E

4 ALBERT EMBANKMENT
LONDON SE1 7SR
Telephone: +44 (0)20 7735 7611 Fax: +44 (0)20 7587 3210

BWM.2/Circ.80
14 July 2023

INTERNATIONAL CONVENTION FOR THE CONTROL AND MANAGEMENT

OF SHIPS' BALLAST WATER AND SEDIMENTS, 2004

Guidance on ballast water record-keeping and reporting

1 The Marine Environment Protection Committee, at its eightieth session (3 to 7 July 2023)
approved the Guidance on ballast water record-keeping and reporting to assist in bringing clarity
to the record-keeping and reporting process under the BWM Convention, including guidance on
completing the Ballast Water Record Book, an updated example ballast water reporting form and
an example form for voluntary tank-by-tank logging of ballast water operations, as set out
in the annex.

2 Member Governments are invited to bring this Guidance to the attention of all parties
concerned.

***

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ANNEX

GUIDANCE ON BALLAST WATER RECORD-KEEPING AND REPORTING

Table of contents

1 Purpose

2 Ballast Water Record Book

2.1 Introduction
2.2 When to record operations in the Ballast Water Record Book
2.3 How to record operations in the Ballast Water Record Book
2.4 Storage of information

3 Ballast water reporting form

3.1 Introduction
3.2 How to complete the example ballast water reporting form

4 Voluntary tank-by-tank log

4.1 Introduction
4.2 How to record operations in the voluntary tank-by-tank log

Appendices

Appendix 1: Example Ballast Water Record Book entries

Appendix 2: Example ballast water reporting form
Appendix 3: Example tank-by-tank log form

1 Purpose

1.1 The first part of this document (section 2, Ballast Water Record Book), which is
intended for ship crews, explains how ballast water operations should be recorded by making
mandatory entries in the Ballast Water Record Book (BWRB). These records are required by
the Convention. These records may also assist the ship in properly implementing its Ballast
Water Management Plan and in operating and maintaining any ballast water management
system (BWMS) that is being used.

1.2 The second part (section 3, Ballast water reporting form), intended for ship crews and
port States, contains an example ballast water reporting form (BWRF) together with
instructions for completing it. A BWRF may be submitted prior to entry into a port State that
requires specific information regarding the management of ballast water on ships bound for its
ports, offshore terminals or anchorage areas.

1.3 The third part (section 4, Voluntary tank-by-tank log), intended for ship crews, explains
how to maintain voluntary tank-by-tank records of ballast water operations that may facilitate
completion of a BWRF by allowing the crew to efficiently track the contents of each tank and
hold that carries ballast water. Maintaining these voluntary records may also assist the ship in
documenting and demonstrating that the requirements of the Convention have been met.

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2 Ballast Water Record Book

2.1 Introduction

2.1.1 Regulation B-2 of the BWM Convention establishes mandatory requirements for
maintaining a BWRB on board the ship, and appendix II of the Annex to the Convention
specifies the information that must be included.

2.1.2 The BWRB may be inspected in the port or offshore terminal of a Party by officers
duly authorized to inspect the ship for the purpose of determining compliance with the
Convention.

2.1.3 The following sections explain when to record operations in the BWRB, how to record
these operations (including standardized formats that should be used for smooth
record-keeping and inspections) and how the records should be stored. Example entries are
provided in appendix 1 to demonstrate how various ballast water operations and
circumstances should be recorded in the BWRB.

2.2 When to record operations in the Ballast Water Record Book

2.2.1 Each operation concerning ballast water shall be fully recorded chronologically as per
completion without delay in the Ballast Water Record Book (regulation B-2.5).

2.2.2 In the event of the discharge of ballast water pursuant to regulations A-3 (exceptions),
A-4 (exemptions), B-3.6 (ballast water discharged to a reception facility) or B-3.7 (other
methods of ballast water management that are approved in principle by the Committee) or in
the event of other accidental discharge/ingress or other exceptional uptake or discharge of
ballast water not otherwise exempted by this Convention, an entry shall be made in the Ballast
Water Record Book describing the circumstances of, and the reason for, the discharge.

2.2.3 If ballast water exchange is not undertaken for the reasons in regulation B-4 this shall
be recorded, in accordance with regulation B-4.5.

2.2.4 Record all failures or inoperabilities of the ballast water management system in the
Ballast Water Record Book under Code F. If the failure or inoperability is not immediately
resolved, a second Code F entry should later be recorded when the BWMS is rectified and
made operational.

2.2.5 Exemptions granted under regulation A-4 and any additional measures under
regulation C-1 shall be recorded in the Ballast Water Record Book under item Code H.
(regulation A-4.4)

2.2.6 For tankers, ballast taken into heavy weather Cargo Oil Tanks is considered as
exceptional ballast as described in regulation 18.3 of MARPOL Annex I and would be recorded
in both the Oil Record Book part II and in the Ballast Water Record Book.

2.2.7 Ships should take the following guidance into account in selecting code letters to
reflect ballasting operations:

.1 During a typical uptake or discharge operation, any ballast water treatment

should be noted under Code A or Code B as appropriate. It is not necessary
to enter Codes C1 or C2 to reflect this treatment.

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.2 A ballast water exchange operation should be entered using Code C1 (noting

any ballast water treatment applied). It is not necessary to enter Codes A
and B in conjunction with ballast water exchange.

.3 Code C2 should be used when treatment occurs independently from an

uptake or discharge (e.g. in-tank treatment, or treatment during circulation
between tanks).

.4 Ballast water internal transfer operations for the purpose of list/trim/stability of

the ship involving similarly managed water should be recorded under Code H in
the Ballast Water Record Book as the quantity in the tanks have changed.

2.3 How to record operations in the Ballast Water Record Book

2.3.1 When making entries, write the date in dd-MMM-yyyy format (e.g. 01-JUN-2022).
If the operations cross over the dates, then the entry should be made after completion of the
operation and the start date can be mentioned as: - Start 1900 hrs (UTC) (hhmm SMT)
on 01-JAN-2023 and Completion at 0100 hrs (UTC) (hhmm SMT) on 02-JAN-2023.

2.3.2 Enter the appropriate code and item number in the respective columns.

2.3.3 Enter all times using the Coordinated Universal Time (UTC) and Ship's Mean Time
(SMT).

2.3.4 Record the ballast tank nomenclature as per the diagram corresponding to the Ballast
Water Management Plan that forms a part of the Ballast Water Record Book.

