Ballast Water Convention

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The Ballast Water Convention ( English International Convention for the Control and Management of Ships' Ballast Water and Sediments ) is an international agreement passed in 2004 within the framework of the International Maritime Organization . The aim of the agreement is to mitigate the damage to the marine environment caused by ballast water. The agreement has been in force since September 8, 2017.

System for ballast water treatment

problem

To increase their stability and to balance the load, ships have to take in ballast water , which is transported in tanks, usually in the double bottom , the forepeak or aft peak and in side tanks. The ballast water is absorbed in the port, travels around the world with the ship and is pumped out again along with the organisms contained in the water in other ports. Depending on the type of ship and the state of loading, a great deal ( tanker , bulk carrier ), a lot ( container ships , refrigerated ships , car transporters ) or little (cruise and ferry ships ) ballast water is transported.

The importance of the problem has increased in recent years due to the economic upswing in emerging countries such as China , Brazil or India and will continue to increase in the future due to the forecast growth in international sea ​​trade and the increasing networking of the regions worldwide as part of globalization . It is precisely through the use of tankers and bulk carriers, which have a large volume of ballast water, that an ever increasing volume of ballast water is moved by ships. It is estimated that up to 10 billion tons of ballast water and over 3000 different animal and plant species are transported between ports around the world every year.

The spread of organisms such as the Chinese woolly crab or the migrating mussel through ballast water from ships has long caused damage to biodiversity and high costs due to production losses in fisheries, costs for the maintenance of maritime infrastructure and for the containment and control of these neobiota . The global financial impact can hardly be calculated. Ballast water can also pose a health hazard. Untreated ballast water contains numerous bacteria and viruses, which can also cause diseases such as cholera or paralytic shellfish poisoning .

Therefore, the International Maritime Organization (has International Maritime Organization , IMO) a Ballast Water Convention adopted in of 2004. It regulates the conditions for the exchange and treatment of ballast water.

Filter for a system for ballast water treatment

Development history

The development history of the ballast water Ü goes back to the 1970s. In the context of increased international regulation of marine pollution from shipping traffic, marine pollution from substances other than oil has also been the subject of international discussions. The first instrument in the field of international ballast water regulation is Resolution 18 of October 31, 1973, which was passed as part of the "International Conference on Marine Pollution 1973". This calls on the IMO and WHO to investigate the connection between ballast water and epidemic diseases and to conduct more basic research in the field of invasion biology. Due to a lack of scientific knowledge about the effects of ballast water on the marine environment, it was not until the beginning of the 1990s that regulatory measures were taken within the IMO.

Concrete steps to regulate the ballast water problem at international level were taken in 1991 when the Committee for the Protection of the Marine Environment (MEPC) passed a resolution containing guidelines for the transboundary handling of ship ballast water. The adoption of the resolution was largely due to the initiative of Australia, New Zealand and Canada. The guidelines adopted were not legally binding.

The Agenda 21 international program of action, adopted at the United Nations Conference on Environment and Development in Rio de Janeiro in June 1992, reiterated the call for states to examine the need for additional measures to combat pollution of the marine environment and the adoption of appropriate international regulations for Consider draining ballast water to prevent the spread of alien organisms.

The adoption of resolution A.774 (18) by the IMO Assembly on November 4, 1993 confirmed the guidelines adopted by the MEPC in 1991. Except for a few corrections of no content, the new ballast water guidelines corresponded to those that had been drawn up by the MEPC two years earlier. The renewed adoption by the IMO Assembly, however, gave the guidelines more political weight.

Resolution A.868 (20) of the IMO Assembly of December 1, 1997 was passed in the recognition that the Ballast Water Guidelines of 1993 do not represent a sufficient, comprehensive solution to the ballast water problem. The new ballast water guidelines replaced the previous rules from 1993 and expanded the existing strategies to include new elements of ballast water management.

