REPORT TO THE MARINE ENVIRONMENT PROTECTION COMMITTEE 1 GENERAL 4 2 DECISIONS OF OTHER IMO BODIES 4

Transcription

1 E SUB-COMMITTEE ON POLLUTION PREVENTION AND RESPONSE 4th session Agenda item 21 PPR 4/21 27 February 2017 Original: ENGLISH REPORT TO THE MARINE ENVIRONMENT PROTECTION COMMITTEE Section Page 1 GENERAL 4 2 DECISIONS OF OTHER IMO BODIES 4 3 SAFETY AND POLLUTION HAZARDS OF CHEMICALS AND PREPARATION OF CONSEQUENTIAL AMENDMENTS TO THE IBC CODE 4 REVIEW OF MARPOL ANNEX II REQUIREMENTS THAT HAVE AN IMPACT ON CARGO RESIDUES AND TANK WASHINGS OF HIGH VISCOSITY AND PERSISTENT FLOATING PRODUCTS 5 CODE FOR THE TRANSPORT AND HANDLING OF LIMITED AMOUNTS OF HAZARDOUS AND NOXIOUS LIQUID SUBSTANCES IN BULK ON OFFSHORE SUPPORT VESSELS 6 REVISED GUIDANCE ON BALLAST WATER SAMPLING AND ANALYSIS 7 REVIEW OF THE GUIDELINES FOR APPROVAL OF BALLAST WATER MANAGEMENT SYSTEMS (G8) 8 PRODUCTION OF A MANUAL ENTITLED "BALLAST WATER MANAGEMENT HOW TO DO IT" 9 CONSIDERATION OF THE IMPACT ON THE ARCTIC OF EMISSIONS OF BLACK CARBON FROM INTERNATIONAL SHIPPING 10 STANDARDS FOR SHIPBOARD GASIFICATION OF WASTE SYSTEMS AND ASSOCIATED AMENDMENTS TO REGULATION 16 OF MARPOL ANNEX VI 11 GUIDELINES FOR THE DISCHARGE OF EXHAUST GAS RECIRCULATION BLEED-OFF WATER

2 Page 2 12 IMPROVED AND NEW TECHNOLOGIES APPROVED FOR BALLAST WATER MANAGEMENT SYSTEMS AND REDUCTION OF ATMOSPHERIC POLLUTION UPDATED IMO DISPERSANT GUIDELINES (PART IV) UPDATED OPRC MODEL TRAINING COURSES UNIFIED INTERPRETATION TO PROVISIONS OF IMO ENVIRONMENT-RELATED CONVENTIONS USE OF ELECTRONIC RECORD BOOKS REVISION OF THE 2011 SCR GUIDELINES BIENNIAL AGENDA AND PROVISIONAL AGENDA FOR PPR ELECTION OF CHAIR AND VICE-CHAIR FOR ANY OTHER BUSINESS ACTION REQUESTED OF THE COMMITTEE 36 LIST OF ANNEXES ANNEX 1 DRAFT AMENDMENTS TO THE INTERNATIONAL CODE FOR THE CONSTRUCTION AND EQUIPMENT OF SHIPS CARRYING DANGEROUS CHEMICALS IN BULK (IBC CODE) ANNEX 2 PROVISIONAL AGENDA FOR ESPH 23 ANNEX 3 ANNEX 4 ANNEX 5 DRAFT ASSEMBLY RESOLUTION ON THE CODE FOR THE TRANSPORT AND HANDLING OF HAZARDOUS AND NOXIOUS LIQUID SUBSTANCES IN BULK ON OFFSHORE SUPPORT VESSELS (OSV CHEMICAL CODE) DRAFT BWM CIRCULAR ON GUIDANCE ON METHODOLOGIES THAT MAY BE USED FOR ENUMERATING VIABLE ORGANISMS FOR TYPE APPROVAL OF BALLAST WATER MANAGEMENT SYSTEMS DRAFT MANUAL ON BALLAST WATER MANAGEMENT HOW TO DO IT ANNEX 6 DRAFT MEPC RESOLUTION ON 2017 GUIDELINES FOR THE DISCHARGE OF EXHAUST GAS RECIRCULATION (EGR) BLEED-OFF WATER ANNEX 7 ANNEX 8 OPRC MODEL TRAINING COURSES DRAFT UNIFIED INTERPRETATION OF REGULATION OF MARPOL ANNEX I

3 Page 3 ANNEX 9 DRAFT MEPC RESOLUTION ON 2017 GUIDELINES ADDRESSING ADDITIONAL ASPECTS OF THE NO X TECHNICAL CODE 2008 WITH REGARD TO PARTICULAR REQUIREMENTS RELATED TO MARINE DIESEL ENGINES FITTED WITH SELECTIVE CATALYTIC REDUCTION (SCR) SYSTEMS ANNEX 10 BIENNIAL STATUS REPORT ANNEX 11 PROPOSED BIENNIAL AGENDA FOR THE BIENNIUM ANNEX 12 PROPOSED PROVISIONAL AGENDA FOR PPR 5 ANNEX 13 JUSTIFICATION FOR A NEW OUTPUT ON CONSISTENT IMPLEMENTATION OF REGULATION OF MARPOL ANNEX VI ANNEX 14 STATEMENTS BY DELEGATIONS AND OBSERVERS

4 Page 4 1 GENERAL 1.1 The Sub-Committee on Pollution Prevention and Response (PPR) held its fourth session from 16 to 20 January 2017, chaired by Mr. Sveinung Oftedal (Norway). The Vice-Chair, Dr. Flavio Da Costa Fernandes (Brazil), was also present. 1.2 The session was attended by delegations from Member Governments and observers from international organizations and non-governmental organizations in consultative status as listed in document PPR 4/INF.1. Opening address 1.3 The Secretary-General welcomed participants and delivered his opening address, the full text of which can be downloaded from the IMO website at the following link: Chair's remarks 1.4 In responding, the Chair thanked the Secretary-General for his words of guidance and encouragement and assured him that his advice and requests would be given every consideration in the deliberations of the Sub-Committee. Statement of the delegation of Malaysia 1.5 The delegation of Malaysia informed the Sub-Committee of a collision incident between two containerships off its coast on 3 January 2017 and the oil spill response and clean-up operations following the incident. The full text of the statement is set out in annex 14. Adoption of the agenda and related matters 1.6 The Sub-Committee adopted the agenda (PPR 4/1/Rev.1) and agreed to be guided in its work, in general, by the annotations contained in document PPR 4/1/1 (Secretariat) and the proposed arrangements for the session set out in document PPR 4/1/2 (Chair). The agenda, as adopted, together with the list of documents considered under each agenda item, is set out in document PPR 4/INF DECISIONS OF OTHER IMO BODIES 2.1 The Sub-Committee noted the outcome of FAL 40, MEPC 69, MSC 96, C 116 and MEPC 70 relevant to its work, as reported in document PPR 4/2 (Secretariat), and took appropriate action under the relevant agenda items. 3 SAFETY AND POLLUTION HAZARDS OF CHEMICALS AND PREPARATION OF CONSEQUENTIAL AMENDMENTS TO THE IBC CODE 3.1 The Sub-Committee agreed to refer documents PPR 4/3/1 (Liberia et al.) and PPR 4/3/2 (Norway) directly to the ESPH Working Group, having noted that these pertained to ongoing tasks of the Group. Report of ESPH The Sub-Committee recalled that ESPH 22 had taken place from 10 to 14 October 2016 and that the report of that session was circulated as document PPR 4/3.

5 Page Having considered the report of ESPH 22, the Sub-Committee approved it in general and, in particular:.1 noted the outcome of the discussions of GESAMP/EHS 53 and invited industry to submit information on hydrocarbon waxes, paraffin-type products and mineral oil to GESAMP/EHS 54 for subsequent consideration by the ESPH Working Group, with a view to harmonizing the entries for these products in the IBC Code and reviewing the component factor for mineral oils for mixture calculations;.2 concurred with the evaluation of products and their respective inclusion in lists 1 and 3 of MEPC.2/Circ.22, with validity for all countries and with no expiry date;.3 invited the submission of information on drilling brines to GESAMP/EHS 54, in order to establish a series of generic profiles to cover the range of drilling brines in chapter 17 of the IBC Code;.4 concurred with the evaluation of cleaning additives and noted their inclusion in annex 10 of MEPC.2/Circ.22;.5 concurred with the proposed name change of list 1 of the MEPC.2/Circular to "Pure or technically pure products and mixtures assessed as a whole", in line with the revision of MEPC.1/Circ.512;.6 noted the Group's progress in revising chapter 21 of the IBC Code and that an updated version of the draft revised chapter had been prepared by the Secretariat (PPR 4/WP.4, annex 1);.7 invited the submission of inhalation toxicity data to GESAMP/EHS 54 to assist the review of the GESAMP Hazard Rating for inhalation toxicity (C3 rating), for the purposes of facilitating implementation of the revised draft chapter 21 of the IBC Code, once adopted;.8 noted the progress made on the revision of the Guidelines for the provisional assessment of liquid substances transported in bulk (MEPC.1/Circ.512) and that an updated version of the Guidelines had been prepared by the Secretariat (PPR 4/WP.4, annex 2);.9 noted the progress made on the development of generic carriage requirements for contaminated bulk liquids carried on OSVs;.10 noted the Group's discussions with regard to the development of guidance for assessing and classifying products under Annexes I and II of MARPOL;.11 noted the Group's progress in developing amendments to MARPOL Annex II related to the discharge of cargo residues and tank washings of high-viscosity, solidifying and persistent floating substances (see also agenda item 4); and.12 approved the proposed provisional agenda for ESPH 23, subject to revision based on progress made by the ESPH Working Group at this session (see paragraph 3.21).

6 Page 6 Guidance/procedures for assessing products classified under Annex I or II of MARPOL 3.4 The Sub-Committee considered document PPR 4/3/3 (Finland), providing comments on the report of ESPH 22 (PPR 4/3) and proposing amendments to the draft guidelines for assessing petroleum-like mixtures of "energy-rich fuels" to ensure that they were covered under the appropriate Annex of MARPOL. The Sub-Committee also considered the draft criteria that could be utilized for this purpose. 3.5 Whilst the Sub-Committee indicated support in principle for the proposal set out in the document, a number of questions were raised on the practical application of the guidance and the associated flow diagram and comments were provided on the issues still to be addressed in the guidance, notably:.1 who the end-user of such information was expected to be;.2 how trade-named cargoes would be addressed;.3 assurance that the oil discharge monitoring equipment (ODME) would function for such products and would satisfy the necessary performance requirements, before they could be assessed and categorized as Annex I products; and.4 consideration as to how the blending of such products with bio-fuels would be addressed. 3.6 Having discussed the proposal and considered the comments raised in plenary, the Sub-Committee agreed to refer document PPR 4/3/3, together with the views expressed, to the ESPH Working Group for further consideration, as part of its ongoing work on the development of guidance for assessing products classified under the appropriate annex of MARPOL. Revision of the Guidelines for the provisional assessment of liquid substances transported in bulk 3.7 The Sub-Committee considered document PPR 4/3/4 (Finland), providing comments on the report of ESPH 22 (PPR 4/3) and proposing revisions to the Guidelines for the provisional assessment of liquid substances transported in bulk (MEPC.1/Circ.512), currently under review, to include criteria for the assessment of new "energy-rich fuels" referred to in document PPR 4/3/ In considering the proposal to include the new flow diagram set out in the annex to document PPR 4/3/4 in the Guidelines to address "energy-rich fuels", as part of the ongoing revision of the Guidelines, the Sub-Committee noted that, whilst the information presented had merit, there were a number of issues still to be considered for these products, and therefore agreed that it would be premature to include the flow diagram as part of the revision of the Guidelines, which was nearing completion, at this time. 3.9 Further to the comments received, the Sub-Committee agreed to refer document PPR 4/3/4 to the ESPH Working Group for further consideration, but indicated that it should not be included as part of the current revision of the Guidelines.

7 Page 7 Establishment of the ESPH Working Group 3.10 The Sub-Committee established the Working Group on Evaluation of Safety and Pollution Hazards of Chemicals (ESPH) and instructed it, taking into account the report of ESPH 22 (PPR 4/3) and the comments and decisions made in plenary, to:.1 conduct an evaluation of cleaning additives;.2 progress its work on the review of chapter 21 of the IBC Code and of the product lists set out in chapters 17 and 18, using annex 1 to document PPR 4/WP.4 as the basis and taking into account document PPR 4/3/1;.3 continue its work on the revision of the Guidelines for the provisional assessment of liquid substances transported in bulk (MEPC.1/Circ.512), using annex 2 to document PPR 4/WP.4 as the basis and taking into account the information contained in documents PPR 4/3/2 and PPR 4/3/4;.4 finalize the minimum carriage requirements for contaminated bulk liquids carried on OSVs;.5 continue its work on the development of guidance for assessing products under Annex I or Annex II of MARPOL, taking into account document PPR 4/3/3; and.6 review the draft agenda for ESPH 23 and revise it as appropriate, based on progress made during this session. Report of the ESPH Working Group 3.11 The Sub-Committee approved the report of the ESPH Working Group (PPR 4/WP.3) in general and, having considered the relevant parts dealing with this agenda item, took action as described in the following paragraphs. Evaluation of cleaning additives 3.12 The Sub-Committee concurred with the results of the Group's evaluation of cleaning additives, as set out in annex 1 to document PPR 4/WP.3, and their inclusion in the next revision of the MEPC.2/Circular, i.e. MEPC.2/Circ.23, to be issued in December Review of the MEPC.2/Circular 3.13 The Sub-Committee noted that the tripartite agreements for 41 products would reach their expiry dates in December 2017 and invited Member States to take action as appropriate, to avoid any delay in the carriage of these products beyond their expiry dates. Revision of the IBC Code Chapters 17, 18 and The Sub-Committee agreed to the final draft of the revised chapter 21 of the IBC Code, set out in annex 1, for approval in principle by MSC 98 and MEPC 71, pending finalization of the revision of chapters 17 and 18 of the Code, with a view to subsequent circulation and adoption of all three chapters.

8 Page The Sub-Committee noted the group's consideration of a proposal to modify the criteria for the application of the D3 hazarding rating assigned by GESAMP/EHS to differentiate between products that were toxic by inhalation, rather than by oral or dermal routes (PPR 4/3/1), and in particular, that it would not be possible to apply such criteria in a practical sense based on the information provided by the Chair of the GESAMP/EHS Working Group The Sub-Committee further noted the Group's agreement in principle to considering revised carriage requirements for methanol based on consideration of submitted technical data and an appropriate rationale for deviating from the criteria in chapter 21, based on expert judgement. Revision of the Guidelines for the provisional assessment of liquid substances transported in bulk 3.17 The Sub-Committee noted the progress made on the revision of the Guidelines for the provisional assessment of liquid substances transported in bulk (MEPC.1/Circ.512), in particular the Group's discussions on revised text for the assignment of ship type based on proposals set out in document PPR 4/3/2 (Norway). Having noted that the Group had not been able to finalize the text as anticipated, due to time constraints, the Sub-Committee noted that the delegation of the United Kingdom had agreed to work intersessionally to finalize the text, with a view to final agreement at ESPH 23 and subsequent endorsement by PPR 5. Development of minimum carriage requirements for contaminated bulk liquids carried on OSVs 3.18 The Sub-Committee agreed to two new entries in list 1 of the MEPC.2/Circular, (MEPC.2/Circ.23 to be issued in December 2017) on carriage requirements for backloading of contaminated bulk liquids from offshore installations and their future inclusion in chapter 17 of the IBC Code, as set out in annex 3 of document PPR 4/WP.3; 3.19 The Sub-Committee concurred in principle with the guidance for selecting the appropriate IBC Code entry for the backloading of contaminated bulk liquids from offshore installation developed by the Group (PPR 4/WP.3, annex 4), noting that this had been incorporated in chapter 15 of the draft OSV Chemical Code, set out in annex 3 (see paragraph 5.6). Guidance for the assessment of products under Annex I or Annex II of MARPOL 3.20 The Sub-Committee noted the Group's progress related to the development of guidance for assessing and classifying products under Annexes I and II of MARPOL, taking into consideration the information set out in document PPR 4/3/3 (Finland); and that this matter had been included in the provisional agenda for ESPH 23 (see paragraph 3.21). Provisional agenda for ESPH Taking into account the Group's progress during the session, as well as the progress made under agenda item 4, which had also been referred to it, the Sub-Committee approved the provisional agenda for ESPH 23, as set out in annex 2.

9 Page 9 4 REVIEW OF MARPOL ANNEX II REQUIREMENTS THAT HAVE AN IMPACT ON CARGO RESIDUES AND TANK WASHINGS OF HIGH VISCOSITY AND PERSISTENT FLOATING PRODUCTS 4.1 The Sub-Committee recalled that at PPR 3 the ESPH Working Group had concluded that the best way forward to reduce the identified environmental impact from discharges under MARPOL Annex II was to focus on the products that were considered to be persistent floaters. 4.2 The Sub-Committee also noted that the matter had been revisited at ESPH 22 and that the Group had further noted that amendments to regulation 13 of MARPOL Annex II, as well as amendments to the Procedures and Arrangements (P&A) Manual, should also be considered. 4.3 The Sub-Committee recalled further that the Group had also noted concerns raised with regard to the number of ships and number of cargoes that would be affected by the proposed new prewash requirements and the lack of reception facilities to accommodate the discharge of residues from these cargoes. 4.4 The Sub-Committee considered document PPR 4/4 (Norway and Sweden), proposing draft amendments to MARPOL Annex II to amend the discharge requirements for persistent floating high-viscosity and solidifying substances, in order to reduce the identified impact on the environment from the release of such products under the current requirements. 4.5 Having considered the proposed amendments, the Sub-Committee generally supported them; however, raised a number issues requiring consideration in the further development of the amendments and noted, in particular:.1 the reference to the ongoing studies commissioned by one delegation, with regard to the fate and effects of vegetable oils in the marine environment and the request to consider the possibility of exempting vegetable oils from the new requirements, subject to the results of these studies, a proposal which was supported by a number of delegations;.2 the suggestion that, in addition to the operational considerations, the physical-chemical properties of the groups of products under review should also be considered when formulating the amendments;.3 the lack of port reception facilities for the discharge of tank washings for the groups of products under review remained an ongoing concern, with many delegations emphasizing that this issue would need to be carefully considered and addressed in the development of any new amendments to regulation 13 of MARPOL Annex II;.4 that consideration should be given to regional reception facility arrangements to address capacity issues;.5 that consideration should also be given to situations where there was a requirement to discharge to a port, but where facilities where not available, to ensure that ships would not be penalized in such circumstances; and.6 with regard to a proposal for a phased approach, based on the outcome of the discussions at ESPH 22 reported under agenda item 3, general support for this option.

