E

MARINE ENVIRONMENT PROTECTION MEPC 79/4/5

COMMITTEE 8 September 2022
79th session Original: ENGLISH
Agenda item 4 Pre-session public release: ☒

HARMFUL AQUATIC ORGANISMS IN BALLAST WATER

Proposal on issuance of a circular giving guidance for filling the Ballast Water
Record Book (BWRB)

Submitted by India

SUMMARY

Executive summary: This document proposes the issuance of a circular, complementing

the proposal for amendments to appendix II to the BWM Convention
(Form of Ballast Water Record Book), providing guidance for
recording operations in the Ballast Water Record Book (BWRB).
This is subject to the Committee approving the proposed
amendments to appendix II of the BWM Convention as detailed in
document MEPC 79/4/4. The intent of the proposed circular is to
provide clarity on information pertaining to ballast water operations
that would need to be recorded by ships.

Strategic direction, 1
if applicable:

Output: 1.21

Action to be taken: Paragraph 14

Related documents: BWM/CONF/36; resolution MEPC.290(71); MEPC 76/4/2,

MEPC 76/4/5, MEPC 76/INF.20; MEPC 78/4/1, MEPC 78/4/4 and
MEPC 79/4/4

Introduction

1 The International Convention for the Control and Management of Ships' Ballast Water
and Sediments, 2004 (BWM Convention) came into force in September 2017. The Committee
subsequently adopted the experience-building phase (EBP) associated with the
BWM Convention through resolution MEPC.290(71). The purpose of the EBP is to monitor
and improve the Convention, resulting in a package of amendments to the Convention and/or
its instruments.

2 Regulation B-2 of the Convention requires that the ship shall have on board a Ballast
Water Record Book (BWRB) which shall at least contain the information specified in
appendix II to the Convention (Form of Ballast Water Record Book). Taking cognizance of
the findings of the EBP as reported in document MEPC 78/4/1, where BWRB entries were
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found to be an issue faced by port States and port State control memorandums of
understanding (MoUs) and taking into consideration the comments and information in
documents MEPC 78/4/4, MEPC 77/4/9 and MEPC 76/4/2, the Committee recognized that
the current form did not provide sufficient clarity and this had an impact on the operation of
ships.

3 The Committee (MEPC 78) invited interested Member States and international
organizations to submit concrete proposals for amendments to Appendix II of the
BWM Convention (Form of BWRB) to MEPC 79 with a view to approval at this session, using
document MEPC 78/4/4 as the basis and taking into account the relevant comments and
information in documents MEPC 77/4/9 and MEPC 76/4/2 as well as the discussions at
MEPC 78.

4 Paragraph 8 of document MEPC 76/4/2, submitted by Liberia, the Republic of

Korea, Singapore, BIMCO, ICS and INTERTANKO, sought review of the BWRB and to
consider additional guidance similar to entries in the Oil Record Book (ORB), Part 1
(MEPC.1/Circ.736/Rev.2).

Discussion

5 Noting the findings of the EBP and discussions at previous sessions of the
Committee highlighting that BWRB entries were found to be an issue faced by port States
and port State control MoUs, India has drafted a guidance document for recording operations
in the BWRB. The intent of the guidance document "Guidance for recording operations in the
BWRB" is to provide clarity on information pertaining to ballast water operations that would
need to be recorded by ships. Details are provided in the annex to this document.

6 Taking reference from the introduction of the Oil Record Book, the document
"Guidance for recording operations in the BWRB" is proposed to be issued as a circular. It is
proposed that the circular be issued as a separate BWM circular and not as part of the
amendments to appendix II of the BWM Convention (Form of BWRB).

7 This is subject to the Committee approving the proposed amendments to appendix II

of the BWM Convention as detailed in document MEPC 79/4/4.

8 Salient points of the document "Guidance for recording operation in the BWRB" have
been included in annex 3 to document MEPC 79/4/4 for the Committee's consideration and
further discussions. If document MEPC 79/4/4 does form the basis of work on the revised
BWRB, any amendments proposed in the same through annex 3 to document MEPC 79/4/4
could be incorporated in the proposed circular as well.

9 The proposed circular and guidance for recording operations in BWRB detailed in
this document is submitted by India in response to the call by the Committee (MEPC 78) to
submit concrete proposals for the Committee's consideration at this session.

Proposal

10 As we move into the convention review stage for the experience-building phase
associated with the BWM Convention, there is a need to expedite the review and amendment
of appendix II, to ensure the correct recording of all the relevant details in an unambiguous
format in ballast operations and issue corresponding guidance for recording entries.

