MN-2-014-1 Ballast Water Plans PDF

REPUBLIC OF Marine Notice
THE MARSHALL ISLANDS

No. 2-014-1
OFFICE OF THE
MARITIME ADMINISTRATOR Rev. 12/09
TO: ALL SHIPOWNERS, OPERATORS, MASTERS AND OFFICERS OF

MERCHANT SHIPS, AND RECOGNIZED ORGANIZATIONS
SUBJECT: Ballast Water Management Plans.
References: (a) BWM/CONF/36 and 37 dated 16 February 2004

(b) Assembly Resolution A.868(20) dated 28 November 1997
(c) Assembly Resolution A.774(18) dated 4 November 1993
(d) MEPC/Circ. 288 dated 10 May 1995
(e) TP13617E, Canadian Ballast Water Management Guidelines, dated
8 June 2001
(f) MSC/Circ. 1145 dated 13 December 2004
(g) 33 CFR 151, Subparts C and D, dated 19 November 2009
(h) EPA National Discharge Elimination System Vessel General Permit
(VGP) for Discharges Incidental to the Normal Operations of a Vessel
(NPDES), Section 401 Certifications
PURPOSE:
The International Convention for the Control and Management of Ships’ Ballast Water &
Sediments (Convention) was adopted by consensus at the International Maritime Organization
(IMO) on 13 February 2004 (see reference (a) above). On 6 November 2009, the Republic of the
Marshall Islands acceded to the Convention. The Convention will enter into force 12 months after
ratification by 30 States, representing 35% of the world gross tonnage.
This Notice details the Administration’s requirements to help prevent the uncontrolled
discharge of ballast water containing unwanted aquatic organisms and pathogens, thus minimizing
the risk of their unwanted transfer and establishment in other locations. It specifically requires
Marshall Islands flag vessels to apply the IMO “Guidelines for Preventing the Introduction of
Unwanted Aquatic Organisms and Pathogens from Ships’ Ballast Water and Sediment Discharges”
and establish Ballast Water Management Plans (BWMPs).
Ballast water and sediment discharge controls are already in place in Australia, Brazil, and
Canada, including the Great Lakes, and the St. Lawrence Seaway. The United States (U.S.)
currently requires mandatory ballast water management practices for all vessels equipped with
ballast water tanks bound for ports or places within the U.S. or entering U.S. waters and requires
ballast water discharge controls under its National Pollution Discharge Elimination System
(NPDES) Vessel General Permit (VGP) for Discharges Incidental to the Normal Operations of a
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Inquiries concerning the subject of this Notice should be directed to the Office of the Maritime Administrator, Republic of the Marshall
Islands, c/o Marshall Islands Maritime and Corporate Administrators, Inc., 11495 Commerce Park Drive, Reston, VA 20191-1507 USA.
MI-01, 8/06
Vessel (see reference (k), above). Individual states within the U.S. also regulate ballast water; and
these regulations often differ from those imposed by the federal government (see Attachment F).
As of this writing, the USCG is considering a proposed standard for living organisms in
ballast waters. The standard, if adopted as proposed, would permit foreign-flag vessels to utilize
their Ballast Water Management Systems (BWMSs) to discharge ballast water into U.S. waters only
if the U.S. Coast Guard (USCG) determines that the Foreign Administration’s approval
process is equivalent to the USCG’s approval program.
The only BWMS recognized by the Administration is the VOS-2500, manufactured by NEI
Treatment Systems, LLC. The Administration is currently working with the USCG to ensure that
this BWMS meets the USCG’s expected test of equivalency.
Because the comment period for the USCG’s proposed rule (74 Federal Register 46964-
44672) does not close until 4 December 2009, and it is unclear as to how long it will take the agency
to assimilate and act on the comments to produce a final rule, the Administration is publishing this
Notice with the intent of updating it once the USCG’s requirements are final.
This Notice supersedes the original issue of 12/06 and reflects changes resulting from the
Marshall Islands accession to the Convention and the addition of new reference (h) above and
Attachment F.
APPLICABILITY:
This Notice applies to all Shipowners, Operators, Masters and Officers of Merchant Ships
operating or serving aboard all ships which carry ballast water, with exceptions for vessels operating
between specific ports or trading in specific areas or carrying permanent ballast. For those vessels
engaged in trade, which take them into the territorial waters of the U.S., Canada, Brazil, or Australia,
BWMPs must be implemented.
REQUIREMENTS:
1.0 MI-Specific Requirements
1.1 All owners and Masters are required to apply the appropriate provisions of the “Guidelines
for Preventing the Introduction of Unwanted Aquatic Organisms and Pathogens from Ships’
Ballast Water and Sediment Discharge” found in reference (c) above.
1.2 Owners and Masters engaged in trade within the waters of the U.S. Canada, Brazil or
Australia must implement BWMPs (see section 3.0, below).
1.3 The Administration strongly recommends that ship owners, operators and Masters become
familiar with the requirements of port State authorities regarding ballast water and sediment
management and control procedures relative to the vessel’s ports of call, including
information that will be needed to obtain clearance.
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The Republic of the Marshall Islands
1.4 Classification Societies are urged to include provisions for ballast water exchange and
sediment discharge system design and procedures in their rule requirements providing to the
ship’s Master the necessary information for same in the ship’s Stability Booklet.
1.5 Port State authorities are encouraged to provide information to vessel owners, operators and
Masters regarding any ballast water and sediment management requirements.
1.6 Vessels fitted with the Administration-approved BWTS should carry the Type Approval
Certificate on board at all times. A reference to the test protocol and a copy of the test
results should be available for inspection on board the vessel.
2.0 Guidance On Safety Aspects Of Ballast Water Exchange At Sea
2.1 Ship’s Masters and officers involved in ballast water exchange at sea are instructed to read
the IMO guidance contained in Attachment A, Guidance on Safety Aspects of Ballast Water
Exchange at Sea, and to work with the vessel owners and operators to ensure that the vessel-
specific instructions are accurate and reflect the safety aspects identified in this document.
3.0 Ballast Water Management Plan (BWMP) Standards
3.1 Each ship should have on board and implemented a BWMP. Such a Plan should be
approved by the RO of the vessel, taking into account the aforementioned Guidelines
developed by the IMO. If the ship is engaged in trade which takes it into the territorial
waters of the U.S., Canada, Brazil, or Australia, the BWMP should be specific to each ship
and should at least consist of the following:
.1 safety procedure details for the ship and the crew associated with Ballast Water
Management (BWM) as required by the International Convention for the Control and
Management of Ships’ Ballast Water & Sediments;
.2 a detailed description of the actions to be taken to implement the BWM requirements

and supplement BWM practices as set forth in the Convention;
.3 detailed procedures for the disposal of sediments:
.1 at sea; and
.2 to shore;
.4 procedures for coordinating shipboard BWM that involves discharge to the sea with
the authorities of the State into whose waters such discharge will take place;
.5 designation of the officer on board in charge of ensuring that the plan and records are
properly implemented and maintained;
.6 reporting requirements for ships provided for under the Convention; and
.7 be written in the working language of the ship. If the working language is not
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English, French or Spanish, a translation into one of these languages should be
included.
3.2 In addition to the above, the BWMP should include guidance on the following matters:
1. Foreword or Introduction – brief introduction for crew including the statement “This
plan shall be kept available for inspection on request by the flag administration, a
port State control officer or other authorized organization.”;
2. Ship Particulars;
3. Ballast water arrangements onboard;
4. Ballast water sampling points; and
5. Crew training and familiarization.
4.0 Ship Operations
4.1 Ship operation manuals shall include reference to the appropriate attached Guidelines, and to
the need to comply with any ballast water and sediment discharge procedures imposed by
coastal or port State Authorities. Responsibility for deciding on the appropriate ballast water
and sediment removal actions shall rest with the Master, taking into account prevailing
safety, stability and structural factors and influence at the time as emphasized in the IMO
Circular referred to in reference (d) above.
4.2 Where a coastal or port State authority requests or requires that specific ballast water
procedures and or treatment option(s) be undertaken and, due to weather, sea conditions or
operational impracticability such action can not be taken, the Master shall report this fact to
the coastal State authority as soon as possible and where appropriate prior to entering seas
under the jurisdiction of said coastal State.
4.3 To facilitate the administration of ballast water management and treatment procedures on
board, a responsible officer shall be appointed to maintain records and to ensure ballast
water management and or treatment procedures are followed and accurately recorded.
4.4 When loading ballast, every effort shall be made to ensure that only clean ballast water is
being taken on and that the uptake of sediment with the ballast water is minimized. Where
practicable, ships shall endeavor to avoid taking on ballast water in shallow water areas,
where propellers may stir up sediment, or in the vicinity of dredging operations, to reduce
the likelihood that the water will contain silt, which may harbor the cysts of unwanted
aquatic organisms and pathogens, and to otherwise reduce the probability that unwanted
aquatic organisms and pathogens are present in the water. Areas with pods of whales,
convergence zones, boundaries of major currents, where there is a known outbreak of
diseases communicable through ballast water, nearby sewage outfalls, when a tidal stream is
known to be more turbid, or in which phytoplankton blooms are occurring, should be areas
to avoid wherever practicable as a source of ballast. In addition, the uptake of ballast water
should be avoided or minimized in darkness when bottom-dwelling organisms may rise up in
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the water column.
4.5 Where practicable, routine cleaning of the ballast tank to remove sediments should be carried
out at sea or under controlled arrangements in port or dry dock, on a regular basis, in
accordance with the BWMP. The amount of sediments in a ballast tank should be monitored
and removed on a timely basis to avoid build-ups. A record should be maintained of the
removal and disposal of sediments from tanks.
4.6 Ballast Water exchange shall be conducted, whenever possible, at least 200 nautical miles
(nm) from the nearest land and in deep open ocean. In sea areas where the ships are not able
to conduct exchange as above, or when exchange is not practicable, the port State may
designate areas, in consultation with adjacent or other States, as appropriate, where a ship
may conduct Ballast Water exchange.
4.7 When the sequential method of Ballast Water exchange is employed, all of the ballast water
should be discharged until suction is lost, and stripping pumps or eductors should be used if
possible. Where the flow-through or dilution method is employed in open ocean by pumping
ballast water into the tank and allowing water to overflow, at least three times the tank
volume should be pumped through the tank; or less than three times if the ship has
demonstrated that at least 95% volumetric exchange has been met. Other ballast exchange
options may be used if approved by the coastal State. The voyage should be planned taking
into account when ballast water exchange can be carried out, bearing in mind there is no
obligation of a ship to deviate from its voyage to carry out ballast water exchange.
4.8 The Guidelines for Ballast Water Exchange, are expected to include, at an appropriate time,
precautionary advice to Masters when undertaking Ballast Water Exchange sequences that
involve periods when the criteria for propeller immersion, minimum draft and/or trim and
bridge visibility cannot be met:
.1 During ballast water exchange sequences there may be times when, for a transitory
period, one or more of the following criteria cannot be fully met or are found to be
difficult to maintain:
.1 bridge visibility standards (SOLAS V/22);
.2 propeller immersion; and
.3 minimum draft forward.
.2 As the choice of acceptable Ballast Water Exchange sequences is limited for most
ships, it is not always practicable to dismiss from consideration those sequences
where transitory non-compliance may occur. The practical alternative would be to
accept such sequences provided an appropriate note is placed in the BWMP to alert
the ship’s Master. The note would advise the Master of the nature of the transitory
non-compliance, that additional planning may be required and that adequate
precautions need to be taken when using such sequences.
.3 In planning a Ballast Water Exchange operation that includes sequences which

involve periods when the criteria for propeller immersion, minimum draft and/or trim
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and bridge visibility cannot be met, the Master should assess:
.1 the duration(s) and time(s) during the operation that any of the criteria will
not be met;
.2 the effect(s) on the navigational and maneuvering capabilities of the ship;

and
.3 the time to complete the operation.
.4 A decision to proceed with the operation should only be taken when it is anticipated
that:
.1 the ship will be in open water;
.2 the traffic density will be low;
.3 an enhanced navigational watch will be maintained including if necessary an

