INTERNATIONAL CONVENTION FOR
THE CONTROL AND MANAGEMENT OF SHIPS' BALLAST WATER AND SEDIMENTS, 2004

(13.02.2004)

 

 

THE PARTIES TO THIS CONVENTION,

 

RECALLING Article 196(1) of the 1982 United Nations Convention on the Law of the Sea (UNCLOS), which provides that "States shall take all measures necessary to prevent, reduce and control pollution of the marine environment resulting from the use of technologies under their jurisdiction or control, or the intentional or accidental introduction of species, alien or new, to a particular part of the marine environment, which may cause significant and harmful changes thereto,*

 

NOTING the objectives of the 1992 Convention on Bio­logical Diversity (CBD) and that the transfer and introduction of Harmful Aquatic Organisms and Pathogens via ships' ballast water threatens the conservation and sustainable use of biologi­cal diversity as well as decision IV/5 of the 1998 Conference of the Parties (COP 4) to the CBD concerning the conservation and sustainable use of marine and coastal ecosystems, as well as decision VI/23 of the 2002 Conference of the Parties (COP 6) to the CBD on alien species that threaten ecosystems, habitats or species, including guiding principles on invasive species,

 

NOTING FURTHER that the 1992 United Nations Con­ference on Environment and Development (UNCED) requested the International Maritime Organization (the Organization) to consider the adoption of appropriate rules on ballast water dis­charge,

 

MINDFUL of the precautionary approach set out in Prin­ciple 15 of the Rio Declaration on Environment and Develop­ment and referred to in resolution MEPC.67(37), adopted by the Organization's Marine Environment Protection Committee on 15 September 1995,

 

ALSO MINDFUL that the 2002 World Summit on Sus­tainable Development, in paragraph 34(b) of its Plan of Imple­mentation, calls for action at all levels to accelerate the develop­ment of measures to address invasive alien species in ballast wa­ter,

 

CONSCIOUS that the uncontrolled discharge of Ballast Water and Sediments from ships has led to the transfer of Harm­ful Aquatic Organisms and Pathogens, causing injury or damage to the environment, human health, property and resources,

 

RECOGNIZING the importance placed on this issue by the Organization through Assembly resolutions A.774(18) in 1993 and A.868(20) in 1997, adopted for the purpose of address­ing the transfer of Harmful Aquatic Organisms and Pathogens,

 

RECOGNIZING FURTHER that several States have taken individual action with a view to prevent, minimize and ul­timately eliminate the risks of introduction of 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 regulations together with Guidelines for their effective implementation and uniform interpretation,

 

DESIRING to continue the development of safer and more effective Ballast Water Management options that will re­sult in continued prevention, minimization and ultimate elimi­nation of the transfer of Harmful Aquatic Organisms and Pathogens,

 

RESOLVED 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, as well as to avoid unwanted side-effects from that control and to encourage developments in related knowledge and technology,

 

CONSIDERING that these objectives may best be achieved by the conclusion of an International Convention for the Control and Management of Ships Ballast Water and Sedi­ments,

 

HAVE AGREED as follows:

 

Article 1.
Definitions

 

For the purpose of this Convention, unless expressly pro­vided otherwise:

 

1. "Administration" means the Government of the State under whose authority the ship is operating. With respect to a ship en­titled to fly a flag of any State, the Administration is the Gov­ernment of that State. With respect to floating platforms en­gaged in exploration and exploitation of the sea-bed and subsoil thereof adjacent to the coast over which the coastal State exer­cises sovereign rights for the purposes of exploration and exploi­tation of its natural resources, including Floating Storage Units (FSUs) and Floating Production Storage and Offloading Units (FPSOs), the Administration is the Government of the coastal State concerned.

 

2. "Ballast Water" means water with its suspended matter taken on board a ship to control trim, list, draught, stability or stresses of the ship.

 

3. "Ballast Water Management* means 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.

 

4. "Certificate" means the International Ballast Water Manage­ment Certificate.

 

5. "Committee" means the Marine Environment Protection Committee of the Organization.

 

6. "Convention" means the International Convention for the Control and Management of Ships' Ballast Water and Sedi­ments.