10 Page 10 Instructions to the ESPH Working Group 4.6 Based on the comments received in plenary, the Sub-Committee instructed the ESPH Working Group, established under agenda item 3, to further develop draft amendments to MARPOL Annex II related to the discharge of cargo residues and tank washings of high-viscosity, solidifying and persistent floating products, taking into account the relevant outcome of ESPH 22 and document PPR 4/4. Report of the ESPH Working Group 4.7 Having considered the relevant parts of the report of the ESPH Working Group (PPR 4/WP.3, paragraphs 9.4 to 9.12), the Sub-Committee noted the Group's progress in developing amendments to MARPOL Annex II and consequential amendments to the IBC Code to address issues related to the discharge of high-viscosity and solidifying persistent floating substances and related considerations; and that this work would continue at ESPH 23, based on the draft text set out in annex 5 of document PPR 4/WP.3. Extension of the target completion year 4.8 In view of the above, the Sub-Committee invited MEPC 71 to extend the target completion year for this output to CODE FOR THE TRANSPORT AND HANDLING OF LIMITED AMOUNTS OF HAZARDOUS AND NOXIOUS LIQUID SUBSTANCES IN BULK ON OFFSHORE SUPPORT VESSELS 5.1 The Sub-Committee recalled that PPR 3 had:.1 noted the good progress made on the development of the OSV Chemical Code by the working group established at that session, and that the report of the group would be submitted to PPR 4;.2 re-established the correspondence group and instructed it to finalize the text of the draft OSV Chemical Code and submit it to PPR 4 for consideration; and.3 instructed ESPH 22 to further develop minimum carriage requirements for contaminated backloads carried on OSVs, and that the outcome of ESPH 22 on this matter had been considered under agenda item 3 (see paragraph 3.3.9). 5.2 The Sub-Committee had for its consideration the following documents:.1 PPR 4/5 (Chair of the Working Group), providing the report of the Working Group established at PPR 3; and.2 PPR 4/5/1 and PPR 4/INF.2 (Denmark), providing the report of the correspondence group, including the text of the draft Code and comments received during its deliberations. 5.3 The Sub-Committee agreed that, given the recommendatory nature of the Code, any mandatory language used in the draft text should be replaced with non-mandatory terms.

11 Page 11 Establishment of a working group 5.4 The Sub-Committee established the Working Group on the OSV Chemical Code and instructed it, on the basis of the report of the correspondence group (PPR 4/5/1 and PPR 4/INF.2) and taking into account comments and decisions made in plenary, including those concerning the requirements on the carriage of backloads of contaminated bulk liquids under agenda item 3, to prepare the final text of the OSV Chemical Code as well as the text of a draft requisite Assembly resolution for its adoption. Report of the Working Group 5.5 Having considered the report of the Working Group on the OSV Chemical Code (PPR 4/WP.5), the Sub-Committee approved it in general and took action as described in the following paragraphs. 5.6 The Sub-Committee agreed to the draft Code for the Transport and Handling of Hazardous and Noxious Liquid Substances in Bulk on Offshore Support Vessels (OSV Chemical Code) and the associated draft Assembly resolution for its adoption as set out in annex 3, for submission to MSC 98 and MEPC 71 for approval, with a view to adoption by A In this connection, the Sub-Committee authorized the Secretariat, when preparing the final text of the draft OSV Chemical Code, to effect any editorial corrections that may be identified, including updating references to renumbered paragraphs. 5.8 The Sub-Committee noted the view of the Group that the OSV Chemical Code should be made mandatory in the future and encouraged interested Member States to submit proposals for a relevant new output to the Committees after the adoption of the Code by the Assembly. Completion of the work on the output 5.9 The Sub-Committee invited MEPC 71 to note that the work on this output had been completed. 6 REVISED GUIDANCE ON BALLAST WATER SAMPLING AND ANALYSIS 6.1 The Sub-Committee noted that the entry-into-force conditions of the BWM Convention had been met on 8 September 2016 with the accession of Finland and that the Convention would therefore enter into force on 8 September The Sub-Committee also noted that the number of Contracting Governments was currently 54, representing 53.30% of the world's merchant fleet tonnage. 6.2 The Sub-Committee recalled that PPR 3 had invited Member Governments and international organizations to submit further information and proposals related to ballast water sampling, analysis and contingency measures to future sessions, with a view to further developing and improving the relevant guidance documents and guidelines. 6.3 The Sub-Committee further recalled that MEPC 58, having adopted the Guidelines for ballast water sampling (G2) (resolution MEPC.173(58)), had instructed the Sub-Committee to develop a circular providing sampling and analysis guidance.

12 Page 12 Guidelines for sampling of ballast water (G2) 6.4 In introducing document PPR 4/6 (IMarEST), proposing amendments to the Guidelines on ballast water sampling (G2) (resolution MEPC.173(58)) to incorporate a standard sample port, the observer from IMarEST requested the Sub-Committee to note a correction to paragraph 3 of the document, which should read as follows: "To date, many ships have been outfitted with sample ports that are in compliance with the Guidelines (G2). However, the current Guidelines are not specific and as a result there are many variations of sample ports installed. This variety may challenge efficient and practical port State control inspections. Further, the current inclusion of the sample probe in the ship's supply allows these to be permanently or semi-permanently installed, with possible false positive results due to sampling port contamination." 6.5 The observer from IMarEST also proposed that, prior to the revision of Guidelines (G2), document PPR 4/6 could be used in the revision of the Guidance on ballast water sampling and analysis for trial use in accordance with the BWM Convention and Guidelines (G2) (BWM.2/Circ.42/Rev.1). 6.6 The observer from ISO informed the Sub-Committee of their ongoing work on revising the Ballast Water Sampling Standard ISO and encouraged IMarEST to participate in this work for possible incorporation of relevant parts of the proposal in document PPR 4/6 in the revised standard. 6.7 While the proposal to incorporate a standard sample port in the Guidelines (G2) was supported in principle by some delegations, concerns were expressed regarding the consequences of introducing prescriptive shipboard arrangements, the suitability of standardized sampling ports for all ships and ballast water management systems (BWMS) and other details of the proposal. Some delegations expressed the view that there was no need to revise the Guidelines (G2) and that an ISO standard might be more appropriate to address the issue. 6.8 Following discussion, the Sub-Committee invited IMarEST, taking into account the comments made, to work with interested delegations to refine the proposal in document PPR 4/6 and submit a new proposal to PPR 5 for consideration in the context of the guidance set out in BWM.2/Circ.42/Rev.1. The Sub-Committee noted in this connection that work on draft amendments to the Guidelines for ballast water sampling (G2) would require a new output, to be approved by the Committee. Uncertainties related to ballast water sampling for compliance 6.9 In introducing document MEPC 70/4/16 (Turkey), which had been referred to PPR 4 by MEPC 70 for further consideration, the delegation of Turkey provided supplemental information on difficulties encountered during ballast water sampling for compliance. The full text of the supplemental information is set out in annex While noting that some delegations supported amending article 9 of the BWM Convention to reflect the four-stage approach of the Guidelines for port State control under the BWM Convention (resolution MEPC.252(67)), the Sub-Committee did not agree to the proposal in document MEPC 70/4/10. However, it agreed to take the views expressed in the document, on instrumental monitoring tools installed in association with BWMS, into account when considering document MEPC 70/4/11 (Republic of Korea) under agenda item 7 (see paragraph 7.8).

13 Page 13 Extension of target completion year 6.11 The Sub-Committee reiterated its invitation to Member Governments and international organizations to submit further information and proposals related to ballast water sampling, analysis and contingency measures to future sessions, with a view to further developing and improving relevant guidance In view of the forthcoming entry into force of the BWM Convention and the need for further work related to guidance on ballast water sampling and analysis, the Sub-Committee agreed to invite MEPC 71 to extend the target completion year for this output to REVIEW OF THE GUIDELINES FOR APPROVAL OF BALLAST WATER MANAGEMENT SYSTEMS (G8) 7.1 The Sub-Committee recalled that MEPC 70 had adopted the 2016 Guidelines for approval of ballast water management systems (G8) (resolution MEPC.279(70)), superseding the guidelines adopted by resolution MEPC.174(58). The Sub-Committee also recalled that, in this context, MEPC had invited submissions to PPR 4 on the methodologies that may be used for determining the viability of organisms and had instructed PPR 4 to consider annex 1 to the report of the Correspondence Group on the Review of Guidelines (G8) (MEPC 70/4/3) related to System Design Limitations. The Sub-Committee further recalled that MEPC 70 had referred document MEPC 70/4/11 (Republic of Korea), proposing a standardized format for operation logging data of BWMS, to it for consideration. Determination of viability of organisms 7.2 The Sub-Committee considered document PPR 4/7 (Denmark and Norway) on analysis methods for determining the viability of organisms in the 10 to 50 µm size class, and documents PPR 4/7/1, PPR 4/7/2 and PPR 4/INF.10 (United States), commenting on document PPR 4/7 and providing further information on analysis methods. 7.3 In the ensuing discussion, general support was expressed with regard to the proposed analysis methods (FDA/CMFDA + Motility and MPN Dilution Culture + Motility), while noting that additional methodologies may also exist. Establishment of the Drafting Group on Ballast Water Management 7.4 Having agreed on the need for generic guidance on the matter, the Sub-Committee established the Drafting Group on Ballast Water Management and instructed it to prepare a draft BWM circular with information on methods that may be used for determining viability of organisms, taking into account documents PPR 4/7, PPR 4/7/1, PPR 4/7/2 and PPR 4/INF.10 as well as comments and decisions made in plenary, Report of the drafting group 7.5 The Sub-Committee approved the report of the drafting group (PPR 4/WP.7) in general and, having considered the relevant parts dealing with this agenda item, agreed to the draft BWM circular on Guidance on methodologies that may be used for enumerating viable organisms for type approval of ballast water management systems, as set out in annex 4, for submission to MEPC 71 with a view to approval.

14 Page 14 System Design Limitations 7.6 As instructed by MEPC 70, the Sub-Committee considered annex 1 of the report of the Correspondence Group on the Review of Guidelines (G8) (MEPC 70/4/3), to determine if any of the options for a matrix on System Design Limitations (SDL) for type approved BWMS could be usefully developed into separate guidance for use in conjunction with Guidelines (G8). 7.7 Following discussion, the Sub-Committee recognized the general support for the need to develop guidance on SDL, but not necessarily in the form of a matrix. While noting that much work on the matter had been done when reviewing Guidelines (G8), the Sub-Committee agreed that more information was needed and consequently invited further proposals on the matter to a future session. Standardized format for operation logging data 7.8 As instructed by MEPC 70, the Sub-Committee considered document MEPC 70/4/11 (Republic of Korea) on a standardized format for operation logging data of BWMS. In this context, the Sub-Committee also took into account the views expressed in the relevant parts of document MEPC 70/4/16 (Turkey) on instrumental monitoring tools installed in association with BWMS. 7.9 In the ensuing discussion, the Sub-Committee noted a comment that if such a standardized format was to be developed, the self-monitoring parameters should be appropriate for the specific approved BWMS and in line with the manufacturer's requirements for ensuring that the BWMS was operating correctly The Sub-Committee was not able to conclude on the matter and, therefore, invited submissions to a future session to facilitate further consideration of the issue, with a view to ensuring the proper monitoring and implementation of the ballast water performance standard, taking into account the comments made and the proposal in document MEPC 70/4/11, as well as the self-monitoring parameters proposed in document PPR 2/5 (Germany and Republic of Korea). 8 PRODUCTION OF A MANUAL ENTITLED "BALLAST WATER MANAGEMENT HOW TO DO IT" 8.1 The Sub-Committee recalled that PPR 3, having considered document PPR 3/7 (IMarEST), containing the second draft of the manual entitled Ballast Water Management How to do it (the Manual), had established a drafting group and had instructed it to prepare the final text of the Manual, excluding sections affected by ongoing work at the Committee, and submit a written report to PPR 4. The Sub-Committee recalled also that the Governments of Canada and Denmark had provided financial support for this activity and thanked them for their contributions. 8.2 The Sub-Committee had for its consideration document PPR 4/8 (Chair of the Drafting Group), containing the report of the drafting group established at PPR 3 and the updated draft of the Manual. Having noted that annex 1 to the document contained a list of nine items that the group could not finalize at PPR 3, the Sub-Committee agreed to address only those items that required its consideration and input to the work of the group.

15 Page 15 Review of legal aspects 8.3 The Sub-Committee considered item 1 on the list in annex 1 to document PPR 4/8, corresponding to legal aspects (chapters 5 and 6 of the Manual), and action point 3 of the group (PPR 4/8, paragraph 25.3). In this regard, the Sub-Committee requested the Secretariat to review chapters 5 and 6 of the draft Manual prior to its consideration by MEPC 71, and provide any comments or advice to the Committee. Retention on board of the ballast water record book 8.4 In considering item 5 on the list in annex 1 to document PPR 4/8, the Sub-Committee recalled that, at PPR 3, the need to improve references in the Manual to the requirement for retention on board of the ballast water record book had been identified; however, the Sub-Committee had not made a decision on this point and the group had not been in a position to make such a decision either. The Sub-Committee noted that this affected the finalization of sections 8.6 and 15.2 of the Manual and instructed the group to consider how to finalize these sections and make any relevant recommendations to the Sub-Committee. Chemical treatment classification societies' installation guidelines 8.5 In considering item 8 on the list in annex 1 to document PPR 4/8 and the paragraph in square brackets in section of the draft Manual, the Sub-Committee noted that, at PPR 3, the group could not agree whether that paragraph was necessary and had therefore placed it in square brackets. Following an intervention by the observer from IACS, proposing that the paragraph should be more generic on the scope of classification societies' requirements, rather than identifying specific hazards, or that certain text in it should be deleted, the Sub-Committee agreed to retain the paragraph and instructed the group to finalize it, taking into account the comment made, making the text more generic. Instructions to the drafting group 8.6 The Sub-Committee instructed the Drafting Group on Ballast Water Management, established under agenda item 7 (see paragraph 7.4), to prepare the final text of the draft Manual entitled Ballast Water Management How to do it, using document PPR 4/8 as the basis and taking into account the comments and decisions made in plenary. Report of the drafting group 8.7 Having considered the relevant parts of the report of the drafting group (PPR 4/WP.7, paragraphs 7 to 13 and annex 2), the Sub-Committee took action as described in the following paragraphs. 8.8 The Sub-Committee concurred with the view of the group that the updated draft of the manual entitled Ballast Water Management How to do it should be considered as final, with the exception of sections and 17.2, which the group had agreed could be more efficiently finalized by the Ballast Water Review Group at MEPC 71, and chapters 5 and 6, which would be reviewed by the Secretariat (see paragraph 8.3). 8.9 Consequently, the Sub-Committee invited MEPC 71 to instruct the Ballast Water Review Group expected to be established at the session, to finalize sections and 17.2 of the draft Manual.

16 Page With regard to the requirement for retention on board of the Ballast Water Record Book, the Sub-Committee, having noted that the relevant text in the Manual was generally in line with regulation B-2.2 of the BWM Convention, and that the concerns raised at PPR 3 were related to potential specific scenarios only and to ambiguities of the previous draft wording, endorsed the group's recommendation that, should any further guidance to address specific scenarios be needed, this would constitute a separate matter to be considered by the Committee In conclusion, the Sub-Committee agreed to the updated version of the manual Ballast Water Management How to do it as set out in annex 5, for submission to MEPC 71, with a view to its finalization and approval. Completion of the work on the output 8.12 The Sub-Committee invited MEPC 71 to note that the work on this output had been completed. 9 CONSIDERATION OF THE IMPACT ON THE ARCTIC OF EMISSIONS OF BLACK CARBON FROM INTERNATIONAL SHIPPING 9.1 The Sub-Committee recalled that MEPC 68 had approved the Bond et al. definition for Black Carbon for international shipping, for the primary reason that this definition is measurement method neutral and widely supported by the scientific community. The Sub-Committee also recalled that the target completion year for this output was The Sub-Committee further recalled that MEPC 70 had noted that PPR 3 had developed a measurement reporting protocol for voluntary data collection of Black Carbon and had invited interested Member Governments and international organizations to use the protocol and submit data to PPR 4 (MEPC 70/18, paragraph 5.4). 9.3 The Sub-Committee had for its consideration the following documents:.1 PPR 4/9 (EUROMOT), PPR 4/9/1 and PPR 4/INF.6 (Japan), PPR 4/9/2, PPR 4/9/3 and PPR 4/INF.7 (Finland), and PPR 4/9/4 and PPR 4/INF.9 (Canada and Germany), providing results of Black Carbon measurements using the protocol for voluntary data collection of Black Carbon prepared at PPR 3 and various measurement methods, including those that had been identified as example methods to measure Black Carbon at PPR 2, for fuels with various sulphur contents and at various engine loads; and.2 PPR 4/9/5 (FOEI, WWF, Pacific Environment and CSC), calling for urgent action on control measures to reduce Black Carbon emissions in order to address the impact on the Arctic of emissions of Black Carbon from international shipping, and proposing the establishment of an ad hoc technical committee to progress the work. 9.4 The Sub-Committee noted the information contained in document PPR 4/INF.8 (Canada and Netherlands), providing a summary of the proceedings of a technical workshop on marine Black Carbon emissions held in Vancouver, Canada, from 7 to 8 September In the ensuing discussion, the majority of delegations that took the floor supported the continuation of measurement studies and research in order to collect more data on marine Black Carbon emissions that would allow the Sub-Committee to make decisions on measurement methods. In this regard, it was noted that it may be impossible to identify one

17 Page 17 method to measure all the properties listed in the approved definition of Black Carbon and that it may be better to focus on measuring only a specific property or properties, for which reliable method(s) can be identified. Several delegations also supported the revision and improvement of the reporting protocol, to be used for such further studies. 9.6 Some delegations were in favour of initiating the consideration of control measures, i.e. the final step in the Sub-Committee's work plan for consideration of Black Carbon emissions. Other delegations expressed the view that it was premature to consider control measures at this stage and that the work on measurement methods should be concluded first. In this regard, some delegations recalled that the Organization had been considering this matter for a long time, the Sub-Committee's work plan had been agreed at MEPC 62 and there was an urgent need to progress it further. One delegation suggested that sufficient progress had been achieved to enable the Committee to resume its consideration of the matter, while further work on measurements and data collection could continue at the same time. 9.7 With regard to the modalities for continuing with the work plan, several delegations proposed that a working or correspondence group could be established, while other delegations were of the view that it would be premature to establish any group at this stage. 9.8 In addition, the following specific comments, inter alia, were made:.1 if necessary, the definition of Black Carbon may be reconsidered;.2 the 0.50% sulphur limit will become effective from 1 January 2020 and will lead to reductions in Black Carbon emissions from international shipping;.3 any control measures should be proportionate, cost-effective and have demonstrable benefits, determined by cost-benefit analyses; and.4 there is a need for more data on Black Carbon emissions from low-speed engines, Tier II engines and for fuels with a maximum sulphur content of 0.50% m/m. 9.9 Following discussion, the Sub-Committee agreed that the Working Group on Prevention of air pollution from ships should further develop and finalize the reporting protocol for voluntary Black Carbon measurements, taking into account the comments and proposals made in plenary In addition, the Sub-Committee invited Member Governments and international organizations to use the protocol and submit further data and information derived from its application to PPR 5, with a view to identifying the most appropriate measurement method(s), focusing on fuel oils with a maximum sulphur content of 0.50% m/m, in light of the decision of MEPC 70 to confirm the effective date of implementation as 1 January 2020 (MEPC 70/18, paragraph ), and giving appropriate attention to low-speed engines, which drive much of the global fleet In view of the target completion year of 2017 for the output and the current progress of the work, whereby the final step (investigation of appropriate control measures) has not started yet, the Sub-Committee also agreed that the Working Group should develop a timeline for the completion of the work.