additional look out forward with adequate communications with the
navigation bridge;
.4 the maneuverability of the vessel will not be unduly impaired by the draft and
trim and/or propeller immersion during the transitory period; and
.5 the general weather and sea state conditions will be suitable and unlikely to
deteriorate.
4.9 When Ballast Water exchange or treatment using an approved BWMS is not possible, ballast
water must be retained in tanks. Should this not be possible, the ship shall only discharge
the minimum essential amount of ballast water in accordance with the coastal States’
contingency strategies. If reception facilities for ballast water and/or sediments are provided
by a coastal State, they should be utilized.
4.10 If suitable new and emergent treatment and technologies prove viable, these may substitute
for, or be used in conjunction with, current options with the Administration’s endorsement.
Results concerning the application and effectiveness of new BWM technologies and
associated control equipment should be made available to the Administration which will, in
turn, forward the information to the IMO with a view to evaluation and incorporation.
4.11 Each ship shall have on board a Ballast Water Record Book that may be an electronic record
system or that may be integrated into another record book or system. The Ballast Water
Record Book shall at least contain the information specified in Appendix II of the
International Convention for the Control and Management of Ships’ Ballast Water &
Sediments (see Attachment B). Ballast Water Record Book entries shall be maintained on
board for a minimum of two years. In the event of a ballast water discharge not otherwise
exempted by regulations, an entry shall be made in the Ballast Water Record Book
describing the circumstances of, and reason for, the discharge.
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4.12 The Ballast Water Record Book shall be kept readily available for inspection at all times
and, in the case of an unmanned ship under tow, may be kept on the towing vessel. Each
operation concerning ballast water shall be entered and signed by the officer 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 the working language of the ship.
4.13 The samples used to determine the salinity of loaded ballast water should be obtained,
wherever possible, from the ballast tanks themselves or from a supply piping tap. Surface
seawater samples should not be taken as indicative of the water in the ballast tanks since
seawater salinity may vary significantly with depth. The location and suitable access points
for sampling ballast or sediment should be described in the BWMP.
4.14 Subject to accessibility, all sources of sediment retention such as anchors, cables, chain
lockers and suction wells should be cleaned routinely to reduce the possibility of spreading
contamination. Where sediment samples are required necessitating entry into tank spaces,
great care should be taken to ensure the safety of those personnel assigned to take the
samples.
5.0 Training and Education
5.1 The application of processes and procedures concerning BWM are currently at the core of
the solution to minimize the introduction of harmful aquatic organisms and pathogens.
Training for ship’s masters and crews should include instructions on the application of
ballast water and sediment management, ballast water exchange, and treatment procedures.
Instruction should also be provided on the maintenance of appropriate records and logs.
Marine training organizations provide such instruction.
6.0 United States Requirements
6.1 The USCG has implemented under 33 CFR, Part 151, Subpart D, a mandatory BWM
Program for all vessels equipped with ballast water tanks bound for ports or places within the
U.S. and/or entering U.S. waters from outside the EEZ. The regulations require such vessels
to submit a report (see Attachment C) documenting shipboard BWM practices prior to the
vessel entering the first port of call in waters of the U.S.
6.1.1 Each vessel subject to this rule is required to develop and maintain an approved BWMP, and
employ at least one of the following BWM practices:
.1 Prior to discharging ballast water in U.S. waters, perform complete ballast water
exchange in an area no less than 200 nm from any shore;
.2 Retain ballast water onboard the vessel;
.3 Prior to the vessel entering U.S. waters, use an alternative environmentally sound
method of BWM that has been approved by the USCG.
6.1.2 Any vessel that cannot reasonably conduct a ballast water exchange due to a voyage that
does not take it into waters at least 200 nm from any shore for a sufficient length of time, or
due to safety concerns (weather, equipment failure, extraordinary conditions, etc) must retain
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its ballast onboard, or use an alternative environmentally sound method of BWM that has
been approved by the USCG. The vessel will not be prohibited from discharging the
minimum amount of its ballast water necessary to maintain the safety of the vessel in areas
other than the Great Lakes and the Hudson River. Only the amount of ballast water
operationally necessary for safety concerns may be discharged, followed by an entry in the
ballast water records supporting the reasons why the vessel could not comply with the
regulatory requirements.
6.2 The USCG specifically addresses BWM requirements for vessels operating in the Great
Lakes and Hudson River under 33 CFR, Part 151, Subpart C. However, the reporting
requirements for these vessels are contained in 33 CFR, Part 151, Subpart D. Vessels
operating in the Great Lakes and Hudson River have two options for reporting: 1) by
submission of the USCG’s standard report form (see Attachment C); or 2) by the submission
of the St. Lawrence Seaway required “Pre-entry Information from Foreign Flagged Vessels
Form” (see Attachment D).
6.2.1 The Master, owner, operator, agent, or person-in-charge of a vessel to which this regulation
applies shall provide the required information in electronic or written form to the appropriate
recipient as detailed in the Appendix to Subpart D of USCG 33 CFR 151 as follows:
.1 Any vessel bound for the Great Lakes from outside the EEZ (which includes the
equivalent zone of Canada):
a. Fax the required information at least 24 hours before the vessel arrives in
Montreal, Quebec to either the USCG COTP Buffalo, Massena Detachment
(315-769-5032), or the St. Lawrence Seaway Development Corporation
(315-764-3250)
b. Marshall Islands Flagged vessels may complete the ballast water information
section of the St. Lawrence Seaway required “Pre-entry Information from
Foreign Flagged Vessels Form” and submit it in accordance with the
applicable Seaway Notice in lieu of this requirement.
.2 Any vessel bound for the Hudson River north of the George Washington Bridge
entering from outside the EEZ (which includes the equivalent zone of Canada):
a. Fax the required information at least 24 hours before the vessel enters
New York, New York to the COTP New York (718-354-4249).
.3 Any vessel bound for all U.S. ports, other than the Great Lakes and Hudson River
north of the George Washington Bridge, from outside the EEZ (which includes the
equivalent zone of Canada):
a. For voyages less than 24 hours, the report must be sent prior to departing the
port of departure; for voyages in excess of 24 hours, the report must be sent
at least 24 hours prior to arrival at the port or place of destination.
b. All required information is to be sent to the National Ballast Information
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Clearinghouse (NBIC) using one of the following means:
i. Internet at: http://invasions.si.edu/NBIC/bwform.html
ii. Email to NBIC@BALLASTREPORT.ORG
iii. Fax to 301-261-4319
iv. Mail to U.S. Coast Guard, c/o SERC (Smithsonian Environmental

Research Center), P.O. Box 28, Edgewater, MD 21037-0028
6.3 Penalty provisions for vessels that fail to submit a Ballast Water Management Report apply.
A civil penalty up to, but not to exceed $27,500 (US) per day may be assessed to any vessel
found in violation of the mandatory provisions of 33 CFR, Part 151, Subpart C and/or D. An
individual who knowingly violates these requirements is also guilty of a class C felony.
6.4 Individual States within the United States
Section 401 of the Federal Clean Water Act (CWA) provides individual states within the
United States broad authority to impose conditions on federally permitted activities.
Moreover, the CWA specifically prohibits federal preemption of state law. As a result, a
number of states have imposed ballast water requirements that differ and, in some cases, are
more stringent that federal or international standards. A summary of these state
requirements is provided in Attachment F.
.1 Vessels operating in waters of these states must be in compliance with their

requirements.
7.0 Canadian Requirements
7.1 Attachment E, ”The Canadian Ballast Water Management Guidelines,” dated 8 June 2001,
contains the Guidelines for the Control of Ballast Water Discharge from Ships in Waters
under Canadian Jurisdiction. The Guidelines apply to all vessels entering Canada’s
exclusive economic zone from seaward, and were implemented on 1 September 2000,
rescinding and superseding MEPC/Circ. 217. Vessels transiting waters under Canadian
jurisdiction bound for Great Lakes ports in compliance with the mandatory ballast water
regime of the United States fulfill the requirements of these guidelines.
8.0 Brazilian Requirements
8.1 The Administration of Brazil issued a communication to the IMO concerning

mandatory national legislation pertaining to requirements for ballast water exchange,
which has been circulated to the Member States via BWM.2/Circ.1 (link:
http://www.imo.org/includes/blastDataOnly.asp/data_id%3D13081/1.pdf) dated
22 September 2005.
8.2 Therefore, if there is any concern regarding an MI flagged vessel entering into
Brazilian territorial waters, with respect to the requirement for a BWMP, ship
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owners, operators and managers are advised to contact the Classification Society of
that ship to request a review of the BWMP for compliance with Regulation B-1 of
the BWM Convention. Although presently the approvals cannot be carried out on
behalf of the Marshall Islands Administration, the Class review will serve as
evidence of compliance and should be sufficient to meet these local requirements.
9.0 BWM Requirements for Other Jurisdictions
9.1 BWM requirements are mandatory for all vessels entering Australian territorial waters. For
more information contact the Australian Quarantine and Inspection Service (AQIS) at
www.aqis.gov.au/shipping.
9.2 Other jurisdictions, such as Israel, New Zealand, the Ukraine, Georgia and Argentina, have
BWM requirements for vessels entering their territorial waters, so it is important to ascertain
the requirements of any area into which a vessel is heading.
10.0 Attachments
• Attachment A, IMO Guidance on Safety Aspects of Ballast Water Exchange at Sea

• Attachment B, IMO Ballast Water Record Book
• Attachment C, U.S. Ballast Water Reporting Form
• Attachment D, U.S. Great Lakes Ballast Water Reporting
• Attachment E, Guidelines for the Control Of Ballast Water Discharges from Ships in Waters
under Canadian Jurisdiction
• Attachment F, U.S. States’ Ballast Water Standards and Treatment Requirements
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A.20 Res.868 Annex
Attachment A
IMO Guidance on Safety Aspects of Ballast Water Exchange at Sea
1.0 Introduction
1.1 This document is intended to provide guidance on the safety aspects of ballast water
exchange at sea. The different types of ships which may be required to undertake ballast water
exchange at sea make it presently impractical to provide specific guidelines for each ship type.
Shipowners are cautioned that they should consider the many variables that apply to their ships.
Some of these variables include type and size of ship, ballast tank configurations and associated
pumping systems, trading routes and associated weather conditions, port State requirements and
manning.
1.2 Ballast water exchange at sea procedures contained in relevant management plans should be
individually assessed for their effectiveness from the environmental protection point of view as well
as their acceptability in terms of structural strength and stability.
1.3 In the absence of a more scientifically based means of control, exchange of ballast water in
deep ocean areas or open seas currently offers a means of limiting the probability that fresh water or
coastal aquatic species will be transferred in ballast water. Two methods of carrying out ballast
water exchange at sea have been identified:
.1 the sequential method in which ballast tanks are pumped out and refilled with clean
water; and/or
.2 the flow through method in which ballast tanks are simultaneously filled and
discharged by pumping in clean water.
2.0 Safety Precautions
2.1 Ships engaged in ballast water exchange at sea should be provided with procedures which
account for the following, as applicable:
.1 avoidance of over and under pressurization of ballast tanks;
.2 free surface effects on stability and sloshing loads in tanks that may be slack at any
one time;
.3 admissible weather conditions;
.4 weather routing in areas seasonally affected by cyclones, typhoons, hurricanes, or

heavy icing conditions;
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A 20 Res.868 Annex
.5 maintenance of adequate intact stability in accordance with an approved trim and

stability booklet;
.6 permissible seagoing strength limits of shear forces and bending moments in

accordance with an approved loading manual;
.7 torsional forces, where relevant;
.8 minimum/maximum forward and aft draughts;
.9 wave induced hull vibration;
.10 documented records of ballasting and/or de-ballasting;
.11 contingency procedures for situations which may affect ballast water exchange at
sea, including deteriorating weather conditions, pump failure, loss of power, etc.;
.12 time to complete the ballast water exchange or an appropriate sequence thereof,
taking into account that the ballast water may represent 50% of the total cargo
capacity for some ships; and
.13 monitoring and controlling the amount of ballast water.
2.2 If the flow through method is used, caution should be exercised, as:
.1 air pipes are not designed for continuous ballast water overflow;
.2 current research indicates that pumping of at least three full volumes of the tank
capacity could be needed to be effective, when filling clean water from the bottom
and overflowing from the top;
.3 certain watertight and weathertight closures (e.g., manholes) which may be opened
during ballast exchange, should be re-secured.
2.3 Ballast water exchange at sea should be avoided in freezing weather conditions. However,
when it is deemed absolutely necessary, particular attention should be paid to the hazards associated
with the freezing of overboard discharge arrangements, air pipes, ballast system valves together with
their means of control, and the accretion of ice on deck.
2.4 Some ships may need the fitting of a loading instrument to perform calculations of shear
forces and bending moments induced by ballast water exchange at sea and to compare with the
permissible strength limits.
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A 20 Res.868 Annex
2.5 An evaluation should be made of the safety margins for stability and strength contained in
allowable seagoing conditions specified in the approved trim and stability booklet and the loading
manual, relevant to individual types of ships and loading conditions. In this regard, particular
account should be taken of the following requirements:
.1 stability to be maintained at all times to values not less than those recommended by
the Organization (or required by the Administration);
.2 longitudinal stress values not to exceed those permitted by the ship’s classification
society with regard to prevailing sea conditions; and
.3 exchange of ballast in tanks or holds where significant structural loads may be

generated by sloshing action in the partially filled tank or hold to be carried out in
favorable sea and swell conditions such that the risk of structural damage is
minimized.
2.6 The BWMP should include a list of circumstances in which ballast water exchange should
not be undertaken. These circumstances may result from critical situations of an exceptional nature
or force majeure due to stress of weather or any other circumstances in which human life or safety of
the ship is threatened.
3.0 Crew Training and Familiarization
3.1 The BWMP should include the nomination of key shipboard control personnel undertaking
ballast water exchange at sea.
3.2 Ship’s officers and ratings engaged in ballast water exchange at sea should be trained and
familiarized as follows:
.1 with the ship’s pumping plan which show ballast pumping arrangements with
positions of associated air and sounding pipes, positions of all compartment and tank
suctions and pipelines connecting them to ship’s ballast pumps and, in the case of use
of the flow through method of ballast water exchange, the openings used for release
of water from the top of the tank together with overboard discharge arrangements;
.2 with the method of ensuring that sounding pipes are clear, air pipes and their non-
return devices are in good order;
.3 with the different times required to undertake the various ballast water exchange
operations;
.4 with the methods in use for ballast water exchange at sea if applicable with particular
reference to required safety precautions; and
.5 with the method of on-board ballast water record keeping, reporting and recording of
routine soundings.
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BWM/CONF.36
ANNEX
Attachment B
IMO Ballast Water Record Book
INTERNATIONAL CONVENTION FOR THE CONTROL AND