 

7. "Gross tonnage* means the gross tonnage calculated in ac­cordance with the tonnage measurement regulations contained in Annex I to the International Convention on Tonnage Mea­surement of Ships, 1969 or any successor Convention.

 

8. "Harmful Aquatic Organisms and Pathogens* means aquatic organisms or pathogens which, if introduced into the sea, in­ eluding estuaries, or into fresh water courses, may create hazards to the environment, human health, property or resources, impair biological diversify or interfere with other legitimate uses of such areas.

 

9. "Organization" means the International Maritime Organiza­tion.

 

10. "Secretary-General" means the Secretary-General of the Or­ganization.

 

11. "Sediments" means matter settled out of Ballast Water within a ship.

 

12. "Ship" means a vessel of any type whatsoever operating in the aquatic environment and includes submersibles, floating craft, floating platforms, FSUs and FPSOs.

 

Article 2.
General Obligations

 

1. Parties undertake to give full and complete effect to the pro­visions of this Convention and the Annex thereto in order to prevent, minimize and ultimately eliminate the transfer of Harmful Aquatic Organisms and Pathogens through the control and management of ships' Ballast Water and Sediments.

 

2. The Annex forms an integral part of this Convention. Unless expressly provided otherwise, a reference to this Convention constitutes at the same lime a reference to the Annex.

 

3. Nothing in this Convention shall be interpreted as prevent­ing a Party from taking, individually or jointly with other Par­ties, more stringent measures with respect to the prevention, re­duction or elimination of the transfer of Harmful Aquatic Or­ganisms and Pathogens through the control and management of ships' Ballast Water and Sediments, consistent with international law.

 

4. Parties shall endeavour to co-operate for the purpose of ef­fective implementation, compliance and enforcement of this Convention.

 

5. Parties undertake to encourage the continued development of Ballast Water Management and standards to prevent, mini­mize and ultimately eliminate the transfer of Harmful Aquatic Organisms and Pathogens through the control and management of ships' Ballast Water and Sediments.

 

6. Parties taking action pursuant to this Convention shall endeavour not to impair or damage their environment, human health, property or resources, or those of other States.

 

7. Parties should ensure that Ballast Water Management prac­tices used to comply with this Convention do not cause greater harm than they prevent to their environment, human health, property or resources, or those of other States.

 

8. Parties shall encourage ships entitled to fly their flag, and to which this Convention applies, to avoid, as far as practicable, the uptake of Ballast Water with potentially Harmful Aquatic Organisms and Pathogens, as well as Sediments that may contain such organisms, including promoting the adequate implementa­tion of recommendations developed by the Organization.

 

9. Parties shall endeavour to co-operate under the auspices of the Organization to address threats and risks to sensitive, vulner­able or threatened marine ecosystems and biodiversity in areas beyond the limits of national jurisdiction in relation to Ballast Water Management.

 

Article 3.
Application

 

1. Except as expressly provided otherwise in this Convention, this Convention shall apply to:

 

a) ships entitled to fly the flag of a Party; and

 

b) ships not entitled to fly the flag of a Party but which op­erate under the authority of a Party.

 

2. This Convention shall not apply to:

 

a) ships not designed or constructed to carry Ballast Water;

 

b) ships of a Party which only operate in waters under the jurisdiction of that Party, unless the Party determines that the discharge of Ballast Water from such ships would impair or damage their environment, human health, property or resources, or those of adjacent or other States;

 

c) ships of a Party which only operate in waters under the jurisdiction of another Party, subject to the authoriza­tion of the latter Party for such exclusion. No Party shall grant such authorization if doing so would impair or damage their environment, human health, property or resources, or those of adjacent or other States. Any Party not granting such authorization shall notify the Administration of the ship concerned that this Conven­tion applies to such ship;

 

d) ships which only operate in waters under the jurisdiction of one Party and on the high seas, except for ships not granted an authorization pursuant to sub-paragraph (c), unless such Party determines that the discharge of Bal­last Water from such ships would impair or damage their environment, human health, property or resources, or those of adjacent of other States;

 

e) any warship, naval auxiliary or other ship owned or op­erated by a State and used, for the time being, only on government non-commercial service. However, each Party shall ensure, by the adoption of appropriate mea­sures not impairing operations or operational capabili­ties of such ships owned or operated by it, that such ships act in a manner consistent, so far as is reasonable and practicable, with this Convention; and

 

f) permanent Ballast Water in sealed tanks on ships, that is not subject to discharge.

