Home India Ministry of Ports, Shipping and Waterways Issuance of Statement of Compliance (SoC) to Indian Flag ves...
Date: 2016-12-06 Category: DGS Circular State: Union Government Country: India

Issuance of Statement of Compliance (SoC) to Indian Flag vessels by Recognized Organization on verification of compliance with the International Convention for the Control and Management of Ship's Ballast water and sediments, 2004

Issued by Ministry of Ports, Shipping and Waterways · Directorate General of Shipping

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Executive Summary & Key Takeaways

**Executive Summary** This engineering circular, effective December 6, 2016, addresses the issuance of Statements of Compliance (SoC) by Recognized Organizations (ROs) to Indian flag vessels, verifying adherence to the International Convention for the Control and Management of Ship's Ballast Water and Sediments (BWM Convention). The BWM Convention enters into force on September 8, 2017. Indian vessels over 400 GT engaged on international voyages must comply, and this circular provides guidance for surveys, certifications, and compliance. **Key Points / Main Content** * **BWM Convention Implementation:** * Even though India has not ratified the BWM Convention, vessels over 400 GT on international voyages must comply. * From September 8, 2017, applicable vessels must carry an approved ballast water management plan, a ballast water record book, and a Statement of Compliance (SoC). * **Role of Recognized Organizations (ROs):** * ROs are authorised to approve BWM plans, conduct surveys, and issue Statements of Compliance (SoC) for BWM Convention. * **Ballast Water Management System (BWMS) Requirements:** * Vessels must be fitted with a BWMS approved according to IMO guidelines. * Implementation deadlines for BWMS fitment are based on when the keel was laid: * *Before September 8, 2017:* By the first renewal survey associated with the IOPP Certificate after September 8, 2017. * *On or after September 8, 2017:* By the completion date of construction. * **New Build Vessels:** * New build vessels constructed before entry into force but delivered after entry into force must comply with regulation D-2 from the date of IOPP renewal survey. * **BWMS Approval Guidelines:** * Administrations should apply revised G8 Guidelines when approving BWMS no later than October 28, 2018. * Specific approval guidelines apply to BWMS installed before and after October 28, 2020. * **Transitional Measures (until IOPP certificate expiry):** * From September 8, 2017, until the next IOPP certificate renewal, vessels must fulfil the D1 ballast water exchange standard, confirmed in the SoC. * Ballast water exchange in deep seas requires an approved plan, documentation in the record book, and an initial survey. * **Measures after IOPP Certificate Renewal:** * After the next IOPP renewal survey, vessels must comply with the D2 ballast water discharge standard. * Existing vessels must retrofit a BWMS, with an approved BWM plan, technical documentation, operation manual, record book documentation, and an initial survey. * **Ballast Water Management Plan (BWMP):** * BWMP may be approved in compliance with Resolution A.868(20) or MEPC.127(53). * BWMP approved in accordance with Resolution A.868(20) should remain valid until the plan requires revision due to the installation of a ballast water management system. **Impact Analysis** **Stakeholder: Owners/Managers of Indian Vessels (>= 400 GT) on International Voyages** * **Impact:** Required to comply with the BWM Convention even though India has not ratified it. Subject to surveys and certification for issuance of Statement of Compliance. May need to retrofit vessels with BWMS. * **Action Required:** Approach Recognized Organizations to schedule surveys and certification to demonstrate BWM Convention compliance before September 8, 2017. Advance the IOPP renewal survey if planning to do so to postpone BWTS fitment. Fulfill at least the D1 ballast water exchange standard until the next IOPP Certificate renewal. **Stakeholder: Recognized Organizations (ROs)** * **Impact:** Authorised to approve BWM plans, conduct surveys, and issue Statements of Compliance for Indian flag vessels in accordance with the BWM Convention. * **Action Required:** Be guided by the circular's requirements and approve plans, undertake surveys, and issue Statements of Compliance to Indian flag vessels after satisfactory verification of compliance with the BWM Convention. **Stakeholder: Mercantile Marine Departments** * **Impact:** Awareness of measures for Indian vessels. * **Action Required:** N/A **Stakeholder: Hindi Cell, DGS and Computer Cell, DGS** * **Impact:** To provide a Hindi version of this circular and upload it on the DGS website * **Action Required:** Translation and uploading of this circular.