MANAGEMENT OF SHIPS’ BALLAST WATER AND SEDIMENTS
Period From: To:
Name of Ship
IMO number
Gross tonnage
Flag
Total Ballast Water capacity (in cubic meters)
The ship is provided with a BWMP
Diagram of ship indicating ballast tanks:
1.0 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.
2.0 Ballast Water and BWM
“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 shall be in accordance with an
approved BWMP and taking into account Guidelines* developed by the Organization.
* Refer to the Guidelines for the control and management of ships’ ballast water to minimize the transfer of harmful
aquatic organisms and pathogens adopted by the Organization by resolution A.868(20).
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3.0 Entries in the Ballast Water Record Book
Entries in the Ballast Water record book shall be made on each of the following occasions:
3.1 When Ballast Water is taken on board:
.1 Date, time and location port or facility of uptake (port or lat/long), depth if outside
port
.2 Estimated volume of uptake in cubic meters
.3 Signature of the officer in charge of the operation.
3.2 Whenever Ballast Water is circulated or treated for BWM purposes:
.1 Date and time of operation
.2 Estimated volume circulated or treated (in cubic meters)
.3 Whether conducted in accordance with the BWMP
.4 Signature of the officer in charge of the operation
3.3 When Ballast Water is discharged into the sea:
.1 Date, time and location port or facility of discharge (port or ]at/long)
.2 Estimated volume discharged in cubic metres plus remaining volume in cubic meters
.3 Whether approved BWMP had been implemented prior to discharge
.4 Signature of the officer in charge of the operation.
3.4 When Ballast Water is discharged to a reception facility:
.1 Date, time, and location of uptake
.2 Date, time, and location of discharge
.3 Port or facility
.4 Estimated volume discharged or taken up, in cubic meters
.6 Signature of officer in charge of the operation
Rev. 12/09 15 of 48 2-014-1

3.5 Accidental or other exceptional uptake or discharges of Ballast Water:
.1 Date and time of occurrence
.2 Port or position of the ship at time of occurrence
.3 Estimated volume of Ballast Water discharged
.4 Circumstances of uptake, discharge, escape or loss, the reason therefore and general
remarks.
.6 Signature of officer in charge of the operation
3.6 Additional operational procedure and general remarks
4.0 Volume of Ballast Water
The volume of Ballast Water onboard should be estimated 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.
Rev. 12/09 16 of 48 2-014-1

5.0 Ballast Water Handling Log
Record of Ballast Water Operations
Name of Ship:
Port of Registry:
IMO #:
Estimated Operation in
Location of Ship Tank Remarks / Additional
Date Time (Port or Lat & Long) Volume (m3) accord w/ Signature of Officer in Charge
Location (Uptake/Circ/Disch) Description of Operations BWM plan
Rev. 12/09 17 of 48 2-014-1

Attachment C
U.S. Ballast Water Reporting Form
OMB Control Number 1625-0069
BALLAST WATER REPORTING FORM
IS THIS AN AMENDED BALLAST REPORTING FORM? YES NO
1. VESSEL INFORMATION 2. VOYAGE INFORMATION 3. BALLAST WATER USAGE AND CAPACITY
Vessel Name: Arrival Port: Specify Units Below (m3, MT, LT, ST)
IMO Number: Arrival Date: Total Ballast Water on Board:
Owner: Agent: Volume Units No. of Tanks in Ballast
Type: Last Port: Country of Last Port:
GT: Total Ballast Water Capacity:
Call Sign: Next Port: Country of Next Port: Volume Units Total No. of Tanks on Ship
Flag:
4. BALLAST WATER MANAGEMENT Total No. Ballast Water Tanks to be discharged:
Of tanks to be discharged, how many: Underwent Exchange: Underwent Alternative Management:
Please specify alternative method(s) used, if any:
If no ballast treatment conducted, state reason why not:
Ballast management plan on board? YES NO Management plan implemented? YES NO
IMO ballast water guidelines on board [res. A.868(20)]? YES NO
5. BALLAST WATER HISTORY: Record all tanks to be deballasted in port state of arrival; IF NONE, GO TO #6 (Use additional sheets as needed)
Tanks/Holds BW SOURCE BW MANAGEMENT PRACTICES BW DISCHARGE
List multiple DATE PORT or VOLUME TEMP DATE ENDPOINT VOLUME % METHOD SEA DATE PORT or VOLUME SALINITY
sources/tanks D/M/YYYY LAT. LONG. (units) (units) D/M/YYYY LAT. LONG. (units) Exch. (ER/FT/ALT) HT. D/M/YYYY LAT. LONG. (units) (units)
separately (m)
C sg
C sg
C sg
C sg
C sg
C sg
C sg
Ballast Water Tank Codes: Forepeak = FP, Aftpeak = AP, Double Bottom = DB, Wing = WT, Topside = TS, Cargo Hold = CH, Other = O
6. RESPONSIBLE OFFICER’S NAME AND TITLE, PRINTED AND SIGNATURE:
Released 08-June-2004
Rev. 12/09 18 of 48 2-014-1
Completion Instructions for Ballast Water Reporting Form
(Please write in English and PRINT legibly.)
Is this an Amended Ballast Reporting Form?: Check Yes or No. Amendments should be submitted if there are any
differences between actual ballast discharges and discharge information reported in a prior form. Please mark “Yes” if
this form amends a previously submitted ballast reporting form.
SECTION 1. VESSEL INFORMATION
Vessel Name: Print the name of the vessel clearly.
IMO Number: Fill in identification number of the vessel used by the International Maritime Organization.
Owner: Write in the name of the registered owner(s) of the vessel. If under charter, enter Operator name.
Type: List specific vessel type. Use the following abbreviations: bulk (bc), roro (rr), container (cs), tanker (ts),
passenger (pa), oil/bulk ore (ob), general cargo (gc), reefer (rf). Write out any additional vessel types.
GT: What is the Gross Tonnage of the vessel?
Call Sign: Write in the official call sign.
Flag: Fill in the full name of the country under whose authority the ship is operating. No abbreviations please.
SECTION 2. VOYAGE INFORMATION
Arrival Port: Write in the name of your first port of call after entering the U.S. EEZ or St. Lawrence Seaway.
No abbreviations please.
Arrival Date: Fill in the arrival date to the above port. Please use European date format (D/M/YYYY).
Agent: List agent used for current port.
Last Port: Fill in the last port at which the vessel called immediately before entering the U.S. EEZ.
Country of Last Port: Fill in the last country at which the vessel called immediately before entering the U.S. EEZ.
Next Port: Fill in the port at which the vessel will call immediately after departing the current port (“Current Port” =
“Arrival Port” above). No abbreviations please.
Country of Next Port: Fill in the country of “Next Port” at which the vessel will call immediately after current port.
SECTION 3. BALLAST WATER
Total Ballast Water on Board:
Volume: What was the total volume of ballast water on board upon arrival into the waters of U.S. EEZ? Do not
count potable water.
Rev. 12/09 19 of 48 2-014-1

Units: Please include volume units (m3, MT, LT, ST).
Number of Tanks in Ballast: Count the number of ballast tanks and holds with ballast as vessel enters waters
inside the United States EEZ.
Total Ballast Water Capacity:
Volume: What is the maximum volume of ballast water used when no cargo is on board? Units: Please include
volume units (in’, MT, LT, ST).
Total Number of Tanks on Ship: Count all tanks and holds that can carry ballast water (do not include tanks that
carry potable water).
SECTION 4. BALLAST WATER MANAGEMENT
Total No. of tanks to be discharged: Count only tanks and holds with ballast to be discharged into waters inside the
United States EEZ or into an approved reception facility. Count all tanks and holds separately (e.g., port and
starboard tanks should be counted separately).
Of tanks to be discharged, how many Underwent Exchange: Count all tanks that are to be discharged into waters
of the United States or into an approved reception facility.
Of tanks to be discharged, how many Underwent Alternative Management: Count all tanks that are to be
discharged into waters of the United States or an approved reception facility.
Please specify alternative method(s) used, if any: Specifically, describe methods other than Empty/Refill or Flow-
Through used for ballast management.
If no ballast treatment conducted, state reason why not: This applies to all unexchanged tanks and holds being
discharged into waters of the United States or into an approved reception facility.
Ballast Management Plan on board?: Is there a written document on board, specific to your vessel, describing the
procedure for ballast management? This should include safety and exchange procedures (usually provided by vessel’s
owner or operator). Check Yes or No.
Management Plan implemented?: Do you follow the above management plan? Check Yes or No.
IMO Ballast Water Guidelines on board?: Is there a copy of the International Maritime Organization (IMO) Ballast
Water Guidelines on board this vessel (i.e. “Guidelines for the Control and Management of Ship’s Ballast Water to
Minimize the Transfer Aquatic Organisms and Pathogens”, [Res. A.868(20)])? Check Yes or No.
SECTION 5. BALLAST WATER HISTORY
(Record all tanks to be deballasted in port state of arrival: If none, go to #6)
Tanks/Holds: Please list all tanks and holds that you have discharged or plan to discharge into waters of the United
States or into an approved reception facility (write out, or use codes listed below table). Follow each tank across the
page listing all source(s), exchange events, and/or discharge events separately. List each tank on a separate line. Port
and starboard tanks with identical ballast water histories may be included on same line. Please use an additional page
if necessary, being careful to include ship name, date, and IMO number at the top of each. For tanks with multiple
sources: list 3 largest sources from last 30 days on separate lines. If more than 3 sources, include a 4th line for the
respective tank(s) that indicated “Multiple” in port column and list the remaining tank volume not included in the 3
largest sources (i.e., total tank volume minus volume of the 3 largest sources). See example #1 on sample ballast
Rev. 12/09 20 of 48 2-014-1

reporting form.
-BW SOURCES-
Date: Record date of ballast water uptake. Use European format (D/M/YYYY).
Port or latitude/longitude: Record location of ballast water uptake. No abbreviations for ports.
Volume: Record total volume of ballast water uptake, with volume units.
Temp: Record water temperature at time of ballast water uptake, in degrees Celsius (include units).
-BW MANAGEMENT PRACTICES-
Date: Date of ballast water management practice. If exchanges occurred over multiple days, list the day when
exchanges were completed. Use European format (D/M/YYYY).
Endpoint or latitude/longitude: Report location of ballast water management practice. If an exchange occurred over
an extended distance, list the end point latitude and longitude.
Volume: Report total volume of ballast water moved (i.e., gravitated and pumped into tanks, discharged to reception
facility) during management practice, with units.
% Exch.: (Note: for effective flow through exchange, this value should be at least 300%).
Total Volume added by Refill or Flow Through