 

3. With respect to ships of non-Parties to this Convention, Parties shall apply the requirements of this Convention as may be necessary to ensure that no more favourable treatment is given to such ships.

 

Article 4.
Control of the Transfer of Harmful Aquatic Organisms and Pathogens Through Ships' Ballast Water and Sediments

 

1. Each Party shall require that ships to which this Convention applies and which are entitled to fly its flag or operating under its authority comply with the requirements set forth in this Con­vention, including the applicable standards and requirements in the Annex, and shall take effective measures to ensure that those ships comply with those requirements.

 

2. Each Party shall, with due regard to its particular conditions and capabilities, develop national policies, strategies or programmes for Ballast Water Management in its ports and wa­ters under its jurisdiction that accord with, and promote the at­tainment of the objectives of this Convention.

 

Article 5.
Sediment Reception Facilities

 

1. Each Party undertakes to ensure that, in ports and terminals designated by that Party where cleaning or repair of ballast tanks occurs, adequate facilities are provided for the reception of Sed­iments, taking into account the Guidelines developed by the Or­ganization. Such reception facilities shall operate without caus­ing undue delay to ships and shall provide for the safe disposal of such Sediments that does not impair or damage their environ­ment, human health, property or resources or those of other States.

 

2. Each Party shall notify the Organization for transmission to the other Parties concerned of all cases where the facilities pro­vided under paragraph 1 are alleged to be inadequate.

 

Article 6.
Scientific and Technical Research and Monitoring

 

1. Parties shall endeavour, individually or jointly, to:

 

a) promote and facilitate scientific and technical research on Ballast Water Management; and

 

b) monitor the effects of Ballast Water Management in wa­ters under their jurisdiction.

 

Such research and monitoring should include observation, measurement, sampling, evaluation and analysis of the effective­ness and adverse impacts of any technology or methodology as well as any adverse impacts caused by such organisms and pathogens that have been identified to have been transferred through ships' Ballast Water.

 

2. Each Party shall, to further the objectives of this Conven­tion, promote the availability of relevant information to other Parties who request it on:

 

a) scientific and technology programmes and technical measures undertaken with respect to Ballast Water Man­agement; and

 

b) the effectiveness of Ballast Water Management deduced from any monitoring and assessment programmes.

 

Article 7.
Survey and certification

 

1. Each Party shall ensure that ships flying its flag or operating under its authority and subject to survey and certification are so surveyed and certified in accordance with the regulations in the Annex.

 

2. A Party implementing measures pursuant to Article 2.3 and Section C of the Annex shall not require additional survey and certification of a ship of another Party, nor shall the Administra­tion of the ship be obligated to survey and certify additional measures imposed by another Party. Verification of such addi­tional measures shall be the responsibility of the Party imple­menting such measures and shall not cause undue delay to the ship.

 

Article 8.
Violations

 

1. Any violation of the requirements of this Convention shall be prohibited and sanctions shall be established under the law of the Administration of the ship concerned, wherever the violation occurs. If the Administration is informed of such a violation, it shall investigate the matter and may request the reporting Party to furnish additional evidence of the alleged violation. If the Ad­ministration is satisfied that sufficient evidence is available to enable proceedings to be brought in respect of the alleged viola­tion, it shall cause such proceedings to be taken as soon as pos­sible, in accordance with its law. The Administration shall promptly inform the Party that reported the alleged violation, as well as the Organization, of any action taken. If the Administra­tion has not taken any action within 1 year after receiving the information, it shall so inform the Party which reported the alleged violation.

 

2. Any violation of the requirements of this Convention within the jurisdiction of any Party shall be prohibited and sanctions shall be established under the law of that Party. Whenever such a violation occurs, that Party shall either:

 

a) cause proceedings to be taken in accordance with its law; or

 

b) furnish to the Administration of the ship such informa­tion and evidence as may be in its possession that a vio­lation has occurred.