Key Entities Referenced

International Convention for the Control and Management of Ship's Ballast Water and Sediments, 2004 (BWM Convention): International treaty aimed at preventing the spread of harmful aquatic organisms through ballast water. This circular concerns compliance with the convention. Directorate General of Shipping: The Indian maritime authority issuing the circular regarding compliance with the BWM Convention for Indian flagged vessels. Recognised Organization (RO): Organizations authorized by the Directorate General of Shipping to verify compliance with the BWM Convention and issue Statement of Compliance to Indian flagged vessels. Resolution MEPC.279 (70): IMO resolution specifying technical guidelines for Ballast Water Management Systems (BWMS) which is referenced for implementation. Indian Flag vessels: The circular addresses vessels registered in India, particularly those engaged in international voyages, and their need to comply with the BWM Convention.
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'l' NorlNG that the rnternationar Maritime organization (rMo) deveroped and adopted "The rnternationar convention for the contror and Management of ships Ballast Water and Sediments , 2004,, (BWM Convention) with the aim of protecting the marine environment from the transfer of harmfur aguatic organisms in ballast water caried by ships. 2 NorlNG ALSO that after Finrand ratifled the convention on 8 september 2016, BWM convention has met the criteria for entry into force of the convention and will now enter into force on g September 2017. 3 REALI,ING that even though the rndian Government has not yet ratified the BWM Convention but a, its vessers over 400 GT and above engaged on international voyages have to comply with the BWM convention and be subjected to survey and certification towards issuance of statement of compliance in rieu of the rnrernationar Baflast water Management certificate with page 1of6an aim to demonstrate compliance with BWM Convention when visiting a State which has ratified the Convention. 4. lN PURSUANCE TO THE FOREGOING, all Recognized Organizations (RO) are advised to be governed by the BWM Convention requirements. They are hereby authorised to approve the BWM plans & to carry out Survey and issue the Statement of Compliance (SoC) for BWM Convention to all such lndian Vessels upon satisfactory verification of the BWM requirements and compliance with the appticable requirements as specified in the following paragraphs no. 5 to 14. 5. Vessels to which the BWM Convention applies will be required to carry the following documents from 8rh September 2017: (a) Approved ballast water management plan (Regulation B-1). (b) Ballast water record book (Regulation B-2). / (c) An lnternational Ballast Water Management Certificate Statement of Compliance to Ballast Water Management Convention, as applicable (issued after survey under Regulation E-1). b. Further, vessels, to which the Convention applies, are required to be fitted with a Ballast Water Management System (BWMS) which has been approved in accordance with IMO guidelines for meeting the discharge performance standards (D-2) as specified in the BWM Convention. The implementation schedule for fitment of BWMS (D-2), according to IMO Resolution A.1088 (28) is as follows: Keel laid lmplementation deadline for BWMS in order to meet Reg. D-2 Before By the first renewal survey associated with the IOPP 8 September Certificate after 8 September 2O17. 2017 On or after 8 September By the completion date of the construction 2017 Page 2 of 6 A,7. New build vessels constructed before entry into force but delivered after entry into force shall comply with ballast water management that at least meets the standard described in regulation D-2 from the date of the lopp renewal survey. Nofe: Constructed is defined in Regulation A-.1 as follows. Constructed in respect of a vessel means stage of construction where: a) The keel is laid; or b) Construction identifiable with the specific vessel begins; c) Assembly of the vessel has commenced comprising at least 50 tonnes o|I percent of the estimated mass of all structural material, whichever is less; or d) The vessel undergoes a major conversion. 