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INTERNATIONAL MARITIME ORGANIZATION

IMO

E

MARINE ENVIRONMENT PROTECTION COMMITTEE 49th session Agenda item 22

MEPC 49/22/Add.1 13 August 2003 Original: ENGLISH

REPORT OF THE MARINE ENVIRONMENT PROTECTION COMMITTEE ON ITS FORTY-NINTH SESSION

Attached are annexes 1 to 12 to the report of the Marine Environment Protection Committee on its forty-ninth session (MEPC 49/22).

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MEPC 49/22/Add.1


ANNEX 1

AGENDA FOR THE FORTY-NINTH SESSION

INCLUDING LIST OF DOCUMENTS

1 Adoption of the agenda MEPC 49/1 Secretariat Provisional agenda MEPC 49/1/Add.1 Secretariat Relaxed deadlines for the submission

of comments on MEPC 49/16/1 MEPC 49/1/1 Secretariat Annotations and provisional timetable MEPC 49/1/1/Corr.1 Secretariat Proposed working/drafting groups and

revised provisional timetable 2 Harmful aquatic organisms in ballast water (WG) MEPC 49/2 Brazil Consideration of GESAMP�s advice

on ballast water matters MEPC 49/2/1 Argentina, Bolivia,

Brazil, Chile, Colombia, Ecuador, Honduras, Peru Uruguay and Venezuela

Draft International Convention for the Control and Management of Ships� Ballast Water and Sediments

MEPC 49/2/2 Brazil Proposed amendments to the Regulations of the draft International Convention for the Control and Management of Ships� Ballast Water and Sediments

MEPC 49/2/3 Report of the Second Intersessional Meeting of the MEPC Ballast Water Working Group

MEPC 49/2/4 Brazil Assessment of the efficacy of ballast water exchange through the analysis of physical, chemical, biological and microbiological variables

MEPC 49/2/5 United States Phased in implementation of Ballast Water Standards

MEPC 49/2/6 Secretariat Concept of the Continuation of the IMO/UNDP/GEF Project �Ballast Water Management� (GloBallast)

MEPC 49/2/7 ISAF Draft International Convention for the Control and Management of Ships Ballast Water and Sediments

MEPC 49/2/8 United Kingdom Guidelines for Ballast Water Exchange

MEPC 49/22/Add.1 ANNEX 1 Page 2


MEPC 49/2/9 Brazil Proposal for the standardization of

indicators for assessment of the microbiological quality of ballast water

MEPC 49/2/10 Italy Comments on the draft text of the International Convention for the Control and Management of Ships' Ballast Water and Sediments

MEPC 49/2/11 IACS Standards for Ballast Water Exchange (BWE)

MEPC 49/2/12 India Input for development of Guidelines on Ballast Water Sampling

MEPC 49/2/13 IUCN, FOEI and WWF

Ballast Water Treatment comments to MEPC-IBWWG 2/3 (CEFIC)

MEPC 49/2/14 The Netherlands and Singapore

Draft International Convention for the Control and Management of Ships' Ballast Water and Sediments

MEPC 49/2/15 The Netherlands Type approval procedure for ballast water treatment systems

MEPC 49/2/16 The Netherlands The use of chemical or biocidal treatment options

MEPC 49/2/17 Brazil Proposals for the improvement of the draft Convention for the Control and Management of Ships' Ballast Water and Sediments

MEPC 49/2/18 United States Additional outstanding issues MEPC 49/2/19 Norway Proposal for modification of

Regulation E-2 Ballast Water Performance Standard

MEPC 49/2/20 Norway Proposal for modification of Regulation A-4 and development of Guidelines on Assessment of Risk Related to Discharge of Unmanaged Ballast Water

MEPC 49/2/21 ICES Comments on draft Regulation E-2 Concentrations of organisms delivered in ships' ballast water in the absence of any treatment: Establishing a baseline for consideration of treatment efficacy

MEPC 49/2/22 ICS Comments on the draft Convention MEPC 49/2/23 ICS Draft guidelines for Development of

Ballast Water Management Plans MEPC 49/2/24 Norway Proposal for draft Guidelines for Type

Approval of Ballast Water Treatment Systems

MEPC 49/2/25 Japan Ballast Water Performance Standard MEPC 49/2/26 Japan Comments on the draft Convention MEPC 49/2/27 Japan Guidelines for Type Approval of

Ballast Water Treatment System

MEPC 49/22/Add.1 ANNEX 1

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MEPC 49/2/28 Japan Ballast Water Exchange (BWE) MEPC 49/2/29 Japan Proposal for sampling of ships� ballast

water MEPC 49/2/30 Israel Equivalent compliance for recreational

vessels MEPC 49/2/31 Israel Ships unable to conduct ballast water

exchange due to time/route constraints MEPC 49/2/32 Secretariat Draft Conference resolution on

promotion of technical co-operation MEPC 49/INF.6 Secretariat Draft International Convention for the

Control and Management of Ships� Ballast Water and Sediments: Text in �strike-out� version

MEPC 49/INF.9 Germany R&D project to develop ballast water treatment techniques on board vessels

MEPC 49/INF.16 EU Mitigation measures for ballast water management: Results and recommendations from the EU co-funded project SEAM

MEPC 49/INF.17 EU Treatment and Management of ballast water to control introduction of non-indigenous species (on-board treatment of ballast water): Results and recommendations from the EU co-funded project MARTOB

MEPC 49/INF.26 Brazil Remarks on Ballast Water Management by Ships

MEPC 49/INF.27 India GloBallast Programme Activities in India

MEPC 49/INF.28 IOC of UNESCO Ballast Water Background Paper by the Intergovernmental Panel on Harmful Algal Blooms, May 2003 edited by Dr. Gustaaf Hallegraeff

MEPC 49/INF.29 Germany Results of a R&D project on the development of a ballast water treatment plant

MEPC 49.INF.31 United States Summary of an International Workshop on Ballast Water Discharge Standards

MEPC 49/INF.32 Ukraine Status report on GloBallast Programme Activities � Ukraine

MEPC 49/INF.35 Secretariat Development of International Guidelines and Standards for Ballast Water Sampling

MEPC 49/INF.36 Secretariat Development of International Guidelines and Standards for Surveys and Monitoring of Invasive Aquatic Species in port Areas



3 Recycling of ships (WG) MEPC 49/3 Secretariat International Co-operation MEPC 49/3/1 Report of the Correspondence Group MEPC 49/3/2 Greenpeace

International Comments on the Report of the Correspondence Group: Selected cases of decommissioning of vessels indicating the need for mandatory requirements

MEPC 49/3/3 India Comments on the Report of the Correspondence Group to MEPC 49

MEPC 49/3/4 Greenpeace International

Comments on the Report of the Correspondence Group: Compliance with the Basel Convention

MEPC 49/3/5 Japan Comments on the Report of the Correspondence Group

MEPC 49/INF.4 Secretariat Recycling of ships MEPC 49/INF.8 Secretariat Draft ILO Guidelines on Safety and

Health in Shipbreaking 4 Prevention of air pollution from ships (WG) MEPC 49/4 Norway Report of the Correspondence Group

on Greenhouse Gas Emissions from Ships

MEPC 49/4/1 The Netherlands Sulphur monitoring 2002 MEPC 49/4/2 Secretariat Report of the IMO/UNFCCC Meeting MEPC 49/4/3 Germany Proposal for a CO2-indexing method

for ship machinery combining design parameters and operation

MEPC 49/4/4 United Kingdom Comments on the development of draft Assembly resolution for IMO policies and practices related to reduction of greenhouse gas emissions from ships

MEPC 49/4/5 Norway Proposal for elements to be included in an IMO strategy on greenhouse gases

MEPC 49/4/6 Norway Commitments under the Convention on Climate Change and the Kyoto Protocol

MEPC 49/INF.10 Japan On-board NOx measurement and monitoring

MEPC 49/INF.18 Singapore Guidelines for the Sampling of Fuel Oil for Determination of Compliance with Annex VI of MARPOL 73/78


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MEPC 49/INF.19 Germany Proposal for a CO2-indexing method for ship machinery combining design operation parameters and The proposed methodology and statistical data

5 Consideration and adoption of amendments to mandatory instruments (DG) MEPC 49/5 Secretariat Amendments to Annex I of

MARPOL 73/78 MEPC 49/5/1 Secretariat Amendments to Annex I of

MARPOL 73/78 6 Harmful anti-fouling systems for ships MEPC 49/6 Secretariat Draft Guidelines under the AFS

Convention MEPC 49/6/1 Japan Methodology of Sampling and

analysis of anti-fouling systems on ships

MEPC 49/6/2 OECD Information concerning the Organisation for Economic Co-operation and Development (OECD) project on the development of an environmental emission scenario document on anti-fouling system

MEPC 49/6/3 Denmark Guidelines for Sampling of anti-fouling systems on ships

MEPC 49/INF.21 Japan Comments on the tin content in the anti-fouling paints of ships

7 Implementation of the OPRC Convention and the OPRC-HNS Protocol and relevant

conference resolutions MEPC 49/7 Russian Federation Combating Manuals/Guidelines MEPC 49/7/1 United Kingdom Progress Report of the

Correspondence Group on the Revision of the Manual on Chemical Pollution � Section 2: Search and Recovery of Packaged Goods Lost at Sea

MEPC 49/7/2 Australia, Canada, New Zealand and ITOPF

Draft Terms of Reference for the OPRC/OPRC-HNS Technical Group

MEPC 49/7/3 France Combating Manuals/Guidelines: Revised Draft Guidance Document for Decision Making and Implementation of Bioremediation in Marine Oil Spills



MEPC 49/7/3/Corr.1 France Corrigendum MEPC 49/INF.15 IMarEST Marine incidents involving

�Hazardous and Noxious Substances (HNS)�

MEPC 49/INF.20 Secretariat Report of the IMO/UNEP Forum on Regional Arrangements for Co-operation in Combating Marine Pollution Incidents

MEPC 49/INF.22 India Implementation of OPRC Convention in India � A Report

8 Identification and protection of Special Areas and Particularly Sensitive Sea Areas MEPC 49/8 Australia and Papua

New Guinea Extension of Existing Great Barrier Reef PSSA to include the Torres Strait Region

MEPC 49/8/1 Belgium, France, Ireland, Portugal, Spain and the United Kingdom

Designation of a Western European Particularly Sensitive Sea Area

MEPC 49/8/1/Corr.1 Belgium, France, Ireland, Portugal, Spain and the United Kingdom

Corrigenda

MEPC 49/8/1/Add.1 Belgium, France, Ireland, Portugal, Spain and the United Kingdom

Designation of a Western European Particularly Sensitive Sea Area

MEPC 49/8/2 WWF Draft Guidance Document on Associated Protective Measures for Particularly Sensitive Sea Areas

MEPC 49/8/3 WWF The Baltic Sea � a globally unique and vulnerable sea area

MEPC 49/8/4 WWF Designation of a Western European Particularly Sensitive Sea Area: comments on document MEPC 49/8/1

9 Inadequacy of reception facilities No documents submitted under this agenda item 10 Reports of sub-committees MEPC 49/10 Japan Proposed 4-Category system under

MARPOL Annex II MEPC 49/10/Corr.1 Japan Corrigendum MEPC 49/10/1 Japan and the United

States Revision of Annex II of MARPOL 73/78 for a 4-Category system


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MEPC 49/10/2 Secretariat Outcome of BLG 8 MEPC 49/10/2/Corr.1 Secretariat Corrigendum MEPC 49/10/3 Secretariat Outcome of DE 46 MEPC 49/10/4 Secretariat Outcome of FSI 11 MEPC 49/10/5 Republic of Korea Comments on operational discharge

requirements of the proposed Category Systems under MARPOL Annex II taking into account the domestic trades

MEPC 49/10/6 ISO Outcome of BLG 8 on FPSOs and FSUs ISO standards for floating structures and stationkeeping

MEPC 49/10/7 Germany, the Netherlands, Norway and Sweden

Analysis of the 4-Category system as proposed in document MEPC 49/10

MEPC 49/10/8 Republic of Korea Comments on the draft Guidelines for on-board NOx verification procedure -Direct measurement and monitoring method

MEPC 49/10/9 United States Revisions to MEPC.60(33) and A.586(14)

MEPC 49/10/10 Japan Proposal for Review of Pollution Categorization and Ship Typing Criteria

11 Work of other bodies MEPC 49/11 Secretariat Outcome of C 89 MEPC 49/11/1 Secretariat Outcome of the United Nations Sub-

Committee of Experts on the Globally Harmonized System of Classification and Labelling of Chemicals

MEPC 49/11/2 Secretariat Outcome of MSC 76 MEPC 49/11/3 Secretariat Possible future work for the

GESAMP/EHS Working Group MEPC 49/11/4 Secretariat Outcome of GESAMP/EHS 39 MEPC 49/11/5 Secretariat Outcome of the 33rd session of

GESAMP MEPC 49/11/6 Secretariat Outcome of MSC 77 MEPC 49/11/7 Secretariat Proposed IMO Model Audit Scheme

Report of the Joint MSC/MEPC/TCC Working Group on the Voluntary IMO Model Audit Scheme

MEPC 49/11/7/Add.1 Secretariat Outcome of MSC 77 - Proposed IMO Model Audit Scheme



MEPC 49/11/8 Secretariat Outcome of FAL 30 and the SPI

Working Group MEPC 49/11/9 Secretariat Outcome of C 90 MEPC 49/INF.23 Secretariat List of products requiring additional

data to complete those aspects of the revised GESAMP Hazard Profile needed to assign Pollution Categories and Ship Types

MEPC 49/INF.24 Secretariat Consolidated list of GESAMP Hazard Profiles with resultant Pollution Categories and Ship Types

12 Status of conventions MEPC 49/12 Secretariat Status of conventions

13 Promotion of implementation and enforcement of MARPOL 73/78 and related

instruments MEPC 49/13 Secretariat Communication of CAS information

to EQUASIS MEPC 49/13/1 OECD Cost Savings Stemming from Non-

Compliance with International Regulations in the Maritime Sector

MEPC 49/13/2 Singapore Standards on the discharge of sewage MEPC 49/13/3 SPREP Promotion and Implementation and

Enforcement of MARPOL 73/78 and Related Instruments

MEPC 49/13/4 France, Singapore, Spain and the United Kingdom

Communication of CAS information to Equasis

MEPC 49/INF.5 Australia Court decision on the meaning of �damage� in MARPOL 73/78

MEPC 49/INF.7 OECD Cost Savings Stemming from Non-Compliance with International Regulations in the Maritime Sector

14 Follow-up to UNCED and WSSD MEPC 49/14 Secretariat Outcome of WSSD MEPC 49/14/1 Secretariat Draft Assembly resolution


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15 Technical co-operation programme MEPC 49/INF.11 ROPME/MEMAC Activities by ROPME/MEMAC on

Protection of the Marine Environment in the ROPME Sea Area

MEPC 49/INF.12 Secretariat Implementation of the Protocol to the Barcelona Convention concerning co-operation in combating pollution in the Mediterranean Sea by oil and other harmful substances in cases of emergency-New Prevention and Emergency Protocol to the Barcelona Convention

MEPC 49/INF.13 Secretariat Regional Programme on Building Partnerships in Environmental Management for the Seas of East Asia (PEMSEA)

MEPC 49/INF.14 Secretariat Status Report on the Programme Activities on a region-by-region basis (January 2001-December 2002)

16 Interpretation and amendments of MARPOL 73/78 and related instruments MEPC 49/16 INTERTANKO and

OCIMF Revision of MARPOL Annex I Water in Cargo Tanks � Improvement of Unified Interpretation 4.1.1

MEPC 49/16/1 Austria, Belgium, Denmark, Finland, France, Germany, Greece, Ireland, Italy, Luxembourg, The Netherlands, Portugal, Spain, Sweden, the United Kingdom and the European Commission

Proposed amendments to Annex I of MARPOL 73/78

MEPC 49/16/2 Secretary-General Consideration of the proposed amendments to MARPOL Annex I Establishment of an Informal Group of Experts on Impact Assessment of the Proposals

MEPC 49/16/3 Australia Recording disposals of cargo residues (Annex V)

MEPC 49/16/4 The Bahamas Investigation into the loss of the Bahamian tanker Prestige

MEPC 49/16/5 Secretariat Implementation of Annex IV of MARPOL 73/78



MEPC 49/16/6 Norway Protection of fuel tanks MEPC 49/16/7 BIMCO Comments to document

MEPC 46/16/1 by the EU Member States and the European Commission

MEPC 49/16/8 AWES Comments on submission by the Bahamas on the investigation into the loss of Prestige

MEPC 49/16/9 India Comments on the proposed amendments to MARPOL Annex I submitted by EU countries

MEPC 49/16/10 Japan Comments on the document MEPC 49/16/1 relating to the amendments to MARPOL Annex I

MEPC 49/16/11 Brazil Comments on the proposals submitted by European Union on amendments to MARPOL Annex I contained in document MEPC 49/16/1

MEPC 49/16/12 INTERTANKO Comments on paper MEPC 49/16/1 by the EU Member States and the European Commission

MEPC 49/INF.30 BIMCO Comments on document MEPC 49/16/1 by the EU Member States and the European Commission

MEPC 49/INF.33 BIMCO Comments to paper MEPC 49/16/1 by the EU Member States and the European Commission

MEPC 49/INF.34 Secretariat Report of the Expert Group on Impact Study of the Proposed Amendments to MARPOL Annex I

MEPC 49/INF.34/Add.1 Secretariat Report of the Heavy Oil Sub-Group of the Expert Group

17 Future role of formal safety assessment and human element issues MEPC 49/17 United Kingdom Draft proposal on the use of Formal

Safety Assessment (FSA) Methodology

MEPC 48/16 Joint MSC/MEPC Working Group on the Human Element

MEPC 48/16/1 Secretariat Outcome of MSC 75


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18 Application of the Committees� Guidelines MEPC 49/18 Secretariat Outcome of MSC 76 MEPC 49/18/1 Secretariat Draft rearranged text of the Guidelines

on the organization and method of work of the MSC and MEPC and their subsidiary bodies

19 Work programme of the Committee and subsidiary bodies MEPC 49/19 Secretariat Work programmes and provisional

agendas of the BLG and FSI Sub-Committees

MEPC 49/19/1 Secretariat Work programmes of the DSC, NAV, DE, SLF and STW Sub-Committees which relate to environmental issues

MEPC 48/18/2 Report of the Chairmen�s Meeting 20 Election of the Chairman and Vice Chairman for 2004 No documents submitted under this agenda item 21 Any other business MEPC 49/21 Secretariat Reporting procedure of observed

dumping incidents which may be in violation of international ocean dumping treaties (London Convention 1972 and the 1996 Protocol thereto)

MEPC 49/21/1 Monaco Activities of the Principality of Monaco relating to the Barcelona Convention and its Protocols

MEPC 49/INF.2 Secretariat Sustainable Development Strategy for the Seas of East Asia � under preparation by PEMSEA

MEPC 49/INF.3 Argentina and Chile Patrulla Antártica Naval Combinada MEPC 49/INF.25 FOEI Marine Environment Awareness

Course

MEPC 48/20 Jamaica Recommendations of the IMO/UNEP Workshop on Marine Pollution Prevention and Environmental Management in Ports in the Wider Caribbean Region (Jamaica: 20-24 May 2002)

MEPC 48/20/2 Secretariat Reporting procedures being developed concerning dumping in alleged contravention of the London Convention 1972



MEPC 48/INF.9 FOEI Marine Environment Awareness

Course English Pilot Course at The Royal Netherlands Institute for Sea Research

MEPC 48/INF.17 Secretariat The Marine Electronic Highway Project Report on the Implementation of the GEF/World Bank/IMO PDF Block B Grant, Development of a Regional Marine Electronic Highway in the East Asian Seas

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MEPC 49/22/Add.1


ANNEX 2

DRAFT INTERNATIONAL CONVENTION FOR THE CONTROL AND

MANAGEMENT OF SHIPS� BALLAST WATER AND SEDIMENTS THE PARTIES TO THE CONVENTION, RECALLING that Article 196(1) of the 1982 United Nations Convention on the Law of the Sea (UNCLOS) 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 and 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) and 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 or resources, RECOGNIZING the importance placed on this issue by the Organization through the adoption of two Assembly resolutions, A.774(18) in 1993 and A.868(20) in 1997, to address the transfer of Harmful Aquatic Organisms and Pathogens, RECOGNIZING FURTHER that several States have taken unilateral 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 risk 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 the 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 their 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 a 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 regulation contained in Annex I of 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 including estuaries, or into fresh water courses, may create hazards to the environment, human health, property or resources, impairment of biological diversity or interfere with other legitimate uses of such areas. 9 "Organization" means the International Maritime Organization.


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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 Each Party undertakes to give full and complete effect to the provisions of the Convention and the Annex 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 the Convention. Unless expressly provided otherwise, a reference to the Convention constitutes at the same time a reference to the Annex. [3 Nothing in the Convention shall be interpreted as preventing a Party from taking, individually or jointly, 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. [A Party requiring more stringent measures shall seek approval from the Organization, on the basis of clear evidence that adequate reception facilities or other means are provided to assist ships holding a Certificate under the Convention to meet the more stringent standards.][A Party requiring more stringent measures shall notify the Organization of such measures and any relevant information to assist ships holding a Certificate under the Convention.]] 4 Parties shall endeavour to co-operate for the purpose of effective implementation, compliance and enforcement of the Convention. 5 The 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 the Convention shall endeavour not to impair or damage the environment, human health, property or resources 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. 8 Parties shall encourage ships entitled to fly their flag, and to which the Convention applies, to avoid, as far as practicable, the uptake of 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 related to Ballast Water Management.



Article 3 Application 1 Except as expressly provided otherwise in the Convention, the 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 The Convention shall not apply to:

(a) ships not designed or constructed to carry Ballast Water; (b) ships of a Party which operate exclusively 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 the environment, human health, property or resources of adjacent or other States;

(c) ships of a Party which operate exclusively 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 the environment, human health, property or resources of adjacent or other States. Any Party not granting such authorization shall notify the Administration of the ship concerned that the Convention applies to such ship;

(d) ships which operate exclusively in waters under the jurisdiction 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 the environment, human health, property or resources of adjacent or other States; and

(e) any warship, naval auxiliary or other ship owned or operated by a Party 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 the Convention.

3 With respect to ships of non-Parties to the Convention, Parties shall apply the requirements of the 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 entitled to fly its flag or operating under its authority comply with the requirements set forth in the Convention, including the applicable standards and requirements in the Annex, and shall take effective measures to ensure that ships comply with those requirements.


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[2 Each Party shall, in accordance with its particular conditions and capabilities, develop national policies, strategies or programmes for Ballast Water Management in its ports and coastal waters that accord with, and promote the attainment of the objectives of this Convention.] Article 5 Sediment Reception Facilities 1 Each Party undertakes to ensure as soon as practicable that ports and terminals where cleaning or repair of ballast tanks occurs, have adequate reception facilities for the reception of Sediments. Such reception facilities shall operate without causing undue delay to ships and shall provide for the disposal of such Sediments that does not damage or injure the environment, public health, property and resources. 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 The 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 the 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 A 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 additional measures pursuant to 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 the 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 the Convention within the jurisdiction of any Party shall be prohibited and sanctions shall be established therefore 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 penalties provided for by the laws of a Party pursuant to this Article shall be adequate in severity to discourage violations of the Convention wherever they occur. Article 9 Inspection of Ships 1 A ship to which the 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 the Convention. Except as provided in Article 10.2, any such inspection is limited to:

(a) verifying that there is onboard a valid Certificate, which, if valid shall be accepted; and/or

(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 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 In the case that the 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


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(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 an unreasonable 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 the Convention. 2 If a ship is detected to have violated the 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 an unreasonable 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, including results received from another port or offshore terminal, indicating that the ship poses an unreasonable 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 the 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 the Convention, when practicable, the master shall be notified. A report, including evidence of the violation, if any, shall be forwarded to the Administration. 2 In the event that any action is taken pursuant to Article 9.3 or Article 10.2 or 10.3, the officer carrying out such action shall forthwith inform, in writing, the Administration whose flag the ship is entitled to fly, 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 of this Article, notify the next port of call of all relevant information about the violation, if it is unable to take action as specified in Articles 9.3 or 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 Articles 7.2, 8, 9 and 10 of the Convention. 2 When a ship is unduly detained or delayed under Articles 7.2, 8, 9 and 10 of the Convention, it shall be entitled to compensation for any loss or damage suffered. Article 13 Regional Co-operation In order to further the objectives of the 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 the conclusion of regional agreements consistent with the Convention. Parties 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 the 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 the Convention for reasons specified in Regulation A-3 of the Annex.

2 The Organization shall notify Parties of the receipt of any communications under the present Article and circulate to all 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 the 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 the 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.


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Article 17 Signature, Ratification, Acceptance, Approval and Accession 1 The Convention shall be open for signature by any State at the Headquarters of the Organization from [ ] to [ ] 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 the Convention, it may at the time of signature, ratification, acceptance, approval, or accession declare that the 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 the Convention applies Article 18 Entry into Force 1 The Convention shall enter into force [to be developed]. 2 For States which have deposited an instrument of ratification, acceptance, approval or accession in respect of the Convention after the requirements for entry into force thereof have been met, but prior to the date of entry in force, the ratification, acceptance, approval or accession shall take effect on the date of entry into force of the 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 the Convention enters into force shall take effect three months after the date of deposit. 4 After the date on which an amendment to the Convention is deemed to have been accepted under Article 19, any instrument of ratification, acceptance, approval or accession deposited shall apply to the Convention as amended. Article 19 Amendments 1 The Convention may be amended by either of the procedures specified in the following paragraphs.



2 Amendments after consideration within the Organization:

(a) Any Party may propose an amendment to the Convention. A proposed amendment shall be submitted to the Secretary-General, who shall then circulate it to the Parties and Members of the Organization at least six months prior to its consideration.

(b) An amendment proposed and circulated as above shall be referred to the

Committee for consideration. Parties, whether or not Members of the Organization, shall be entitled to participate in the proceedings of the Committee for consideration and adoption of the amendment.

(c) Amendments shall be adopted by a two-thirds majority of the Parties present and

voting in the Committee, on condition that at least one-third of the Parties shall be present at the time of voting.

(d) Amendments adopted in accordance with subparagraph (c) shall be communicated

by the Secretary-General to the Parties for acceptance. (e) An amendment shall be deemed to have been accepted in the following

circumstances:

(i) An amendment to an article of the Convention shall be deemed to have been accepted on the date on which two-thirds of the Parties have notified the Secretary-General of their acceptance of it.

(ii) An amendment to the Annex shall be deemed to have been accepted at the

end of twelve months after the date of adoption or such other date as determined by the Committee. However, if by that date more than one-third of the Parties notify the Secretary-General that they object to the amendment, it shall be deemed not to have been accepted.

(f) An amendment shall enter into force under the following conditions:

(i) An amendment to an article of the Convention shall enter into force for

those Parties that have declared that they have accepted it six months after the date on which it is deemed to have been accepted in accordance with subparagraph (e)(i).

(ii) An amendment to the Annex shall enter into force with respect to all

Parties six months after the date on which it is deemed to have been accepted, except for any Party that has:

(1) notified its objection to the amendment in accordance with

subparagraph (e)(ii) and that has not withdrawn such objection; or (2) notified the Secretary-General, prior to the entry into force of such

amendment, that the amendment shall enter into force for it only after a subsequent notification of its acceptance.


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(g) (i) A Party that has notified an objection under subparagraph (f)(ii)(1) may subsequently notify the Secretary-General that it accepts the amendment. Such amendment shall enter into force for such Party six months after the date of its notification of acceptance, or the date on which the amendment enters into force, whichever is the later date.

(ii) If a Party that has made a notification referred to in subparagraph (f)(ii)(2)

notifies the Secretary-General of its acceptance with respect to an amendment, such amendment shall enter into force for such Party six months after the date of its notification of acceptance, or the date on which the amendment enters into force, whichever is the later date.

3 Amendment by a Conference:

(a) Upon the request of a Party concurred in by at least one-third of the Parties, the Organization shall convene a Conference of Parties to consider amendments to the Convention.

(b) An amendment adopted by such a Conference by a two-thirds majority of the

Parties present and voting shall be communicated by the Secretary-General to all Parties for acceptance.

(c) Unless the Conference decides otherwise, the amendment shall be deemed to have

been accepted and shall enter into force in accordance with the procedures specified in paragraphs 2(e) and (f) respectively of this Article.

4 Any Party that has declined to accept an amendment to the Annex shall be treated as a non-Party only for the purpose of application of that amendment. 5 Any notification under this Article shall be made in writing to the Secretary-General. 6 The Secretary-General shall inform the Parties and Members of the Organization of:

(a) any amendment that enters into force and the date of its entry into force generally and for each Party; and

(b) any notification made under this Article.

Article 20 Denunciation 1 The Convention may be denounced by any Party at any time after the expiry of two years from the date on which the Convention enters into force for that Party. 2 Denunciation shall be effected by written notification to the Depositary, to take effect one year after receipt or such longer period as may be specified in that notification. Article 21 Depositary 1 The Convention shall be deposited with the Secretary-General, who shall transmit certified copies of the Convention to all States which have signed the Convention or acceded thereto.



2 In addition to the functions specified elsewhere in the Convention, the Secretary-General shall:

(a) inform all States that have signed the Convention or acceded thereto of:

(i) each new signature or deposit of an instrument of ratification, acceptance,

approval or accession, together with the date thereof; (ii) the date of entry into force of the Convention; and (iii) the deposit of any instrument of denunciation from the Convention,

together with the date on which it was received and the date on which the denunciation takes effect;

(b) as soon as the Convention enters into force, transmit the text thereof to the

Secretariat of the United Nations for registration and publication in accordance with Article 102 of the Charter of the United Nations.

Article 22 Languages The Convention is established in a single original in the Arabic, Chinese, English, French, Russian and Spanish languages, each text being equally authentic.


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ANNEX

REGULATIONS FOR THE CONTROL AND MANAGEMENT OF SHIPS' BALLAST WATER AND SEDIMENTS TO PREVENT, REDUCE AND ELIMINATE THE

TRANSFER OF HARMFUL AQUATIC ORGANISMS AND PATHOGENS SECTION A - GENERAL PROVISIONS Regulation A-1 Definitions For the purposes of this Annex: 1 �Anniversary date� means the day and the month of each year corresponding to the date of expiry of the Certificate. 2 �Ballast Water Capacity� means the total volumetric capacity of any tanks, spaces or compartments on a ship used for carrying, loading or discharging Ballast Water, including any multi-use tank, space or compartment designed to allow carriage of Ballast Water. 3 �Company� means the owner of the ship or any other organization or person such as the manager, or the bareboat charterer, who has assumed the responsibility for operation of the ship from the owner of the ship and who on assuming such responsibility has agreed to take over all the duties and responsibilities imposed by the International Safety Management Code. [4 �Concerted Area� means a sea or portion of a sea designated by a Party or Parties acting through regional or sub-regional agreements in which Ballast Water exchange is controlled.] 5 �Constructed� in respect of a ship means a stage of construction where:

.1 the keel is laid; or .2 construction identifiable with a specific ship begins; .3 assembly of the ship has commenced comprising at least 50 tonnes or 1% of the

estimated mass of all structural material, whichever is less, or .4 the ship undergoes a major conversion.

[6 �Major conversion� means [to be developed]]

7 �Nearest land�. The term �from the nearest land� has the same meaning as that in the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto, or any successor convention. Regulation A-2 General Applicability Except where expressly provided otherwise, the discharge of Ballast Water shall only be conducted through Ballast Water Management, in accordance with the provisions of this Annex.



Regulation A-3 Exceptions The requirements of Regulation B-3, or any additional measures adopted by a Party pursuant to Section C, shall not apply to: .1 the uptake or discharge of Ballast Water and Sediments necessary for the purpose

of ensuring the safety of a ship in emergency situations or saving life at sea; or .2 the accidental discharge of Ballast Water and Sediments resulting from damage to

a ship or its equipment:

.1 provided that all reasonable precautions have been taken before and after the occurrence of the damage or discovery of the damage or discharge for the purpose of preventing or minimizing the discharge; and

.2 except if the owner, company or officer in charge wilfully or recklessly

caused damage; or .3 the uptake and discharge of Ballast Water and Sediments when being used for the

purpose of avoiding or minimizing pollution incidents from the ship; or .4 the discharge of Ballast Water and Sediments from a ship at the same location

where the whole of that Ballast Water and those Sediments originated and provided that no mixing with Ballast Water and Sediments from other areas has occurred. If mixing has occurred, the Ballast Water taken from other areas is subject to Ballast Water Management in accordance with this Annex.

Regulation A-4 Special Permission by a Party 1 A Party or Parties, in waters under their jurisdiction, may grant exceptions to [any requirements to apply Regulations D-1 or D-2] in addition to those contained elsewhere in this Convention, but only when they are:

.1 granted to a ship or ships on a voyage or voyages between [two] specified ports or

locations; or to a ship which operates exclusively between [two] specified ports or locations;

.2 [effective for a period of no more than one year] [subject to regular review]; .3 granted to ships that do not mix Ballast Water or Sediments other than between the

ports or locations specified in paragraph 1.1; and .4 granted in accordance with Guidelines on risk assessment developed by the

Organization.