18 Page 18 Establishment of the Working Group on Prevention of air pollution from ships 9.12 The Sub-Committee established the Working Group on Prevention of air pollution from ships and instructed it, taking into account comments and decisions made in plenary, to:.1 further develop, with a view to finalization, the reporting protocol for voluntary measurement studies to collect data, focusing on using the definition of Black Carbon to support data collection; and.2 develop a timeline for finalization of the work on this output. Report of the Working Group 9.13 The Sub-Committee approved the report of the Working Group (PPR 4/WP.6) in general and, having considered the relevant parts dealing with this agenda item, took action as described in the following paragraphs. Reporting protocol for voluntary measurement studies 9.14 The Sub-Committee noted that the Group had agreed to objectives for the further voluntary measurement studies to collect Black Carbon data, however, had been unable to finalize the draft measurement reporting protocol for such studies. Therefore, with a view to finalization of the measurement reporting protocol at PPR 5, the Sub-Committee established a Correspondence Group on Consideration of the impact on the Arctic of emissions of Black Carbon from international shipping, under the coordination of Canada 1, with the following terms of reference:.1 further develop, with a view to finalization, the reporting protocol for voluntary measurement studies to collect Black Carbon data, based on experience to date of using the reporting protocol in voluntary measurement studies, to improve usability and to address technical issues identified at PPR 4; and.2 submit a report to PPR The Sub-Committee also noted that some delegations had encouraged information to be submitted to PPR 5 on potential control measures to reduce the impact of Black Carbon emissions from international shipping. Timeline for finalization of the work 9.16 Some delegations expressed the view that it was premature to include control measures in the proposed timeline as the work on measurement methods had not been concluded, while other delegations were of the opinion that work on measurement methods and on control measures could be carried out at the same time and that the timeline had to include the consideration of control measures in any case, as it should address the entire work plan of the Sub-Committee. In this regard, the Sub-Committee recalled that the final step of its work plan, as agreed by MEPC 62 (MEPC 62/24, paragraph 4.20), entailed the investigation of control measures and not their finalization. 1 Coordinator: Miss Kerri Henry Manager, International Air Emissions Transport Canada Kerri.henry@tc.gc.ca Tel:

19 Page In this context, the Sub-Committee noted that the delegations of China and the Republic of Korea had wished to associate themselves with the view expressed by Japan, and supported by the Russian Federation, set out in paragraph 11 document PPR 4/WP The Sub-Committee noted the timeline developed by the group to finalize the work plan on the impact on the Arctic of emissions of Black Carbon from international shipping, having recognized that it would be subject to further review as the work progresses, as follows:.1 development of the definition for Black Carbon emissions from international shipping at PPR 2, consequently approved by MEPC 68;.2 consideration of measurement method(s) for Black Carbon and identification of the most appropriate method for measuring Black Carbon emissions from international shipping:.1 finalization of the reporting protocol for voluntary measurement studies to collect data at PPR 5 (2018); and.2 finalization of identification of the most appropriate method for measurement of Black Carbon at PPR 5 (2018);.3 investigation of appropriate control measures to reduce the impact of Black Carbon emissions from international shipping: consideration of proposals and finalization of the investigation of appropriate control measures at PPR 6 (2019) for consideration by the Committee. Extension of the target completion year 9.19 In view of the above, the Sub-Committee invited MEPC 71 to extend the target completion year for this output to STANDARDS FOR SHIPBOARD GASIFICATION OF WASTE SYSTEMS AND ASSOCIATED AMENDMENTS TO REGULATION 16 OF MARPOL ANNEX VI 10.1 The Sub-Committee recalled that PPR 3 had established a correspondence group, under the coordination of the United States and had instructed it to further develop draft standards for shipboard gasification waste to energy systems and associated amendments to regulation 16 of MARPOL Annex VI and to report to this session The Sub-Committee also recalled that MEPC 70, having considered a relevant request by PPR 3, had agreed to change the title of the output to read "Standards for shipboard gasification of waste systems and associated amendments to regulation 16 of MARPOL Annex VI" (MEPC 70/18, paragraph 15.17). Report of the correspondence group 10.3 The Sub-Committee, having considered the report of the correspondence group (PPR 4/10 and PPR 4/INF.3, submitted by the United States), noted that the group had:.1 developed draft standards for shipboard gasification waste to energy systems and associated draft amendments to regulation 16 of MARPOL Annex VI; and

20 Page 20.2 requested the Sub-Committee to decide whether amendments to regulation 16 to explicitly incorporate reference to a proposed standard specification are necessary, or whether the current allowance for consideration of an equivalent (regulation 4) is sufficient In the ensuing discussion, the following comments, inter alia, were made:.1 amendments to regulation 16 of MARPOL Annex VI are not required and the standards should be generic;.2 if amended, regulation 16 should be technology neutral;.3 regulation 16 should be amended, including the title of the regulation, as the requirements in both regulation 16 and regulation 4 are not adequate with regard to this issue;.4 the development of specific standards is not appropriate and the draft standard is very technology specific and would exclude other technologies that reach the same level of purity;.5 the 2014 Standard specification for shipboard incinerators (resolution MEPC.244(66)) could be amended to include shipboard gasification of waste systems; and.6 the draft standard should include discharge water criteria and these criteria should be harmonized with others, such as those in the EGCS Guidelines Following discussion, the Sub-Committee agreed that amendments to regulation 16 of MARPOL Annex VI would be needed, and that such amendments should not be confined to one specific technology in order to avoid continuous amendments when a new technology is used in the future. Instructions to the Working Group on Prevention of air pollution from ships 10.6 Following consideration, the Sub-Committee instructed the Working Group on Prevention of air pollution from ships, established under agenda item 9, to finalize the draft standards for shipboard gasification of waste systems and associated amendments to regulation 16 of MARPOL Annex VI, using the annexes to document PPR 4/10 as the basis, taking into account comments and decisions made in plenary. Report of the Working Group 10.7 Having considered the relevant parts of the report of the Working Group (PPR 4/WP.6, paragraphs 12 to 15 and annex 2), the Sub-Committee took action as described in the following paragraphs The Sub-Committee noted that:.1 the Group, owing to time constraints, could not finalize the draft Standards and associated amendments to regulation 16 of MARPOL Annex VI;.2 consequential amendments may be required to other requirements under MARPOL Annex VI, for example, the IAPP Certificate; and

21 Page 21.3 the Group had agreed on the need to progress work intersessionally through a correspondence group and prepared draft terms of reference for such a group. Establishment of a correspondence group 10.9 Consequently, the Sub-Committee established the Correspondence Group on Standards for shipboard gasification of waste systems and associated amendments to regulation 16 of MARPOL Annex VI, under the coordination of Canada 2, and instructed it, taking into account comments and decisions made in plenary at PPR 4, to:.1 further develop generic draft Standards for shipboard gasification of waste systems and associated amendments to regulation 16 of MARPOL Annex VI and IAPP Certificate, using annexes to document PPR 4/10 as a basis, and taking into account information in document PPR 4/INF.4; and.2 submit a report to PPR 5. Extension of the target completion year In view of the above, the Sub-Committee invited the Committee to extend the target completion year for the output to GUIDELINES FOR THE DISCHARGE OF EXHAUST GAS RECIRCULATION BLEED-OFF WATER 11.1 The Sub-Committee recalled that PPR 3 had instructed the Correspondence Group on Prevention of air pollution from ships to further develop the draft Guidelines for the discharge of exhaust gas recirculation (EGR) bleed-off water and report to this session. Report of the correspondence group 11.2 The Sub-Committee, having considered the report of the correspondence group (PPR 4/11 and PPR 4/INF.4, submitted by the United States), noted that the group had:.1 developed draft Guidelines for the discharge of exhaust gas recirculation (EGR) bleed-off water; and.2 identified the following three outstanding issues for consideration by the Sub-Committee:.1 whether treated EGR bleed-off water waste residues should be treated as MARPOL Annex VI or MARPOL Annex I wastes;.2 whether discharge of EGR bleed-off water within polar waters as defined by the Polar Code should be further restricted; and.3 whether the Guidelines should include survey and certification provisions. 2 Coordinator: Mrs. Naomi Katsumi Senior Advisor, Marine Air Emissions Transport Canada Tel: naomi.katsumi@tc.gc.ca

22 Page The observer from IACS expressed the view that consideration should be given to the benefits of developing a set of standalone wash water discharge guidelines in light of the increasing number of equipment and systems certified under MARPOL Annex VI, incorporating water systems as part of emission abatement technologies, taking into account the criteria provided in the 2015 Guidelines for exhaust gas cleaning systems (resolution MEPC.259(68)) (2015 EGCS Guidelines). The Sub-Committee noted that this issue had wider implications and should be considered further Having considered whether treated EGR bleed-off water waste residues should be treated as MARPOL Annex VI or MARPOL Annex I wastes, the Sub-Committee agreed that they should be treated as MARPOL Annex VI wastes In this connection, one delegation stated that treated EGR bleed-off water contained black, fine, smoky water which, in addition to causing a clogging problem, could not be detected by 15 ppm bilge alarm system, and suggested that the wash water discharge criteria set out in chapter 10 of the 2015 EGCS Guidelines should apply to treated EGR bleed-off water The Sub-Committee, having noted that MARPOL Annex VI is not referenced in the Polar Code, agreed that, should more stringent discharge criteria be needed for ships operating in polar waters, this should be addressed in the guidelines under development. Consequently, the Sub-Committee instructed the Working Group to investigate the need for more stringent discharge criteria for ships operating in polar waters, noting that further analysis of samples of discharge water from EGR systems would be needed The Sub-Committee considered whether the Guidelines should include survey and certification provisions and noted the following views:.1 survey and certification provisions should be included in the guidelines, as the 2015 EGCS Guidelines include such provisions;.2 survey and certification provisions should not be included in the guidelines due to their non-mandatory nature;.3 clarification would be needed on what basis EGRs installed on board would be inspected by port State control officers, bearing in mind that EGRs may have not been surveyed and certified given the recommendatory nature of the guidelines; and.4 consideration should be given to how the use of EGR on board ships could be identified, noting that the use of an EGCS could be identified in the IAPP Certificate. Instructions to the Working Group on Prevention of air pollution from ships 11.8 Following discussion, the Sub-Committee instructed the Working Group on Prevention of air pollution from ships, established under agenda item 9, to finalize the draft Guidelines for the discharge of exhaust gas recirculation (EGR) bleed-off water, using annex 1 to document PPR 4/11 as the basis and taking into account the decisions and comments made in plenary.

23 Page 23 Report of the Working Group 11.9 Having considered the relevant parts of the report of the Working Group (PPR 4/WP.6, paragraphs 16 to 20 and annex 3), the Sub-Committee took action as described in the following paragraphs The Sub-Committee, having considered the draft Guidelines prepared by the Group, agreed to remove the square brackets in paragraphs and 6 and retain the text therein Consequently, the Sub-Committee agreed to the draft MEPC resolution on 2017 Guidelines for the discharge of exhaust gas recirculation (EGR) bleed-off water, as set out in annex 6, for submission to MEPC 71 for consideration, with a view to adoption. Completion of the work on the output The Sub-Committee invited the Committee to note that the work on this output had been completed. 12 IMPROVED AND NEW TECHNOLOGIES APPROVED FOR BALLAST WATER MANAGEMENT SYSTEMS AND REDUCTION OF ATMOSPHERIC POLLUTION 12.1 The Sub-Committee, having noted that no relevant submissions had been received under this output for the last two consecutive sessions, invited MEPC 71 to advise on whether this output should be retained for the next biennium, in accordance with paragraph 5.12 of the Committees' Guidelines (MSC-MEPC.1/Circ.5). 13 UPDATED IMO DISPERSANT GUIDELINES (PART IV) 13.1 The Sub-Committee recalled that PPR 2 had established an intersessional correspondence group under the overall coordination of the United States, and instructed it, inter alia, to develop a draft of part IV of the Guidelines for the use of dispersant for combatting oil at sea (IMO Dispersant Guidelines), devoted to sub-sea dispersant application Having considered the report of the correspondence group (PPR 4/13, submitted by the United States), the Sub-Committee noted the progress made on the development of the Guidelines; re-established the group, under the coordination of the United States 3 ; and instructed it to finalize part IV of the IMO Dispersant Guidelines and submit the text to PPR 5 for consideration, with a view to approval by MEPC 73. Extension of the target completion year 13.3 In view of the above, the Sub-Committee invited the Committee to extend the target completion year for the output to Coordinator: Mr. Kevin Sligh Senior Technical Adviser United States Coast Guard Tel: (703) (cell) / (202) (work) Kevin.m.sligh@uscg.mil / Kevin.sligh@gmail.com

24 Page UPDATED OPRC MODEL TRAINING COURSES 14.1 The Sub-Committee recalled that the Drafting Group on OPRC related manuals, guidelines and guidance established at PPR 3 had not been able to complete the review of all the course materials provided and had requested the Secretariat to prepare and submit a final draft of the Model Courses to this session for consideration In considering documents PPR 4/14, PPR 4/14/1, PPR 4/14/2, PPR 4/14/3 and PPR 4/14/4 (Secretariat), containing an update on the finalization of the revision process, in addition to the finalized draft materials of the four courses that comprise the OPRC Model Training Courses, namely the introductory level, the tactical level, the operational level and the strategic level, the Sub-Committee welcomed the significant progress made in the finalization of the courses and the important contribution made by a number of Member Governments and non-governmental organizations in this process The delegation of Spain announced that, in support of the efforts made in updating the OPRC Model Training Courses, the Government of Spain would offer assistance with regard to the translation into Spanish of the finalized OPRC Model Training Courses, following their approval by the Committee. Establishment of a drafting group 14.4 Subsequently, the Sub-Committee established a Drafting Group on OPRC model training courses and instructed it to finalize the OPRC Model Training Courses, on the basis of documents PPR 4/14/1, PPR 4/14/2, PPR 4/14/3 and PPR 4/14/4. Report of the drafting group 14.5 Having considered the report of the drafting group (PPR 4/WP.8), the Sub-Committee approved it in general and took action as indicated hereunder The Sub-Committee noted that the group had agreed to a number of modifications to the OPRC Model Training Courses, as outlined in the annex to document PPR 4/WP.8, and had asked the Secretariat to gather all relevant information and materials, including updating all relevant statistics directly prior to publishing and adjusting text to ensure consistency in the language and terminology used across all course materials Following consideration, the Sub-Committee agreed to the final draft of the OPRC Model Training Courses, as set out in documents PPR 4/14/1, PPR 4/14/2, PPR 4/14/3 and PPR 4/14/4, including the amendments outlined in the annex to document PPR 4/WP.8, as set out in annex 7, for submission to MEPC 71, with a view to approval and subsequent publication; and requested the Secretariat to prepare a consolidated version of the text In this connection, the Sub-Committee invited MEPC 71 to authorize the Secretariat, when preparing the updated OPRC Model Training Courses for publication, to effect any editorial corrections that may be identified, as appropriate. Completion of the work on the output 14.9 The Sub-Committee invited the Committee to note that the work on this output had been completed.