2.3.5 Enter the port names using the proper standardized UN/LOCODE. If the
UN/LOCODE is not available, or an offshore terminal or anchorage area is entered, write out
Port Name and Country in full. No abbreviation should be used.

2.3.6 Enter the location position in the degrees, minutes and seconds format (example:
Lat: 00 00.00 N/S, Long: 000 00.00 E/W).

2.3.7 Under the item "Ballast water treatment method" enter any treatment applied to the
water during the specific operation being recorded. No prior treatment or intended future
treatment should be recorded. If more than one method applies (e.g. partial treatment) then
multiple entries should be made, each pertaining to the relevant volume. The following
notations should be used:

.1 "Approved BWMS";

.2 "Prototype BWMS"; and

.3 "Regulation B-3.7", in the case of other methods of ballast water

management approved in principle by the Committee in accordance with that
regulation.

2.3.8 "None. (regulation A-4)", in the case of exemptions granted in accordance with that
regulation.

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2.3.9 "None, as per BWMS design", in the case no treatment is necessary during uptake or
discharge because of the design of the BWMS (e.g. a BWMS that does not treat during
discharge, or a BWMS where the treatment takes place in the tank).
2.3.10 "None. (regulation B-3)" if the ship is not yet required to meet the standard in
regulation D-2.

2.3.11 "None" and specify the reason, in other cases where no treatment is performed
(e.g. BWMS bypass).

2.3.12 There should not be blank lines between successive entries.

2.3.13 In the case of a ship subject to equivalent compliance under regulation A-5 that is
required by its Administration to keep records of each ballast water operation, the information
specified in this guidance should be taken into account.

2.3.14 The entries in the Ballast Water Record Book shall be in a working language of the
ship. If that language is not English, French or Spanish, the entries shall contain a translation
into one of those languages. When entries in an official national language of the State whose
flag the ship is entitled to fly are also used, these shall prevail in case of a dispute or
discrepancy. (regulation B-2.5)

2.3.15 Each entry shall be signed by the officer in charge of the operation concerned and
each completed page shall be signed by the master. (regulation B-2.5)

2.3.16 Incorrect entries should be struck through with a single line in such a way that the
wrong entry is still legible. The incorrect entry should be signed and dated and followed by the
correct entry.

2.3.17 Entries pertaining to an earlier missed operation should be completed as per

example 25.

2.4 Storage of information

2.4.1 The Ballast Water Record Book shall be maintained on board the ship for a minimum
period of two years after the last entry has been made and thereafter in the Company's control
for a minimum period of three years. (regulation B-2.2)

2.4.2 The Ballast Water Record Book shall be kept readily available for inspection at all
reasonable times and, in the case of an unmanned ship under tow, may be kept on the towing
ship. (regulation B-2.4)

2.4.3 In addition to the Ballast Water Record Book, further tank-wise entries can be made
in the ballast water log voluntarily to complement it accordingly. Keeping tank-by-tank records
of ballast water operations may assist the ship crews in completing any ballast water reporting
form that may be required by a port State, demonstrating that entries in the Ballast Water
Record Book reflect the actual ballast water situation during any inspection, and implementing
the Ballast Water Management Plan more efficiently through more specific knowledge of
current tank contents.

2.4.4 Officers duly authorized by a Party may inspect the Ballast Water Record Book on
board any ship to which this regulation applies while the ship is in its port or offshore terminal,
and may make a copy of any entry, and require the master to certify that the copy is a true
copy. Any copy so certified shall be admissible in any judicial proceeding as evidence of the

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facts stated in the entry. The inspection of a Ballast Water Record Book and the taking of a
certified copy shall be performed as expeditiously as possible without causing the ship to be
unduly delayed. (regulation B-2.6)

3 Ballast water reporting form

3.1 Introduction

3.1.1 As noted above, a BWRF may be submitted prior to entry into a port State that
requires specific information regarding the management of ballast water on ships bound for its
ports, offshore terminals, or anchorage areas.

3.1.2 Although individual port State forms may vary owing to national requirements and
circumstances, port States are invited to align their forms with the example BWRF set out in
appendix 2 as much as possible. Doing so will reduce the administrative burden on ships.
Port States are also invited to use fillable PDF forms or online reporting systems to facilitate
the submission of BWRFs.

3.1.3 The example form allows for the collection and transmission of relevant information
that will assist the port State and the ship in efficiently and effectively communicating the
situation on board, as well as the ship's intentions. A completed form will:

.1 positively identify the ship, the owner, the ISM Company, the agent and the
officer on board completing the report, to facilitate communications with port
State authorities;

.2 convey relevant voyage information, including the ship's intended arrival port
and date, as well as the last port and future ports, if known;

.3 summarize the current ballast water situation on board the ship relative to its
ballast water capacity, including ballast tanks and any holds that may be in
use for ballasting purposes;

.4 summarize the ship's ballast water management approach, including

management actions taken on water to be discharged, any available
contingency methods (should they be needed), and key information on the
ship's status with respect to survey and certification to assist the port State
in assessing the status of the ship; and

.5 include an appendix identifying the origin, management and discharge

intentions for each tank to allow the port State to assess the risk posed by
the water.

3.1.4 Ships that regularly submit BWRFs to port States may find it practical and efficient to
maintain records of ballast water operations on a tank-by-tank basis. A form to
facilitate this record-keeping is provided in appendix 3 and discussed in section 4 of
this guidance.

3.2 Completing the example ballast water reporting form

3.2.1 Write dates in the dd-MMM-yyyy format (e.g. 01-JUN-2022).

3.2.2 Enter times using Coordinated Universal Time (UTC).

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3.2.3 Section 1. Ship information:

.1 Ship name: Enter the name of the ship. In case of tug and barge operation
(pull, push, sideway or an articulated tug and barge), enter both ship names,
separated by a hyphen (-). Do not add prefixes or suffixes such as "M/V"
(Motor Vessel), "M/S" (Motor Ship) or "T/S" (Tanker Ship / Tall Ship);

.2 Flag: Enter the full name of the State or Territory whose flag the ship is flying
at the time of the BWRF submission. Do not use abbreviation;

.3 MMSI Number: Enter the ship's Maritime Mobile Service Identify (MMSI
number);

.4 Distinctive Numbers/Letters or Call Sign: Enter the ship's Official Number or

Call Sign. If no Official Number exists for the ship, enter other identification
number;

.5 Owner: Enter the name of the registered owner(s) of the ship. If under
charter, enter the name of the operator;

.6 ISM Company name and number: Enter the name of the Company as defined
under the International Convention for the Safety of Life at Sea, chapter IX-1,
and International Safety Management Code and its Identification Number,
conforming to the IMO Unique Company and Registered Owner Identification
Number Scheme;

.7 Gross tonnage: Enter the gross tonnage of the ship as established under the
International Convention on Tonnage Measurement of Ships, 1969 or any
successor Convention. In case of tug and barge combinations, enter the
gross tonnage of each ship, separated by a hyphen (-); and

.8 Date of construction: Enter the date of construction as defined in regulation

A-1.

