • Signature of the officer in charge.
    • A receipt or signed acknowledgement from the reception facility should be obtained and kept with the BWRB.
  • E. Accidental or Other Exceptional Uptake or Discharge of Ballast Water:
    • Date and time of the occurrence.
    • Port or position of the ship.
    • Estimated volume of ballast water involved.
    • Detailed circumstances of the uptake, discharge, or loss (e.g., due to weather damage, equipment failure, to ensure safety of the ship, to save life at sea).
    • Reasons why the uptake/discharge was exceptional or accidental.
    • Any general remarks regarding the incident and measures taken.
    • Signature of the officer in charge.
  • F. Failures, Malfunctions, or Inoperability of the Ballast Water Management System:
    • Date and time the failure was detected or the system became inoperable.
    • Nature of the failure, problem, or reason for inoperability (e.g., specific alarm, sensor failure, uptake water quality outside System Design Limitations – SDL).
    • Time when the system was made operational again (if applicable).
    • Details of any contingency measures implemented (e.g., decision to conduct BWE, intention to discharge to reception facility, retention of ballast onboard).
    • Record of any communication with Port State or Flag State authorities regarding the malfunction and intended actions.
    • Signature of the officer in charge.
  • G. Ballast Water Exchange (BWE) Operations (If Conducted, e.g., as a Contingency Measure):
    • Date, start and end time of exchange for each tank or pair of tanks.
    • Start and end geographical positions (latitude/longitude) for the exchange operation.
    • Method of exchange used (sequential, flow-through, or dilution).
    • Estimated volume of ballast water exchanged per tank (and percentage volumetric exchange if using the sequential method, or number of tank volumes pumped if using flow-through/dilution – e.g., “3 times tank volume”).
    • Sea depth during exchange (to confirm compliance with >200m requirement).
    • Distance from the nearest land during exchange (to confirm compliance with >200 NM or >50 NM requirement).
    • Confirmation that the ship was “en route” during the exchange.
    • Any reasons if the full exchange was not completed as planned (e.g., adverse weather, threat to ship safety, equipment failure).
    • Signature of the officer in charge.
  • H. Sediment Removal and Disposal from Ballast Tanks:
    • Date and time of sediment removal from each tank.
    • Location where the sediment was disposed of (e.g., specific coordinates if at sea in a permitted area, or name of port and reception facility if discharged ashore).
    • Estimated amount of sediment removed (in m³ or tonnes).
    • Method of removal and disposal.
    • Signature of the officer in charge.
  • I. Other Operational Details and Remarks:
    • Routine maintenance, calibration, or significant repairs of the BWMS.
    • Onboard crew training related to BWM.
    • Details of any ballast water sampling events conducted by ship’s crew or by Port State Control officers (including date, time, tanks sampled, identity of samplers).
    • Any exemptions or waivers granted by Administrations.

3. Best Practices for Maintaining the Ballast Water Record Book:

  • Timeliness and Accuracy: Entries must be made without undue delay after the completion of each operation. All information (dates, times, positions, volumes, operational parameters) must be precise and factual. Avoid estimations where accurate data can be obtained.
  • Completeness: Ensure all required fields and details for each type of operation are filled in comprehensively. Do not leave critical information blank. If a section is not applicable, clearly indicate “N/A.”
  • Legibility (for hard copy logs): All entries must be written clearly and legibly in permanent ink.
  • No Erasures or Overwriting: If a mistake is made in a hard copy log, draw a single, neat line through the incorrect entry so that it remains legible. Write the correct entry alongside or above it, and the officer making the correction should initial and date it. Never use correction fluid, try to erase, or obliterate entries. Electronic record books must have a secure, auditable system for corrections.
  • Consistency: Ensure entries in the BWRB are consistent with information recorded in other ship’s logs (e.g., Deck Log Book for positions and times, Engine Log Book for pump running hours, Oil Record Book if any oily water was inadvertently mixed with ballast – a serious issue).
  • Standardized Terminology and Codes: Use the correct terminology and operational codes as specified in the BWM Convention (Appendix II) and the ship’s BWMP.
  • Master’s Review and Signature: The Master must regularly review each page of the BWRB, verify the accuracy and completeness of entries, and sign each completed page. This demonstrates active oversight.
  • Familiarity and Training: The designated ballast water management officer (usually Chief Officer) and any other officers involved in making entries must be thoroughly familiar with the BWRB format, the information required for each type of entry, and the importance of meticulous record-keeping.

4. Reporting Requirements Beyond the BWRB:

In addition to maintaining the BWRB, vessels are typically subject to various reporting requirements to Port State authorities concerning their ballast water management.

