1、- r Manageme CO ventir a gestion des eaux de o sobre la Gestion del Aaua de %a AST WATER EAU:. -E BALLAST ACUA DE Lc Ballast Water Management Convention Convention sur la gestion des eaux de ballast Convenio sobre la Gestion del Agua de Lastre INTERNATIONAL MARITIME ORGANIZATION London, 2005 First p
2、ublished in 2005 by the INTERNATIONAL MARITIME ORGANIZATION 4 Albert Embankment, London SE1 7SR Printed in the United Kingdom by Polestar Wheatons Ltd. 4 6 8 10 9 7 5 3 ISBN 92-801 -0033-5 Sales number: 1620M Copyright 0 International Maritime Organization 2005 All rights reserved. No part of this p
3、ublication may be reproduced, stored in a retrieval system or transmitted in any form or by any means without prior permission in writing from the lnternational Maritime Organization. Foreword The harmful effects of unwanted species in ships Ballast Water was first reported to IMO in 1988, when Cana
4、da informed the Marine Environment Protection Committee (MEPC) about invasive aquatic species in the Great Lakes. In response, the MEPC adopted in 1991 the first voluntary guidelines for preventing the introduction into the marine environment of unwanted aquatic organisms and pathogens from ships Ba
5、llast Waters and sediment discharges. Following the UN Conference on Environment and Development (UNCED), held in Rio de Janeiro in 1992, the MEPC guidelines were reviewed and adopted as an Assembly resolution in 1993. The twentieth session of the IMO Assembly in 1997 adopted resolution A.868(20) “G
6、uidelines for the control and management of ships ballast water to minimize the transfer of harmful aquatic organisms and pathogens” which superseded earlier and less comprehensive guidelines. The new resolution requested Governments to take urgent action in applying the guidelines and to report any
7、 experience gained in their implementation to the MEPC. The resolution further requested the MEPC to work towards the completion of legally binding provisions on ballast water management together with guidelines for their uniform and effective implementation. From 1999 onwards, the Ballast Water Wor
8、king Group, established by MEPC in 1994, focused on the preparation of a free-standing Convention on control and management of ships ballast water and sediments. In 2002, the World Summit on Sustainable Development held in Johannesburg, called for action at all levels to accelerate the development o
9、f measures to address invasive alien species in ballast water. The introduction of harmful aquatic organisms and pathogens to new environments has been identified as one of the four greatest threats to the worlds oceans (the other three being land-sourced marine pollution, overexploitation of living
10、 marine resources and destruction of habitat). Proper control and management of ships ballast water is therefore a major environmental challenge for IMO and the global shipping industry. In accordance with Article 2(b) of the Convention on the International Maritime Organization, the Council agreed
11、in principle to convene a diplomatic conference in 2003 to consider the adoption of the instrument. At its eighty-ninth session in November 2002, the Council reconsidered the matter, in view of the preparations made by MEPC, and approved the convening of the Diplomatic Conference in early 2004. The
12、decision of the Council was endorsed by the twenty-third session of the Assembly in December 2003 and the International Conference on Ballast Water Management for Ships was held at IMOs Headquarters in London from 9 to 13 February 2004. . 111 Foreword The Conference adopted the International Convent
13、ion for the Control and Management of Ships Ballast Water and Sediments (the Ballast Water Management Convention), together with four conference resolutions. This publication contains the texts of the Convention and the four resolutions, aiming to provide an easy reference to administrators, shipown
14、ers, ship operators, port officers, seafarers and any other interested parties. It should be noted that, for legal purposes, the authentic text of the Convention should always be consulted. iv Avant-propos Cest en 1988 que les effets nuisibles des especes indesirables dans les eaux de ballast des na
15、vires ont ete signales B IOMI pour la premiere fois, lorsque le Canada a inform6 le Comite de la protection du milieu marin (MEPC) que des especes aquatiques envahissantes se trouvaient dans les Grands Lacs. A la suite de cela, le MEPC a adopte en 1991 les premieres directives facultatives visant B
16、prevenir Iintroduction dans le milieu marin dorganismes aquatiques et dagents pathogenes indesirables par suite des rejets deaux de ballast et de sediments par les navires. A la suite de la Conference des Nations Unies sur Ienvironnement et le dkveloppement (CNUED), tenue a Rio de Janeiro en 1992, l
17、es directives du MEPC ont et6 revisees et adoptees sous couvert dune resolution de IAs- semblee en 1993. A sa vingtieme session tenue en 1997, IAssemblCe de IOMI a adopt6 la resolution A.868(20), intitulee (Directives relatives au contrble et a la gestion des eaux de ballast des navires en vue de re