25 Page UNIFIED INTERPRETATION TO PROVISIONS OF IMO ENVIRONMENT-RELATED CONVENTIONS Unified interpretation of regulation B-4 of the BWM Convention 15.1 The Sub-Committee recalled that MEPC 70, having considered document MEPC 70/4/10 (Republic of Korea) proposing a unified interpretation for implementing regulation B-4 (Ballast water exchange) of the BWM Convention, had instructed PPR 4 to consider the matter and to advise the Committee accordingly In considering the proposal, the Sub-Committee noted that unified interpretations to the BWM Convention can only be approved by Parties to the Convention once it has entered into force A number of delegations supported the proposal in document MEPC 70/4/10, while others agreed on the need for a unified interpretation in principle, but were of the view that further consideration of the proposal was required to ensure it was fully in line with the requirements of the BWM Convention. Some delegations were of the view that the unified interpretation should take into account the concurrence of MEPC 68 with the view that resolution A.1088(28) on Application of the International Convention for the Control and Management of Ships' Ballast Water and Sediments, 2004 also applied to ships operating in sea areas where ballast water exchange in accordance with regulations B-1 and D-1 of the Convention is not possible The delegation of Ireland, while recognizing that clarity with regard to the implementation of ballast water exchange under the BWM Convention was needed, did not agree to the proposal. The full text of their statement in this respect is set out in annex Consequently, the Sub-Committee agreed to invite refined proposals for a unified interpretation of regulation B-4 of the BWM Convention to the next session for further consideration, with a view to its approval by MEPC 72 when the BWM Convention will have entered into force The delegation of the Republic of Korea, supported by the delegation of Singapore, stated their view that, considering the urgency of the matter, a BWM circular would be more appropriate than a unified interpretation that cannot be approved before entry into force of the Convention. They informed the Sub-Committee of their intention to submit a draft BWM circular on the matter to MEPC 71 for approval and invited interested delegations to participate in its development. Unified interpretation of regulation 36 of MARPOL Annex I 15.7 The Sub-Committee recalled that PPR 3, having considered document PPR 3/18/1 (OCIMF) seeking clarification with regard to the appropriate cargo/ballast operation category of offshore terminal line flush seawater which occurs during routine cargo transfer operations on board an oil tanker, had invited interested Member Governments and international organizations to work together intersessionally and submit a revised proposal to PPR 4 or, in case a new output was needed, to submit a relevant proposal to the Committee in accordance with the Committees' Guidelines In this regard, the Sub-Committee considered document PPR 4/15 (OCIMF and INTERTANKO), containing a revised proposal for a unified interpretation of regulation of MARPOL Annex I.

26 Page Following discussion, the Sub-Committee agreed to the unified interpretation of regulation of MARPOL Annex I, as set out in annex 8, for submission to MEPC 71 for consideration, with a view to approval and dissemination as an MEPC circular In this connection, one delegation stressed that this unified interpretation should only be applied upon the receipt of documentation from the terminal operator on the amount, composition and origin of the flush water. 16 USE OF ELECTRONIC RECORD BOOKS 16.1 The Sub-Committee recalled that MEPC 66 had established a correspondence group and instructed it to develop draft guidance for the use of electronic record books under MARPOL and any necessary amendments and/or unified interpretations to MARPOL; and to consider the need for any consequential amendments to the Procedures for Port State Control, 2011 (resolution A.1052(27)) (PSC Procedures) The Sub-Committee also recalled that MEPC 69 had considered the report of the correspondence group (MEPC 68/9); had taken a number of decisions as summarized in document PPR 4/16 (Secretariat); and had referred consideration of this matter to PPR 4, specifically instructing the Sub-Committee to:.1 consider whether or not the forms of record books in MARPOL can be accommodated in electronic formats;.2 explore the extent of flexibility when transferring the forms of record books under MARPOL into electronic formats;.3 finalize any consequential amendments to the PSC Procedures, based on its consideration of the issue of flexibility of the format;.4 develop draft amendments to MARPOL to effect electronic record books; and.5 consider the feasibility of using electronic documentation and advise the Committee accordingly. General comments 16.3 The Sub-Committee noted the general support for the use of electronic record books and the need to expedite the finalization of the draft guidance and associated MARPOL amendments to ensure uniform implementation, given the fact that a number of Member States had already encouraged such practice and were using electronic record books The delegation of the United States, noting that there are both advantages and disadvantages in using electronic record books, expressed the view that substantial further work would be needed for the draft guidance to address any potential technical, legal and procedural issues as the guidance presented leaves discretion to the Administration which may allow electronic record books that do not provide the same level of safety, security, protection or availability as the required written records in MARPOL. They were of the view that Administrations or port States would not be obliged to use or accept electronic record books prior to the entry into force of relevant MARPOL amendments.

27 Page 27 Forms of electronic record books, including extent of flexibility 16.5 The Sub-Committee had for its consideration document PPR 4/16/1 (Liberia), proposing that, since electronic record books would be new for both shipboard personnel and port State control officers in the initial introduction and in order to gain experience with their use, the form of record books in MARPOL should be maintained for electronic record books for the near future, after which the use of alternative forms may be considered Following discussion, the Sub-Committee agreed that electronic record books should be presented in the form as specified in relevant MARPOL Annexes in order to assist the smooth transition from hard copy record books to electronic ones while not ruling out the need to further explore the extent of flexibility of the forms in the future. Feasibility of using other electronic documentation 16.7 In considering the feasibility of using electronic documentation, the Sub-Committee noted that examples of such documentation under MARPOL included the operational manual for oil discharge monitoring and control system; the operations and equipment manual for crude oil washing operations; the shipboard oil pollution emergency plan; the P&A Manual; garbage management plans and the VOC management plan. The Sub-Committee further noted that, since most of the above-mentioned documentation needs approval by the Administration, using electronic documentation would be similar to using electronic certificates and reference could be made to the Guidelines for the use of electronic certificates (FAL.5/Circ.39/Rev.2), which, however, explicitly exclude manuals, instructions or ships' logs used to record ongoing operations Following consideration, the Sub-Committee agreed that, in order not to further delay the finalization of the draft guidance, it should not cover electronic documentation which requires different verification processes and that this matter may be revisited in the future, based on the experience gained with the use of electronic record books. Draft amendments and interpretations to MARPOL and the 2011 PSC Procedures 16.9 With a view to expediting the work, the Sub-Committee requested the Secretariat to prepare draft amendments to MARPOL to effect electronic record books, together with an updated version of the draft guidance for the use of electronic record books under MARPOL, associated draft unified interpretations of MARPOL, and draft amendments to the Procedures for Port State Control, 2011 (resolution A.1052(27)), for consideration at PPR 5. Extension of the target completion year In view of the above, the Sub-Committee invited the Committee to extend the target completion year for the output to REVISION OF THE 2011 SCR GUIDELINES 17.1 The Sub-Committee recalled that MEPC 70, following a request by PPR 3, had included a new output on "Revision of the 2011 SCR Guidelines" in the biennial agenda of the Sub-Committee and in the provisional agenda for this session, with a target completion year of 2018, and had forwarded documents MEPC 70/9/1 (EUROMOT) and MEPC 70/15/6 (United States et al.) to this session for consideration (MEPC 70/18, paragraph 15.15).

28 Page The Sub-Committee had for its consideration the following documents:.1 PPR 4/17 (Sweden), expressing the view that Scheme B of the 2011 SCR Guidelines contains unnecessary complications, proposing that onboard confirmation tests should be made on all engines and that classification societies should act as a "share point" where necessary data for certification is received from the engine and the selective catalytic reduction (SCR) manufacturer;.2 PPR 4/17/1 (Norway), stating that Scheme A and Scheme B should be considered as equivalent approaches towards certification of an engine with an SCR and proposing several further modifications to the draft amendments to the 2011 SCR Guidelines provided in documents MEPC 70/15/6 and PPR 4/17;.3 PPR 4/17/2 (Finland), stating that Scheme A and Scheme B should be considered as equivalent approaches towards certification of an engine with an SCR and proposing several further modifications to the draft amendments to paragraph of the 2011 SCR Guidelines provided in document MEPC 70/9/1; and.4 PPR 4/17/3 (Finland), proposing several further modifications to the draft amendments to the 2011 SCR Guidelines provided in document MEPC 70/15/ In the ensuing discussion, the following comments, inter alia, were made:.1 Scheme A and Scheme B should be treated as equivalents to ensure that both engine and SCR manufacturers have an equal level of access to the market, and, therefore, unnecessary complications, including making available engine emission data to enable pre-certification, should be removed;.2 Scheme B should be regarded as an alternative to Scheme A, only to be allowed, as the provisions of the NO X Technical Code require, when this is justified;.3 should Scheme A and Scheme B be treated as equivalents, then amendments to paragraph of the NO X Technical Code 2008 would be needed as the current provisions do not allow a free choice and Scheme B can only be used where there are technical and practical reasons for not using Scheme A; and the use of Scheme B is subject to approval by the Administration;.4 should amendments to the NO X Technical Code 2008 be needed, a justification to extend the scope of the current output should be prepared for consideration by the Committee;.5 onboard confirmation testing should not be required under Scheme A for all parent and member engines;

29 Page 29.6 only one party should have full responsibility for the certification of the integrated engine system (i.e. the engine and the SCR system connected to it), and as the highest priority should be given to the robustness of the certification process, it would not be appropriate to introduce the concept of a "share point" for third parties, not least because of any intellectual property issues that would require clarification;.7 a new provision for ammonia slip, as proposed in document MEPC 70/15/6, is not required since ammonia slip levels can be controlled by setting an appropriate reductant injection rate; and.8 individual SCR chambers should not need to be tested The Sub-Committee agreed that unnecessary complications in the application of the 2011 SCR Guidelines needed to be removed, in part to enable the use of new technologies, and that consideration needed to be given as to whether Scheme A and Scheme B are equivalent under the NO X Technical Code, and, if necessary, a justification for the relevant amendments to the Code should be prepared. Additionally, the Sub-Committee noted that the need for onboard confirmation testing under Scheme A was not supported. Instructions to the Working Group on Prevention of air pollution from ships 17.5 Following discussion, the Sub-Committee instructed the Working Group on Prevention of air pollution from ships, established under agenda item 9, taking into account comments and decisions made in plenary, to:.1 consider the need for amendments to the NO X Technical Code 2008 in the context of using Scheme A or Scheme B, and if so, prepare a justification for a revision of the scope of the current output;.2 prepare a revision of the 2011 SCR Guidelines, using document MEPC 70/15/6 as the basis, and taking into account documents MEPC 70/9/1, PPR 4/17, PPR 4/17/1, PPR 4/17/2 and PPR 4/17/3; and.3 consider the need for a correspondence group and, if so, prepare terms of reference for the group. Report of the Working Group 17.6 In considering the relevant parts of the report of the Working Group (PPR 4/WP.6, paragraphs 21 to 29 and annex 4), the Sub-Committee noted an intervention by the delegation of the Russian Federation, supported by the delegations of Bahamas and India, expressing concern about the workload of the Working Group leading to a heavy burden on delegates, especially those whose mother tongue is not English. Furthermore, the delegation expressed regret for the agreement that Scheme A and Scheme B under the NO X Technical Code 2008 should be made equally applicable, as in their view this would complicate matters for shipowners as SCR emission abatement technology was integral to the propulsion machinery and so the documentation for SCR and propulsion machinery should be considered simultaneously; and that the Sub-Committee should not interfere with the market relationships between SCR and marine diesel engine manufacturers to minimize the administrative burden on the Administration.

30 Page The Sub-Committee also noted an intervention by the delegation of the Netherlands that paragraph 22.1 of the report should be corrected to read as follows: ".1 to make Scheme B equally applicable to Scheme A the application of the provisions included in Chapter 5 of the NO X Technical Code could be considered;" The Sub-Committee further noted an intervention by the delegation of the Bahamas which expressed the view that there were two important principles that should be adhered to, firstly there was a hierarchy in the Organization meaning that Sub-Committees' could not arbitrarily change the decisions of their parent Committees and secondly, guidelines were produced to support implementation of instruments and they could not lead or anticipate an amendment to an instrument Following discussion, the Sub-Committee took action as follows:.1 noted that the SCR Guidelines are subordinate to and only reflect the requirements of the NO X Technical Code 2008, and do not seek to go beyond the intent of those requirements;.2 endorsed the group's agreement to retain the existing approach of a single applicant for NO X certification, noting the procedural problems associated with a "share point" approach to NO X certification data;.3 endorsed the group's view that Scheme A and Scheme B should be made equally applicable and that amendments to the NO X Technical Code 2008 are required to effect this;.4 agreed to invite MEPC 71 to amend the title of the output to read "Revision of certification requirements for SCR systems under the NO X Technical Code 2008";.5 agreed, for clarification purposes, to modify paragraph 1.3 of the draft Guidelines to refer only to the provisions set forth in paragraph of the NO X Technical Code 2008; and.6 agreed to the draft MEPC resolution on 2017 Guidelines addressing additional aspects of the NO X Technical Code 2008 with regard to particular requirements related to marine diesel engines fitted with selective catalytic reduction (SCR) systems, as set out in annex 9, for submission to MEPC 71, with a view to adoption. 18 BIENNIAL AGENDA AND PROVISIONAL AGENDA FOR PPR 5 Biennial status report 18.1 The Sub-Committee recalled that MEPC 70 had approved the revised biennial agenda for and the provisional agenda for PPR 4 (MEPC 70/18/Add.1, annex 15) Taking into account the progress made at this session, the Sub-Committee agreed to the biennial status report, as set out in annex 10, for approval by MEPC 71.

31 Page 31 Biennial agenda for and provisional agenda for PPR Taking into account the progress made at this session and the relevant decisions of MEPC 69 and MEPC 70, the Sub-Committee prepared its proposed biennial agenda for and the provisional agenda for PPR 5, as set out in annexes 11 and 12, respectively, for approval by MEPC 71. Correspondence groups established at this session 18.4 The Sub-Committee established correspondence groups on the following subjects, due to report to PPR 5:.1 consideration of the impact on the Arctic of emissions of Black Carbon from international shipping (see paragraph 9.4);.2 standards for shipboard gasification of waste systems and associated amendments to regulation 16 of MARPOL Annex VI (see paragraph 10.9); and.3 development of part IV of the IMO Dispersant Guidelines (see paragraph 13.2). Arrangements for the next session 18.5 The Sub-Committee, taking into account the decisions made under the respective agenda items, anticipated that the following groups may be established at PPR 5:.1 Working Group on Evaluation of safety and pollution hazards of chemicals;.2 Working Group on Ballast water management;.3 Working Group on Prevention of air pollution from ships;.4 Drafting Group on OPRC Guidelines; and.5 Drafting Group on Use of electronic record books, whereby the Chair, taking into account the submissions received on the respective subjects, would advise the Sub-Committee well in time before PPR 5 on the final selection of such groups. Intersessional meeting 18.6 The Sub-Committee, having noted that MEPC 69 had approved the holding of an intersessional meeting of the ESPH Working Group in 2017, endorsed by C 116, invited the Committee to approve the holding of an intersessional meeting of the group in 2018, for endorsement by the Council. Date of the next session 18.7 The Sub-Committee noted that its fifth session has tentatively been scheduled to take place from 5 to 9 February 2018.

32 Page ELECTION OF CHAIR AND VICE-CHAIR FOR 2018 In accordance with the Rules of Procedure of the Marine Environment Protection Committee, the Sub-Committee unanimously re-elected Mr. S. Oftedal (Norway) as Chair and Dr. F. Fernandes (Brazil) as Vice-Chair, both for ANY OTHER BUSINESS Guidelines for the use of more than one Engine Operational Profile (Map) 20.1 The Sub-Committee recalled that MEPC 69, having considered document MEPC 69/19/1 (Norway), proposing the development of guidelines for the use of more than one Engine Operational Profile (Map), together with commenting documents MEPC 69/19/3 (EUROMOT) and MEPC 69/19/4 (United States), had referred the proposal to PPR 4 for detailed consideration and advice, so that an informed decision with regard to the proposed new output could be taken at MEPC 71 (MEPC 69/21, paragraphs 19.6 and 19.7) In this regard, the Sub-Committee considered document PPR 4/20 (United States), providing information with respect to Engine Operational Profiles (Maps) and explaining why the use of more than one Map for engine certification should not be allowed In the ensuing discussion the following comments, inter alia, were, made:.1 the use of more than one Map would lead to a relaxation of NO X emission requirements and, therefore, should not be allowed;.2 multiple Maps are already in use but the provisions set out in MARPOL Annex VI and the NO X Technical Code 2008 are not clear as to whether they are allowed or not;.3 the acceptability of the use of more than one Map should be considered by a working group;.4 the use of multiple Maps can reduce CO 2 emissions from marine diesel engines while NO X emissions would increase, therefore, further consideration of the implications of their use is needed; and.5 the use of more than one Map could be considered under the engine group concept and should be clarified in the NO X Technical Code Instructions to the Working Group on Prevention of air pollution from ships 20.4 Following discussion, the Sub-Committee instructed the Working Group on Prevention of air pollution from ships, established under agenda item 9, to develop a definition for an Engine Operational Profile (Map); consider the proposal for the development of guidelines for the use of more than one Map; and advise the Sub-Committee accordingly, taking into account documents MEPC 69/19/1, MEPC 69/19/3, MEPC 69/19/4 and PPR 4/20 and comments and proposals made in plenary. Consistent implementation of the 0.50% sulphur limit under regulation of MARPOL Annex VI 20.5 The Sub-Committee recalled that MEPC 70 had confirmed 1 January 2020 as the effective date of implementation for ships to comply with the 0.50% m/m sulphur content of fuel oil requirement, as set out in regulation of MARPOL Annex VI. Recognizing

33 Page 33 concerns expressed regarding the implementation of the requirement, MEPC 70 agreed to forward document MEPC 70/5/2 (Japan et al.) and relevant comments made in plenary to PPR 4, for further consideration. MEPC 70 also instructed the Sub-Committee to draft a justification and scope for a new output on what additional measures may be developed to promote consistent implementation of the 0.50% global sulphur limit, for consideration at MEPC The Sub-Committee had for its consideration the following documents:.1 PPR 4/20/1 (Peru), commenting on document MEPC 70/5/2 and requesting to evaluate the procedure for adequately implementing the 0.50% sulphur limit, taking into account actual individual data per fuel oil manufacturer and per country;.2 PPR 4/20/2 (Norway), proposing some additional actions for discussion in relation to the enforcement of the sulphur limit in regulation 14 of MARPOL Annex VI, including fuel oil sampling, prohibition to carry high sulphur fuel oil, continuous onboard monitoring of SO X emissions and distribution of annual reports in relation to fuel oil notifications;.3 PPR 4/20/3 (ICS et al.), proposing that the scope for the new output should focus on measures in four areas that are critical to effective implementation of the 0.50% sulphur limit: initial transition issues; impact on machinery systems; verification issues and mechanisms; and any regulatory amendments or guidelines;.4 PPR 4/20/4 and PPR 4/20/5 (Japan), providing draft text for the justification for a new output on consistent implementation of the 0.50% global sulphur limit, including the checklists for identifying administrative requirements and burdens and for considering human element issues by IMO bodies;.5 PPR 4/20/6 (IBIA), providing several elements for discussion related to developing a plan to achieve consistent implementation of the 0.50% global sulphur limit, including a realistic timescale for effective and uniform global implementation, fuel oil quality and possible scrubber installation bottleneck; and.6 PPR 4/20/7 (IPIECA), proposing to develop guidance to allow ships to continue to use fuel oil with a sulphur level above 0.50% under specific conditions and during a strictly limited period of time, to mitigate a peak demand for 0.50% sulphur fuel oil and proposing the consideration of cases where ships cannot obtain sufficient amounts of compliant fuel oils to complete their journey In the ensuing discussion, the following comments, inter alia, were made:.1 supplying fuel oil with a sulphur content exceeding 0.50% to a ship which does not have an exhaust gas cleaning system (EGCS) should be prohibited;.2 preparations required by refineries to supply compliant fuel oils and the availability of compliant fuel oil globally in 2020 should be further considered;