% Exchange = x (100%)
Capacity of Ballast Tank or Hold
Method: Indicate management method using code (ER = empty/refill, FT = flow through, ALT = alternative method).
Sea Ht. (m): Estimate the sea height in meters at the time of the ballast water exchange if this method was used.
(Note: this is the combined height of the wind-seas and swell, and does not refer to water depth).
-BW DISCHARGES-
Date: Date of ballast water discharge. Use European format (D/M/YYYY).
Port or latitude/longitude: Report location of ballast water discharge. No abbreviations for ports.
Volume: Report volume of ballast water discharged, with units.
Salinity: Document salinity of ballast water at the time of discharge, with units (i.e., specific gravity (sg) or parts per
thousand (ppt)).
SECTION 6. TITLE AND SIGNATURE
Responsible officer’s name and title (printed) and signature: Print name and title, include signature.
(Signature not necessary on electronic forms.)
Rev. 12/09 21 of 48 2-014-1

WHERE TO SEND THIS FORM
Vessels bound for the Great Lakes
United States or Canadian Flag vessel bound for the Great Lakes
Fax the form to the COTP Buffalo, Massena Detachment 315-769-5032 at least
24 hours before the vessel arrives in Montreal, Quebec.
Any other Flag vessel bound for the Great Lakes
Fax the form to the COTP Buffalo, Massena Detachment 315-769-5032 at least
24 hours before the vessel arrives in Montreal, Quebec, or;
Vessels bound for the Hudson River North of George

Washington Bridge
Fax the form to the COTP New York at 718-354-4249 before the vessel enters the
waters of the United States (12 miles from the baseline).
Vessels bound for all other United States Ports
Vessel bound for all ports within the waters of the United States other than the Great Lakes or Hudson River
north of the George Washington Bridge.
Before the vessel arrives at the first port of call in the waters of the United
States send the form by one of the three following methods:
Mail the form to the U.S. Coast Guard, c/o Smithsonian Environmental Research Center (SERC),
P.O. Box 28, Edgewater, MD 21037-0028;
Transmit the form electronically to the National Ballast Information Clearinghouse (NBIC) at
http://invasions.si.edu/ballast.html or email it to ballast@si.edu;
FAX the form to the Commandant, U.S. Coast Guard, c/o the NBIC at 301-261-4319.
If any information changes, send an amended form before the vessel

departs the waters of the United States.
An agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless
it displays a valid OMB control number. The Coast Guard estimates that the average burden for this
report is 35 minutes. You may submit any comments concerning the accuracy of this burden estimate or any
suggestions for reducing the burden to: Commandant (G-MSO), U.S. Coast Guard, 2100 Second St. SW,
Washington, DC 20593-0001, or Office of Management and Budget, Paperwork Reduction Project (2115-0598),
Washington, DC 20503
Rev. 12/09 22 of 48 2-014-1

Attachment D
U.S. Great Lakes Ballast Water Reporting

DEPARTMENT OF HOMELAND SECURITY
Coast Guard
[USCG–2006–24443]
Ballast Water Reporting by Foreign flag Vessels Bound for the Great Lakes.
AGENCY: Coast Guard, DHS.

ACTION: Notice.
SUMMARY: The Coast Guard announces this notice as clarification of the ballast water reporting requirements for
foreign-flag vessels bound for the Great Lakes from outside the U.S. Exclusive Economic Zone (EEZ).
DATES: This notice is effective on April 17, 2006.

FOR FURTHER INFORMATION CONTACT: If you have questions about this notice, contact: LT Keith Donohue,
Environmental Standards Division, Coast Guard, telephone 202–267–0500, email: kdonohue@comdt.uscg.mil.
If you have questions about viewing material on the docket, call Ms. Renee V. Wright, Program Manager, Docket
Operations, telephone 202–493–0402.
SUPPLEMENTARY INFORMATION:
Background and Purpose
The reporting requirements of 33 CFR 151.2041 apply to all foreign-flag vessels with ballast water tanks that are bound
for the Great Lakes, unless exempted by 33 CFR 151.2010 and 151.2015. Foreign-flag vessels do not include U.S. and
Canadian-flag vessels. These requirements were amended by the final rule entitled ‘‘Penalties for Non-Submission of
Ballast Water Management Reports,’’ published in the Federal Register on June 14, 2004. See 69 FR 32864. That final
rule mandated that all foreign-flag vessels must provide the complete information required in 33.
CFR 151.2045 when bound for the Great Lakes from beyond the EEZ, and gave these vessels two options for doing so.
The first option allows reports to be sent to the appropriate authority established in 33 CFR 151.2041(b)(1)(i) using the
Coast Guard Ballast Water Reporting Form, OMB form Control No. 1625–0069. As an alternative, 33 CFR
151.2041(b)(1)(ii) allows foreign-flag vessels to complete the ballast water information section of the St. Lawrence
Seaway ‘‘Pre-entry Information from Foreign Flagged Vessels Form’’ and submit it in accordance with the applicable
Seaway Notice. However, the Coast Guard highlights through this notice that, if this second option is used, the owners
and operators of these vessels must still ensure they provide all the information required by 33 CFR 151.2045 to be in
compliance with the ballast water reporting requirements. If the Pre-entry form used to make the applicable Seaway
Notice does not provide ample space for all the information required by 33 CFR 151.2045, the information must still be
provided. This can be accomplished either with an annotated version of the Pre-entry form or an accompanying Coast
Guard Ballast Water Reporting Form. Also, if the information required by 33 CFR 151.2041 is submitted within the
Seaway Notice 96 hours prior to arrival and the vessel’s ballast information subsequently changes, an amended form
must be submitted before the vessel departs the waters of the United States. In addition, the Coast Guard published a
Notice of Policy entitled ‘‘Ballast Water Management for Vessels.”
Entering the Great Lakes that Declare No Ballast Onboard’’ in the Federal Register on August 31, 2005. See 70 FR
51831. The Coast Guard Ballast Water Reporting Form, with sections 4 and 5 properly completed, is the only means of
documenting a vessel’s implementation of the voluntary best management practices described in the August 31, 2005
Notice of Policy. See 70 FR 51831. Finally, to further avoid confusion and reporting submission issues, the Coast Guard
recommends each foreign-flag vessel that enters the Great Lakes from outside the EEZ should submit the required
information using the Coast Guard Ballast Water Reporting Form to either the Coast Guard Captain of the Port Buffalo,
Massena Detachment or the Saint Lawrence Seaway Development Corporation, at least 24 hours before the vessel arrives
in Montreal, Quebec, in addition to the Pre-entry form required by the applicable Seaway Notice. The fax number for the
Coast Guard Captain of the Port Buffalo, Massena Detachment is 315–769–5032, and the fax number for the Saint
Lawrence Seaway Development Corporation is 315–764–3250.
Dated: April 5, 2006.

H.L. Hime,
Acting Director of Standards, Assistant Commandant for Prevention, U.S. Coast Guard.
[FR Doc. E6–5652 Filed 4–14–06; 8:45 am] BILLING CODE 4910–15–P TP 13617E
June 8, 2001
Rev. 12/09 23 of 48 2-014-1

Attachment E
Guidelines for the Control Of Ballast Water Discharges from

Ships in Waters under Canadian Jurisdiction
1.0 Introduction
1.1 The purpose of these guidelines is the protection of waters under Canadian jurisdiction from non-indigenous
aquatic organisms and pathogens that can be harmful to existing ecosystems. When a new organism is introduced to an
ecosystem, negative and irreversible changes may result including a change in biodiversity. Ballast water has been
associated with the unintentional introduction of a number of organisms in Canadian waters and several have been
extremely harmful to both the ecosystem and the economic well-being of the nation. These guidelines are intended to
minimize the probability of future introductions of harmful aquatic organisms and pathogens from ships’ ballast water
while protecting the safety of ships.
1.2 Various methods have been proposed for protecting waters under Canadian jurisdiction from harmful aquatic
organisms and pathogens that may exist in ballast water. The methods employed must meet the following criteria:
1.2.1 Safety of the ship and its crew must not be compromised.
1.2.2 Techniques utilized shall be effective at minimizing the potential of introduction of harmful aquatic
organisms and pathogens from discharged water.
1.3 These guidelines have been developed by Transport Canada and Fisheries and Oceans Canada under the
auspices of the Canadian Marine Advisory Council and as such reflect wide consultation with groups such as shipowners,
environmental organizations, government departments and the United States Coast Guard.
1.4 In developing these guidelines, consideration and recognition has also been given to the protection of
neighboring ecosystems.
1.5 Comments on the guidelines should be addressed to the Ballast Water Working Group of the Canadian Marine
Advisory Council at
Tower C, Place de Ville

11th Floor
330 Sparks Street
Ottawa, Ont., Canada
K1A 0N8
c/o Mr. Tom Morris Email: morrist@tc.gc.ca

Tel: +613-991-3170 Fax: +613-993-8196
1.6 These guidelines should not be seen as adding to or detracting from existing statutory or regulatory requirements
which will prevail in the case of conflict with these guidelines. Statutory provisions dealing with ship-source pollution are
included in the Canada Shipping Act, the Arctic Waters Pollution Prevention Act and the Fisheries Act.
2.0 Short Title
2.1 Theses guidelines may be cited by the short title “The Canadian Ballast Water Management Guidelines”.
3.0 Definitions
3.1 For the purposes of these Guidelines:
“exclusive economic zone” consists of an area of the sea beyond and adjacent to the territorial sea of Canada that has as
its inner limit the outer limit of the territorial sea of Canada and as its outer limit the line every point of which is at a distance
of 200 nautical miles from the nearest point of the baselines of the territorial sea of Canada or as specified in the Oceans
Act,
Rev. 12/09 24 of 48 2-014-1

“foreign voyage” means a voyage extending beyond the area of a home-trade voyage and not being an inland or minor
waters voyage,
“harmful aquatic organisms or pathogens” means non-indigenous aquatic organisms or pathogens which, if introduced
into a particular sea area including estuaries or fresh water courses, may create hazards to human health, harm living
resources or aquatic life, damage amenities, impair biological diversity or interfere with other legitimate uses of such
areas,
"home-trade voyage" means a voyage, not being an inland or minor waters voyage, between places within the area
following, namely, Canada, the United States other than Hawaii, St. Pierre and Miquelon, the West Indies, Mexico, Central
America and the northeast coast of South America, in the course of which a ship does not go south of the sixth parallel of
north latitude,
“home trade voyage, class I” has the same meaning as defined in the Home-Trade, Inland and Minor Waters Voyages
Regulations, that is a home-trade voyage in the course of which a steamship goes anywhere within the limits of a home-
trade voyage as defined in the Canada Shipping Act,
“waters under Canadian jurisdiction” means all internal waters of Canada, the territorial sea of Canada and waters in the
exclusive economic zone of Canada, including the shipping safety control zones prescribed pursuant to the Arctic Waters
Pollution Prevention Act.
4.0 Application
4.1 The Canadian Ballast Water Management Guidelines apply to all vessels entering Canada’s exclusive economic
zone from seaward.
4.2 The effective date for implementation of the guidelines is September 1, 2000.
4.3 These guidelines rescind and supercede the “Voluntary Guidelines for the Control of Ballast Water Discharges
from Ships Proceeding to the St. Lawrence River and Great Lakes”.
5.0 Consistency with International Guidelines and Other Requirements
5.1 These guidelines are intended to implement the International Maritime Organization’s resolution A.868(20),
“Guidelines for the Control and Management of Ships’ Ballast Water to Minimize the Transfer of Harmful Aquatic
Organisms and Pathogens”, in waters under Canadian jurisdiction.
5.2 Vessels transiting waters under Canadian jurisdiction bound for Great Lakes ports in compliance with the
mandatory ballast water regime of the United States fulfill the requirements of these guidelines.
5.3 Vessels transiting waters under Canadian jurisdiction bound for non-Canadian ports and subject to other national
ballast water regimes should complete any ballast water exchange outside waters under Canadian jurisdiction or, in
exceptional circumstances, undertake such procedures in the designated alternative exchange zones. Vessels are reminded
of the need to contact the appropriate authorities to ensure conformity with the laws of the country of destination.
6.0 Ballast Water Management Plan (BWMP)
6.1 As noted in section 7.1 of IMO resolution A.868(20), every ship that carries ballast water should be provided with
a BWMP. The intent of such a plan is to provide safe and effective procedures for BWM.
6.2 The BWMP should be specific to each ship and should be reviewed on the basis IMO Resolution A.868(20) by
the flag administration or a recognized organization.
6.3 For flow-through systems, the tank boundary structure for a tank head equivalent to the full distance to the top of
the overflow is to be verified.
6.4 For sequential systems, the sequences indicated in the ship's BWMP are to be approved for strength, stability,
minimum draught forward and propeller immersion criteria. Sloshing, slamming and ballast inertia are to be dealt with as
necessary. Where the criteria are not met, an operational envelope indicating the permissible significant wave heights for
Rev. 12/09 25 of 48 2-014-1

