BRAZILIAN NAVY

DIRECTORATE OF PORTS AND

COASTS

MARITIME AUTHORITY STANDARD FOR

THE MANAGEMENT OF SHIP’S BALLAST
WATER

1st

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MARITIME AUTHORITY STANDARD FOR

THE MANAGEMENT OF BALLAST WATER OF SHIPS

BRAZILIAN NAVY

DIRECTORATE OF PORTS AND COASTS

2014

NORMAM-20/DPC
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 NORMAM-20/DPC
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AMENDMENT RECORD SHEET

AMENDMENT DETERMINING AMENDMENT

AMENDED
NUMBER DOCUMENT AND DATE INITIALS
PAGES
DATE

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 INDEX
P.
COVER SHEET............................................................................................................................. I
AMENDMENT RECORD SHEET.............................................................................................. II
INDEX............................................................................................................................................. III
INTRODUCTION........................................................................................................................ IV

CHAPTER 1 – APPLICATION, EXCEPTIONS AND EXEMPTIONS

1.1 - Application ................................................................................................................... 1-1
1.2 - Exceptions ................................................................................................................... 1-1
1.3 - Exemptions ................................................................................................................... 1-1
CHAPTER 2 - MANAGEMENT OF BALLAST WATER
2.1 - Ship Ballast Water Management Plan.......................................................................... 2-1
2.2 - Ballast Water Management.......................................................................................... 2-1
CHAPTER 3 - PARTICULAR SITUATIONS
3.1 - Emergencies………..................................................................................................... 3-1
3.2 - Navigation between National Ports ..............................................................................3-1
CHAPTER 4 - MONITORING
4.1 - Monitoring System...................................................................................................... 4-1
4.2 - Control .........................................................................................................................4-1
4.3 - Enforcement Instruments............................................................................................. 4-2
4.4 - Violation ..................................................................................................................... 4-2
4.5 - Verification of a violation ............................................................................................4-2
4.6 - Persons responsible .................................................................................................... 4-3
4.7 - Competence ..................................................................................................................4-3
4.8 - Specific Standards and Procedures for Establishing an Administrative Process……..4-3
4.9 - Application of Penalties ...............................................................................................4-5
4.10 - Listing as Active Debt to the Treasury .........................................................................4-6
4.11 - Omitted Cases............................................................................................................... 4-6
ANNEXES:
ANNEX A - FORM OF INFORMATION ON THE WATER USED AS BALLAST….... A-1
ANNEX B - BALLAST WATER REPORTING FORM.................................................... B-1
ANNEX C - BALLAST WATER EXCHANGE METHODS .............................................C-1
ANNEX D - HYDROGRAPHIC BASINS IN BRAZIL AND MAIN RIVER PORTS
AND TERMINALS........................................................................................D-1
ANNEX E - ENVIRONMENTAL VIOLATION RECORD..............................................E-1

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 INTRODUCTION

1- HISTORY
The introduction of alien aquatic organisms and pathogenic agents from different regions of
the world into habitats outside their native limits, potentially threatening the environment and
economies, has been a factor of great concern for authorities of several countries.
Historically, it is unknown when the process that may be called -bioinvasion was triggered.
However, it is known that, with the technological progress of maritime transportation, vessels
became bigger, faster and more frequently used, thus allowing the reduction of voyage times and
intensification of commerce deals. Consequently, this transport mode has been pointed out as the
main dissemination vector for those organisms, effected, among other ways, through the uptake and
discharge of Ballast Water and its sediments, dealt with in the present Standard.
Experts indicate as adverse consequences of the introduction of these invaders to the aquatic
environment, the loss of local or regional biodiversity, the modification of landscapes, diverse
economic losses, besides the proliferation of pathogenic microorganisms like the one inducing
cholera, among others. Concrete situations, like those described below, evidence the transfer of
organisms carried by Ballast Water and indicate the need for urgent measures.
The zebra mussel, Dreissena polymorpha, originated in Europe, which established itself in
the Great Lakes, USA, and today occupies 40% of the north-American rivers, has caused millions
of dollars in losses per year with fouling removal and control (Gautthier & Stell, 1996).
In Brazil, the presence of alien species had been perceived sporadically along the coast.
However, with the emergence of the golden mussel (Limnoperna fortunei), a dramatic change
occurred in the way this problem was being handled in the country. This freshwater mollusk,
originated from Southeast Asia, was introduced in Argentina through Ballast Water, in 1991. In
1998, its presence was noted in the Jacuí River delta, near Porto Alegre. Presently, its occurrence
is found in great proportions in the rivers Guaíba, Paraguai and Paraná .
The golden mussel's presence, given its great adaptation and reproduction capability, has been
causing losses due to agglomeration inside water suction and discharge pipes and their consequent
clogging, as well as the early deterioration and obstruction of filters and grids due to excessive
incrustation. Furthermore, when its mortality occurs, the mussel brings problems to Water Treatment
Stations due to the great number of individuals to be discarded and the bad odor, raising the
maintenance costs, with the need to clean and change the filters more frequently.

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 This issue involves, in principle, two basic points: a health risk and the aquatic environment
pollution caused by vessels, when using Ballast Water to reach their objectives and purposes.
Given the above, the Maritime Authority and the health and environmental authorities, exercising
their specific competences established by Law, have been working towards the presentation of
possible solutions to minimize losses caused to the environment due to the uptake, discharge or
exchange of Ballast Water in places considered inappropriate or not authorized.