34 Page 34.3 provisions to prohibit the supply of non-compliant fuel oil to ships which do not have an EGCS are not needed as strict implementation of port State control would ensure compliance;.4 supply to and/or carriage of non-compliant fuel oil by ships not having an EGCS should not be restricted as this may prevent the use of new technologies;.5 continuous SO X emission monitoring should not be required, noting that even for demonstrating compliance an EGCS only requires such continuous monitoring under Scheme B;.6 the installation of valves that can be opened and closed remotely using GPS signals is premature and should be further considered when fuel oil supply has been stabilized following the effective date of the sulphur cap;.7 the scope of a new output should be general in nature and therefore the four areas identified in paragraph 9 of document PPR 4/20/3 would be a good framework and should be further considered by the Working Group;.8 the use by ships of non-compliant fuel oil after 1 January 2020 in order to consume such fuel oils received before that date, or for ships that have contracted the installation of EGCS, should not be allowed as it would provide an incentive to not comply by the effective date and may delay implementation;.9 ISO is finalizing a revision of Standard 8217 Petroleum products Fuels (class F) Specifications of marine fuels, and that a future revision will take into account the implementation of the 0.50% sulphur limit;.10 there are many uncertainties associated with the implementation of regulation of MARPOL Annex VI and these need to be appropriately recognized by regulatory authorities when it comes to enforcement;.11 the practicalities of amending MARPOL Annex VI within the time available before the effective date enters into force means consideration needs to be given as to what additional measures can be developed;.12 capacity building, including the use of technology; updating national regulations to ensure consistent implementation; and port State control training and analysis tools need to be considered;.13 differentiated regional and/or time shifted implementation should not be supported; and.14 safety concerns related to the use of 0.50% sulphur fuel oils should be considered by the Maritime Safety Committee Following discussion, the Sub-Committee agreed that the new output should have highest priority; should not change the Committee's decision on the effective date of implementation of the 0.50% sulphur limit; and should be kept general to allow for the accommodation of any emerging implementation issues.

35 Page 35 Instructions to the Working Group on Prevention of air pollution from ships 20.9 Following consideration, the Sub-Committee instructed the Working Group on Prevention of air pollution from ships, established under agenda item 9, to finalize a justification and scope for a new output on what additional measures may be developed to promote consistent implementation of regulation of MARPOL Annex VI, using documents PPR 4/20/4 and PPR 4/20/5 as the basis and taking into account documents MEPC 70/5/2, PPR 4/20/1, PPR 4/20/2, PPR 4/20/3, PPR 4/20/6 and PPR 4/20/7 and comments made in plenary. Oil Spill Monitoring Handbook The Sub-Committee noted document PPR 4/INF.5 (Australia), providing information on a new and comprehensive Oil Spill Monitoring Handbook which has been published by the Australian Government to assist with preparing and planning for undertaking monitoring during a maritime oil spill. Report of the Working Group Having considered the relevant parts of the report of the Working Group on Prevention of air pollution from ships (PPR 4/WP.6, paragraphs 30 to 43 and annex 5), the Sub-Committee took action as described in the following paragraphs. Guidelines for the use of more than one Engine Operational Profile (Map) The Sub-Committee noted that the Working Group had agreed to the following draft definition for "Engine Operational Profile (Map)" for the purposes of the NO X Technical Code 2008: "The emission performance resulting from the application of a particular set of NO X influencing settings as a function principally of engine speed and load as applied by an electronic engine management system. Those settings may relate to, but are not limited to, fuel injection, charge air/exhaust valve operation and charge air or exhaust bypass/wastegate controls. Variation from settings is only allowed using approved auxiliary control devices as defined in regulation 2.4 of MARPOL Annex VI." The Sub-Committee invited MEPC 71 to approve the new output on "Development of amendments to MARPOL Annex VI and the NO X Technical Code on the use of multiple engine operational profiles (Maps) for marine diesel engines", with the following scope: "Consider whether multiple engine operational profiles (Maps) should be allowed, and if so, what regulatory controls should be applied, noting that these may also need to include amendments to MARPOL Annex VI and the NO X Technical Code 2008, and if not allowed, then what amendments would be necessary to MARPOL Annex VI and the NO X Technical Code 2008 to explicitly prohibit multiple engine operational profiles (Maps)." Consistent implementation of the 0.50% sulphur limit under regulation of MARPOL Annex VI The Sub-Committee agreed to the draft justification and scope for a new output on "Consistent implementation of regulation of MARPOL Annex VI", as set out in annex 13, for approval by MEPC 71.

36 Page Having concurred with the agreement of the Working Group that intersessional work is required to complete the work in a timely and expeditious manner, the Sub-Committee invited submissions to MEPC 71 commenting on the scope of the proposed new output, including suggestions as to how the work can be organized towards the implementation date. 21 ACTION REQUESTED OF THE COMMITTEE 21.1 The Marine Environment Protection Committee, at its seventy-first session, is invited to:.1 endorse the evaluation of products and their respective inclusion in lists 1 and 3 of MEPC.2/Circ.22, with validity for all countries and with no expiry date (paragraph 3.3.2);.2 endorse the evaluation of cleaning additives and their inclusion in annex 10 of MEPC.2/Circ.22 (paragraph 3.3.4);.3 endorse the evaluation of cleaning additives and their inclusion in the next revision of the MEPC.2/Circular, i.e. MEPC.2/Circ.23 to be issued in December 2017 (paragraph 3.12);.4 subject to concurrent approval by MSC 98, approve, in principle, the draft revised chapter 21 of the IBC Code, pending finalization of the revision of chapters 17 and 18 of the Code, for subsequent circulation of all three revised chapters with a view to adoption (paragraph 3.14 and annex 1);.5 approve, subject to concurrent approval by MSC 98, the draft Assembly resolution on the Code for the Transport and Handling of Hazardous and Noxious Liquid Substances in Bulk on Offshore Support Vessels (OSV Chemical Code), for submission to A 30, with a view to adoption (paragraph 5.6 and annex 3);.6 note the outcome of the Sub-Committee's consideration of document MEPC 70/4/16 concerning uncertainties on ballast water sampling for compliance monitoring of the BWM Convention, i.e. that the Sub-Committee did not agree with the proposal to amend article 9 of the BWM Convention but took relevant parts of the document into account when considering a standardized format for operation logging data (paragraphs 6.9 and 6.10);.7 approve the draft BWM circular on Guidance on methodologies that may be used for enumerating viable organisms (paragraph 7.5 and annex 4);.8 note the outcome of the Sub-Committee's consideration of matters related to System Design Limitations (SDL) for type approved ballast water management systems, i.e. that more information was needed and further proposals on the matter were invited (paragraphs 7.6 and 7.7);.9 note the outcome of the Sub-Committee's consideration of document MEPC 70/4/11 on a standardized format for operation logging data of ballast water management systems, i.e. that the Sub-Committee was not able to conclude on the matter and invited relevant submissions to a future session (paragraphs 7.8 to 7.10);.10 note that the Sub-Committee agreed the updated version of the Manual and instruct the Ballast Water Review Group to finalize sections and 17.2

37 Page 37 of the draft manual entitled Ballast Water Management How to do it, with a view to finalization and approval of the Manual for publication (paragraphs 8.9 and 8.11 and annex 5);.11 note the progress made on the consideration of the impact on the Arctic of emissions of Black Carbon from international shipping, including the timeline developed for the finalization of the work (section 9);.12 adopt the draft MEPC resolution on the 2017 Guidelines for the discharge of exhaust gas recirculation (EGR) bleed-off water (paragraph 11.9 and annex 6);.13 note that no submissions had been received under the output "Improved and new technologies approved for ballast water management systems and reduction of atmospheric pollution" for the last two consecutive sessions, and advise on whether this output should be retained for the next biennium (paragraph 12.1);.14 approve the draft OPRC Model Training Courses and authorize the Secretariat, when preparing course materials for publication, to effect any editorial correction that may be identified, as appropriate (paragraphs 14.6 to 14.8 and annex 7);.15 note the outcome of the Sub-Committee's consideration of document MEPC 70/4/10 on a draft unified interpretation for implementing regulation B-4 (Ballast water exchange) of the BWM Convention, i.e. that the Sub-Committee invited proposals to PPR 5 for further consideration (paragraphs 15.1 to 15.6);.16 approve the unified interpretation of regulation of MARPOL Annex I (paragraph 15.9 and annex 8);.17 adopt the draft MEPC resolution on 2017 Guidelines addressing additional aspects to the NO X Technical Code 2008 with regard to particular requirements related to marine diesel engines fitted with selective catalytic reduction (SCR) systems (paragraph 17.9 and annex 9);.18 amend the title of the output on "Revision of the 2011 SCR Guidelines" to read "Revision of certification requirements for SCR systems under the NO X Technical Code 2008" (paragraph 17.9);.19 note the biennial status report of the Sub-Committee for the current biennium (paragraph 18.2 and annex 10);.20 approve the proposed biennial agenda of the Sub-Committee for the biennium and the provisional agenda for PPR 5 (paragraph 18.3 and annexes 11 and 12);.21 approve the holding of an intersessional meeting of the ESPH Working Group in 2018 (paragraph 18.6);.22 note the outcome of the Sub-Committee's consideration of document MEPC 69/19/1 containing a proposal for a new output on the development of guidelines for the use of more than one Engine Operational Profile (Map)

38 Page 38 and approve the new output on "Development of amendments to MARPOL Annex VI and the NO X Technical Code on the use of multiple engine operational profiles (maps) for marine diesel engines", for inclusion in the Sub-Committee's biennial agenda for and the provisional agenda for PPR 5, taking into account the proposed scope of the work (paragraphs and 20.13);.23 approve the new output on "Consistent implementation of regulation of MARPOL Annex VI", for inclusion in the Sub-Committee's biennial agenda for and the provisional agenda for PPR 5, taking into account the justification for such a new output (paragraph and annex 12);.24 note the Sub-Committee's view that intersessional work is required to complete the work on the proposed output in paragraph in a timely and expeditious manner and that the Sub-Committee had invited submissions to MEPC 71 commenting on the scope of the proposed new output, including suggestions as to how the work can be organized towards the implementation date (paragraph 20.15); and.25 approve the report in general The Maritime Safety Committee, at its ninety-eighth session, is invited:.1 subject to concurrent approval by MEPC 71, to approve, in principle, the draft amendments to the IBC Code on revised chapter 21, pending finalization of the revision of chapters 17 and 18 of the Code, for subsequent circulation of all three revised chapters and with a view to adoption (paragraph 3.14 and annex 1); and.2 subject to concurrent approval by MEPC 71, to approve the draft Assembly resolution on the Code for the Transport and Handling of Hazardous and Noxious Liquid Substances in Bulk on Offshore Support Vessels (OSV Chemical Code), for submission to A 30, with a view to adoption (paragraph 5.6 and annex 3). ***

39 Annex 1, page 1 ANNEX 1 DRAFT AMENDMENTS TO THE INTERNATIONAL CODE FOR THE CONSTRUCTION AND EQUIPMENT OF SHIPS CARRYING DANGEROUS CHEMICALS IN BULK (IBC Code) (REVISED CHAPTER 21) Chapter 21 Criteria for assigning carriage requirements for products subject to the IBC Code 21.1 Introduction The following criteria are used for the determination of pollution classification and assignment of appropriate carriage requirements for bulk liquid cargoes being assessed for entry into the IBC Code or lists 1, 3 or 4 of the MEPC.2/Circular In developing such criteria, every effort has been made to follow the criteria and cut off points developed under the Globally Harmonized System (GHS) Although the criteria are intended to be closely defined in order to establish a uniform approach, it must be emphasized that where human experience or other factors indicate the need for alternative arrangements, these shall always be taken into account. Where deviations from the criteria have been recognized, they shall be properly recorded with justifications Contents This chapter contains the following:.1 minimum safety and pollution criteria for products subject to chapter 17 of the IBC Code;.2 criteria used to assign the minimum carriage requirements for products that meet the safety or pollution criteria to make them subject to chapter 17 of the IBC Code;.3 criteria used for determining special requirements in chapter 15 of the IBC Code to be included in column o of chapter 17 of the IBC Code;.4 criteria used for determining special requirements in chapter 16 of the IBC Code to be included in column o of chapter 17 of the IBC Code;.5 definitions of properties used within this chapter;.6 information on the use of the GESAMP Hazard Ratings; and.7 information on the application of the SVC/LC 50 ratio method The information included in parentheses following the classification criteria throughout this chapter refers to the GESAMP Hazard Profile ratings set out in appendix I of MARPOL Annex II under the "Abbreviated legend to the revised GESAMP Hazard Evaluation

40 Annex 1, page 2 procedure". The full listing of GESAMP Hazard Profile ratings for evaluated substances are published annually in the GESAMP Composite List as a PPR Circular. It should be noted that ratings in parentheses (based on estimation methods applied by GESAMP) are considered as equivalent to ratings without parentheses for the purpose of assigning carriage requirements Minimum safety and pollution criteria for products subject to chapter 17 of the IBC Code Products are deemed to be hazardous and subject to chapter 17 of the IBC Code if they meet one or more of the following criteria:.1 inhalation LC 50 /ATE 20 mg/l/4h (see paragraph ) (C3 = 1, 2, 3 or 4);.2 dermal LD 50 /ATE 2000 mg/kg (see paragraph ) (C2 = 1, 2, 3, or 4);.3 oral LD 50 /ATE 2000 mg/kg (see paragraph ) (C1 = 1, 2, 3, or 4);.4 toxic to mammals by prolonged exposure (see paragraph ) (D3 = C, M, R, N, T, or I);.5 cause skin sensitization (see paragraph ) (D3 = Ss);.6 cause respiratory sensitization (see paragraph ) (D3 = Sr);.7 corrosive to skin (see paragraph ) (D1 = 3, 3A, 3B, or 3C);.8 with a Water Reactive Index (WRI) of 1 (see paragraph );.9 require inertion, inhibition, stabilization, temperature control or tank environmental control in order to prevent a hazardous reaction (see definitions in paragraph );.10 flashpoint < 23 C; and have an explosive/flammability range (expressed as a percentage by volume in air) of 20%;.11 auto-ignition temperature of 200 C; and.12 classified as pollution category X or Y or meeting the criteria for rules 11 to 13 in table 2 in paragraph Criteria used to assign the minimum carriage requirements for products that meet the minimum safety or pollution criteria to make them subject to chapter 17 of the IBC Code Column a Product name A standardized chemical name, preferably assigned on the basis of the Chemical Abstracts Service (CAS) or the International Union of Pure and Applied Chemistry (IUPAC) system, shall be used as far as possible. However, where this is unnecessarily complex, then a technically correct and unambiguous alternative name may be used.

41 Annex 1, page Column b Deleted Column c Pollution category Column c identifies the pollution category assigned to each product in accordance with MARPOL Annex II, based on table 1 below (see MARPOL Annex II, appendix I). Table 1 Guidelines for the categorization of Noxious Liquid Substances Rule A1 Bioaccumulation A2 Biodegradation B1 Acute toxicity NR 4 B2 Chronic toxicity D3 Long-term health effects 4 4 NR CMRTNI 1 E2 Effects on marine wildlife and on benthic habitats NR Not Y Fp, F or S 10 If not Inorganic 11 CMRTNI 1 12 Any product not meeting the criteria of rules 1 to 11 and 13 Z 13 All products identified as: 2 in column A1; R in column A2; blank in column D3; not Fp, F or S (if not organic) in column E2; and 0 (zero) in all other columns of the GESAMP Hazard Profile OS Column d Hazards An "S" is assigned to column d if any of the safety criteria described in paragraphs to are met A "P" is assigned to column d if the product meets the criteria for assigning ship type 1 to 3 as defined by rules 1 to 14 in the table Column e Ship type Assignment of ship types is carried out from both a pollution and safety perspective. The basic criteria for assigning ship types from a pollution perspective is carried out based on the GESAMP Hazard Profile, shown in table 2. An explanation of the details in the columns is provided in appendix I of MARPOL Annex II. Cat X 1 Applies if the D3 rating contains any of these letters or any combination thereof.

42 Annex 1, page The following criteria are used to assign the ship type: Ship type 1: Inhalation LC 50 /ATE 0.5 mg/l/4h (C3 = 4) and SVC/LC 50 20; and/or Dermal LD 50 /ATE 50 mg/kg (C2 = 4); and/or WRI = 3; and/or Auto-ignition temperature 65 C; and/or Explosive range 50% v/v in air and the flashpoint < 23 C; and/or Rules 1 or 2 of the table 2 shown in (below). Ship type 2: Inhalation LC 50 /ATE 0.5 mg/l/4h (C3 = 4) and SVC/LC 50 < 20; or Inhalation 2 LC 50 /ATE > 0.5 mg/l/4h 2mg/L/4h (C3 = 3) and SVC/LC 50 2; and/or Dermal LD 50 /ATE > 50 mg/kg 200 mg/kg (C2 = 3); and/or WRI = 2; and/or Auto-ignition temperature 200 o C; and/or Explosive range 40% v/v in air and the flashpoint < 23 C; and/or Any product meeting the criteria of rules 3 to 10 in table 2. Ship type 3: Any of the minimum safety or pollution criteria for bulk liquid cargoes subject to chapter 17 of the IBC Code not meeting the requirements for ship types 1 or 2 and not meeting rule 15 of table 2 shown in (below). Table 2 Assignment of ship types based on the GESAMP Hazard Profile Rule A1 A2 B1 B2 D3 E2 Ship Type NR 4 CMRTNI NR CMRTNI NR Fp 9 CMRTNI 3 F 10 2 S NR All other category Y Substances 15 All other category Z Substances All "Other Substances" (OS) NA 2 Products with a density >1025 kg/m 3 (sinkers) or a water solubility of >50% (dissolvers) that are assigned to Ship Type 2 based on the inhalation toxicity criteria, should be re-assigned to Ship Type 3. 3 Applies if the D3 rating contains any of these letters or any combination thereof.