2 Grants pursuant to Paragraph 1 shall not be effective until [six months] after communication to the Organization for circulation of relevant information to the Parties. 3 Any grants under this Regulation shall not impair or damage the environment, human health, property or resources of adjacent or other States. Any State that the Party determines may be adversely affected shall be consulted, with a view toward resolving any identified concerns.


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4 Any grants under this Regulation shall be recorded in the Ballast Water Record Book. Regulation A-5 Equivalent compliance Equivalent compliance with this Annex for pleasure craft used solely for recreation or competition or craft used primarily for search and rescue, less than 50 metres in length, and with a maximum Ballast Water capacity of 8 metric tonnes shall be determined in accordance with Guidelines developed by the Organization. SECTION B � MANAGEMENT AND CONTROL REQUIREMENTS FOR SHIPS Regulation B-1 Ballast Water Management Plan Each ship shall have on board and implement a Ballast Water Management Plan approved by the Administration. Such a plan shall be based on Ballast Water Management Guidelines developed by the Organization. The Ballast Water Management Plan shall be specific to each ship and shall at least:

.1 detail safety procedures for the ship and the crew associated with Ballast Water Management as required by the Convention;

.2 provide a detailed description of the actions to be taken to implement the Ballast

Water Management requirements and supplemental Ballast Water Management practices as set forth in the Convention;

.3 detail the procedures for the disposal of Sediments:

.1 at sea; and

.2 in port or dry-dock, in accordance with port State requirements;

.4 include the procedures for coordinating shipboard Ballast Water Management with

the coastal or port State authorities in whose waters such actions take place; .5 designate the officer on board in charge of ensuring that the plan is properly

implemented; .6 contain the reporting requirements for ships provided for under the Convention; and .7 be written in the working language of the ship. If the language used is not English,

French or Spanish, a translation into one of these languages shall be included. Regulation B-2 Ballast Water Record Book 1 Each ship shall have on board a Ballast Water Record Book that may be an electronic record system, which shall at least contain the information specified in Appendix II. 2 Ballast Water Record Book entries shall be maintained on board the ship for a minimum period of two years after the last entry has been made and thereafter in the Company�s control for a minimum period of three years.



3 In the event of the discharge of Ballast Water pursuant to Regulations A-3, A-4 or B-3.6 or in the event of accidental or other exceptional discharge of Ballast Water not otherwise exempted by the Convention, an entry shall be made in the Ballast Water Record Book describing the circumstances of, and the reason for, the discharge. 4 The Ballast Water Record Book shall be kept readily available for inspection at all reasonable times and, except in the case of unmanned ships under tow, shall be kept on board the ship. 5 Each operation concerning Ballast Water Management shall be fully recorded without delay in the Ballast Water Record Book. Each entry shall be signed by the officer or officers in charge of the operation concerned and each completed page shall be signed by the master. The entries in the Ballast Water Record Book shall be in a working language of the ship. If that language is not English, French or Spanish the entries shall contain a translation into one of those languages. 6 Officers duly authorized by a Party may inspect the Ballast Water Record Book on board any ship to which this Regulation applies while the ship is in its port or offshore terminal, and may make a copy of any entry, and require the master to certify that the copy is a true copy. Any copy so certified shall be admissible in any judicial proceeding as evidence of the facts stated in the entry. The inspection of a Ballast Water Record Book and the taking of a certified copy shall be performed as expeditiously as possible without causing the ship to be unduly delayed. Regulation B-3 Ballast Water Management for Ships 1 Ships constructed before [date of entry into force plus three years] [2009]:

.1 with a Ballast Water Capacity of between [1500 and 5000] cubic metres shall, on or before the anniversary date of delivery of the ship in [date of entry into force plus three years] [2009] conduct Ballast Water Management that meets or exceeds the standard described in Regulation D-1 or Regulation D-2[, until the anniversary date of delivery in [8 years after date of entry into force][2014], after which time it shall meet or exceed the standard described in Regulation D-2]1.

.2 with a Ballast Water Capacity of less than [1500] and greater than [5000] cubic

metres, shall on or before the anniversary date of delivery of the ship in [date of entry into force plus 3 years] [2009] conduct Ballast Water Management that meets or exceeds the standard in Regulation D-1 or D-2[, until the anniversary date of delivery in [until 10 years after date of entry into force][2016], after which time it shall meet or exceed the standard described in Regulation D-2].2

2 Ships constructed in or after [date of entry into force plus 3 years] [2009]:

.1 with a Ballast Water Capacity of less than [5000] cubic metres shall conduct Ballast Water Management that meets or exceeds the standard described in Regulation D-2.

1 The bracketed text in the final clause reflects grandfathering options. If all bracketed text is removed

grandfathering for the life of the ship is indicated. 2 See footnote 1.


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.2 with a Ballast Water Capacity of more than [5000] cubic metres shall, on or before [date of entry into force plus 5 years] [2011], conduct Ballast Water Management that meets or exceeds the standard described in Regulation D-2.

3 Paragraphs 1 and 2 of this Regulation do not apply to the discharge of Ballast Water to a reception facility designed taking into account the Guidelines developed by the Organization for such facilities. 4 Ships conducting Ballast Water Management in accordance with paragraphs 1 and 2 of this Regulation, (i.e., Ballast Water exchange), or using Ballast Water exchange to meet the standards in Regulation D-2 shall:

.1 whenever possible, conduct such Ballast Water exchange at least [200] nautical miles from the nearest land and in water at least [200] metres in depth, taking into account the Guidelines developed by the Organization;

.2 except as provided in paragraph 4.3, in cases where the ship is unable to conduct

Ballast Water exchange in accordance with paragraph 4.1 of this Regulation, such Ballast Water exchange shall be conducted taking into account the Guidelines described in paragraph 4.1 and as far from the nearest land as possible, and in all cases [at least [12] [50] nautical miles from the nearest land] [and at least [200] metres in depth];

[.3 Concerted Areas:

.1 A Party or Parties establishing a Concerted Area may designate locations in

which Ballast Water exchange may be conducted or prohibited;

.2 Concerted Areas may be designated for reasons relating to their hydrological, ecological, or cultural characteristics;

.3 Concerted Areas shall include specified locations suitable for Ballast Water

exchange, which for oceanographic reasons are most likely to limit significantly the impact of organisms carried in Ballast Water; and

.4 The coordinates of the Concerted Area and the specified locations

designated therein for Ballast Water exchange shall be communicated to the Organization at least [6 months] prior to the effective date of any requirements for ships in the Concerted Area;]

.4 in cases where the ship is unable to conduct Ballast Water exchange at the

distances or depths described in paragraphs 4.1 or 4.2, a port State may allow the ship to conduct Ballast Water exchange taking into account the Guidelines described in paragraph 4.1 in designated areas under its jurisdiction, under such conditions as the port State may prescribe, provided such conditions do not impair the environment, human health, property or resources of adjacent or other States.

5 A ship shall not be required to deviate from its intended voyage, or delay the voyage, in

order to comply with any particular requirement of paragraph 4.1 of this Regulation.



6 Ships conducting Ballast Water exchange shall not be required to comply with paragraphs 4.1, 4.2 or 4.4, as appropriate if the master reasonably decides that such exchange would threaten the safety or stability of the ship, its crew, or its passengers because of adverse weather, vessel architectural design, equipment failure, or any other extraordinary condition.

7 When a ship does not comply with paragraph 4.1, 4.2 or 4.4, for the reasons stated in paragraph 6, the reasons shall be entered in the Ballast Water Record Book.

Regulation B-4 Sediment Management for Ships 1 All ships shall remove and dispose of Sediments from spaces designated to carry Ballast Water in accordance with the provisions of the ships� Ballast Water Management Plan. 2 Ships described in Regulation B-3.2 shall be designed and constructed to minimize the uptake and undesirable entrapment of Sediments, facilitate removal of Sediments, and to provide safe access to allow for Sediment removal and sampling, based on Guidelines developed by the Organization. Ships described in Regulation B-3.1 shall, to the extent practicable, comply with this paragraph. Regulation B-5 Duties of Officers and Crew Officers and crew shall be familiar with their duties in the implementation of Ballast Water Management particular to the ship on which they serve and shall, appropriate to their duties, be familiar with the ships� Ballast Water Management Plan. SECTION C - SPECIAL REQUIREMENTS IN CERTAIN AREAS

Regulation C-1 Additional Measures 1 If a Party, individually or jointly with other Parties, determines that measures in addition to those in Section B are necessary to prevent, reduce, or eliminate the transfer of Harmful Aquatic Organisms and Pathogens through ships� Ballast Water and Sediments into areas under their jurisdiction, such Party or Parties may require ships as a condition of port entry to meet or exceed a specified standard or requirement. 2 Prior to establishing standards or requirements under paragraph 1 of this Regulation, a Party should consult with adjoining or nearby States that may be affected by such standards or requirements. 3 A Party or Parties intending to introduce additional measures in accordance to paragraph 1 of this Regulation shall:

.1 take into account the Guidelines developed by the Organization. .2 communicate their intention to establish additional measure(s) to the Organization

at least [6 months] [except in emergency or epidemic situations] prior to the projected date of implementation of the measure(s). Such communication shall include:


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.1 the precise co-ordinates where additional measure(s) is/are applicable; .2 the need and reasoning for the application of the additional measure(s),

including whenever possible benefits; .3 a description of the additional measures; and .4 any arrangements that may be provided to facilitate ships� compliance with

the additional measures.

.3 [Such a measure shall not be implemented by the Party if inconsistent with the criteria in paragraph 3.1 of this Regulation.

4 A Party or Parties in introducing such additional measures shall endeavour to make

available all appropriate services, which may include but is not limited to notification to mariners of areas, available and alternative routes or ports, as far as practicable, in order to ease the burden on the ship.

5 Any additional measures adopted by a Party or Parties shall not compromise the safety,

and security of the ship and in any circumstances not conflict with any other convention the ship must comply with.

6 A Party or Parties introducing additional measures may waive these measures for a period

of time or in specific circumstances as it deems fit. [7 Placeholder for the concept of liability burden.]] Regulation C-2 Warnings Concerning Ballast Water Uptake in Certain Areas and Related

Flag State Measures 1 A Party shall endeavour to notify mariners of areas under their jurisdiction where ships should not uptake Ballast Water due to known conditions. The Party shall include in such notices the precise coordinates of the area or areas, and, where possible, the location of any alternative area or areas for the uptake of Ballast Water. Warnings may be issued for areas:

.1 known to contain outbreaks, infestations, or populations of Harmful Aquatic Organisms and Pathogens (e.g., toxic algal blooms) which are likely to be of relevance to Ballast Water uptake or discharge;

.2 nearby sewage outfalls; and .3 where tidal flushing is poor or times during which a tidal stream is known to be

more turbid. 2 In addition to notifying mariners of areas in accordance with the provisions of paragraph 1, a Party shall notify the Organization and any potentially affected coastal States of any areas identified in paragraph 1 and the time period such warning is likely to be in effect. The notice to the Organization and any potentially affected coastal States shall include the precise co-ordinates of the area or areas, and, where possible, the location of any alternative area or areas for the uptake of Ballast Water. The Party shall also notify mariners, the Organization, and any potentially affected coastal States when a given warning is no longer applicable.



Regulation C-3 Communication of Information The Organization shall make available, through any appropriate means, information communicated to it under Regulations C-1 and C-2 of this section. SECTION D - STANDARDS FOR BALLAST WATER MANAGEMENT Regulation D-1 Ballast Water Exchange Standard 1 Ships performing Ballast Water exchange in accordance with this Regulation shall do so with an efficiency of 95 per cent volumetric exchange of Ballast Water. 2 For ships constructed before [the date of entry into force of the Convention], pumping through three times the volume of each Ballast Water tank shall be considered equivalent to the standard described in paragraph 1.3 Regulation D-2 Ballast Water Performance Standard 1 Ships conducting Ballast Water Management in accordance with this Regulation shall discharge less than [1][100] viable organism[s] per cubic metre greater than [50]/[80] µm in size and less than [1][10][100] viable organism[s] per ml smaller than [50]/[80] µm and greater than 10 µm in size; and discharge of the indicator microbes described in paragraph 2 shall not exceed specified concentrations. 2 Indicator microbes, as a human health standard, shall include, but should not be limited to:

.1 Toxigenic Vibrio cholera (01 and 0139) with <1 cfu per 100 ml (cfu = colony forming unit)

- <1 cfu per 1 g of zooplankton samples (wet weight)

.2 Escherichia coli [250][500] cfu per 100 ml .3 Intestinal Enterococci [100][200] cfu per 100 ml Regulation D-3 Additional Requirements for Regulations D-1and D-2

1 Except as specified in paragraph 2, Ballast Water Management systems used to comply with the Convention must be approved by the Administration in accordance with Guidelines developed by the Organization. [2 Ballast Water Management systems which;

.1 make use of chemicals or biocides,

.2 make use of organisms or biological mechanisms, or

3 This paragraph may require further consideration in the light of the revisions to Regulation B-3.1.


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.3 which alter the chemical or physical characteristics of the Ballast Water, shall be approved by the Organization.]

3 Ballast Water Management systems used to comply with the Convention must be safe in terms of the ship, its equipment and the crew. [Regulation D-4 Existing Equipment 1 For any ship that, prior to the date that the standard in D-2 would otherwise become effective for it, participates in a programme approved by the Administration to test and evaluate promising Ballast Water treatment technologies, the standard in D-2 shall not apply to that ship until five years from the date on which the ship would otherwise be required to comply with such standard. 2 For any ship that, after the date on which the standard in D-2 has become effective for it, participates in a programme approved by the Administration, taking into account Guidelines developed by the Organization, to test and evaluate promising Ballast Water technologies with the potential to result in treatment technologies achieving a standard higher than that in D-2, the standard in D-2 shall cease to apply to that ship for five years from the date of installation of such technology. 3 In establishing and carrying out any programme to test and evaluate promising Ballast Water technologies, Parties shall:

.1 take into account Guidelines developed by the Organization, and .2 allow participation only by the minimum number of ships necessary to effectively

test such technologies. 4 Throughout the experimental period, the treatment system must be operated consistently and as designed. 5 Any Administration that has approved a programme to test and evaluate promising Ballast Water treatment technologies shall, prior to allowing participation by any ship, seek concurrence to the ship�s participation in the programme from any State whose ports the ship will enter.] Regulation D-5 Review of Standards by the Organization 1 At a meeting of the Committee held no later than three years before the earliest effective date of the standard set forth in Regulation D-2, the Committee shall undertake a review which includes a determination of whether appropriate technologies are available to achieve the standard, an assessment of the criteria in paragraph 2, and an assessment of the socio-economic effect(s) specifically in relation to the developmental needs of developing countries, particularly small island developing States. The Committee shall also undertake periodic reviews, as appropriate, to examine the applicable requirements for ships described in Regulation B-3.1 as well as any other aspect of Ballast Water Management addressed in this Annex, including any Guidelines developed by the Organization.



2 Such reviews of appropriate technologies shall also take into account:

.1 safety considerations relating to the ship and the crew; .2 environmental acceptability, i.e., not causing more or greater environmental

impacts than it solves; .3 practicability, i.e., compatibility with ship design and operations;

.4 cost effectiveness, i.e., economical; and

.5 biological effectiveness in terms of removing, or otherwise rendering inactive Harmful Aquatic Organisms and Pathogens in Ballast Water.

3 The initial review conducted pursuant to paragraph 1 shall also consider whether ships unable to conduct Ballast Water exchange, due to time or route constraints, should be regulated pursuant to Regulation B-3.2. 4 The Committee may form a group or groups to conduct the review(s) described in paragraph 1. The Committee shall determine the composition, terms of reference and specific issues to be addressed by any such group formed. Such groups may develop and recommend proposals for amendment of this Annex for consideration by the Parties. Only Parties may participate in the formulation of recommendations and amendment decisions taken by the Committee. 5 If, based on the reviews described in this Regulation, the Parties decide to adopt amendments to this Annex, such amendments shall be adopted and enter into force in accordance with the procedures contained in Article 19 of the Convention. SECTION E - SURVEY AND CERTIFICATE REQUIREMENTS FOR BALLAST WATER MANAGEMENT Regulation E-1 Surveys 1 Ships of 400 gross tonnage and above to which the Convention applies, excluding [floating] platforms, [FSUs and FPSOs] shall be subject to surveys specified below:

.1 An initial survey before the ship is put in service or before the Certificate required under Regulation E-2 or E-3 of this Annex is issued for the first time. This survey shall be such as to ensure that the structure, equipment, systems, fittings, arrangements and material achieve full compliance with the applicable requirements of the Convention.

.2 A renewal survey at intervals specified by the Administration, but not exceeding

five years, except where Regulation E-5.2, E-5.5, E-5.6 or E-5.7 of this Annex is applicable. This survey shall be such as to ensure that the structure, equipment, systems, fittings, arrangements and material achieve full compliance with applicable requirements of the Convention.


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.3 An intermediate survey within three months before or after the second Anniversary Date or within three months before or after the third Anniversary Date of the Certificate, which shall take the place of one of the annual surveys specified in paragraph 1.4 of this Regulation. The intermediate survey shall be such to ensure that the equipment and associated systems for Ballast Water Management fully comply with the applicable requirements of this Annex and are in good working order. Such intermediate surveys shall be endorsed on the Certificate issued under Regulation E-2 or E-3 of this Annex.

.4 An annual survey within three months before or after each Anniversary Date of

the Certificate, including a general inspection of the structure, equipment, systems, fittings, arrangements and material referred to in paragraph 1.1 of this Regulation to ensure that they have been maintained in accordance with paragraph 9 of this Regulation and that they remain satisfactory for the service for which the ship is intended. Such annual surveys shall be endorsed on the Certificate issued under Regulation E-2 or E-3 of this Annex.

.5 An additional survey either general or partial, according to the circumstances,

shall be made after a change, replacement, or significant repair of the structure, equipment, systems, fittings, arrangements and material necessary to achieve full compliance with the Convention. The survey shall be such as to ensure that any such change, replacement, or significant repair has been effectively made, so that the ship complies with the requirements of the Convention. Such surveys shall be endorsed on the Certificate issued under Regulation E-2 or E-3 of this Annex.

2 The Administration shall establish appropriate measures for ships that are not subject to the provisions of paragraph 1 of this Regulation in order to ensure that the applicable provisions of the Convention are complied with. 3 Surveys of ships for the purpose of enforcement of the provisions of the Convention shall be carried out by officers of the Administration. The Administration may, however, entrust the surveys either to surveyors nominated for the purpose or to organizations recognized by it. 4 An Administration nominating surveyors or recognizing organizations to conduct surveys, as described in paragraph 3 of this Regulation shall, as a minimum, empower such nominated surveyors or recognized organizations to:

.1 require a ship that they survey to comply with the provisions of the Convention; and

.2 carry out surveys and inspections if requested by the appropriate authorities of a

port State that is a Party. 5 The Administration shall notify the Organization of the specific responsibilities and conditions of the authority delegated to the nominated surveyors or recognized organizations, for circulation to Parties for the information of their officers. 6 When the Administration, a nominated surveyor, or a recognized organization determines that the ship�s Ballast Water Management does not conform to the particulars of the Certificate required under regulation E-2 or E-3 of this Annex or is such that the ship is not fit to proceed to sea without presenting an unreasonable threat of harm to the environment, human health,



property or resources such surveyor and organization shall immediately ensure that corrective action is taken to bring the ship into compliance. A surveyor or organization shall be notified immediately, and it shall ensure that the Certificate is not issued or is withdrawn as appropriate. If the ship is in the port of another Party, the appropriate authorities of the port State shall be notified immediately. When an officer of the Administration, a nominated surveyor, or a recognized organization has notified the appropriate authorities of the port State, the Government of the port State concerned shall give such officer, surveyor or organization any necessary assistance to carry out their obligations under this Regulation, including any action described in Article 9 of the Convention. 7 Whenever an accident occurs to a ship or a defect is discovered which substantially affects the ability of the ship to conduct Ballast Water Management in accordance with the Convention, the owner, operator or other person in charge of the ship shall report at the earliest opportunity to the Administration, the recognized organization or the nominated surveyor responsible for issuing the relevant Certificate, who shall cause investigations to be initiated to determine whether a survey as required by paragraph 1 of this Regulation is necessary. If the ship is in a port of another Party, the owner, operator or other person in charge shall also report immediately to the appropriate authorities of the port State and the nominated surveyor or recognized organization shall ascertain that such report has been made. 8 In every case, the Administration concerned shall fully guarantee the completeness and efficiency of the survey and shall undertake to ensure the necessary arrangements to satisfy this obligation. 9 The condition of the ship and its equipment shall be maintained to conform with the provisions of the Convention to ensure that the ship in all respects will remain fit to proceed to sea without presenting an unreasonable threat of harm to the environment, human health, property or resources. 10 After any survey of the ship under the paragraph 1 of this Regulation has been completed, no change shall be made in the structure, equipment, fittings, arrangements or material covered by the survey without the sanction of the Administration, except the direct replacement of such equipment or fittings. Regulation E-2 Issuance or Endorsement of a Certificate 1 The Administration shall ensure that a ship to which Regulation E-1 of this Annex applies is issued a Certificate after successful completion of a survey conducted in accordance with Regulation E-1. A Certificate issued under the authority of a Party shall be accepted by the other Parties and regarded for all purposes covered by the Convention as having the same validity as a Certificate issued by them. 2 Certificates shall be issued or endorsed either by the Administration or by any person or organization duly authorized by it. In every case, the Administration assumes full responsibility for the Certificate. Regulation E-3 Issuance or Endorsement of a Certificate by Another Party 1 At the request of the Administration, another Party may cause a ship to be surveyed and, if satisfied that the provisions of the Convention are complied with, shall issue or authorize the


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issuance of a Certificate to the ship, and where appropriate, endorse or authorize the endorsement of that Certificate on the ship, in accordance with this Annex. 2 A copy of the Certificate and a copy of the survey report shall be transmitted as soon as possible to the requesting Administration. 3 A Certificate so issued shall contain a statement to the effect that it has been issued at the request of the Administration and it shall have the same force and receive the same recognition as a Certificate issued by the Administration. 4 No Certificate shall be issued to a ship entitled to fly the flag of a State which is not a Party. Regulation E-4 Form of the Certificate The Certificate shall be drawn up in the official language of the issuing Party, in the form set forth in Appendix I. If the language used is neither English, French nor Spanish the text shall include a translation into one of these languages. Regulation E-5 Duration and Validity of the Certificate 1 A Certificate shall be issued for a period specified by the Administration that shall not exceed five years. 2 For renewal surveys: .1 Notwithstanding the requirements of paragraph 1 of this Regulation, when the

renewal survey is completed within three months before the expiry date of the existing Certificate, the new Certificate shall be valid from the date of completion of the renewal survey to a date not exceeding five years from the date of expiry of the existing Certificate.

.2 When the renewal survey is completed after the expiry date of the existing

Certificate, the new Certificate shall be valid from the date of completion of the renewal survey to a date not exceeding five years from the date of expiry of the existing Certificate.

.3 When the renewal survey is completed more than three months before the expiry

date of the existing Certificate, the new Certificate shall be valid from the date of completion of the renewal survey to a date not exceeding five years from the date of completion of the renewal survey.

3 If a Certificate is issued for a period of less than five years, the Administration may extend the validity of the Certificate beyond the expiry date to the maximum period specified in paragraph 1 of this Regulation, provided that the surveys referred to in Regulation E-1.1.3 of this Annex applicable when a Certificate is issued for a period of five years are carried out as appropriate.



4 If a renewal survey has been completed and a new Certificate cannot be issued or placed on board the ship before the expiry date of the existing Certificate, the person or organization authorized by the Administration may endorse the existing Certificate and such a Certificate shall be accepted as valid for a further period which shall not exceed five months from the expiry date. 5 If a ship at the time when the Certificate expires is not in a port in which it is to be surveyed, the Administration may extend the period of validity of the Certificate but this extension shall be granted only for the purpose of allowing the ship to complete its voyage to the port in which it is to be surveyed, and then only in cases where it appears proper and reasonable to do so. No Certificate shall be extended for a period longer than three months, and a ship to which such extension is granted shall not, on its arrival in the port in which it is to be surveyed, be entitled by virtue of such extension to leave that port without having a new Certificate. When the renewal survey is completed, the new Certificate shall be valid to a date not exceeding five years from the date of expiry of the existing Certificate before the extension was granted. 6 A Certificate issued to a ship engaged on short voyages which has not been extended under the foregoing provisions of this Regulation may be extended by the Administration for a period of grace of up to one month from the date of expiry stated on it. When the renewal survey is completed, the new Certificate shall be valid to a date not exceeding five years from the date of expiry of the existing Certificate before the extension was granted. 7 In special circumstances, as determined by the Administration, a new Certificate need not be dated from the date of expiry of the existing Certificate as required by paragraph 2.2, 5 or 6 of this Regulation. In these special circumstances, the new Certificate shall be valid to a date not exceeding five years from the date of completion of the renewal survey. 8 If an annual survey is completed before the period specified in Regulation E-1 of this Annex, then:

.1 the Anniversary Date shown on the Certificate shall be amended by endorsement

to a date which shall not be more than three months later than the date on which the survey was completed;

.2 the subsequent annual or intermediate survey required by Regulation E-1 of this

Annex shall be completed at the intervals prescribed by that Regulation using the new Anniversary Date;

.3 the expiry date may remain unchanged provided one or more annual surveys, as

appropriate, are carried out so that the maximum intervals between the surveys prescribed by Regulation E-1 of this Annex are not exceeded.

9 A Certificate issued under Regulation E-2 or E-3 of this Annex shall cease to be valid in any of the following cases:

.1 if the structure, equipment, systems, fittings, arrangements and material necessary to achieve full compliance with the Convention is changed, replaced or significantly repaired and the Certificate is not endorsed in accordance with this Annex;


Page 27


.2 upon transfer of the ship to the flag of another State. A new Certificate shall only be issued when the Party issuing the new Certificate is fully satisfied that the ship is in compliance with the requirements of Regulation E-1 of this Annex. In the case of a transfer between Parties, if requested within three months after the transfer has taken place, the Party whose flag the ship was formerly entitled to fly shall, as soon as possible, transmit to the Administration copies of the Certificates carried by the ship before the transfer and, if available, copies of the relevant survey reports;

.3 if the relevant surveys are not completed within the periods specified under

Regulation E-1.1 of this Annex; or .4 if the Certificate is not endorsed in accordance with Regulation E-1.1 of this

Annex.



APPENDIX I

FORM OF INTERNATIONAL BALLAST WATER MANAGEMENT CERTIFICATE

INTERNATIONAL BALLAST WATER MANAGEMENT CERTIFICATE

(Official seal) (Party)

Issued under the provisions of the International Convention for the Control and Management of Ships� Ballast Water and Sediments

(hereinafter referred to as "the Convention")

under the authority of the Government of

�� (name of the Party)

by

�� (person or organization authorized)

When a Certificate has been previously issued, this Certificate replaces the certificate dated Particulars of ship1 Name of ship ............................................................................................................. Distinctive number or letters ..................................................................................... Port of registry .......................................................................................................... Gross Tonnage .......................................................................................................... IMO number2 ............................................................................................................ Ballast Water Capacity ��. Details of Ballast Water Management Method(s) Used

The principal Ballast Water Management method(s) employed on this ship is/are:

in accordance with Regulation D-1

in accordance with Regulation D-2

(describe)........................................................................................................

1 Alternatively, the particulars of the ship may be placed horizontally in boxes. 2 In accordance with resolution A.600(15) - IMO ship identification number scheme, this information may be

included voluntarily.


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Date installed (if applicable)...................................................................................... Name of manufacturer (if applicable)....................................................................... THIS IS TO CERTIFY THAT: 1 the ship has been surveyed in accordance with Article 7 of the Convention; and 2 the survey shows that Ballast Water Management on the ship complies with the Annex to the Convention. Issued at ............................................................................................................................................ (Place of issue of certificate) ............................ ............................................................................................................. (Date of issue) Signature of duly authorized official issuing the certificate)

��.. Name and Position of duly authorised official issuing the certificate (Seal or stamp of the authority, as appropriate) ENDORSEMENT OF SURVEY(S)4 THIS IS TO CERTIFY t hat a survey required in accordance with Article 7.1 of the Convention found that the ship was in compliance with the relevant provisions of the Convention: Details of Ballast Water Management Method of Ballast Water Management used .........................................................................

Date installed (if applicable).................................................................................................. Name of manufacturer (if applicable)....................................................................................

Signed: ...................................................................... (Signature of authorized official) Place: ......................................................................... Date: .......................................................................... (Seal or stamp of the authority, as appropriate)

4 To be replaced by a text based on Annex I of MARPOL 73/78 Convention, Appendix II, Form of IOPP Certificate

and, thereby, conforming to the changes agreed and made under Section E of the Regulations.



Survey required in accordance with Article 7.1 Details of Ballast Water Management Type of Ballast Water Management used ............................................................................. Date installed ........................................................................................................................ Name of manufacturer .......................................................................................................... Signed: ...................................................................... (Signature of authorized official) Place: ......................................................................... Date: ..........................................................................


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APPENDIX II

FORM OF BALLAST WATER RECORD BOOK

INTERNATIONAL CONVENTION FOR THE CONTROL AND MANAGEMENT OF SHIPS� BALLAST WATER AND SEDIMENTS

Period From: _________ To: __

Ships� Name __________________ IMO Number _______________ Owner __________________ Type _______________ Gross tonnage __________________ Call sign _______________ Flag _____________________ Total Ballast Water capacity ___ A Ballast Water Management Plan is on board ______ Diagram of ship indicating ballast tanks: 1. Introduction In accordance with Regulation B-2 of the Annex to the International Convention for the Control and Management of Ships� Ballast Water and Sediments, a record is to be kept of each Ballast Water operation. This includes discharges at sea and to reception facilities. 2. Ballast Water and Ballast Water Management: �Ballast Water� means water with its suspended matter taken on board a ship to control trim, list, draught, stability, or stresses of a ship. Management of Ballast Water should be in accordance with an approved Ballast Water Management Plan. 3. Entries in the Ballast Water Record Book 3.1 Entries in the Ballast Water Record Book shall be made on each of the following occasions:

(a) When Ballast Water is taken on board:

(i) Date, time and location port or facility of uptake (port or lat/long), depth if outside port

(ii) Estimated volume of uptake in cubic metres (iii) Signature of the officer in charge of the operation.

(b) Whenever Ballast Water is circulated or treated for Ballast Water Management purposes



(c) When Ballast Water is discharged into the sea:

(i) Date, time and location port or facility of discharge (port or lat/long) (ii) Estimated volume discharged in cubic metres plus remaining volume in

cubic metres (iii) Whether approved Ballast Water Management Plan had been implemented

prior to discharge (iv) Signature of the officer in charge of the operation.

(d) When Ballast Water is discharged to a reception facility:

(i) Date, time, and location of uptake5 (ii) Date, time, and location of discharge (iii) Port or facility (iv) Estimated volume discharged in cubic metres (v) Whether approved Ballast Water Management Plan had been implemented

prior to discharge (vi) Signature of officer in charge of the operation

(e) Accidental or other exceptional discharges of Ballast Water:

(i) Time of occurrence (ii) Port or position of the ship at time of occurrence (iii) Estimated volume of Ballast Water discharged (iv) Circumstances of discharge, escape or loss, the reason therefore and

general remarks. (v) Whether approved Ballast Water Management Plan had been implemented

prior to discharge (vi) Signature of officer in charge of the operation

3.2 Volume of Ballast Water The volume of Ballast Water onboard should be estimated6 in cubic metres. The Ballast Water Record Book contains many references to estimated volume of Ballast Water. It is recognized that the accuracy of estimating volumes of ballast is left to interpretation.

5 This entry duplicates paragraph 3.1(a)(i) above. 6 The need for estimation should be discussed. Capacity tables on ships provide quite accurate figures, because

volumes and thus weight is a critical factor on board. Except in situation (e), is it necessary to rely on estimation?


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RECORD OF BALLAST WATER OPERATIONS

SAMPLE BALLAST WATER RECORD BOOK PAGE Ship's Name: _________________ IMO No.: ______________ Date Code Item Record of operations/signature of officers in charge

***

MEPC 49/22/Add.1


ANNEX 3

DRAFT ASSEMBLY RESOLUTION

IMO GUIDELINES ON SHIP RECYCLING

THE ASSEMBLY, RECALLING Article 15(j) of the Convention on the International Maritime Organization concerning the functions of the Assembly in relation to regulations and guidelines concerning maritime safety, the prevention and control of marine pollution from ships and other matters concerning the effect of shipping on the marine environment, NOTING the growing concerns about environment, safety, health and welfare matters in the ship recycling industry, and the need to reduce the environmental, occupational health and safety risks related to ship recycling securing at the same time the smooth withdrawal of ships that have reached the end of their operating lives, NOTING ALSO the roles of the International Labour Organization, the Basel Convention and other stakeholders in ship recycling, HAVING CONSIDERED the Technical Guidelines for the Environmentally Sound Management of the Full and Partial Dismantling of Ships adopted by the Sixth Meeting of the Conference of Parties to the Basel Convention and the [draft] Guidelines on Safety and Health in Shipbreaking developed by the International Labour Organization (ILO), HAVING CONSIDERED ALSO the "Code of Practice on Ship Recycling" developed by the shipping industry to establish a practical series of "best practices" for shipping companies to adopt in respect of ships destined for recycling, RECOGNIZING that in order to contribute towards improvements in ship recycling, it is necessary to consider the ship throughout its life cycle, RECOGNIZING ALSO that the use of hazardous materials should be minimized in the design, construction and maintenance of ships, without compromising their safety and operational efficiency, and that there is a need to prepare ships for recycling in such a manner as to reduce environmental and safety risks and health and welfare concerns as far as practicable, HAVING CONSIDERED the recommendation of the Marine Environment Protection Committee at its forty-ninth session on this issue, 1. ADOPTS the Guidelines on Ship Recycling as set out in Annex to this resolution; 2. INVITES Governments to take urgent action to apply these Guidelines, including the dissemination thereof to the shipping and ship recycling industries, and to report to the Marine Environment Protection Committee on any experience gained in their implementation; 3. REQUESTS the Marine Environment Protection Committee to keep this matter under review with a view to further develop the Guidelines on Ship Recycling;



4. REQUESTS FURTHER that the Marine Environment Protection Committee consider the most appropriate means to promote the implementation of the Guidelines, including progress review of the Guidelines in achieving their intended purpose; 5. URGES the Marine Environment Protection Committee to continue the co-operation with the International Labour Organization and the appropriate bodies of the Basel Convention in this field and to encourage the involvement of other stakeholders.