8. Noting that there are uncertainties with respect to ability of Ballast Water Management System (BWMS) approved as per the current G8 Guideline [guidelines adopted on October 10, 2008 through resolution MEpC 174 (Sg)] being able to comply with the requirements of Regulation D-2 when installed on board ships, MEPC has revised this GB Guidelines to make it more transparent, robust and fit for the purpose through resolulion MEPC.279 (70). Resolution MEPC.279(7C) recommends that BWM systems "installed"* on board ships be approved as per following time frame: (a) Administrations apply the revised Guidellnes (G8) when approving BWMS as soon as possible but no later than 28 October 2018; (b) All BWMS installed on board ships prior to 28 October 2020 should be approved taking into account either resolution MEPC 174(58) or preferably revised guidelines (G8); (c) BWMS installed on ships on or after October 28, 2020 should be approved taking into account the revised G8. (* 'installed' means the contractual date of delivery of the BWT system to the ship or, in the absence of such a date, the actual date of delivery of the BWT system to the ship.). 9. ln order to ensure that the BWMS approved as per MEPC.279 (7O) arc fitted on lndian vessels, and also considering that the BWMS approved as per MEPC.279 Page 3 of 6(70) are not available presently, the lndian Administration has no objection for allowing IOPP renewal survey to be completed prior to entry into force date of BWM Convention. Noting that there is no legal requirement for the IOPP Certificate survey cycle to be aligned with the harmonized system of survey and certification (HSSC) cycle, the Directorate has no objection for decoupling the IOPP Certificate from the HSSC. 10. THEREFORE the owners / managers of vessel (s) of 400 GT and above which are registered in lndia and engaged on lnternational voyages are advised to approach the Recognized Organizations for subjecting their vessels to: (a) survey and certification towards demonstrating the compliance of BWM Convention requirements which should be undertaken prior to 8 September 2O17; (b) IOPP Renewal Survey, if planning to advance the IOPP renewal survey for cases where the vessel's renewal surveys are falling due after 8 September 2017 with an aim to postpone the fitment of BWTS as mentioned above. 11. Required measures until the expiry of the IOPP certificate: ln the transitional period from 8th September 2017 until the next IOPP Certificate renewal, all vessels of 400 GT and above are required to fulfil at least the D1 ballast water exchange standard and same to be confirmed in the Statement of Compliance issued under BWM Convention. For the exchange of ballast water in deep seas during voyages between ports the following is necessary: (a) Approved Ballast Water Management Plan for the exchange of ballast water (b) Documentation of the ballast water exchange in the Ballast Water Record Book (c) lnitial survey for ballast water exchange on board. Page 4 of 512. Required measures after the renewal of the \OPP certificate:After the next lOpp renewal survey, the vessel has to be in compliance with the ballast water discharge standard D2. The ballast water on board has to be treated usualty by an approved ballast water management plant. Existing vessels, which do not yet have such an installation, will have to be fitted with the installation (retrofit). ln addition the following is necessary: (a) Approved BWM pran modified for the treatment on board (b) Approved technical documentation for a BWMS installation (c) BWMS Operation Manual (d) Documentation of the ballast water treatment in the Ballast Water Record Book (e) lnitial survey for ballast water treatment on board 13. Ballast Water Management Ptan (BWMP): As per BWM.2/Circ.40 BWMp may be approved in compliance with either Resotution 4.S68(20) or MEpC.127(53) and BWMP approved in accordance with Resolution 4.868(20) should remain valid until the plan requires revision due to the installation of a ballast water management system. 14. All Recognized Organizations are hereby advised to be guided by the foregoing and they are authorised to approve ptans, undertake Survey and issue Statement of Compliance to the BWM Convention to lndian flag vessels on satisfactory verification of the requirements. This is issued with the approval of the competent authority. Engineer & Ship Surveyor cum Dy. Page 5 of 6 )->To, 1. The Principal Officer/ Mercantile Marine Department, Mumbai/Kolkata/ Chennai/ Kandla/Kochi. 2. The Surveyor-in-charge, Mercantile Marine Departmenl, Goa/Jamnagar/Port Blair A/isakhapatanam /Tuticorin /Delhi /Haldia/ Paradip /Mangalore. 3. All Recognised Organizations. 4. lndian National Ship-owners' Association.(INSA), Mumbai. 5. ICC Shipping Association, Mumbai 6. CS/NA/CSS/Jt.D.G. 7. Sr.PS DG(S) 8. Hindi cell with a request to provide Hindi version for dissemination. 9. Guard file. 10. Computer Cell, DGS with a request to up load in the DGS website. Page 6 of 5

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