2- PURPOSE
To establish requirements regarding the prevention of pollution by vessels in Brazilian
Jurisdictional Waters (AJB), in what relates to Ballast Water Management.
The initial system is fundamentally based on the exchange of Ballast Water in accordance
with the International Maritime Organization (IMO) Assembly Resolution A.868 (20), of 1997 and
the International Convention for the Control and Management of Ships’ Ballast Water and
Sediments, adopted in February 2004, signed and ratified by Brazil, respectively, on January 25,
2005 and April 14, 2010. It should be applied to all vessels that may discharge Ballast Water in
AJB. The exemptions and exceptions will be addressed in specific items.
As more advanced methods for treatment of Ballast Water are being developed, this Standard
will be adapted in order to address the new situations.

3- CONSIDERATIONS REGARDING BALLAST WATER MANAGEMENT

a) It is fundamental that the Ballast Water management procedures are effective and viable,
both technically and ecologically, and implemented with the purpose of reducing the costs and
delay imposed to vessels to a minimum.
b) Implementing methods and procedures for Ballast Water Management appears to be a
solution for reducing to a minimum the introduction of alien aquatic organisms and pathogenic
agents in AJB.
c) The Ballast Water Management System used in compliance with this Standard shall be
safe for the vessel, her equipment, crew and passengers, and shall not cause more or greater
environmental impact than its absence; and
d) There is an evident need for developing new technologies and equipment of Ballast Water
Management, given that operational measures such as the Ballast Water exchange in the ocean are
not plainly satisfactory. New Ballast Water Management methods may be accepted as alternatives,
if complying with the IMO rules.

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4- RELATED LEGISLATION

4.1 - Law No. 6,938/1981 (National Environmental Policy)

Law No. 6,938/1981 defined pollution in a broad sense, aiming at protecting not only
the environment but also society, health and economy. Hence, this Law, in its Article 3, defined
pollution as:
"the degradation of environmental quality resulting from activities that
directly or indirectly:
a) impair the health, safety and well-being of the population;
b) create adverse conditions to social and economic activities;
c) unfavorably affect the biota;
d) affect aesthetic or sanitary conditions of the environment; and
e) dispose materials or energy in non-compliance with established
environmental standards."
4.2 - Law No. 9,537/1997 (LESTA)
The Law of Waterways Traffic Safety (LESTA) established several duties for the
Maritime Authority, among them, the basis for preparation of this Standard. LESTA determines
that the Maritime Authority shall establish the preventive/normative requirements to avoid
generically the marine pollution and, therefore, the one possibly caused by Ballast Water, as
described in art. 4, item VII, of said Law:
"Art. 4 - It is for the Maritime Authority to:
(...)VII - establish requirements regarding the safety and habitability
conditions for the prevention of pollution from vessels, platforms or their
support installations."
4.3 - Law No. 9,605/1998 (Environmental Crime Law)
Law No. 9,605/1998, which addresses environmental crimes and administrative
sanctions, defined in art. 70, in a generic fashion, the environmental administrative violation and
established that the non-fulfillment of environmental prevention standards constitutes a motive
leading to application of penalties.
Decree No. 6,514/2008, which regulated said Law, defined what an environmental
administrative violation is and opened to Maritime Authority Agents, in art. 151 combined with
Art. 150, the possibility of issuing normative administrative acts aiming at disciplining the
necessary procedures to the correct application of administrative penalties. That said, rules
disciplining the penalties for non-compliance with preventive requirements established in this
Standard were elaborated based on art. 151 of the above-mentioned Decree combined with art. 70
of Law No. 9,605/1998 transcribed below.
"Art. 70 - Every action or omission violating legal rules of use, fruition,
promotion, protection and recovery of the environment is considered as
environmental administrative violation.
§ 1 - The competence for drawing up a violation record and establishing an
administrative process is attributed to officers of environmental bodies
integrating the National Environment System - SISNAMA, assigned for

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 monitoring activities, as well as the agents of Harbormaster offices, from
the Navy."
4.4 - Resolution RDC No. 72, of December 29, 2009
The Board of Directors of the National Health Surveillance Agency (ANVISA)
approved, through the Board of Directors Resolution (RDC) No. 72 of December 29, 2009, the
Technical Regulation establishing minimum requirements for promotion of health in the health
control ports installed in national territory and vessels transiting through them.
Its Section VI, which addresses specifically the ballast water, establishes that every
vessel, at the Health Authority's discretion, will be subject to collection of ballast water sample for
analysis, aiming at identifying the presence of pathogenic agents and physical indication of
chemical components.

5- DEFINITIONS
For the purposes of this Standard, the following definitions will be used:

MARITIME AUTHORITY AGENT – Agents of the Harbormaster, Delegate and Agent Offices
of the Navy Command;
BALLAST WATER - Is the water with its particles in suspension, carried on board a vessel
inside her ballast tanks, for controlling the vessel's trim, heel, draught stability or stresses;
BRAZILIAN JURISDICTIONAL WATERS (AJB) – Encompasses the interior waters and
maritime spaces, in which Brazil exercises jurisdiction, to some degree, over activities, persons,
installations, vessels and natural resources alive and not alive, found in the liquid mass, on the
seabed or in its subsoil, for the purposes of control and monitoring, within the limits of national and
international laws. These maritime spaces comprise the two-hundred nautical mile breadth counted
from the base lines, increased by the overlying waters to the extension of the Continental Shelf
beyond the two-hundred nautical miles, wherever it occurs.
ECOLOGICALLY SENSITIVE AREAS - Regions of maritime or inland waters, defined by
a Public Authority act, where the prevention and control of pollution and the maintenance of
ecologic balance require special measures for the protection and preservation of the environment,
regarding the passage of vessels;
GROSS TONNAGE – A non-dimensional parameter determined in accordance with the
International Convention on Tonnage Measurement of Ships, 1969, representing the total volume
occupied by all the vessel's closed spaces;
MARITIME AUTHORITY - Authority exercised directly by the Commandant of the Brazilian
Navy, responsible for the safeguard of human life and navigation safety in the open sea and inland
waterways, and the prevention of environmental pollution caused by vessels, platforms and their