However, the aim of the international community of states continued to be the development of a legally binding set of rules for the regulation of ballast water. For this purpose the “International Conference on Ballast Water Management for Ships” took place at the IMO headquarters in London. After complex negotiations between the member states of the IMO, on February 13, 2004, the ballast water exercise was accepted and passed by consensus by the 74 states involved.

structure

The Ballast Water Convention has a structure that is usual for international treaties under the umbrella of the IMO. The actual text of the contract is preceded by a preamble , consisting of 11 paragraphs. The function of the preamble is to present the motivation of the contracting states in concluding the convention and to define the general objectives of the convention. The contract text of the Ballast Water Convention is kept clear with a total of 22 articles. Articles 1 to 15 contain substantive provisions in which the rights and obligations of the contracting parties are laid down in general terms. Articles 16 to 22 are designed as formal provisions relating to procedural issues.

A system similar to the structure of MARPOL has been added to the text of the Ballast Water Agreement . According to Article 2, Paragraph 2 of the Ballast Water Convention, the Annex is an integral part of the Convention. Any reference to the Ballast Water Convention also includes the Annex. The Annex to the Ballast Water Convention is divided into five sections. Section A refers to “General Regulations”. Section B contains the “Handling and Control Regulations for Ships”. The “Special Provisions for Certain Areas” are listed in Section C. Section D contains the core of the Ballast Water Convention, the “Standards for Ballast Water Treatment”. Section E on the “Regulations for surveys and the issuing of certificates on ballast water treatment” serves to enforce the law.

In addition to the Ballast Water Convention, the Committee for the Protection of the Marine Environment has passed further guidelines that are important for the uniform interpretation and application of the Ballast Water O by the contracting states:

  • Guidelines for sediment collection systems (G1)
  • Guidelines for taking samples from ballast water (G2)
  • Ballast Water Treatment Guidelines - Equivalent Compliance (G3)
  • Ballast Water Treatment Guidelines and the Preparation of Ballast Water Treatment Plans (G4)
  • Guidelines for ballast water collection systems (G5)
  • Ballast water exchange guidelines (G6)
  • Guidelines for risk assessment according to rule A-4 of the Ballast Water Convention (G7)
  • Guidelines for Approval of Ballast Water Treatment Systems (G8)
  • Procedures for Approving Ballast Water Treatment Systems Using Active Substances (G9)
  • Guidelines for the Approval and Supervision of Prototype Ballast Water Treatment Technology Programs (G10)
  • Guidelines for design and construction regulations for ballast water exchange (G11)
  • Design and Construction Guidelines to Facilitate Sediment Control on Ships (G12)
  • Guidelines for additional measures related to the treatment of ballast water including emergency situations (G13)
  • Guidelines for the definition of areas for ballast water exchange (G14)

scope of application

The scope of the Ballast Water Convention is defined in Article 3 by a rule-exception relationship. The principle of the flag state principle is subject to special exemptions based on routes, shipping areas and types of ship.

The ballast water test initially applies to all ships that are authorized to fly the flag of a party to the convention. What is understood by a “ship” in the sense of the Ballast Water Ordinance is defined in Article 1, Paragraph 12: “The term 'ship' denotes a vehicle of any type that is operated in water and includes underwater equipment, floating equipment, floating platforms , floating storage units as well as floating production, storage and loading units. ”The term“ ship ”is very broad in Ballast Water Ü. Not only watercraft in the narrower sense that are used to transport passengers or goods, but also systems such as platforms for the development and exploitation of raw materials or floating storage tanks are subject to the ballast water regulation. The ballast water standards are not only used in commercial shipping , but also in the offshore industry ( utilities ) and in the area of ​​special maritime services (floating cranes, dredgers or cable layers ).

The principle of the general applicability of the Ballast Water Ordinance to ships of flag states is, however, subject to a final catalog of exceptions for certain operational profiles and structural features of ships (Article 3). Initially, all ships that have not been designed or built to take up ballast water and all ships that carry ballast water in a closed tank system and cannot discharge it into the sea are excluded.