Page 3


IMO GUIDELINES ON SHIP RECYCLING Contents SECTION 1 - INTRODUCTION SECTION 2 - APPLICATION SECTION 3 - DEFINITIONS SECTION 4 - IDENTIFICATION OF POTENTIALLY HAZARDOUS MATERIALS SECTION 5 - GREEN PASSPORT

SECTION 6 - PROCEDURES FOR NEW SHIPS RELATED TO SHIP RECYCLING 6.1 Minimization of hazardous substances used in the construction of new

ships and their equipment 6.2 Design of ships and ships' equipment to facilitate recycling and

removal of hazardous materials 6.3 Preparation of the Green Passport 6.4 Minimization of the use of potentially hazardous substances 6.5 Minimization of waste generation SECTION 7 - PROCEDURES FOR EXISTING SHIPS RELATED TO SHIP RECYCLING 7.1 Preparation of the Green Passport 7.2 Minimization of the use of potentially hazardous substances 7.3 Minimization of waste generation SECTION 8 - PREPARATIONS FOR SHIP RECYCLING 8.1 Selection of recycling facility 8.2 Delivery of the ship to the recycling facility 8.3 Preparation of a ship for recycling 8.3.1 General 8.3.2 Ship Recycling Plan 8.3.3 Preparations to prevent pollution 8.3.4 Preparations to protect occupational health and safety



SECTION 9 - ROLE OF STAKEHOLDERS AND OTHER BODIES 9.1 General 9.2 Role of the flag State 9.2.1 Criteria for "ready for recycling" conditions 9.2.2 Implementation 9.3 Role of the port State 9.3.1 Port State control procedures for ships destined for recycling 9.3.2 Implementation 9.4 Role of the recycling State 9.4.1 General 9.4.2 Reception facilities for ship-generated wastes 9.4.3 Measures for the control of ships delivered for recycling 9.4.4 Measures for the control of recycling facilities 9.5 The role of the Basel Convention 9.5.1 Environmentally sound dismantling of ships 9.5.2 Principle of notification and prior written consent 9.6 The role of the International Labour Organization 9.7 The London Convention 1972/1996 Protocol 9.7.1 Dumping of vessels 9.7.2 Abandonment of ships 9.7.3 "Placement" of vessels on the sea-bed 9.7.4 Reports under the London Convention regarding dumping of

vessels 9.7.5 Options for disposal of decommissioned vessels 9.8 Role of the shipping industry 9.8.1 Industry Code of Practice on Ship Recycling 9.8.2 Contract covering the sale and purchase of a ship for recycling 9.9 The role of the ship recycling industry 9.10 Role of other interested stakeholders SECTION 10 TECHNICAL CO-OPERATION Appendix 1 - List of hazardous wastes and substances that are relevant to ship recycling

(based on Appendix B to the "Technical Guidelines for the Environmentally Sound Management of the Full and Partial Dismantling of Ships, 2002")

Appendix 2 - Potentially hazardous materials which may be on board ships delivered to

recycling facilities (based on Annex 1 to the �Industry Code of Practice on Ship Recycling, August 2001�)

Appendix 3 - Inventory of potentially hazardous materials on board Appendix 4 - List of principles for hot work on board all types of ships Appendix 5 - Recommendations for entering enclosed spaces aboard ships


Page 5


1 INTRODUCTION 1.1 Ships, at some stage, reach the end of their operating life. The life cycle for most ships, from �cradle to grave� or �makers to breakers�, gives a life span of operation of 20-25 years, or more. In 2001, the OECD noted an increasing casualty rate for older ships remaining in operation, especially for bulk ships and tankers. The steady withdrawal of older ships and their replacement by new tonnage, therefore, is a natural commercial process which provides the opportunity for the introduction of safer and more environmentally friendly designs, greater operating efficiency and a general reduction in marine risk. 1.2 In general, recycling is one of the basic principles of sustainable development. For the disposal of time-expired ships there are few alternatives to recycling � lay-up only postpones the issue; there is only a limited opportunity to convert ships for other uses such as storage facilities, breakwaters or tourist attractions; scuttling, strictly controlled by the London Convention, gives no opportunity for the steel and other materials and equipment in a ship to be recycled. 1.3 So, recycling is, generally, the best option for all time-expired tonnage. Furthermore, demand for ship recycling is expected to rise in the near future as ships, particularly oil tankers, which do not conform to the new international requirements set by the MARPOL Convention, reach the end of their commercial lives. 1.4 While the principle of ship recycling is sound, the working practices and environmental standards in the recycling facilities often leave much to be desired. Although responsibility for conditions in the recycling facilities has to lie with the countries in which they are situated, other stakeholders can contribute towards minimising potential problems related to health, safety and protection of the environment in the recycling facilities and should apply these Guidelines. 1.5 These Guidelines have been developed to give guidance to all stakeholders in the ship recycling process. This includes flag, port and recycling States, authorities of shipbuilding and maritime equipment supplying countries, as well as relevant intergovernmental organisations and commercial bodies such as shipowners, shipbuilders, marine equipment manufacturers, repairers and recycling facilities. Additional stakeholders include workers, local communities, environmental and labour bodies. 1.6 These Guidelines seek to:

.1 encourage recycling as the best means to dispose of ships at the end of their operating lives;

.2 provide guidance in respect of the preparation of ships for recycling and

minimising the use of potentially hazardous materials and waste generation during a ship�s operationing life;

.3 foster inter-agency co-operation; and

.4 encourage all stakeholders to address the issue of ship recycling.

1.7 In general, these Guidelines accept that the obligation for environmental and worker protection in ship recycling facilities must rest with the recycling facility itself and with the regulatory authorities of the country in which the recycling facility operates. Nevertheless, it is acknowledged that shipowners and other stakeholders have a responsibility to address the issues involved.



2 APPLICATION 2.1 These Guidelines have been developed to provide guidance to flag, port and recycling States, shipowners, shipbuilders, marine equipment suppliers, and recycling facilities as to �best practice�, which takes into account the ship recycling process throughout the life cycle of the ship. 2.2 They take into account the "Industry Code of Practice on Ship Recycling"* and complement other international guidelines addressing this issue; notably those produced by the Conference of Parties to the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal focusing on issues related to ship recycling facilities** and those of the International Labour Organization addressing working conditions at the recycling facilities***. Further information on these above-mentioned guidelines is provided in sections 9.5 and 9.6 of these Guidelines. The provisions of other international instruments, or work of their governing bodies, may be applicable to those ship recycling activities addressed by these guidelines. The Montreal Protocol on Substances that Deplete the Ozone Layer, the Stockholm Convention on Persistent Organic Pollutants (POPs), the Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter (London Convention 1972) and the United Nations Convention on the Law of the Sea are relevant. 3 DEFINITIONS For the purpose of these Guidelines: Administration means the Government of the State under whose authority the ship is operating. With respect to a ship entitled to fly the flag of a State, the Administration is the Government of that State. With respect to fixed or 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 purpose of exploration and exploitation of their natural resources, the Administration is the Government of the Coastal State concerned. Existing ship means a ship which is not a new ship. Hazardous material means materials posing harm to human health or the environment identified in the IMDG Code, the Basel Convention, or other international authorities or instruments. New ship means a ship:

.1 for which the building contract is placed on or after 31 December 2003; or

* In co-operation with other industry organizations, ICS has produced the "Industry Code of Practice on Ship

Recycling", outlining the measures that shipowners should be prepared to take prior to recycling (see www.marisec.org/recycling).

** Technical Guidelines for the Environmentally Sound Management of the Full and Partial Dismantling of Ships adopted by the Sixth Meeting of the Conference of Parties to the Basel Convention on 13 December 2002, (see www.basel.int).

*** [Draft] Guidelines on Safety and Health in Shipbreaking developed by the International Labour Organization (ILO), (see www.ilo.org/public/english/protection/safework/sectors/shipbrk/index.htm).


Page 7


.2 in the absence of a building contract, the keel of which is laid or which is at a similar stage of construction on or after 30 June 2004; or

.3 the delivery of which is on or after 31 December 2006.

Organization means the International Maritime Organization (IMO). Recycling facility means a site, yard or facility used for the recycling of ships which is authorized or permitted for this purpose by the competent authority of the State where the site, yard or facility is located (Recycling State). Ship means a vessel of any type whatsoever operating in the marine environment and includes hydrofoil boats, air-cushion vehicles, submersibles, floating craft and fixed or floating platforms and a vessel that has been stripped of equipment or is towed. Shipowner means the person or persons or company registered as the owner of the ship or, in the absence of registration, the person or persons or company owning the ship. However, in the case of a ship owned by a State and operated by a company which in that State is registered as the ship�s operator, �owner� shall mean such company. This term also includes those who have ownership of the ship for a limited period pending its sale to a recycling facility. Ship Recycling means all associated operations including, mooring or beaching, dismantling, recovery of materials and reprocessing. The operating life of a ship means the time when it is capable of performing its current functions. 4 IDENTIFICATION OF POTENTIALLY HAZARDOUS MATERIALS 4.1 The principal materials of a ship (e.g., steel, aluminium) are not an overriding concern from the standpoint of human health or marine pollution. However, there are a number of potential sources of concern that should be addressed such as:

.1 fuel, lubricants, and coolants;

.2 floatable materials (e.g., plastics, Styrofoam insulation);

.3 materials possibly containing PCBs such as wiring insulation;

.4 sludges;

.5 harmful aquatic organisms in ballast water; and, currently (on older ships)

.6 asbestos used as insulation material and in accommodation panelling.

4.2 Items on ships that may potentially contain substances of concern include:

.1 electrical equipment (e.g., transformers, batteries, accumulators);

.2 coolers;

.3 scrubbers;



.4 separators;

.5 heat exchangers;

.6 storage facilities for production and other chemicals;

.7 tanks, diesel tanks including bulk storage tanks;

.8 stored solvents, and other chemical stocks;

.9 paints;

.10 electrical cabling installed before 1975 (plastic covering may contain PCBs);

.11 sacrificial anodes;

.12 fire extinguishing and fire fighting equipment;

.13 piping, valves and fittings;

.14 pumps and compressors;

.15 engines and generators;

.16 oil sumps;

.17 hydraulic systems; and

.18 light fittings and fixtures.

4.3 In identifying potentially hazardous materials on board ships, there are two key lists to consider for guidance, which are set out as Appendices 1 and 2 to these Guidelines Appendix 1 is based on the "List of Hazardous Wastes and Substances under the Basel Convention that are relevant to Ship Dismantling" (Appendix B to the "Technical Guidelines for the Environmentally Sound Management of the Full and Partial Dismantling of Ships"), and Appendix 2 is based on the list of �Potentially hazardous materials which may be on board vessels delivered to recycling yards� (Annex 1 of the �Industry Code of Practice on Ship Recycling�). 5 GREEN PASSPORT 5.1 The Green Passport for ships is a document facilitating the application of these Guidelines providing information with regard to materials known to be potentially hazardous utilised in the construction of the ship, its equipment and systems. This should accompany the ship throughout its operating life. Successive owners of the ship should maintain the accuracy of the Green Passport and incorporate into it all relevant design and equipment changes, with the final owner delivering the document, with the ship, to the recycling facility.


Page 9


5.2 The Green Passport should contain, at least, the following information: .1 Ship details:

.1 the name of the State whose flag the ship is entitled to fly;

.2 the date on which the ship was registered with that State;

.3 the date on which the ship ceased to be registered with that State.

.4 the ship�s identification number (IMO number);

.5 Hull number on new-building delivery

.6 the name and type of the ship;

.7 the port at which the ship is registered;

.8 the name of the shipowner and its address;

.9 the name of all classification society(ies) with which the ship is classed; .10 the ship�s main particulars (Length overall (LOA), Breadth (Moulded),

Depth (Moulded), Lightweight); .11 Shipbuilder name and address;

.2 Inventory of the materials known to be potentially hazardous, containing the location and the approximate quantity/volume of each identified material onboard the ship, split into the following parts:

Part 1 - Potentially hazardous materials in the ship�s structure and equipment Part 2 - Operationally generated wastes Part 3 - Stores 5.3 Any changes relating to the entries referred to in paragraph 5.2 should be recorded in the Green Passport so as to provide updated and current information together with the history of the changes. 5.4 Ship details referred to in paragraph 5.2.1 should be included in the Green Passport by the shipowner. 5.5 Part 1 of the Inventory of potentially hazardous materials should be prepared: .1 for new ships by the shipbuilder, in consultation with the equipment

manufacturers, at the construction stage and passed to the shipowner; .2 for existing ships by the shipowner, as far as is practicable and reasonable, by

reference to ship�s plans, drawings, manuals, technical specifications and ship stores manifests, in consultation with the shipbuilder, equipment manufacturers and others as appropriate.

5.6 Parts 2 and 3 should be prepared by the shipowner prior to the final voyage to the recycling facility. 5.7 The format contained in Appendix 3 may be used as a model for the preparation of the Inventory referred to in paragraph 5.2.2. 5.8 Administrations, designers, shipbuilders, and equipment manufacturers should take measures to facilitate the preparation of the Green Passport.



6 PROCEDURES FOR NEW SHIPS RELATED TO SHIP RECYCLING 6.1 Minimization of hazardous substances used in the construction of new ships and

their equipment 6.1.1 Some of the problems associated with ship recycling might be addressed at the design and construction stage, not only in relation to the ships themselves but also in respect of ships� equipment. The first step is to identify any potentially hazardous materials which might be incorporated, as a matter of routine, in the structure of ships and their equipment (see Section 4) and, where practicable, consider using less hazardous alternatives. 6.1.2 The second step is to minimize hazardous materials generated during the operating life of a ship and at the end of a ships life. Shipbuilders should already be aware of the need to minimise emissions and hazardous wastes to a level as low as reasonably achievable. 6.1.3 The initial stages might include an evaluation of:

.1 the type, amount and potential hazard of materials utilised and their location on board a ship;

.2 the activities expected during the operation of the ship and any potentially

hazardous wastes which might be generated; and .3 the feasibility of addressing the potential for hazardous waste generation by

considering:

.1 product reformulation � installing components utilising less potentially hazardous materials;

.2 cleaner production technologies � which generate less wastes;

.3 process modification � to generate less waste;

.4 input substitution � utilising less potentially hazardous consumables or those which generate less waste; and

.5 on-site, closed-loop recycling � systems that recycle wastes on board the ship.

6.1.4 Ship designers and shipbuilders are encouraged to take due account of the ship�s ultimate disposal when designing and constructing a ship, by:

.1 using materials which can be recycled safely and environmentally sound; and

.2 minimising the use of materials known to be potentially hazardous to health and the environment.

6.1.5 In general terms, if opportunities exist, ship or equipment designers should recommend designs to ship operators that minimise or prevent waste at source and at the end of the operating life of the ship. Similarly, shipowners and operators should ask for such design considerations for new buildings and retro-fits.


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6.1.6 Administrations and the competent authorities of ship building States are encouraged to advise shipbuilders to limit the use of hazardous materials in the construction of ships. 6.1.7 The competent authorities of ship building States have a role in encouraging research into the use of less potentially hazardous materials in the construction of ships and promoting the use of techniques which, without compromising safety or operational efficiency, contribute towards the facilitation of the recycling operation. 6.1.8 Substances prohibited or restricted by international Conventions such as the Stockholm Convention on Persistent Organic Pollutants (POPs), the Montreal Protocol on Substances that Deplete the Ozone Layer, and the International Convention on the Control of Harmful Anti-fouling Systems on Ships, should not be used in the construction, refit and repair of ships. 6.2 Design of ships and ships' equipment to facilitate recycling and removal of

hazardous materials 6.2.1 Ship designers and shipbuilders, without compromising safety or operational efficiency, should take due account of the ship�s ultimate disposal when designing and constructing a ship, by considering:

.1 structural designs that could facilitate ship recycling;

.2 equipment designs that facilitate removal from ships during recycling;

.3 the use of structural materials that can be readily recycled;

.4 providing to the new owner a brief technical document advising on the optimal approach for recycling the ship;

.5 the use of recycled materials in ship or equipment designs;

.6 limiting the use of materials that are difficult to separate into their specific individual substances or components; and

.7 taking measures to facilitate the removal of such materials.

6.2.2 Manufacturers of marine equipment that contain hazardous substances, should be encouraged to design them so as to facilitate the safe removal of those substances, or give advice as to how such substances can be safely removed, at the end of the working life of the equipment. 6.3 Preparation of the Green Passport Shipowners and shipbuilders should prepare the Green passport in accordance with section 5. 6.4 Minimization of the use of potentially hazardous substances Shipowners should make every effort to minimize the amount of potentially hazardous materials on board the ship, including those carried as stores, during routine or major maintenance or major conversions, seeking assistance from other parties as necessary.



6.5 Minimization of waste generation Ship operators should continuously seek to minimize hazardous waste generation and retention during the operating life of a ship and at the end of a ships life. 7 PROCEDURES FOR EXISTING SHIPS RELATED TO SHIP RECYCLING 7.1 Preparation of the Green Passport Shipowners should prepare the Green passport in accordance with section 5. 7.2 Minimization of the use of potentially hazardous substances 7.2.1 Shipowners should make every effort to minimize the amount of potentially hazardous materials on board the ship, including those carried as stores, during routine or major maintenance or major conversions, seeking assistance from other parties as necessary. 7.2.2 The points listed in section 6.1.3 for new ships should be considered when seeking to minimize hazardous materials aboard existing ships. 7.3 Minimization of waste generation Ship operators should continuously seek to minimize hazardous waste generation and retention during the operating life of a ship and at the end of a ship's life. 8 PREPARATIONS FOR SHIP RECYCLING 8.1 Selection of the recycling facility 8.1.1 A recycling facility should have the capability to recycle the ships it purchases in a manner consistent with national legislation and relevant international conventions. This capability should be monitored by the appropriate national administration and should be in compliance in particular with the relevant Guidelines developed by ILO (Guidelines on Safety and Health in Shipbreaking) and the Basel Convention (Technical Guidelines for the Environmentally Sound Management of the Full and Partial Dismantling of Ships). 8.1.2 Information on the above is not, currently, widely available. Competent authorities in recycling States should assess the capabilities of their recycling facilities and make available the results of those assessments. 8.1.3 In selecting the recycling facility, a shipowner, in consultation with competent authorities of the recycling State, should consider, in the context of the above guidelines, the working practices and facilities in the ship recycling facility in question including:

.1 its ability to handle safely, and dispose of properly, any potentially hazardous materials that may be present in the ship such as asbestos, PCBs, halons, petroleum products and other residues;

.2 the provision of appropriate and sufficient personal protection and safety

equipment;


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.3 the ability of a recycling facility to maintain and monitor the ship in a gas free condition and approved �fit for hot work� during the whole process of ship recycling; and

.4 other information such as safety records, training programmes for workers and

assessment of the work quality. 8.1.4 Some recycling facilities may be capable of recycling almost any ship in an �as is� condition. Others, even though technically advanced, may not be able to properly manage any resulting hazardous materials or wastes. In such cases, shipowners should, following discussions with the recycling facility, arrange to remove and properly dispose of those materials that the facility cannot manage. 8.1.5 Where, after investigation, it is assessed that the selected recycling facility has no means of managing hazardous materials or wastes in a manner consistent with national law and relevant international instruments and Guidelines, the shipowner should arrange for the removal of those materials to another appropriate facility or ensure that the facility obtains the technical capability to do so. 8.1.6 While recycling facility selection is made on a commercial and risk management basis, shipowners should select facilities that are best capable of managing all relevant hazardous materials and wastes arising from the recycling process. 8.1.7 In addition to the considerations set out above, the shipowner should consider the following:

.1 establishing the procedures to be used by the recycling facility in removing and properly disposing of any potentially hazardous materials;

.2 specifying the method of recycling in the recycling contract,

.3 reserving in the recycling contract the right to monitor the recycling process, and

.4 contractual provisions for incentive payments to ensure the recycling is carried out in accordance with the relevant Guidelines.

8.1.8 The shipowner having selected a recycling facility to recycle a ship should inform the Administration and the competent authority of the recycling State accordingly. 8.2 Delivery of the ship to the recycling facility 8.2.1 At the end of a ship's operating life the shipowner is responsible for delivery of the ship to the recycling facility as described in the contract with the facility. In addition, the shipowner should provide the recycling facility with the ship�s Green Passport, and if available, any technical advice from the shipbuilder or equipment supplier on dismantling as described in these Guidelines.



8.2.2 Shipowners should ensure that appropriate insurance is in place to cover response and liability in respect of the voyage of the ship to the recycling facility. Shipowners should also have in place contingency arrangements in the event that either the ship is unable to complete the voyage to the recycling facility (e.g. due to bad weather), or the recycling facility is unable to accept delivery of the ship (shutdown of operations, etc.). 8.2.3 The shipowner having delivered a ship to a recycling facility should inform the Administration accordingly in order to deregister the ship. 8.3 Preparation of a ship for recycling 8.3.1 General 8.3.1.1 The preparation of a ship for recycling should address occupational safety and health, environmental issues and the safe operation of the ship prior to and on its final voyage to the recycling facility. Conditions on the ship that may threaten worker safety at the recycling facility should, to the extent practicable, be identified by the shipowner, seeking assistance from other parties if required, and either be rectified or reported to the recycling facility to ensure that appropriate safety precautions are taken. Ideally, a facility should be capable of recycling the whole ship in a responsible way. 8.3.1.2 With regard to potentially hazardous materials which cannot be safely removed and properly disposed of by the purchasing recycling facility, the shipowner should, consistent with the safe operation of the ship, either:

.1 remove these materials from the ship elsewhere in a manner that is consistent with relevant national and international legislation and relevant Guidelines; or

.2 minimize these materials in amount and location and report to the recycling

facility to ensure that suitable arrangements can be made for their reclamation, recycling or disposal.

8.3.1.3 The preparation of the ship for recycling is, to a large extent, dependent on the capabilities of the recycling facility and the requirements of the relevant national authority as referred to in section 8.1.1 of these Guidelines. 8.3.2 Ship Recycling Plan 8.3.2.1 The preparation of the ship for recycling should begin before the ship arrives at the recycling facility and the recycling facility should work with the shipowner before the delivery of the ship in determining the extent of pre-recycling work that is desirable. 8.3.2.2 The development and implementation of a recycling plan can help ensure that a ship has been prepared to the maximum extent possible prior to its recycling and that the safety of the ship, prior to delivery, has been taken into account. The plan should be developed by the recycling facility in consultation with the shipowner, taking into account the potential hazards which may arise during the recycling operation, the relevant national and international requirements and the facilities available at the relevant recycling facility in terms of materials handling and the disposal of any wastes generated during the recycling process.


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8.3.2.3 A major purpose of the plan is to ensure that wastes potentially contributing to pollution of the environment or potential hazards to worker health and safety, are properly identified and handled. 8.3.2.4 The recycling plan should take into account inter alia:

.1 the Green Passport (section 5);

.2 any technical advice from the shipbuilder;

.3 details of the ship�s operational equipment and potential sources, amounts and relative hazards of potential contaminants (including chemical and biological) that may be released to the environment as indicated by the Inventory; and

.4 potential hazards to worker safety that may arise during the recycling operation.

8.3.2.5 Agreement to implement the Recycling Plan should be part of the contract between shipowner and facility. 8.3.2.6 Technical considerations to assist in developing the Ship Recycling Plan include but are not limited to the following:

.1 Suggestions for planning work;

.2 General notes on salvage;

.3 Ship stability during clean-up and transits;

.4 Tank cleaning;

.5 Cleaning compartments with bilges;

.6 Dealing with piping and fittings;

.7 Cleaning fitted machinery;

.8 Suggestions on handling waste.

8.3.3 Preparations to prevent pollution

8.3.3.1 The last owner of a ship sold for recycling should, consistent with the safe operation of the ship: .1 minimise the quantities of fuel, diesel, lubricating, hydraulic and other oils and

chemicals on board at delivery to the facility; .2 if the facility is not equipped with reception facilities, remove wastes at the last

port with reception facilities before delivery of the ship to the recycling facility; .3 ensure that the Green Passport is completed in accordance with section 5;



.4 take measures to facilitate the controlled drainage, by the recycling facility, of potentially harmful liquids from the ship; and

.5 take measures to ensure that ballast water of the ship is managed in accordance

with the relevant international or national standards and requirements. 8.3.3.2 Among the items which may be considered by the shipowner in consultation with the recycling facility in accordance with paragraph 8.3.1 prior to recycling, consistent with the safe operation of the ship, are:

.1 the removal and safe disposal of asbestos or alternatively, the clear marking of any Asbestos Containing Materials (ACMs) or Presumed Asbestos Containing Materials (PACMs);

.2 the discharge of halon to an approved facility and the use of portable and

returnable fire-fighting equipment for the final voyage to the recycling site; .3 the removal of materials remaining in tanks or piping, to the maximum extent

possible (including fuel, lubricating oils, hydraulic fluids, cargoes and their residues, and grease). Drummed, tanked, or canned liquids or gaseous materials should be removed from the ship. All materials removed should be managed in an environmentally sound manner (e.g., recycling and, in certain cases, onshore incineration);

.4 the removal of equipment containing liquid PCBs; .5 the identification of capacitors and transformers containing dielectric fluid; .6 the removal of residues from parts of the ship used for storage of fuel or chemical

stocks such as tanks (these areas should be flushed and cleaned); .7 the provision of advice on the nature of any hazardous materials on board, as in

the Inventory of potential hazardous materials; and .8 the clear marking of other potentially hazardous materials and spaces on board the

ship.

8.3.4 Preparations to protect occupational health and safety 8.3.4.1 Prior to recycling the shipowner should in accordance with paragraph 8.3.1 and consistent with the safe operation of the ship:

.1 in connection with the delivery of a ship, provide or arrange for a gas-free certificate or hot work safe certification as applicable, issued by a relevant and appropriate body, for enclosed spaces onboard ship (It should be recognized that any such certification is valid only at the time it is issued and that such certification should not discourage the ship recycling facility from conducting their own inspections of such areas);


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.2 ensure that any compartments on the ship which may contain an oxygen-deficient atmosphere are clearly marked as such, and that the facility is duly notified of these and other hazardous enclosed spaces. (This should not preclude or discourage recycling facilities from conducting similar inspections);

.3 ensure that any area of the ship where there may be structural integrity problems

(e.g., collision damage) are identified and their location indicating to avoid collapses and accidents; and

.4 ensure that any area of the ship where there are critical support structures that

should be dismantled in a way that avoids accidental structural collapse are identified and their location indicated.

8.3.4.2 Guidance with regard to safe working practices and procedures for hot work and entry into enclosed spaces onboard ships which are provided in the circular MSC/Circ.1084 "Principles for hot work on board all types of ships" and in the Assembly resolution A.864(20) "Recommendations for entering enclosed spaces aboard ships", are presented in Appendices 4 and 5 to these Guidelines. 9 ROLE OF STAKEHOLDERS AND OTHER BODIES 9.1 General 9.1.1 In recent years, certain governments and other bodies have been developing and implementing incentive mechanisms and programmes to promote quality shipping that operates in an environmentally sound manner. The �Green Ships Award� programme, created through the Port of Rotterdam, is one example. The reduction and minimization of hazardous materials aboard ships during their operating lives is often a key component of these incentive mechanisms. This contributes to reducing the hazardous materials that recycling facilities must manage at the end of ships� operating lives. 9.1.2 Another example of an incentive mechanism is a financial benefit for recycling facilities that meet sound environmental requirements, e.g. lower import taxes could make �green facilities� more competitive and ease the choice of a shipowner in favour of human health and environment. 9.1.3 The development of such incentive mechanisms for operating cleaner shipping by governments and other bodies, therefore, can significantly assist the implementation of these Guidelines. Administrations and other stakeholders should consider such mechanisms. 9.2 Role of the flag State The role of the Administration covers the whole operating life of a ship (including its final voyage) and, during that life it should ensure that the ship complies with applicable IMO Conventions and other relevant requirements for as long as the ship is operational. Administrations should promote the application of these Guidelines.



9.2.1 Criteria for �ready for recycling� conditions Administrations should establish criteria to declare a ship "ready for recycling". The basic criteria would be the completion of the work to prepare a ship for recycling, set out in section 8 of these Guidelines. 9.2.2 Implementation Administrations should:

.1 promote the use of a ship recycling sale and purchase contract, such as DEMOLISHCON, the BIMCO standard contract, in order to ensure that full account is taken of all relevant environmental, health and safety considerations included in these Guidelines; and

.2 co-operate with recycling States to facilitate the implementation of the Guidelines.

9.3 Role of the port State The port State assumes a role in verifying compliance with international maritime conventions by the inspection of foreign ships in national ports to check that the condition of the ship and its equipment comply with the requirements of international regulations and that the ship is manned and operated in compliance with these rules. The port State functions also in respect of recycling of ships as a supplement to flag State control, when it executes port State control. 9.3.1 Port State control procedures for ships destined for recycling 9.3.1.1 Ships destined for recycling are subject to current port State control procedures, as any other ship, in accordance with applicable international regulations. 9.3.1.2 Co-ordination between the port State and the flag State is encouraged to ensure the ship meets all relevant IMO requirements, and any other applicable requirements, at all times. 9.3.2 Implementation Port States should:

.1 promote the widespread use of IMO guidelines within the industry; and

.2 co-operate with flag States and recycling States to facilitate implementation of the Guidelines.

9.4 Role of the recycling State 9.4.1 General 9.4.1.1 The role of the recycling State is to enforce international obligations and national legislation in respect of worker safety, health and welfare and the protection of the environment in the ship recycling industry, in particular, with respect to hazardous and other wastes handled at a recycling facility.


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9.4.1.2 The recycling State should introduce national regulations in relation to the condition of ships purchased for recycling both at the time of purchase and at the time of delivery. In effect, the recycling State should lay down any conditions it considers necessary before a ship is accepted for recycling. 9.4.1.3 The Green Passport, including its inventory of potentially hazardous materials which should be delivered to the recycling facility by the last owner of the ship, gives information which might be demanded by the recycling State as to the materials on the ship. The recycling State should check that any potentially hazardous wastes which might be generated during the recycling operation can be safely handled before it accepts the ship for recycling. 9.4.1.4 After the ship has been accepted, the recycling State is responsible for monitoring the safe handling of any hazardous materials generated during the recycling process. 9.4.1.5 Competent authorities in recycling States should assess the capabilities of their recycling facilities and make available the results of those assessments. 9.4.2 Reception facilities for ship-generated wastes 9.4.2.1 MARPOL 73/78 provisions require the government of each party to ensure the provision of adequate port reception facilities without causing undue delay. For example, regulation 12(1) of Annex I to MARPOL 73/78 requires governments to provide reception facilities �at oil loading terminals, repair ports, and in other ports in which ships have oily residues to discharge� which are �adequate to meet the needs of the ships using them.� Regulation 12(2)(c) extends this to �all ports having ship repair yards or tank cleaning facilities.� 9.4.2.2 Regulation 17(1)(c) of Annex VI of MARPOL 73/78 requires the Government of each Party to the Protocol of 1997 to ensure the provision of port reception facilities adequate to meet the needs in ship recycling facilities for the reception of ozone-depleting substances and equipment containing such substances when removed from ships. 9.4.2.3 While only Annex VI of MARPOL 73/78 requires explicitly the provision of reception facilities at recycling facilities, Governments of recycling States should ensure that, in authorising a recycling activity, adequate reception facilities are in place. 9.4.2.4 The IMO Manual for Port Reception Facilities provides detailed guidance to manage ship-generated wastes. The Technical Guidelines for the Environmentally Sound Management of the Full and Partial Dismantling of Ships, adopted by the Conference of the Parties to the Basel Convention, also provides guidance. 9.4.3 Measures for the control of ships delivered for recycling 9.4.3.1 Recycling States should, in their national legislation, lay down the conditions under which ships may be accepted into their state as imports for recycling and, equally, define and enforce appropriate worker health and safety requirements. 9.4.3.2 Recycling States should introduce and enforce legislation which requires that all ships being recycled have a gas-free certificate or hot work safe certification as applicable, issued by a relevant and appropriate body, for enclosed spaces on board ship.



