Summary

The Merchant Shipping (Control and Management of Ships’ Ballast Water and Sediments) Regulations 2022 (“the Regulations”), implement the requirements of the International Convention for the Control and Management of Ships’ Ballast Water and Sediments, 2004 (“BWM Convention”).

This Notice is given statutory force by the Regulations and should be read in conjunction with them and MGN 675. This Notice provides the detailed technical requirements of the obligations contained in the Regulations. It covers:

• The meaning of “IOPP renewal survey” in regulation 5 of the Regulations;
• The guidelines that must be taken into account when providing ballast water reception facilities;
• The guidelines Certifying Authorities must take into account when considering whether to approve a ballast water management plan;
• The information which must be included in a ballast water management plan;
• The information which must be recorded in ballast water record books, and the operations which must be recorded;
• Further information on ballast water exchange;
• Information on commissioning testing requirements;
• The guidelines that must be taken into account when providing sediment reception facilities;
• The procedure and requirements for type approval of Ballast Water Management Systems;
• The information which must be contained in an IBWM Certificate.

This notice has been updated with the following:

• An updated ballast water record book in Schedule 1.
• An updated section on the ballast water record book.
• An updated section on ballast water exchange.

An updated section on ballast water exchange in the North Sea.

1. Introduction

1.1 The International Convention for the Control and Management of Ships’ Ballast Water and Sediments, 2004 (“BWM Convention”) was adopted at a Diplomatic Conference held at the International Maritime Organization’s (“IMO”) headquarters in 2004 and came into force on 8 September 2017. It sets out regulations which address the spread of invasive non-native species by ships’ ballast water and sediments.

1.2 The Merchant Shipping (Control and Management of Ships’ Ballast Water and Sediments) Regulations 2022 (“the Regulations”) came into force on 29 July 2022. They implement the BWM Convention and the Code for Approval of Ballast Water Management Systems (“BWMS Code”).^{[footnote 1]}

1.3 The purpose of this document is to provide the detailed technical requirements of the obligations contained in the Regulations.

2. The International Oil Pollution Prevention Certificate (IOPP) Renewal Survey

2.1 For many ships the date by which they are required to manage ballast water through treatment is based upon the renewal date on the ships’ IOPP Certificate.^{[footnote 2]}

2.2 The “IOPP renewal survey” referred to in regulation 5 of the Regulations means the renewal survey for the ship associated with the International Oil Pollution Prevention Certificate pursuant to Annex I to the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 (MARPOL).^{[footnote 3]}

3. Ballast Water Reception Facilities

3.1 Regulation 6 provides that the Regulations do not apply to the discharge of ballast water to a reception facility of a type specified in this MSN. Specified facilities are those which have been designed taking into account the IMO’s “Guidelines for ballast water reception facilities (G5)” published in MEPC.153(55).

4. Ballast Water Management Plan

4.1 Every ship to which the Regulations apply must carry on board a ballast water management plan specific to the ship which has been approved by the flag state or, if a UK flagged ship, approved by a Certifying Authority, as detailed in regulation 9.

4.2 When considering whether to approve a ballast water management plan, Certifying Authorities must take into account the IMO’s “Guidelines for ballast water management and development of ballast water management plans (G4)” published in IMO Resolution MEPC.127(53).

4.3 In accordance with Regulation 9, the ballast water management plan must include the following:

• Safety procedures for the ship and the crew for the operation of ballast water management, A detailed description of the actions to be taken to implement the requirements of the Regulations or where a ship is not a United Kingdom ship, the Convention, including the procedures for discharge of sediments at sea and to shore,
• The procedures for coordinating ballast water management which involves discharge of any ballast water or sediments into the sea with the authorities of the State into whose waters the discharge is to take place,
• Details of the officer on board in charge of ensuring that the ballast water management plan is properly implemented, and
• The reporting requirements in regulation 31(3) and (4) (responsibilities of the owner and the master) or, where a ship is not a United Kingdom ship, Regulation E-1.7 of the BWM Convention.

5. Ballast Water Record Book

5.1 This section has been updated in line with amendments to the BWM Convention contained in IMO Resolution MEPC.369(80). These changes enter into force internationally on 1 February 2025 and are therefore a mandatory requirement from that date.

5.2 Regulation 10(1) requires ships to have on board a ballast water record book which contains the information specified in this MSN. The information it should contain is set out in Appendix II to the BWM Convention and is reproduced in Schedule 1 of this MSN.

5.3 The Regulations impose a duty to fully record each operation referred to in this MSN. The operations which must be recorded are those set out in Schedule 1, in summary:

• When ballast water is taken on board from the aquatic environment (ballasting operation)
• When ballast water is discharged into the aquatic environment (deballasting operation)
• Whenever ballast water is exchanged, treated through internal circulation or treated in tank
• Uptake or discharge of ballast water from/to a port-based or reception facility
• Accidental discharge/ingress or other exceptional uptake or discharge of ballast water
• Failures and inoperabilities of the ballast water management system
• Ballast tank cleaning/flushing, removal and disposal of sediments
• Additional operational procedures and general remarks.