43 Annex 1, page Column f Tank type The tank type is assigned according to the following criteria: Tank type 1G: Tank type 2G: Inhalation LC 50 /ATE 0.5 mg/l/4h (C3 = 4) and SVC/LC ; and/or Dermal LD 50 /ATE 50 mg/kg (C2 = 4); and/or; WRI=3; and/or Auto-ignition temperature 65 C; and/or Explosive range 40% v/v in air and the flashpoint < 23 C. Based on expert judgement, tank type 1G may be required for specific products (e.g. for molten sulphur, hydrochloric acid) Any of the minimum safety or pollution criteria for bulk liquid cargoes subject to chapter 17 or the IBC Code not meeting the requirements for tank type 1G Column g Tank vents The tank venting arrangements are assigned according to the following criteria: Controlled: Inhalation LC 50 /ATE 10 mg/l/4h (C3 = 2, 3 or 4), unless in accordance with ; and/or Toxic to mammals by prolonged exposure (D3 = C, M, R, T, N, or I); and/or Respiratory sensitizer (D3 = Sr, see also paragraph ); and/or Special carriage control needed; and/or Flashpoint 60 o C; and Corrosive to skin ( 4h exposure). (D1 = 3A, 3B, or 3C). Open: Any of the minimum safety or pollution criteria for bulk liquid cargoes subject to chapter 17 or the IBC Code not meeting the requirements for controlled tank vents Column h Tank environmental control The tank environmental control conditions are assigned according to the following criteria: Inert: Auto-ignition temperature 200 C; and/or Reacts with air to cause a hazard; and/or Explosive range 40% and the flashpoint < 23 C. Dry: WRI > 1 Pad: Only applies to specific products identified on a case by case basis. Vent: No: Only applies to specific products identified on a case by case basis. Where the above criteria do not apply (inerting requirements may be required under SOLAS)

44 Annex 1, page Column i Electrical equipment If the flashpoint of the product is 60 o C or the product is heated to within 15 o C of its flashpoint then the electrical equipment required are assigned according to the following criteria, otherwise " " is assigned in column i' and i":.1 Column i' Temperature class: T1 T2 T3 T4 T5 T6 Auto-ignition temperature 450 o C Auto-ignition temperature 300 o C but < 450 o C Auto-ignition temperature 200 o C but < 300 o C Auto-ignition temperature 135 o C but < 200 o C Auto-ignition temperature 100 o C but < 135 o C Auto-ignition temperature 85 o C but < 100 o C.2 Column i'' Apparatus group: Apparatus group MESG at 20 o C (mm) MIC ratio product/methane IIA > 0.90 > 0.80 IIB > 0.50 to 0.90 > 0.45 to 0.80 IIC The tests shall be carried out in accordance with the procedures described in IEC :2002 and IEC For gases and vapours it is sufficient to make only one determination of either the Maximum Experimental Safe Gap (MESG) or the Minimum Igniting Current (MIC) provided that: for Group IIA: the MESG > 0.90 mm or the MIC ratio > 0.80 for Group IIB: the MESG is > 0.50 mm and 0.90 mm; or the MIC ratio is > 0.50 and 0.80 for Group IIC: the MESG is 0.50 mm or the MIC ratio is It is necessary to determine both the MESG and the MIC ratio when:.1 The MIC ratio determination only has been made, and the ratio is between 0.80 and 0.90, when an MESG determination will be required;.2 The MIC ratio determination only has been made, and the ratio is between 0.45 and 0.50, when an MESG determination will be required; or.3 The MESG only has been found, and is between 0.50 mm and 0.55 mm, when an MIC ratio determination will be required.

45 Annex 1, page 7.3 Column i"' Flashpoint: > 60 C Yes 60 C No Non-flammable NF Column j Gauging The gauging equipment is assigned according to the following criteria: Closed: Restricted: Open: Inhalation LC 50 /ATE 2 mg/l/4h (C3 = 3 or 4), unless in accordance with ; and/or Dermal LD 50 /ATE 1000 mg/kg (C2 = 2, 3 or 4); and/or Toxic to mammals by prolonged exposure (D3 = C, M, R, T, N, or I); and/or Respiratory sensitizer (D3 = Sr, see also paragraph ); and/or Severely corrosive to skin ( 3 min exposure) (D1= 3C). Inhalation LC 50 /ATE >2-10 mg/l/4h (C3 = 2), unless in accordance with ; and/or Special carriage control indicates inerting required; and/or Highly corrosive to skin (> 3 min - 1h exposure) (D1 = 3B); and/or Flashpoint 60 C. Any of the minimum safety or pollution criteria for bulk liquid cargoes subject to chapter 17 or the IBC Code not meeting the requirements for closed or restricted gauging Column k Vapour detection The vapour detection equipment is assigned according to the following criteria: Toxic (T): Flammable (F): No (No): Inhalation LC 50 /ATE 10 mg/l/4h (C3 = 2, 3, or 4), unless in accordance with , and/or Respiratory sensitizer (D3 = Sr, see also paragraph ); and/or Toxic to mammals by prolonged exposure (D3 = C, M, R, T, N, or I). Flashpoint 60 o C Where the above criteria do not apply Column l Fire protection equipment The appropriate firefighting media are defined as being appropriate according to the following criteria related to the properties of the product:

46 Annex 1, page 8 Solubility > 10% (> mg/l) A Alcohol-resistant foam Solubility 10% ( mg/l) A Alcohol-resistant foam; and/or B Regular foam WRI = 0 C Water spray (generally used as a coolant and can be used with A and/or B providing that the WRI = 0) WRI 1 D Dry chemical Note: all appropriate media shall be listed Column m Deleted Column n Emergency equipment No No requirements under this Code The requirement to have personnel emergency equipment on board is identified by "Yes" in column n according to the following criteria: Inhalation LC 50 /ATE 2 mg/l/4h (C3 = 3 or 4); unless in accordance with and/or Respiratory sensitizer (D3 = Sr, see also paragraph ); and/or Severely corrosive to skin ( 3 min exposure) (D1 = 3C); and/or WRI = 2. No: indicates that the above criteria do not apply Column o Criteria for special requirements in chapter The assignment of special requirements in column o shall normally follow clear criteria based on the data supplied in the reporting form. Where it is considered appropriate to deviate from such criteria, this shall be clearly documented in such a way that it can easily be retrieved on demand The criteria for making reference to the special requirements identified in chapters 15 and 16 are defined below with comments where relevant Paragraphs 15.2 to and Paragraphs 15.2 to and identify specific products by name with special carriage requirements that cannot be easily accommodated in any other way Paragraph Acids Paragraph applies to all acids unless they:.1 are organic acids when only paragraphs to and paragraphs to apply; or.2 do not evolve hydrogen when paragraph need not apply. 4 This applies where a product as identified as NF in column i''' (see paragraph ).

47 Annex 1, page Paragraph Toxic products All of paragraph is added to column o according to the following criteria: Inhalation LC 50 /ATE 2 mg/l/4h (C3 = 3 or 4), unless in accordance with ; and/or the product is a respiratory sensitizer (D3 = Sr, see also paragraph ); and/or the product is toxic to mammals by prolonged exposure (D3 = C, M, R, T, N, or I) Paragraphs and are added to column o according to the following criterion: Inhalation LC 50 /ATE > 2-10 mg/l/4h (C3 = 2), unless in accordance with Paragraph is added to column o according to the following criteria: Dermal LD 50 /ATE 1000 mg/kg (C2 = 2, 3, or 4); and/or Oral LD 50 /ATE 300 mg/kg (C1 = 2, 3, or 4) Paragraph Cargoes protected by additives The requirement to assign paragraph to column o is based on the information related to the product's tendency to polymerize, decompose, oxidize or undergo other chemical changes which may cause a hazard under normal carriage conditions, but which would be prevented by the addition of appropriate additives Paragraph Cargoes with a vapour pressure greater than atmospheric at 37.8 C The requirement to assign paragraph to column o is based on the following criterion: Boiling point 37.8 o C Paragraph Cargo contamination Paragraph is deleted Paragraph is added to column o according to the following criterion: WRI> Paragraph Increased ventilation requirements Paragraph shall be added to column o according to the following criteria: Inhalation LC 50 /ATE > mg/l/4h (C3 = 3), unless in accordance with ; and/or Respiratory sensitizer (D3 = Sr, see also paragraph ); and/or Toxic to mammals by prolonged exposure (D3 = C, M, R, T, N, or I); and/or Highly to severely corrosive to skin ( 1h exposure time) (D1 = 3B or 3C).

48 Annex 1, page Paragraph Special cargo pump-room requirements Paragraph shall be added to column o according to the following criterion: Inhalation LC 50 /ATE 0.5 mg/l/4h (C3 = 4), unless in accordance with Paragraph Overflow control Paragraph shall be added to column o according to the following criteria: Inhalation LC 50 /ATE 2 mg/l/4h (C3 = 3 or 4), unless in accordance with ; and/or Dermal LD 50 /ATE 1000 mg/kg (C2 = 2, 3, or 4); and/or Oral LD 50 /ATE 300 mg/kg (C1 = 2, 3, or 4); and/or Respiratory sensitizer (D3 = Sr, see also paragraph ); and/or Severely corrosive to skin ( 3 min exposure) (D1 = 3C); and/or Auto-ignition temperature 200 o C; and/or Explosive range 40% v/v in air and flashpoint < 23 C; and/or Classified as ship type 1 on pollution grounds Only paragraph shall apply if the product has any of the following properties: Inhalation LC 50 /ATE > 2 mg/l/4h - 10 mg/l/4h (C3 = 2), unless in accordance with ; and/or Dermal LD 50 /ATE > 1000 mg/kg mg/kg (C2 = 1); and/or Oral LD 50 /ATE > 300 mg/kg mg/kg (C1 = 1); and/or Skin sensitizer (D3=Ss); and/or Highly corrosive to skin (> 3 min - 1h exposure) (D1 = 3B); and/or Flashpoint 60 o C; and/or Classified as ship type 2 on pollution grounds; and/or Pollution category X or Y Paragraph Temperature sensors Paragraph is added to column o according to the heat sensitivity of the product. This requirement is related to pumps in cargo pump-rooms only Column o Criteria for special requirements in chapter Paragraphs 16.1 to and 16.3 to These apply to all cargoes and so are not referenced specifically in column o Paragraph Paragraph is added to column o for products, which meet the following criteria: Pollution Category X or Y and viscosity 50 mpa s at 20 o C Paragraph Paragraph is added to column o for products, which meet the following criterion: Melting point 0 o C.

49 Annex 1, page Paragraph 16.6 Cargo not to be exposed to excessive heat Paragraphs to are added to column o for products, which are identified as requiring temperature control during carriage Definitions Acute mammalian toxicity LC 50 is the concentration in air, LD 50 is the amount (dose) of test substance, which causes mortality to 50% of a test species. ATE refers to a dose (concentration) range or extrapolated dose (concentration) leading to lethal effects in mammals, equivalent to an LC 50 or LD Acutely toxic if swallowed Oral toxicity (LD 50 /ATE) GESAMP Hazard Profile Rating Hazard Level mg/kg C1 High 5 4 Moderately High > Moderate > Slight > Negligible > Acutely toxic in contact with skin Dermal toxicity (LD 50 /ATE) GESAMP Hazard Profile Rating Hazard Level mg/kg C2 High 50 4 Moderately high > Moderate > Slight > Negligible > Acutely toxic by inhalation 5 Inhalation toxicity (LC 50 /ATE) GESAMP Hazard Profile Rating Hazard level mg/l/4h C3 High Moderately high > Moderate > Slight > Negligible > Toxic to mammals by prolonged exposure A product is classified as toxic to mammals by prolonged exposure if it meets any of the following criteria: it is known to be, or suspected of being carcinogenic, mutagenic, reprotoxic, neurotoxic, immunotoxic or exposure below the lethal dose is known to cause Specific Target Organ Toxicity. 5 All inhalation toxicity data are assumed to be for vapours and not mists or sprays, unless otherwise indicated.

50 Annex 1, page Such effects may be identified from the GESAMP Hazard Profile of the product (D3 = C, M, R, T, N, or I) or other recognized sources of such information Skin sensitization A product is classified as a skin sensitizer:.1 if there is evidence in humans that the substance can induce sensitization by skin contact in a substantial number of persons; or.2 where there are positive results from an appropriate test Such effects are identified in the GESAMP Hazard Profile for the product (D3 = Ss) Respiratory sensitization A product is classified as a respiratory sensitizer:.1 if there is evidence in humans that the substance can induce specific respiratory hypersensitivity; and/or.2 where there are positive results from an appropriate test; and/or.3 where the product does not have a GESAMP Hazard Profile and is identified as a skin sensitizer and there is no evidence to show that it is not a respiratory sensitizer Such effects are identified in the GESAMP Hazard Profile for the product (D3 = Sr) or other recognized sources of such information, if no profile exists Corrosive to skin Hazard Level Exposure time to cause full thickness necrosis of skin GESAMP Hazard Profile rating (D1) Severely corrosive to skin 3 min 3C Highly corrosive to skin > 3 min - 1h 3B (3 6 ) Moderately corrosive to skin > 1h - 4h 3A 6 Note: A rating of 3 in the D1 column of the GESAMP Hazard Profile, without any additional letter notation (A, B or C), means that the severity of corrosivity has not been established. For such cases, a rating of 3 is understood to be equivalent to a rating of 3B for the purpose of assigning carriage requirements.

51 Annex 1, page Water reactive substances These are classified as follows: Water Reactive Index (WRI) Definition Any chemical which is extremely reactive with water and produces large quantities of flammable, toxic or corrosive gas or aerosol Any chemical which, in contact with water, may produce a toxic, flammable or corrosive gas or aerosol Any chemical which, in contact with water, may generate heat or produce a non-toxic, non-flammable or non-corrosive gas Any chemical which, in contact with water, would not undergo a reaction to justify a value of 1, 2 or Air reactive substances Air reactive substances are products that react with air to cause a potentially hazardous situation, e.g. the formation of peroxides that may cause an explosive reaction Electrical apparatus Temperature class (for products which either have a flashpoint of 60 o C or are heated to within 15 C of their flashpoint) The temperature class is defined by the International Electrotechnical Commission (IEC) as: "The highest temperature attained under practical conditions of operation within the rating of the apparatus (and recognized overloads, if any, associated therewith) by any part of any surface, the exposure of which to an explosive atmosphere may involve a risk." The temperature class of the electrical apparatus is assigned by selecting the Maximum Surface Temperature which is closest to, but less than, the product's auto-ignition temperature (see ) Electrical apparatus Apparatus group (for products with a flashpoint of 60 o C) This refers to intrinsically safe and associated electrical apparatus for explosive gas atmospheres which the IEC divide into the following groups: Group I: for mines susceptible to firedamp (not used by IMO); and Group II: for applications in other industries further sub-divided according to its Maximum Experimental Safe Gap (MESG) and/or the Minimum Igniting Current (MIC) of the gas/vapour into groups IIA, IIB and IIC This property cannot be determined from other data associated with the product; it has to be either measured or assigned by assimilation with related products in a homologous series. 7 Products that are corrosive to skin are also deemed to be corrosive by inhalation.

52 Annex 1, page Special carriage control conditions Special carriage control conditions refer to specific measures that need to be taken in order to prevent a hazardous reaction. They include:.1 Inhibition: the addition of a compound (usually organic) that retards or stops an undesired chemical reaction such as corrosion, oxidation or polymerization;.2 Stabilization: the addition of a substance (stabilizer) that tends to keep a compound, mixture or solution from changing its form or chemical nature. Such stabilizers may retard a reaction rate, preserve a chemical equilibrium, act as antioxidants, keep pigments and other components in emulsion form or prevent the particles in colloidal suspension from precipitating;.3 Inertion: the addition of a gas (usually nitrogen) in the ullage space of a tank that prevents the formation of a flammable cargo/air mixture;.4 Temperature control: the maintenance of a specific temperature range for the cargo in order to prevent a hazardous reaction or to keep the viscosity low enough to allow the product to be pumped; and.5 Padding and venting: only applies to specific products identified on a case by case basis Flammable cargoes A cargo is defined as flammable according to the following criteria: IBC Code descriptor Flashpoint (degrees Centigrade) Highly flammable < 23 Flammable 60 but It should be noted that flashpoints of mixtures and aqueous solutions need to be measured unless all of the components are non-flammable It should be noted that the carriage of bulk liquid cargoes that have a flashpoint of 60 C are subject to other SOLAS regulations Application of the SVC/LC 50 ratio method If the vapour pressure and the molecular weight of a substance are known, an estimate of the maximum vapour concentration in a closed compartment (e.g. a tank) can be calculated. This is called the Saturated Vapour Concentration (SVC) The hazard quotient SVC/LC 50 8 is a substance specific value for the velocity of a vapour for achieving a hazardous concentration when emerging from a liquid source (e.g. leak, spillage or tank ventilation), and can be used in the assignment of specific carriage requirements related to inhalation toxicity. 8 ATE values can be considered as equivalent to LC50 values. See paragraph

53 Annex 1, page If a solid substance is transported in an aqueous solution, the vapour pressure 9 of this solid rather than that of water may be used in the calculation of the SVC/LC 50 ratio Application of the SVC/LC 50 ratio for assigning Ship Type and Tank type For the assignment of ship type and tank type, as set out in paragraph and , the application of the SVC/LC 50 ratio method is optional. Should this method be used, the vapour pressure at 20 C shall be used when calculating the SVC/LC 50 ratio The SVC mg/l of a substance should be calculated as follows: Vapour pressure SVC mg / L where M W is the molecular weight of the substance The SVC/LC 50 ratio should be calculated as follows: SVC / LC 50 SVC mg / L LC mg / L / 4h 50 g 20 C Pa 6 w mol x 10 x Pa 24 L / mol x Application of the SVC/LC 50 ratio for assigning carriage requirements For the carriage requirements listed in , the application of the SVC/LC 50 ratio method is optional. If the SVC/LC 50 ratio method is used in the assignment of these carriage requirements, the vapour pressure at 40 C shall be used when calculating the SVC/LC 50 ratio. If the carriage temperature is higher than 40 C, then the SVC/LC 50 ratio should be calculated at that temperature The SVC (mg/l) of a substance should be calculated as follows: M SVC mg / L Vapour pressure g 40 C Pa 6 w mol x 10 x Pa [26] L / mol x 1000 M where M W is the molecular weight of the substance The SVC/LC 50 ratio should be calculated as follows: SVC / LC 50 SVC mg / L LC mg / L / 4h The SVC (mg/l) formula described in is standardized for calculations at 40 C. When using the vapour pressure at higher temperatures in the calculations, the formula must be amended accordingly. 9 If this data is not available, an estimate may be used.