9.4.3.3 Recycling States should also promote that those acting on behalf of recycling facilities in purchasing ships for recycling utilise a standard ship recycling contract, such as DEMOLISHCON � the BIMCO standard contract document, in order to ensure that full account is taken of all relevant environmental, health and safety considerations included in these Guidelines. 9.4.3.4 The recycling facility should be required by the recycling State to check every ship before it accepts it for recycling. This check should ensure that the actual condition of the ship is consistent with these and other relevant international Guidelines, the purchase contract, and that national requirements are fulfilled. From the moment the recycling facility accepts the ownership of the ship for recycling, the responsibility for the proper handling of any wastes generated lies with the facility. 9.4.4 Measures for the control of recycling facilities 9.4.4.1 The recycling State should introduce, implement and enforce sound legislation and other requirements concerning the recycling of ships, including measures to authorizing or licensing recycling facilities. To this end, recycling states should examine, and where necessary adopt national legislation or requirements, any applicable internationally developed conventions, recommendations and guidelines relevant to the ship recycling industry such as these Guidelines and those produced by the International Labour Organization (ILO) and under the Basel Convention. 9.4.4.2 Those Authorities with responsibilities for recycling facilities should ensure that the handling and disposal of asbestos, oils and other hazardous substances, whether prior to the ship's arrival at the recycling facility or subsequently, have been conducted in an acceptable manner. 9.4.4.3 The recycling State should also be prepared to give support to their facilities in the decision to accept or not to accept a ship for recycling. The facilities themselves are responsible for handling the ship and ensuring that the recycling operation is in compliance with national legislation and other national requirements. 9.5 The role of the Basel Convention The Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal was adopted in 1989 and entered into force in 1992. The main objective of this Convention is to protect human health and the environment against adverse effects caused by the generation, improper management and transboundary movements of hazardous and other wastes. One of the fundamental aims of the Basel Convention is to ensure that hazardous and other wastes are managed in an environmentally sound manner (ESM). Article 2, paragraph 8 of the Convention defines ESM to mean �taking all practicable steps to ensure that hazardous wastes or other wastes are managed in a manner which will protect human health and the environment against the adverse effects which may result from such wastes�. (For more information on the Convention, and the obligations it imposes, see the Basel Convention website: www.basel.int.) 9.5.1 Environmentally sound dismantling of ships 9.5.1.1 In order to assist countries that have or wish to establish recycling facilities, the Conference of the Parties to the Basel Convention, at its sixth meeting in December 2002, adopted the Technical Guidelines for the Environmentally Sound Management and Full and


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Partial Dismantling of Ships, which provide information and recommendations on procedures, processes, and practices that should be implemented to conform with the environmentally sound management obligations under the Convention. These Technical Guidelines provide guidance for Parties, where dismantling of ships occur, to fulfil their obligations under the Convention. 9.5.1.2 The Technical Guidelines are applicable to existing, as well as to new, ship recycling facilities. They include principles for the environmentally sound management of ship dismantling, good practice in environmental control procedures at ship recycling facilities, good practice in design, construction and operation of ship recycling facilities and how to achieve protection of the environment and human health. Under the Basel Convention, also other technical guidelines for specific operations and for specific wastes have been developed which may be relevant to ship recycling activities*. 9.5.2 Principle of notification and prior written consent 9.5.2.1 The Basel Convention addresses the transboundary movement of hazardous wastes. Although the legal aspects of ships destined for recycling are being considered under the Basel Convention, its provisions may provide some useful concepts to address transboundary concerns of the final voyages for ships destined for recycling. 9.5.2.2 A key component in the implementation of the Basel Convention is that transboundary movements of hazardous and other wastes covered by the Convention, occur with the prior written notification and consent of the importing State upon notification by the exporting State. The basic procedures under the Basel Convention are that the exporter notifies its Government (the exporting State) of the intended movement, the exporting State notifies transit and importing States, which responds to the notification by consent or refusal or seeking additional information before issuing the written consent. 9.6 The role of the International Labour Organization 9.6.1 The ILO is concerned with ship recycling where land-based workers in the industry can be exposed to an extremely dangerous work environment with a high accident rate. All major occupational risks - chemical, physical, biological, ergonomic and psychosocial - are present. Although not drafted with ship recycling in mind, a considerable number of existing ILO Conventions, Recommendations and Codes of Practice can be applied to deal with numerous occupational safety and health hazards and worker protection issues arising from ship recycling**. As a complement to the work undertaken in IMO and under the Basel Convention, ILO has prepared [draft] �Guidelines on safety and health in shipbreaking�. 9.6.2 ILO will provide advice and guidance in helping countries to implement the �Guidelines on health and safety in shipbreaking�, thereby improving working conditions at recycling facilities. It would also assist administrations in establishing criteria by which facilities might be ranked as meeting certain minimum requirements, as contained in its guidelines, in order to obtain government approval. The ILO is invited to continue to develop programmes for raising awareness on improving working conditions at ship recycling facilities.

* www.basel.int. ** www.ilo.org.



9.7 The London Convention 1972/1996 Protocol 9.7.1 Dumping of vessels 9.7.1.1 The primary function of the Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter, 1972 (London Convention 1972) and of the 1996 Protocol to the London Convention 1972 is to control the disposal at sea of wastes or other matter. Under the London Convention the disposal at sea of industrial wastes and of radioactive wastes are prohibited, whereas under the London Protocol all disposal at sea is prohibited with certain exceptions. Both the Convention and the Protocol allow, in principle, the disposal at sea of decommissioned ships. However, in accordance with the �Specific Guidelines for Assessment of Vessels�∗ which were adopted in 2000 as an authoritative interpretation of both the Convention and the Protocol, the assessment of any proposal for disposal at sea is required where recycling is considered one of the alternatives to disposal. 9.7.1.2 The �Specific Guidelines for Assessment of Vessels�, as a first step, work through a process of comprehensively examining alternatives to disposal at sea. If the option to recycle a ship is selected by the owner then the process for evaluation of the disposal at sea proposal stops. The process can, however, assist in preparing the vessel for the recycling option, as would be carried out similarly if it were disposed of at sea. The aforementioned guidelines outline in detail the equipment and contaminants aboard a vessel that should be removed prior to disposal. This process can be used as a guide for both shipowners, flag States and recycling States when preparing a ship for the recycling facility or the last voyage. 9.7.2 Abandonment of ships 9.7.2.1 One concern related to ship recycling is that final shipowner, in order to avoid recycling costs (clean-up, structural repairs for last voyage, towing, insurance, etc.), may choose to abandon a ship at sea or in port. The abandonment of a ship at sea, for the purpose of its disposal, constitutes an uncontrolled dumping operation and, therefore, should be considered a violation of the London Convention/Protocol and subject to enforcement procedures of relevant Parties following investigation. The abandonment of a ship in port, with or without its crew, is not covered by the London Convention/ Protocol, but would be a liability matter for the port State to pursue with the flag State and the shipowner. In cases where the crew is also abandoned, port States should be encouraged to ensure the care and safe return of crew members to their countries of origin, citizenship, or residence as appropriate and to pursue recovery of the costs of such measures with the parties responsible for the abandonment in accordance with the relevant international standards presently being discussed by the Joint IMO-ILO Ad Hoc Expert Working Group on Liability and Compensation regarding claims for Death, Personal Injury and Abandonment of Seafarers. 9.7.3 �Placement� of vessels on the sea-bed Vessels, or parts thereof, are sometimes used for the construction of artificial reefs, or placed on selected locations for marine habitat enhancement or creation of a diving attraction. �Placement of matter for a purpose other than the mere disposal thereof� is excluded from the definition of �dumping� both under the London Convention and Protocol, provided such placement is not contrary to the aims of the Convention/Protocol and not used as an excuse for disposal at sea of

∗ See www.londonconvention.org/4-Vessels.pdf.


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waste materials. Notwithstanding the distinct differences between �dumping� and �placement�, in practice, a vessel needs to be well prepared and cleaned for such operations. Some national administrations have chosen to apply their licensing system for dumping also to construction of artificial reefs, possibly using vessels, in order to control the materials used for such construction. 9.7.4 Reports under the London Convention regarding dumping of vessels In most reports received by the London Convention Secretariat concerning permits issued by Contracting Parties for sea disposal of vessels, the removal of all floatable materials is mentioned, and the removal of all fuels, oils, liquid chemicals, and flushing of pipelines etc. Some national administrations have developed detailed clean-up standards for decommissioned vessels with particular attention given to disposal of vessels in shallow waters as diving attractions. In these standards, asbestos would not be removed from vessels as standard practice, as this did not harm the marine environment, but would where there was a possibility of exposure to divers. 9.7.5 Options for disposal of decommissioned vessels Controlled sea disposal operations of decommissioned vessels under the London Convention/Protocol, controlled placement activities of such vessels on the seabed in accordance with national regulations, and recycling of decommissioned vessels on land have the same goal of preventing pollution of the (marine) environment. However, recycling of decommissioned vessels on land, where this is possible, is the preferred option from the perspective of the London Convention/Protocol. 9.8 Role of the shipping industry The co-operation between the shipowner and the recycling facility, before and during the recycling operation, is essential in facing and finally solving the problems associated with ship recycling. Shipowners and the recycling facilities should develop this co-operation. The shipping industry should also continue its co-operation with the other stakeholders towards improving plans to decommission ships in a safe and environmental sound manners. 9.8.1 Industry Code of Practice on Ship Recycling 9.8.1.1 The Industry Working Party on Ship Recycling was established under the co-ordination of the International Chamber of Shipping (ICS) in February 1999 in response to growing concerns expressed by governments, environmental groups and the industry itself regarding:

.1 the legal position with respect to potentially hazardous substances on ships sold for recycling;

.2 the working conditions and safety provisions for workers in recycling facilities; and

.3 environmental controls at recycling facilities.



9.8.1.2 The Industry Group, recognising the concerns of various parties, has developed a Code of Practice, outlining a series of recommendations which would constitute �good practice� in respect of ships destined for recycling. This Code of Practice is available from the Industry Working Party participants*. 9.8.1.3 The shipping industry is encouraged to continue the further development of the �Industry Code of Practice on Ship Recycling�, seeking endorsement of and comments on its work from the Organization at regular intervals in the future. 9.8.2 Contract covering the sale and purchase of a ship for recycling At the end of a ship�s operating life the shipowner is responsible for delivery of the ship as described in the contract, including all the documents in accordance with these Guidelines. Although contractual matters are the purview of the parties involved, it is recommended that sellers (shipowners) and purchasers (recycling facilities) use a standard contract that deals with all the relevant issues. BIMCO has revised its standard contract covering the sale of ships for recycling, DEMOLISHCON, to incorporate, in the standard terms and conditions, reference to the aforementioned "Industry Code of Practice on Ship Recycling". BIMCO is invited to consider revising DEMOLISHCON taking into account these Guidelines. 9.9 The role of the ship recycling industry 9.9.1 The ship recycling industry itself is an important stakeholder with responsibilities for the adoption and implementation of these Guidelines even though the standards and methods of operation in those shore-based industries involved in ship recycling do not fall within the remit of IMO. However, the ship recycling industry has an important role in establishing control standards in their facilities that can contribute towards ensuring the safe and environmentally friendly disposal of time-expired ships. 9.9.2 The ship recycling industry should:

.1 take due note of available technical guidance on ship recycling such as the guidelines adopted by ILO and the Parties to the Basel Convention and those developed by national bodies** and Recognised Organizations***;

.2 develop a code of practice appropriate to that industry, as guidance on work

practices in relation to shore based activities in recycling facilities to ensure acceptable environmental, safety and health standards and to monitor its application;

.3 encourage appropriate international bodies to endorse any such industry code of

practice; .4 encourage recycling facilities to make available details regarding procedures for

the chosen method for the safe handling of hazardous materials (e.g.asbestos, PCBs and PABs, halon/freon, oily residues) and working practices in enclosed spaces;

* www.marisec.org. ** EPA, A Guide to Ship Scrappers, Tips for Regulatory Compliance, Summer 2000. *** Technical Report DNV RN 590, Decommissioning of Ships, Environmental Standards, Decommissioning

Guidelines, The GUIDEC Approach.


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.5 improve the quality management system of the recycling facilities by

implementing measures as proposed by the relevant technical Guidelines and by improving the skills of the personnel and the quality of the equipment; and

.6 establish adequate waste management systems.

9.10 Role of Other Interested Stakeholders Other Interested Stakeholders are encouraged to contribute to addressing issues associated with ship recycling. 10 TECHNICAL CO-OPERATION 10.1 Ship recycling, if conducted in an environmentally sound and a safe manner, is a positive benefit to the overall environment and to specific national and local economies and represents the most viable method of disposing of the majority of time expired tonnage. Therefore, if the transfer of technology or aid funding is necessary to improve facilities and working practices in the facilities, organizations or nation groupings with access to economic assistance funds should co-operate with the governments concerned with recycling on actual infrastructure projects. 10.2 National or regional Organizations should co-operate with governments in ship recycling States and other interested parties on projects involving the transfer of technology or aid funding to improve facilities and working practices in the recycling facilities.



APPENDIX 1

LIST OF HAZARDOUS WASTES AND SUBSTANCES THAT ARE RELEVANT TO SHIP RECYCLING

(based on Appendix B to the "Technical Guidelines for the Environmentally Sound Management of the Full and Partial Dismantling of Ships, 2002"). This list is intended to be used for the identification of potentially hazardous materials inherent in the ship's structure and onboard ships (see sections 4, 6 and 7) and is not part of the Green Passport. The numbers in the tables refer to Annex VIII to the Basel Convention. Table 1 Wastes and substances that may be inherent in the ship structure Wastes Possible waste-location on the ship A1 Metal and metal-bearing wastes A1010 Metal wastes and waste consisting of alloys of any of the following:

Antimony * alloys with lead in lead-acid storage batteries, solder

Beryllium * hardening agent in alloys, fuel containers, navigational systems

Cadmium * bearings Lead connectors, couplings, bearings Mercury thermometers, bearing pressure sensors Tellurium * in alloys A1020 Waste having as constituents or contaminants, excluding metal waste in massive form, any of the following:

Antimony; antimony compounds * fire retardation in plastics, textiles, rubber, etc.

Cadmium; cadmium compounds batteries, anodes, bolts and nuts Lead; lead compounds batteries, paint coatings, cable insulation A1030 Wastes having as constituents or contaminants any of the following:

Arsenic; arsenic compound Paints on the ships� structure Mercury; mercury compounds thermometers, light fittings, level switches A1040 Wastes having as constituents any of the following: Hexavalent chromium compounds paints (lead chromate) on the ships�

structure A1080 Waste zinc residues not included on list B, containing lead and cadmium in concentrations sufficient to exhibit Annex III characteristics

anodes (Cu, Cd, Pb, Zn)

A1160 Waste lead-acid batteries, whole or crushed batteries: emergency, radio, fire alarm, start up, lifeboats

A1180** Waste electrical and electronic assemblies or scrap containing components such as accumulators and other batteries included on list A, mercury-switches, glass from cathode-ray tubes and other activated glass and PCB-capacitors, or contaminated with Annex I constituents (e.g., cadmium, mercury, lead, polychlorinated biphenyl) to an extent that they possess any of the characteristics contained in Annex III (note the related entry on list B B1110)

level switches, light tubes and fittings (capacitors), electrical cables


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A2 Wastes containing principally inorganic constituents, which may contain metals and organic materials

A2010 Glass waste from cathode-ray tubes and other activated glasses

tv and computer screens

A2050 Waste asbestos (dusts and fibres) thermal insulation, surfacing material, sound insulation

A3 Wastes containing principally organic constituents, which may contain metals and inorganic materials

A3020 Waste mineral oils unfit for their originally intended use hydraulic fluids, oil sump (engine, lub. oil, gear, separator, etc.), oil tank residuals (cargo residues)

A3140 Waste non-halogenated organic solvents but excluding such wastes specified on list B

antifreeze fluids

A3180 Wastes, substances and articles containing, consisting of or contaminated with polychlorinated biphenyl (PCB), polychlorinated terphenyl (PCT), polychlorinated naphthalene (PCN) or polybrominated biphenyl (PBB), or any other polybrominated analogues of these compounds, at a concentration level of 50 mg/kg or more

capacitors in light fittings, PCB in oil residuals, gaskets, couplings, wiring (plastics inherent in the ships� structure)

A4 Wastes which may contain either inorganic or organic constituents

A4030 Wastes from the production, formulation and use of biocides and phytopharmaceuticals, including waste pesticides and herbicides which are off-specification, outdated, or unfit for their originally intended use

paints and rust stabilizers, tin-based anti-fouling coatings on ships� bottoms

A4060 Waste oils/water, hydrocarbons/water mixtures, emulsions sludge, chemicals in water, tank residuals, bilge water

A4070 Wastes from the production, formulation and use of inks, dyes, pigments, paints, lacquers, varnish excluding any such waste specified on list B (note the related entry on list B B4010)

paints and coatings on the ships� structure

A4080 Wastes of an explosive nature (but excluding such wastes specified on list B)

compressed gases (acetylene, propane, butane), cargo residues (cargo tanks)

A4130 Waste packages and containers containing Annex I substances in concentrations sufficient to exhibit Annex III hazard characteristics

cargo residues

Footnotes: * If the component is present it is most likely bound in an alloy or present at a very low concentration. ** The ship components are also covered by other List A entries (overlapping).



Table 2 Wastes and substances that may be on board the ship Wastes Product where waste may be found A1170 Unsorted waste batteries excluding mixtures of only list B batteries. Waste batteries not specified on list B containing Annex I constituents to an extent to render them hazardous.

portable radios, torches

A3140 Waste non-halogenated organic solvents but excluding such wastes specified on list B

solvents and thinners

A3150 Waste halogenated organic solvents solvents and thinners A4010 Wastes from the production, preparation and use of pharmaceutical products but excluding such wastes specified on list B

miscellaneous medicines

A4030 Wastes from the production, formulation and use of biocides and phytopharmaceuticals, including waste pesticides and herbicides which are off-specification, outdated, or unfit for their originally intended use

insecticide sprays

A4070 Wastes from the production, formulation and use of inks, dyes, pigments, paints, lacquers, varnish excluding any such waste specified on list B (note the related entry on list B B4010)

paints and coatings

A4140 Waste consisting of or containing off specification or outdated chemicals corresponding to Annex I categories and exhibiting Annex III hazard characteristics

consumables

Table 3 Waste components that are relevant to ship recycling and which are not included in List A in the Basel Convention Potentially hazardous materials not covered by List A in the Basel Convention:

Ship component

CFC (R12 - dichlorodifluoromethane, or R22 - chlorodifluoromethane) refrigerants, styrofoam Halons fire fighting equipment Radioactive material Liquid-level indicators, smoke detectors,

emergency signs Microorganisms/ sediments ballast water systems (incl. tanks) Fuel oil, diesel oil, gas oil


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APPENDIX 2

POTENTIALLY HAZARDOUS MATERIALS WHICH MAY BE ON BOARD SHIPS DELIVERED TO RECYCLING FACILITIES

(based on Annex 1 to the �Industry Code of Practice on Ship Recycling, August 2001�) This list is intended to be used for the identification of potentially hazardous materials on board ships (see sections 4, 6 and 7) and is not part of the Green Passport. A. Operational Substances and Consumables 1. Cargo Residues including Slops 2. Dry tank Residues 3. Fuel oil, Diesel oil, Gas oil, Lubricating oil, Greases & Anti-seize Compounds 4. Hydraulic oil 5. Waste oils (contents of sludge tank) 6. Antifreeze fluids 7. Kerosene and White Spirit 8. Boiler and Feed Water Treatment Chemicals 9. Boiler and Feed Water Test Re-agents 10. De-ioniser Regenerating Chemicals 11. Evaporator Dosing and Descaling Acid 12. Domestic Water treatment Chemicals 13. Paints and Rust Stabilisers 14. Solvents and Thinners 15. Refrigerants (R12 or R22) 16. HALON 17. CO2 (in cylinders - engine room fire protection) 18. Acetylene, Propane and Butane 19. Hotel Services Cleaners 20. Lead-acid Batteries 21. Battery Electrolyte 22. PCB and/or PCT and/or PBB at levels of 50 mg/kg or more 23. Mercury 24. Radio-active Material i.e. liquid level indicators 25. Miscellaneous Medicines 26. Insecticide Sprays 27. Miscellaneous Chemicals such as Alcohol, Methylated Spirits, Epoxy Resins, etc. 28. Plastics as covered by MARPOL 29. Raw and Treated Sewage 30. Perfluorocarbons (PFCs) B. Toxic Materials (as part of the ship�s structure) 1. Asbestos 2. Lead-based Paint Coatings on Ship�s Structure 3. Tin-based Anti-fouling Coatings on Ship�s Bottoms 4. Others



APPENDIX 3

INVENTORY OF POTENTIALLY HAZARDOUS MATERIALS ON BOARD

(Based on Annex 2 to the �Industry Code of Practice on Ship Recycling, August 2001�*)

This model inventory is part of the ship�s Green Passport (see section 5) and provides information with regard to materials known to be potentially hazardous and utilised in the construction of the ship, its equipment and systems. It may be supplemented, as appropriate, with technical information in respect of certain categories of potentially hazardous materials listed in this document, particularly with regard to their proper removal and handling.

* www.marisec.org/recycling.


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PART 1 - POTENTIALLY HAZARDOUS MATERIALS IN THE SHIP�S STRUCTURE AND EQUIPMENT

1A. Asbestos (Note: All asbestos containing materials (ACMs) or presumed asbestos containing materials (PACMs) should be prominently labelled as such).

Type of Asbestos Materials (Board, Pipe lagging, Contained)

Location Approximate quantity/volume

Engine Room/Machinery Rooms Steam supply piping and hangers (General) Steam exhaust piping and hangers (General) Relief & safety valves (General) Miscellaneous piping outer covering and hangers

(General)

Water pipes and hangers (General) HP Turbine Insulation (General) Boiler drums & casings (General) Heaters, Tanks etc. (General) Other (General) Specific Machinery Locations e.g. Pump Room,

Boiler Room

Accommodation Sanitary & Commissary spaces (General) Interior decks � including underlay (General) Steam & exhaust pipes (General) Refrigeration pipes (General) Air conditioning ducts (General) Cable transits (General) External bulkheads (General) Internal bulkheads(General) External deckheads (General) Internal deckheads (General) Decks adjoining machinery spaces (General) Other (General) Specific accommodation locations Deck Steam supply piping (General) Exhaust piping (General) Tank cleaning piping (General) Stripping pump (General) Other (General) Specific deck locations Machinery Brake linings

Caution!! Asbestos containing material (ACM) may be found underneath materials that do not contain asbestos.



1B. Paint (on vessel�s structure) - Additives Additive (Lead, Tin, Cadmium, Organotins (TBTs), Arsenic, Zinc, Chromium, Strontium, Other)

Location

1C. Plastic Materials Type Location Approximate

quantity/volume 1D. Materials containing PCBs, PCTs, PBBs at levels of 50mg / kg or more Material Location Approximate

quantity/volume 1E. Gases sealed in ship�s equipment or machinery Type Location Approximate

quantity/volume Refrigerants (R12/R22) HALON CO2 Acetylene Propane Butane Oxygen Other (Specify) 1F. Chemicals in ship�s equipment or machinery Type Location Approximate

quantity/volume Anti-seize Compounds Engine Additives Antifreeze Fluids Kerosene White Spirit Boiler/Water Treatment De-ioniser Regenerating Evaporator Dosing and Descaling Acids

Paint/Rust Stabilisers Solvents/Thinners Chemical Refrigerants Battery Electrolyte Hotel Service Cleaners Other (Specify)


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1G. Other Substances inherent in ship�s machinery, equipment or fittings Type Location Approximate

quantity/volume Lubricating Oil Hydraulic Oil Lead Acid Batteries Alcohol Methylated Spirits Epoxy Resins Mercury Radioactive Materials Other (Specify) Part 1. completed by Date



PART 2 - OPERATIONALLY GENERATED WASTES 2A. Dry Tank Residues Description of Residues Location Approximate

quantity/volume 2B. Bulk (non-oily) waste Type Location Approximate

quantity/volume Ballast Water Raw Sewage Treated Sewage Garbage (inc. plastics) Debris Galley Wastes Other (Specify) 2C. Oily Waste/Oily Residues Type Location Approximate

quantity/volume Cargo Residues Tank Scale Bunkers: Fuel Oil Diesel Oil Gas Oil Lubricating Oil Grease Hydraulic Oil Waste Oil (Sludge) Oily Water Oily/Contaminated Sludge Oily/Contaminated Rags Other (Specify) Part 2. completed by Date


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PART 3 - STORES 3A. Gases in store Type No. and size

of Cylinders Location Approximate

quantity/volume Refrigerants (R12/R22) HALON CO2 Acetylene Propane Butane Oxygen Other (Specify) 3B. Chemicals in store Type Location Approximate

quantity/volume Anti-seize Compounds Engine Additives Antifreeze Fluids Kerosene White Spirit Boiler/Water Treatment De-ioniser Regenerating Evaporator Dosing and Descaling Acids

Paint/Rust Stabilisers Solvents/Thinners Refrigerants Battery Electrolyte Hotel Service Cleaners Other (Specify) 3C. Other Packaged items in store Type Location Approximate

quantity/volume Lubricating Oil Hydraulic Oil Lead Acid Batteries Medicines Insecticide Sprays Alcohol Methylated Spirits Epoxy Resins Paint Fire fighting clothing, equipment (e.g. blankets)

Other (Specify) Part 3 completed by Date



APPENDIX 4

LIST OF PRINCIPLES FOR HOT WORK ON BOARD ALL TYPES OF SHIPS (Annex to MSC/Circ.1084 �Principles for hot work on board all types of ships�)

1 General 1.1 Hot work means any work requiring the use of electric arc or gas welding equipment, cutting burner equipment or other forms of naked flame, as well as heating or spark generating tools, regardless of where it is carried out on board a ship. 1.2 The Safety Management System (SMS) on board should include adequate guidance on control of hot work and should be robust enough to ensure compliance. Absence of guidance should be regarded as prohibition, rather than approval. 1.3 Whenever possible, a space such as a workshop where conditions are deemed safe, should be designated for hot work to be performed and first consideration given to performing any hot work in that space. 1.4 Hot work performed outside that space should be subject to the following considerations. 2 Hot work outside the designated space 2.1 The master or designated safety officer should be responsible for deciding whether hot work is justified and whether it can be conducted safely. 2.2 A permit-to-work system should be employed. 2.3 Hot work procedures should take account of national laws or regulations or other national safety and health rules. 2.4 A responsible officer, not involved in the hot work, should be designated to ensure that safe procedures are followed. 2.5 A written plan for the operation should be agreed by all who will have responsibilities in connection with the hot work. 2.6 The work area should be carefully prepared and isolated before hot work commences. 2.7 Fire safety precautions should be reviewed, including fire equipment preparations, setting a fire watch in adjacent compartments and areas, and fire-extinguishing measures. 2.8 Isolation of the work area and fire precautions should be continued until the risk of fire no longer exists.


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APPENDIX 5

RECOMMENDATIONS FOR ENTERING ENCLOSED

SPACES ABOARD SHIPS

(Annex to Assembly resolution A.864(20)) PREAMBLE

The object of these recommendations is to encourage the adoption of safety procedures aimed at preventing casualties to ships personnel entering enclosed spaces where there may be an oxygen deficient, flammable and/or toxic atmosphere.

Investigations into the circumstances of casualties that have occurred have shown that accidents on board ships are in most cases caused by an insufficient knowledge of, or disregard for, the need to take precautions rather than a lack of guidance.

The following practical recommendations apply to all types of ships and provide guidance to seafarers. It should be noted that on ships where entry into enclosed spaces may be infrequent, for example, on certain passenger ships or small general cargo ships, the dangers may be less apparent, and accordingly there may be a need for increased vigilance.

The recommendations are intended to complement national laws or regulations, accepted standards or particular procedures which may exist for specific trades, ships or types of shipping operations.

It may be impracticable to apply some recommendations to particular situations. In such cases, every endeavour should be made to observe the intent of the recommendations, and attention should be paid to the risks that may be involved. 1 INTRODUCTION

The atmosphere in any enclosed space may be deficient in oxygen and/or contain flammable and/or toxic gases or vapours. Such an unsafe atmosphere could also subsequently occur in a space previously found to be safe. Unsafe atmosphere may also be present in spaces adjacent to those spaces where a hazard is known to be present. 2 DEFINITIONS 2.1 Enclosed space means a space which has any of the following characteristics:

.1 limited openings for entry and exit;

.2 unfavourable natural ventilation; and

.3 is not designed for continuous worker occupancy, and includes, but is not limited to, cargo spaces, double bottoms, fuel tanks, ballast tanks, pump-rooms, compressor rooms, cofferdams, void spaces, duct keels, inter-barrier spaces, engine crankcases and sewage tanks.



2.2 Competent person means a person with sufficient theoretical knowledge and practical experience to make an informed assessment of the likelihood of a dangerous atmosphere being present or subsequently arising in the space. 2.3 Responsible person means a person authorised to permit entry into an enclosed space and having sufficient knowledge of the procedures to be followed. 3 ASSESSMENT OF RISK 3.1 In order to ensure safety, a competent person should always make a preliminary assessment of any potential hazards in the space to be entered, taking into account previous cargo carried, ventilation of the space, coating of the space and other relevant factors. The competent person's preliminary assessment should determine the potential for the presence of an oxygen-deficient, flammable or toxic atmosphere. 3.2 The procedures to be followed for testing the atmosphere in the space and for entry should be decided on the basis of the preliminary assessment. These will depend on whether the preliminary assessment shows that:

.1 there is minimal risk to the health or life of personnel entering the space;

.2 there is no immediate risk to health or life but a risk could arise during the course of work in the space; and

.3 a risk to health or life is identified.

3.3 Where the preliminary assessment indicates minimal risk to health or life or potential for a risk to arise during the course of work in the space, the precautions described in 4, 5, 6 and 7 should be followed as appropriate. 3.4 Where the preliminary assessment identifies risk to life or health, if entry is to be made, the additional precautions specified in section 8 should also be followed. 4 AUTHORIZATION OF ENTRY 4.1 No person should open or enter an enclosed space unless authorised by the master or nominated responsible person and unless the appropriate safety procedures laid down for the particular ship have been followed. 4.2 Entry into enclosed spaces should be planned and the use of an entry permit system, which may include the use of a checklist, is recommended. An Enclosed Space Entry Permit should be issued by the master or nominated responsible person, and completed by a person who enters the space prior to entry. An example of the Enclosed Space Entry Permit is provided in the appendix.


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5 GENERAL PRECAUTIONS 5.1 The master or responsible person should determine that it is safe to enter an enclosed space by ensuring:

.1 that potential hazards have been identified in the assessment and as far as possible isolated or made safe;

.2 that the space has been thoroughly ventilated by natural or mechanical means to

remove any toxic or flammable gases, and to ensure an adequate level of oxygen throughout the space;

.3 that the atmosphere of the space has been tested as appropriate with properly

calibrated instruments to ascertain acceptable levels of oxygen and acceptable levels of flammable or toxic vapours;

.4 that the space has been secured for entry and properly illuminated;

.5 that a suitable system of communication between all parties for use during entry

has been agreed and tested;

.6 that an attendant has been instructed to remain at the entrance to the space whilst it is occupied;

.7 that rescue and resuscitation equipment has been positioned ready for use at the

entrance to the space, and that rescue arrangements have been agreed;

.8 that personnel are properly clothed and equipped for the entry and subsequent tasks; and

.9 that a permit has been issued authorizing entry.

The precautions in .6 and .7 may not apply to every situation described in this section. The person authorizing entry should determine whether an attendant and the positioning of rescue equipment at the entrance to the space is necessary. 5.2 Only trained personnel should be assigned the duties of entering, functioning as attendants, or functioning as members of rescue teams. Ships' crews should be drilled periodically in rescue and first aid. 5.3 All equipment used in connection with entry should be in good working condition and inspected prior to use. 6 TESTING THE ATMOSPHERE 6.1 Appropriate testing of the atmosphere of a space should be carried out with properly calibrated equipment by persons trained in the use of the equipment. The manufacturers' instructions should be strictly followed. Testing should be carried out before any person enters the space, and at regular intervals thereafter until all work is completed. Where appropriate, the testing of the space should be carried out at as many different levels as is necessary to obtain a representative sample of the atmosphere in the space.



6.2 For entry purposes, steady readings of the following should be obtained:

.1 21% oxygen by volume by oxygen content meter; and

.2 not more than 1% of lower flammable limit (LFL) on a suitably sensitive combustible gas indicator, where the preliminary assessment has determined that there is potential for flammable gases or vapours.

If these conditions cannot be met, additional ventilation should be applied to the space and re-testing should be conducted after a suitable interval. Any gas testing should be carried out with ventilation to the enclosed space stopped, in order to obtain accurate readings. 6.3 Where the preliminary assessment has determined that there is potential for the presence of toxic gases and vapours, appropriate testing should be carried out using fixed or portable gas or vapour detection equipment. The readings obtained by this equipment should be below the occupational exposure limits for the toxic gases or vapours given in accepted national or international standards. It should be noted that testing for flammability does not provide a suitable means of measuring for toxicity, nor vice versa. 6.4 It should be emphasized that pockets of gas or oxygen-deficient areas can exist, and should always be suspected, even when an enclosed space has been satisfactorily tested as being suitable for entry. 7 PRECAUTIONS DURING ENTRY 7.1 The atmosphere should be tested frequently whilst the space is occupied, and persons should be instructed to leave the space should there be a deterioration in the conditions. 7.2 Ventilation should continue during the period that the space is occupied and during temporary breaks. Before re-entry after a break, the atmosphere should be re-tested. In the event of failure of the ventilation system, any persons in the space should leave immediately. 7.3 In the event of an emergency, under no circumstances should the attending crew member enter the space before help has arrived and the situation has been evaluated to ensure the safety of those entering the space to undertake rescue operations. 8 ADDITIONAL PRECAUTIONS FOR ENTRY INTO A SPACE WHERE THE

ATMOSPHERE IS KNOWN OR SUSPECTED TO BE UNSAFE 8.1 If the atmosphere in an enclosed space is suspected or known to be unsafe, the space should only be entered when no practical alternative exists. Entry should only be made for further testing, essential operation, safety of life or safety of a ship. The number of persons entering the space should be the minimum compatible with the work to be performed. 8.2 Suitable breathing apparatus, e.g. of the air-line or self-contained type, should always be worn, and only personnel trained in its use should be allowed to enter the space. Air-purifying respirators should not be used as they do not provide a supply of clean air from a source independent of the atmosphere within the space. 8.3 The precautions specified in 5 should also be followed, as appropriate.