3.2.4 Section 2. Voyage Information:

.1 Enter ports using the proper UN/LOCODE for standardization and to avoid
errors (https://unece.org/trade/cefact/unlocode-code-list-country-and-territory).
If UN/LOCODE is not available, write out port, State/province, and country in
full. No abbreviation should be used.

3.2.5 Section 3. Ballast water usage and capacity:

.1 Enter the total volume of ballast water on board and the number of ballast
tanks and cargo holds with ballast water upon arrival at the "Arrival port"
indicated in section 2; and

.2 Enter the total ballast water capacity as per the ship's Ballast Water
Management Plan including the maximum volume of ballast water which can
be carried and the number of tanks and cargo holds designed to carry ballast
water.

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3.2.6 Section 4. Ballast water management:

.1 Indicate the principal ballast water management method(s) employed on the

ship. "In accordance with regulation D-1" refers to the exchange of ballast
water to meet the ballast water exchange standard. "In accordance with
regulation D-2" refers to the treatment of ballast water using an
IMO-approved ballast water management system to meet the ballast water
performance standard. "Subjected to regulation D-4" refers to the use of a
prototype ballast water treatment technology approved by the Administration
under regulation D-4. If an "other method" of ballast water management
approved in principle by the Committee is used in accordance with
regulation B-3.7, describe the method. Multiple items may be checked off, if
applicable;

.2 Enter the number of tanks and holds with ballast water that will be discharged
for the current planned trip by ballast water management method. If other
ballast water management method has been used, describe the method and
state the reason;

.3 If the ship is equipped with a ballast water management system, provide the
name of the manufacturer and the model of the system. Indicate whether the
ballast water management system was fully operational during the
management of all treated ballast tanks/holds. Indicate when the ballast
water management system was last partially or fully bypassed by entering
the last bypass date, if any;

.4 If ballast water has not been exchanged or treated in accordance with

regulation B-3, state the reason. For countries that use an electronic form, a
drop-down list with the following options may be used:

.1 regulation A-4 exemption;

.2 equipment failure;

.3 regulatory exemption;

.4 ship design limit;

.5 adverse weather; and

.6 other (describe);

.5 Provide information on the Ballast Water Management Plan, including any

contingency measures(s) in the appropriate fields. Provide descriptions if a
contingency measure other than ballast water exchange in accordance with
regulation D-1 is planned. Multiple items may be checked off, if applicable;

.6 Indicate if an interface is available on the ship for coupling to a ballast water

reception facility as a contingency measure;

.7 Provide information on the Ballast Water Record Book and the International
Ballast Water Management Certificate or equivalent document in the
appropriate fields;

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.8 Provide the name of the authority (e.g. flag State authority or recognized
organization) that issued the International Ballast Water Management
Certificate or equivalent document;

.9 Provide the date of the last intermediate, annual, or any other additional
endorsement as per the Convention; and

.10 Provide the name of the authority (e.g. flag State authority or recognized
organization) that performed the last survey.

3.2.7 Section 5 and appendix. Ballast water history:

.1 Enter the name and the identifier of the ship as well as the arrival date in
case the page gets separated from the previous page of the form in a printed
copy;

.2 Record information for each ballast water tank/hold across the page listing
the original source(s) of the ballast water under "BW source" prior to any
ballast water management, all management events under "BW management
practices", and all planned discharge events under "Proposed BW
discharge";

.3 Tanks/holds: List all ballast tanks and holds separately (e.g. port and
starboard tanks should be on separate rows). Use tank codes as indicated
on the form. List multiple ballast water sources for the same tank on separate
lines. Include empty tanks/holds and those containing only residual ballast
water and sediments*;

.4 Current volume: Enter the volume of ballast water in tank on arrival at the
"Arrival port" indicated in section 2;

.5 Under "BW management practices", complete columns with an asterisk (*)

only if exchange or saltwater flushing has been conducted as per regulation
B-4 and paragraph 1.3.2 of part A of the Guidelines (G4), respectively;

.6 % Exchange: If exchange or saltwater flushing has been conducted,

calculate the percentage of tanks volumetric capacity used to exchange.
% Exchange can be calculated by dividing the total volume of water moved
by "Sequential" or "Flow-through" or used in "Saltwater flushing" by the
capacity of ballast tank or hold, then multiply by 100;

.7 Min. depth (m): If exchange or saltwater flushing has been conducted, enter
the minimum depth in metres during the ballast water exchange or flushing;

.8 Indicate the ballast water management method(s) used. For countries that use
an electronic form, a drop-down list with the following options may be used:

.1 DE = Dilution exchange;

.2 SE = Sequential exchange;

.3 FE = Flow-through exchange;

* Residual ballast water and sediments refers to any ballast water and sediments that cannot be removed
from a ballast tank using the equipment installed on the ship for that purpose.

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.4 SWF = Saltwater flushing;

.5 OT = Onboard treatment;

.6 PBU = Uptake from port-based facility;

.7 PRF = Discharge to port reception facility; and

.8 NM = No management; and

.9 If no discharges are planned for the current trip, fields under "Proposed BW
discharge" are to remain blank.

3.2.8 Section 6. Responsible officer

.1 Provide information on the responsible officer, including name, title, and

contact information.

4 Voluntary tank-by-tank log

4.1 Introduction

4.1.1 Tank-by-tank logs are not required by the Convention. However, keeping tank-by-tank
logs is recommended as a best practice to assist in:

.1 completing any BWRF that may be required by a port State;

.2 demonstrating that entries in the BWRB reflect the actual ballast water
situation on board during any inspection; and

.3 implementing the Ballast Water Management Plan more efficiently through

more specific knowledge of current tank contents.