various speeds and headings is required to be developed as part of the BWMP.
6.5 The BWMP shall be included in the ship’s operational documentation.
6.6 The Model BWMP developed by the International Chamber of Shipping (ICS) and the International Association
of Independent Tanker Owners (INTERTANKO) may be considered an appropriate reference document when developing
the plan.
6.7 Canadian ships that carry ballast water and are making home trade voyage, class I or foreign voyages, should
forward a copy of their BWMPs to the Regional Board of Steamship Inspection.
6.8 It should be noted that the stability of the ship, and any other safety considerations, remain the responsibility of
the ship's master. Nothing in these Guidelines should be construed as an infringement upon that responsibility. In cases
where ships are not provided with a BWMP, masters should pay particular attention to the guidance on safety provided in
Appendix 2 of IMO resolution A.868(20).
7.0 Reporting Requirements
7.1 With the exception of vessels not destined for a Canadian port, the Master of the vessel shall provide a fully
completed ballast water report form as described in Annex 1 by facsimile transmission, or by other means as approved by
the appropriate marine communications and traffic services officer.
7.1.1 The Master of the vessel shall provide the appropriate Marine Communication and Traffic Services Centre with the
information as requested prior to entry into waters under Canadian jurisdiction.
7.2 Vessels subject to these guidelines that have not submitted a fully completed form in accordance with section 7.1
will be requested to provide the appropriate Marine Communication and Traffic Services Centre with the following
information as part of the MCTS interrogative:
(i) Whether a ballast water reporting form signed by the Master has been provided by facsimile to the
appropriate agency (i.e. Transport Canada Marine Safety, port authorities or the U.S. Coast Guard) or has been
submitted by electronic or other acceptable means.
(ii) Whether ballast water is being carried.
(iii) If the answer to (ii) is affirmative:
(iv) Whether the vessel has a BWMP appropriate to that ship.
(v) Whether the BWMP has been reviewed by a classification society or flag administration.
(vi) Whether BWM procedures have been performed prior to entering Canada’s exclusive economic zone
(vii) If the answer to (vi) is negative – 1) What is the reason for non performance
2) What procedures, consistent with the appropriate Regional Ballast

Water Annex are proposed to protect Canada’s waters prior to
discharge of ballast.
7.3 In order to monitor information provided in ballast water report forms under this section, vessels may be
boarded and samples collected. Delays to the ship shall be minimized when taking such samples and the results of their
analysis shall be made available to the ships operator on request.
7.4 Under section 562.19 of the C a n a d a S h i p p i n g A c t it is an offence to refuse to provide information, or to

knowingly provide false information to a marine communication and traffic services officer, where such information is
requested for the promotion of environmental protection.
8.0 Discharge of Ballast Water
8.1 Subject to the appropriate regional ballast water annex as outlined in section 12, ballast water taken on in areas
outside waters under Canadian jurisdiction should not be discharged in waters under Canadian jurisdiction, unless one of
the BWM options specified in section 9 has been successfully performed.
8.2 In exceptional circumstances where the procedures in 8.1 can not be successfully performed, conditions of
discharge may be specified by the appropriate regional authority as noted in Annexes II to V.
Rev. 12/09 26 of 48 2-014-1

9.0 Ballast Water Management (BWM) Options
9.1 Ballast Exchange
9.1.1 Vessels utilizing ballast exchange should conduct ballast exchange in locations where water depths are not
less than 2000 metres, unless otherwise provided in the appropriate Regional Annex.
9.1.2 Alternative Exchange Zones – In exceptional circumstances, where it may not be possible to exchange
ballast water due to weather sea or any other conditions the master feels may endanger human life or the safety
of the vessel, alternative exchange zones may be utilized on notification of the appropriate marine
communications and traffic services officer, as noted in section 7.2(vii). The use of alternative exchange zones
may also be appropriate for vessels that are not able to comply with section 9.1.1 because they do not voyage
into mid-ocean where water depths are greater than 2000 metres. Masters are advised to consult the appropriate
Regional BWM Annex.
9.1.3 Sequential Exchange - All of the ballast water should be discharged until suction is lost, and stripping
pumps or eductors should be used if possible. Operations shall be logged.
9.1.4 Flow Through Exchange - If flow through methods are employed at least three times the tank volume
should be pumped through the tank. Calculations indicating the amount of water to be utilized and pumping
rates required to achieve this shall be recorded.
9.2 Non Release of Ballast Water
9.2.1 Ballast water may be retained on board.
9.3 Discharge to reception facilities
9.3.1 Vessels wishing to utilize this option should confirm procedures and availability of this service.
9.4 Alternative Methods
9.4.1 Environmentally sound methods of BWT that are acceptable to Transport Canada Marine Safety may
be utilized. Any alternative method must be at least as effective in removing or killing harmful aquatic organisms
and pathogens as the methods listed above.
10.0 Research
10.1 In order to further research into the effectiveness of BWM, vessels may be boarded and samples of ballast water
may be collected for scientific analysis.
11.0 Ballast Tank Sediment Disposal
11.1 Disposal of sediments as a result of routine cleaning of ballast tanks should be carried out in mid ocean outside
Canada’s exclusive economic zone in accordance with the ship’s BWMP.
11.2 In waters under Canadian jurisdiction, sediments from the ballast tanks of ships trading on foreign voyages should
be disposed of in land dumpsites approved for that purpose in accordance with the appropriate legislation or at sea.
11.3 Records shall be maintained of sediment removal in accordance with sections 11.1 and 11.2.
12.0 Regional Implementation
12.1 Recognizing that ecosystems are different within Canada, regional implementation of these guidelines is
appropriate to account for differences in trade, ship type, geography, specific exotic species introduction risk, etc.
Masters should be governed by the specific regional ballast water management procedures required for their vessel and
voyage as outlined in annexes II, III, IV, V, and VI.
Rev. 12/09 27 of 48 2-014-1

Annex I
Ballast Water Reporting Form
1. VESSEL INFORMATION 2. BALLAST WATER
3
Vessel Name: Type: IMO Number: Specify Units: m , MT, LT, ST
Owner: GT: Call Sign: Total Ballast Water on Board:
Flag: Arrival Date: Agent:
Last Port and Country: Arrival Port: Total Ballast Water Capacity:
Next Port and Country:
3. BALLAST WATER TANKS BALLAST MANAGEMENT PLAN ON BOARD? YES NO HAS THIS BEEN IMPLEMENTED? YES NO
TOTAL NO. OF TANKS ON BOARD NO. OF TANKS IN BALLAST IF NONE IN BALLAST GO TO NO. 5.
NO. OF TANKS EXCHANGED NO. OF TANKS NOT EXCHANGED
4. BALLAST WATER HISTORY: RECORD ALL TANKS THAT WILL BE DEBALLASTED IN PORT STATE OF ARRIVAL; IF NONE, GO TO NO. 5
Tanks/Holds BW SOURCE BW EXCHANGE BW DISCHARGE
List multiple (circle one: Empty/Refill or Flow Through)
sources/tanks DATE PORT or VOLUME TEMP DATE ENDPOINT VOLUME % SEA DATE PORT or VOLUME SALINITY
separately DD/MM/YY LAT. LONG. (units) (units) DD/MM/YY LAT. LONG. (units) Exch. Hgt. (m) DD/MM/YY LAT. LONG. (units) (units)
Ballast Water Tank Codes: Forepeak = FP, Aftpeak = AP, Double Bottom = DB, Wing = WT, Topside = TS, Cargo Hold = CH, Other = O
IF EXCHANGES WERE NOT CONDUCTED, STATE OTHER CONTROL ACTION(S)
IF NONE, STATE REASON WHY NOT:
5. IMO BALLAST WATER GUIDELINES ON BOARD [RES. A.868(20)]? YES NO
6. CANADIAN GUIDELINES FOR THE CONTROL OF BALLAST WATER DISCHARGE FROM SHIPS IN WATERS UNDER CANADIAN JURISDICTION ON YES NO
RESPONSIBLE OFFICER’S NAME AND TITLE (PRINTED) AND SIGNATURE
Rev. 12/09 28 of 48 2-014-1

Annex II
BWM Procedures for Vessels Proceeding to the West Coast of Canada
1.0 Ballast Water Reporting Forms shall be sent by facsimile to Western Canada Vessel Traffic Services
Facsimile (604) 666-8453
Phone (604) 666-6011
2.0 Ports of Vancouver, Nanaimo, and Fraser River
2.1 In addition, vessels entering the Ports of Vancouver, Nanaimo and Fraser River shall be subject to the Harbour
Master Department Standing Operating Procedures.
2.2 Compliance with ballast management procedures as set out in section 9 are mandatory.
2.3 Procedures
2.3.1 Harbour Master’s representatives when boarding vessel to conduct ballast checks will require to see one of the
following:
1) Log book entry (in English)

2) Abstract of log book entry
3) Company or other administration form
4) Ballast Water Reporting form as per Appendix 1 giving details of the BWM procedure carried out. The
details must include the following information:
• position of ballast water exchange - if utilized - giving latitude and longitude

• place where ballast water originally taken on board
• amount of ballast water
• ballast tanks which have had ballast management performed
• details if BWM not performed (see note).
Note – It will be a defense against not performing a ballast exchange (if that is the ballast management procedure utilized) at
sea for the following reasons
1) Stress or weather
2) Stability or hull stress concerns – safety is paramount and the Master shall only carry out the
procedure if it is safe to proceed.
A copy of the above may be faxed to the applicable Harbour Master’s Office
Vancouver (604) 665-9099
Fraser River (604) 524-1127
Nanaimo (250) 753-4899
2.3.2 In the event that the vessel is unable to supply the above information in the prescribed manner, then no ballast
water will be allowed to be discharged until the following procedures have been undertaken:
1) Samples of ballast water will be drawn and analyzed by a Harbour Master representative.
2) Ballast water found not meeting test standards, will require the vessel depart the port and exchange ballast
water in the outgoing current of the north side of Juan de Fuca Strait, west of Longitude 123 degrees 55 minutes
west in at least 100 metres of water.
2.3.3 All charges for the movement and delay to the vessel will be for the vessel’s account.
Rev. 12/09 29 of 48 2-014-1

2.3.4 Vessels arriving from Ports in British Columbia, Alaska or the West Coast of the United States (North of Cape
Mendocino) wishing to discharge ballast water are exempted from these provisions if the ballast water to be discharged
originated from these waters. The Habour Master’s representative conducting the ballast check will require to see a log
book entry showing where the ballast water originated.
2.3.5 These Procedures will not be applied to vessels wishing to discharge less than 1000 metric tonnes of ballast water.
However a Port Representative must be in attendance prior to discharge.
3.0 Alternative Exchange Zone
3.1 In exceptional circumstances as noted in section 9.1.2 of these Guidelines, ballast water exchange may be made in
accordance with section 2.3.2(2) of this Annex.
Rev. 12/09 30 of 48 2-014-1

Annex III
BWM Procedure for Vessels Proceeding to the Great Lakes or St. Lawrence River West of
63 degrees West Longitude
1.0 Ballast Water Reporting Forms shall be send by facsimile to Eastern Canada Vessel Traffic Services (ECAREG)
Facsimile (902) 426-4483

Phone (902) 426-4956
Telex 019 22510
2.0 Vessels are asked to carry out BWM procedures as set out in section 9 of these Guidelines.
3.0 Alternative Exchange Zone
3.1 In exceptional circumstances as noted in section 9.1.2 of these Guidelines, ballast water exchange may be made
in the internal waters of Canada within the Laurentian Channel in depths exceeding 300 metres. Such internal waters
exchanges shall be restricted to the area southeast of 63 degrees west longitude.
3.2 In addition to the requirements above - for those ships that have not left the North American Continental shelf
on their inbound voyage, if the ballast management procedure utilized is exchange, such exchange may be made in the
internal waters of Canada, within the Laurentian Channel in water depths exceeding 300 metres. As above, such internal
waters exchanges shall be restricted to the area southeast of 63 degrees west longitude.
4.0 A record of the salinity of the ballast water to be discharged into the Great Lakes / St. Lawrence River west of 63
degrees West longitude shall be entered in the ships log book.
5.0 Ships entering the Great Lakes / St. Lawrence Seaway system should be aware of the U.S. mandatory ballast
water regime and the likelihood of joint boarding at Montreal by representatives of the United States Coast Guard,
Transport Canada and the St. Lawrence Seaway.
Rev. 12/09 31 of 48 2-014-1