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support installations;
PORT AUTHORITY - Authority responsible for the administration of an organized port,
including monitoring the port operations and providing for the services to be carried out with
regularity, efficiency, safety and respecting the environment;
SANITARY AUTHORITY - Authority responsible directly, within its delimited territory, for
applying adequate sanitary measures in accordance with the Laws and Regulations in force in the
national territory as well as with the agreements and other international acts of which Brazil is
signatory;
INTERNATIONAL CERTIFICATE – International Certificate of Ballast Water Management
issued and approved by the vessel's Flag State, in compliance with prescriptions established in the
Convention;
EXEMPTION CERTIFICATE – A Certificate issued by the Directorate of Ports and Coasts
(DPC), against previous request from the shipowner or person responsible for the vessel, made in a
well-founded way, for the exemption of vessels that do not need to follow the guidelines
established in this NORMAM;
COMPANY – The vessel owner or any other organization or person, such as the operator or
bareboat charterer of the vessel, who assumed from the owner the responsibility for the vessel's
operation and, when assuming such responsibility, agreed to accept all the duties and
responsibilities imposed by the International Safety Management Code;
CONVENTION – International Convention for the Control and Management of Ships’ Ballast
Water and Sediments, 2004;
DEBALLAST – Discharge of Ballast Water utilized on board the vessel in the tanks/ballast
holds, into the aquatic environment or to port reception facilities;
VESSEL - any construction, including floating platforms and fixed platforms when towed,
subject to enrollment with the Maritime Authority and susceptible of locomotion in the water, by
own means or not, carrying people or cargo;
BALLAST WATER MANAGEMENT - Encompasses the mechanical, physical, chemical and
biological processes, individually or in combination, to remove, render harmless or avoid the
uptake or discharge of Harmful Aquatic Organisms and Pathogenic Agents found in the Ballast
Water and Sediments contained therein.
NAVAL INSPECTION - Activity of an administrative nature, consisting in the monitoring of
compliance with LESTA, the standards and regulations originated from it, and international acts
and resolutions ratified by Brazil, in what relates exclusively to the safeguard of human life and
navigation safety, in the open sea and inland waterways, and the prevention of marine pollution by
vessels, platforms or their support facilities.
SHIP - A vessel of any type operating in the aquatic environment, including submersibles,

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floating devices, floating platforms, stationary units of storage and transfer (FSU) and stationary
units of production, storage and transfer (FPSO);
ALIEN AND HARMFUL AQUATIC ORGANISMS, AND PATHOGENIC AGENTS - Aquatic
or pathogenic organisms which, if introduced in the sea, including deltas or freshwater waterways,
may harm the environment, the public health, property or resources, the biological diversity or
interfere with other legitimate uses of such areas;
ENVIRONMENTAL AGENCY – An environmental protection and control agency from the
federal, state or municipal executive power, integrating the National Environment System –
SISNAMA;
POLLUTION – The degradation of environmental quality resulting from activities that
directly or indirectly impair the health, safety and well-being of the population, create adverse
conditions to social and economic activities, affect unfavorably the biota, affect aesthetic or
sanitary conditions of the environment and throw materials or energy in disagreement with
established environmental standards;
BALLAST WATER MANAGEMENT SYSTEM (BWMS) – Encompasses the ballast water
management through the treatment of that water and its sediments, following the Guidelines
established by the IMO, by mechanical, physical, chemical or biological processes, individually or
in combination, to kill, remove or turn harmless the harmful or potentially harmful aquatic
organisms and pathogenic agents found in the ballast water and its sediments; and
NATURE CONSERVATION UNIT – A territorial space and its environmental resources,
including jurisdictional waters, with relevant natural characteristics, lawfully instituted by the
Public Authority with conservation purposes and defined limits, under a special management
regime to which adequate protection guarantees are applied.

6- REFERENCES
GAUTHIER, D. and STEEL, D. A. 1996. A synopsis of the situation regarding the
introduction of non-indigenous species by ship-transported ballast water in Canada and selected
countries. Can. Man. Rep. Fish. Aquatic. Sci. 2380.
JURAS, I.A.G.M., Problemas Causados pela Água de Lastro. House of Representatives

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- Legislative Consulting Office, 2003. Access: 29/07/2004,
- “www.camara.gov.br/internet/diretoria/conleg/estudos/211161pdf".
MEDAUAR, O. Coletânea de Legislação de Direito Ambiental. 2ed. São Paulo Revista
dos Tribunais, 03.
SILVA, J.S.V. e SOUZA, R.C.C.L. Água de Lastro e Bioinvasão. Rio de Janeiro
Interciência, 2004.
SILVA DE MORAES, L.C. Curso de Direito Ambiental. São Paulo Atlas, 2001. BRAZIL.
National Sanitary Surveillance Agency. Access: 02/08/04, “http://e-legis.bvs.br/leisref/
public/showAct.php?id=1196”.
Law No. 6,938 of August 31, 1981.
Law No. 9,537 of December 11, 1997.
Law No. 9,605 of February 12, 1998.
Decree No. 6,514 of September 21, 1999, regulating Law No. 9,605/1998. Board of
Directors Resolution - RDC- ANVISA No. 72 of December 29, 2009. Opinion
No.37/2004 of May 4, 2004 from the Directorate of Ports and Coasts.
International Maritime Organization (IMO). International Convention on Control and
Management of Ballast Water and Sediments from Ships, 2004. London, 2004.
International Maritime Organization (IMO). Guidelines for Control and Management of
Ballast Water of Ships, to Minimize the Transfer of Noxious Aquatic Organisms and Pathogenic
Agents - Resolution A.868(20). London, 1998.