4.1.2 The tank-by-tank log format in appendix 3 has been developed to efficiently capture
the essential information needed to complete the example BWRF set out in this guidance.

4.2 Completing the tank-by-tank log

4.2.1 Complete a ballast water log for each tank.

4.2.2 Enter ports using the proper UN/LOCODE for standardization and to avoid errors
(https://unece.org/trade/cefact/unlocode-code-list-country-and-territory). If UN/LOCODE
is not available, write out port, State/province, and country in full. No abbreviation should
be used.

4.2.3 Write dates in the dd-MMM-yyyy format (e.g. 01-JUN-2022).

4.2.4 Enter times using Coordinated Universal Time (UTC).

4.2.5 Enter ship name, ship identifier, tank identifier and tank capacity in the appropriate fields.

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4.2.6 Record information for each ballast water operation across the page listing the date,
location or position, start time, minimum depth (if operations took place outside of
port), all applicable volumes under "Volume" in cubic metres, end time, the salinity of
the ballast water after ballast operation was completed in PSU, ballast water
management method(s) used, and any remarks.

4.2.7 Record one operation per row in chronological order. Record all applicable volumes
associated with one operation in a single row. For example, if approximately 1,000
cubic metres of ballast water are loaded into an empty tank and treated in a single
operation then enter a single row with 0 for the initial content, 1,000 for the estimated
uptake from the sea, 1,000 for the estimated volume treated and 1,000 for the final
content.

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APPENDIX 1

GUIDANCE FOR COMPLETING THE BALLAST WATER RECORD BOOK

SAMPLE ENTRIES IN THE BALLAST WATER RECORD BOOK

Code A - When ballast water is taken on board (ballasting operation)

(A) When ballast water is taken on board from the aquatic environment
(ballasting operation)

.1 Start time and location (port of uptake or latitude/longitude)

.2 Completion time and location (port of uptake or latitude/longitude and

minimum depth of water during uptake)

.3 The identity of the tanks affected

.4 Estimated volume of uptake and final total quantity retained in cubic metres

.5 Whether conducted in accordance with the approved Ballast Water

Management Plan

.6 Ballast water treatment method

Example 1: When ballast water is taken on board (ballasting operation) – at port

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
02-JAN-2023 A 1 Start - 0900 hrs (UTC) (hhmm SMT) on 01-JAN-2023 at
BE ANR (UN/LOCODE or port name)
2 Completion - 0600 hrs (UTC) (hhmm SMT) on 02-JAN-2023
at BE ANR
3 3P, 3S, 4P and 4S BW tanks

4 Uptake 6800 m3. Final quantity retained: 7200 m3

5 Yes. Ballasting as per BWMP for D-2 compliance

6 Approved BWMS

Signed------------------- Name ------------------Rank-------------

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Example 2: When ballast water is taken on board (ballasting operation) – at sea

Date Code Item Record of operations / signature of officer in charge

(letter) (number)
01-JAN-2023 A 1 Start - 0900 hrs (UTC) (hhmm SMT) at Lat xx xx.xx N /
Long yyy yy.yy E
2 Completion - 1800 hrs (UTC) (hhmm SMT) at Lat xx
xx.xx N / Long yyy yy.yy E at 350 m minimum depth
3 3P, 3S, 4P and 4S
4 Uptake 6800 m3. Final quantity retained: 7200 m3
5 Yes. Ballasting as per BWMP for D-2 compliance
6 Approved BWMS

Signed------------------- Name ------------------Rank------------

Notes for examples 1 and 2:

1. A ship required to meet the D-1 standard that loads ballast water without
treatment in accordance with the BWMP should record "Yes. Ballasting done
as per the BWMP for D-1 compliance" in item 5 and "None" in item 6. When
the ship later carries out a ballast water exchange, this should be recorded
under code C.
2. The examples 1 and 2 consider the new intake water of 6,800 m3 taken in
tanks having existing treated water of 400 m3. Mixing of treated water with
untreated water will result in the full load being considered as unmanaged.
3. In case the ship has to take in unmanaged ballast water, item 5 should state
"No", item 6 should state "None" and the reason should be given.

Example 3: When ballast water is taken on board (ballasting operation) – at port

(or sea) on board ships employing in-tank or in-voyage treatment in accordance with
the approved Ballast Water Management Plan

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
02-JAN-2023 A 1 Start - 0900 hrs (UTC) (hhmm SMT) on 01-JAN-2023 at
UN/LOCODE or port name or Lat/Long
2 Completion - 0600 hrs (UTC) (hhmm SMT) on 02-JAN-2023
at UN/LOCODE or port name or Lat / Long
3 3P, 3S, 4P and 4S
4 Uptake 6800 m3. Final quantity retained: 7200 m3
5 Yes. Ballasting as per BWMP for D-2 compliance
6 None. As per BWMS design
Signed------------------- Name ------------------Rank-------------

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Notes for example 3:

.1 BWMS employing "in-tank" treatment load in ballast directly into the tank without
any treatment. At the point of uptake, entry to be made as per example 3. Item 6
must state "None. As per BWMS design".

.2 Subsequently the ship must make entry as per example 10 when carrying
out the in-tank or circulation using code C 2

Code B

(B) When ballast water is discharged into the aquatic environment (deballasting
operation)

.1 Start time and location (port of discharge or latitude/longitude)

.2 Completion time and location (port of discharge or latitude/longitude and

minimum depth of water during discharge)

.3 The identity of the tanks affected

.4 Estimated volume of discharge and final total quantity retained in cubic

metres

.5 Whether conducted in accordance with the approved Ballast Water

Management Plan

.6 Ballast water treatment method

Example 4: When ballast water is discharged into the port (aquatic environment)

Date Code Item Record of operations / signature of officer in charge

(letter) (number)
01-JAN-2023 B 1 Start - 09:00 hrs (UTC) (hhmm SMT) at UN/LOCODE or port
name
2 Completion - 1800 hrs (UTC) (hhmm SMT) at UN/LOCODE or
port name
3 3P, 3S, 4P and 4S

4 Discharged 6800 m3. Final quantity retained: 400 m3

5 Yes. Deballasting as per BWMP for D-2 compliance

6 Approved BWMS

Signed------------------- Name ------------------Rank-------------

Example 5: When ballast water managed as per BWMP is discharged into the sea
(aquatic environment)

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
01-JAN-2023 B 1 Start - 09:00 hrs (UTC) (hhmm SMT) at Lat /Long

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Date Code Item Record of operations/signature of officer in charge

(letter) (number)
2 Completion - 1800 hrs (UTC) (hhmm SMT) Lat /Long at
minimum depth of 400 metres
3 3P, 3S, 4P and 4S
4 Discharged 6800 m3. Final quantity retained: 400 m3
5 Yes. Deballasting as per BWMP for D-2 compliance
6 Approved BWMS

Signed------------------- Name ------------------Rank-------------

Notes for examples 4 and 5

.1 For a D-1 certified ship, item 5 to be entered as "Yes. D-1 compliant" and
item 6 to be entered as "No".