Annex IV
Ballast Water Procedures for Vessels Proceeding to Ports in Eastern Canada North of 60
degrees North Latitude
1.0 Ballast Water Reporting Forms shall be sent by facsimile to Northern Canada Vessel Traffic Services
(NORDREG)
Facsimile (867) 979-4236
Phone (867) 979-5724
2.0 Alternative Exchange Zones
2.1 In exceptional circumstances as noted in section 9.1.2 of these Guidelines, ballast water exchange may be made:
1) for vessels proceeding to Hudson Bay ports - in Hudson Strait in depths exceeding 300 metres restricted to
the areas southeast of 70 degrees west longitude.
2) for vessels proceeding to Higher Arctic ports – in Lancaster Sound in depths exceeding 300 metres
restricted to the area southeast of 80 degrees west longitude.
Rev. 12/09 32 of 48 2-014-1

Annex V
Ballast Water Procedures for Vessels Proceeding to Ports on the East Coast of Canada
1.0 Reporting
1.1 Reporting requirements under section 7 shall be fulfilled in accordance with the implementation of these
guidelines.
1.2 Ballast Water Reporting Forms shall be sent by facsimile to Transport Canada Marine Safety
Facsimile (902) 426-6657
Phone (902) 426-7725
Email balabam@tc.gc.ca
1.3 Ballast water exchange and/ or BWM information provided will be verified on board the vessels, on a random
basis.
2.0 Alternative Ballast Water Exchange Zones (ABWEZ)
2.1 The delineation of suitable alternative ballast water exchange zones and the determination of possible
exemptions is subject to scientific studies and consultation with the appropriate scientific authorities. Locations for
ABWEZ are being investigated and may be included in the Annex V at a future date. In the meantime vessels are
encouraged to comply with these guidelines as far as it is safe and practicable.
3.0 Ballast water samples collection
3.1 The Master of any vessel is asked to give a researcher collecting ballast water samples all reasonable assistance
to enable the sampler to collect relevant ballast water samples and gather information in connection with the BWM
program. Information obtained during this process will be used in order to provide the scientific basis for the
future development and implementation of Annex V.
AMENDMENT EFFECTIVE ENTERED

SECTION/S REMARKS
NO. DATE BY
1 March 9, 2001 1.2 and 1.3 of Annex V Revised contact for
submitting forms
2 June 8, 2001 4.1 and 9.1.2 Application section amended
to make clearer. Correction
made to 9.1.2
Rev. 12/09 33 of 48 2-014-1

Attachment F
U.S. States’ Ballast Water Standards and Treatment Requirements
This chart is a summary of ballast water standards and treatment requirements in individual states within the United States. The summary is based on U.S. Clean Water Act Section 401 State Certifications
as contained in the Environmental Protection Agency’s National Pollution Discharge Elimination System (NPDES) Vessel General Permit (VGP) for Discharges Incidental to the Normal Operations of a
Vessel and on individual state laws and regulations. Only the Great Lakes and coastal states are included in this summary. If a Great Lakes or coastal state is not listed, it means that it has no additional
ballast water requirements beyond the federal ones enforced by the USCG and/or Environmental Protection Agency (EPA).
This chart should be used as a starting point for determining where a vessel will need to meet additional ballast water requirements. It should not be substituted for a full reading of the individual state laws
and regulations as it is only as summary of them. It should be noted that many states have water quality standards that may not be violated by discharges from vessels. This chart does not reflect a
comprehensive examination of these general water quality standards.
State Regulatory Vehicle Requirements Existing Oceangoing Vessels New Oceangoing Vessels
Alaska 401 Certification A tank vessel may not take on petroleum or a
petroleum product or by-product as cargo unless it
Note: Alaska relies on federal arrives in ports in the state without having
requirements for regulation of ballast discharged ballast from cargo tanks into the waters
water and, therefore, does not have of the state and the master of the vessel certifies this
extensive requirements for the fact on forms provided by the Alaska Department of
management of aquatic nuisance Environmental Conservation.
species in ballast water discharges.
The discharge of ballast water is permitted for safety
Alaska does have laws that regulate reasons, if no alternative action is feasible to ensure
movement of biological organisms the safety of the tank vessel
into and around the state but the role
ballast water discharge plays in
importing into and moving organisms
around the state has not been
addressed.
California 401 Certification Beginning 1 January 2020, before discharging Compliance is required with the Compliance is required with the
(Standards more ballast water, Ballast Water Treatment (BWT) must Interim Standards and sampling Interim Standards and
stringent than IMO) The ballast regulations are contained be conducted so that that the discharge will contain requirements as follows: sampling requirements as
in Public Resources Code (PRC) zero detectable living organisms for all organism follows:
section 71200 et seq. and State Lands size classes. 1 January 2010: for vessels
Commission (SLC) Ballast Water constructed on or after that date with a 1 January 2012: for vessels
Performance Standards (California Until that time, vessels are required to comply with ballast water capacity of less than or constructed on or after that date
Code of Regulations Sections 2270- the following Interim Standards: equal to 5,000 metric tons (mt). with a ballast water capacity
2291). greater than 5,000 mt.
• Organisms >50 um: no detectible living 1 January 2014: for vessels
organisms constructed before 1 January 2010, with
• Organisms >10 and < 50 um: less than 0.01 a ballast water capacity of 1,500 mt or
living organism/ml. more, but not more than 5,000 mt.
• Vibrio cholera (01 and 0139):
1 January 2016: for vessels
< one colony-forming unit (cfu)/100 ml or one
constructed before 1 January 2010, with
cfu/g of wet weight of zoological samples.
a ballast water capacity of less than
• E. Coli: 126 cfu/100 ml
1,500 mt and for vessels constructed
• Intestinal enterococci: 33 cfu/100 ml. before
Rev. 12/09 34 of 48 2-014-1
• Bacteria: <1000/100ml 1 January 2012, with a ballast water
• Viruses: <10,000/100ml capacity greater than 5,000 metric tons.
Vessels arriving from outside the Pacific Coast

Region (all coastal waters within 200 nm of land,
east of 154 ° W longitude and north of 25° N
latitude, excluding Gulf of Mexico) must:
1. Retain ballast water (no discharge);

2. Exchange ballast water in mid-ocean waters
(>200 nm from land and at least 2,000 m deep
by empty refill method (100% volumetric
replacement) or flow through method (300%
volumetric replacement);
3. Discharge ballast at same location (1 nm of the
berth or within the recognized breakwater of a
California port or place at which the ballast
water was loaded) where it originated. A
demonstration that the water was not mixed
with ballast taken on in an area other than mid-
ocean water is required;
4. Use an alternative SLC or USCG-approved
method of treatment;
5. Discharge to an approved reception facility
(none currently exist); or
6. Under extraordinary circumstances, perform
ballast water exchange within an area agreed to
in advance by the Commission.
Vessels arriving at California ports or places after

departing from ports or places within the Pacific
Coast Region (except other California ports which
are exempt) have the same options as outlined in
numbers 1-6, above, except that: with regard to # 2,
ballast water may be exchanged in near-coastal
waters (waters more than 50 nm from land and at
least 200m deep) as opposed to in mid- ocean; and
with regard to #3, instead of being discharged in the
location of origination, ballast water may be
discharged at the same port or place, which is
defined to include all areas in San Francisco Bay
area east of the Golden Gate Bridge, including
Stockton and Sacramento; and Los Angeles, Long
Beach and the El Segudo marine terminal.
Sampling Ports: Effective 31 October 2009, vessels

discharging ballast in California waters must install
sampling ports (facilities) to enable collection of
Rev. 12/09 35 of 48 2-014-1
ballast water samples by SLC Marine Safety
Inspectors to check compliance with the interim
performance standards. The SLC regulations
prescribe the technical specifications of the port and
its installation. Existing sampling ports installed
prior to 1 January 2010 may be used with prior
approval of State Lands Commission staff.
BWMP: A vessel-specific BWMP implemented in

accordance with the SLC requirements must be
maintained onboard the vessel for as long as the
vessel is in operation. Compliance with certain best
management practices for ballast water, including
removal of hull fouling organisms on a regular basis,
also is required.
BWTS: The SLC does not plan to approve BWTSs.

However, a vessel equipped with a BWTS that has
discharged ballast in State waters shall be required
to provide certain information to the SLC, including:
• specifics on the BWTS, including performance

information, manufacturer information,
organizational approval/certification and tank-
specific information.
In addition to these specifics), the following

information must be maintained on board: material
data safety sheets for BWTS chemicals,
manufacturer publications and BWTS performance
information, including time of use, system
malfunction and maintenance.
Experimental BWTS: An experimental BWTS

approved by the SLC prior to 1 January 2008 shall
be deemed in compliance with any future treatment
standards adopted, for a period of up to five years
from the date the Interim Performance Standards
apply.
Reporting & Recordkeeping:
The following reports are required:
• Ballast Water Report Form: The USCG

Ballast Water Reporting Form must be
submitted to the SLC upon departure from each
port zone of call. This submission is in
Rev. 12/09 36 of 48 2-014-1
addition to the USCG reporting requirement.
Resubmission of the form is required if the
vessel’s actual ballast discharge is different
than that which was submitted. Ballast water
report forms must be kept on board the vessel
for two years.
• Hull HusbandryReport Form: This

questionnaire requests information that includes
out-of- water maintenances, anti-fouling
treatments/coatings, inspection of sea chests,
Marine Growth Protection Systems, propeller
maintenance and voyage information. The form
must be submitted once each calendar year, if
the vessel is operating in California waters that
year.
• Ballast Water Log: This log outlines the

BWM activities of each tank (e.g., uptake,
exchange, internal transfer, discharge) onboard
a vessel. It must be maintained separately from
the Ballast Water Report Form (above). This
log must be maintained on board the vessel for
two years.
Note: The Marine Invasive Species Fee that is

assessed by the SLC on vessels that arrive at a
California port or place from a port or place outside
California increased as of 1 November 2009 to
$850/vessel with certain exceptions.
Connecticut 401 Certification The VGP requirements are the minimum ballast
water standards.
Vessels with an installed BWTS must treat ballast

water to highest level afforded by that system prior
to discharge in State waters
Florida 401 Certification State water quality standards are stricter for oily
mixtures and motor gasoline (VGP Parts 2.1.4 and
2.2.16.). Vessels must comply with State Rule 62-
302-.530(5) for emulsified oils and greases to not
exceed 5.0mg/l.
Hawaii 401 Certification In general, discharge of ballast into state waters isConcentration of total residual chlorine
prohibited. in effluent discharges shall not exceed
Note: Ballast water discharges must an acute concentration of 13.0 ug/l in
comply with Hawaii Administrative Reporting: The USCG ballast water report form salt water or an acute concentration of
Rules (HAR), Chapter 13-76 as must be sent to DLNR no later than 24 hours prior to 19.0 ug/l in fresh water.
administered by the Hawaii entering state waters, in addition to the USCG. An
Department of Land and Natural amended form must be submitted to DLNR before Receiving waters of the State must be
Rev. 12/09 37 of 48 2-014-1
Resources (DLNR). leaving state waters, if the information changes. The free of substance attributable to the
information in the form must be maintained onboard discharges including high or low
the vessel for at least two years. This reporting temperatures; biocides; pathogenic
requirement applies to all vessels, except crude oil organisms, toxic, radioactive, corrosive,
tankers, carrying unrefined crude oil product, or other deleterious substances at levels
engaged in coastwise trade or a vessel that operates or in combinations sufficient to be toxic
outside the main Hawaiian islands Exclusive or harmful to humans, animal, plant or
Economic Zone (EEZ). aquatic life or in amounts sufficient to
interfere with any beneficial use of the
Ballast water carried in any tank containing a water.
residue of oil, noxious liquid substance, or any other
pollutant must be discharged in accordance with Receiving waters of the state must be
applicable requirements. free of substances attributable to
discharges including floating debris, oil,
BWM Plan: A vessel in compliance with USCG grease scum or other floating materials.
requirements for a BWMP are in compliance with
the State requirement for such a plan. State waters affected by discharges are
subject to monitoring and to the
Exchanges: Vessels that require ballast water standards for acute and chronic toxicity
exchanges must conduct them in mid-ocean waters and the protection of human health.
(waters at least 200 nm from any coast). The
methods of exchange permissible are flow through
exchange, empty/refill exchange or USCG or other
approving authority sanctioned exchange. Vessels
equipped with an approved treatment system
designed to kill all living aquatic organisms in the
ballast water, vessels equipped with permanent fresh
water or treated ballast are exempt from the
exchange requirement. A safety exemption also is
provided.
Discharge Requirements:
A master must report to the DLNR when a mid-
ocean water exchange has not been done and a
ballast water discharge into state waters is necessary.
A master must obtain approval from the DLNR to

discharge ballast water prior to any ballast water
discharge into the EEZ or state waters and is
required to implement all feasible measures to
minimize the discharge upon approval.
Permits: The DLNR may require a vessel to apply

for a permit (valid for up to one year) exempting a
vessel from the state ballast water requirements if
that vessel has a USCG approved BWTS or the
safety of crew/passengers or integrity of the vessel is
at issue.
Rev. 12/09 38 of 48 2-014-1