5.4 As set out in Appendix II to the BWM Convention, the volume of ballast water onboard should be estimated in cubic metres and it is recognised that the accuracy of estimating volumes of ballast is left to interpretation.

5.5 Where a ship wishes to resume a period of exclusive operations within UK waters then they should follow IMO guidance BWM.2/Circ.52.

6. Ballast Water Exchange

6.1 In accordance with Regulation 5, all ships to which the Regulations apply have to meet the D2 standard.

6.2 The IMO has issued the following guidance which may apply: “Interim guidance on the application of the BWM Convention to ships operating in challenging water quality conditions” (published in IMO Resolution MEPC.387(81)) and “Guidance on contingency measures under the BWM Convention” (published in IMO Circular BWM.2/Circ.62).

6.3 As set out in Appendix II to the BWM Convention, the volume of ballast water onboard should be estimated in cubic metres and it is recognised that the accuracy of estimating volumes of ballast water is left to interpretation. Ballast water exchange in accordance with regulation 11(1) and 11(2) must take into account the IMO’s “2017 Guidelines for ballast water exchange (G6)” published in IMO Resolution MEPC.288(71).

7. Ballast Water Exchange within the North Sea

7.1 The Secretary of State may designate areas of sea in which ships may conduct ballast water exchange (regulation 11). These areas will be designated in accordance with the IMO’s “Guidelines on designation of areas for ballast water exchange (G14)” published in IMO Resolution MEPC.151(55).

7.2 Please note that the North Sea ballast water exchange area terminated on 8th September 2024 as per BWM.2/Circ.56.

7.3 Relevant member states are working to establish an intra-North Sea contingency area which will be publicised once agreed.

7.4 Operators are advised to contact relevant Port States to ensure compliance with local and national legislation. For further information please email environment@mcga.gov.uk.

7.5 Same location (Regulation 6(1)(d)(ii) and 6(2)) may assist in situations of challenging water where ballast water exchange is normally used if the ship can meet the requirements of same location.

8. International Ballast Water Management Certificate (IBWM Certificate)

8.1 The information that must be contained in the IBWM Certificate is shown in Schedule 2 of this MSN.

9. Commissioning Testing Requirements

9.1 The purpose of commissioning testing is to validate the installation of a ballast water management system (BWMS) by demonstrating that its mechanical, physical, chemical and biological processes are working properly.

9.2 Commissioning testing must be undertaken following the installation of a BWMS on board a ship. This will be confirmed during initial or additional surveys as provided for in regulations 26 and 32.

9.3 Commissioning testing must take into account the IMO’s “Guidance for the commissioning testing of ballast water management systems” (BWM.2/Circ.70/Rev.1).

10. Exemptions

10.1 The UK is accepting exemption applications.

10.2 As provided for in regulation 7 of the Regulations, a ship can apply for an exemption providing it meets the necessary criteria.

10.3 Ships wishing to apply for an exemption in UK waters or UK controlled waters should follow the approach detailed in the Joint Harmonised Procedure for the Contracting Parties of HELCOM and OSPAR on the granting of exemptions under the International Convention for the Control and Management of Ships’ Ballast Water and Sediments, Regulation A-4 (OSPAR Agreement 2015-01). This takes into account the IMO’s “Guidelines for risk assessment under regulation A-4 of the BWM Convention (G7)” published in IMO Resolution MEPC.289(71) and consolidates it into one process to ensure uniformity across the relevant member states. This document can be accessed here; https://www.ospar.org/documents?v=44007.

10.4 This sets out a common risk assessment and monitoring approach for the granting of exemptions to ships under the BWM Convention, with the aim of minimising the risk to the environment.

10.5 Ships wishing to apply for an exemption in UK waters or UK controlled waters should contact the Maritime and Coastguard Agency (MCA) via email to environment@mcga.gov.uk for details regarding the application process.

10.6 The particulars of any exemption granted to a ship must be recorded in the ballast water record book (regulation 7(5)).

11. Sediment Reception Facilities

11.1 Sediment reception facilities which are required by regulation 14 must be designated and operated in accordance with the IMO’s “Guidelines for sediment reception facilities (G1)” published in IMO Resolution MEPC.152(55).

12. Ballast Water Management System Type Approval Requirements

Scope of Approval

12.1 BWMS are outside the scope of the Merchant Shipping (Marine Equipment) Regulations 2016, but nonetheless require type approval by the MCA as the Flag Administration for UK ships. Pursuant to regulation 18, BWMS installed on UK ships must be type approved by the UK Nominated Bodies to whom the MCA has delegated responsibility for this.