.2 Ships employing single pass treatment system (only on uptake) with no

treatment during deballasting are to record "None, as per BWMS design" in
item 6.

.3 Ships deballasting water managed under the contingency plan of the

approved BWMP to record as per example 7.

Example 6: When ballast water not managed as per BWMP is discharged into the sea
(aquatic environment)

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
01-JAN-2023 B 1 Start - 09:00 hrs (UTC) (hhmm SMT) at Lat / Long
2 Completion - 1800 hrs (UTC) (hhmm SMT) at Lat /Long
at minimum depth of 400 metres
3 3P, 3S, 4P and 4S
4 Discharged 6800 m3. Final quantity retained: 400 m3
5 No.
6 None. State the reasons

Signed------------------- Name ------------------Rank-------------

Notes for example 6:

.1 For a D-1 certified ship, in case the ship has not carried out the exchange,
item 5 to be recorded as "No." and item 6 as "None. [regulation B-3]".

.2 For a D-2 certified ship, in the event of discharge of semi / untreated water
where the approved BWMP process is not followed, the deballasting event
must be recorded with item 5 entered "No." and item 6 entered as "None"
and state the reasons.

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.3 Further, entry using code (F) or code (H) is required to be made

(as applicable) preceding the above example 6 entry, stating the conditions
leading to non-compliant discharge.

Example 7: When ballast water is discharged into the aquatic environment

(e.g. at a port) which has been managed as per the contingency plan in the
approved BWMP

Date Code Item Record of operations / signature of officer in charge

(letter) (number)
01-JAN-2023 B 1 Start - 0900 hrs (UTC) (hhmm SMT) at Lat /Long
2 Completion - 1800 hrs (UTC) (hhmm SMT) at Lat /Long at
minimum depth of 400 metres
3 3P, 3S, 4P and 4S
4 Discharged 6800 m3. Final quantity retained: 400 m3
5 Yes. As per approved contingency plan
6 Approved BWMS
Signed------------------- Name ------------------Rank-------------

Note for example 7:

.1 For a D-2 certified ship, only in case the ship has implemented contingency
plan as per approved BWMP, item 5 to be recorded as "Yes. As per approved
contingency plan" and item 6 as "Approved BWMS" (if applicable to the
contingency plan procedure adopted).

Code C

(C) Whenever ballast water is exchanged, or treated in-tank or treated through

internal circulation

1 Ballast water exchange

.1 Start time and location (latitude/longitude)

.2 Completion time and location (latitude/longitude)

.3 Minimum distance from the nearest land and minimum depth of

water during the exchange or, if applicable, identify the designated
exchange area in accordance with regulation B-4.2

.4 Whether conducted in accordance with the Ballast Water

Management Plan and state the ballast water exchange method
(sequential or flow-through or dilution) used

.5 The identity of the tanks affected

.6 Total quantity exchanged and final total quantity on board in

cubic metres

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.7 Treatment method for the incoming ballast water

Example 8: Whenever ballast water is exchanged (without any treatment)

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
01-JAN-2023 C 1.1 Start - 0900 hrs (UTC) (hhmm SMT) at Lat /Long
1.2 Completion - 1800 hrs (UTC) (hhmm SMT) at Lat /Long
1.3 Minimum distance 840 nm and minimum depth 6500 metres
1.4 Yes. Sequential method as approved in the BWMP
1.5 2P, 2S, 3P, 3S, 4P and 4S
1.6 Exchanged 7200 m3. Final quantity retained 7200 m3
1.7 None
Signed------------------- Name ------------------Rank-------------

Example 9: Whenever ballast water is exchanged along with treatment using approved
BWMS
Date Code Item Record of operations/signature of officer in charge
(letter) (number)
01-JAN-2023 C 1.1 Start - 0900 hrs (UTC) (hhmm SMT) at Lat /Long
1.2 Completion - 1800 hrs (UTC) (hhmm SMT) at Lat /Long
1.3 Minimum distance 840 nm and minimum depth 6500 metres
1.4 Yes. Sequential method (as approved in the BWMP)

1.5 2P, 2S, 3P, 3S, 4P and 4S

1.6 Exchanged 7200 m3. Final quantity retained 7200 m3

1.7 Approved BWMS
Signed------------------- Name ------------------Rank-------------

Notes for examples 8 and 9:

.1 The stated exchange method (dilution/sequential/flow-through) must be as
per the approved Ballast Water Management Plan.

.2 The exchange along with treatment (BWE+BWT), if carried out as per the
approved BWMP contingency plan, must be recorded using example 9 and if
applicable reported to the concerned authorities prior to discharge of this water.

.3 In case of carrying out exchange at a designated area, state the "area name
or Lat / Long" under item 1.3 and enter "designated area in accordance with
regulation B-4.2" under item 1.4.

.4 In the event the ship is unable to carry out exchange owing to safety or
operational issues, entry has to be made as per example 26.

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.5 In case of a flow-through or dilution ballast water exchange as per approved

Ballast Water Management Plan item 1.4 should state "yes flow-through or
dilution (as appropriate) method (as approved in Ballast Water Management
Plan)" and under 1.6 enter the total quantity exchanged and final quantity
retained (example: "exchanged 22000 m3 retained 7200m3")
(C) 2 Ballast water internal circulation for treatment or in-tank treatment
.1 Start time

.2 Completion time

.3 The identity of the tanks affected (identifying source and destination tanks if
applicable)

.4 Total quantity treated (through circulation or in tank) in cubic metres

.5 Ballast water treatment method

Example 10: Ballast water internal circulation for treatment using approved BWMS
Date Code Item Record of operations/signature of officer in charge
(letter) (number)
02-JAN-2023 C 2.1 Start - 0900 hrs (UTC) (hhmm SMT) on 01-JAN-2023
2.2 Completion - 1800 hrs (UTC) (hhmm SMT) on 02-JAN-2023
2.3 3P, 3S, 4P and 4S
2.4 6800 m3 treated through circulation
2.5 Approved BWMS
Signed------------------- Name ------------------Rank-------------

Notes for example 10:

.1 The above entry is applicable to the ships which circulate the water in the
ballast tanks through the BWMS to achieve treatment. In such case there is
no fresh intake or release of ballast water.