The DLNR, in coordination with the USCG, may

ensure compliance by, among other things, taking
samples, examining documents and making
inquiries. The master is required to make
information available to DLNR upon request.
Illinois 401 Certification Ballast water that fails to meet State standards may Vessels constructed prior to 1 January Vessels constructed after
not be discharged. 2012 must meet IMO certified 1 January 2012 must meet IMO
Note: The Illinois Environmental treatment standards by 1 January 2016. certified treatment standards
Protection Agency (EPA) has stated Total residual chlorine is limited to 0.02 mg/l for prior to commencement of
that if BWT technologies, standards discharges from BWTSs. Use of other biocides vessel operations.
or limitations are adopted or may not cause violation of applicable water quality
approved by the U.S. EPA, USCG or standards.
duly authorized Federal agency and
incorporated in EPA’s VGP
requirements, that it will modify its
existing certificate or issue a new
one.
Indiana 401 Certification Total residual chlorine is limited to 0.02 mg/l for Vessels constructed prior to 1 January Vessels constructed after
discharges from BWTSs. Biocides may not be 2012 must meet IMO certified 1 January 2012 must meet IMO
discharged in harmful or toxic concentrations. treatment standards by 1 January 2016 certified treatment standards
for discharges of ballast water. prior to commencement of
Analysis of organisms in IMO BWT standards vessel operations for
must be performed consistent with protocols discharges of ballast water.
currently being validated by the EPA
Environmental Technology Verification Program
or certain Great Ships Initiative protocols (see
http://www.nemw.org/GSI/protocols.htm.).
If the U.S. Government develops treatment

standards more stringent than IMO, then those shall
apply.
Massachusetts 401 Certification Vessels engaged in coastwise trade on Atlantic or Discharges from experimental BWTSs
Gulf Coasts must meet VGP requirements for shall not contain more than 10 ug/l total
ballast water exchange of vessels on Pacific residual chlorine.
Nearshore voyages.
Michigan 401 Certification Permit: Oceangoing vessels are prohibited from Non-oceangoing vessels that operate
State Permit Required discharging ballast unless the vessel has obtained a experiment BWTSs are prohibited from
certificate of Coverage under the Ballast Water discharging with a total residual
Control General Permit (Permit No. MIG140000) chlorine concentration above 38 ug/l
or an individual Permit from the Michigan when the ballast water discharge
Department of Environmental Quality (MDEQ). duration exceeds 160 minutes or above
200 ug/l when the duration is less than
An oceangoing vessel must allow MDEQ or equal to 160 minutes.
reasonable entry onto the vessel for inspection
access to records and collection of a ballast water Non-oceangoing vessels are prohibited
discharge sample. If ballast water monitoring from discharging ballast water with a
results indicate the discharge of aquatic nuisance chlorite concentration above 13 ug/l.
Rev. 12/09 39 of 48 2-014-1
species is not being effectively prevented, the
vessel shall be required to cease discharges of
ballast water until an MDEQ approved aquatic
nuisance species discharge prevention plan is
implemented.
Minnesota 401 Certification Permit: MPCA requires commercial vessels 50 or Vessels constructed prior to 1 January Vessels constructed after
State Permit Required more feet in length with a ballast capacity of 8 2012 must meet IMO certified treatment 1 January 2012 must meet IMO
cubic meters that transit the Minnesota waters of standards by 1 January 2016. certified treatment standards
Note: The Minnesota Pollution Lake Superior to obtain a permit to discharge prior to commencement of
Control Agency (MPCA) has ballast water. For vessels employing BWTSs, the vessel operations.
reserved the right to revoke or modify maximum total residual chlorine limit is
its certification if it determines that BWM Plan/Record Book: Vessels must comply 0.038 mg/l.
vessel discharges covered by this with a ballast water and sediment management plan
certification can no longer comply approved by the State and maintain a ballast record
with Section 401 Certification or book meeting prescribed requirements.
State requirements.
New York 401 Certification Ballast Exchange: With certain exceptions* for a By 1 January 2012 all vessels, with With certain exceptions, vessels
(Standards more vessel’s whose voyage originates from within the limited exceptions, must have a BWTS constructed on or after
stringent than IMO) US EEZ, ballast water exchange must be conducted that meets specific standards for the 1 January 2013 must meet
at least 50 nm from shore and in water of at least discharge of living organisms. An specific standards for the
200 m deep. Saltwater flushing at this distance and extension to this date may be granted discharge of living organisms.
depth must be conducted for vessels carrying for sufficient justification, but the These concentration-based
residual amounts of ballast water and/or sediments. request must be made by 30 June 2010. standards, based on the
California requirements, are
All vessels must maintain a salinity level in each These standards are as follows: more stringent than the ones for
tank of at least 30 ppt. existing vessels. An extension
• Organisms >50 um: less than 1 request must be made by 30
Ballast water exchange is defined as one empty and living organism/10 m3. June 2011. The State intends
refill cycle of each ballast tank resulting in salinity • Organisms >10 and < 50 um: less to apply these standards for
of 30ppt or less or if impracticable, a sufficient than 1 living organism/10 ml. new construction to all ships
number of flow-through exchanges to achieve 95% • Vibrio cholera (01 and 0139): < beginning in the next
replacement of ballast water. one cfu/ 100 ml or < one cfu/g of certification period (in five
wet weight of zoological samples. years).
If the operator of a vessel is unable to conduct • E. Coli: < 126 cfu/100 ml.
ballast water exchange or flushing as specified due • Intestinal enterococci: <33 cfu/ The standards are as follows:
to serious safety concerns (as determined by the 100 ml.
master), the operator is required to take reasonable • Organisms > 50 um: no
measures to avoid discharge of organisms in ballast detectable living
water and is required to inform the New York organisms.
Department of Environmental Conservation in • Organisms >10 and < 50
writing of the measures taken. um: less than 0.02 living
organism/ml.
*Exceptions to these requirements are for vessels • Vibrio cholera (01 and
that: 0139): < one cfu/100 ml or
< one cfu/g of wet weight
• operate exclusively in the Great Lakes-St. of zoological samples.
Lawrence Seaway System upstream of a • E. Coli: < 126 cfu/100 ml.
Rev. 12/09 40 of 48 2-014-1

line drawn from Cap-des Rosiers to West • Intestinal enterococci:
Point, Anticosti Island and then to the north <33 cfu/ 100 ml.
shore of the St. Lawrence River along a • Bacteria: < 1,000
meridian of longitude 63; bacteria/100 ml.
• operate exclusively within the waters of • Viruses: <10,000/100 ml.
New York Harbor and Long Island Sound;
or
• enter New York Waters from ports of call
within New Jersey and Connecticut waters
which are included in the definition of
“waters of New York Harbor and Long
Island Sound (see below),” provided the
vessel has met the requirements of this
condition prior to entering the waters of
New York Harbor and Long Island Sound,
or
• carry permanent ballast water in sealed
tanks not subject to discharge.
“Waters of New York Harbor and Long Island

Sound” means waters in and around New York
City, consisting of the waters, tributaries, bays
harbors, inlets coves, channels and other waterways
within Lower and Upper New York Bay, Jamaica
Bay, Raritan Bay, Newark Bay, Hudson River
south of the Tappan Zee Bridge, Harlem River,
East River, Gravesend Bay, Flushing Bay,
Eastchester Bay, the Kills and Long Island Sound.
Ohio 401 Certification Discharges of ballasted sea water within the Vessels constructed prior to 1 January Vessels constructed after
breakwalls of Ohio’s Lake Erie Ports is prohibited. 2012 must meet IMO certified 1 January 2012 must meet IMO
Note: The Ohio Environmental treatment standards by 1 January 2016. certified treatment standards
Protection Agency (OEPA) has Analysis of organisms in IMO BWT Standards prior to commencement of
reserved the right to require IMO or must be performed consistent with protocols vessel operations.
more restrictive treatment standards currently being validated by the U.S. EPA
upon issuance of the next State Environmental Technology Verification Program
permit certification. The OEPA’s or certain Great Ships Initiative protocol.
decision shall be based on treatment
system availability and costs and on (See http://www.nemw.org/GSI/protocols.htm).
other considerations required by law.
Until these standards are effective, all vessels are
required to meet the Best Management Practices
requirements of the federal VGP permit, including
the salt water ballast exchange or salt water
flushing requirements for ocean-going vessels.
For experimental and installed BWTSs, residual

chlorine levels of 50 ug/l or less shall be judged in
Rev. 12/09 41 of 48 2-014-1

compliance with the State requirements, even
though the State limits differ based on discharge
time.
Biocides other than chlorine must meet standard of

“no rapidly lethal conditions” and inside-mixing
zone water quality standards.
If the federal government adopts treatment

standards more stringent than IMO, than those
standards shall replace the current treatment
standards.
Oregon No finding on 401 Certification The discharge of ballast water is prohibited unless The Oregon regulations apply to all
the vessel has: 1) conducted an open ocean commercial vessels grater than 300 gt
State Report Required exchange (200 nm from shore in waters at least that are equipped with ballast water
200m deep); 2) conducted a coastal exchange (50 tanks.
Note: The Oregon Department of nm from shore in waters at least 200m deep) for
Environmental Quality (DEQ) vessels on coastal voyages traveling to Oregon
enforces state BWM regulations. from a North American coastal port south of 40°N
or north of 50° N; or 3) treated its discharge in
accordance with a USCG approved means.
Discharges are permitted for safety reasons.
Report Forms: In addition to meeting USCG

requirements, vessels must submit BWM report
forms to the Merchants Exchange of Portland at
least 24 hrs prior to entry into the state. If a
vessel’s actual ballast practices differ from those
projected on the report, an amended report must be
submitted prior to the vessel’s departure.
Pennsylvania 401 Certification Ballast Exchange: Pennsylvania ballast exchange Vessels constructed prior to 1 January Vessels constructed after
(Standards more requirements* are the same as those of New York. 2012 must meet IMO certified treatment 1 January 2012 must have
stringent than IMO) standards by 1 January 2016. BWTSs that meet stricter
If the operator of a vessel is unable to conduct standards (Same as New York
ballast water exchange or flushing as specified due If compliance cannot be immediately standards for vessels
to serious safety concerns (as determined by the achieved, an extension may be constructed after 1 January
master), the operator is required to take reasonable requested within six months of the 2013). These standards are as
measures to avoid discharge of organisms in ballast issuance of the VGP with written follows:
water and is required to inform both the justification and demonstration of
Pennsylvania Department of Environmental shortage in supply of technology or • Organisms >50 um:
Protection and the U.S. Department of indication of an engineering constraint ballast water discharged
Environmental Protection in writing of the or other factor related to the availability shall contain no detectable
measures taken. and installation of technology. living organisms.
• Organisms > 10 and < 50
*Exceptions to these requirements are vessels um: ballast water
operating exclusively in the Great Lakes or waters discharged shall contain <
of Pennsylvania, vessels that have met the 0.01 viable organisms/ml.
requirement prior to entering from ports of call on • Vibrio cholera (01 and
Rev. 12/09 42 of 48 2-014-1
the Delaware River and vessels that carry only 0139): < 1 cfu/100ml or <
permanent ballast water in sealed tanks not subject 1 cfu/g of wet weight of
to discharge. zoological samples.
• E. Coli: < 126 cfu/100 ml.
• Intestinal enterococci:
<33 cfu/100 ml
• Bacteria:<1,000/100 ml
• Viruses:<10,000/100 ml
If compliance cannot be
immediately achieved, an
extension may be requested
within six months of the
issuance of the VGP with
written justification and
demonstration of shortage in
supply of technology or
indication of an engineering
constraint or other factor
related to the availability and
installation of technology.
Rhode Island 401 Certification No person may place oil or pollutants into the
waters of the State or a location where they are
Rhode Island General Law Chapter likely to enter the waters of the State from bilge or
46-17.3-2 authorizes a process of ballast water from any vessel.
developing a ballast management
program in Rhode Island. However, The “Oil Pollution Control Regulations” address
a comprehensive state-specific ballasting of oil carrying vessels and prescribe
program does not exist. specific precautionary measures that must be taken
Notwithstanding, the Department of prior to and during the ballasting operation.
Environmental Management does, in
a limited fashion, regulate ballast
water under their “Oil Pollution
Control Regulations.”
Washington No finding on 401 Certification WDFW authorizes the discharge of ballast only if Applies to all U.S. and foreign-flag
State Requirements there has been an open sea exchange (based on vessels of 300gt or more carrying, or
interim requirements) or if the vessel has treated its capable of carrying, ballast water.
Note: The Washington Department of ballast water in a manner that meets or exceeds
Fish & Wildlife (WDFW) administers IMO standards. The State has not established
an extensive State Ballast Water performance standards, but intends to
Program. According to the WDFW, Interim Open Sea Exchange: requires 95% do so as explained by WDFW in a
their rules (Chapter 220-150 WAC) volumetric exchange of total ballast capacity “Preproposal Statement of Inquiry”
are intended to complement current (≥50nm from shore) for each tank using either an filed 29 June 2009. Until that time, the
USCG, IMO and Oregon BWM empty/refill method (one empty/refill cycle in IMO standards apply.
requirements. designated open sea area) or a flow through method
(minimum three times total ballast tank capacity in
The WDFW intends, as resources designated open sea area).
Rev. 12/09 43 of 48 2-014-1