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8.4 Rescue harnesses should be worn and, unless impractical, lifelines should be used. 8.5 Appropriate protective clothing should be worn particularly where there is any risk of toxic substances or chemicals coming into contact with the skin or eyes of those entering the space. 8.6 The advice in 7.3 concerning emergency rescue operations is particularly relevant in this context. 9 HAZARDS RELATED TO SPECIFIC TYPES OF CARGO 9.1 Dangerous goods in packaged form 9.1.1 The atmosphere of any space containing dangerous goods may put at risk the health or life of any person entering it. Dangers may include flammable, toxic or corrosive gases or vapours that displace oxygen, residues on packages and spilled material. The same hazards may be present in spaces adjacent to the cargo spaces. Information on the hazards of specific substances is contained in the IMDG Code, the Emergency Procedures for Ships Carrying Dangerous Goods (EMS) and Materials Safety Data Sheets (MSDS). If there is evidence or suspicion that leakage of dangerous substances has occurred, the precautions specified in 8 should be followed. 9.1.2 Personnel required to deal with spillages or to remove defective or damaged packages should be appropriately trained and wear suitable breathing apparatus and appropriate protective clothing. 9.2 Bulk liquid

The tanker industry has produced extensive advice to operators and crews of ships engaged in the bulk carriage of oil, chemicals and liquefied gases, in the form of specialist international safety guides. Information in the guides on enclosed space entry amplifies these recommendations and should be used as the basis for preparing entry plans. 9.3 Solid bulk

On ships carrying solid bulk cargoes, dangerous atmospheres may develop in cargo spaces and adjacent spaces. The dangers may include flammability, toxicity, oxygen depletion or self-heating, which should be identified in shipping documentation. For additional information, reference should be made to the Code of Safe Practice for Solid Bulk Cargoes. 9.4 Oxygen-depleting cargoes and materials

A prominent risk with such cargoes is oxygen depletion due to the inherent form of the cargo, for example, self-heating, oxidation of metals and ores or decomposition of vegetable oils, animal fats, grain and other organic materials or their residues. The materials listed below are known to be capable of causing oxygen depletion. However, the list is not exhaustive. Oxygen depletion may also be caused by other materials of vegetable or animal origin, by flammable or spontaneously combustible materials, and by materials with a high metal content:



.1 grain, grain products and residues from grain processing (such as bran, crushed grain, crushed malt or meal), hops, malt husks and spent malt;

.2 oilseeds as well as products and residues from oilseeds (such as seed expellers,

seed cake, oil cake and meal);

.3 copra;

.4 wood in such forms as packaged timber, roundwood, logs, pulpwood, props (pit props and other propwood), woodchips, woodshavings, woodpulp pellets and sawdust;

.5 jute, hemp, flax, sisal, kapok, cotton and other vegetable fibres (such as esparto

grass/Spanish grass, hay, straw, bhusa), empty bags, cotton waste, animal fibres, animal and vegetable fabric, wool waste and rags;

.6 fishmeal and fishscrap;

.7 guano;

.8 sulphidic ores and ore concentrates;

.9 charcoal, coal and coal products;

.10 direct reduced iron (DRI)

.11 dry ice;

.12 metal wastes and chips, iron swarf, steel and other turnings, borings, drillings,

shavings, filings and cuttings; and

.13 scrap metal. 9.5 Fumigation

When a ship is fumigated, the detailed recommendations contained in the Recommendations on the Safe Use of Pesticides in Ships* should be followed. Spaces adjacent to fumigated spaces should be treated as if fumigated. 10 CONCLUSION

Failure to observe simple procedures can lead to people being unexpectedly overcome when entering enclosed spaces. Observance of the principles outlined above will form a reliable basis for assessing risks in such spaces and for taking necessary precautions.

* Refer to the Recommendations on Safe Use of Pesticides in Ships, approved by the Maritime Safety Committee

of the Organization by circular MSC/Circ.612, as amended by MSC/Circ.689 and MSC/Circ.746.


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APPENDIX

EXAMPLE OF AN ENCLOSED SPACE ENTRY PERMIT

This permit relates to entry into any enclosed space and should be completed by the master or responsible officer and by the person entering the space or authorized team leader.

General Location/name of enclosed space................................................................................................ Reason for entry........................................................................................................................... This permit is valid from:................hrs Date................... to :................hrs Date................... (See note 1)

Section 1 - Pre-entry preparation (To be checked by the master or nominated responsible person) Yes No ● Has the space been thoroughly ventilated ? � � ● Has the space been segregated by blanking off or isolating all connecting pipelines or valves and electrical power/equipment ? � � ● Has the space been cleaned where necessary ? � � ● Has the space been tested and found safe for entry ? (See note 2) � � ● Pre-entry atmosphere test readings: - oxygen.......................% vol (21%) By:.................... - hydrocarbon..............% LFL (less than 1%) - toxic gases.................ppm (specific gas and PEL) Time:................ (See note 3) ● Have arrangements been made for frequent atmosphere checks to be made while the space is occupied and after work breaks ? � � ● Have arrangements been made for the space to be continuously ventilated throughout the period of occupation and during work breaks ? � � ● Are access and illumination adequate ? � �



Yes No ● Is rescue and resuscitation equipment available for immediate use by the entrance to the space ? � � ● Has a responsible person been designated to be in constant attendance at the entrance to the space? � � ● Has the officer of the watch (bridge, engine room, cargo control room) been advised of the planned entry ? � � ● Has a system of communication between all parties been tested and emergency signals agreed ? � � ● Are emergency and evacuation procedures established and understood by all personnel involved with the enclosed space entry ? � � ● Is all equipment used in good working condition and inspected prior to entry ? � � ● Are personnel properly clothed and equipped ? � �

Section 2 - Pre-entry checks (To be checked by the person entering the space or authorized team leader) Yes No ● I have received instructions or permission from the master or nominated responsible person to enter the enclosed space � � ● Section 1 of this permit has been satisfactorily completed by the master or nominated responsible person � � ● I have agreed and understand the communication procedures � � ● I have agreed upon a reporting interval of.......................minutes � � ● Emergency and evacuation procedures have been agreed and are understood � � ● I am aware that the space must be vacated immediately in the event of ventilation failure or if atmosphere tests show a change from agreed safe criteria � �


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Section 3 - Breathing apparatus and other equipment (To be checked jointly by the master or nominated responsible person and the person who is to enter the space) Yes No ● Those entering the space are familiar with the breathing apparatus to be used � � ● The breathing apparatus has been tested as follows: - gauge and capacity of air supply �.................... - low pressure audible alarm �..................... - face mask - under positive pressure and not leaking �..................... ● The means of communication has been tested and emergency signals agreed � � ● All personnel entering the space have been provided with rescue harnesses and, where practicable, lifelines � �

Signed upon completion of sections 1,2 and 3 by: Master or nominated responsible person�................... Date�............... Time�............. Responsible person supervising entry �...................... Date�................ Time�............. Person entering the space or authorized team leader �...................... Date�................ Time�.............

Section 4 - Personnel entry (To be completed by the responsible person supervising entry) Names Time in Time out �....................................................... �..................... �................... �....................................................... �..................... �................... �....................................................... �..................... �................... �....................................................... �..................... �...................



Section 5 - Completion of job (To be completed by the responsible person supervising entry) ● Job completed Date�........................ Time�.................... ● Space secured against entry Date�......................... Time�.................... ● The officer of the watch has been duly informed Date�.......................... Time�......................

Signed upon completion of sections 4 and 5 by: Responsible person supervising entry �...................... Date�................ Time�.............

THIS PERMIT IS RENDERED INVALID SHOULD VENTILATION OF THE SPACE STOP OR IF ANY OF THE CONDITIONS NOTED IN THE CHECKLIST CHANGE

Notes:

1 The permit should contain a clear indication as to its maximum period of validity.

2 In order to obtain a representative cross-section of the space�s atmosphere, samples should be taken from several levels and through as many openings as possible. Ventilation should be stopped for about 10 minutes before the pre-entry atmosphere tests are taken.

3 Tests for specific toxic contaminants, such as benzene or hydrogen sulphide, should be

undertaken depending on the nature of the previous contents of the space.


Page 47


***

MEPC 49/22/Add.1


ANNEX 4

LIST OF FUTURE WORK ITEMS ON SHIP RECYCLING

1. development of a harmonized format for the Ship Recycling Plan; 2. development of further technical considerations to assist in developing a Ship

Recycling Plan, taking into account appendix 7 of annex 2 of document MEPC 49/3/1;

3. review and further development of Appendices 1 to 3 of the Guidelines on Ship

Recycling in light of experience gained in their application;

4. development of detailed criteria for ships to be declared �Ready for Recycling�; and

5. consideration of mechanisms to promote the implementation of the Guidelines on

Ship Recycling such as a reporting system for ships destined for recycling.

***

MEPC 49/22/Add.1


ANNEX 5

RESOLUTION MEPC.103(49)

Adopted on 18 July 2003

GUIDELINES FOR ON-BOARD NOx VERIFICATION PROCEDURE - DIRECT

MEASUREMENT AND MONITORING METHOD THE MARINE ENVIRONMENT PROTECTION COMMITTEE,

RECALLING Article 38(a) of the Convention on the International Maritime Organization concerning the functions of the Marine Environment Protection Committee (the Committee) conferred upon it by international conventions for the prevention and control of marine pollution,

RECALLING ALSO that the Conference of Parties to the International Convention for

the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto (MARPOL 73/78), held in September 1997, adopted the Protocol of 1997 to amend MARPOL 73/78 with a new Annex VI on the Prevention of Air Pollution from Ships,

NOTING that the 1997 Conference by resolution 2 adopted the Technical Code on

Control of Emission of Nitrogen Oxides (NOx) from Marine Diesel Engines, which in paragraph 2.4.5 provides the option that on-board NOx verification procedures may be based on a NOx monitoring and recording device, approved by the Administration, based on Guidelines to be developed by the Organization,

BEING AWARE that this requirement cannot be enforced before the entry into force of the Protocol of 1997,

BEING AWARE ALSO of the need to develop relevant Guidelines before the entry into force of the Protocol of 1997 in preparation for the implementation of Annex VI of MARPOL 73/78, HAVING CONSIDERED the recommendation made by the Sub-Committee on Ship Design and Equipment at its forty-sixth session, 1. ADOPTS the Guidelines for on-board NOx verification procedure - Direct measurement and monitoring method, as set out in the Annex to this resolution; 2. INVITES Governments to apply the Guidelines from the date of entry into force of the Protocol of 1997.



ANNEX

GUIDELINES FOR ON-BOARD NOx VERIFICATION PROCEDURE - DIRECT

MEASUREMENT AND MONITORING METHOD

TABLE OF CONTENTS SAFETY NOTE PRINCIPLES

1 ANALYSING EQUIPMENT .1 Emission species measurement .2 Analyser specifications .3 Pure and calibration gases .4 Gas sampling and transfer system 2 ENGINE PERFORMANCE AND AMBIENT CONDITION MEASUREMENT .1 Engine performance measurements .2 Ambient condition measurements .3 Engine performance and ambient condition monitoring equipment .4 Electrical equipment: materials and design 3 EXHAUST EMISSION MEASUREMENT .1 Test cycles .2 Test condition parameter .3 Analyser in-service performance .4 Data for emission calculation 4 DATA EVALUATION .1 Fuel composition .2 Exhaust gas density .3 Dry/wet correction .4 NOx corrections for humidity and temperature .5 Exhaust gas flow rate .6 Calculation of emission flow rates and specific emissions 5 COMPLIANCE REQUIREMENTS .1 Limit value and allowances .2 Data for demonstrating compliance .3 Form of approval .4 Survey of equipment and method APPENDIX 1 - Sample point connection flange APPENDIX 2 - Selection of load points and revised weighting factors APPENDIX 3 - Determination of power set point stability


Page 3


GUIDELINES FOR ON-BOARD NOx VERIFICATION PROCEDURE - DIRECT MEASUREMENT AND MONITORING METHOD

SAFETY NOTE

Due attention is to be given to the safety implications related to the handling and proximity of exhaust gases, the measurement equipment and the storage and use of cylindered pure and calibration gases. Sampling positions and access staging should be such that this monitoring may be performed safely and will not interfere with the engine. PRINCIPLES

These Guidelines are intended as an objective, performance-based document. These Guidelines are recommendatory in nature. However, national administrations are invited to base their implementation on these Guidelines. Because the direct measurement and monitoring method is one of the three permissible on-board NOx verification procedures in the NOx Technical Code (cf. NOx Technical Code, paragraph 2.4.4), its accuracy should be comparable to the other methods. Therefore, these Guidelines for approving on-board NOx monitoring and recording devices appropriately refer to the NOx Technical Code. References to the NOx Technical Code emphasize that relevant requirements are already regulated in a mandatory document, even though they are not grouped in a common chapter (e.g. �Direct measurement and monitoring method�). The values determined by this method may not be directly comparable with the test bed results. Of overriding importance for approval is the suitability of the NOx monitoring and recording devices for on-board use.

As a general principle, an on-board NOx verification procedure should readily facilitate

demonstration of compliance with regulation 13 of Annex VI of MARPOL 73/78 (Annex VI). At the same time, it should not be so burdensome as to unduly delay the ship or to require in-depth knowledge of the characteristics of a particular engine or specialist measuring devices not available on board. 1 ANALYSING EQUIPMENT 1.1 Emission species measurement 1.1.1 On-board NOx monitoring includes, as an absolute minimum, the measurement of gaseous emission concentrations of NOx (as NO + NO2). 1.1.2 If determination of exhaust flow is performed, utilizing the NOx Technical Code, appendix 6 (Method 2, universal, carbon/oxygen-balance), then O2 and/or CO2 should be measured and provisions in appendix 6 that assume complete combustion may be used in all cases. If the provisions in appendix 6 that do not assume complete combustion are preferred, then additionally CO and HC should be measured. 1.1.3 The exhaust gases should be analysed with the following instruments. For non-linear analysers, the use of linearizing circuits is permitted. Other systems or analysers may be accepted, subject to the approval of the Administration, provided they yield equivalent results to that of the equipment referenced below:



.1 Oxides of nitrogen (NOx) analysis

The oxides of nitrogen analyser should be of the Chemiluminescent Detector (CLD) or Heated Chemiluminescent Detector (HCLD) type. The exhaust gas sampled for NOx measurement should be maintained above its dewpoint temperature until it has passed through an NO2 to NO converter.

Note: In the case of raw exhaust gas this temperature should be greater than

333 K (60ºC) if the engine is fueled with ISO 8217 DM-grade type fuel and greater than 413 K (140ºC) if fueled with ISO 8217 RM-grade type fuel.

.2 Carbon dioxide (CO2) analysis

When needed, the carbon dioxide analyser should be of the Non-Dispersive Infrared (NDIR) absorption type.

.3 Oxygen (O2) analysis

When needed, the oxygen analyser should be of the Paramagnetic Detector (PMD), Zirconium Dioxide (ZRDO) or Electrochemical Sensor (ECS) type.

.4 Carbon monoxide (CO) analysis

When needed, the carbon monoxide analyser should be of the Non-Dispersive Infrared (NDIR) absorption type.

.5 Hydrocarbon (HC) analysis

When needed, the hydrocarbon analyser should be of the Heated Flame Ionization

Detector (HFID) type. The exhaust gas sampled for HC measurement should be maintained at 463 K ± 10 K (190ºC ±10ºC) from the sample point to the detector.

1.2 Analyser specifications 1.2.1 The analyser specifications should be consistent with the NOx Technical Code, appendix 3, paragraphs 1.4, 1.5, 1.6, 1.7, 1.8 and 1.9. 1.2.2 The analyser range should be such that the measured emission value is within 15%-100% of the range used. 1.2.3 The analysing equipment should be installed and maintained in accordance with manufacturer�s recommendations such that the requirements of the NOx Technical Code, appendix 3, paragraphs 1.5, 1.6, 1.7, 1.8, 1.9 and appendix 4, paragraphs 7 and 8, are met. 1.3 Pure and calibration gases 1.3.1 Pure and calibration gases, as required, should comply with the NOx Technical Code, appendix 4, paragraphs 2.1 and 2.2. Declared concentrations should be traceable to national and/or international standards. Calibration gases should be in accordance with the analysing equipment manufacturer�s recommendations.


Page 5


1.3.2 Analyser span gases should be between 80%-100% of the analyser scale being spanned. Note: Under certain conditions, only a span gas for the NOx analyser could be necessary for

calibration of the analytical instruments. A NO span gas for a NOx analyser can be applied as a zero gas for an O2 or CO2 analyser if that span gas is balanced only with nitrogen. Ambient air may be applied both as a span gas for an O2 analyser (i.e. 20.9% O2) and as a zero gas for a NOx analyser, provided that the ambient air is uncontaminated by exhaust gas.

1.4 Gas sampling and transfer system 1.4.1 The exhaust gas sample should be representative of the average exhaust emission from all the engine�s cylinders. The gas sampling system should comply with the NOx Technical Code, paragraph 5.9.3.

1.4.2 The exhaust gas sample should be drawn from a zone anywhere between 10%-90% of the duct diameter. 1.4.3 In order to facilitate the installation of the sampling probe, an example of a sample point connection flange is given in appendix 1.

1.4.4 The exhaust gas sample for NOx measurement should be maintained so as to prevent NO2 loss via water or acid condensation in accordance with analysing equipment manufacturer�s recommendations. 1.4.5 The gas sample should not be dried by chemical driers. 1.4.6 The gas sampling system should be capable of being verified to be free of ingress leakage in accordance with analysing equipment manufacturer�s recommendations. 1.4.7 An additional sample point adjacent to that used should be provided to facilitate quality control checks on the system. 2 ENGINE PERFORMANCE AND AMBIENT CONDITION MEASUREMENT 2.1 Engine performance measurements

2.1.1 Table 1 lists the engine performance parameters that should be measured, or calculated, and recorded at each mode point during on-board NOx monitoring.



Table 1

Symbol Parameter Dimension nd Engine speed min-1 pbe Charge air pressure at receiver kPa P Brake power (as specified below) kW Paux Auxiliary power (if relevant) kW Tsc Charge air temperature at receiver (if applicable) K Tcaclin Charge air cooler coolant inlet temperature (if applicable) K Tcaclout Charge air cooler coolant outlet temperature (if applicable) K TSea Sea-water temperature (if applicable) K GFUEL Fuel flow (as specified below) kg/h

2.1.2 Other engine settings necessary to define engine-operating conditions, e.g. wastegate, charge air bypass, turbocharger status, should be determined and recorded. 2.1.3 The settings and operating conditions of NOx control devices should be determined and recorded.

2.1.4 The engine power and speed should be measured to determine whether the engine is operated in a mode according to the specified test cycles (cf. section 3.1 of these Guidelines). 2.1.5 If it is difficult to measure power directly, uncorrected brake power may be estimated by any other means as approved by the Administration (cf. NOx Technical Code, paragraphs 6.3.1.3, 6.3.3.2 and 6.3.7). Possible methods to determine brake power include, but are not limited to:

.1 indirect measurement as per NOx Technical Code, paragraph 6.3.3.1; or by .2 estimation from nomographs.

2.1.6 The fuel flow (actual consumption rate) should be determined by: .1 direct measurement; or by .2 test bed data as per NOx Technical Code, paragraph 6.3.1.4.

2.2 Ambient condition measurements 2.2.1 Table 2 lists the ambient condition parameters that should be measured, or calculated, and recorded at each mode point during on-board NOx monitoring.


Page 7


Table 2

Symbol Parameter Dimension Ha absolute humidity (mass of engine intake air water content

related to mass of dry air) g/kg

pB total barometric pressure (in ISO 3046-1, 1995: px=Px=site ambient total pressure)

kPa

Ta temperature at air inlet (in ISO 3046-1, 1995: Tx=TTx=site ambient thermodynamic air temperature)

K

2.3 Engine performance and ambient condition monitoring equipment The engine performance and ambient condition monitoring equipment should be installed and maintained in accordance with manufacturers� recommendations such that requirements of the NOx Technical Code, appendix 4, paragraph 1.3.2 and tables 3 and 4, are met in respect of the permissible deviations. 2.4 Electrical equipment: materials and design 2.4.1 Electrical equipment should be constructed of durable, flame-retardant, moisture resistant materials, which are not subject to deterioration in the installed environment and at the temperatures to which the equipment is likely to be exposed. 2.4.2 Electrical equipment should be designed such that current carrying parts with potential to earth are protected against accidental contact. 3 EXHAUST EMISSION MEASUREMENT 3.1 Test cycles 3.1.1 Engine operation on board under a specified test cycle may not always be possible, but the test procedure, as approved by the Administration, should be as close as possible to the procedure defined in the NOx Technical Code, paragraph 3.2. 3.1.2 Regarding the E3 test cycle, if the actual propeller curve differs from the E3 curve, the load point used should be set using the engine speed, or the corresponding mean effective pressure (MEP) or mean indicated pressure (MIP), given for the relevant mode of that cycle. 3.1.3 If the number of measuring points on-board is different from those on the test bed, the number of measurement points and the weighting factors should be approved by the Administration.

3.1.4 Regarding the E2/E3/D2 test cycles, a minimum of load points should be used of which the combined nominal weighing factor, as given in the NOx Technical Code, paragraph 3.2, is greater than 0.50. 3.1.5 Regarding the C1 test cycle, a minimum number of one load point should be used from each of the rated, intermediate and idle speed sections.



3.1.6 If the number of measuring points on board is different from those on the test bed, the nominal weighting factors at each load point should be increased proportionally in order to sum to unity (1.0). 3.1.7 An example of the selection of load points and revised weighting factors are given in appendix 2. 3.1.8 The actual load points used to demonstrate compliance should be within ± 5% of the rated power at the modal point except in the case of 100% load where the range should be +0 to �10%. For example, at the 75% load point the acceptable range should be 70% - 80% of rated power. 3.1.9 At each selected load point, except idle, and after the initial transition period (if applicable), the engine power should be maintained at the load set point within a 5% coefficient of variance (%C.O.V.) over a 10-minute interval. A worked example of the coefficient of variance calculation is given in appendix 3. 3.1.10 Regarding the C1 test cycle, the idle speed tolerance should be declared, subject to the approval of the Administration. 3.2 Test condition parameter The test condition parameter specified in the NOx Technical Code, paragraph 5.2.1, should not apply to on-board NOx monitoring. Data under any prevailing ambient condition should be acceptable. 3.3 Analyser in-service performance 3.3.1 Analysing equipment should be operated in accordance with manufacturer's recommendations. 3.3.2 Prior to measurement, zero and span values should be checked and the analyser should be adjusted as necessary. 3.3.3 After measurement, analyser zero and span values should be verified as being within that permitted in the NOx Technical Code, paragraph 5.9.9. 3.4 Data for emission calculation

3.4.1 The output of the analysers should be recorded both during the test and during all response checks (zero and span). This data should be recorded on a strip chart recorder or other types of data recording devices. 3.4.2 For the evaluation of the gaseous emissions, a 1-Hertz minimum chart reading of a stable 10-minute sampling interval of each load point should be averaged. The average concentrations (conc) of NOx, O2 and/or CO2, if required, and optionally CO and HC, should be determined from the averaged chart readings and the corresponding calibration data. 3.4.3 As a minimum, emission concentrations, engine performance and ambient condition data should be recorded over the aforementioned 10-minute period.


Page 9


4 DATA EVALUATION 4.1 Fuel composition Fuel composition, to calculate gas mass flow wet (GEXHW), should be provided by one of the following:

.1 fuel composition by analysis (carbon, hydrogen and sulphur); or .2 default values, see table 3.

Table 3

Carbon Hydrogen Sulphur

BET ALF GAM

Diesel oil (i.e. ISO 8217 DM grades)

86.2% 13.6% 0.17%

Residual fuel oil (i.e. ISO 8217 RM grades)

86.1% 10.9% 2.7%

4.2 Exhaust gas density Exhaust gas density, to calculate gas mass flow wet (GEXHW) and NOx Technical Code Table 5, coefficient �u�, should be provided by one of the following:

.1 calculation as per the NOx Technical Code, appendix 6; or .2 default value of 1.293 kg/m3 ( 273.15 K and 101.3 kPa).

4.3 Dry/wet correction If not already measured on a wet basis, the gaseous emissions concentrations as per paragraph 2 of these Guidelines should be converted to a wet basis according to:

.1 direct measurement of the water component; or .2 calculated in accordance with the NOx Technical Code, paragraph 5.12.2. (NOx

Technical Code, equation 11, CO may be set to zero).

4.4 NOx corrections for humidity and temperature NOx corrections for humidity and temperature should be performed as per NOx Technical Code, paragraph 5.12.3. The reference charge, or scavenge, air temperature (Tsc ref ) should be stated and approved by the Administration. The Tsc ref values are to be referenced to 25°C sea water temperature and in the application of the Tsc ref value due allowance should be made for the actual sea water temperature.



4.5 Exhaust gas flow rate Exhaust gas flow rate should be determined by:

.1 NOx Technical Code, paragraphs 5.5.1 or 5.5.2; or .2 NOx Technical Code, appendix 6, method 2, with not measured species set to zero

and CO2AIR, if applicable, set to 350 ppm.

4.6 Calculation of emission flow rates and specific emissions The calculation of emission flow rates and specific emissions should be performed as per NOx Technical Code, paragraphs 5.12.4 and 5.12.5. 5 COMPLIANCE REQUIREMENTS 5.1 Limit value and allowances The emission value obtained by the direct monitoring and measurement method should be compared to the NOx emission limit value as given in regulation 13 of Annex VI, plus allowance values as given in the NOx Technical Code, paragraphs 6.3.11.1, 6.3.11.2 and 6.3.11.3 in order to verify that an engine continues to comply with the requirements of regulation 13 of Annex VI. 5.2 Data for demonstrating compliance Compliance is required to be demonstrated at annual/intermediate, periodic and unscheduled surveys or following a substantial modification as per the NOx Technical Code, paragraph 1.3.2. In accordance with the NOx Technical Code, paragraph 2.3.4, data is required to be current; that is within 30 days. Data is required to be retained on board for at least three months. These time periods should be taken to be when the ship is in operation. Data within that 30-day period either may be collected as a single test sequence across the required load points or may be obtained on two or more separate occasions when the engine load corresponds to that required under section 3.1 of these Guidelines. 5.3 Form of approval The direct measurement and monitoring method should be documented in an on-board monitoring manual based on these Guidelines. The manual should be submitted to the Administration for approval. The approval reference of that manual should be entered under section 3 of the Supplement to the EIAPP Certificate. The Administration may issue a new EIAPP Certificate, with the details in section 3 of the Supplement duly amended, if the method is approved after the issue of the first EIAPP Certificate, i.e. following the pre-certification survey. 5.4 Survey of equipment and method The survey of the direct measurement and monitoring method should take into account, but is not limited to:

.1 the data obtained and developed from the required measurements; and

.2 the means by which that data has been obtained, taking into account the information given in the manual (section 5.3 above).


Page 11


APPENDIX 1

SAMPLE POINT CONNECTION FLANGE

1 The following is an example of a general purpose sample point connection flange which should be sited, as convenient, on the exhaust duct of each engine for which it may be required to demonstrate compliance by means of the direct measurement and monitoring method. Description Dimension Outer diameter 160 mm Inner diameter 35 mm Flange thickness 9 mm Bolt circle diameter 1 130 mm Bolt circle diameter 2 65 mm Flange slots 4 holes, each 12 mm diameter, equidistantly placed on each of

the above bolt circle diameters. Holes on the two bolt circle diameters to be aligned on same radii. Flange to be slotted, 12 mm wide, between inner and outer bolt circle diameter holes.

Bolts and nuts 4 sets, diameter and length as required Flange should be of steel and be finished with a flat face.

2 The flange should be fitted to a stub pipe of suitable gauge material aligned with the exhaust duct diameter. The stub pipe should be no longer than necessary to project beyond the exhaust duct cladding, sufficient to enable access to the far side of the flange. The stub pipe should be insulated. The stub pipe should terminate at an accessible position free from nearby obstructions which would interfere with the location or mounting of a sample probe and associated fittings. 3 When not in use, the stub pipe should be closed with a steel blank flange and a gasket of suitable heat resisting material. The sampling flange, and closing blank flange, when not in use, should be covered with a readily removable and suitable heat resistant material which protects against accidental contact.



APPENDIX 2

SELECTION OF LOAD POINTS AND REVISED WEIGHTING FACTORS 1 As provided for by Section 3.1 of these Guidelines, in the case of the E2/E3/D2 test cycles, the minimum number of load points should be such that the combined nominal weighting factors as given in the NOx Technical Code, paragraph 3.2, are greater than 0.50. 2 Consequently, for the E2/E3 test cycle it would be necessary to use the 75% load point plus one or more other load points. In the case of the D2 test cycle, either the 25% or 50% load point should be used plus either one or more load points such that the combined nominal weighting factor is greater than 0.50. 3 The examples below give some of the possible combinations of load points which may be used together with the respective revised weighting factors:

E2/E3 test cycles

Power 100% 75% 50% 25% Nominal weighting factor 0.2 0.5 0.15 0.15 Option A 0.29 0.71 Option B 0.77 0.23 Option C 0.24 0.59 0.18 Plus other combinations which result in a combined nominal weighting factor greater than 0.50. Hence use of the 100% + 50% + 25% load points would be insufficient.

D2 test cycle Power 100% 75% 50% 25% 10% Nominal weighting factor 0.05 0.25 0.3 0.3 0.1 Option D 0.5 0.5 Option E 0.45 0.55 Option F 0.38 0.46 0.15 Option G 0.06 0.28 0.33 0.33 Plus other combinations which result in a combined nominal weighting factor greater than 0.50. Hence use of the 100% + 50% + 10% load points would be insufficient. 4 In the case of the C1 test cycle, as a minimum, one load point from each of the rated, intermediate and idle speed sections should be used. The examples below give some of the possible combinations of load points which may be used together with the respective revised weighting factors:


Page 13


C1 test cycle Speed Rated Intermediate Idle Torque 100% 75% 50% 10% 100% 75% 50% 0% Nominal weighting factor 0.15 0.15 0.15 0.1 0.1 0.1 0.1 0.15 Option H 0.38 0.25 0.38 Option I 0.29 0.29 0.43 Option J 0.27 0.27 0.18 0.27 Option K 0.19 0.19 0.19 0.13 0.13 0.19 Plus other combinations incorporating at least one load point at each of rated, intermediate and idle speeds 5 Examples of calculation of revised weighting factors:

For Option A: 75% load: revised value is calculated as: 0.5 x (1/(0.5 + 0.2)) = 0.71 50% load: revised value is calculated as: 0.2 x (1/(0.5 + 0.2)) = 0.29 For Option F: 75% load: revised value is calculated as: 0.25 x (1/(0.05 + 0.25 + 0.3 + 0.3)) = 0.38

Note: The revised weighting factors are shown to 2 decimal places. However, the values

to be applied to NOx Technical Code equation 18 should be to the full precision. Hence in the Option F case above the revised weighting factor is shown as 0.38 although the actual calculated value is 0.384615...

Consequently, in these examples of revised weighting factors the summation of the values shown (to 2 decimal places) may not sum to 1.00 due to rounding.



APPENDIX 3

DETERMINATION OF POWER SET POINT STABILITY 1 To determine set point stability, the power coefficient of variance should be calculated over a 10-minute interval, and the sampling rate should be at least 1-Hz. The result should be less than or equal to five percent (5%). 2 The formulae for calculating the coefficient of variance are as follows:

∑=

=N

jjx

NAve

1

1 (1)

( )∑=

−−

=N

ii Avex

NDS

1

2

11.. (2)

%5100.....% ≤×=Ave

DSVOC (3)

Where,

%C.O.V. power coefficient of variance in % S.D. standard deviation Ave Average N total number of data points sampled xi, xj ith, jth value of power data point in kW i index variable in standard deviation formula j index variable in average formula

3 As an example, over the 10-minute sampling period, power is sampled at 1-Hz. This results in 600 data points being collected with values of x1, x2, x3�x600 and N is thus 600. The calculations would then be:

600... 600321 xxxx

Ave+++

=

( ) ( ) ( ) ( )

1600...