 

3. The sanctions provided for by the laws of a Party pursuant to this Article shall be adequate in severity to discourage viola­tions of this Convention wherever they occur.

 

Article 9.
Inspection of Ships

 

1. A ship to which this Convention applies may, in any port or offshore terminal of another Party, be subject to inspection by officers duly authorized by that Party for the purpose of deter­mining whether the ship is in compliance with this Convention. Except as provided in paragraph 2 of this Article, any such inspection is limited to:

 

a) verifying that there is on board a valid Certificate, which, if valid, shall be accepted; and

 

b) inspection of the Ballast Water record book, and/or

 

c) a sampling of the ship's Ballast Water, carried out in ac­cordance with the Guidelines to be developed by the Or­ganization. However, the time required to analyse the samples shall not be used as a basis for unduly delaying the operation, movement or departure of the ship.

 

2. Where a ship does not carry a valid Certificate or there are clear grounds for believing that:

 

a) the condition of the ship or its equipment does not cor­respond substantially with the particulars of the Certifi­cate; or

 

b) the master or the crew are not familiar with essential shipboard procedures relating to Ballast Water Manage­ment, or have not implemented such procedures;

 

a detailed inspection may be carried out.

 

3. In the circumstances given in paragraph 2 of this Article, the Party carrying out the inspection shall take such steps as will en­sure that the ship shall not discharge Ballast Water until it can do so without presenting a threat of harm to the environment, human health, property or resources.

 

Article 10.
Detection of Violations and Control of Ships

 

1. Parties shall co-operate in the detection of violations and the enforcement of the provisions of this Convention.

 

2. If a ship is detected to have violated this Convention, the Party whose flag the ship is entitled to fly, and/or the Party in whose port or offshore terminal the ship is operating, may, in addition to any sanctions described in Article 8 or any action described in Article 9, take steps to warn, detain, or exclude the ship. The Party in whose port or offshore terminal the ship is operating, however, may grant such a ship permission to leave the port or offshore terminal for the purpose of discharging Bal­last Water or proceeding to the nearest appropriate repair yard or reception facility available, provided doing so does not pres­ent a threat of harm to the environment, human health, property or resources.

 

3. If the sampling described in Article 9.1(c) leads to a result, or supports information received from another port or offshore terminal, indicating that the ship poses a threat to the environ­ment, human health, property or resources, the Party in whose waters the ship is operating shall prohibit such ship from dis­charging Ballast Water until the threat is removed.

 

4. A Party may also inspect a ship when it enters the ports or offshore terminals under its jurisdiction, if a request for an in­vestigation is received from any Party, together with sufficient evidence that a ship is operating or has operated in violation of a provision in this Convention. The report of such investigation shall be sent to the Party requesting it and to the competent au­thority of the Administration of the ship concerned so that ap­propriate action may be taken.

 

Article 11.
Notification of Control Actions

 

1. If an inspection conducted pursuant to Article 9 or 10 indi­cates a violation of this Convention, the ship shall be notified. A report shall be forwarded to the Administration, including any evidence of the violation.

 

2. In the event that any action is taken pursuant to Article 9.3, 10.2 or 10.3, the officer carrying out such action shall forthwith inform, in writing, the Administration of the ship concerned, or if this is not possible, the consul or diplomatic representative of the ship concerned, of all the circumstances in which the action was deemed necessary. In addition, the recognized organization responsible for the issue of certificates shall be notified.

 

3. The port State authority concerned shall, in addition to par­ties mentioned in paragraph 2, notify the next port of call of all relevant information about the violation, if it is unable to take action as specified in Article 9.3, 10.2 or 10.3 or if the ship has been allowed to proceed to the next port of call.

 

Article 12.
Undue Delay to Ships

 

1. All possible efforts shall be made to avoid a ship being un­duly detained or delayed under Article 7.2, 8, 9 or 10.

 

2. When a ship is unduly detained or delayed under Article 7.2, 8, 9 or 10, it shall be entitled to compensation for any loss or damage suffered.