54 Annex 1, page For the following carriage requirements, the SVC/LC 50 ratio method, calculated at 40 C or higher, may be used as an alternative to the acute inhalation toxicity criteria given in paragraphs 21.4 and 21.5:.1 Column g Tank vents Assignment of controlled venting is not required based on the inhalation hazard only, if: Inhalation LC 50 /ATE 10 mg/l/4h (C3 = 2, 3, or 4) and SVC/LC 50 < Column j Gauging Closed gauging is not required based on the inhalation hazard only, if: Inhalation LC 50 /ATE 2 mg/l/4h (C3 = 3 or 4) and SVC/LC 50 < 0.2 but restricted gauging is required. Restricted gauging is not required based on the inhalation hazard only, if: Inhalation LC 50 /ATE > 2-10 mg/l/4h (C3 = 2) and SVC/LC 50 < Column k Vapour detection Assignment of toxic vapour detection is not required based on the inhalation hazard only, if: Inhalation LC 50 /ATE 10 mg/l/4h (C3 = 2, 3, or 4) and SVC/LC 50 < Column n Emergency Equipment Inhalation LC 50 /ATE 2 mg/l/4h (C3 = 3 or 4) and SVC/LC 50 < Column o Special requirements in chapter and are not required based on the inhalation hazard only, if: Inhalation LC 50 /ATE 2 mg/l/4h (C3 = 3 or 4) and SVC/LC 50 < and are not required based on the inhalation hazard only, if: Inhalation LC 50 /ATE >2-10 mg/l/4h (C3 = 2) and SVC/LC 50 < is not required based on the inhalation hazard only, if: Inhalation LC 50 /ATE 0.5 mg/l/4h (C3 = 4) and SVC/LC 50 < is not required based on the inhalation hazard only if: Inhalation LC 50 /ATE 0.5 mg/l/4h (C3 = 4) and SVC/LC 50 < 0.2

55 15.19 is not required based on the inhalation hazard only, if: PPR 4/21 Annex 1, page 17 Inhalation LC 50 /ATE 2 mg/l/4h (C3 = 3 or 4) and SVC/LC 50 < 0.2, but applies is not required based on the inhalation hazard only, if: Inhalation LC 50 /ATE > 2-10 mg/l/4h (C3 = 2) and SVC/LC 50 < 0.2 ***

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57 Annex 2, page 1 ANNEX 2 PROVISIONAL AGENDA FOR ESPH 23 Opening of the session 1 Adoption of the agenda 2 Decisions of other bodies 3 Evaluation of products 4 Evaluation of cleaning additives 5 Review of MEPC.2/Circular Provisional classification of liquid substances transported in bulk and other related matters 6 Revision of the IBC Code Chapters 17 and 18 7 Revision of MEPC.1/Circ.512 Guidelines for the provisional assessment of liquid substances transported in bulk 8 Guidance for the assessing and classifying products under Annexes I and II of MARPOL 9 Amendments to MARPOL Annex II related to the discharge of cargo residues and tank washings of high-viscosity, solidifying and persistent floating products 10 Proposed provisional agenda for ESPH Report to the Sub-Committee ***

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59 Annex 3, page 1 ANNEX 3 DRAFT ASSEMBLY RESOLUTION CODE FOR THE TRANSPORT AND HANDLING OF HAZARDOUS AND NOXIOUS LIQUID SUBSTANCES IN BULK ON OFFSHORE SUPPORT VESSELS (OSV CHEMICAL CODE) (The text of the draft Assembly resolution on the OSV Chemical Code is contained in document PPR 4/21/Add.1) ***

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61 Annex 4, page 1 ANNEX 4 DRAFT BWM CIRCULAR INTERNATIONAL CONVENTION FOR THE CONTROL AND MANAGEMENT OF SHIPS' BALLAST WATER AND SEDIMENTS, 2004 Guidance on methodologies that may be used for enumerating viable organisms for type approval of ballast water management systems 1 The Marine Environment Protection Committee at its seventy-first session (3 to 7 July 2017) approved the Guidance on methodologies that may be used for enumerating viable organisms for type approval of ballast water management systems, prepared by the Sub-Committee on Pollution Prevention and Response at its fourth session (16 to 20 January 2017), as set out in the annex. 2 Member Governments are invited to bring the annexed Guidance to the attention of all parties concerned.

62 Annex 4, page 2 ANNEX GUIDANCE ON METHODOLOGIES THAT MAY BE USED FOR ENUMERATING VIABLE ORGANISMS FOR TYPE APPROVAL OF BALLAST WATER MANAGEMENT SYSTEMS Introduction 1 The Marine Environment Protection Committee (MEPC), at its seventieth session, adopted the 2016 Guidelines for approval of ballast water management systems (G8) (resolution MEPC.279(70)), which call for guidance on methodologies for determining the viability of organisms. 2 The purpose of this Guidance is to provide information on methodologies used for enumerating viable organisms during the type approval of ballast water management systems (BWMS), in order to verify that they meet the ballast water performance standard described in regulation D-2 of the BWM Convention. 3 The selection of analytical methodologies used for determining the concentration of viable organisms is critical in providing confidence that a BWMS complies with the ballast water performance standard described in regulation D-2 of the BWM Convention. 4 This Guidance should be read in conjunction with the BWM Convention, the 2016 Guidelines for approval of ballast water management systems (G8), the Guidelines for ballast water sampling (G2) (resolution MEPC.173(58)), the Guidelines for port State control under the BWM Convention (resolution MEPC.252(67)) and the Guidance on ballast water sampling and analysis for trial use in accordance with the BWM Convention and Guidelines (G2) (BWM.2/Circ.42/Rev.1, as may be revised). 5 As instructed by MEPC 64, sampling and analysis procedures to be used for enforcement of the BWM Convention should be no more stringent than what is required for type approval of BWMS. In addition, the Administration should take into consideration methodologies identified for compliance assessment within the Guidance on ballast water sampling and analysis for trial use in accordance with the BWM Convention and Guidelines (G2) (BWM.2/Circ.42/Rev.1, as may be revised). General principles 6 Sampling and analysis should be consistent with the Guidelines (G8) and undertaken to the satisfaction of the Administration to assess compliance of BWMS with the ballast water performance standard described in regulation D-2 of the BWM Convention. 7 Analytical methodologies should determine viability by assessing the presence of one or more essential characteristics of life, such as structural integrity, metabolism, reproduction, motility, or response to stimuli. 8 Analytical methodologies should be appropriate to the ballast water treatment technology being tested. 9 Analytical methodologies should provide assurance that organisms not removed from ballast water have been killed or rendered harmless to the environment, human health, property and resources.

63 Annex 4, page 3 10 The table in this Guidance contains methodologies that may be used to enumerate viable organisms. This Guidance remains open for addition of new methodologies as new or revised methodologies become available. 11 Analytical methodologies should be validated to the satisfaction of the Administration. The methodologies in the table below have been validated to the satisfaction of at least one Administration. Table: Methodologies that may be used for enumerating viable organisms for type approval of BWMS Methodologies for enumerating viable organisms FDA/CMFDA + Motility MPN Dilution Culture + Motility Organism size class or indicator Viable organisms 10 µm to < 50 µm Viable organisms 10 µm to < 50 µm Assessed criteria of viability Membrane integrity, enzyme activity, motility Reproduction capacity, motility Examples of how the methodologies are applied PPR 4/7, appendix 1; PPR 4/INF.10 PPR 4/7, appendix 2 Applicability to ballast water treatment technologies Suitable for assessing treatment technologies intended to kill or remove organisms Suitable for assessing all treatment technologies ***

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65 Annex 5, page 1 ANNEX 5 DRAFT MANUAL ON BALLAST WATER MANAGEMENT HOW TO DO IT PREFACE This manual is published by the International Maritime Organization (IMO) to provide advice on the process of ratification, implementation and enforcement of the International Convention for the Control and Management of Ships' Ballast Water and Sediments, 2004 (hereafter the Convention). This manual provides useful practical information to Governments, particularly those of developing countries, Administrations, shipowners, port State control authorities, environmental agencies and other stakeholders on the implications of ratifying, implementing and enforcing the BWM Convention. The aim is to encourage the further ratification and proper implementation and enforcement of the Convention. However, it should be noted that, for legal purposes, the authentic text of the Convention should always be consulted. It is emphasized that the annex to the Convention will be a living document that develops over time, once the Convention enters into force. This manual does not attempt to be fully up to date and the reader is strongly advised to consult any updates of the Convention and relevant guidelines through IMO documents and publications.

66 Annex 5, page 2 TABLE OF CONTENTS 1 Introduction: The Ballast Water Management Convention PART I: RIGHTS AND OBLIGATIONS 2 Structure and components of the Convention 3 Rights and obligations under the Convention PART II: MEETING OBLIGATIONS 4 Means of meeting obligations PART III: LEGAL ASPECTS 5 Integrating the Convention into national law 6 Legal aspects of enforcement PART IV: IMPLEMENTATION 7 Implementing Section A General provisions 8 Implementing Section B Management and control requirements for ships 9 Implementing Section C Special requirements in certain areas 10 Implementing Section D Standards for ballast water management 11 Implementing Section E Survey and certification requirements for ballast water management 12 Ballast water sampling 13 Approval of ballast water management systems (Guidelines (G8)) 14 Approval of ballast water management systems using Active Substances (Procedure (G9)) 15 Duties of shipowners 16 Ballast water management options available for ships PART V: TECHNICAL ASPECTS OF ENFORCEMENT 17 Non-compliance detection and response 18 Guidance for port State control PART VI: ORGANIZATION 19 Training of personnel 20 Guidelines, circulars and other IMO publications relevant to the BWM Convention

67 Annex 5, page 3 ABBREVIATIONS BWE: BWMP: BWMS: BWRB: COLREG: DBPS: DMEL: DNEL: FPSOs: FSUs: GISIS: HES: IBWMC: LL: MADC: MARPOL: MEPC: MoUs: PBT: PNEC: PSC: PSCO: QAPP: QMP: RO: SDL: SMS: SRA: SOLAS: UNCLOS: Ballast Water Exchange Ballast Water Management Plan Ballast Water Management Systems Ballast Water Record Book Convention on the International Regulations for Preventing Collisions at Sea Disinfection By-Products Derived Minimal Effect Levels Derived No-Effect Levels Floating Production Storage and Offloading Units Floating Storage Units Global Integrated Shipping Information System Human Exposure Scenario International Ballast Water Management Certificate International Convention on Load Lines Maximum Allowable Discharge Concentration International Convention for the Prevention of Pollution from Ships Marine Environment Protection Committee Memoranda of Understanding Persistency, Bioaccumulation and Toxicity Predicted No Effect Concentrations Port State Control Port State Control Officer Quality Assurance Project Plan Quality Management Plan Recognized Organization System Design Limitations Safety Management System Same Risk Area International Convention for the Safety of Life at Sea United Nations Convention on the Law of the Sea

68 Annex 5, page 4 CHAPTER 1 Introduction: The Ballast Water Management Convention 1.1 Harmful aquatic organisms and pathogens present a major threat to marine ecosystems and shipping has been identified as a significant pathway for introducing species to new environments. The problem has increased with the introduction of steel hulls, allowing ships to use water instead of solid materials as ballast, and in particular over the last few decades as trade and traffic volumes have expanded. The effects of the introduction of non-indigenous species have, in many areas of the world, been devastating. Quantitative data show the rate of bio-invasions is continuing to increase significantly. As the volumes of seaborne trade continue overall to increase, the problem may not yet have reached its peak. 1.2 The Convention aims to prevent, minimize and ultimately eliminate risks to the environment, human health, property and resources arising from the transfer of harmful aquatic organisms and pathogens, by establishing standards and procedures for the management and control of ships' ballast water and sediments. 1.3 Under the Convention, ships to which the Convention's provisions apply will be required to manage their ballast water and sediments to a certain standard, according to a ship-specific ballast water management plan (BWMP). Ships will also have to carry a ballast water record book (BWRB) and an International Ballast Water Management Certificate (IBWMC). The ballast water management standards will be phased in over a period of time. Initially, ships subject to the Convention's ballast water requirements will be required to exchange ballast water mid-ocean. In due course these ships are required to meet a performance standard that limits the number of organisms in discharged ballast water. 1.4 Parties to the Convention are given the option to take additional measures, which are subject to criteria set out in the Convention and relevant guidelines for the uniform implementation of the Convention. 1.5 The Convention consists of articles and annexes which include legal requirements, technical standards and regulations for the control and management of ships' ballast water and sediments. There are various resolutions and circulars developed by the Organization relating to the Convention. PART I: RIGHTS AND OBLIGATIONS CHAPTER 2 Structure and components of the Convention The Ballast Water Management Convention is a legal instrument composed of various parts (preamble, articles and annex). The preamble conveys agreed principles and the articles of the Convention bind the contracting Parties with the regulations set out in the annex to the Convention. The Convention is supplemented by resolutions and circulars that provide technical and procedural guidance which is non-mandatory. These components are described briefly below as they are referred to in this manual. 2.1 Articles of the International Convention for the Control and Management of Ships' Ballast Water and Sediments, 2004 Article 1 Definitions Article 2 General obligations Article 3 Application Article 4 Control of the transfer of harmful aquatic organisms and pathogens through ships' ballast water and sediments Article 5 Sediment reception facilities

69 Article 6 Scientific and technical research and monitoring Article 7 Survey and certification Article 8 Violations Article 9 Inspection of ships Article 10 Detection of violations and control of ships Article 11 Notification of control actions Article 12 Undue delay to ships Article 13 Technical assistance, cooperation and regional cooperation Article 14 Communication of information Article 15 Dispute settlement Article 16 Relationship to international law and other agreements Article 17 Signature, ratification, acceptance, approval and accession Article 18 Entry into force Article 19 Amendments Article 20 Denunciation Article 21 Depositary Article 22 Languages PPR 4/21 Annex 5, page Annex Regulations for the control and management of ships' ballast water and sediments Section A General provisions This section includes definitions and provisions related to application, exemptions, exceptions and equivalent compliance, as follows: Regulation A-1 Regulation A-2 Regulation A-3 Regulation A-4 Regulation A-5 Definitions General applicability Exceptions Exemptions Equivalent compliance Section B Management and control requirements for ships This section highlights the requirements for ships to implement the Convention, including the timeline for transitioning to the performance standard and the locations permitted for BWE. This includes having on board and implementing a BWMP approved by the Administration (refer to Guidelines (G4), resolution MEPC.127(53)), maintaining a ballast water record book to log ballast water operations and adopting measures for sediment management (refer to Guidelines (G1), resolution MEPC.152(55)). Regulations include: Regulation B-1 Regulation B-2 Regulation B-3 Regulation B-4 Regulation B-5 Regulation B-6 Ballast water management plan Ballast water record book Ballast water management for ships Ballast water exchange Sediment management for ships Duties of officers and crew

70 Annex 5, page Section C Special requirements in certain areas This section covers the process relating to additional measures that a Party, individually or jointly with other Parties, may impose on ships to prevent, reduce, or eliminate the transfer of harmful aquatic organisms and pathogens through ships' ballast water and sediments. Regulations include: Regulation C-1 Regulation C-2 Regulation C-3 Additional measures Warnings concerning ballast water uptake in certain areas and related flag State measures Communication of information Guidance can be found in Guidelines (G13) (resolution MEPC.161(56)) Section D Standards for ballast water management This section details the standards and requirements for ballast water management. The standards include those for ballast water exchange and for biological performance, related to water quality for discharge. There are also requirements for the approval of BWMS, testing and evaluation of prototype ballast water treatment technologies, and review criteria. Regulations include: Regulation D-1 Regulation D-2 Regulation D-3 Regulation D-4 Regulation D-5 Ballast water exchange standard Ballast water performance standard Approval requirements for ballast water management systems Prototype ballast water treatment technologies Review of standards by the Organization Section E Survey and certification requirements for ballast water management This section details the requirements for the survey of ships and the issuance of an International Ballast Water Management Certificate. Regulations include: Regulation E-1 Regulation E-2 Regulation E-3 Regulation E-4 Regulation E-5 Surveys Issuance or endorsement of a Certificate Issuance or endorsement of a Certificate by another Party Form of the Certificate Duration and validity of the Certificate Appendices to annex There are two appendices to the annex to the Convention, containing a model Certificate and ballast water record book, to be followed by Administrations and other stakeholders. Appendix I Appendix II Form of International Ballast Water Management Certificate Form of ballast water record book 2.3 Technical guidelines The following guidelines relating to the uniform implementation of the Convention have, inter alia, been developed and adopted starting from the 53rd session of the Marine Environment Protection Committee (MEPC 53). The guidelines are kept under review by the MEPC and will be updated as new technologies emerge and additional knowledge becomes available.