..2

6002

32

22

1

−−+−+−+−

=AvexAvexAvexAvex

DS

%5100.....% ≤×=Ave

DSVOC

***

MEPC 49/22/Add.1


ANNEX 6

PROPOSED AMENDMENTS TO MARPOL ANNEX VI

Introduction of the Harmonized System of Survey and Certification

Regulation 2 1 The following new paragraph (14) is added after existing paragraph (13):

�(14) Anniversary date means the day and the month of each year which will correspond to the date of expiry of the International Air Pollution Prevention Certificate.�

Regulation 5 2 The existing title is replaced by the following: �Surveys� 3 The existing regulation 5 is replaced by the following:

�(1) Every ship of 400 gross tonnage or above and every fixed and floating drilling rig and other platforms shall be subject to the surveys specified below:

(a) An initial survey before the ship is put into service or before the certificate

required under regulation 6 of this Annex is issued for the first time. This survey shall be such as to ensure that the equipment, systems, fittings, arrangements and material fully comply with the applicable requirements of this Annex;

(b) A renewal survey at intervals specified by the Administration, but not

exceeding five years, except where regulation 9(2), 9(5), 9(6) or 9(7) of this Annex is applicable. The renewal survey shall be such as to ensure that the equipment, systems, fittings, arrangements and material fully comply with applicable requirements of this Annex;

(c) An intermediate survey within three months before or after the second

anniversary date or within three months before or after the third anniversary date of the certificate which shall take the place of one of the annual surveys specified in paragraph (1)(d) of this regulation. The intermediate survey shall be such as to ensure that the equipment and arrangements fully comply with the applicable requirements of this Annex and are in good working order. Such intermediate surveys shall be endorsed on the certificate issued under regulation 6 or 7 of this Annex;

(d) An annual survey within three months before or after each anniversary

date of the certificate, including a general inspection of the equipment, systems, fittings, arrangements and material referred to in paragraph (1)(a) of this regulation to ensure that they have been maintained in accordance with paragraph (4) of this regulation and that they remain satisfactory for



the service for which the ship is intended. Such annual surveys shall be endorsed on the certificate issued under regulation 6 or 7 of this Annex; and

(e) An additional survey either general or partial, according to the

circumstances, shall be made after a repair resulting from investigations prescribed in paragraph (4) of this regulation, or whenever any important repairs or renewals are made. The survey shall be such as to ensure that the necessary repairs or renewals have been effectively made, that the material and workmanship of such repairs or renewals are in all respects satisfactory and that the ship complies in all respects with the requirements of this Annex.

(2) In the case of ships of less than 400 gross tonnage, the Administration may establish appropriate measures in order to ensure that the applicable provisions of this Annex are complied with.

(3) (a) Surveys of ships as regards the enforcement of the provisions of this

Annex shall be carried out by officers of the Administration. The Administration may, however, entrust the surveys either to surveyors nominated for the purpose or to organizations recognized by it. Such organizations shall comply with the guidelines adopted by the Organization1.

(b) The survey of engines and equipment for compliance with regulation 13 of

this Annex shall be conducted in accordance with the NOx Technical Code.

(c) When a nominated surveyor or recognized organization determines that

the condition of the equipment does not correspond substantially with the particulars of the certificate, they shall ensure that corrective action is taken and shall in due course notify the Administration. If such corrective action is not taken, the certificate should be withdrawn by the Administration. If the ship is in a port of another Party, the appropriate authorities of the port State shall also be notified immediately. When an officer of the Administration, a nominated surveyor or recognized organization has notified the appropriate authorities of the port State, the Government of the port State concerned shall give such officer, surveyor or organization any necessary assistance to carry out their obligations under this regulation.

(d) In every case, the Administration concerned shall fully guarantee the

completeness and efficiency of the survey and shall undertake to ensure the necessary arrangements to satisfy this obligation.

(4) (a) The equipment shall be maintained to conform with the provisions of this

Annex and no changes shall be made in the equipment, systems, fittings, arrangements, or material covered by the survey, without the express

1 Refer to the Guidelines for the authorization of organizations acting on behalf of the Administration, adopted by the

Organization by resolution A.739(18), and the Specifications on the survey and certification functions of recognized organizations acting on behalf of the Administration, adopted by the Organization by resolution A.789(19).


Page 3


approval of the Administration. The direct replacement of such equipment and fittings with equipment and fittings that conform with the provisions of this Annex is permitted.

(b) Whenever an accident occurs to a ship or a defect is discovered, which

substantially affects the efficiency or completeness of its equipment covered by this Annex, the master or owner of the ship shall report at the earliest opportunity to the Administration, a nominated surveyor, or recognized organization responsible for issuing the relevant certificate.�

Regulation 6 4 The existing title is replaced by the following: �Issue or Endorsement of International Air Pollution Prevention Certificate� 5 The existing regulation 6 is replaced by the following:

�(1) A International Air Pollution Prevention Certificate shall be issued, after an initial or renewal survey in accordance with the provisions of regulation 5 of this Annex, to:

(a) any ship of 400 gross tonnage or above engaged in voyages to ports or

offshore terminals under the jurisdiction of other Parties; and (b) platforms and drilling rigs engaged in voyages to waters under the

sovereignty or jurisdiction of other Parties to the Protocol of 1997.

(2) Ships constructed before the date of entry into force of the Protocol of 1997 shall be issued with an International Air Pollution Prevention Certificate in accordance with paragraph (1) of this regulation no later than the first scheduled drydocking after entry into force of the Protocol of 1997, but in no case later than three years after entry into force of the Protocol of 1997.

(3) Such certificate shall be issued or endorsed either by the Administration or by any person or organization duly authorized by it. In every case, the Administration assumes full responsibility for the certificate.�

Regulation 7 6 The existing title is replaced by the following: �Issue or Endorsement of a Certificate by another Government� 7 The existing regulation 7 is replaced by the following:

�(1) The Government of a Party to the Protocol of 1997 may, at the request of the Administration, cause a ship to be surveyed and, if satisfied that the provisions of this Annex are complied with, shall issue or authorize the issuance of an International Air Pollution Prevention Certificate to the ship, and where appropriate, endorse or authorize the endorsement of that certificate on the ship, in accordance with this Annex.



(2) A copy of the certificate and a copy of the survey report shall be transmitted as soon as possible to the requesting Administration. (3) A certificate so issued shall contain a statement to the effect that it has been issued at the request of the Administration and it shall have the same force and receive the same recognition as a certificate issued under regulation 6 of this Annex. (4) No International Air Pollution Prevention Certificate shall be issued to a ship which is entitled to fly the flag of a State which is not a Party to the Protocol of 1997.�

Regulation 8 8 The existing regulation 8 is replaced by the following:

�The International Air Pollution Prevention Certificate shall be drawn up in a form corresponding to the model given in appendix I to this Annex. If the language used is not English, French or Spanish, the text shall include a translation into one of these languages.�

Regulation 9 9 The existing regulation 9 is replaced by the following:

�(1) An International Air Pollution Prevention Certificate shall be issued for a period specified by the Administration, which shall not exceed five years.

(2) (a) Notwithstanding the requirements of paragraph (1) of this regulation, when

the renewal survey is completed within three months before the expiry date of the existing certificate, the new certificate shall be valid from the date of completion of the renewal survey to a date not exceeding five years from the date of expiry of the existing certificate.

(b) When the renewal survey is completed after the expiry date of the existing

certificate, the new certificate shall be valid from the date of completion of the renewal survey to a date not exceeding five years from the date of expiry of the existing certificate.

(c) When the renewal survey is completed more than three months before the

expiry date of the existing certificate, the new certificate shall be valid from the date of completion of the renewal survey to a date not exceeding five years from the date of completion of the renewal survey.

(3) If a certificate is issued for a period of less than five years, the Administration may extend the validity of the certificate beyond the expiry date to the maximum period specified in paragraph (1) of this regulation, provided that the surveys referred to in regulation 5(1)(c) and 5(1)(d) of this Annex applicable when a certificate is issued for a period of five years are carried out as appropriate. (4) If a renewal survey has been completed and a new certificate cannot be issued or placed on board the ship before the expiry date of the existing certificate, the person or organization authorized by the Administration may endorse the existing certificate and


Page 5


such a certificate shall be accepted as valid for a further period which shall not exceed five months from the expiry date. (5) If a ship, at the time when a certificate expires, is not in a port in which it is to be surveyed, the Administration may extend the period of validity of the certificate but this extension shall be granted only for the purpose of allowing the ship to complete its voyage to the port in which it is to be surveyed, and then only in cases where it appears proper and reasonable to do so. No certificate shall be extended for a period longer than three months, and a ship to which an extension is granted shall not, on its arrival in the port in which it is to be surveyed, be entitled by virtue of such extension to leave that port without having a new certificate. When the renewal survey is completed, the new certificate shall be valid to a date not exceeding five years from the date of expiry of the existing certificate before the extension was granted. (6) A certificate issued to a ship engaged on short voyages which has not been extended under the foregoing provisions of this regulation may be extended by the Administration for a period of grace of up to one month from the date of expiry stated on it. When the renewal survey is completed, the new certificate shall be valid to a date not exceeding five years from the date of expiry of the existing certificate before the extension was granted.

(7) In special circumstances, as determined by the Administration, a new certificate need not be dated from the date of expiry of the existing certificate as required by paragraph (2)(b), (5) or (6) of this regulation. In these special circumstances, the new certificate shall be valid to a date not exceeding five years from the date of completion of the renewal survey. (8) If an annual or intermediate survey is completed before the period specified in regulation 5 of this Annex, then:

(a) the anniversary date shown on the certificate shall be amended by

endorsement to a date which shall not be more than three months later than the date on which the survey was completed;

(b) the subsequent annual or intermediate survey required by regulation 5 of

this Annex shall be completed at the intervals prescribed by that regulation using the new anniversary date;

(c) the expiry date may remain unchanged provided one or more annual or

intermediate surveys, as appropriate, are carried out so that the maximum intervals between the surveys prescribed by regulation 5 of this Annex are not exceeded.

(9) A certificate issued under regulation 6 or 7 of this Annex shall cease to be valid in any of the following cases:

(a) if the relevant surveys are not completed within the periods specified

under regulation 5(1) of this Annex;

(b) if the certificate is not endorsed in accordance with regulation 5(1)(c) or 5(1)(d) of this Annex;



(c) upon transfer of the ship to the flag of another State. A new certificate shall only be issued when the Government issuing the new certificate is fully satisfied that the ship is in compliance with the requirements of regulation 5(4)(a) of this Annex. In the case of a transfer between Parties, if requested within three months after the transfer has taken place, the Government of the Party whose flag the ship was formerly entitled to fly shall, as soon as possible, transmit to the Administration copies of the certificate carried by the ship before the transfer and, if available, copies of the relevant survey reports.�

Appendix I - Form of IAPP Certificate 10 The existing Appendix I �Form of IAPP Certificate� is replaced by the following:

�INTERNATIONAL AIR POLLUTION PREVENTION CERTIFICATE

Issued under the provisions of the Protocol of 1997 to amend the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto, and as amended by resolution MEPC�(�), (hereinafter referred to as �the Convention�) under the authority of the Government of:

��

(full designation of the country) by��

(full designation of the competent person or organization authorized under the provisions of the Convention)

Particulars of ship∗ Name of ship��.. Distinctive number or letters��.. Port of registry.��...

Gross tonnage��.

IMO Number��.

Type of ship:

tanker ships other than a tanker

∗ Alternatively, the particulars of the ship may be placed horizontally in boxes. � In accordance with resolution A.600(15), IMO Ship Identification Number Scheme.


Page 7


THIS IS TO CERTIFY:

1. That the ship has been surveyed in accordance with regulation 5 of Annex VI of the Convention; and

2. That the survey shows that the equipment, systems, fittings, arrangements and

material fully comply with the applicable requirements of Annex VI of the Convention.

Completion date of the survey on which this certificate is based: dd/mm/yyyy

This certificate is valid until��..�� subject to surveys in accordance with regulation 5 of Annex VI of the Convention.

Issued at��.. (Place of issue of certificate)

�� . (Date of issue) (Signature of authorized official issuing the certificate)

(Seal or stamp of the authority, as appropriate)

� Insert the date of expiry as specified by the Administration in accordance with regulation 9(1) of Annex VI of the

Convention. The day and the month of this date correspond to the anniversary date as defined in regulation 2(14) of Annex VI of the Convention, unless amended in accordance with regulation 9(8) of Annex VI of the Convention.



ENDORSEMENT FOR ANNUAL AND INTERMEDIATE SURVEYS

THIS IS TO CERTIFY that at a survey required by regulation 5 of Annex VI of the Convention the ship was found to comply with the relevant provisions of the Convention:

Annual survey: Signed��.

(Signature of authorized official) Place��...

Date��


Annual/Intermediate∗ survey: Signed��. (Signature of authorized official) Place��... Date��


Annual/Intermediate∗ survey: Signed��. (Signature of authorized official) Place��... Date��


Annual survey: Signed��. (Signature of authorized official) Place��... Date��


∗ Delete as appropriate.


Page 9


ANNUAL/INTERMEDIATE SURVEY IN ACCORDANCE

WITH REGULATION 9(8)(c)

THIS IS TO CERTIFY that, at an annual/intermediate∗ survey in accordance with regulation 9(8)(c) of Annex VI of the Convention, the ship was found to comply with the relevant provisions of the Convention:

Signed��. (Signature of authorized official) Place��... Date��


ENDORSEMENT TO EXTEND THE CERTIFICATE IF VALID FOR LESS THAN 5 YEARS WHERE REGULATION 9(3) APPLIES

The ship complies with the relevant provisions of the Convention, and this certificate shall, in accordance with regulation 9(3) of Annex VI of the Convention, be accepted as valid until��.



ENDORSEMENT WHERE THE RENEWAL SURVEY HAS BEEN COMPLETED AND REGULATION 9(4) APPLIES

The ship complies with the relevant provisions of the Convention, and this certificate shall, in accordance with regulation 9(4) of Annex VI of the Convention, be accepted as valid until��.






ENDORSEMENT TO EXTEND THE VALIDITY OF THE CERTIFICATE UNTIL REACHING THE PORT OF SURVEY OR FOR A PERIOD OF GRACE WHERE

REGULATION 9(5) OR 9(6) APPLIES

This certificate shall, in accordance with regulation 9(5) or 9(6)∗ of Annex VI of the Convention, be accepted as valid until��



ENDORSEMENT FOR ADVANCEMENT OF ANNIVERSARY DATE WHERE REGULATION 9(8) APPLIES

In accordance with regulation 9(8) of Annex VI of the Convention, the new anniversary date is��.



In accordance with regulation 9(8) of Annex VI of the Convention, the new anniversary date is��.


(Seal or stamp of the authority, as appropriate)�

***


MEPC 49/22/Add.1


ANNEX 7

DRAFT ASSEMBLY RESOLUTION

IMO POLICIES AND PRACTICES RELATED TO REDUCTION OF GREENHOUSE GAS EMISSIONS FROM SHIPS

THE ASSEMBLY

RECALLING Article 15(j) of the Convention on the International Maritime Organization concerning the functions of the Assembly in relation to regulations and guidelines concerning the prevention and control of marine pollution from ships and other matters concerning the effect of shipping on the marine environment,

RECALLING FURTHER that, in line with Article 212 of the United Nations Convention on the Law of the Sea, 1982 (UNCLOS), resolution A.719(17) invited the Marine Environment Protection Committee (MEPC) to develop legally binding measures to reduce air pollution from ships through the preparation of a new Annex to the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto (MARPOL 73/78),

RECALLING ALSO that, on 26 September 1997, the Conference of Parties to MARPOL 73/78 (the Air Pollution Conference) adopted a new Annex VI � Regulations for the Prevention of Air Pollution from Ships to the Convention in order to reduce the contribution by shipping to air pollution,

NOTING that the Air Pollution Conference, by resolution 8 on CO2 emissions from ships, invited the Organization, in co-operation with United Nations Framework Convention on Climate Change (UNFCCC), to undertake a study of CO2 emissions from ships for the purpose of establishing the amount and relative percentages of CO2 emissions from ships as part of the global inventory of CO2 emissions,

NOTING ALSO that the Air Pollution Conference invited the MEPC to consider what CO2 reduction strategies may be feasible in light of the relationship between CO2 and atmospheric pollutants, especially NOx, since NOx emissions may exhibit an inverse relationship to CO2 reductions,

RECOGNIZING that the most comprehensive assessment so far of the contribution of international shipping to these problems is contained in the IMO study on Greenhouse Gas Emissions from Ships, which was published in June 2000 and was prepared as a follow-up of the Air Pollution Conference resolution 8,

RECOGNIZING FURTHER that the IMO Study on Greenhouse Gas Emissions from Ships identifies that ships are estimated to contribute about 1.8 per cent to the world total CO2 emissions, and documents that emission reductions are feasible through technical and operational measures, as do studies on greenhouse gas (GHG) by Ship and Ocean Foundation of Japan,

BEING AWARE OF the ultimate objective of the UNFCCC, which is to achieve stabilization of GHG concentrations in the atmosphere at a level that would prevent dangerous anthropogenic interference with the climate system,



BEING AWARE ALSO that the Kyoto Protocol, which was adopted by the Conference

of Parties to the UNFCCC in December 1997 and has yet to enter into force, states that the countries listed in Annex 1 to the UNFCCC shall pursue limitation or reduction of emissions of GHG from marine bunker fuels, working through IMO (article 2.2),

BEING AWARE ALSO that the Conference of Parties to the UNFCCC in December 1997 adopted Decision 2, while recalling emissions based upon fuel sold to ships engaged in international transport should not be included in national totals, but reported separately, urging the Subsidiary Body for Scientific and Technological Advice (SBSTA) to further elaborate on the inclusion of emissions from international bunker fuels in the overall GHG inventories of Parties to the UNFCCC, noting that the Conference of Parties to UNFCCC has adopted reporting requirements, and has agreed upon Guidelines and Good Practice Guidance concerning methodologies for the calculation of emissions from international bunker fuels,

BEING AWARE ALSO that the SBSTA, at its sixteenth session in June 2002, invited IMO to report on its activities with regard to the consideration of methodological aspects related to the reporting of emissions based upon fuel sold to ships engaged in international transport at the eighteenth session of SBSTA,

BEING CONVINCED that the IMO should take the lead in developing GHG limitation and reduction strategies and mechanisms for international shipping and that in doing so should co-operate with the Conference of the Parties to the UNFCCC,

RECOGNIZING that the projected adverse effects of climate change call for implementation of emission limitation or reduction measures from international shipping as one of the sources of anthropogenic GHG emissions,

HAVING CONSIDERED the recommendations made by the MEPC at its forty-ninth session, 1. URGES the MEPC to identify and develop the mechanism or mechanisms needed to achieve the limitation or reduction of GHG emissions from international shipping, and in doing so give priority to: - the establishment of a GHG emission baseline;

- the development of a methodology to describe the GHG efficiency of a ship

expressed as a GHG emission indexing for that ship. In the development of the methodology for the GHG emission indexing scheme, the MEPC should recognize that CO2 is the main greenhouse gas emitted by ships;

- the development of Guidelines by which the GHG emission indexing scheme may

be applied in practice. The Guidelines are to address such issues as verification; and

- the evaluation of technical, operational and market-based solutions; 2. INVITES Governments, in co-operation with the shipping industry, to promote and implement voluntary measures to limit or reduce GHG emissions from international shipping;


Page 3


3. REQUESTS the MEPC:

.1 to monitor the implementation of voluntary measures to limit or reduce

GHG emissions from international shipping including the use of the indexing scheme;

.2 on the basis of monitoring of the effectiveness of the voluntary measures referred

to in paragraph 3.1 to consider additional more effective measures, including those for adoption by IMO, for the limitation or reduction of GHG emissions from international shipping, if needed;

.3 to consider methodological aspects related to the reporting of GHG emissions

from ships engaged in international transport; .4 to develop a Work Plan with a Timetable; and .5 to keep this matter under review and to prepare consolidated statements of

continuing IMO policies and practices related to the limitation or reduction of GHG emissions from international shipping;

4. URGES Governments to report emissions from international bunker fuels in accordance with the reporting requirements of the UNFCCC; 5. URGES ALSO Governments and the shipping industry, to promote research and development of technology and operational procedures that may provide limitation or reduction of GHG emissions from international shipping, and to exchange information on experiences gained;

6. REQUESTS the Secretariat of IMO to continue its co-operation with the Secretariat of UNFCCC and the Secretariat of the International Civil Aviation Organization.

***

MEPC 49/22/Add.1


ANNEX 8

TERMS OF REFERENCE FOR THE CORRESPONDENCE GROUP ON THE IMO GREENHOUSE GAS EMISSION INDEXING SCHEME

The intersessional correspondence group on the IMO greenhouse gas emission indexing scheme under the leadership of Norway* is instructed to:

1 consider alternative options for definition of a GHG emission baseline for international shipping;

2 assess alternative methodologies to describe the GHG efficiency of a ship based

on the alternatives proposed in submissions to MEPC 49 (correspondence group (MEPC 49/4, paragraph 3.8), which were the basis for the submissions by Germany (MEPC 49/4/3 and MEPC 49/INF.19) and Norway (MEPC 49/4/5);

3 collect information and references on alternative technical, operational and

market-based solutions and consider requirements of an indexing methodology as a tool for such solutions;

4 prepare draft outline of the guidelines for application and verification of

GHG emission indexing scheme; and 5 submit a report to MEPC 51.

***

*Contact details: Mr. Kjell Olav Skjolsvik Research Manager � Energy & Environment MARINTEK

P.O. Box 4125 Valentinlyst NO-7450 Trondheim Norway Tel: +47 7359 5722 Fax: +47 7359 5776 E-mail: [email protected]

MEPC 49/22/Add.1


ANNEX 9



GUIDELINES FOR BRIEF SAMPLING OF ANTI-FOULING SYSTEMS ON SHIPS

THE MARINE ENVIRONMENT PROTECTION COMMITTEE, RECALLING Article 38(a) of the Convention on the International Maritime Organization concerning the functions of the Marine Environment Protection Committee conferred upon it by the international conventions for the prevention and control of marine pollution, RECALLING ALSO that the International Conference on the Control of Harmful Anti-fouling Systems for Ships, 2001, held in October 2001, adopted the International Convention on the Control of Harmful Anti-fouling Systems on Ships, 2001 (the AFS Convention) together with four Conference resolutions, NOTING that article 11(1) of the AFS Convention prescribes that ships to which this Convention applies may, in any port, shipyard, or offshore terminal of a Party, be inspected by officers authorized by that Party for the purpose of determining whether the ship is in compliance with this Convention, and that such inspection includes brief sampling of the ship�s anti-fouling system, NOTING ALSO that article 11(1) of the AFS Convention refers to the guidelines to be developed by the Organization and Conference resolution 2 urges the Organization to develop these guidelines as a matter of urgency for them to be adopted before the entry into force of the Convention, NOTING FURTHER that through resolutions MEPC.102(48) and MEPC.105(49) the Organization has developed �Guidelines for Survey and Certification of Anti-fouling Systems on Ships� and �Guidelines for Inspection of Anti-fouling Systems on Ships�, respectively, and HAVING CONSIDERED the recommendation made by the Sub-Committee on Flag State Implementation at its eleventh session, 1. ADOPTS the Guidelines for brief sampling of anti-fouling systems on ships, the text of which is set out in the Annex to this resolution; 2. INVITES Governments to apply the Guidelines as soon as possible, or when the Convention becomes applicable to them; and 3. RECOMMENDS that the Guidelines be reviewed on a regular basis.



ANNEX

GUIDELINES FOR BRIEF SAMPLING OF ANTI-FOULING SYSTEMS ON SHIPS TABLE OF CONTENTS 1. General Purpose Structure of these Guidelines 2. Definitions 3. Personnel safety when sampling Health Safety 4. Sampling and analysis Sampling methods Technical aspects Sampling strategy and number of samples Analysis 5. Thresholds and tolerance limits Thresholds Tolerance range 6. Definition of compliance 7. Documentation and recording of information Appendix: Possible methods for brief sampling and analysis of anti-fouling

systems on ships - organotin Method 1 Appendix to Method 1: Record sheet for the brief sampling procedure for compliance with

the Convention in terms of the presence of organotin acting as a biocide in anti-fouling systems on ship hulls

Method 2 Appendix to Method 2: Record sheet for the sampling and analysis of anti-fouling systems

on ship hulls - organotin compounds


Page 3


1 General Purpose 1.1 Article 11 of the International Convention on the Control of Harmful Anti-fouling Systems on Ships, 2001, hereinafter referred to as �the Convention�, and resolution MEPC.102(48) Guidelines for Survey and Certification of Anti-Fouling Systems on Ships refer to sampling as a method of verification of compliance of a ships anti fouling system with the Convention for inspection and survey. 1.2 The �Guidelines for Brief Sampling of Anti-Fouling Systems on Ships�, hereinafter referred to as �the Guidelines�, provide procedures for sampling to support the effectiveness of survey and inspection to ensure that a ship�s anti-fouling system complies with the Convention and thus assists:

.1 Administrations and recognized organizations (ROs) in the uniform application of the provisions of the Convention;

.2 port State control officers with guidance on methods and handling of brief sampling

in accordance with Article 11(1)(b) of the Convention; and .3 companies, shipbuilders, manufacturers of anti-fouling systems, as well as any other

interested parties in understanding the process of sampling as required in terms of the Convention.

1.3 However, inspections or surveys do not necessarily always need to include sampling of anti-fouling system. 1.4 These Guidelines apply to surveys and inspections of ships subject to the Convention. 1.5 The sole purpose of the sampling activities described in the Guidelines is to verify compliance with the provisions of the Convention. Consequently, such activities do not relate to any aspect not regulated by the Convention, (even if such aspects relate to the performance of an anti-fouling system on the hull of a ship, including the quality of workmanship). Structure of these Guidelines 1.6 These Guidelines contain:

.1 a main body covering aspects of general nature common to �sampling� procedures related to the regulation of anti-fouling systems controlled by the Convention; and

.2 appendices describing the unique procedures associated with the sampling and

analysis of anti-fouling systems controlled by the Convention. These appendices only serve as examples of sampling and analytical methods and other sampling methods not described in an appendix may be used subject to the satisfaction of the Administration or the port State, as appropriate.

1.7 For reasons including the event of other anti-fouling systems becoming controlled under the Convention, or in the light of new experience acquired, these Guidelines may need to be reviewed or amended in the future.



2 Definitions For the purposes of these Guidelines: 2.1 �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 a State, the Administration is the Government of that State. With respect to fixed or 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 their natural resources, the Administration is the Government of the coastal State concerned. 2.2 �Anti-fouling system� means a coating, paint, surface treatment, surface or device that is used on a ship in order to control or prevent attachment of unwanted organisms. 2.3 �Threshold value� means the concentration limit of the chemical under investigation below which compliance with the relevant provisions of the Convention may be assumed. 2.4 �Company� means the owner of the ship or any other organization or person such as the manager or the bareboat charterer, who has assumed the responsibility for the operation of the ship from the owner of the ship and who, on assuming such responsibility, has agreed to take over all duties and responsibilities imposed by the International Safety Management (ISM) Code. 2.5 �Length� means the length as defined in the International Convention on Load Lines, 1966, as modified by the Protocol of 1988 relating thereto, or any successor Convention. 2.6 �Tolerance range� means the numerical range added to the threshold value indicating the range where detected concentrations above the threshold value are acceptable due to recognised analytical inaccuracy and thus do not compromise the assumption of compliance. 3 Personnel safety when sampling Health 3.1 Persons carrying out sampling should be aware that solvents or other materials used for sampling may be harmful. Wet paint which is sampled may also be harmful. In these cases the material safety data sheet (MSDS) for the solvent or paint should be read and appropriate precautions should be taken. This will normally include the wearing of long sleeve solvent resistant gloves of suitable impervious material - e.g. nitrile rubber. 3.2 Quantities of dry anti-fouling paint removed during sampling from ships� hulls will normally be too small to cause significant health effects. Safety 3.3 Access to ships to carry out sampling safely may be difficult. If a ship is moored alongside persons carrying out sampling must ensure they have safe access to reach the hull from e.g. platforms, crane baskets, cherry-pickers, gangways. They must ensure that they are protected by railings or a climbing harness or take other precautions so that they cannot fall into the water between the quay and the ship. If in doubt a lifejacket and possibly a safety line, should be worn when sampling.


Page 5


3.4 Access to ships in dry-dock should be made by secure means. Scaffolding should be securely constructed and cherry-pickers or dock-arms should be properly constructed and maintained if they are to be used to gain access. There should be a system to record the presence of the inspector in the dock area, and he should preferably be accompanied. Safety harnesses should be worn in cherry-picker baskets, if used. 4 Sampling and Analysis Sampling methods 4.1 During sampling, care should be taken not to affect the integrity or operation of the anti-fouling system. 4.2 Sampling where the anti-fouling coating is visibly damaged1 or on block mark areas on the flat bottom of the ship (where the intact anti-fouling system is not applied) should be avoided. Sampling adjacent to or below areas where the anti-fouling system is damaged should also be avoided. When a sample point on the hull has been selected, any fouling present should be removed with water and a soft sponge/cloth before taking a specimen of the anti-fouling system (to avoid contamination of sample). Where possible, if carried out in dry-dock, sampling should be carried out after the hull has been water-washed. 4.3 The materials required for brief sampling methodologies should ideally be inexpensive, widely available and therefore readily accessible, irrespective of sampling conditions and/or location. 4.4 The sampling procedure should ideally be easily and reliably undertaken. Persons conducting sampling should receive appropriate training in sampling methods. Technical aspects 4.5 The sampling method should take into account the type of anti-fouling system used on the ship. 4.6 Specimens of paint for analysis during survey and certification can be taken either as wet paint2 from product containers, or dry paint film sampled from the hull. Sampling strategy and number of samples 4.7 The sampling strategy is dependent on the precision of the sampling method, the analytical requirements, costs and required time and the purpose of the sampling. The number of

1 During in-service periods, anti-fouling coatings on ships� hulls often become damaged. The extent of damage

varies between ships and damaged areas can be visually recognised. Typically damage can be restricted to localised areas e.g. anchor chain damage (bow region), fender damage (vertical sides of hull), �rust through areas� (underlying rust causing coating failure) or in some cases be in smaller areas scattered over larger areas of the hull (usually older ships where over-coating of original system has taken place many times).

2 In order to prevent contamination, wet paint samples should be taken from a newly opened container. Paint should be stirred to ensure even consistency before sampling and all equipment used should be cleaned prior to use. Liquid paint samples should be stored in appropriate sealed packaging which will not react with or contaminate the sample. In the case of multi-component coatings (where on-site mixing of several components is required prior to application), samples of each component should be taken and the required mixing ratio recorded. When a sample of wet paint is taken from a container, details of the paint should be recorded e.g. details required for the IAFS Certificate along with a batch number for the product.



paint specimens taken of each sample should allow for a retention quantity for back-up/storage in the event of a dispute. For dry samples, triplicate specimens of paint at each sampling point should be taken in close proximity to each other on the hull (e.g. within 10 cm of each other). 4.8 In cases where it is recognized that more than one type of anti-fouling system is present on the hull, where access can be gained, samples should be taken from each type of system:

.1 for survey purposes or for more thorough inspections pursuant to article 11(2) of the Convention, in order to verify the compliance of an anti-fouling system, the number of sample points should reflect representative areas of the ship�s hull; and

.2 for inspection purposes pursuant to article 11(1) of the Convention sample points

on the hull should be selected covering representative areas where the anti-fouling system is intact. Depending on the size of the vessel and accessibility to the hull, at least four sample points should be equally spaced down the length of the hull. If sampling is undertaken in dry-dock, flat bottom areas of the hull should be sampled in addition to vertical sides as different anti-fouling systems can be present on these different areas.

Analysis 4.9 The analysis of the anti-fouling system should ideally involve minimal analytical effort and economic cost. 4.10 The analysis should be conducted by a recognized laboratory meeting the ISO 17025 standard or another appropriate facility at the discretion of the Administration or the port State. 4.11 The analytical process should be expeditious, such that results are rapidly communicated to the officers authorized to enforce the Convention. 4.12 The analysis should produce unambiguous results expressed in units consistent with the Convention and its associated Guidelines. For example, for organotin, results should be expressed as: mg tin (Sn) per kg of dry paint. NOTE: Compound-specific sampling and analytical methodologies are described in the

appendices to these Guidelines. 5 Thresholds and tolerance limits Thresholds 5.1 The analysis should be quantitative to the point of being able to accurately verify the threshold limits within the given tolerance. 5.2 In cases where compliance with acceptable limits, or lack thereof, is unclear, additional sampling or other methodologies for sampling should be considered. Tolerance range 5.3 Statistical reliability for each (compound-specific) brief sampling procedure should be documented. The analysis should be quantitative to the point of being able to accurately verify


Page 7


the threshold limits within the given tolerance. On the basis of these data a compound-specific tolerance range should be derived and stated compound-specific in the method description. In general, the tolerance range should not be higher than the standard deviation under typical conditions for testing and should under no circumstances go beyond 30 %. 6 Definition of compliance 6.1 Compliance with Annex 1 of the Convention is assumed if the anti-fouling system contains organotin at a level which does not provide a biocidal effct . In practice organotin compounds should not be present above 2,500 mg organotin (measured as Sn) per kg of dry paint. 6.2 Compliance is largely dependent on the results of sampling and subsequent analysis. As every method of sampling and analysis has its specific accuracy, a compound-specific tolerance level may be applied in borderline cases with concentrations very close to the threshold level. 6.3 In general, compliance is assumed when the samples yield results below the threshold value. 7 Documentation and recording of information 7.1 The results of the sampling procedure should be fully documented on a method-specific record sheet. Examples are provided in the appendices to these Guidelines. 7.2 Such record sheets should be completed by the sampler and should be submitted to the competent authority of the Port State or Administration.