.2 Ships taking in water directly (bypassing BWMS) and subsequently carrying

out treatment in tank or in voyage as per BWMP, are required to make entry
as per example 3 after uptake and as per example 10 when the treatment of
this water is carried out.

.3 Anti-heeling tank automatic operations of transfers of water for the purpose

of list correction are not to be recorded under code C.

.4 The internal transfers between a set of ballast tanks having same quality of
water (either managed or unmanaged) for which entries have already been
made under code A or managed under code C are not to be recorded.

.5 In case of water being transferred into a tank not accounted under A 3 , C 1.5
or C 2.3, entry is required to be made under code C 2 with C 2.3 capturing
the required details.

Code D

(D) Uptake or discharge of ballast water from/to a port-based or reception facility

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.1 Start time and location of uptake/discharge (state facility name)

.2 Completion time

.3 Operation carried out (whether uptake or discharge)

.4 The identity of the tanks affected

.5 Total quantity in cubic metres and final quantity retained on board

.6 Whether conducted in accordance with the approved Ballast Water

Management Plan

.7 Onboard ballast water treatment method

Example 11: Uptake of ballast water from a port-based or reception facility

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
01-JAN-2023 D 1 Start - 0900 hrs (UTC) (hhmm SMT) from "facility / terminal name"
at the Port of (insert UN/LOCODE)
2 Completion - 1800 hrs (UTC) (hhmm SMT)
3 Uptake
4 1DB(P), 1DB(S), 2TST (P), 2TST (S) and Aft Peak Tank
5 6800 m3. Final quantity retained 6800 m3

6 Yes. Treated ballast water intake as per BWMP

7 None.

Signed------------------- Name ------------------Rank-------------

Example 12: Discharge of ballast water to a port-based or reception facility

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
01-JAN-2023 D 1 Start - 0900 hrs (UTC) (hhmm SMT) from "port-based/reception
facility" at the Port of (insert UN/LOCODE)
2 Stop - 1800 hrs SMT (UTC) (hhmm SMT)
3 Discharge
4 1DB(P), 1DB(S), 2TST (P), 2TST (S) and Aft Peak Tank
5 6800 m3. Total retained 0 m3

6 Yes. Discharged to port reception facility.

7 None.

Signed------------------- Name ------------------Rank-------------

Notes for examples 11 and 12:

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.1 The ship taking in ballast water from the port facility which is treated by the
onboard BWMS prior to filling the ballast tanks is to enter item 7 as "Yes,
approved BWMS" in example 11.

.2 The documents concerning the uptake / discharge of ballast water provided

by the port-based or reception facility must be attached to the BWRB and
must be readily available for inspection.
Code E

(E) Accidental discharge/ingress or other exceptional uptake or discharge of

ballast water

.1 Start time and location of ingress/uptake/discharge (port name or

latitude/longitude)

.2 Completion time

.3 Operation carried out (whether ingress, uptake or discharge)

.4 The identity of the tanks affected

.5 Total quantity of ballast water in cubic metres

.6 State the circumstances of ingress, uptake, discharge or loss, the reason

thereof, any treatment method used and general remarks

Example 13: Accidental ingress of ballast water

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
01-JAN-2023 E 1 Start - 0900 hrs (UTC) (hhmm SMT) at (insert port name /
location)
2 Completion - 1800 hrs (UTC) (hhmm SMT)
3 Ingress of water into ballast tank
4 Fore Peak Tank (FPT)
5 450 m3
6 Accidental ingress of water in forepeak ballast tank due to
hull breach as a result of collision
Signed------------------- Name ------------------Rank-------------

Example 14: Accidental discharge of ballast water

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
01-JAN-2023 E 1 Start - 0900 hrs (UTC) (hhmm SMT) at _____ (insert port
name/location)
2 Completion - 1000 hrs (UTC) (hhmm SMT)
3 Discharge of water from ballast tank
4 Fore Peak Tank (FPT)
5 450 m3

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6 Accidental discharge of water in forepeak ballast tank due

to hull breach as a result of collision

Signed------------------- Name ------------------Rank-------------

Example 15: Exceptional uptake of ballast water

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
01-JAN-2023 E 1 Start - 0900 hrs (UTC) (hhmm SMT) at _(insert port name/
location)
2 Completion - 1200 hrs (UTC) (hhmm SMT)
3 Uptake of water into ballast tank
4 Aft Peak tank
5 400 m3
6 Water taken into aft peak ballast tank to adjust trim, following an
oil spill on deck

Signed------------------- Name ------------------Rank-------------

Notes for examples 13, 14 and 15:

.1 Accidental ingress or discharges are occurrences without human initiation.

Water ingress or discharge (escape) due to collision, grounding, structural
failures, valve or machinery failures are to be recorded under code E.

.2 Exceptional uptake or discharge are human initiated procedures undertaken in

exceptional circumstances for the safety of the ship and prevention of pollution.

.3 Intake of shore-supplied untreated water into ballast tanks at a dry dock

facility for the purpose of undocking of a ship should be considered as
exceptional circumstance and entry recorded under code E.
Code F
(F) Failures and inoperabilities of the ballast water management system
.1 Time and location (port name or latitude/longitude) of failure of the ballast
water management system

.2 Operation carried out (state whether uptake or discharge)

.3 Description of the issue (e.g. kind of alarm or other description of

circumstances)

.4 Time and location (port name or latitude/longitude) when the ballast water
management system has been made operational

Example 16: Failures of the ballast water management system that are repaired
immediately

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
01-JAN-2023 F 1 1100 hrs (UTC) (hhmm SMT) at the port of ___________

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2 Uptake
3 Xxxxxx sensor failure and BWMS plant shut down
4 1500 hrs (UTC) (hhmm SMT) at the port of ___________ the
BWMS made operational

Signed------------------- Name ------------------Rank-------------

Example 17: Inoperabilities of the ballast water management system
Date Code Item Record of operations/signature of officer in charge
(letter) (number)
01-JAN-2023 F 1 1100 hrs (UTC) (hhmm SMT) at the Port of (UNLOCODE)
2 Uptake
3 Filter choked and high differential pressure trip due to
muddy water
4 No repair required

Signed------------------- Name ------------------Rank-------------

Notes for examples 16 and 17:

.1 Failures and inoperabilities include malfunctions, shutdowns or critical

alarms indicating a failure of the ballast water management system which
may indicate non-compliance with the D-2 standard (except routine
information and warnings).