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 CHAPTER 1

APPLICATION, EXCEPTIONS AND EXEMPTIONS

1.1 - APPLICATION
The present Standard applies to all national or foreign vessels fitted with Ballast Water
tanks/holds, operating in Brazilian ports and terminals.
According to IMO Assembly Resolution A.868(20), 1997, and the International Convention
for the Control and Management of Ships’ Ballast Water and Sediments, adopted in 2004, the
pollution prevention by vessels in AJB, in what relates to Ballast Water management, is based on
the obligatoriness of the Ballast Water exchange in deep sea.
1.2 - EXCEPTIONS
Exceptions are emergency or particular situations that dispense the application of the
general guidelines (sub-item 2.2.3) established in this Standard.
The following situations are considered as exceptions and should be reported to the
Maritime Authority Agent of jurisdiction over the destination port:

a) cases of force majeure or emergency, to safeguard the human life and/or the vessel's
safety;
b) when necessary to uptake or discharge Ballast Water and its contained sediments to
ensure the safety of a vessel and persons on board in situations of emergency or rescue of human
life at sea;
c) when occurring an accidental discharge of Ballast Water and its sediments resulting
from damage to the vessel or her equipment, if all reasonable precautions aiming at preventing or
minimizing the discharge have been taken, before or after the occurrence or discovery of the
damage or discharge, and unless the shipowner, company, vessel operator or officer responsible
has caused the damage by negligence;
d) when the uptake or discharge of Ballast Water and sediments is carried out with the
purpose of avoiding or minimizing pollution incidents caused by the vessel; and
e) when the discharge of Ballast Water and sediments is carried out in the same place
where the total volume of those Ballast Water and sediments were originated from, and if no
mixture with Ballast Water and sediments from other areas has occurred.
1.3 - EXEMPTIONS
All vessels exempt from meeting this Standard shall operate in such a way as to avoid as
much as possible the environment contamination by the deballasting of Ballast Water and
sediments.

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 The following are exempted:
a) any warship, Navy auxiliary ship or any other vessel owned or operated by a State and
used temporarily, only in a governmental, non-commercial service;
b) vessels with sealed tanks containing permanent Ballast Water not subject to discharge to
the aquatic environment, if bearing a valid Exemption Certificate issued by the DPC - Directorate
of Ports and Coasts;
c) maritime and port support vessels;
d) vessels with characteristics which do not allow the exchange of ballast, if bearing a valid
Exemption Certificate issued by the DPC; and
e) sports and recreational vessels used only for recreation/contests, or those used for search
and rescue, with a total length not exceeding 50 meters and a maximum Ballast Water capacity of
eight cubic meters.

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 CHAPTER 2

BALLAST WATER MANAGEMENT

2.1 - SHIP BALLAST WATER MANAGEMENT PLAN

2.1.1 - Implementation
Every national or foreign vessel using water as ballast must have a Ballast Water
Management Plan aiming at providing safe and effective procedures for this purpose. This plan
should be included in the vessel's operational documentation, and moreover, be specific for each
vessel and contain the following items:
a) detailed safety procedures for the vessel and crew, in relation to Ballast Water
management;
b) detailed description of actions to be taken for implementing the Ballast Water
management;
c) indication of points where the collection of Ballast Water samples representing the
ballast carried by the vessel is possible;
d) officer responsible on board for ensuring the Plan's correct implementation;
e) be written in the vessel's working idiom. If the idiom used is not English, French or
Spanish, a translation into one of these idioms shall be included; and
f) be written in Portuguese in Brazilian vessels operating only in Brazilian
jurisdictional waters. If these vessels begin operating also in long-range navigation, the Plan shall
meet the provisions of previous subparagraph.
2.1.2 - Documentation
The Ballast Water Management Plan of Brazilian vessels and those chartered with a
Temporary Enrollment Certificate (AIT) must be approved by a Ship Classification Society
represented in the country, with delegated competence for acting on behalf of the Maritime
Authority. Vessels of other flags shall have their plans approved by the flag country's
Administration or organization recognized by the flag country's Administration.

2.2 - BALLAST WATER MANAGEMENT

2.2.1 - Inspection
Vessels making stopovers in Brazilian ports or terminals are subject to Naval
Inspection for determining if the vessel meets these Standards.
2.2.2 - Forwarding of the Ballast Water Form
The Ballast Water Form (Annex A/Annex B), duly completed, must be forwarded to
the Maritime Authority Agent of jurisdiction over the destination port, by the vessels’ masters or
their agents, within a maximum of two hours after the vessel is moored or anchored.
The vessel shall keep on board, for a period of at least 2 (two) years, a copy of this
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form at the disposal of the Naval Inspection, according to item 4.2 of this Standard.
The Maritime Authority Agents, on their side, shall reroute- the forms, every month, to
the Admiral Paulo Moreira Sea Studies Institute (IEAPM).