APPENDIX

POSSIBLE METHODS FOR BRIEF SAMPLING AND ANALYSIS OF ANTI-FOULING SYSTEMS ON SHIPS

- ORGANOTIN -

METHOD 1 1 Purpose of this method concerning brief sampling and analysis of anti-fouling

systems 1.1 This method has been developed in order to describe a rapid methodology appropriate for the identification of anti-fouling systems on ship hulls containing organotin compounds acting as biocide. This method has been designed such that sealers should not be affected, and any underlying anti-fouling agent (or primer) is not taken up in the sampling procedure. The method is not recommended for silicon-based anti-fouling systems. 1.2 This method is based on a two-step analysis. The first step detects total tin as an indicator for organotin; the second step, detecting specific organotin compounds, is only necessary in the case of the first step proving positive. 2 Sampling device and materials 2.1 The sampling device is constructed in a way that only the upper layer of paint is removed, thereby and should leave any underlying paint (sealer, primer etc.) intact. This result is achieved through the use of a moving disk, (eccentric rotation) which is covered by an abrasive material like quartz or glass fibre fabric. This abrasive material has to be suitable for its use as a supporting material for the removed paint. 2.2 The device fulfils the following requirements:

.1 the device has to work independently from any stationary power supply. The device may be driven by an electrical motor (battery-driven) or may be mechanically driven by a clockwork-like spring, provided it is able to sustain the movement over the required time period;

.2 the applied force has to be constant during the operation, and the area for paint

removal has to be defined; .3 the abrasive material has to be inert against chemical solvents and acids and must

not contain more than trace amounts of tin or tin compounds; and .4 the amount of paint removed after a regular operation of the device has to be

shown to exceed 20 mg per sample. 2.3 The device as described in the following section has been shown to be suitable for the brief sampling procedure. Any other device may be used however, provided such a device has proven to meet all the above-mentioned requirements.


Page 9


2.4 The sampling device described here consists of a polyethylene disk, on which fibre glass fabric can be mounted by the use of an O-ring. The disk is moved on an eccentrically rotating axis. 3 Sampling procedure 3.1 The sampling procedure should be performed in the following manner:

.1 control samples should be taken through the entire sampling and analytical process to account for possible contamination;

.2 the mass of the fibre glass pads is weighed with a precision of at least 1 mg. The

weight should be documented for each sample; .3 the fabric should be moistened thoroughly with isopropanol (0.7ml per sample)

immediately before sampling; .4 when a sample point on the hull has been selected, any fouling present should be

removed with water and a soft sponge/cloth before taking a specimen of the anti-fouling system (to avoid contamination of sample). Where possible, if carried out in dry-dock, sampling should be carried out after the hull has been water-washed;

.5 the sampling device is then held against the surface to be sampled for a period of

5 seconds, prior to the sampling device being switched on; .6 the sampling device is switched on, thereby removing paint by the circular motion

of the fibre glass fabric against the surface of the ship; .7 the sampling device should be applied to the surface of the hull for a suitable

period of time, such that at least 20 mg of paint is taken up by the pad. As a general rule, if the pad colour after sampling matches the colour of the hull coating a sufficient sample has been taken;

.8 the two-step analysis procedure requires that every sample should be taken in

triplicate. Two of the specimens should be labelled Specimen 'A' and Specimen 'B'. In addition a third specimen for storage/back-up should be taken. These specimens should be taken as close to each other as possible, but without overlap; and

.9 upon completion of the sampling, the fibre glass fabric pads should be left to dry,

and re-weighed. 3.2 Samples should be stored in appropriate sealed packaging, which will not react with or contaminate the sample.



disk

DIAGRAM A: Schematic cross section of the sampling device

The indicated points A and B are to be pressed against the surface. The polyethylene disk, covered with the glass fibre fabric, is moved with an amplitude of 2 r (r = 1,0 cm) on the surface.

Specific data:

Force applied on the paint surface: 25N (Newton) Effective diameter of the disk: 5cm Frequency of rotation: 6 rotations/s Solvent used isopropanol (0.8ml per sample).

4 Sampling strategy 4.1 Sampling should be conducted in accordance with paragraph 4 of the Guidelines. 4.2 For inspection purposes in most cases accessibility to all parts of the hull will not be given. A minimum number of eight independent samples should be taken from different accessible parts of the hull.


Page 11


5 Analytical procedure 5.1 The two components comprising the analytical procedure are illustrated in the flow diagram B. The two components, or steps, are as follows:

.1 (STEP 1) - An analysis of Specimen A for the presence of total tin; and .2 (STEP 2) - A more cost- and time-consuming analysis of Specimen B, that is

applied only when Step 1 produces positive results. This test involves organotin analysis by gas chromatography/mass spectrophotometry (GC/MS) after derivatisation and provides specific data on the respective organotin species.

Step 1: Investigation of total tin content in Specimen 'A' Analysis of Specimen 'A' 5.2 Specimen 'A' is analysed for mass of total tin per kilogram of dry paint (or mass of tin per sample) by applying inductively coupled plasma/mass spectrometry (ICP/MS), once the material had been solubilized by digestion using aqua regia. It should be noted that any other scientifically recognized procedure for tin analysis (such as AAS, XRF and ICP-OES) is acceptable. Step 2: Characterization of organotin in Specimen 'B' Analysis of Specimen 'B' 5.3 Should Specimen 'A' produce positive results, organotin compounds should be identified and quantified in Specimen 'B'. Specimen 'B' may be analysed using the following procedure:

.1 solvent extraction of Specimen 'B' as supported by sonication in an ultrasonic bath;

.2 derivatisation with ethylmagnesium bromide; .3 clean-up of the extract; .4 analysis using high resolution gas chromatography/mass spectrophotrometry

(GC/MS); and .5 quantifications using tripropyltin as a standard.

5.5 Any equally reliable method for the chemical identification and quantification of organotin compounds is acceptable. 6 Threshold and tolerance range 6.1 The threshold value for the brief sampling method as described here is:

"2,500mg tin (Sn) per kg of dry paint."



Tolerance range 6.2 The tolerance range is 500mg Sn / kg of dry paint (20%) in addition to the threshold value. Organotin containing compounds acting as biocides or catalysts 6.3 As stated in the appendix of resolution MEPC.102(48), for the purposes of defining compliance with annex 1 of the Convention, it should be noted that small quantities of organotin compounds, acting as chemical catalysts (such as mono- and di-substituted organotin compounds) are allowed, provided they are not acting as a biocide. 6.4 Inorganic impurities in the constituents of the paints should be considered. 6.5 At present neither organotin catalysts nor inorganic impurities are found at concentrations which will be close to the threshold level (2,500mg Sn/kg of dry paint) or higher. However, organotin-containing compounds, when present in paint in order to act as a biocide, were found in concentrations up to 50,000mg Sn/kg of dry paint. Thus the discrimination between anti-fouling systems containing organotin compounds acting as a biocide and anti-fouling systems not containing these compounds or not containing these compounds at concentrations where they act as a biocide, is reliably possible. 7 Definition of compliance Two-step procedure 7.1 The analytical verification of the compliance with the Convention is performed in a two-step procedure according to the flow-diagram (diagram B). Step 1: Step 2:

DIAGRAM B: Flow diagram illustrating the two-step analysis procedure

Analysis of specimens 'A' (total tin)

potential non-compliance

compliance assumed potential

non-compliance

GC-MS-Analysis of specimens 'B'

compliance assumed


Page 13


Compliance with the criteria at the 'Step 1-level' 7.2 Compliance with the Convention is assumed when the results from the specimens 'A', analysed in step 1, meet the following:

.1 no more than 25% of the total number of samples yield results above 2,500 milligrams total tin per kilogram dry paint (2,500 mg Sn/kg of dry paint); and

.2 no sample of the total number of at least eight samples shows a concentration of

total tin higher than the sum of threshold value plus the tolerance range, i.e. no sample must exceed the concentration 3,000 mg Sn/kg of dry paint.

7.3 If the results in specimen 'A' indicate that no organotin acting as biocide is present, then performing step 2 is not necessary. Non-compliance with the criteria at the 'Step 1-level' 7.4 A positive result (non-compliance) is indicated if provisions of paragraph 7.2 are not met. 7.5 A positive result at step 1 (specimen 'A') would indicate that step 2 should be undertaken, and those samples labelled specimen 'B' should be analysed in order to determine and characterize the organotin present (see diagram B). Compliance with the criteria at the 'Step 2-level' 7.6 Compliance with the Convention is assumed when the results from the specimens 'B', analysed in step 2, meet the following requirements at the same time:

.1 no more than 25% of the total number of samples yield results above 2,500 milligrams total tin per kilogram dry paint (2,500 mg Sn/kg of dry paint); and

.2 no sample of the total number of at least eight samples shows a concentration of

total tin higher than the sum of threshold value plus the tolerance range, i.e., no sample must exceed the concentration 3,000 mg Sn/kg of dry paint.

Non-compliance at 'step 2-level' 7.7 A positive result in step 2 indicates non-compliance if the provisions of paragraph 7.6 are not met. Such results should be interpreted to mean that organotin compounds are present in the anti-fouling system at a level at which it would act as a biocide.



APPENDIX TO METHOD 1

RECORD SHEET FOR THE BRIEF SAMPLING PROCEDURE FOR COMPLIANCE WITH THE CONVENTION IN TERMS OF THE PRESENCE OF ORGANOTIN

ACTING AS A BIOCIDE IN ANTI-FOULING SYSTEMS ON SHIP HULLS

RECORD SHEET :

GUIDELINES FOR BRIEF SAMPLING OF ANTI-FOULING SYSTEMS ON SHIPS - ORGANOTIN -

RECORD NUMBER:

SECTION A: Administration

1. Country 2. Name of port 3. Date 4. Reason for sampling: ! Port State control ! Survey & Certification ! Other flag State compliance inspection 5. Company details:

1. Name of ship: 2. Distinctive number or letters: 3. Port of registry: 4. Gross tonnage: 5. IMO number:

6. Inspecting official's details 1. Name: 2. Comments:

SECTION B: Sampling 1. Time sampling procedure initiated: 2. Description of location from where samples were taken (frame number and

distance from boot topping, refer to paragraph 3.2): 3. Number of samples taken (three specimens per sample): 4. Photographs taken of the sample points prior to sampling? ! Yes ! No

5. Time sampling procedure completed:

6. Additional comments concerning sampling procedure:


Page 15


SECTION C: Analysis and results

1. Step 1 total tin analysis:

Company name: ��..

Analyst responsible:�� Date :��.

2. Specimen 'A' results: _______ total number of specimens 'A' analysed: _______

No. mg Sn / kg No. mg Sn / kg No. mg Sn / kg No. mg Sn / kg 1 5 9 13

2 6 10 14

3 7 11 15

4 8 12 16

Number of specimens exceeding 2,500 mg/kg: __________

1 or more specimens exceeding 3,000 mg/kg: yes ! no !

Conclusion: Step 2 required !

Compliance, Further analysis unnecessary: !

3. Additional comments concerning analysis of results from Specimen 'A':

4. Organotin analysis undertaken by:

Company name: ��.

Analyst responsible:�� Date :��.

5. Specimen 'B' results: _______ total number of specimens 'B' analyzed: _______

No. organotin (mg / kg) as Sn


No. organotin (mg / kg) asSn


1 5 9 13

2 6 10 14

3 7 11 15

4 8 12 16

Number of specimens exceeding 2,500 mg/kg: __________

1 or more specimens exceeding 3,000 mg/kg: yes ! no !

Conclusion: Non-compliance assumed !

Compliance assumed !

6. Additional comments concerning analysis of results from Specimens 'B':



7. Summarized conclusion:

Compliance assumed !

Non-compliance assumed !

THIS IS TO CERTIFY that this Record is correct in all respects. Issued at ��.

(Place of issue of Record) ��.. �� (Date of issue) (Printed name and signature of authorized official issuing the Record)

(Seal or stamp of the authority /organization)


Page 17


METHOD 2 1 Purpose of this method 1.1 This method provides sampling and analysis procedures to identify the presence of organotin compounds in the anti-fouling systems on ships. The method is designed such that the sampling and the first stage analysis could be carried out by ship surveyors or port State control officers (PSCOs) on the survey/inspection site, e.g. at a dry dock. 1.2 This method is based on a two-stage analysis. The first stage detects total tin as an indicator for the presence of organotin and the second stage is necessary only in the case that the first stage analysis providing a positive result to detect specific organotin compounds. 2 Sampling 2.1 The sampling is carried out by using abrasive paper rubbing on the surface of the anti-fouling system. This results in collection of paint fragment of the anti-fouling system from thin area, less than several micrometer in depth from the surface, which do not affect the coatings lying underneath such as sealers. 2.2 Abrasive paper is pasted on a disc of approximately 10 mm in diameter. Rubbing the surface of the anti-fouling system with the disc collects several milligrams of the sample on to the abrasive paper. 2.3 The sampling device consists of an electric motor, two (or three) rotating rods on each of which a disc is attached, and a battery for electric power supply. The discs are pressed on to the surface of ship's hull by spring coils. The disks rotate counter-clockwise while the rods turn clockwise around the centre of the device. Schematic diagram is illustrated in figure 1.

spring coils

gears

motor unit

φ120

mm

150mm

batterydiscs (abrasive paper on top)

Figure 1. Schematic diagram of sampling device



2.4 Sampling point is selected such that the anti-fouling system is intact over an area of approximately 50 cm х 50 cm or more. At each sampling point, three sets of sampling, or more if necessary, should be carried out to obtain at least six specimens. 2.5 The device is pressed on the ship's hull where it is appropriate to be sampled and held by hand. The electric motor is switched on to slide along the painted surface to lightly scrape off the fragments of the paint onto the abrasive paper. After the sample collection, each disc is removed from the device and stored in an inert container. 2.6 Sampling should normally be carried out with the sampling device. However, in the case that accessibility to the sampling point is poor, it is acceptable to collect samples with the discs by hand if necessary. 3 The first-stage analysis 3.1 The first-stage analysis is assumed to be carried out on the spot of the survey or inspection, e.g. dry docks and sea ports. In order to accomplish the on-site analysis, X-ray fluorescence analysis (XRF) is used in this method to detect total tin content. 3.2 Analytical characteristics, such as detection limit and accuracy, are highly dependent on the type of the instrument, i.e. type of X-ray tube, spectrometer, optical arrangement (filters or collimators), etc. Among several types of the XRF instruments, an energy-dispersive spectrometer with a silicon drift detector (SDD), which is compact in size and be able to be operated without liquid nitrogen, is preferable to the present analytical system for a field use, whereas wave-length dispersion system or solid-state detector are also available if the analysis carried out at laboratories. 3.3 Software customized for the tin analysis is prepared to assist the operator, who is assumed to be a ship surveyor or PSCO, to detect total tin in the specimens. 3.4 The customized software may in advance need a calibration curve of the characteristic X-ray intensity of tin in relation to the tin content particularly in the range of 0.1 to 0.5%. 3.5 After the preparation including the warming-up of the XRF instrument and starting-up of the computer, a specimen (sampling disc) is placed on the sample stage of the instrument. Afterwards, analysis is executed by the customized software. A single batch of analysis for one specimen normally takes 5 minutes and the result is shown on a display automatically. 3.6 Since the XRF analysis does not affect any properties of the specimens, all of the collected specimens (six to nine specimens), including those for the second analysis and storage, are able to be used for this analysis. 4 Interpretation of the result at the first-stage analysis 4.1 Following the procedures above, XRF data of six, or nine, specimens are obtained for each sampling point. Omitting the maximum and minimum values from the data, an average of the tin content is calculated from the intermediate values for the representing value of the sampling point.


Page 19


4.2 Compliance with the Convention is assumed when none of the tin contents (average values) from the samples do not exceed the sum of the threshold (2,500 mg per kg) and a tolerance (500 mg per kg). 4.3 When one or more average values of samples from different sampling points do not meet the above criteria, the samples should be sent to a laboratory for the second stage analysis. Regardless of the results, it is also possible to undergo the second stage analysis when the surveyor or PSCO considers that it is necessary to do so. 5 Second-stage analysis 5.1 Since the second-stage analysis provides the final and definitive results of the samples, the method should be thoroughly reviewed by experts based on scientific evidence. The following is a brief summary of a tentative methodology for the second stage analysis. 5.2 The collected paint specimens are removed from the abrasive paper and total mass is measured with an electronic balance to an order of 0.1 mg. The specimens are hydrolysed with sodium hydroxide aqueous solution, extracted with organic solvent, and then derivatised with propylmagnesium bromide. After cleaning up the extract, analysis using high resolution gas chromatography/mass spectrometry (GC/MS) is carried out. For quantification analysis, tetrabutyl tin d36 is added as the internal standard. 5.3 These analyses provide the data of chemical species and their content (mg per kg of the specimens). The content of organotin is obtained in a unit of mg per kg of dry paint. 6 Compliance with the Convention 6.1 Compliance with the Convention is assumed when the results from the second-stage analysis meet the following requirements at the same time:

.1 no more than 25% of the total number of samples yield results above 2,500 milligrams tin as organic form per kilogram dry paint (2,500 mg Sn/kg of dry paint); and

.2 no sample of the total number of specimens shows a concentration of tin as

organic form higher than the sum of the threshold value plus the tolerance range, i.e., no sample must exceed the concentration 3,000 mg Sn/kg dry paint.

6.2 When the result does not meet the above criteria, it is interpreted to mean that organotin compounds are present in the anti-fouling system at a level where they would act as a biocide.



APPENDIX TO METHOD 2


Page 21




***

MEPC 49/22/Add.1


ANNEX 10



GUIDELINES FOR INSPECTION OF ANTI-FOULING SYSTEMS ON SHIPS

THE MARINE ENVIRONMENT PROTECTION COMMITTEE, RECALLING Article 38(a) of the Convention on the International Maritime Organization concerning the functions of the Marine Environment Protection Committee conferred upon it by the international conventions for the prevention and control of marine pollution, RECALLING ALSO that the International Conference on the Control of Harmful Anti-fouling Systems for Ships, 2001, held in October 2001, adopted the International Convention on the Control of Harmful Anti-fouling Systems on Ships, 2001 (the AFS Convention) together with four Conference resolutions, RECALLING FURTHER that Article 11 of the AFS Convention prescribes that ships to which this Convention applies may, in any port, shipyard, or offshore terminal of a Party, be inspected by officers authorized by that Party for the purpose of determining whether the ship is in compliance with this Convention, NOTING that Article 3(3) of the AFS Convention prescribes that Parties to this Convention shall apply the requirements of this Convention as may be necessary to ensure that no more favourable treatment is given to ships of non-Parties to this Convention, NOTING ALSO that Article 11(2) of the AFS Convention refers to the guidelines to be developed by the Organization and Conference resolution 2 urges the Organization to develop these guidelines as a matter of urgency for them to be adopted before the entry into force of the Convention, NOTING FURTHER that through resolutions MEPC.102(48) and MEPC.104(49) the Organization has developed �Guidelines for Survey and Certification of Anti-fouling Systems on Ships� and �Guidelines for Brief Sampling of Anti-Fouling Systems on Ships�, respectively, and HAVING CONSIDERED the draft Guidelines for inspection of anti-fouling systems on ships pursuant to the International Convention on the Control of Harmful Anti-fouling Systems on Ships, 2001, prepared by the Sub-Committee on Flag State Implementation at its eleventh session, 1. ADOPTS the Guidelines for inspection of anti-fouling systems on ships pursuant to the International Convention on the Control of Harmful Anti-fouling Systems on Ships, 2001, as set out in the Annex to this resolution; 2. INVITES Governments to apply the Guidelines as soon as possible, or when the Convention becomes applicable to them; and



3. RECOMMENDS that the Guidelines be adopted as amendments to resolution A.787(19) on Procedures for port State control, as further amended by resolution A.882(21) once the AFS Convention has entered into force and that the Guidelines be reviewed on a regular basis.


Page 3


ANNEX

GUIDELINES FOR INSPECTION OF ANTI-FOULING SYSTEMS ON SHIPS

PART 1 Port State control inspections of anti-fouling systems on ships are governed by Article 11 of the AFS Convention. The process for conducting these inspections is described below. The flow diagram in the Appendix to this annex also describes the AFS port State inspection process. SUB-PART 1 INSPECTION OF INTERNATIONAL ANTI-FOULING SYSTEM (IAFS) CERTIFICATE OR DECLARATION ON ANTI-FOULING SYSTEM 1 Ships required to carry an IAFS Certificate or Declaration on Anti-Fouling System

.1 On boarding and introduction to the master or responsible ship�s officer, the port State control officer (PSCO) should examine the IAFS Certificate or Declaration on Anti-Fouling System, and the attached Record of Anti-Fouling Systems, if appropriate.

.2 The IAFS Certificate carries the information on the particulars of the ship and a

series of checkboxes to indicate if an anti-fouling system controlled under Annex I of AFS 2001 has or has not been applied, removed or been covered with a sealer coat, and if an anti-fouling system controlled under Annex I of AFS 2001 was applied on the ship prior to or after the date specified in AFS 2001.

.3 As a preliminary check, the validity of the IAFS Certificate should be confirmed

by verifying that the IAFS Certificate is properly completed and signed/endorsed by the Administration, or by a recognized organization (RO) and stating that the required survey has been performed. In reviewing the IAFS Certificate, particular attention should be given to verifying that the initial survey matches the dry dock period listed in the ship�s log(s) and that only one box should be marked.

.4 The Record of Anti-Fouling Systems should be inspected to ensure that the

records are attached to the IAFS Certificate and are up to date. The most recent Record must correlate with the correct checkbox on the front of the IAFS Certificate.

2 Ships of Non-Parties to AFS 2001

.1 As ships of non-Parties to AFS 2001 are not entitled to an IAFS Certificate, the PSCO should look for documentation that contains all of the information in the IAFS Certificate. The records described in resolution MEPC.102(48), paragraphs 5.2.2 and 5.3.2 can be used as examples of this types of documentation. If the ship has such documentation, the PSCO may take its content into account in the evaluation of that ship�s compliance.



.2 In all other respects the PSCO should be guided by the procedures for ships referred to in paragraph 1 above (Ships required to carry an IAFS Certificate).

SUB-PART 2 BRIEF SAMPLING OF ANTI-FOULING SYSTEMS ON SHIPS 1 In addition to reviewing the IAFS Certificate, the AFS 2001 specifies that the inspection may also include a brief sampling of the ship�s anti-fouling system. The sampling must not affect the integrity, structure, or operation of the anti-fouling system, taking into account the guidelines contained in resolution MEPC.104(49). 2 If a brief sampling is conducted, the time to process the results shall not be used as a basis for preventing the movement and departure of the ship. PART 2 MORE THOROUGH INSPECTION 1 If the results of the inspection, observations on board, or other information leads to clear grounds for believing that the ship is in violation of the AFS 2001, or if the anti-fouling system does not correspond substantially with the particulars of the IAFS Certificate, a more thorough inspection may be carried out taking into account any of the following steps. 2 Inspection of additional documentation, to include:

.1 ship�s logs, including entries regarding:

.1 date of last repair, drydock or application of anti-fouling system, date of departure from location;

.2 current port and date of arrival; and

.3 ship�s position at or near the time the boarding took place; and

.2 inspection of additional documentation described in paragraphs 5.2.2 and 5.2.3 of

resolution MEPC.102(48).

3 If appropriate, spot check dates of last hull coating matches date in drydock?

4 If the IAFS Certificate is not properly completed, information on the following questions may be pertinent:

.1 "When was the last time the ship�s anti-fouling system was applied?"; .2 "If the anti-fouling system is controlled under Annex 1 to AFS 2001 and was

removed, what was the name of the facility and date of the work performed?"; .3 "If the anti-fouling system is controlled under Annex 1 of AFS 2001 and has been

covered by a sealer coat, what was the name of the facility and date applied?";


Page 5


.4 "What is the name of the anti-fouling/sealer products and the manufacturer or distributor for the existing anti-fouling system?"; and

.5 "If the current anti-fouling system was changed from the previous system, what

was the type of anti-fouling system and name of the previous manufacturer or distributor?".

5 Performing additional verification, for example, more comprehensive sampling and analysis of the ship�s anti-fouling system. Such sampling and analysis will likely be more detailed and comprehensive than the brief inspection that may be carried out during the initial port State control inspection, and may involve the use of laboratories and detailed scientific testing procedures. Refer to the guidelines in resolution MEPC.104(49) when conducting these additional samples or analyses.

6 Additional information available to the PSCO, depending on the circumstances of the case, such as reports of recent previous violations or alleged contraventions received from other port States. PART 3 PORT STATE ACTION IN RESPONSE TO ALLEGED CONTRAVENTIONS 1 Article 11(4) of AFS 2001 allows Parties to inspect ships on request of another Party, if a request for an investigation is received and sufficient evidence that the ship is operating or has operated in violation of the Convention is provided. Article 12(2) permits port States conducting inspection to furnish the Administration of the ship concerned such information and evidence as may be in its possession that a violation has occurred. Experience has shown that information furnished to the flag State is often inadequate to enable the flag State to cause proceedings to be brought in respect of the alleged violation of the AFS 2001 requirements. This part is intended to identify information which is often needed by a flag State for the prosecution of such possible violations. 2 It is recommended that in preparing a port State report on deficiencies, where contravention to AFS 2001 requirements is involved, the authorities of the coastal or port State be guided by the itemized list of possible evidence as shown in part 2. It should be borne in mind in this connection that:

.1 the report aims to provide the optimal collation of obtainable data; however, even if all the information cannot be provided, as much information as possible should be submitted; and

.2 it is important for all the information included in the report to be supported by

facts which, when considered as a whole, would lead the port or coastal State to believe a contravention had occurred.

3 In addition to the port State report on deficiencies, a report should be completed by a port or coastal State, on the basis of the itemized list of possible evidence. It is important that these reports are supplemented by documents such as:



.1 a statement by the PSCO of the suspected non-conforming anti-fouling system. In addition to the information required in part 2, the statement should include considerations which lead the PSCO to carry out a more detailed inspection;

.2 statements concerning any sampling procedures of the anti-fouling system. These

should include: location of the vessel at the time it was sampled as well as an indication of where the sample was taken from the hull, including the vertical distance from the boot topping, the time of sampling, identity of person(s) taking the samples, and receipts identifying the persons having custody and receiving transfer of the samples;

.3 reports of analyses of any samples taken of the anti-fouling system; the reports

should include the results of the analyses, a description of the method employed, reference to or copies of scientific documentation attesting to the accuracy and validity of the method employed, the names of persons performing the analyses and their experience and a description of the quality assurance measures of the analyses;

.4 a statement by the PSCO on board together with the PSCO's rank and

organization; .5 statements by persons being questioned; .6 statements by witnesses; .7 photographs of the hull and sample areas; and .8 copy of the IAFS Certificate, including copies of relevant pages of the Record of

Anti-fouling Systems, log books, MSDS or similar, declaration of compliance from the anti-fouling system manufacturer, invoices from the shipyard and other dry dock records pertaining to the anti-fouling system, etc.

4 All observations, photographs and documentation should be supported by a signed verification of their authenticity. All certifications, authentications or verifications should be executed in accordance with the laws of the State which prepares them. All statements should be signed and dated by the person making the statement. The names of the persons signing statements should be printed in legible script above or below the signature. 5 The reports referred to under paragraphs 2 and 3 of this part should be sent to the flag State. If the coastal State observing the contravention and the port State carrying out the investigation on board are not the same, the State carrying out the latter investigation should also send a copy of its findings to the State which initiated the investigation. PART 4 RESPONSIBILITIES OF PORT STATE TO NOTIFY THE CONTRAVENTION TO THE FLAG STATE 1 Article 11(3) of AFS 2001 states that any time a ship is warned or detained, or is dismissed or excluded from a port for violation of the Convention, the Party taking such action shall immediately inform the flag Administration of the ship concerned. The form in Appendix 5


Page 7


should be used to inform the flag Administration. In the event that the deficiencies identified by the PSCO cannot be corrected in the port of inspection and the ship is allowed to sail from that port, the guidance in paragraph 4.7.3 and the forms in Appendices 6 and 7 should be used.



APPENDIX

AFS port State inspection process

***

Clear grounds for

non-compliance

Violation?

Stop

Stop

Inspection of IAFS

Certificate/ Declaration

Brief Sampling of AFS

and/or

Additional documentation

More thorough Inspection

Additional verification of

AFS and/or

NO

Y E S

NO

Y E S

Warn, detain, dismiss, exclude

Document violation and transmit report to Administration and/or next port

MEPC 49/22/Add.1


ANNEX 11

TERMS OF REFERENCE FOR THE OPRC/OPRC-HNS TECHNICAL GROUP

1 The OPRC/OPRC-HNS Technical Group, hereafter called the Technical Group, has been established as a subsidiary body of the MEPC pursuant to a decision taken by the Committee at its forty-eighth session (MEPC 48/21, paragraph 18.12).

2 The Technical Group aims at:

.1 considering matters related to marine pollution preparedness, response and co-operation, including the implementation of the OPRC Convention and OPRC-HNS Protocol, the resolutions adopted by the OPPR and OPRC-HNS Conferences, and regulations 26 and 16 of Annex I and II of MARPOL 73/78, respectively;

.2 assisting the Organization in performing the functions placed on it, in particular,

under article 12 of the OPRC Convention and article 10 of the OPRC-HNS Protocol; and

.3 developing manuals, guidance documents and training material for the benefit, in

particular, of the developing countries and their uses under the technical co-operation programme of the Organization.

3 The working arrangements of subsidiary bodies as defined in the �Guidelines on the organization and method of work of the Maritime Safety Committee and the Marine Environment Protection Committee and their subsidiary bodies� shall apply to the Technical Group. In particular, the Committee shall approve the work programme of the Technical Group and decide whether a new item should be included. When a Member Government considers a matter is of sufficient urgency and importance, a well-documented proposal may be submitted simultaneously to the Committee and to the Technical Group; however, any further work by the Technical Group on such a proposal should be subject to the approval of the Committee.

4 The Technical Group shall normally meet the week prior to the MEPC and shall report back to the Committee at its subsequent session. Drafting Groups and Correspondence Groups established for the need of work of the Technical Group shall follow the working arrangements defined by the Guidelines on the organization and method of work of the Committees and their subsidiary bodies.

5 The Technical Group is open to the participation of all Member States and organizations having observer status.

6 The Technical Group shall elect, for a renewable period of three years, its Chairman and Vice Chairman.

***

MEPC 49/22/Add.1


ANNEX 12



DESIGNATION OF THE PARACAS NATIONAL RESERVE AS A PARTICULARLY SENSITIVE SEA AREA

THE MARINE ENVIRONEMNT PROTECTION COMMITTEE, BEING AWARE of the ecological, social, cultural and educational value of the Paracas National Reserve, as well as its vulnerability to damage by international shipping traffic and activities in the area and the steps taken by Peru to address that vulnerability, NOTING that the Guidelines for the Identification and Designation of Particularly Sensitive Sea Areas adopted under resolution A.927(22) set out procedures for the designation of Particularly Sensitive Sea Areas, HAVING CONSIDERED the proposal from Peru to designate the Paracas National Reserve as a Particularly Sensitive Sea Area, HAVING AGREED that the criteria for the identification of a Particularly Sensitive Sea Area provided in resolution A.927(22) are fulfilled for the Paracas National Reserve, NOTING that the forty-ninth session of the NAV Sub-Committee considered an Area to be Avoided (ATBA) and agreed to its establishment, 1. DESIGNATES the Paracas National Reserve as defined in the Annex to this resolution as a Particularly Sensitive Sea Area.



ANNEX

DESIGNATION OF THE SEA AREA OF THE PARACAS NATIONAL RESERVE - PERU AS A PARTICULARLY SENSITIVE SEA AREA

INTRODUCTION 1 The use of ships to transport cargoes of various types and volumes, especially goods and substances which are harmful and damaging to the marine environment, and for the extraction and capture of hydrobiological resources, represents a serious threat to the marine environment due to the possibility of spills or operational or accidental pollution resulting in irreversible damage to marine habitats and organisms. 2 The Peruvian Sea is one of the world's richest in hydrobiological resources thanks to the favourable oceanographic and climatic conditions off the coast of Peru. The Paracas National Reserve occupies a unique geographical area along its entire shore, since it possesses significant biodiversity, both hydrobiological species and marine mammals, birds and other species. 3 The importance of the Paracas National Reserve has been internationally recognized by the Convention on Wetlands of International Importance (RAMSAR Convention) and the Hemispheric Shorebird Reserve Network, since the Peruvian Maritime Authority established special protective measures. 4 The Government of Peru is seeking via the International Maritime Organization to obtain world recognition of the sea area of the Paracas National Reserve as a particularly sensitive sea area, in accordance with the established procedures, so that seafarers, irrespective of the flag under which their ship is registered, are aware of the special ecological importance of this area and provide it with due protection, thus contributing to the efforts by the entire people of Peru in this respect. PART I - DESCRIPTION, IMPORTANCE AND VULNERABILITY OF THE AREA 1 DESCRIPTION OF THE PARACAS NATIONAL RESERVE 1.1 The Paracas National Reserve is an area of high ecological value and environmentally

sensitive, located in Pisco Province, Department of Ica, in a sea and coastal area defined by the following geographical points, as shown in Chart PERU HIDRONAV-2170, "Coast of Peru: Pisco-Paracas-Bahía Independencia", annexed to this document:

(a) 13°46'52" South 76°30'00" West (b) 13°46'52" South 76°17'40" West (c) 13°47'20" South 76°17'40" West (d) 13°49'00" South 76°18'25" West (e) 13°51'26" South 76°14'55" West (f) 14°26'42" South 76°00'00" West (g) 14°26'42" South 76°30'00" West


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1.2 The sea area of the Paracas National Reserve has a total area of 217,594 hectares,

including several islands, the main ones being:

(a) Isla San Gallán (b) Islas Ballestas (c) Islas Independencia group.