18、duire au minimum le transfert dorganismes aquatiques nuisibles et dagents pa- thogeness, laquelle a annule et remplace les precedentes directives qui etaient moins exhaustives. Cette nouvelle resolution priait les gouvernements de prendre de toute urgence des dispositions pour appliquer les directiv
19、es et de rendre compte au MEPC de Iexperience acquise dans leur application. La resolution priait egalement le MEPC doeuvrer B la mise au point de dis- positions juridiquement obligatoires sur la gestion des eaux de ballast et de directives pour leur application uniforme et effective. A partir de 19
20、99, les travaux du Groupe de travail sur les eaux de ballast, constitue par le MEPC en 1994, ont porte essentiellement sur Idaboration dune convention autonome pour le contr6le et la gestion des eaux de ballast et sediments des navires. En 2002, le Sommet mondial pour le developpe- ment durable, ten
21、u B Johannesburg, a demand6 des actions 21 tous les niveaux pour accklerer la mise au point de mesures visant B trouver une solution au probleme des especes allogenes dans Ieau de ballast. Lintroduction dor- ganismes aquatiques nuisibles et dagents pathogenes dans de nouveaux environnements a Cte id
22、entifiee comme Iune des quatre plus grandes me- naces posees aux oceans du monde entier (les trois autres etant la pollution marine dorigine tellurique, la surexploitation des ressources marines biolo- giques et la destruction de Ihabitat). La gestion et le contrde adequats des eaux de ballast des n
23、avires posent donc un important defi ecologique B IOMI et au secteur mondial des transports maritimes. Conformement B Particle 2 b) de la Convention portant creation de IOrga- nisation maritime internationale, le Conseil avait decide en principe de con- voquer en 2003 u?e conference diplomatique cha
24、rgee dexaminer Iadoption de Iinstrument. A sa quatre-vingt-neuvieme session tenue en novembre 2002, le Conseil a reexamine la question, compte tenu des travaux pre- paratoires effectues par le MEPC, et a decide que cette conference di- plomatique serait convoquee au debut de 2004. LAssemblee a enter
25、in6 cette V Avan t-propos decision du Conseil a sa vingt-troisieme session, en decembre 2003, et la Conference internationale sur la gestion des eaux de ballast des navires sest tenue au Si and (b) ships not entitled to fly the flag of a Party but which operate under the authority of a Party. This C
26、onvention 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 environmen
27、t, 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 impa
28、ir 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 Administra- tion of the ship concerned that this Convention applies to such ship; (d) ships which only operate in waters under the jur
29、isdiction of one Party and on the high seas, except for ships not granted an authorization pursuant to subparagraph (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 adjacen
30、t 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- 2 I I 4 I Article 6 commercial service. However, each Party shall ensure, by the adoption of appropriate measures not impairing operations or operation
31、al 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
32、 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 requi
33、re 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 s
34、hips 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
35、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 gu
36、idelines 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
37、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
38、facilitate scientific and technical research on Ballast Water Management; and (b) monitor the effects of Ballast Water Management in waters under their jurisdiction. 5 Ballast Water Management Convention, 2004 Such research and monitoring should include observation, measurement, sampling, evaluation
39、 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 the availability of relevant information to other Parties wh
40、o request it on: Each Party shall, to further the objectives of this Convention, promote (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 assessme
41、nt 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 a
42、rticle 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 resp
43、onsibility 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 v
44、iolation 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 br
45、ought 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
46、not taken any action within one 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
47、 that Party. Whenever such a violation occurs, that Party shall either: (a) cause proceedings to be taken in accordance with its law; or 6 Article 10 (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
48、 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 i
49、nspection 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 ships Ballast Water, carried out in accordance with the guidelines to be developed by the Organization. However, the time required to analyse the samples
