1、 GUIDELINES FOR THE CONTROL AND MANAGEMENT OF SHIPS BALLAST WATER TO MINIMIZE THE TRANSFER OF HARMFUL AQUATIC ORGANISMS AND PATHOGENS 1998 Edition INTERNATIONAL MARITIME ORGANIZATION London, 1998 First published in 1998 by the INTERNATIONAL MARITIME ORGANIZATION 4 Albert Embankment, London SE1 7SR P
2、rinted by the International Maritime Organization, London 81097 ISBN 92-801-1 4549 I IMO PUBLICATION I I Sales number: 1661 E I Copyright 0 IMO 1998 A/ rights reserved. No part of this publication may be reproduced, stored in a retrieval system or transmitted in any form or by any means, electronic,
3、 electrostatic, magnetic tape, mechanical, photocopying or otherwise, without prior permission in writing from the lnterna tional Maritime Organization. Foreword. The Marine Environment Protection Committee of IMO (MEPC), at its thirty-first session (1 -5 July 1991), adopted voluntary guidance in th
4、e form of the International guidelines for preventing the introduction of unwanted aquatic organisms and pathogens from ships ballast water and sediment discharges (resolution MEPC.50(3 1 ). This activity had been initiated by a number of States in the light of problems they encountered concerning m
5、arine organisms introduced into their waters with ballast water and associated sediments. In 1993 the IMO Assembly adopted these Guide- lines by resolution A.774(18), in response to requests from the United Nations Conference on Environment and Development (UNCED). This resolution further addressed
6、the MEPC and the Maritime Safety Committee (MSC), requesting them to keep the ballast water issue and the application of the Guidelines under review with a view to developing the Guidelines as a basis for a new Annex to MARPOL 73/78. Accordingly, since 1993 the MEPC has been working towards the deve
7、lopment of legally binding provisions on ballast water management, together with guidelines for their effective implementation. The MSC has, as requested by resolution A.774( 18), developed guidance on safety aspects of ballast water exchange at sea, which has been distributed as MEPC/Circ.329 and M
8、SC/Circ.806, both of 30 June 1997. The MSC further undertook to consider relevant issues concerning ballast water management, as well as design objectives for new ships. The IMO Assembly in 1997, by resolution A.868(20), adopted the Guidelines for the control and management of ships ballast water to
9、 minimize the transfer of harmful aquatic organisms and pathogens, as set out herewith. The resolution further requests Governments to take urgent action in applying these new Guidelines, including their dissemination to the shipping industry, and to use them as a basis for any measures they adopt w
10、ith a view to minimizing the risks mentioned above. Governments are requested to report to the MEPC on any experience gained in implementing these Guidelines, taking into account the Committees ongoing work in developing legally binding provisions on ballast water management. . 111 1 2 3 4 5 6 7 8 9
11、 10 11 12 13 Contents Introduction Definitions Application . Guideline objectives and background Dissemination of information . Training and education Procedures for ships and port States Recording and reporting procedures Ships operational procedures Port State considerations . Enforcement and moni
12、toring by port States . Future considerations in relation to ballast water exchange . Ballast system design . Appendix 1 Ballast water reporting form . Appendix 2 Guidance on safety aspects of ballast water exchange at sea V Previous page is blank 1 1 2 2 2 3 3 4 5 7 7 9 10 11 12 I 1 Introduction 1.
13、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
14、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 se
15、parated 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 recognized not only by the International Maritime Organization but also by the World Health Organization which is concerned abo
16、ut 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
17、 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
18、 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 econo
19、mic 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 th
20、e Prevention of Pollution from Ships 1973, as modified by the Protocol of 1978 relating thereto). Member States means States that are Members of the International Maritime Organization. Organization means the International Maritime Organization (IMO). Note: The Guidelines for the control and managem
21、ent of ships ballast water to minimize the transfer of harmful aquatic organisms and pathogens comprise the annex to resolution A.868(20), the text of which is reproduced at the end of the present publication. 1 1 Port State authority means any official or organization authorized by the Government o
22、f 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 potent
23、ially 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, develo
24、ped under technical and scientific guidance, are intended 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
25、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 shou
26、ld 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 Guideline
27、s. 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: information on severe outbreaks or infestations
28、 of harmful aquatic organisms which may pose a risk; copies of current domestic laws and regulations; .1 .2 .3 technical and research information; .4 .5 education materials (such as audio and video tapes) and printed materials; and location and terms of use of alternative exchange zones, contingency
29、 strategies, availability of shore reception facilities, fees, etc. 2 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
30、organizations, copies of any regulations, standards, exemptions or guidelines being applied. Verification and detailed informa- tion concerning port State requirements should be obtained by the ship prior to arrival. 5.3 Port State authorities should provide the widest possible distribu- tion of inf
31、ormation 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 Stat
32、e 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 r
33、espect 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
34、 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 cont
35、ained 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 wat
36、er 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 re
37、quirements for certificates. 7 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 effec
38、tive procedures for ballast water management. Procedures for ships and port States 3 7.1.2 7.1.3 ships operational documentation. Such a plan should address, inter alia: The ballast water management plan should be specific to each ship. The ballast water management plan should be included in the - -
39、 - - 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 s
40、afe disposal of ballast tank sediments. 7.2.2 Discharge of ships 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
41、 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
42、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 an
43、d 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, ships tank(s) and cargo holds, ballast water temperature and salinity as well as the amount of ballast
44、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 ships ballast water management plan. Thi
45、s 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 following information: Consistent with 5.2 above, port States should provide ships with the 4 - details of their r
46、equirements concerning ballast water manage- ment; 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
47、 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 outbre
48、aks, 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 flushi
49、ng is known to be poor. 9 Ships operational procedures 9.1 Precautionary practices 9.1.1 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