.2 In case the BWMS failure is not rectified immediately, the entry using
code F / item 4 is to be made on the date when the BWMS is made
operational.

.3 In the event of failure of the BWMS during ballasting or deballasting, the entry
under code A or code B must be followed up by code F entry as per example 17.

.4 Inoperability of the BWMS due to challenging water conditions is required to

be recorded under code F items 1, 2 and 3 with remark in item 3 clearly
stating the alarms which are triggered owing to challenging water conditions.

Code G

(G) Ballast tank cleaning/flushing, removal and disposal of sediments

.1 Time and ship's location on commencement of ballast tank cleaning/flushing,

removal or disposal of sediments (port name or latitude/longitude)

.2 Time and ship's location on completion of ballast tank cleaning/flushing,

removal or disposal of sediments (port name or latitude/longitude)

.3 Tank(s) identification (name of the ballast tanks as per the Ballast Water
Management Plan)

.4 Discharge or disposal to a reception facility (state quantity in cubic metres

and name of the facility)

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.5 Disposal or discharge to the aquatic environment as per Ballast Water

Management Plan (state quantity in cubic metres, minimum distance from
the nearest land in nm and minimum depth of water in metres)

Example 18: Ballast tank cleaning and discharge of sediments to

reception facility / dry dock

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
01-JAN-2023 G 1 1100 hrs (UTC) (hhmm SMT) at Port of (UN/LOCODE)
2 1500 hrs (UTC) (hhmm SMT) at Port of (UN/LOCODE)
3 1P, 1S, 2P, 2S, 3P and 3S
4 10 m3 sediments disposed to "insert name" reception facility
Signed------------------- Name ------------------Rank-------------

Example 19: Ballast tank cleaning/flushing and disposal of sediments to aquatic

environment (at sea)

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
01-JAN-2023 G 1 1100 hrs (UTC) (hhmm SMT) at Lat xx xx.xx N / Long yyy
yy.yy E
2 1500 hrs (UTC) (hhmm SMT) at Lat xx xx.xx N / Long yyy
yy.yy E
3 3P and 3S
5 100 m3 of tank flushing including sediments discharged to
sea at minimum distance of 350 nm and minimum depth
of 2800 m
Signed------------------- Name ------------------Rank-------------

Notes for examples 18 and 19:

.1 Sediment disposal receipt provided by shore/port reception facility or dry

dock facility must be attached to the BWRB and must be available for
inspections.

.2 In case of flushing of a tank with treated water, operation to be recorded

under code G items 1, 2, 3 and 5 with comments in 5 stating that treated
water was used to flush the tank.

Code H

(H) Additional operational procedures and general remarks

Example 20: Internal tank-to-tank ballast water transfers

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
01-JAN-2023 H 200 m3 of ballast water transferred from 1P and 1S to 2P
and 2S

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Signed------------------- Name ------------------Rank-------------

Example 21: Sampling of ballast water during discharging

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
01-JAN-2023 H Ballast water sample taken during discharge operation at the port
of "UN/LOCODE" by PSC

Signed------------------- Name ------------------Rank-------------

Example 22: Use of ballast water tank for non-ballast water purpose:
taking out of operation

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
01-JAN-2023 H Aft peak ballast tank emptied and isolated from the ballast water
pipe system for use of non-ballast purpose in accordance with
BWMP. Valve # 123 sealed.

Signed------------------- Name ------------------Rank-------------

Example 23: Use of ballast water tank for non ballast water purpose:
taking into operation

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
01-JAN-2023 H Aft Peak ballast tank cleaned / flushed and reconnected to ballast
water system pipeline in accordance with BWMP. Valve # 123
unsealed

Signed------------------- Name ------------------Rank-------------

Example 24: Reporting to flag or port State of a failure of the BWMS

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
01-JAN-2023 H BWMS failure at hhmm (UTC) (hhmm SMT) on dd-MMM-yyyy
informed flag State

Signed------------------- Name ------------------Rank-------------

Note for example 24:

.1 BWMS failures are recorded under code F. In case of reporting to flag or port
State, above entry to be recorded and, if operations subsequently carried out
as per contingency plan or as per advice from port/flag State, same to be
recorded under applicable code/item.

Example 25: Entry pertaining to an earlier missed operational entry

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
xx-MON-yyyy H Entry pertaining to an earlier missed operational entry
(Date 1)

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Signed------------------- Name ------------------Rank-------------

xx-MON-yyyy (record the correct entry here)
(Date 2)
Signed------------------- Name ------------------Rank-------------
Note for example 25:

.1 This entry is to be followed by the entry pertaining to the missed operation.

The date 1 to be entered corresponding to the original date of operation and
subsequent entry date 2 to be the current date.

Example 26: Ship unable to perform ballast water exchange owing to safety reasons,
e.g. bad weather

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
01-JAN-2023 H Ship unable carry out BWE owing to ……… (state reason)
Port of call (Name port / country) informed

Signed------------------- Name ------------------Rank-------------

Note for example 26:

.1 This entry is to be made for safety (bad weather) or operational related issues
(e.g. ship's route does not pass through areas where distance from nearest
land is always more than 50 nm and / or 200 m depth or a designated BWE
area).
Example 27 : Scenarios for making sequential entries in the ballast water record book
Scenario 1: Uptake and discharge of ballast water for a ship subject to regulation D-2

Date Code Item Record of operations/signature of officer in charge

(letter) (number)
01-JAN-2023 A 1 Start - 0900 hrs (UTC)(hhmm SMT) at BE ANR

2 Completion – 1800 hrs (UTC) (hhmm SMT) at BE ANR

3 3P, 3S, 4P and 4S

4 Uptake 6800 m3. Final quantity retained: 7200 m3

5 Yes. Ballasting as per BWMP for D-2 compliance

6 Approved BWMS

Signed------------------- Name ------------------Rank-------------

07-JAN-2023 B 1 Start - 09:00 hrs (UTC) (hhmm SMT) at FR LEH

2 Completion – 1800 hrs (UTC) (hhmm SMT) at FR LEH
3 3P, 3S, 4P and 4S

4 Discharged 6800 m3. Final quantity retained: 400 m3

5 Yes. Deballasting as per BWMP for D-2 compliance

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6 Approved BWMS

Signed------------------- Name ------------------Rank-------------

Scenario 2: Uptake, exchange and discharge of ballast water for a ship

subject to regulation D-1
Date Code Item Record of operations/signature of officer in charge
(letter) (number)
01-JAN-2023 A 1 Start - 0900 hrs (UTC) (hhmm SMT) at BE ANR