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11 This would address one of the findings of the EBP about "Incorrect Entries in the
BWRB (70%)" and also ensure clarity and ease of recording the events in line with the
operations. This is essential to demonstrate compliance with the BWM Convention with
correct entries in the BWRB in order to avoid penalization by PSC authorities.

12 The proposed circular and guidance document "Guidance for recording operation in
the BWRB" as provided in the annex is proposed to be issued in conjunction with the proposed
amendments to Appendix II of the BWM Convention (Form of BWRB) as per annexes 1 and
2 to document MEPC 79/4/4 as considered by the Committee and is accordingly submitted
for consideration of the Committee.

13 If the Committee decides to approve the "Guidance for recording operation in the
BWRB" at this session to address the findings on the EBP and provide clarity on information
pertaining to ballast water operations that would need to be recorded by ships, it is further
proposed that the approved Guidance be included in the list of issues to be addressed
through the BWM Convention review stage that is envisaged to be completed by 2026.

Action requested of the Committee

14 The Committee is invited to consider the discussion in paragraphs 5 to 9 including

the proposal given in paragraphs 10 to 13 of this document, and take action, as appropriate.

***

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ANNEX
PROPOSED BWM.2 CIRCULAR ON GUIDANCE FOR THE RECORDING OF
OPERATIONS IN THE BALLAST WATER RECORD BOOK (BWRB)

1 The Marine Environment Protection Committee, at its …………….. session, (DD to

DD MMM YYYY), approved the text of the Guidance for recording of operations in the Ballast
Water Record Book (MEPC XX/XX, paragraph …..), set out in the annex.

2 The Guidance is intended to facilitate compliance with the Ballast Water

Management (BWM) Convention requirements on board ships by providing advice to crews
on how to record the various operations in the Ballast Water Record Book by using the correct
codes and item numbers in order to ensure a more uniform port State control procedure.

3 Administrations of Parties to the BWM Convention are invited to encourage

implementation of the annexed Guidance for use on board ships flying their flags and to
disseminate it among all stakeholders including ship operators, surveyors and port State
control officers.

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ANNEX

Examples for the recording of operations in the Ballast Water Record Book

Code A – When ballast water is taken on board (ballasting operation)

1. Start time and location (port of uptake / if at sea mention lat/long and depth of water)

2. Completion time and location (port of uptake / if at sea mention lat/long and
minimum depth of water)

3. Estimated volume of uptake and final total quantity retained in cubic metres

4. Whether conducted in accordance with the approved BWMP and state method

Example 1: When ballast water is taken on board (ballasting operation) – at port

Date Code Item Record of operations / signature of officer in charge
(letter) (number)
02-JAN-2022 A 1 Start- 09:00 hrs LT on 01-JAN-2022 at Port of (port name)

2 Stop- 1800 hrs LT at Port of (port name)

3 Uptake 6800 m3. Final quantity retained: 7200 m3

4 Yes. Ballasting as per BWMP for D-2 compliance

Signed------------------- Name ------------------Rank-------------

Example 2: When ballast water is taken on board (ballasting operation) – at sea

Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN-2022 A 1 Start- 09:00 hrs LT at Lat xxx.xx.xx / Long yyy.yy.yy at
390 m depth
2 Stop- 1800 hrs LT Lat xxx.xx.xx / Long yyy.yy.yy at 350 m
minimum depth
3 Uptake 6800 m3. Final quantity retained: 7200 m3
4 Yes. Ballasting as per BWMP for D-2 compliance

Signed------------------- Name ------------------Rank-------------

Notes for examples 1 and 2:
1. If the ballast water is taken as per BWMP when the ship complies with regulations
D-1 (ballast water exchange is allowed), then Item 4 entry to be recorded as "Yes.
Ballasting done as per the BWMP D-1 method."
2. If the water is managed through ballast water exchange on a ship which is D-2
certified as per IBWMC, as a contingency measure, the item 4 entry to be
recorded as "Yes. Ballasting done as per the BWMP employing contingency
measure."
3. If the operations cross over the dates, then the entry date must be after
completion of the operation and start date can be mentioned as: "Start 0900 hrs
on 01-JAN-2022 at ….."