Also excluded from the scope of the Ballast Water-Ü are all warships, naval auxiliary ships and other ships belonging to a state or operated by it, which are in government service and exclusively serve other than commercial purposes. This fundamental immunity of state ships from obligations under marine environmental law is in accordance with Article 236 UNCLOS and corresponds to the applicable maritime practice. It is at the discretion of the contracting parties to what extent their state ships must comply with the Ballast Water Ü standards.

The other exceptions relate to the operational profile of ships and take into account whether the operation of ships leads to cross-border ballast water transfers. Ships on international voyages are subject to the provisions of the Convention, while ships in coastal traffic are comprehensively exempted from this subject to national regulations of the coastal state.

Legal Enforcement

The structures and principles of the international law of the sea are also decisive for the enforcement of the ballast water regulation against the actors of the seafaring. In maritime law, the flag state jurisdiction represents the primary pillar of law enforcement, which is supplemented and overlaid by port state control as a second pillar, without being superseded. This general system of legal enforcement under the law of the sea is specified in the Ballast Water Ü by special regulations in order to meet the special scientific and technical challenges of the ballast water problem.

Flag state jurisdiction

Monitoring compliance with the provisions of the Convention is primarily the responsibility of the contracting parties in their function as flag states. For this purpose, the Ballast Water Ü establishes a system of inspection and issuing of certificates (Section E of the Annex). The inspection of the ship, which takes place at regular intervals, during which the technical compliance of the ship with the rules of the Convention is checked, is carried out by the competent authorities of the flag states or the classification societies commissioned with this . After the successful inspection of the ship, the "Ballast Water Certificate" (International Ballast Water Management Certificate, IBWMC) is issued. The certificate certifies that the ship and its equipment comply with the technical standards of the ballast water test. Certificates that have been issued in the name of a contracting party of the Ballastwasser-Ü must be recognized by the other contracting parties and considered to be as valid in all contexts as a certificate issued by them. The certificate is valid for a maximum of five years and must be reissued after this period has elapsed after a successful renewal survey. The repressive side of law enforcement by the flag states is governed by Article 8 of the Ballast Water Ordinance. According to this, the flag authorities are expressly authorized to prosecute every violation of the ballast water Ü. Any violation must be punished under the national law of the flag state, regardless of where the violation was committed. The violation of the law can be punished by facts from national criminal law and additionally or exclusively as an administrative offense. The punishment of violations of the Ballast Water Convention is regulated in Germany by the See Environmental Behavior Ordinance (SeeUmwVerhV) ( BGBl. 2014 I p. 1371 ).

Port State Control

The focus of port state control is on checking whether the ships entering the ports comply with the technical specifications of the ballast water test. Articles 9 to 12 of the Ballast Water Ordinance contain provisions on the instruments of port state control, from which the basic procedure of the inspections, the scope of the competences of the port state authorities, the cooperation of the port state authorities with the flag states concerned as well as approaches to guarantee a complete legal enforcement surrender. The procedure for port state control for the purpose of enforcing the ballast water oversight follows a four-stage structure according to the guidelines for port state control. In the first stage there is an initial inspection of the ship, which can be followed by a thorough inspection (detailed inspection) in the second stage. The incoming inspection includes the review of the international ballast water certificate, the ballast water record book (BWRB), the ballast water management plan approved by the flag state (Ballst Water Management Plan, BWMP) and a visual inspection of the ship's condition, especially the treatment system, if one has been installed on board. A thorough inspection of the ship can only be ordered if the incoming inspection results in “clear reasons” that are indications of non-compliance with the ballast water requirement. The thorough examination can result in the ordering of the taking and analysis of ballast water samples, with which the procedure reaches the third stage of port state control. At the fourth stage of port state control, ships can also be arrested in the port in the event of violations. For this purpose, the violation must be clearly established based on the results of the analysis of the samples of the ballast water. The immobilization of ships is seen as a last resort, which the national authorities are responsible for ordering. Alternative measures such as the prohibition of discharging ballast water, the ordering of repairs to the ship's ballast water system, the discharge of ballast water via a catchment facility on land and the permission to exchange ballast water in water bodies suitable for this purpose are alternative measures.