 

Article 13.
Technical Assistance, Co-operation and Regional Co-operation

 

1. Parties undertake, directly or through the Organization and other international bodies, as appropriate, in respect of the con­trol and management of ships' Ballast Water and Sediments, to provide support for those Parties which request technical assistance:

 

a) to train personnel;

 

b) to ensure the availability of relevant technology, equip­ment and facilities;

 

c) to initiate joint research and development programmes; and

 

d) to undertake other action aimed at the effective imple­mentation of this Convention and of guidance developed by the Organization related thereto.

 

2. Parties undertake to co-operate actively, subject to their na­tional laws, regulations and policies, in the transfer of technol­ogy in respect of the control and management of ships' Ballast Water and Sediments.

 

3. In order to further the objectives of this Convention, Parties with common interests to protect the environment, human health, property and resources in a given geographical area, in particular, those Parties bordering enclosed and semi-enclosed seas, shall endeavour, taking into account characteristic regional features, to enhance regional co-operation, including through the conclusion of regional agreements consistent with this Con­vention Panics shall seek to co-operate with the Parties to re­gional agreements to develop harmonized procedures.

 

Article 14.
Communication of information

 

1. Each Party shall report to the Organization and, where ap­propriate, make available to other Parties the following informa­tion:

 

a) any requirements and procedures relating to Ballast Wa­ter Management, including its laws, regulations, and Guidelines for implementation of this Convention;

 

b) the availability and location of any reception facilities for the environmentally safe disposal of Ballast Water and Sediments; and

 

c) any requirements for information from a ship which is unable to comply with the provisions of this Convention for reasons specified in regulations A-3 and B-4 of the Annex.

 

2. The Organization shall notify Parties of the receipt of any communications under the present Article and circulate to ail Parties any information communicated to it under subparagraphs 1(b) and (c) of this Article,

 

Article 15.
Dispute Settlement

 

Parties shall settle any dispute between them concerning the in­terpretation or application of this Convention by negotiation, enquiry, mediation, conciliation, arbitration, judicial settlement, resort to regional agencies or arrangements or other peaceful means of their own choice.

 

Article 16.
Relationship to International Law and Other Agreements

 

Nothing in this Convention shall prejudice the rights and obligations of any State under customary international law as re­flected in the United Nations Convention on the Law of the Sea.

 

Article 17.
Signature, Ratification, Acceptance, Approval and Accession

 

1. This Convention shall be open for signature by any State at the Headquarters of the Organization from 1 June 2004 to 31 May 2005 and shall thereafter remain open for accession by any State.

 

2. States may become Parties to the Convention by:

 

a) signature not subject to ratification, acceptance, or ap­proval; or

 

b) signature subject to ratification, acceptance, or ap­proval, followed by ratification, acceptance or approval; or

 

c) accession.

 

3. Ratification, acceptance, approval or accession shall be ef­fected by the deposit of an instrument to that effect with the Secretary-General.

 

4. If a State comprises two or more territorial units in which different systems of law are applicable in relation to matters dealt with in this Convention, it may at the time of signature, ratification, acceptance, approval, or accession declare that this Convention shall extend to all its territorial units or only to one or more of them and may modify this declaration by submitting another declaration at any time.

 

5. Any such declaration shall be notified to the Depositary in writing and shall state expressly the territorial unit or units to which this Convention applies.

 

Article 18.
Entry into Force

 

1. This Convention shall enter into force twelve months after the date on which not less than thirty States, the combined mer­chant fleets of which constitute not less than thirty-five percent of the gross tonnage of the world's merchant shipping, have ei­ther signed it without reservation as to ratification, acceptance or approval, or have deposited the requisite instrument of ratifi­cation, acceptance, approval or accession in accordance with Article 17.

 

2. For States which have deposited an instrument of ratifica­tion, acceptance, approval or accession in respect of this Con­vention after the requirements for entry into force thereof have been met, but prior to the date of entry into force, the ratifica­tion, acceptance, approval or accession shall take effect on the date of entry into force of this Convention or three months after the date of deposit of instrument, whichever is the later date.

 

3. Any instrument of ratification, acceptance, approval or ac­cession deposited after the date on which this Convention enters into force shall take effect three months after the date of de­posit.