allow, to board between 5% and 10%
of vessels arriving in Washington Exempt from this requirement are voyages
ports, with a priority for inspections originating from within Washington waters or if a
of vessels carrying “high risk ballast valid exchange was conducted prior to entering
water.” These vessels are to be common waters of Washington, the Oregon
identified by the WDFW according to portions of the Columbia River and internal waters
certain factors and listed in published of British Columbia south of latitude 50°N,
form. A vessel may be “delisted” including the waters of the Straits of Georgia and
from the high risk list if the vessel: Juan de Fuca.
1) demonstrates its operations meet
or exceed interim open sea exchange Reports: A ballast water report form that is
requirements; acceptable to the USCG must be filed with the
2) demonstrates its operations meet WDFW at least 24 hrs prior to arrival in State
or exceed discharge performance waters. Once within State waters, reporting forms
standards; or 3) completes an must be filed for voyages between state ports.
approved compliance plan or Waivers from this reporting requirement are
alternative strategy. provided for vessels that do not regularly
discharge ballast water. Waiver requests must be

received 30 days prior to entering State waters.
Safety Exemptions: Exemption reports, along with

a $500 administrative fee, must be submitted for
vessels claiming safety exemptions.
BWM Plan: Vessels are required to maintain

onboard a BWMP that includes requirements for
ports in Washington.
Vessels may be required to submit a temporary

compliance plan (addresses correction of vessel
equipment failure/problems) or temporary
alternative strategy (addresses how vessel will
conduct ballast management operations to reduce
risk of introducing nonindigenous species to a level
determined acceptable by WDFW to bring it into
compliance with state requirements).
Vessels are required to submit nonindigenous

species ballast water monitoring data.
Record Book: Vessels are required to record all

ballast water and sediment management operations
in the vessel’s ballast water log, record book, or
other suitable documentation system. Records are
to be kept for two (2) years.
Inspections: WDFW may conduct an audit of the
Rev. 12/09 44 of 48 2-014-1

vessel’s BWM documentation and may take
samples from a vessel’s ballast or tank sediment.
Treatment Technology: Vessels utilizing

treatment technology must notify the state prior to
first use in state waters. Waivers for promising
treatment technology may be granted.
Sediment Removal: The removal or discharge of

sediment or tank fouling organisms into the state
from spaces carrying ballast water is prohibited
unless those organisms are discharged solely in the
location from which they originated. Removal
options include saltwater flushing, upland disposal
and use of reception facilities.
Penalties: Violations may result in penalties of up

to $27,500 for each day of continuing violation.
Wisconsin No finding on 401 Certification. Discharge of ballast water from vessels is Existing oceangoing vessels must meet Vessels constructed on or after
(Standards 100 X more prohibited unless in compliance with BWT the following Wisconsin discharge 1 January 2012 must meet the
stringent than IMO) State permit, including filing of monitoring requirements and limitations. standards by 1 January 2014. Wisconsin discharge standards,
Notice of Intent by 31 July 2010, Prohibited discharges generally include intake unless the BWT technology to
with the Wisconsin Department of
filtration residuals and separated solids, solids • Organisms ≥50 um: < 1 viable meet the standards is not
removed from ballast tanks or by treatment systems organism/10 m3. available. If this is the case,
Natural Resources (WDNR) and seawater in other than insignificant residual • Organisms 10- 50 um: < 1 viable new vessels shall be required to
required. amounts, unless in compliance with chloride organism/10 ml. meet the IMO standards.
limits.. • E. Coli: < 126 cfu/100 ml.
• Intestinal enterococci: <33
Effluent Limits: All vessels employing BWTSs cfu/100 ml.
using chlorine must monitor the discharge and
comply with the following biocide effluent limits: If the WDNR finds that BWT
technology is not available to meet the
• Halogen Oxidants: 38ug/l, as total Wisconsin standards, oceangoing
residual chlorine. vessels instead will be required to meet
the IMO standards. In the meantime, all
• Other Biocides: Amounts yet to be oceangoing vessels and Great Lakes
determined. However, discharges vessels (operating exclusively on Great
containing BWT additives are prohibited, Lakes-St. Lawrence Seaway) must
unless the additive is approved by the immediately adhere to prescribed
WDNR. Subsequent changes in additives biocide limits. Great Lakes vessels also
usage also must be approved and the immediately must utilize Best
permittee is required to maintain records of Management Practices.
the monthly water treatment additives.
Ballast Water and Sediment Management Plan:

A plan must be maintained and made available to
WDNR upon request. It must address operation
and maintenance procedures, ballast tank
Rev. 12/09 45 of 48 2-014-1
cleaning/sediment removal practices, actions to
implement the treatment requirements and
designated person onboard in charge of ensuring
plan implementation.
Ballast Log Book: A log book that documents

ballast discharge, ballast uptake, sediment and
treatment must be kept aboard the vessel. It must
be made available to WDNR for examination upon
request.
Dishcarge Monitoring Plan: Vessels utilizing

BWT technologies must prepare a monitoring plan
prior to treatment. The plan must contain
information on the ballast tanks, information on
monitoring of biocides and of the treatment system.
A Discharge Monitoring Report must be submitted
annually by February 1t , but only after an onboard
BWTS becomes operational.
Treatment System Approval: Onboard BWTSs

are subject to WDNR approval. Plans and
specifications for permanent wastewater treatment
systems must be submitted to WDNR for review
and approval.
Rev. 12/09 46 of 48 2-014-1

INDEX
1.0 MI-Specific Requirements ................................................................................................2

2.0 Guidance On Safety Aspects Of Ballast Water Exchange At Sea.................................3
3.0 Ballast Water Management Plan (BWMP) Standards ..................................................3
4.0 Ship Operations..................................................................................................................4
5.0 Training and Education ....................................................................................................7
6.0 United States Requirements..............................................................................................7
7.0 Canadian Requirements....................................................................................................9
8.0 Brazilian Requirements.....................................................................................................9
9.0 BWM Requirements for Other Jurisdictions................................................................10
10.0 Attachments......................................................................................................................10
Attachment A IMO Guidance on Safety Aspects of Ballast Water Exchange
at Sea......................................................................................................11
1.0 Introduction............................................................................................................11
2.0 Safety Precautions..................................................................................................11
3.0 Crew Training and Familiarization........................................................................13
Attachment B IMO Ballast Water Record Book .......................................................14
1.0 Introduction............................................................................................................14
2.0 Ballast Water and BWM........................................................................................14
3.0 Entries in the Ballast Water Record Book .............................................................15
4.0 Volume of Ballast Water .......................................................................................16
5.0 Ballast Water Handling Log ..................................................................................17
Attachment C U.S. Ballast Water Reporting Form ...................................................18
Attachment D U.S. Great Lakes Ballast Water Reporting........................................23
Attachment E Guidelines for the Control Of Ballast Water Discharges from
Ships in Waters under Canadian Jurisdiction ..................................24
1.0 Introduction............................................................................................................24
2.0 Short Title ..............................................................................................................24
3.0 Definitions .............................................................................................................24
4.0 Application.............................................................................................................25
5.0 Consistency with International Guidelines and Other Requirements....................25
6.0 Ballast Water Management Plan (BWMP)............................................................25
7.0 Reporting Requirements ........................................................................................26
8.0 Discharge of Ballast Water ....................................................................................26
Rev. 12/09 47 of 48 2-014-1

9.0 Ballast Water Management (BWM) Options ........................................................27
10.0 Research.................................................................................................................27
11.0 Ballast Tank Sediment Disposal ............................................................................27
12.0 Regional Implementation.......................................................................................27
Annex I Ballast Water Reporting Form .......................................................28
Annex II BWM Procedures for Vessels Proceeding to the West Coast of
Canada............................................................................................29
Annex III BWM Procedure for Vessels Proceeding to the Great Lakes or
St. Lawrence River West of 63 degrees West Longitude ..............31
Annex IV Ballast Water Procedures for Vessels Proceeding to Ports in
Eastern Canada North of 60 degrees North Latitude .......................32
Annex V Ballast Water Procedures for Vessels Proceeding to Ports on
the East Coast of Canada ...............................................................33
Attachment F U.S. States’ Ballast Water Standards and Treatment
Requirements........................................................................................34
Rev. 12/09 48 of 48 2-014-1


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REPUBLIC OF Marine Notice

THE MARSHALL ISLANDS

TO: ALL SHIPOWNERS, OPERATORS, MASTERS AND OFFICERS OF

SUBJECT: Ballast Water Management Plans.

References: (a) BWM/CONF/36 and 37 dated 16 February 2004

1.0 MI-Specific Requirements

Rev. 12/09 2 of 48 2-014-1

2.0 Guidance On Safety Aspects Of Ballast Water Exchange At Sea

3.0 Ballast Water Management Plan (BWMP) Standards

.2 a detailed description of the actions to be taken to implement the BWM requirements

.3 detailed procedures for the disposal of sediments:

Rev. 12/09 3 of 48 2-014-1

3. Ballast water arrangements onboard;

4. Ballast water sampling points; and

5. Crew training and familiarization.

4.0 Ship Operations

Rev. 12/09 4 of 48 2-014-1

.1 bridge visibility standards (SOLAS V/22);

.2 propeller immersion; and

.3 minimum draft forward.

.3 In planning a Ballast Water Exchange operation that includes sequences which

Rev. 12/09 5 of 48 2-014-1

.2 the effect(s) on the navigational and maneuvering capabilities of the ship;

.3 the time to complete the operation.

.1 the ship will be in open water;

.2 the traffic density will be low;

.3 an enhanced navigational watch will be maintained including if necessary an

Rev. 12/09 6 of 48 2-014-1

5.0 Training and Education

6.0 United States Requirements

.2 Retain ballast water onboard the vessel;

Rev. 12/09 7 of 48 2-014-1

b. All required information is to be sent to the National Ballast Information

Rev. 12/09 8 of 48 2-014-1

i. Internet at: http://invasions.si.edu/NBIC/bwform.html

ii. Email to NBIC@BALLASTREPORT.ORG

iii. Fax to 301-261-4319

iv. Mail to U.S. Coast Guard, c/o SERC (Smithsonian Environmental

6.4 Individual States within the United States

.1 Vessels operating in waters of these states must be in compliance with their

7.0 Canadian Requirements

8.0 Brazilian Requirements

8.1 The Administration of Brazil issued a communication to the IMO concerning

Rev. 12/09 9 of 48 2-014-1

9.0 BWM Requirements for Other Jurisdictions

• Attachment A, IMO Guidance on Safety Aspects of Ballast Water Exchange at Sea

Rev. 12/09 10 of 48 2-014-1

IMO Guidance on Safety Aspects of Ballast Water Exchange at Sea

2.0 Safety Precautions

.1 avoidance of over and under pressurization of ballast tanks;

.3 admissible weather conditions;

.4 weather routing in areas seasonally affected by cyclones, typhoons, hurricanes, or

Rev. 12/09 11 of 48 2-014-1

.5 maintenance of adequate intact stability in accordance with an approved trim and

.6 permissible seagoing strength limits of shear forces and bending moments in

.7 torsional forces, where relevant;

.8 minimum/maximum forward and aft draughts;

.9 wave induced hull vibration;

.10 documented records of ballasting and/or de-ballasting;

.13 monitoring and controlling the amount of ballast water.

Rev. 12/09 12 of 48 2-014-1

.3 exchange of ballast in tanks or holds where significant structural loads may be

3.0 Crew Training and Familiarization