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Code B – When ballast water is discharged into the sea (deballasting operation)

1. Start time and location (port of discharge / if at sea mention lat/long)

2. Completion time and location (port of discharge/ if at sea mention lat/long)

3. Estimated volume of discharge and final total quantity retained in cubic metres

4. Whether conducted in accordance with the approved BWMP

Example 3a: When ballast water is discharged into the sea (deballasting operation) – at port
Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN-2022 B 1 Start - 09:00 hrs at port (name of port)
2 Stop -16:00 hrs
3 Discharged 8300 m3. Quantity retained :120 m3
4 Yes. Deballasting compliant with D-2 as per BWMP

Signed------------------- Name ------------------Rank-------------

Example 3b: When ballast water is discharged into the sea (deballasting operation) –
at sea
Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN-2022 B 1 Start -09:00 hrs at Lat xxx.xx.xx / Long yyy.yy.yy
2 Stop – 16:00 hrs at Lat xxx.xx.xx / Long yyy.yy.yy
3 Discharged 8300 m3. Quantity retained :120 m3
4 Yes. Deballasting compliant with D-2 as per BWMP

Signed------------------- Name ------------------Rank-------------

Example 4a: When ballast water is discharged into the sea (deballasting operation) –
at port
Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN-2022 B 1 Start - 09:00 hrs at port (name of port)
2 Stop -16:00 hrs
3 Discharged 8300 m3. Quantity retained :120 m3
4 Yes. Deballasting compliant with D-1 as per BWMP

Signed----------------- Name ------------------Rank-----------

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Example 4b: When ballast water is discharged into the sea (deballasting operation) –
at sea
Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN- B 1 Start -09:00 hrs at Lat xxx.xx.xx / Long yyy.yy.yy
2022
2 Stop – 16:00 hrs at Lat xxx.xx.xx / Long yyy.yy.yy
3 Discharged 8300 m3. Quantity retained :120 m3
4 Yes. Deballasting compliant with D-1 as per BWMP

Signed----------------- Name ------------------Rank-----------

Notes for examples 3 and 4:
1. If the water is managed through ballast water exchange as per BWMP, then Item
4 entry to be recorded as "Yes. Deballasting compliant with D-1 as per the
BWMP."
2. If the water is managed through ballast water exchange on a ship which is D-2
certified as per IBWMC as a contingency measure, the item 4 entry to be recorded
as "Yes. Deballasting compliant with D-1 as per the BWMP employing
contingency measure."
3. If the water is managed through ballast water exchange plus treatment (BWE +
BWT) on a ship which is D-2 certified as per IBWMC as a contingency measure,
the item 4 entry to be recorded as "Yes. Deballasting compliant with D-2 as per
the BWMP employing BWE + BWT contingency measure."
4. For the BWE or BWE + BWT operations carried out as mentioned in above notes
1 to 3, corresponding entry under Code C is to be recorded separately on
completion of the said operation.
5. If the water is unmanaged as per BWMP, then Item 4 entry to be recorded as "No.
Deballasting not as per the BWMP" and state reason " due to ………..". Failure
of BWMS must be recorded separately under Code F.

Code C – Whenever ballast water is circulated or treated for ballast water management
purposes

1. Ballast water exchange

.1 Start time and location (mention lat/long and depth of water)

.2 Completion time and location (mention lat/long and minimum depth of

water)

.3 Ballast water exchange method (Sequential/Empty-Refill or

Flow-through or Dilution)

.4 Total quantity exchanged and final total quantity on board in cubic

metres

.5 Whether treatment also carried out additionally as per BWMP

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Example 5: Ballast water exchange

Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN-2022 C 1. Start: xx:xx hrs at Lat: xxx.xx.xx/ Long: yyy:yy:yy. Water
depth 800 mtr
1.2 Stop: xx:xx hrs at Lat: xxx.xx.xx/ Long: yyy:yy:yy.
Minimum water depth- 800 mtr
1.3 BWE done through Sequential method (State appropriate
method)
1.4 Total quantity exchanged 16800 m3. Total quantity on
board 16800 m3
1.5 Yes. Water taken in through the BWMS as per BWMP

Signed------------------- Name ------------------Rank-------------

Note: The above example is when the ship carries out exchange with or without treatment.
Enter "No" under C 1.5 in case the water is not treated.

Code C – Whenever ballast water is circulated or treated for ballast water

management purposes

2. Ballast water internal circulation for treatment or in tank treatment.

.1 Start time

.2 Completion time

.3 Total quantity treated in cubic metres

Example 6: Ballast water recirculation for treatment

Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN-2022 C 2.1 Start: xx:xx hrs

2.2 Stop: xx:xx hrs

2.3 Total quantity treated 6800 m3.

Signed------------------ Name -----------------Rank-----------

Notes:
1. Under Code C the operations concern ballast water either taken in from sea for
an exchange process and run sea to sea or tank to tank for the purpose of
meeting D-1 or D-2 compliance.
2. Internal transfers between tanks for the purpose of list / trim corrections need not
be recorded in BWRB Part I and are to be recorded in Part II of the BWRB.
3. Automatic anti heeling tank transfers during cargo operations are not be to be
recorded, provided the total quantity of the ballast water in these tanks remains
constant.