  • A. Pre-Arrival Ballast Water Reporting Form (BWRF):
    • Requirement: Many Port States (e.g., USA, Canada, Australia, many European countries) require vessels to submit a BWRF in advance of arrival (typically 24, 48, 72, or 96 hours prior, depending on local regulations).
    • Purpose: To provide Port State authorities with information about the vessel’s ballast water history, what ballast it intends to discharge in their waters, and how that ballast has been managed (exchanged or treated).
    • Content: The BWRF usually requests:
      • Ship particulars (name, IMO number, call sign, GT, ballast capacity).
      • Voyage information (last port, next port, ETA).
      • Total ballast water on board (quantity and tanks).
      • For each tank: uptake port/location, date of uptake, volume, management method used (exchange details or BWMS treatment details), and intended discharge port/location and volume.
      • Details of the BWMS if used (make, model, type approval).
      • Information from the BWRB often forms the basis for completing the BWRF.
    • Format: The format can vary by country or region. Some use the standard IMO Ballast Water Reporting Form (Resolution A.868(20) Appendix), while others have their own national or regional forms (e.g., US Coast Guard BWRF, Australian MARS system). Electronic submission is increasingly common.
    • Accuracy and Timeliness: Submitting the BWRF accurately and within the stipulated timeframe is crucial to avoid port entry delays or penalties.
  • B. Reporting BWMS Malfunctions or Inability to Comply:
    • Critical Reporting: If the ship’s BWMS malfunctions, is inoperable, or if the vessel is unable to manage its ballast water in accordance with its BWMP or the Convention’s requirements (e.g., due to uptake water quality being outside the BWMS’s System Design Limitations, or if safety reasons prevent a contingency BWE), this situation must be reported promptly.
    • To Whom:

The Flag State Administration: As soon as possible.

The relevant Port State authorities of the arrival port: Well in advance of arrival, if possible.

  • Content of Report: Should include details of the malfunction/issue, reasons for inability to comply, contingency measures proposed or taken (as per BWMP), and any request for guidance or operational permissions (e.g., permission to discharge untreated ballast to a reception facility, or to conduct emergency BWE if safe).
  • Importance: Proactive and transparent reporting demonstrates good faith and allows authorities to assess the situation and provide instructions, potentially avoiding more severe penalties that could arise from undeclared non-compliance discovered during a PSC inspection.
  • C. Reporting Accidental or Exceptional Discharges:
    • Any accidental discharge of unmanaged ballast water (e.g., due to hull damage, tank overflow) or exceptional discharge necessary for the safety of the ship or saving life at sea must be reported immediately to the nearest coastal State and the ship’s Flag State, detailing the circumstances and quantities involved.
  • D. General Communication with Port State Authorities:
    • Maintain open and cooperative communication with Port State Control and other relevant authorities regarding any BWM issues, queries, or planned operations.

5. Master’s Overall Responsibilities for Record-Keeping and Reporting:

The Master holds ultimate responsibility for ensuring full compliance with all BWM record-keeping and reporting requirements.

  • Ensuring BWRB Accuracy, Completeness, and Maintenance: Implement robust procedures onboard to ensure the BWRB is meticulously maintained by the designated officer(s) and personally review and sign each completed page.
  • Overseeing Pre-Arrival Reporting: Ensure all required pre-arrival ballast water reports (BWRFs) are prepared accurately, based on correct BWRB data and BWMP information, and submitted to the relevant authorities within the stipulated timeframes.
  • Managing Non-Compliance Reporting: In the event of BWMS malfunction or inability to comply with D-2 standards, ensure that prompt, accurate, and comprehensive reports are made to the Flag State and Port State authorities as per company and regulatory procedures.
  • Crew Training and Awareness: Ensure that all relevant officers and crew are thoroughly trained in BWM record-keeping requirements, the completion of BWRFs, and the procedures for reporting non-compliance or incidents.
  • Facilitating Inspections: Ensure that the BWRB, BWMP, BWMS Type Approval Certificate, calibration records, maintenance logs for the BWMS, and any other relevant BWM documentation are readily available and in good order for inspection by Port State Control Officers.
  • Liaison with Company (DPA): Keep the Designated Person Ashore (DPA) and relevant company departments fully informed of all BWM operations, any issues encountered (especially BWMS malfunctions), and all significant communications with Flag or Port State authorities.

The Ballast Water Record Book is far more than a mere log; it is a critical legal document that serves as the vessel’s official history of its ballast water management activities. Meticulous attention to its accuracy, completeness, and the diligent fulfillment of all associated reporting obligations are essential duties for the Master and designated officers. These practices not only ensure compliance with the BWM Convention but also demonstrate a tangible commitment to protecting the world’s marine ecosystems from the threat of invasive aquatic species.

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