Entry into force of the Ballast Water Convention

The Ballast Water Convention comes into force twelve months after the day on which at least 30 states, whose merchant fleets total at least 35 percent of the gross tonnage of the world's merchant fleet, have deposited their instrument of ratification with the IMO as custodian. This was achieved with the deposit of Finland's instrument of ratification on September 8, 2016. By June 8, 2017, a total of 59 states had ratified the agreement, which together cover a good 65.18% of global trading tonnage. The convention came into force for these 59 states on September 8, 2017. There are currently 65 states party to the Convention, representing 73.92% of world trade tonnage.

For Germany , the Bundestag and Bundesrat ratified the Convention on February 14, 2013 with the Ballast Water Act . On June 20, 2013, the Federal Republic deposited the corresponding ratification document with the Secretary General of the IMO. In Germany, the Federal Maritime and Hydrographic Agency is responsible for the approval of ballast water treatment systems. The monitoring of compliance with the Ballast Water Convention by ships flying the German flag and ships flying a foreign flag that are located in German ports ( port state control ) is the responsibility of the ship safety department of BG Verkehr.

Ballast water management

Disinfection of ballast water by means of UV radiation

The Ballast Water Convention basically provides two different methods for ballast water management, as described under Ballast Water :

  • Exchange of ballast water at sea
  • Ballast water treatment on board.

Ballast water standards

The ballast water test contains specific norms (ballast water standards) that must be adhered to when using the ballast water management methods. The D-1 standard, which is permitted for a transitional period after the Ballast Water Convention comes into force, can be achieved by a simple ballast water exchange. The more extensive D-2 standard, on the other hand, can only be complied with with an appropriate ballast water treatment system on board.

Standard for ballast water exchange (rule D-1)

Rule D-1.1 stipulates that ships exchanging ballast water must achieve an effective volume renewal of at least 95% of the ballast water. The ballast water exchange should ideally lead to a complete exchange of the ballast water in the tanks. If the exchange is carried out using the pumping through method, then, according to rule D-1.2, pumping the volume of each ballast water tank three times is considered to be compliance with the standard specified in rule D-1.1. The geographical requirements for the exchange of ballast water result from rule B-4.1. According to this, the ballast water must pass at a distance of at least 200 nautical miles from the nearest coast at a water depth of at least 200 meters. If the distance of 200 nautical miles cannot be maintained, the exchange must be carried out in an area with a water depth of at least 200 meters and which is as far away as possible from the nearest coast, but at least 50 nautical miles from the nearest land having. The areas in which ballast water may be exchanged are spatially limited by these specifications for water depth and distance to the coast. Large areas of the Baltic Sea are therefore not suitable for the exchange of ballast water.

Quality standard for treated ballast water (rule D-2)

According to regulation D-2.1, ships may only discharge treated ballast water into the marine environment which has a concentration of less than 10 viable organisms in one cubic meter that are larger than 50 micrometers. Organisms with a size between 50 and 10 micrometers may only be present in a concentration of less than 10 viable organisms in one milliliter of ballast water. In addition, the explicitly mentioned indicator microbes may only be introduced in concentrations that are considered to be harmless to human health. For this purpose, the Ballast Water-Ü in rule D-2.2 names the toxigenic pathogen Vibrio cholerae (O1 and O139), of which less than one colony-forming unit (CFU) per 100 ml of ballast water or less than one CFU per gram of zooplankton (wet weight) may be present. . The Escherichia coli pathogen may only occur in a concentration of less than 250 CFU per 100 ml, intestinal enterococci only in a concentration of less than 100 CFU per 100 ml ballast water.