71 Annex 5, page 7.1 Guidelines for sediment reception facilities (G1);.2 Guidelines for ballast water sampling (G2);.3 Guidelines for ballast water management equivalent compliance (G3);.4 Guidelines for ballast water management and the development of ballast water management plans (G4);.5 Guidelines for ballast water reception facilities (G5);.6 Guidelines for ballast water exchange (G6);.7 Guidelines for risk assessment under regulation A-4 of the BWM Convention (G7);.8 Guidelines for approval of ballast water management systems (G8);.9 Procedure for approval of ballast water management systems that make use of Active Substances (G9);.10 Guidelines for approval and oversight of prototype ballast water treatment technology programmes (G10);.11 Guidelines for ballast water exchange design and construction standards (G11);.12 Guidelines on design and construction to facilitate sediment control on ships (G12);.13 Guidelines for additional measures regarding ballast water management including emergency situations (G13);.14 Guidelines on designation of areas for ballast water exchange (G14); and.15 Guidelines on port State control under the BWM Convention In addition to the above, there are numerous resolutions and circulars developed by the Organization and the list of these is included in chapter Actions required Those concerned with the ratification and implementation of the Convention should study the documents outlined in this chapter. Further study and in-depth understanding will be necessary for those concerned with particular aspects of ratification and implementation. Information on the legal and practical implementation is given in the other chapters of this manual. CHAPTER 3 Rights and obligations under the Convention Many of the articles of the Convention set down definite requirements. These are in addition to the regulations of the annex and some require specific actions by the Parties. The resolutions and circulars adopted by the Organization relevant for the Convention are non-mandatory. However, these provide valuable technical and operational guidance that Parties to the Convention are encouraged to follow. 3.1 Definitions Most of the definitions contained in article 1 are straightforward but a number of definitions are worth mentioning, in order to make it quite clear what the Convention does and does not cover With respect to the definition of "Administration", this means the Government of the State under whose authority the ship is operating. With respect to a ship entitled to fly a flag of any State, the Administration is the Government of that State. With respect to floating platforms, including floating storage units (FSUs) and floating production storage and offloading units (FPSOs), the Administration is the Government of the coastal State over which exploration and exploitation of the sea-bed is occurring. 1 1 In the context of this manual "Administration" simply refers to the appropriate Government authority with responsibility for implementing and/or enforcing the requirements of a legal instrument.

72 Annex 5, page "Ballast water" means water with its suspended matter taken on board a ship to control trim, list, draught, stability or stresses of the ship. It is to be noted that this definition focuses on the function and purpose of the water, hence not all water present in a ship falls under the definition of "ballast water" (e.g. water present in the hopper area of a dredger) "Ballast water management" means any mechanical, physical, chemical and/or biological process, used either singularly or in combination to remove, render harmless or avoid the uptake or discharge of harmful aquatic organisms and pathogens within ballast water and sediments "Harmful aquatic organisms and pathogens" means aquatic organisms or pathogens which, if introduced into the sea, including estuaries, or into freshwater courses, may create hazards to the environment, human health, property or resources, impair biological diversity or interfere with other legitimate uses of such areas "Sediments" means matter settled out of ballast water within a ship "Ship" means a vessel of any type whatsoever operating in the aquatic environment and includes submersibles, floating craft, floating platforms, FSUs and FPSOs. 3.2 General obligations Under article 2 (General obligations) Parties undertake to give full and complete effect to the provisions of the Convention and the annex in order to prevent, minimize and ultimately eliminate the transfer of harmful aquatic organisms and pathogens through the control and management of ships' ballast water and sediments. Parties may also take, individually or jointly with other Parties, more stringent measures, consistent with international law. Parties should ensure that ballast water management practices do not cause greater harm than they prevent to their environment, human health, property or resources, or those of other States Furthermore, the Parties shall endeavour to cooperate under the auspices of the Organization to address threats and risks to sensitive, vulnerable or threatened marine ecosystems and biodiversity in areas beyond the limits of national jurisdiction in relation to ballast water management and to avoid, as far as practicable, the uptake of ballast water with potentially harmful aquatic organisms and pathogens. 3.3 Application The Convention applies to:.1 ships entitled to fly the flag of a Party; and.2 ships not entitled to fly the flag of a Party but which operate under the authority of a Party The Convention does not apply to:.1 ships not designed or constructed to carry ballast water;.2 ships of a Party which only operate in waters under the jurisdiction of that Party, unless the Party determines that the discharge of ballast water from such ships would impair or damage their environment, human health, property or resources, or those of adjacent States;

73 Annex 5, page 9.3 ships of a Party which only operate in waters under the jurisdiction of another Party, subject to the authorization of the latter Party for such exclusion. No Party shall grant authorization if doing so would impair or damage their environment, human health, property or resources, or those of adjacent or other States. Any Party not granting such authorization shall notify the Administration of the ship concerned that this Convention applies to such ship;.4 ships which only operate in waters under the jurisdiction of one Party and on the high seas, except for ships not granted an authorization pursuant to subparagraph.3, unless such Party determines that the discharge of ballast water from such ships would impair their environment, human health, property or resources, or those of adjacent or other States;.5 any warship, naval auxiliary or other ship owned or operated by a State and used, for the time being, only on government non-commercial service. However, each Party shall ensure, by the adoption of appropriate measures not impairing operations or operational capabilities of such ships owned or operated by it, that such ships act in a manner consistent, so far as is reasonable and practicable, with the Convention; and.6 permanent ballast water in sealed tanks on ships, that is not subject to discharge With respect to ships of non-parties to this Convention, Parties shall apply the requirements of this Convention as may be necessary to ensure that no more favourable treatment is given to such ships The Organization developed Guidance on entry or re-entry of ships into exclusive operation within waters under the jurisdiction of a single Party (BWM.2/Circ.52). The Organization has also approved circulars on the application of the Convention to mobile offshore units and offshore support vessels (BWM.2/Circ.46 and BWM.2/Circ.44). 3.4 Control of the transfer of harmful aquatic organisms and pathogens through ships' ballast water and sediments Each Party shall require that ships subject to the Convention comply with its requirements and shall take effective measures to ensure that those ships comply with those requirements. Furthermore, each Party shall develop national policies, strategies or programmes that promote the attainment of the objectives in the Convention for ports and waters under its jurisdiction. This includes creating a national approach to ballast water management by ships that are not subject to the Convention. The objectives of the Convention are set out in its preamble. 3.5 Sediment reception facilities Under article 5 (Sediment reception facilities) Parties undertake to ensure that ports and terminals where cleaning or repair of ballast tanks occurs have adequate facilities for the reception of sediments. Guidance for sediment reception facilities can be found in the technical Guidelines (G1) (resolution MEPC.152(55)).

74 Annex 5, page Scientific and technical research and monitoring Article 6 (Scientific and technical research and monitoring) calls for Parties individually or jointly to promote and facilitate scientific and technical research on ballast water management and to monitor the effects of ballast water management in waters under their jurisdiction. 3.7 Survey and certification Ships are required to be surveyed and certified (article 7 Survey and certification). Other Parties should accept a certificate issued under the authority of a Party to the Convention. 3.8 Violations The Convention requires Parties to prohibit violations and to establish sanctions under their law and take procedures against offenders. Article 8 also requires that Administrations informed of violations shall investigate the matter. National legislation implementing the Convention should reflect these requirements and a maritime Administration is required to fulfil these obligations. The sanctions shall be adequate in severity to discourage violations of the Convention. 3.9 Inspection of ships Ships may be inspected by PSCOs (article 9 Inspection of ships), who can verify that the ship has a valid certificate and BWMP, inspect the BWRB and/or sample the ship's ballast water. A detailed inspection may be carried out if the ship does not carry a valid certificate or there are clear grounds to justify it. In such cases, the Convention states that the Party carrying out the inspection shall take such steps as will ensure that the ship shall not discharge ballast water until it can do so without presenting a threat of harm to the environment, human health, property or resources Detection of violations and control of ships If a ship is detected to have violated this Convention, the flag State, and/or the port State, may take steps to warn, detain or exclude the ship. If the ship poses a threat to the environment, human health, property or resources, the Party in whose water the ship is operating shall prohibit discharges until the threat is removed. Parties to the Convention agree to cooperate in monitoring compliance with the Convention and detecting violations. A Party may also inspect a ship when it enters the ports or offshore terminals under its jurisdiction, if a request for an investigation is received from any Party, together with sufficient evidence that a ship is operating or has operated in violation of a provision in this Convention Notification of control actions If an inspection indicates a violation, the ship shall be notified. A report shall be forwarded to the Administration, including any evidence of the violation. In addition, the RO responsible for the issuance of Certificates shall be notified. The port State authority concerned shall also notify the next port of call about the violation including all relevant information if it did not take necessary steps to prevent the ship from discharging ballast water.

75 Annex 5, page Undue delay to ships All possible efforts shall be made to avoid a ship being unduly detained or delayed. Where undue delay does occur, the ship is entitled to compensation for any loss or damage suffered. A competent and efficient maritime Administration is required in order to fulfil this obligation Technical assistance, cooperation and regional cooperation Under article 13 (Technical assistance, cooperation and regional cooperation) Parties undertake, directly or through the Organization and other international bodies, as appropriate, in respect of the control and management of ships' ballast water and sediments, to provide support for those Parties which request technical assistance to train personnel; to ensure the availability of relevant technology, equipment and facilities; to initiate joint research and development programmes; and to undertake other action aimed at the effective implementation of the Convention and of guidance developed by the Organization related thereto Communication of information Parties to the Convention undertake to provide the Organization with documents as follows (for circulation, where appropriate, of the information to all Parties):.1 any requirements and procedures, including laws, regulations and guidelines, for implementation of the Convention;.2 the availability and location of any reception facilities for the environmentally safe disposal of ballast water and sediments; and.3 any requirements for information from a ship which is unable to comply with the provisions of the Convention Dispute settlement Parties shall settle any dispute between them concerning the interpretation or application of this Convention using peaceful means of their own choice Relationship to international law and other agreements Nothing in the Convention shall prejudice the rights and obligations of any State under customary international law as reflected in the United Nations Convention on the Law of the Sea (UNCLOS) Signature, ratification, acceptance, approval and accession The Convention is open for accession by any State. States may become Parties to the Convention by ratification, acceptance, approval, or by accession Entry into force Article 18 provides the conditions and timing of entry into force of the Convention, being twelve months after the date on which not less than thirty States, the combined merchant fleets of which constitute not less than 35% of the gross tonnage of the world's merchant shipping, have either signed it without reservation as to ratification, acceptance or approval, or have deposited the requisite instrument of ratification, acceptance, approval or accession in accordance with article 17.

76 Annex 5, page Amendments Article 19 provides the procedures for amendments to the Convention. It should be noted that any Party may propose an amendment to this Convention. Proposed amendments need to be submitted to the Secretary-General of the Organization or to a conference of Parties and amendments follow the procedure described in article Denunciation This Convention may be denounced by any Party at any time after the expiry of two years from the date on which this Convention enters into force for that Party. Denunciation shall be effected by written notification to the Depositary, to take effect one year after receipt or such longer period as may be specified in that notification Depositary The Convention is deposited with the Secretary-General of the Organization Languages The Convention is established in the Arabic, Chinese, English, French, Russian and Spanish languages. PART II: MEETING OBLIGATIONS CHAPTER 4 Means of meeting obligations 4.1 Participation Ratification, acceptance, approval or accession to the Convention, and its subsequent implementation, require the participation of the following stakeholders, including but not limited to:.1 Government of the State (the political body having power to conclude international agreements).2 Administration legal;.3 Administration maritime;.4 Shipowners and operators; and.5 Port authorities Each stakeholder should know exactly what its institutional rights, obligations and responsibilities are, the responsibilities of its staff and the requirements to be imposed on ships and ports As previously stated, in the context of this document Administration refers to the appropriate Government authority with responsibility for implementing and/or enforcing the requirements of a legal instrument.

77 Annex 5, page Consultation When a State is considering ratifying, accepting, approving or acceding to the Convention, the organizations that fall within the stakeholder categories listed in paragraph 4.1 above should be consulted in order to be properly prepared to implement and enforce all of the obligations and requirements. 4.3 Government of the State The political desire of a State to accept, approve, accede to or ratify the Convention is fundamental. The common principles adopted by Parties to the Convention, and their specific objectives in adhering to it, are set out in the preamble of the Convention. Governments may wish to become parties to the Convention because of:.1 concerns relating to the environment, human health, property and resources;.2 concerns over water quality, which affects the population, or sea areas under their jurisdiction;.3 desire to have uniform enforcement of the Convention;.4 benefits to their shipowners (worldwide acceptance of ships);.5 benefits to their ports (means of control of pollution); or.6 concern for the worldwide environment Advice to governments may come from the public at large, from their own maritime or environmental Administration and from their maritime industry. 4.4 Administration legal Once the political desire has been established and a decision made to become a Party, it is necessary to consider the means of ratifying or acceding to and implementing the Convention in domestic law. 4.5 Administration maritime The responsible Administration will have by far the greatest administrative task in the implementation of the Convention. It is likely that this body will provide advice to the legal branch and the Government of a State on the one hand, and will advise the shipping industry and port authorities on the other. The maritime Administration also has responsibility for matters including the approval of BWMS, the approval of BWMPs, and survey and certification requirements in accordance with relevant guidelines. 4.6 Shipowners and operators Shipowners will need to select and equip ships for their operational needs and train seafarers, especially their merchant marine officers, in order to meet the requirements of the Convention. This includes ensuring that the BWMP is being executed. An outline of these requirements is given in part IV of this manual (chapters 7 to 11) in line with the respective sections of the annex to the Convention. Further information on duties of the shipowners can be found in chapter 15.

78 Annex 5, page Port authorities Port authorities may be requested to provide adequate sediment reception facilities as described in Guidelines (G1) (resolution MEPC.152(55)) and ballast water reception facilities capable of handling the quality and volume of the discharged water. Guidance on provisions for port reception facilities can be found in Guidelines (G5) (resolution MEPC.153(55)). 4.8 Obligations All stakeholders involved with the Convention need to consider and meet their obligations with respect to:.1 preparation of legislation, including regulations to implement the Convention's requirements into their domestic law;.2 capability for sampling and analysis of ballast water;.3 adequate science capacity, e.g. to review ballast water risk assessments to address exemptions, additional measures or early warnings;.4 survey and certification;.5 inspection;.6 design and construction requirements;.7 equipment requirements;.8 operational requirements;.9 documentation;.10 procedures; and.11 agreements with other Governments. 4.9 Developing a compliance strategy for the Convention Why compliance? Under article 8.2 of the Convention, any violation of its requirements within the jurisdiction of any Party shall be prohibited and sanctions shall be established under the law of that Party. In accordance with this obligation, a Party to the Convention will need to implement a range of monitoring, compliance and enforcement mechanisms. Enforcement of the Convention should primarily focus on preventing the transfer of harmful aquatic organisms and pathogens and not simply on apprehending and punishing violators. The extent to which education, incentives, monitoring and policing programmes are used by a State to ensure compliance with the Convention depends upon the type of jurisdiction that the State enjoys over a ship Strategies for verifying compliance An effective compliance programme should incorporate all of the following elements:.1 compliance monitoring through routine inspections, surveys, and/or examinations (including arrangements for sampling and analysis of ballast water);.2 reporting procedures;.3 adequate investigations of violations reported or otherwise detected;

79 Annex 5, page 15.4 a system of adequate sanctions in respect of violations;.5 education and public awareness programmes; and.6 cooperation and coordination with other Parties A compliance programme should be adaptable enough to allow compliance priorities to respond to prevailing circumstances. One or more of its elements may be more salient for a State Party depending on key variables, including the state of the national fleet, the type of ships calling at ports of the State Party, the emergence of new equipment, procedural Convention standards, the availability of human and technological resources within the Administration and the familiarity of relevant stakeholders with the Convention In setting priorities for a compliance strategy, the Administration should undertake an exercise to identify which ships have the highest potential for being in violation, or where a violation would be most significant Awareness Any compliance strategy should take into consideration that resources spent on education and prevention are likely to result in increased environmental protection through compliance and will also save resources that might have been spent on prosecution. Education and prevention strategies are necessary to sensitize all potential stakeholders about how they can assist in protecting the marine environment from the transfer of harmful aquatic organisms and pathogens. In this way, they may prove a cost-effective resource for Parties with limited financial or policing resources Cooperation and coordination of PSC Article 10.4 of the Convention, as well as several important resolutions, lay the ground work for the doctrine of cooperation and interchange as a mutual effort of enforcement among Parties to the Convention. Such cooperation is an important tool in fostering clarity and uniformity in implementation and compliance objectives, in collecting evidence and in enforcement procedures. Cooperation may take several forms, such as joint investigations of violations, supplying information about a particular ship, gathering evidence of a violation, and prosecutions. Reciprocal arrangements in respect of investigations and compliance monitoring will be particularly valuable for Parties which are geographically proximate and/or which share common mechanisms for enforcement. Such arrangements can be formally achieved through Memoranda of Understanding (MoUs) on PSC. Nine MoUs on PSC are in existence worldwide (see Figure 1). Proper regional cooperation and exchange of boarding results among participating Administrations are an effective enforcement tool and can also reduce the requirement for individual States to board all vessels.

80 Annex 5, page 16 Figure 1: Overview of the nine MoUs on PSC PART III: LEGAL ASPECTS [CHAPTER 5 Integrating the Convention into domestic law General It is assumed that every State Administration will have a legal department or lawyers, which may be attached to its Administration or to a larger administrative department such as, for example, a Department of Transport. It is further assumed, for the purposes of this manual, that these legal administrators (or lawyers) will have primary responsibility for the legislation that is necessary to implement the Convention. Whatever the form of the Administration, it must be considered desirable for a single body to be given the overall responsibility for ratification, legislation and implementation. The legal system will vary from State to State, but the principal legal actions necessary for integrating the Convention into national law and implementation are likely to be as outlined in Figure 2 and in the following paragraphs. Political decision to accede to the Convention Enabling legislation Order, regulations or other subordinate legislation Ships Administration Ports Figure 2: Integrating the Convention into domestic law and implementation 2 Chapters 5 and 6 are in square brackets because they are currently kept in abeyance pending a legal review to be conducted by the Secretariat prior to the approval of the manual by the MEPC.