Introduction
1 The entry into force of the International Convention for the Control and
Management of Ships' Ballast Water and Sediments, 2004 (the Convention) will represent
the beginning of global ballast water management. As challenges can be expected with any
new global approach, there may be a need for improvements to the Convention in light of
experience gained, in accordance with article 2.5 of the Convention (concerning the
continued development of ballast water management and standards).
2 The purpose of the ballast water experience-building phase (EBP) is to
allow the Marine Environment Protection Committee (the Committee) to monitor the
implementation of the Convention. The EBP includes data gathering and analysis to allow
the Committee to identify aspects of the Convention's implementation that are working
well and to shed light on issues that require further attention. The EBP also includes a
systematic and evidence-based process for reviewing and improving the Convention.
3 The EBP is intended to permit port States, flag States and stakeholders
(e.g. owners and operators of ships, manufacturers of BWMS, and recognized
organizations) to:
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.1 gather and submit data concerning the implementation of the Convention;
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.2 participate in the analysis of this data in the Ballast Water Review Group
(BWRG) of the Committee; and
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.3 undertake a review of the text of the Convention to identify any areas
where the evidence demonstrates a need for improvement of the Convention,
and then develop a package of priority amendments.
4 To this end, the EBP is structured as three stages: a data gathering stage,
a data analysis stage, and a Convention review stage (see figure 1). The EBP begins with
the entry into force of the Convention and ends with the entry into force of the package
of priority amendments. A specific timeline for the stages of the EBP will be included
within a data gathering and analysis plan for the ballast water experience-building
phase (DGAP) setting out the concrete approach to gathering and analysing data during
the EBP.
5 The scope for the EBP is the Convention regime as a whole. The EBP
includes, and is broader than, the more specific "trial period" associated with methods
for sampling and analysing ballast water during port State control (PSC)footnote. The arrangements for the trial period have
been updated and incorporated within the EBP, and data associated with the trial period
will be gathered and analysed in parallel with data concerning other aspects of the
Convention.
Figure 1: Stages of the ballast water experience-building phase and
non-penalization
Non-penalization
6 By way of the resolution adopting the EBP, the Committee has adopted certain
non-penalization measures that will be in place during the EBP. These measures are
intended to recognize and address concerns expressed by the shipping industry regarding
the potential penalization of shipowners and operators during the implementation of the
Convention due to non-compliance with the ballast water performance standard described
in regulation D-2 of the Convention despite the use of a proper ballast water management
system (BWMS). The measures also recognize the need to protect the environment, human
health, property and resources in port States from the discharge of non-compliant
ballast water.
7 Ships should carry documents on board demonstrating that the preconditions associated
with the non-penalization measures have been met (e.g. relating to approval,
installation and maintenance of the BWMS). The crew should adhere to the operational
instructions and manufacturer's specifications of the BWMS (which should be carried on
board). The crew should also attend to the self-monitoring system of the BWMS.
8 This temporary non-penalization that is specific to the EBP has no bearing
on other decisions of the Committee concerning other non-penalization arrangements.
9 Aside from this non-penalization, the EBP does not alter the basic roles,
responsibilities, obligations and recommendations under the Convention, its guidelines
and other guidance.
Data gathering
10 Data gathering is intended to ensure that the Committee has adequate information on
the implementation of the Convention. The specific information to be collected is to be
set out in the DGAP. The DGAP is intended as a living document and may be revised as
appropriate by the Committee during the EBP.
11 Member States are encouraged to participate fully in the EBP in order to maximize the
information available to the Committee. EBP data will be gathered from Member States
voluntarily through four interfaces: basic interface reports (on data generally
collected by port and flag States), supplementary interface reports (on specific topics
that might be provided by a limited number of States), trial period interface reports
(on methods for sampling and analysis for port State control) and stakeholder reports
(e.g. from shipowners, BWMS manufacturers and classification societies). For practical
reasons, stakeholders are invited to provide their voluntary submission to a relevant
Member State for aggregation and submission to the stakeholder interface.
12 In order to ensure data quality, the DGAP will include common data templates
associated with each interface. These templates will request mainly numerical or
categorical data that can be easily combined for global reporting. The submissions will
be reports (rather than raw data) from Member States so as to manage the volume of
information. In cases where different approaches to data collection by States could
significantly affect the comparability of reports, States will be requested to identify
the approach used to collect the data.
13 Commercial sensitivities will be protected through the use of aggregate reporting by
port States and flag States. The EBP does not require ships or shipowners to be
identified in data submissions.
Data analysis
14 The data analysis is intended to ensure that the globally aggregated EBP data is
processed to yield useful and timely information and insight into the implementation of
the Convention. This information should include matters such as the pace and progress of
implementing the Convention, degree to which the standards of the Convention and its
other requirements are achieved, unforeseen safety or environmental hazards, etc.
15 The analysis report will be developed once the data gathering stage has concluded. The
analysis report will be based primarily on the results of the data gathering stage. The
terms of reference for the report will be approved by the Committee in order to focus
the analysis and identify any appropriate additional data sources and/or questions. A
draft of the analysis report should be provided to the Committee for consideration and
comment by its Ballast Water Review Group (BWRG) prior to its completion.
Convention review
16 As the entry into force of the Convention on 8 September 2017 will represent the
beginning of global ballast water management, challenges may arise that were not
envisioned when the Convention was adopted in 2004. In accordance with Article 2.5 of
the Convention (concerning the continued development of ballast water management and
standards) there may be a need to amend the Convention in the light of experience
gained.
17 The purpose of the Convention review, therefore, is to take a systematic and
evidence-based approach to the development of a package of amendments to the Convention
for recommendation by the Committee to the Parties. Basing the review on the data
gathering and final analysis report developed earlier in the EBP will ensure that
amendments to the Convention are developed holistically through an objective,
transparent and inclusive approach.
18 The Convention review stage should be undertaken by the Committee with the support of
its BWRG, and should consist of two sequential steps:
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.1 a textual review of the Convention as a whole to develop an evidence-based
list of issues with the Convention, highlighting those priority issues that
need to be addressed before the end of the EBP (and its associated
non-penalization arrangements). Guidelines and guidance developed by the
Committee in connection with the Convention may be included in the
Convention review if warranted based on the data analysis; and
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.2 the development of a package of amendments to the Convention to address
the priority issues (amendments to address other issues identified during
the textual review may then be developed after the end of the EBP.)
19 In reviewing the Convention, the Committee intends to give due consideration to
matters such as the policy goals of the Convention, any challenges identified in its
implementation and the considerations outlined in regulation D-5 of the Convention.
20 It is recommended that most amendments to the Convention be developed through the EBP
as it provides a systematic and evidence-based approach to improving the Convention.
That said, the EBP does not prevent any Party from proposing amendments independently at
any time in accordance with article 19 of the Convention.