Temporal application of the ballast water standards

The original schedule for the application of the quality standards for ballast water according to regulation B-3 was modified by resolution A.1088 (28) of the IMO Assembly of December 4, 2013. According to this, due to the entry into force of the Convention after 2016, the temporal application is now uniformly based on the first renewal survey after the annual date. "Renewal survey" means the survey of the ship to issue the 'International Oil Pollution Prevention Certificate' (IOPCC, MARPOL Annex I, Rule 6 to 11). The "year date" is made up of the day and month of each year, which correspond to the date on which the IOPCC certificate expires. With the entry into force of the Ballast Water Convention on September 8, 2017, the quality standards will not yet be applied to all ships; rather, they will be applied over time. In terms of time, the following now applies:

  • The quality standards for ballast water apply to all existing ships from the first renewal survey after the annual date.
  • Ships with a renewal survey between September 8, 2017 and September 8, 2019 must meet the quality standards at the time of this survey, provided that the last renewal survey was between September 8, 2014 and September 8, 2017. Ships whose last renewal survey took place before September 8, 2014, do not have to meet the quality standards until the next renewal survey (no earlier than September 8, 2019).
  • Ships with a renewal survey after September 8, 2019 must meet the quality standards from the time of this survey
  • The quality standards for ballast water will apply to all ships from 2024.
  • On ships that are built after the Convention has come into force, the quality standards apply from the time the ship is completed.

Due to the modifications, the ballast water capacity and the year of construction of the ship are no longer decisive factors.

Individual evidence

  1. ↑ a b Global treaty to halt invasive aquatic species to enter into force in 2017 , International Maritime Organization, September 8, 2016. Retrieved September 9, 2016.
  2. ↑ UNCTAD / RMT / 2013, Review of Maritime Transport 2013 , p. 172.
  3. ↑ Ballast Water Hitchhikers , International Maritime Organization ( PDF ; 1.22 MB), accessed September 4, 2015.
  4. ↑ MP / CONF / WP. 29, Resolution 18: Research into the Effects of Discharge of Ballast Water containing Bacteria of Epidemic Diseases, 31 October 1973, p. 24
  5. ↑ MEPC. 50 (31), International Guidelines for preventing the Introduction of unwanted Aquatic Organisms and Pathogens from Ships' Ballast Water and Sediment Discharges, July 4, 1991
  6. ^ Maria Helena Fonseca de Souza Rolim: The International Law on Ballast Water, Boston: Martinus Nijhoff Publishers, 2008, p. 86
  7. ↑ A 20 / Res. 868, Guidelines for the Control and Management of Ships' Ballast Water to minimize the Transfer of Harmful Aquatic Organisms and Pathogens, December 1, 1997
  8. ↑ Guidelines for Port State Control under the BWM Convention (Eng.)
  9. ↑ Ballast Water Management treaty ratifications boost. In: hellenicshippingnews.com . June 12, 2017. Retrieved August 1, 2018.
  10. ↑ Status of IMO Conventions (Eng.)
  11. ↑ Ballast Water Act of February 5, 2013 ( Federal Law Gazette II p. 42); Valid from February 14, 2013.
  12. ↑ Germany ratifies the Ballast Water and Wreck Disposal Convention of the International Maritime Organization (IMO) ( Memento of December 6, 2013 in the Internet Archive ) , BMVBS press release of June 20, 2013.
  13. ↑ IMO Resolution A.1088 (28) (Engl.) ( Memento of the original April 20, 2017 Internet Archive ) Info: The archive link is automatically inserted and not yet tested. Please check the original and archive link according to the instructions and then remove this notice. @1@ 2Template: Webachiv / IABot / www.bsh.de
  14. ↑ Infographic on the temporal application of the standards

literature

  • International Maritime Organization: Ballast Water Management Convention. London: IMO, 2005
  • Christian Mehrkens: Analysis of ballast water treatment on seagoing vessels. Hamburg-Harburg, Technical University, thesis, 2006
  • Karl-Heinz Hochhaus, Christian Mehrkens: Ballast water treatment - an overview; Schiff & Hafen, No. 3, 2007
  • Andreas R. Zink: The Ballast Water Convention of the International Maritime Organization of 2004 - application in the North and Baltic Seas. Baden-Baden, 2016

Web links