2.2.3 - General guidelines for exchanging ships’ Ballast Water

When carrying out the Ballast Water exchange, one must keep in mind the aspects of
crew and vessel safety and favorable meteorological conditions. The following measures should be
taken:
a) the vessels shall carry out the Ballast Water exchange at no less than 200 nautical
miles from the nearest land and in waters at least 200 meters deep, considering the procedures set
forth in this Standard. Any of the following methods will be accepted for the Ballast Water exchange:
Sequential, Continuous Flow and Dilution, as described in Annex C;

b) in cases where the vessel cannot carry out the Ballast Water exchange in
compliance with subparagraph a, the exchange shall be effected the farthest possible from the
nearest land and, in any case, at least 50 nautical miles and in waters at least 200 meters deep;
c) a vessel shall not be required to deviate from her voyage plan or delay the voyage in
order to comply with the previous items' provisions. In this case, the vessel shall justify in
accordance with the provisions of Chapter 1, item 1.2 of this Standard;
d) a vessel carrying out Ballast Water exchange shall not be required to meet
subparagraphs a and b, if the Master decides in a reasonable way that such exchange would threaten
the vessel's safety or stability, her crew or passengers due to adverse meteorological conditions,
excessive efforts from the vessel, equipment failure or any other extraordinary condition;
e) when using the Continuous Flow or the Dilution method for the Ballast Water
exchange, the vessel shall pump at least three times the tank’s volume;
f) vessels carrying out a Ballast Water exchange shall do it with an efficiency of at
least 95% of Ballast Water volumetric exchange;
g) only tanks/holds that already had their water exchanged may be deballasted;
h) vessels not exempted and not deballasting, considering emergency or particular
situations in conformity with item 1.2, shall nevertheless, present the Ballast Water Form

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(Annex A/Annex B);
i) the Ballast Water discharge is prohibited in Ecologically Sensitive Areas and in
Nature Conservation Units (UC) or in other cautionary areas established by environmental or
sanitation bodies in AJB, when plotted in a nautical chart; and
j) when, due to the vessel's route, it is not possible to meet the provisions of
subparagraphs a and b, the vessel will not be exempted from performing the exchange of ballast
water, and must do it at the deepest tract of her route.
2.2.4 - Ballast Water Management System (BWMS)
Vessels with an operational Ballast Water Management System, with the respective
International Certificate valid, issued by the competent Flag Authority, considering the IMO
developed Guidelines, are exempted from meeting the provisions of subparagraphs a, b, c, d, e, f, g
and j of sub-item 2.2.3.
2.2.5 - Specific guidelines for platforms
a) semi-submersible and floating platforms, of drilling or production, are subject to
Ballast Water exchange procedures, when arriving in Brazil coming from a foreign port or foreign
or international waters;
b) production semi-submersible and floating platforms are exempted from Ballast
Water exchange procedures, starting from the moment of their installation at the operation site and
throughout the length of stay at it; and
c) drilling semi-submersible and floating platforms are exempted from Ballast Water
exchange procedures, when their displacement occurs within the Brazilian Territorial Sea and
Exclusive Economic Zone (ZEE).
2.2.6 - New Techniques
As new technologies and new Ballast Water management or treatment systems are
being developed for avoiding, minimizing and controlling the carriage of alien aquatic or
pathogenic organisms by the Ballast Water, provided they are assessed and accepted by the
Maritime Authority, the DPC will timely establish the adequate normative instructions.

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 CHAPTER 3

PARTICULAR SITUATIONS

3.1 - EMERGENCIES
The provisions of this Standard will not apply when it is necessary to safeguard human life or
the vessel's safety, in cases of force majeure due to situations of emergency or arising from
meteorological conditions in the region.

3.2 - SAILING BETWEEN NATIONAL PORTS/TERMINALS

All vessels sailing between river ports/terminals of distinct hydrographic basins, when
navigating by sea, shall carry out the Ballast Water exchange, if not carrying on board an
operational BWMS with the respective International Certificate valid.
For the purpose of this Standard, the hydrographic basins and their existing river
ports/terminals shall be considered, in accordance with Annex D.

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 CHAPTER 4

MONITORING

4.1 - MONITORING SYSTEM

The Monitoring System is an essential component of the Ballast Water Management and,
consequently, it must be based on the management scheme adopted, coherent with international
practice and capable of assessing if the Port State requirements have been met and, if negative, to
ensure that adequate measures or sanctions are adopted.
In cases of violation of this NORMAM, denunciation, emergencies, or when justified by
relevant circumstances, the Maritime Authority Agents shall take measures ensuring that the
vessel will not discharge Ballast Water, until she is able to do so without posing a threat of
harming the environment, public health, property or resources.

4.2 - CONTROL
4.2.1 - Procedure
The Ballast Water exchange control must be effected starting from checking the
Ballast Water Management Plan and the Ballast Water Form (Annex A/Annex B). The Ballast
Water Record Book and the International Certificate, when existing, shall be analyzed, for the
records of ballast operations carried out and for its validity, respectively.
The Maritime Authority Agent may verify the following topics:
a) in the Ballast Water Management Plan, check the Ballast Water exchange method
adopted by the vessel;
b) check if the Ballast Water Form (Annex A/Annex B) was correctly filled out;
c) check the International Certificate's validity, if existing, issued by the Flag State's
competent Authority, with duration not exceeding five years;
d) audit the Ballast Water Record Book, if existing, and the vessel's records
necessary for gathering other information (such as the Log Book, Engine Diary, Ship Position
Book and the Tank Daily Sounding Book);
e) check if the Ballast Water exchange was carried out according to the procedures
set forth in this Standard;

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 f) collect Ballast Water samples for future assessment, if deemed necessary, and
always in compliance with the provisions of item 4.1 of this Standard; and
g) as a means of checking/confirming the information obtained in the Form (Annex
A/Annex B), the Maritime Authority Agent may sample the water of ballast tanks/holds to verify
the water salinity, using a refractometer.
4.2.2 - Standardization
Both the International Certificate and Ballast Water Record Book shall follow the
standards provided in the Convention’s Appendices I and II.