1.3 The Paracas National Reserve is the only marine reserve in Peru. It was created by

Supreme Decree No.1281-75-AG of 25 September 1975, and includes within its boundaries the Paracas National Prehistoric Park, designated by Supreme Decree No.15 of 21 June 1960.

1.4 The Reserve was created to preserve and sustainably use representative samples of the

natural formations and the biological diversity in the bio geographical areas (Udvardy, 1980) of the Pacific subtropical desert and the Pacific temperate desert, or according to another classification of zoogeographic regions: the Peru-Chilean Oceanic Zone and the Coastal Desert (Brack, 1976).

1.5 Due to the high primary productivity, it concentrates significant nuclei of terrestrial and

aquatic fauna, notably the large seal populations, the high density of guano birds and the abundance of migratory birds, making it an area of particular economic and ecological interest, which combined with the Paracas culture form an area of great scientific and cultural significance and great tourist potential.

1.6 The coastline is varied, marked by geographical features such as the Bay of Paracas, the

peninsula of Paracas, Punta Carreta, Bahía de la Independencia, Morro Quemado, Punta Gallinazo and the Islas Independencia and San Gallán.

1.7 These features are the result of diastrophic forces active now and in the past in Peru. The

drowning of the palaeozoic range known as the "Cordillera de la Costa" is clear from observation of the Bahía de la Independencia and the group of islands bearing the same name, or the Peninsula of Paracas and Isla San Gallán. The shorelines corresponding to the high ground along the same coast are all steep, further evidence of the drowning.

1.8 The climate is conducive to the formation of subtropical desert, meaning that there is a

difference of about 6° to 8° in the average temperature between the hottest and the coldest months. In February and August, it is 22°C and 15.5°C respectively, with an annual average of 18.7°C. Precipitation is very low. The average annual total in the north of the Reserve is 1.83 mm with relative humidity of 82 per cent and 83 per cent in winter.

1.9 The average height of cloud is 590 metres, and it should be noted that unlike in other

parts of the coast, the sun also shines in winter, which can be explained by the fact that the beaches and plains of the Reserve, by reducing the relative humidity, disperse clouds by reflecting the heat induced on the surface by infrared rays and rising warm air.



1.10 The prevailing winds are south and south-west, reaching an average speed of 14.9 km/h.

However, the strongest shore winds, known as "Paraca" reach 32 km/h.

1.11 The Bay of Paracas is shallow, ranging from 0 to 7 metres in depth, but deeper in the vicinity of Punta Pejerrey.

1.12 The principal productive activity in the area is fishing, both industrial and small-scale,

including fish-farming, with barges and wharves for direct unloading of hydrobiological products. The biodiversity, beautiful scenery and archaeological sites in the Reserve make it an important tourist destination (over 120,000 visitors a year).

1.13 Also located in the Bay of Paracas is a port terminal for large ships, handling different

types of cargoes for export, import and coastal trade, especially fish meal, salt and sulphuric acid, as well as a multi-buoy off-shore terminal for supplying oil from tankers to the refinery which provides fuel for the region.

1.14 There is merchant shipping and tanker traffic bound for other ports in and around the sea

area of the Reserve. 2 IMPORTANCE OF THE PARACAS NATIONAL RESERVE 2.1 Ecological criteria 2.1.1 Unique and representative character 2.1.1.1 This section of the coastal and sea area includes the sea area of the Paracas National

Reserve. Its characteristics make it quite unique and exceptional compared with many areas of the Peruvian coast. It is important for its upwelling currents and its physical and environmental conditions make it one of the most productive and diverse areas of the coast.

2.1.1.2 While from latitude 5° South, off Bayovar, Piura, the coastal region offers these

ecological characteristics, a series of factors combine in the area south of Pisco to produce the extraordinary wealth of environments and marine species. The Peru current brings a constant supply of inorganic nutrients, the richest in the world, to the coast off San Juan de Marcona. These nutrients provide a high concentration of raw materials, mainly phytoplankton, which are the basis of the rich shore and aquatic fauna found there. This makes the coastal waters of Pisco-Paracas one of the most productive in the world.

2.1.1.3 The first area touched by the current is the Bahía de la Independencia, where the

concentration of nutrients results in an exceptional wealth of hydrobiological life which is reflected, among other things, in the rich harvests of molluscs. The south side of the Peninsula of Paracas to some extent hinders the South to North flow and gives rise to an area where the cold water from the South mixes with the local warm waters, which then flow north-west.

2.1.1.4 The Bay of Paracas has shallow waters which are easily heated by the sun's rays. These

waters receive a variable but constant inflow of fresh water from the Río Pisco, greater mainly during the summer months, which reduces their salinity.


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2.1.1.5 The wealth of biological resources within the Reserve is thus supported by the

dynamics of the marine ecosystem, both in the bentonic and pelagic populations. It concentrates both a wide diversity of species and considerable commercial volumes due to the physical features of the coast with its many small bays and creeks, shallow open beaches and many cliffs. The shallowness of the coastal waters encourages photosynthetic processes or primary productivity of phytoplankton and algae which start the trophic chain. The cold Peruvian Current and the submarine counter-currents encourage the upwelling of masses of water from the seabed to the surface, laden with nutrients on which phytoplankton and macroscopic algae feed in the extremely sunny conditions. This generates an explosion of its biomass through photosynthetic activity, starting the trophic chain which makes the sea of Paracas one of the richest in the world.

2.1.1.6 The bentonic population of the waters of the Paracas Reserve consists mainly of a great

biological diversity of molluscs, algae, fish and arthropods, especially mussels, winkles, scallops, sole, cabrilla, pintadilla, chita, etc. as well as various species of marine algae. These species form the basis of the country's fish-farming, using techniques specific to the area. The pelagic population consists of wild species, especially anchovies, mackerel, sardines, silverside, machete and bonito.

2.1.1.7 The wide biological diversity of the bentonic and pelagic ecological populations of the

sea of Paracas also depends on the nature and variety of the substratum (sand, mud, sandy mud, rock, stony, shells, etc.), tidal movements, (with species living at the lower, middle and upper shore levels) and the physical and chemical composition of the sea water which encourages primary growth which is the basis of the biological chain in the Peruvian sea.

2.1.2 Productivity 2.1.2.1 Despite its tropical position, the most striking characteristic of the Peruvian Sea is its

cold waters. This coldness is the result of the vertical stream of water from deeper layers to the surface, by the process known as the Peruvian upwelling system, which is summarized below.

2.1.2.2 The coastal area of the Peruvian Sea is considered to be one of the most productive in

the world. The trade winds drive the coastal waters of Peru from south-east to north-west. This circulation is called the Peruvian Coastal Current. The direction and strength of the wind and the geographical shape of the west coast of the continent cause a bend in the coastal waters at right angles to the wind direction and against the coastline. This bend leaves a "void" which is filled by the upwelling of subsurface waters rich in inorganic nutrients. This extra provision of nutrients and the action of sunlight are the basis for the high phytoplanktonic and zooplanktonic productivity, which in turn sustains the famous riches of the Peruvian Sea.



2.1.3 Diversity 2.1.3.1 The diversity of coastal micro environments, the geographical shape of its coastline, the

variety of substrata and the high primary productivity of these waters support a wide variety of species which offer, in practice and potentially, a large number of alternatives for sustainable local and national development.

GROUP SPECIFIC DIVERSITY (1)

Algae 317 Terrestrial plants 54

Anelides 109 Molluscs 194

Marine arthropods 286 Terrestrial arthropods 129

Other invertebrates 101 Fish 168

Reptiles 10 Birds 216

Mammals 36 TOTAL 1543

Source: INRENA - January 2000

2.1.3.2 Invertebrates should be highlighted among the most important resources, of which

arthropods are the most varied and molluscs offer the best prospects for farming. The most representative species include scallops, argopecten purpuratus, for its great economic potential, and abalone (concholepas concholepas), the wedge clam (donax sp.), the Pacific clam (gari solida), the mussel (aulacomya ater), the octopus (octopus sp.). Other groups of invertebrates are also important, such as equinoderms, including the sea urchin (loxechinus albus) and crustaceans such as the crab (platyxanthus orbigny), both of which are of economic importance and constantly harvested.

2.1.3.3 Plants are another important group. Algae, for example, are a raw material in

pharmaceutical research and the pharmaceutical industry as well as a traditional source of human food. Also noteworthy is the seasonal vegetation, basically herbaceous, which grows on the slopes of the hills nearest the coast which rise to over 400 metres. This "coastal hill" vegetation, is encouraged by the occurrence of winter mists. In general, little is known of these formations which in the Paracas National Reserve at least occur in the Lechuza hills, Morro Quemado and San Gallán Island.

2.1.3.4 The third important group consists of vertebrates. Fish are the traditional basic resource

of the local economy, not only in domestic and small-scale fishing, but also industrial. The periodic appearance of sea turtles is a cause for concern since it leads to the hunting of and resulting trade in these animals, despite the fact that it is a prohibited activity. In addition, the wide diversity of migratory and resident birds, marine mammals (seals, whales and otters) are a great attraction for students, teachers, researchers and tourists.


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Flora

2.1.3.5 The terrestrial flora of the Paracas Reserve are divided between local biotopes in the uplands called coastal hill vegetation and those growing on the shores, known as halophytic plants. The Paracas coastal desert is characterized by high temperatures and scant precipitation, with heights of 500 metres above sea level in the Peninsula of Paracas and 600 metres above sea level in the Bahía de la Independencia, which capture the humidity in the mists encouraging the presence of hill vegetation.

2.1.3.6 In the Lechuza and Lagarto hills in the Bay of Paracas and San Gallán Island there are

sandy soils with three species of tillandsia sp., xerophytic plants which grow in the sandy substratum and capture atmospheric humidity.

2.1.3.7 In the stony soils there are fissures and crevices which collect humus, lichens and

mosses, which allow the growth of the species solanum, oxalis and spergularia. These species dry out in summer and grow again in winter by capturing the humidity. The hill vegetation occupies very limited areas and has been altered by the local beachcombers known as guaqueros.

2.1.3.8 Halophytic species grow along the shorelines. In the Bay of Paracas, Playón and

Mendieta, the species sesuvium portulacastrum, distichlis spicata and cressa truxillensis can be found.

2.1.3.9 The marine flora consists of microscopic algae and larger seaweed (Acosta, 1977).

254 species of marine algae are recorded in the area, 3 species of cyanophytas, 11 phaeophytas, 1 euglenophyta, 79 pirrophytas, 104 criysophytas and 44 rodophytas.

2.1.3.10 Of the larger seaweed, the most important are: ulva lactuca; ulva fasciata; ulva

papenfussi and ulva sp., commonly called sea lettuce; grateloupia doryphara; chondracanthus chamissoi; chondracanthus glomerata and porphyrya columbina, known as "yuyo" and used in cooking.

Fauna

2.1.3.11 The diversity of the substratum of the shores allows the presence of micro habitats

and thus great biological diversity among the species making up the marine fauna, birds, fish, marine mammals and molluscs. The terrestrial fauna is very scarce, with three species of small lizard (tropidurus peruvianus, tropidurus tigris and a gecko) and the coastal fox.

2.1.3.12 The main species of marine fauna include: mugli cephalus (striped mullet); engraulis

ringens (anchovy); dasyatis brevis (stingray); urotrigon peruvianus (ray); paralichthys adspersus (sole); occasional visitors such as: delphinus delphinus (dolphin); small species of whales and sperm whales; arctocephalus australis (South American fur seal); otaria byron (sea lion); molluscs: thais chocolata (winkle); argopecten purpuratus (scallop); octopus fontaineanus (octopus); crustaceans: platyxanthus orbigny (purple crab); and ocypode gaudichaudi (crab).

2.1.3.13 The bird life consists of the following: condors; guanay cormorants; cormorants;

booby; pelicans; flamingo; great egret; snowy egret; blue heron; white-cheeked pintail; turkey vulture; osprey; peregrine falcon; common oystercatcher; black



oystercatcher; snowy plover; black-bellied plover; semi-palmated plover; turnstone; solitary sandpiper; sanderling; semi-palmated sandpiper; western sandpiper; lesser yellowlegs; greater yellowlegs; migrating snipe; whimbrel; skimmer; elegant tern; common tern; Peruvian tern; royal tern; band-tailed gull; kelp gull; grey gull; grey-headed gull; Franklin's gull; Peruvian seaside cinclodes; and grebe.

Seals

2.1.3.14 The Paracas National Reserve, as a conservation unit, contains within its shores one

of the main concentrations of seals on the entire Peruvian coast. The Reserve has three of the largest stable colonies of South American fur seals, whose population is recovering from the effects of the 97-98 El Niño phenomenon.

2.1.3.15 The creation of the Reserve put an end to their indiscriminate slaughter primarily for

profit since their skins fetched a good price on the market. In addition to the creation of the Reserve, the Peruvian Government issued Ministerial Resolution No.00103-76-PE of 9 March 1976, pursuant to Decree-Law No.18810, which prohibits seal hunting and it is as a result of this protection that the seal populations have been recovering, as shown by the statistics. In 1976, the total population for all colonies was 2,048 seals, in 1982 the estimated population was 15,821 seals and now these populations have increased so significantly that they are no longer considered to be endangered.

2.1.3.16 Seal colonies live on Morro Quemado, Islas Independencia and Santa Rosa, Mendieta,

Isla Zárate, Punta Arquillo, Punta Lechuza, Punta Lagarto, Isla San Gallán, Islas Ballestas and Islas Chincha.

Marine Invertebrates

2.1.3.17 The area of the Reserve, which includes the Bay of Paracas and Bahiá de la

Independencia is the leading place on the Peruvian coast for the production and harvesting of shellfish. In recent years, the boom in scallops, argopecten purpuratus, as a result of the El Niño phenomenon requires greater attention from researchers into marine ecology, especially the bentonic subsystem.

2.1.3.18 In 10 places in the Paracas National Reserve and 14 points on the lower beach

8 biotopes can be distinguished: rocky shore; muddy sand; sandy and stony and sandy mud beds; sandy, stony and rocky.

2.1.3.19 Bentonic invertebrates of 330 types of (excluding nematodes) have been found,

305 of which identified at least to generic level. These types are grouped into 145 families, 43 orders and 15 phyla. Of the total types, 112 are mollusca (33.9%), 184 anelidae (31.5%), 75 crustacea (22.7%) and 39 belong to various other classification groups (11.8%).


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2.1.3.20 More species were found in hard substrata than in soft substrata: 119 species

exclusive to rocky seabeds and 39 on rocky shores; 79 species were found in the remaining 6 biotopes. The numerical results obtained for the main classification groups are still provisional because the samples have not been exhaustive, especially in stony and muddy sand seabeds.

2.1.3.21 The total number of molluscs, worms and crustaceans recorded in the Reserve has

increased considerably from 103 to 289 species. In the case of crustaceans, species of the orders Ostracoda, Tanaidacea, Cumacea, Isopoda and Amphipoda are being recorded for the first time, the latter being significant, since the 18 species found are 12 amphipods and 6 isopods.

2.1.4 Natural character 2.1.4.1 The coast contains two thirds of Peru's total population. Industries of various kinds

have been established along the coast and the country's largest towns have grown up there. The Pisco-Paracas area is no exception. However, in its 25 years of existence, the ecosystem of the Paracas National Reserve displays relatively natural conditions compared with other parts of the coast, which reflect the resilience of its natural processes such as maintenance of productive processes, persistence of breeding zones, stability of its colonies, and resistance to drastic change, such as very strong El Niño phenomena, etc.

2.1.4.2 It is universally recognized that global populations of migratory shore birds are

declining, mainly due to the accelerating destruction of the wetlands which form their habitat. Consequently, international efforts and commitments to protect migratory birds and their habitats, such as the Convention on Wetlands of International Importance (RAMSAR Convention) and the Convention on the Conservation of Migratory Species of Wild Animals (Bonn Convention); commitments to which Peru is an official party.

2.1.4.3 The situation of wetlands in Peru is no different from that found elsewhere in the

world, which is why the Peruvian State is freely and absolutely committed to protecting wetlands and migratory birds.

2.1.4.4 Because of its importance and natural character, the Paracas National Reserve has

been included in the List of Wetlands of International Importance of the Convention on Wetlands of International Importance (RAMSAR Convention) since 30 March 1992. Protection of the Paracas National Reserve is all the more important because in reality it is not a wetland but a series of wetlands, notably the Bay of Paracas wetland and the estuary of the Río Pisco.

2.1.4.5 Thousands of birds migrate annually to the Bay of Paracas to feed and rest. These

birds mostly come from Alaska, British Columbia, Alberta and Saskatchewan in Canada. Some of them will stay there throughout the southern summer, feeding and storing energy to return to their breeding grounds. Others will continue their journey to southern Chile and Argentina. For this reason, the Paracas Reserve has also been recognized as a Regional Reserve for Migratory Birds by the Hemispheric Shorebird Reserve Network since 28 September 1991.



2.1.4.6 The habitat suitable for thousand of migratory birds arriving in the Bay of Paracas has shrunk to a small area. Migratory birds have characteristics which make them highly vulnerable to anthropogenic environmental changes. Migratory shore birds are extremely faithful to place (homeland tie), meaning that they repeat patterns of migration and stop in the same places year after year. For this reason, the degradation or loss of the wetland features of the shore of the Bay of Paracas and the Río Pisco estuary will lead to the death of these creatures or will force them to move to less suitable places. This displacement will make them spend more energy, with greater risk of falling prey to predators and greater risk to their health.

2.1.4.7 The greater expenditure of energy for the birds may mean the possibility that they do

not breed or that individuals die. A migratory shore bird is generally a creature of low body weight. The loss of a few grams of fat (energy) is the difference between breeding successfully or not and even between life and death. The main harm to migratory birds caused by the deterioration of the micro-topography of the intertidal zone of the Paracas wetlands is the loss of available food, their only source of energy.

2.1.4.8 Although a migratory specimen has a low body weight, the considerable size of the

populations of these species (several thousand individuals) means that they require feeding grounds of a size directly proportional to the size of the group. In this sense, the degradation and disappearance of an optimal habitat for migratory birds has a serious impact on the global survival of the species. This characteristic adds to the singular importance of this site, since the Paracas National Reserve is the only place for thousands of kilometres where migratory birds can stop.

2.1.4.9 With the disappearance or degradation of their habitat, migratory birds are forced to

go in search of alternative feeding grounds. In each place, natural predators on migratory birds follow particular hunting patterns. The prey, in this case the migratory birds, survive this pattern of hunting by natural selection. Thus, when they move, the risk of depredation rises, since they encounter a different pattern of hunting. The population movement means settling in a place with a different hunting pattern, which makes the birds more vulnerable.

2.1.4.10 Another effect of the forced population movement is the dispersion of the birds with

the consequent decline in the size of the group, which increases the probability of their capture. Groups of migratory birds which have been disturbed are inclined to break up into small groups, which further increases depredation.

2.1.4.11 Important colonies of sea birds can be found in the Reserve, mainly in the islands.

Apart from guano birds, two species are of particular interest: the Humboldt penguin (Spheniscus humboldt) and the Peruvian diving petrel, birds in danger of extinction. In the case of the penguin, one of the three largest colonies on the Peruvian coast is found in Bahía de la Independencia. The case of the diving petrel is even more striking, since the entire population of this species in Peru is confined to the sea area of the Paracas National Reserve.


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2.2 Socio-economic and cultural criteria 2.2.1 Economic benefits 2.2.1.1 A series of economic activities are carried on in the Paracas National Reserve, including

tourism, as well as various other activities related to the exploitation of hydrobiological resources.

2.2.1.2 The flow of tourists to the Reserve is growing, as shown in the following table:

Visitors to the Paracas National Reserve 1970-1999 1976-1980 1981-1985 1986-1990 1991-1993 1994-1999

121,323 215,044 266,808 149,253 412,211

2.2.1.3 The tourist facilities in the Reserve consist of the following resources:

(a) Bay of Paracas, where the liberator, General San Martin landed, which is the natural home for resident and migratory birds.

(b) El Candelabro, a giant geoglyph 128 metres long and 67 metres wide.

(c) The Cathedral, a rock formation whose cliffs host a large number of guano birds

and some mammals.

(d) Laguna Grande, a fishing lagoon where most of the small-scale fishing in the Reserve is concentrated.

(e) Lagunilla, a small fishing lagoon for small-scale fishermen, mainly shellfish.

(f) Atenas Beach, which contains several archaeological conchales or heaps of shells

with relics of early fishermen including pottery, weaving and corn in its cultural inventory, dating from 1000 to 800 BC.

(g) El Sequión Beach, which is a large natural home for birds, where flamingoes,

skimmers and boobies can be seen.

(h) La Mina Beach, which takes its name from the coal mines which used to be there, an area rich in fossils.

(i) Punta Arquillo, rock formations and cliffs which are home to one of the largest

seal colonies in the area and caves where penguins nest.

(j) Otuma saltpans, where salt is produced.

(k) Los Frailes, a natural rock formation and refuge for guano birds.



(l) Yumaque Beach, with sports fishing and camping, and a breeding ground for

oystercatchers.

(m) Mendieta Beach, for sport fishing and diving; an ideal beach for bathers and camping.

(n) Chuncho Beach, suitable for sport fishing and camping. There are some

20 dwelling mounds from the Paracas Cave era (500-200 BC). It is the largest archaeological site of the Paracas coast.

(o) Carhuaz Beach, ideal for sport fishing, swimming and camping. There are traces

of human populations, conchales and cemeteries from the Paracas-Chavin era (600 BC) up to colonial times.

(p) Julio C Tello Site Museum and Paracas National Reserve Interpretation Centre. It

has exhibitions of artefacts of the ancient peoples of the area.

(q) Chain of 9 islands which are the prime habitat for the largest population of guano birds and seals in the Reserves.

(r) Leisure beaches, places for sports activities such as swimming, sailing, fishing,

camping, photography, etc.

(s) Natural beauty; resident and migratory birds can be observed and seals can be seen on the cliffs.

(t) Archaeology; there are numerous remains of the civilizations that inhabited

ancient Peru in this part of the country.

2.2.2 Leisure 2.2.2.1 Various sports and leisure activities take place throughout the year in the area of the

Reserve. In the Bay of Paracas the main activities are sailing competitions, wind-surfing, water-ski and other sports.

2.2.2.2 In summer, its beautiful beaches are filled with holidaymakers from Pisco and nearby

towns, concentrating in the El Chaco area in the Bay and the beaches of La Mina and Lagunillas.

2.2.3 Human economy 2.2.3.1 Most of the human population and the local economy in this part of the coast are

basically engaged in harvesting and processing hydrobiological species and tourist-related activities.


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2.2.3.2 However, apart from the resident population that exploits those resources, there is a

migrant population coming from any of the ports or coves along the coast of Peru. These migrants are hug during the ENSO, mainly attracted by the scarcity of their own marine species during "normal" periods in different latitudes and the expectations created by the population explosion of scallops, a resources which supports a huge market and which involves a large number of people.

2.3 Scientific and educational criteria 2.3.1 Research 2.3.1.1 Scientific and technological, fisheries and marine research programmes are conducted

in the Reserve by specialized public institutions such as the Peruvian Marine Institute (Instituto del Mar del Perú), the Hydrographic and Navigation Department of the Peruvian Navy, universities and natural and legal persons in the private sector.

2.3.1.2 Research activities in the Reserve include creating an inventory of its flora and fauna,

comprising identification, numbers and distribution; studies of fish-farming in the environment and studies of natural stocks; periodic population censuses; biology and management of turtles and behaviour and distribution of smaller cetaceans, as well as migratory and resident birds; studies of algae, sea cucumbers, flying fish and others; constant monitoring of ecosystems and species of commercial importance, and potential threats.

2.3.2 Basic studies and surveillance 2.3.2.1 Studies are in progress to complete the demarcation of the Reserve for the purposes of

protection, by installing boundary posts and to solve problems of private activity and services.

2.3.2.2 Various alternatives for managing the resources of the marine and coastal areas in a

rational way are constantly being evaluated, by planning activities so as to ensure their sustainability, while improving profitability.

2.3.2.3 After preliminary studies, areas for communal ecodevelopment are selected within the

Reserve and its area of influence to allow economic, social and ecological activities. 2.3.2.4 Periodic land and sea patrols are carried out within the Reserve for surveillance and

control to safeguard its natural beauty and the natural and cultural resources of this national protected area.

2.3.3 Educational and historical value 2.3.3.1 Comprehensive education and information programmes are provided for students, the

general public and all economic agents operating in the Paracas National Reserve, aimed at its conservation, preservation and sustainable development.

2.3.3.2 In the Paracas region, both continental and shore, there are some 104 archaeological

sites, most of them within the Reserve, covering every period of prehispanic Andean societies.



2.3.3.3 This enormous potential has attracted the attention of many people from the remote

past. The present area of the Reserve served for the settlement of prehispanic peoples. 2.3.3.4 The Reserve includes within its boundaries the Paracas National Prehistoric Park,

designated by Supreme Decree No.15 of 21 June 1960. 2.4 National and international importance 2.4.1 Because of its importance and natural character, the Paracas National Reserve has been

included in the List of Wetlands of International Importance of the Convention on Wetlands of International Importance (RAMSAR Convention) since 30 March 1992.

2.4.2 The Paracas National Reserve has also been recognized as a Regional Reserve for

Migratory Birds by the Hemispheric Shorebird Reserve Network since 28 September 1991.

2.4.3 A proposal is being prepared for submission to UNESCO to have the Paracas National

Reserve declared a Biospheric Reserve. 2.4.4 At national level, it is included in the system of protected natural areas, being considered

as a National Reserve by the Peruvian Government in Supreme Decree No.1281-75-AG of 25 September 1975.

2.4.5 By a resolution of the Ministry of Tourism of Peru of 5 September 1996, San Gallán

island and the Ballestas islands were incorporated in the Reserve, in addition to two miles of the surrounding sea area measured from the coastline.

2.4.6 In addition, by Ministerial Resolution No. 1082-90-AG 1990, it was considered that the

Paracas National Reserve is host to various species of fauna classified as endangered, among them: (a) the marine otter (lutra felina) (b) the Humboldt penguin (spheniscus humboldti) (c) the Chilean flamingo (phoenicopterus chilensis)

3 VULNERABILITY OF THE PARACAS NATIONAL RESERVE TO DAMAGE

BY INTERNATIONAL MARITIME ACTIVITIES 3.1 International maritime activities in the area 3.1.1 The principal activities are the passage of merchant ships in the vicinity of the Reserve

and the arrival, stay and departure of tankers at Puerto General San Martín and at the offshore multi-buoy terminal for loading and unloading of pollutants including hydrocarbons and sulphuric acid, among others.


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3.1.2 The movement of ships in the port is shown below: YEAR 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999No. of ships

84 86 66 114 125 133 98 151 104 186

3.1.3 An average of 395 to 535 merchant ships a month pass in the vicinity of the Reserve or

through it. 3.1.4 The meteorological conditions are basically subtropical because of the effect of the

coastal upwelling and the South Pacific anticyclone which gives it an arid climate with high temperatures. The average air temperature ranges from 16.2°C to 22.7°C with the highest temperatures recorded in February. The maximum ranges from 20.2°C to 27.7°C.

3.1.5 The relative humidity ranges from 82 to 84 per cent. The average total annual

precipitation is 0.09 mm/m2 in summer and 0.60mm/m2 in winter. 3.1.6 One of the dominant characteristics of the desert climate of the Peruvian coast is the

constant presence of wind. The winds are persistent, highly constant in direction and with a marked daily cycle caused by the heating of the coastal desert. The hourly pattern of variations is calm during the morning, strengthening from midday. Then comes a period of calm in the evening, followed by greater strengthening in the early hours of the night, with gusts up to 15 to 17 m/sec.

3.1.7 Due to the thermal balance between the ocean and the continent which occurs in the early

hours of the morning, the winds are light, between 1 and 6 knots, inclined to calm, increasing gradually in the evening to reach speeds of 16 to 20 knots (roughly between 1800 and 2100 local time) and absolute maximum speeds of up to 30 knots.

3.1.8 There are no wave measurements available for the area of the Reserve, but visual

observations have been made at various times of year. Shown below is a table of average directions and height of waves for the region between 10° and 15° South (information from Sailing for South America). The table is very general but it does allow an appreciation of the range of wave heights and the approximate predominant direction. This information was obtained from 6,907 observations and refers to Swell waves which are waves which originate in the open sea and travel large distances. This type of wave is the main source of the height of waves whose impact determines the dynamics of the coast of the Reserve.



DISTRIBUTION OF SWELL WAVES

(10°-15° SOUTH)

W SW S SE E Height metres % % % % % 0.3-1.8 0.7 9.7 35.4 8.2 - 1.8-3.6 0.3 6.7 25.2 6.3 0.4 +3.6 - 1.0 2.3 0.5 0.3 Total 1.0 17.4 62.9 15.0 0.7

According to this information, the predominant directions of waves are south and south-west, while the other directions are less frequent.

3.1.9 The system of currents off the coast of Peru runs in a northerly direction. 3.1.10 There have not been any accidents to date involving shipping, such as grounding,

collisions or spills. However, it can be assumed that an operational or accidental spill could occur at any time, in addition to discharge into the sea of garbage and foul water from unidentified ships.

3.2 Potential harm 3.2.1 The Paracas National Reserve is a highly sensitive ecosystem with limited capacity to

absorb adverse environmental effects. 3.2.2 The Reserve is highly vulnerable due to the risk presented by the transport and

transhipment of oil, sulphuric acid and other noxious substances harmful to the environment, resulting from the operation of tankers. The quantities used and handled make this a major source of environmental risk, above all because of the possibility of spills, toxicity and flammability.

3.2.3 With the privatization of state enterprises, including the ports, it is estimated that

movements of these products will increase, as the economy of the country and the region grows.

3.2.4 The pumping of bilge water, discharge of sewage and waste from ships are also activities

which put at risk the ecological health of the Reserve. 3.2.5 The increase in shipping in the vicinity of the Reserve adds to the chance of accidents

such as collisions, grounding or other accidents which could seriously endanger the present biodiversity in the Reserve and affect its natural wealth, such as beaches and tourist areas, with an economic impact on the people of the area engaged in harvesting hydrobiological products, tourism and leisure.


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PART II - APPROPRIATE PROTECTION MEASURES AND IMO'S POWER TO ADOPT SUCH MEASURES

4 The International Maritime Organization is requested to consider the sea area of the

Paracas National Reserve as a "particularly sensitive sea area", so that all ships engaged in international navigation adopt appropriate measures to avoid actions which might harm the ecological health of the Reserve.

5 The first measure required is prohibition of navigation of tankers within the sea area of the

Paracas National Reserve, as duly defined in shipping charts - PERU HIDRONAV-2710, "Coast of Peru: Pisco-Paracas-Bahía Independencia.

6 Another measure is to prohibit any kind of discharge from ships within the sea area of the

Reserve, including discharge of sewage and waste. 7 The above-mentioned measures will contribute to ensuring adequate protection for the

largest area of marine biodiversity in Peru, encouraging migratory species from places as far away as Alaska, Canada and Antarctica.

8 The prohibition of tanker navigation within the sea area of the Reserve, apart from those

entering and leaving the port, will not cause harm or financial loss to their owners since they do not need to pass through the Reserve en route to other ports, thus they will not waste any time in avoiding the area.

9 Finally, to summarize, the Peruvian Government has so far taken the following steps to

protect the Paracas National Reserve: 9.1 It has been included in the List of Wetlands of International Importance of the

Convention on Wetlands of International Importance (RAMSAR Convention) since 30 March 1992.

9.2 Its has also achieved recognition as a Regional Reserve for Migratory Birds by the

Hemispheric Shorebird Reserve Network since 28 September 1991. 9.3 A proposal is being prepared for submission to UNESCO to have the Paracas National

Reserve declared a Biospheric Reserve. 9.4 At national level, it is included in the system of protected natural areas, being declared a

National Reserve by the Peruvian Government in Supreme Decree No.1281-75-AG of 25 September 1975.

9.5 By a resolution of the Ministry of Tourism of Peru of 5 September 1996, San Gallán

island and the Ballestas islands were incorporated in the Reserve, in addition to two miles of the surrounding sea area measured from the coastline.

9.6 In order to protect the Paracas National Reserve, the Peruvian Maritime Authority issued

a national regulation in Departmental Resolution No.0103-96-DCG of 17 April 1996, which prohibited the passage of ships carrying cargoes of hydrocarbons and other polluting substances in the Paracas National Reserve sea area.



9.7 At the request of the Peruvian Maritime Authority, at its seventy-second session in May

this year, the Maritime Safety Committee approved Peru's proposal, as a special protection measure, to establish four maritime traffic separation schemes for four ports, including Puerto de Pisco which is located in an area adjacent to the Paracas National Reserve.


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PARACAS NATIONAL RESERVE

RESTRICTED AREA



LOCATION SKETCH MAP OF THE PERUVIAN COAST

PARACAS NATIONAL RESERVE

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