Code D – Uptake or discharge of ballast water from / to shore or reception facility

1. Start time and location of uptake / discharge (state facility name)

2. Completion time

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3. Operation carried out (whether uptake or discharge)

4. Total quantity in cubic metres and final quantity retained on board

5. Whether conducted in accordance with the approved BWMP

Example 7: Uptake of ballast water from shore or reception facility

Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN-2022 D 1 Start at 0900 hrs at port of [port name] from
[facility/company name]
2 Stop at 1800 hrs
3 Uptake of shore treated water into ships ballast tanks
4 Total quantity uptake :18520 m3, Retained: 18520 m3
5 Yes.

Signed------------------- Name ------------------Rank---------

Note: Receipt stating the total ballast water quantity in m3 and the method of treatment
to be attached to BWRB.

Example 8: Discharge of ballast water to shore or reception facility

Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN-2022 D 1 Start at 0900 hrs at port of [port name] from
[facility/company name]
2 Stop at 1800 hrs

3 Discharging to shore

4 Total quantity deballasted: 18520 m3, Retained 20 m3.

5 Yes.

Signed------------------- Name ------------------Rank---------

Note: Receipt stating the total quantity in m3 discharged to be attached to BWRB.

Code E – Accidental or other exceptional uptake or discharge of ballast water

1. Start time and location of uptake / discharge

2. Completion time

3. Operation carried out (whether uptake or discharge)

4. Total quantity of ballast water in cubic metres

5. State the circumstances of uptake, discharge, escape or loss, the reason thereof
and general remarks

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Example 9: Accidental or other exceptional uptake of ballast water

Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN-2022 E 1 Start: 0900 hrs at Lat: xxx.xx.xx / Long: yyy:yy:yy.
2 Stop: 1800 hrs at Lat: xxx.xx.xx / Long: yyy:yy.yy
3 Uptake of ballast water
4 Total quantity intake- 8000 m3

5 State the reason with the identification of tanks involved

Signed------------------- Name ------------------Rank---------

Example 10: Code E - Accidental or other exceptional discharges of ballast water

Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN-2022 E 1 Start: 0900 hrs at Lat: xxx.xx.xx / Long: yyy:yy:yy.
2 Stop: 1800 hrs at Lat: xxx.xx.xx / Long: yyy:yy.yy
3 Discharge of ballast water

4 Total quantity discharged- 8000 m3

5 State the reason with the identification of tanks involved

Signed------------------- Name ------------------Rank---------

Code F – Failure of ballast water management system (BWMS)

1. Time and location (port name or lat/long) of failure of the ballast water management
system.

2. Operation carried out (tate whether uptake or discharge).

3. Total quantity of unmanaged ballast water in cubic metres.

4. Reason for failure (e.g. kind of alarm or other description of circumstances).

5. Time and location (port name or lat/long) when the ballast water management
system has been made operational.

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Example 11: Failure of BWMS during uptake due to fault in the BWMS
Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN-2022 F 1 At 0900 hrs LT in [Port name] or [Lat / Long]
2 Failure during uptake of ballast

3 Total quantity of ballast water unmanaged taken in after

failure: 2400 m3
4 Failure of the BWMS due to defect in BWMS [state
component if known]
5 BWMS repaired and put into operation at 1500 hrs.
(on dd/MON/yyyy in case it is done at a later date)

Signed------------------- Name ------------------Rank---------

Note: In case the BWMS is not made operational, the item 5 can be entered
once the repair is completed.
Example 12: BWMS is made operational after a failed BWMS is repaired
Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN- F 5 At 0900 hrs LT in [Port name] or [Lat / Long] the BWMS is
2022 made operational

Signed------------------- Name ------------------Rank---------

Example 13: Failure of BWMS during uptake due to port with challenging water
quality
Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN-2022 F 1 At 0900 hrs LT in [Port name] or [Lat / Long]

2 Failure during uptake of ballast

3 Total quantity of ballast water managed on board: 8400

m3
4 Failure of the BWMS operations due to high turbidity

Signed------------------- Name ------------------Rank---------

Example 14: Failure of BWMS during discharge of ballast due to fault in the
BWMS
Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN-2022 F 1 At 0900 hrs LT in [Port name] or [Lat / Long]
2 Failure during discharge of ballast

