This section provides individual guidelines for the seven mandatory provisions of
Regulation B-1 of the Annex to the Convention. In addition, it provides information to assist
ships personnel in managing ballast water and sediments.
Regulation B-1 of the Annex to the Convention provides that the Plan shall be specific to
each ship and shall at least:
detail safety procedures for the ship and the crew associated with Ballast Water
Management as required by the Convention;
provide a detailed description of the actions to be taken to implement the Ballast
Water Management practices required by the Convention;
detail the procedures for the disposal of sediments at sea and to shore;
include the procedures for co-ordinating shipboard Ballast Water Management
that involves discharge to the sea with the authorities of the State into whose
waters such discharge will take place;
designates the officer on board in charge of ensuring that the Plan is properly
contain the reporting requirements for ships provided for under the Convention;
be written in the working language of the ship. If the language used is not
English, French or Spanish, a translation into one of these languages should be
The Ballast Water Management Plan should give guidance on the ballast handling
procedures to be followed, including:
uptake of ballast water;
step-by-step procedures and sequences for the Ballast Water Management System
any operational or safety restrictions including those associated with the Ballast
Water Management System used. This will also assist ship’s personnel when
responding to enquiries from inspection officers authorized by a Party.
Safety aspects of the Ballast Water Management system used should include, as
applicable, guidance on:
stability to be maintained at all times to values not less than those recommended
by the Organization (or required by the Administration);
approved longitudinal stress and, where applicable, torsional stress values are to
be maintained within permitted values;
transfer or exchange of ballast that can generate significant structural loads by
sloshing action in partially-filled tanks. If these operations include partially-filled
tanks, consideration should be given to carrying out the operation in favourable
sea and swell conditions such that the risk of structural damage is minimized;
wave-induced hull vibrations when carrying out ballast water exchange;
forward and aft draughts and trim, with particular reference to bridge visibility,
slamming and minimum forward draft;
the effects of any potential hazards and occupational health that may affect ship’s
personnel shall also be identified together with any safety precautions that need to
be taken; and
the possible effects of tank over pressurization.
If a ship is able to complete at least 95 per cent volumatic exchange in less than three
pumped volumes, documentation indicating that this ballast water exchange process has been
approved under Regulation D-1.2 should be provided in the Plan.
The Plan should also include procedures for the disposal of sediments and in particular:
on the sediment removal or reduction at sea, and when cleaning of the ballast
tanks to remove sediments;
regarding the safety consideration to be taken if tank entry is required to remove
regarding the use of port reception facilities for sediments.
The Plan should clearly identify the officer in charge of ballast water management and
outline his/her duties which should include:
ensuring that the Ballast Water Management performed follows the procedures in
ensuring that the Ballast Water Record Book and any other necessary
documentation are maintained; and
being available to assist the inspection officers authorized by a Party for any
sampling that may need to be undertaken.
The Plan should contain guidance on the recording requirements according to ship’s
Ballast Water Record Book provided for under this Convention including details of exemptions
granted to the ship.
In addition to the above, the Plan should include the following:
A foreword which should provide the ship’s crew with explanations on the need
for ballast water management and for record keeping. The foreword should
include a statement that, ’This Plan must be kept available for inspection on
request by an authorized authority’.
Ship particulars including at least:
ships’ name, flag, port of registry, Gross Tonnage, IMO number*, length
(BP), beam, international call sign; deepest ballast drafts (normal and
* In accordance with resolution A.600(15) IMO Ship Identification Number Scheme. .2
the total ballast capacity of the ship in cubic meters and other units if
applicable to the ship;
a brief description of the main ballast water management method(s) used
on the ship; and
identification (rank) of the officer in charge for implementing the Plan.
Information on Ballast Water Management System used on board, including:
ballast tank arrangement;
ballast capacity plan;
a ballast water piping and pumping arrangement, including air pipes and
ballast water pump capacities;
the Ballast Water Management System used on board, with references to
operational and maintenance manuals held on board;
installed ballast water treatment systems; and
a plan and profile of the ship, or a schematic drawing of the ballast
Information on the ballast water sampling points, including:
A list or diagrams indicating the location of sampling and access points in
pipelines and ballast water tanks, to enable crew members to assist the
authorized officers of a Party that have reason to obtain samples.
This section should make clear that sampling of ballast water is primarily a
matter for the authorized inspection officers, and there is unlikely to be
any need for crew members to take samples except at the express request,
and under the supervision, of the authorized inspection officers.
The authorized inspection officers should be advised of all safety
procedures to be observed when entering enclosed spaces.
Provisions for crew training and familiarization, including:
requirements of a general nature regarding Ballast Water Management;
training and information on ballast water management practices;
ballast water exchange;
ballast water treatment systems;
general safety considerations;
the Ballast Water Record Book and maintenance of records;
the operation and maintenance of installed ballast water treatment systems;
safety aspects associated with the particular systems and procedures used
onboard the ship which affect the safety or human health of crew and
passengers and/or the safety of the ship;
precautions for entering tanks for sediment removal;
procedures for the safe handling and packaging of sediment; and
storage of sediment.