4.3 - EXECUTION INSTRUMENTS

4.3.1 - Procedure
Violation of any prescription of this Standard is forbidden inside AJB, and sanctions
are established according to national laws. In any such occurrence, the Maritime Authority Agent
shall establish an administrative procedure in compliance with the law. He may further take
measures to warn, detain or prohibit the vessel's entry in a port or terminal.
At the Maritime Authority Agent's discretion, however, the vessel may be granted
permission to exit the port or terminal in order to discharge or exchange Ballast Water, in
accordance with the procedures required in this Standard.
4.3.2 - Penalties and sanctions
The fees applied upon failure to comply with this Standard will be determined
according to the infraction's seriousness, in coherence with other penalties used internationally in
shipping and in accordance with values established in Decree No. 6,514 of July 22, 2008.
4.3.3 - Naval Inspection
The Maritime Authority Agents shall verify the fulfillment of the present Standards,
on occasion of the Naval Inspection in Brazilian and foreign vessels.

4.4 - VIOLATION
Every action or omission that breaches any of the rules established in this
NORMAM constitutes a violation.

4.5 - VERIFICATION OF VIOLATIONS

A violation and the person accountable will be determined:
a) at the moment it is committed or during an inspection;
b) by later finding; and
c) by an Administrative Process.

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4.6 - PERSONS RESPONSIBLE
The following are accountable for violations provided in this Standard:
a) the vessel's owner, either natural or legal person, or a lawful representative;
b) the shipowner or vessel operator, if not rigged or operated by the owner; and
c) the natural or legal person, public or private, lawfully representing the vessel and/or
platform.

4.7 - COMPETENCE
4.7.1 - Maritime Authority Agents
It is for the Maritime Authority Agents (Art. 70, §1of Law No. 9,605/1998) to draw
environmental violation records and establish administrative processes.
4.7.2 - Director of Ports and Coasts
It is for the DPC, as REPRESENTATIVE OF THE MARITIME AUTHORITY
FOR ENVIRONMENTAL ISSUES, to judge, at the highest level, the appeals on fees applied for
violations to this Standard.

4.8 - SPECIFIC STANDARDS AND PROCEDURES FOR ESTABLISHING AN

ADMINISTRATIVE PROCESS
4.8.1 - Administrative Process
The Administrative Process, provided in Art. 70 of Law No. 9,605/1998, has in its
scope the verification of facts reported to the Maritime Authority, for the finding of possible
violations and their authors, as well as violations found in the act and during inspections.
The administrative process provided for in these Standards will be guided by
principles of lawfulness, purpose, motivation, reasonableness, proportionality, morality, ample
defense, contradictory, juridical safety, public interest and efficiency, as well as by the criteria
mentioned in the sole paragraph of art. 2 of Law No. 9,784 of January 29, 1999.

4.8.2 - Deadlines for the finding of Environmental Violations (Article 71 of Law

No.9,605/98)
a) Violation Record:
I - Once the occurrence of an environmental administrative violation is verified, a
violation record will be drawn-up (Annex E), of which the violator shall be given knowledge,
ensuring the contradictory and ample defense;
II - The violator may offer defense against the violation record, within the
deadline of twenty days counted from the acknowledgment date;

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 III - The defense will be formulated in writing and shall contain the facts and
juridical basis contradicting the violation record and accompanying instruments, as well as the
specification of evidence the violator intends to produce in his/her favor, duly justified;

IV - The violator may be represented by a lawyer or proxy lawfully appointed,

attaching to the defense, for such purpose, the respective power of attorney. A deadline of up to
ten days may be requested for this attachment;
V - The defense will not be acknowledged when presented:
i) after the deadline;
ii) by someone not legitimated; or
iii) before a non-competent body or environmental entity;
VI - It will be for the violator to proof the facts alleged by him/her. The judging
authority may require presentation of the necessary convincing evidence;
VII - The defense being offered or not, the judging authority will judge the
violation record within thirty days, deciding on the application of penalties;
VIII - The non-observance of the judgment deadline does not void the judging
authority's decision and the process;
IX - Once the violation record is judged, the violator will be notified by mail with
return receipt or any other valid means, ensuring his/her acknowledgment of the deadline of five
days counted from reception of the notification, for paying the fine or presenting an appeal.

The Violation Record shall be signed by the violator, proxy or legal

representative and by witnesses. If the Violator refuses to sign, the Maritime Authority Agent
will record this fact with the presence of two witnesses. If not able to sign, the Record will be
signed by request. In cases of evasion or absence of the person responsible for the administrative
violation, without an identified proxy, the recording agent will apply the provisions of previous
paragraph. The violation record will be forwarded by mail with return receipt or any other valid
means ensuring its acknowledgment.
b) Appeal Request at the highest administrative level:
I - if the defense is not upheld or the violator disagrees with the penalty imposed,
he may appeal from the decision through an appeal request at the highest administrative level,
before the judging Authority, addressed to the Director of Ports and Coasts (DPC) within twenty
days from the date of notification on the decision of the Maritime Authority Agent. The DPC
will have thirty days for issuing his decision, duly substantiated, counting from the date the
appeal request was received;

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 II - an appeal of any nature will be addressed to the authority who issued the
decision. The latter, if not reconsidering within the deadline of five days, will forward it to the
superior authority (Art. 56 of Law No. 9,784/99);
III - The appeal will not be acknowledged when interposed:
i) after the deadline;
ii) before a non-competent environmental body or authority
iii) by someone not legitimated; and
IV - in case of an appeal interposed against a decision in administrative
procedures related to legal instruments other than Law No. 9,605/1998, the appeal levels and
deadlines set forth in the respective instruments shall be observed.