3 Total quantity of unmanaged ballast water on board

8400 m3
4 Failure of the BWMS due to defect in BWMS [state
component if known]

Signed------------------- Name ------------------Rank---------

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Code G – Ballast tank cleaning, collection and disposal of ballast sediments

1. Start time and location of ballast tank cleaning operation.

2. Completion time and location of ballast tank cleaning operation.

3. Tank(s) identification (name of the ballast tanks as per the BWMP).

4. To reception facility (state quantity discharged in cubic metres and name of the
facility).

5. To overboard discharge as per BWMP (state quantity discharge in m3, minimum

distance in nm from land and minimum depth in metres of water).

Example 15: Ballast tank cleaning, collection and disposal of ballast sediments to port
reception facility
Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN-2022 G 1 Start at 0900 hrs LT in [Port name]
2 Stop at 1800 hrs

3 Tank ID, Tank ID, Tank ID and Tank ID

4 To shore reception facility

Signed------------------- Name ------------------Rank---------

Note: Ships' master should obtain from the operator of the reception facilities, which includes
barges and tank trucks, a receipt or certificate detailing the quantity of ballast water
transferred, together with the time and date of the transfer. This receipt or certificate, if
attached to the BWRB, may aid the master of the ship in proving that their ship was not involved
in an alleged violation.

Example 16: Ballast tank cleaning, collection and disposal of ballast sediments at sea
Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN-2022 G 1 Start at 0900 hrs LT at Lat xxx.xx.xx / Long yyy.yy.yy
2 Stop at 1800 hrs at Lat xxx.xx.xx / Long yyy.yy.yy

3 Tank ID, Tank ID, Tank ID and Tank ID

5 To overboard discharge as per BWMP at a distance of

800 nm from nearest land and minimum depth of 1200 m.

Signed------------------- Name ------------------Rank---------

Note: Ballast tank cleaning / flushing operations by means like sloshing of water as mentioned
in the BWMP for the purpose of cleaning of the ballast tanks including removing of sediments.

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Code H: Additional operational procedure and general remarks

Example 17: Entry for a missed operation

Date Code Item Record of operations / signature of officer in charge
(letter) (number)
dd-MON-yyyy H Entry pertaining to an earlier missed operational entry
(1)

Signed------------------- Name ------------------Rank---------

dd-MON- Entry pertaining to actual operation with applicable Code /
yyyy (2) Item number

Signed------------------- Name ------------------Rank---------

Notes:
1. Date (1) to be the date of the original operation and Date (2) to be the current
date, i.e. the date the entry is made.
2. Signed (1) signature of officer making I entry and signed (2) signature of officer
making missed entry.

Example 18: Use of ballast tank for non-ballast purpose / sealing of ballast tank
valves
Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN-2022 H Ballast tank (Mention Tank ID) valve number #123
sealed
At hh:mm (seal number xxxx). Tank put into use for

holding cargo hold water washing (mention the use)

Signed------------------- Name ------------------Rank---------

Notes:
1. This entry is required to be made whenever a ballast tank is used for purpose
other than for ballasting purpose. Corresponding entry to be made in BWRB
Part II.
2. Similar entry under Code H is to be made when the tank is put back into use for
ballast purpose.

Example 19: Reporting to flag or port State of a failure of the BWMS

Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN- H BWMS failed at xx:xx hrs. Flag State informed and
2022
contingency plan applied as per the approved BMWP.

Port of call (Name port / county) informed

Signed------------------- Name ------------------Rank---------

Notes:
1. This entry must be preceded by a Code F entry capturing the details of the BWMS
failure as shown in example 11.
2. The operation under the contingency must be subsequently recorded under
appropriate code (Deballasting / BWE / BWE + BWT etc.).

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3. The discharge of the water as per contingency plan to be recorded under the
appropriate code regarding the discharge, e.g.: Discharged under Code B
following example 3 and 4 and considering the footnotes.

Example 20: Ship unable to perform ballast water exchange due to safety reasons,
e.g. bad weather
Date Code Item Record of operations / signature of officer in charge
(letter) (number)
01-JAN-2022 H Ship unable carry out BWE due to ……… (state reason)

Port of call (Name port / county) informed

Signed------------------- Name ------------------Rank---------

Note: This entry is to be made for safety (bad weather) or operational related issues
(e.g. ship's route does not pass-through areas where distance from nearest land is always
less than 50 nm and/or 200 m depth).

___________

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