Requirements for Equipment

12.2. BWMS installed on a UK ship must hold a valid BWMS Type Approval Certificate issued by a Nominated Body at the time when that equipment is installed (regulation 16).

12.3 BWMS which are installed on board a ship during the period of validity of a relevant BWMS Type Approval Certificate do not need to be renewed or replaced due to the expiration of the Certificate. However, if the system does not need to be replaced then it must be replaced with a system for which a current Type Approval Certificate is in force.

Application of Type Approval

12.4 Although the MCA has delegated type approval work to Nominated Bodies, a manufacturer wishing to obtain type approval for a BWMS should notify the MCA prior to submitting the type approval application to the Nominated Body. Notification should include supporting information on the system and can be sent to the MCA’s Clean Ship Operations team by email to environment@mcga.gov.uk.

12.5 A manufacturer wishing to obtain type approval for a BWMS must submit an application in writing to a Nominated Body (regulation 17). The application must include:

A) The name and address of the manufacturer; and

B) A written declaration that the same or a similar application has not been lodged with another Nominated Body;

12.6 The manufacturer must also provide the Nominated Body with the document specified in Part 1 of the Annex to the BWMS Code published in Annex 5 of IMO Resolution MEPC.300(72).

Assessment of Type Approval

12.7 On receipt of an application for type approval in accordance with paragraphs 12.4-12.6 above and the documentation specified in Part 1 of the Annex to the BWMS Code, a Nominated Body must:

A) Agree with the applicant the location where the examination and necessary tests are to be carried out; and

B) Perform or have performed the tests set out in Parts 2 and 3 of the Annex to the BWMS Code in accordance with the requirements of the BWMS Code.

12.8 Type approval tests must be conducted at laboratories which meet the requirements of Part 2 and Part 3 (as relevant) of the Annex to the BWMS Code. The laboratories must also be accredited for such tests by the UKAS national accreditation body, but if no such laboratory is available, a laboratory recognised by the Nominated Body as offering suitable and satisfactory guarantee of technical and professional competence, quality procedures and autonomy with particular reference to the application of ISO/IEC 17025:2005, as amended, may be used.

Issue of Type Approval

12.9 Following the testing referred to in paragraph 12.7(b), a BWMS which achieves satisfactory compliance with all the requirements described in Parts 1, 2, 3 and 4 of the Annex to the BWMS Code must be granted type approval by the Nominated Body in accordance with section 6 of the BWMS Code.

12.10 Following grant of type approval the Nominated Body must issue a BWMS Type Approval Certificate to the manufacturer (regulation 18). The BWMS Type Approval Certificate must contain the information set out in Part 7 of the Annex to the BWMS Code and be in the form contained in the Appendix to the BWMS Code. The period of validity of the BWMS Type Approval Certificate must not exceed five years (regulation 19).

12.11 If the manufacturer is refused a Type Approval Certificate, the Nominated Body must provide detailed reasons for such refusal in writing, to the manufacturer (regulation 18).

12.12 Upgrades of the BWMS that relate to the safe operation of that system may be allowed during and after type approval, but it is a condition of issue of a BWMS Type Approval Certificate that such safety upgrades must be reported to the Nominated Body who will assess the upgrade in accordance with Part 1 of the Annex to the BWMS Code.

12.13 Where a Nominated Body grants type approval, it must provide a type approval report to the MCA by email to environment@mcga.gov.uk. Type approval reports provided by Nominated Bodies must contain the information specified in Part 7 of the Annex to the BWMS Code. On issuance of type approval for a BWMS by a Nominated Body (issuing on behalf of the UK Administration), the MCA will notify the IMO as required by paragraph 6.10 of the BWMS Code and further detailed in Part 7 of the Annex to the BWMS Code.

Nominated Bodies

12.14 Nominated Bodies are those bodies which have been designated by the Secretary of State to carry out type approval of BWMS under regulation 15 of the Regulations. The designated Nominated Bodies are:

• Bureau Veritas,
• DNV GL,
• Lloyds Register,
• RINA Services S.P.A,

12.15 Contact details for the above organisations can be found here: https://www.gov.uk/guidance/uk-authorised-recognised-organisations-ros.

12.16 Each Nominated Body must provide upon request to the MCA and other Nominated Bodies the relevant information concerning the BWMS Type Approval Certificates issued and withdrawn.

13. Further Information

13.1 Additional guidance relating to the UK implementation of the BWM Convention is available in MGN 675.

More Information

Clean Ship Operations
Maritime and Coastguard Agency
Bay 2/23
Spring Place
105 Commercial Road
Southampton
SO15 1EG

Telephone: +44 (0)203 81 72000

Email: environment@mcga.gov.uk

Website: www.gov.uk/mca

General enquiries: infoline@mcga.gov.uk