4.9 - APPLICATION OF PENALTIES

a) Administrative violations are punished with the ordinary fine;
b) If the violator commits two or more violations at the same time, the corresponding
sanctions will be applied cumulatively;
c) The ordinary fine will be applied to the violator:
I - for irregularities committed; and
II - for hampering the monitoring action of the Maritime Authority Agents.
d) The fine will be based on the impaired legal object;
e) The value of the fine will be that stipulated by Decree No. 6,514/2008, in the minimum of
R$ 5,000.00 (five thousand reals), and the maximum of R$ 50,000,000.00 (fifty million reals);
f) When drawing up the violation record, the Maritime Authority Agent will indicate the
fine applicable to the case, as well as other sanctions established in this Standard, observing:
I - the seriousness of facts, considering the motives for violation and its
consequences to the public health and the environment;
II - previous records of the violator, related to compliance with environmentally
related laws; and
III - the violator's economic situation.
g) When analyzing the appeal, the Maritime Authority Agent may, regularly or by
provocation and independently of collecting the fine applied, maintain or decrease its value
respecting the limits established for the violation items, observing the above provisions, or even
cancel the record if any illegality is found, or revoke it according with criteria of convenience and
opportunity;
h) The Maritime Authority Agent, when analyzing the administrative process of the
Violation Record, will observe, where applicable, the provisions of Articles 14 and 15 of Law
No. 9,605 of February 12, 1998; and
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 i) If a new environmental violation is committed by the same violator in the five years
subsequent to the previous violation record draw-up, it will imply:
I - application of the fine in triple if the same violation is committed; or
II - application of the fine in double if a distinct violation is committed".

4.10 - LISTING AS ACTIVE DEBT TO THE TREASURY

The non-payment of the fine imposed will imply the violator's listing in the Active
Debt to the Treasury, according to Art. 41 of Law No. 6,830/80 ("Fiscal Execution Law").

4.11 - OMITTED CASES

Cases omitted or not foreseen in these Standards will be resolved by the DPC.

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 ANNEX A
FORMULÁRIO PARA INFORMAÇÕES RELATIVAS À ÁGUA UTILIZADA COMO LASTRO
Troca de Água de Lastro Troca de Água de Lastro Sistema de Tratamento de Água de Lastro Sistema de Tratamento de Água de Lastro
Retificador Retificador

1. INFORMAÇÕES SOBRE O NAVIO 2. INFORMAÇÕES SOBRE A ÁGUA E OS TANQUES DE LASTRO

Nome do Navio: Porto de Chegada: Nº Total de Tanques a Bordo: Nº de Tanques em Lastro:

Nº IMO / Indicativo de Chamada: Data de Chegada ao Porto: Nº de Tanques com Troca de Água de Nº de Tanques sem Troca de Água de
Lastro: Lastro:
Bandeira: Último Porto e País: Total de Água de Lastro a Bordo (m³): Capacidade Total de Água de Lastro
(m³):
Tipo do Navio / Arqueação Bruta (AB): Próximo Porto e País:

Proprietário: Agente:

3. INFORMAÇÕES SOBRE A TROCA DA ÁGUA DE LASTRO (Registrar todos os tanques que serão deslastrados no Porto de chegada – Se nenhum, passe para o item 5)
INFORMAÇÕES SOBRE A ORIGEM DA INFORMAÇÕES SOBRE A TROCA DA ÁGUA DE INFORMAÇÕES SOBRE A
Tanques (*) ÁGUA DE LASTRO LASTRO DESCARGA DA ÁGUA DE
(Listar separadamente os LASTRO
diversos tanques) Data Porto ou Volume Temp. Salinidade Data Lat/Long Volume % de Profund. Método de Data Porto ou Volume Salinidade
dd/mm/aa Lat/Long (m³) (ºC) dd/mm/aa (Ponto final) (m³) Troca Local (m) Troca (**) dd/mm/aa Lat/Long (m³)

(*) Código para Tanques de Água de Lastro: Tanque de Colisão AV = FP / Tanque de Colisão AR = AP / Duplo Fundo = DB / Lateral = WT / Lateral Superior = TS / Porão = CH / Outros – O
(**) Método de Troca: Diluição (1) / Fluxo Contínuo (2) / Sequencial (3)

3.1. OUTRAS INFORMAÇÕES SOBRE A TROCA DA ÁGUA DE LASTRO 4. INFORMAÇÕES SOBRE O SISTEMA DE TRATAMENTO DE ÁGUA DE LASTRO
Se não houve troca da Água de Lastro, indicar outra(s) ação(ões) de controle Nome Comercial do Sistema: Data da Instalação:
efetuada(s):

Se não tiver sido efetuada nenhuma, indicar porque não: Fabricante: Data de Validade do Certificado Internacional:

5. INFORMAÇÕES COMPLEMENTARES:
Existe a Bordo o Plano de Gerenciamento de Água Existe a Bordo a Convenção Internacional?
de Lastro? ( )SIM ( ) NÃO NOME
( ) SIM ( E) NÃO
POSTO DO OFICIAL RESPONSAVEL (LETRA DE IMPRENSA)

O Plano de Gerenciamento de Água de Lastro Existe a Bordo a Resolução da IMO A.868(20)?

_
foi ( ) SIM ( ) NÃO ASSINATURA
Implementado? ( ) SIM ( ) NÃO

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 ANNEX B

BALLAST WATER REPORTING FORM

Ballast Water Exchange Rectifier Rectifier
Ballast Water Treatment System
Ballast Water Exchange Ballast Water Treatment System

1. SHIP INFORMATION 2. BALLAST WATER AND TANKS INFORMATION

Vessel Name: Arrival Port: Total Number. of Ballast Tanks on Number of Tanks in Ballast:
Board:
IMO Number / Call Sign: Arrival Date at the Port: Number of Tanks with Ballast Water Number of Tanks without Ballast
Exchange: Water Exchange:
Flag: Previous Port and Country: Total Ballast Water on Board (m³): Total Ballast Water Capacity (m³):

Type of Vessel / Gross Tonnage: Next Port and Country:

Owner: Agent:

3. BALLAST WATER HISTORY (Register all tanks that will discharge ballast water on the arrival port – If none go to item 5)
BALLAST WATER SOURCE INFORMATION BALLAST WATER EXCHANGE INFORMATION BALLAST WATER DISCHARGE
Tanks (*) INFORMATION
(List multiple sources per Date Port or Volume Temp. Salinity Date Lat/Long Volume % Local Exchange Date Port or Volume Salinity
dd/mm/yy Lat/Long (m³) (ºC) dd/mm/yy (Endpoint) (m³) Exchange Depth (m) Method dd/mm/yy Lat/Long (m³)
tank separately) (**)

(*) Codes for Ballast Water Tanks: Forepeak = FP / Aft peak = AP / Double Bottom = DB / Wing = WT / Topside = TS / Cargo Hold = CH / Other – O
(**) Exchange Method: Dilution (1) / Flow Through (2) / Empty/Refill (3)

3.1. OTHER INFORMATION ON BALLAST WATER EXCHANGE 4. INFORMATION ON BALLAST WATER TREATMENT SYSTEM
If exchanges were not conducted, state other control action(s) taken: System’s Brand Name: Installation Date:

If no action was taken, state why not: Manufacturer: International Certificate’s Expiration Date:

5. ADDITIONAL INFORMATION:
Is There a Ballast Water Management Plan on Copy of the International Convention on Board?
Board? ( ) YES ( ) NO ( ) YES ( ) NO RESPONSIBLE OFFICER’S NAME AND TITLE (CAPITAL LETTER)

Was the Ballast Water Management Plan Copy of the IMO Resolution A.868 (20) on Board?
_
Implemented? ( ) YES ( ) NO ( ) YES ( ) NO SIGNATURE

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 ANNEX C

BALLAST WATER EXCHANGE METHODS

The Ballast Water exchange in ocean areas presently provides means of limiting the
transfer of aquatic species by the water used as ballast. Three methods have been identified to
carry out the Ballast Water exchange at sea:
1. Sequential Method - the ballast tanks are emptied and filled again with oceanic
water;

2. Continuous Flow Method - the ballast tanks are simultaneously emptied and filled,
through the pumping of oceanic water; and

3. Brazilian Dilution Method - the Ballast Water loading is made through the tank’s
top and, simultaneously, the discharge is made from the tank’s bottom, at the same flow rate,
in such a way that the water level in the ballast tank is controlled to stay constant.

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 ANNEX D

HYDROGRAPHIC BASINS IN BRAZIL AND

MAIN RIVER PORTS AND TERMINALS

MAIN RIVER PORTS AND TERMINALS

STATES PORTS AND TERMINALS

Port of Eirunepé
Terminal of Itacoatiara
AMAZON Port of Manaus
Port of Parintins
Port of Tabatinga
BAHIA Port of Juazeiro
Port of Cáceres
MATO GROSSO
Port of Corumbá and Ladário
MATO GROSSO DO SUL Port of Porto Murtinho
MINAS GERAIS Port of Pirapora
PARÁ Port of Santarém
PERNAMBUCO Port of Petrolina
RORAIMA Port of Caracaraí
RONDÔNIA Port of Porto Velho
Port of Cachoeira do Sul
Port of Charqueadas
RIO GRANDE DO SUL Port of Estrela
Port of Porto Alegre
International Port of Porto Xavier

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MAP WITH THE MAIN RIVER BASINS OF BRAZIL

Legend
Amazon river basin
Araguaia-Tocantins river basin
Parnaíba river basin
São Francisco river basin
Paraíba do Sul river basin
Paraná river basin
Paraguai river basin
Uruguai river basin

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 HYDROGRAPHIC BASINS AND THEIR RESPECTIVE
RIVER PORTS AND TERMINALS

HYDROGRAPHIC BASINS PORTS AND TERMINALS

Port of Eirunepé
Terminal of Itacoatiara
Port of Manaus

AMAZON RIVER BASIN Port of Parintins

Port of Tabatinga
Port of Santarém
Port of Caracaraí
Port of Porto Velho
Port of Juazeiro
SÃO FRANCISCO RIVER BASIN Port of Pirapora
Port of Petrolina
Port of Cáceres
PARAGUAI RIVER BASIN Port of Corumbá and Ladário
Port of Porto Murtinho
Port of Cachoeira do Sul
Port of Charqueadas
URUGUAI RIVER BASIN Port of Estrela
Port of Porto Alegre
International Port of Porto Xavier

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 ANNEX E

ENVIRONMENTAL VIOLATION RECORD

BRAZILIAN NAVY Number: Date of Record:

DIRECTORATE OF PORTS Notification No.:
AND COASTS
Name of Violator:
Responsible person/Agent:
Vessel Name: Enrollment:
Port of Enrollment:
Violation Date: Violation Time: Violation Place:

Framework Framework Description

EXCERPT OF THE ADMINISTRATIVE PROCEDURE’S LEGAL INSTRUMENT TO BE OBSERVED

ACCORDING TO THE TYPE OF RECORD

I am aware of the present recording and deadline to present defense.

On / / (s)

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