2 Completion – 1800 hrs (UTC) (hhmm SMT) at BE ANR

3 3P, 3S, 4P and 4S

4 Uptake 6800 m3. Final quantity retained: 7200 m3

5 Yes. Ballasting as per BWMP for D-1 compliance

6 None

Signed------------------- Name ------------------Rank-------------

03-JAN-2023 C 1.1 Start – 0900 hrs (UTC) (hhmm SMT) at Lat / Long

1.2 Completion –1800 hr (UTC) (hhmm SMT) at Lat / Long

1.3 Minimum distance 840 nm and minimum depth 6500 metres

1.4 Yes. Sequential method as approved in the BWMP

1.5 3P, 3S, 4P and 4S

1.6 Exchanged 7200 m3. Final quantity retained 7200 m3.

1.7 None

Signed------------------- Name ------------------Rank-------------

07-JAN-2023 B 1 Start – 09:00 hrs (UTC) (hhmm SMT) at FR LEH

2 Completion – 1800 hrs (UTC) (hhmm SMT) at FR LEH

3 3P, 3S, 4P and 4S

4 Discharged 6800 m3. Final quantity retained: 400 m3

5 Yes. Deballasting as per BWMP for D-1 compliance

6 None

Signed------------------- Name ------------------Rank-------------

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APPENDIX 2

EXAMPLE BALLAST WATER REPORTING FORM

Date of submission (dd/MMM/yyyy): ________________ Time of submission (24:00 UTC): __________________ Report type: □ New □ Amended

1. SHIP INFORMATION 2. VOYAGE INFORMATION 3. BALLAST WATER USAGE AND CAPACITY

Ship Arrival port UN/LOCODE (or port, State/province and
Flag:
name: country):
IMO MMSI
Arrival date (dd/MMM/yyyy): Total ballast water on board:
Number: Number:
Distinctive Numbers/Letters No. of tanks in No. of holds in
Agent: Volume Units
or Call Sign: ballast ballast
Last port UN/LOCODE (or port, State/province and
Owner: m3
country):
ISM Company Next port UN/LOCODE (or port, State/province and
Total ballast water capacity:
name and number: country):
Next port (2) UN/LOCODE (or port, State/province and Total no. of Total no. of
Type: GT: Volume Units
country): ballast tanks holds
Date of construction (dd/MMM/yyyy): Next port (3) UN/LOCODE (or port, State/province and
m3
country):

4. BALLAST WATER MANAGEMENT

The principal ballast water management method(s) employed on this ship is/are:
□ in accordance with regulation D-1 □ in accordance with regulation D-2 (describe): _____________________________________________________
□ subject to regulation D-4 □ other approach in accordance with regulation (describe): _______________________________________
Total no. of ballast water tanks/holds to be discharged: ____
Of tanks/holds to be discharged, how many were managed in accordance with: Regulation D-1 ____ Regulation D-2 ____ Both regulations D-1 and D-2 ____
other method ____ (describe and state reason) ________________________________________________________ not managed ____
If any tanks/holds not managed, state reason(s) why not: ______________________________________________________________________________
BWMS used, if any: Manufacturer: ___________ Model: ________ Fully operational? □ Yes □ No Last bypass date (dd/MMM/yyyy): _____________
Approved Ballast Water Management Plan on board? □ Yes □ No Ballast Water Management Plan implemented? □ Yes □ No
Contingency measure(s) included in the Ballast Water Management Plan? □ None □ D-1 □ Other (describe): __________________________
Contingency measure(s) deployed? □ Yes □ No Interface available on ship for coupling to ballast water reception facility? □ Yes □ No
Ballast Water Record Book on board? □ Yes □ No
Does ship carry an International Ballast Water Management Certificate: □ Yes □ No □ Authority that issued Certificate: _________________
Date of issue (dd/MMM/yyyy): ______________ Expiry date (dd/MMM/yyyy): _______________ Place of issue: _________________________
Last survey/endorsement date (dd/MMM/yyyy): __________________ Surveying authority: ________________________________________

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5. BALLAST WATER HISTORY: In the appendix, RECORD ALL TANKS/HOLDS that may contain water taken on board to control trim, list, draught,
stability or stresses of the ship, regardless of ballast water discharge intentions, including empty tanks/holds. Note: BW sources are the last BW
uptakes prior to any ballast water management practices.

6. RESPONSIBLE OFFICER'S NAME AND TITLE: _____________________ Email: ________________ Phone number: _____________

APPENDIX: BALLAST WATER HISTORY

Ship name: IMO Number (if not applicable, Distinctive Numbers / Letters, Call Sign or MMSI): Arrival date (dd/MMM/yyyy):

Tanks/Holds Tank BW sources Current BW MANAGEMENT PRACTICES PROPOSED BW DISCHARGE

List multiple capacity volume
sources/ 3
(m ) Date UN/LOCODE (m3) Date Start point* End point* Min. depth* Volume used* % Method(s) Date UN/LOCODE Volume
tanks (dd/MMM/ or Lat. Long (dd/MMM/yyyy) Lat./Long. Lat./Long. (m) (m3) Exchange* (DE, SE, FE, SWF, (dd/MMM/yyyy) or Lat./Long. (m3)
separately yyyy) OT, PBU, PRF, NM)

Ballast water tank codes: Forepeak = FP, Aftpeak = AP, Double bottom = DB, Wing = WT, Topside = TS, Cargo hold = CH, Other = O.
Enter positions in degrees, minutes and seconds in the format: 00 00 000 N or 00 00 000 S (latitude) and 000 00 000 W or 000 00 000 E (longitude).
Methods: DE = Dilution exchange, SE = Sequential exchange, FE = Flow-through exchange, SWF = Saltwater flushing, OT = Onboard treatment, PBU = Uptake from port-based facility, PRF = Discharge to port
reception facility, NM = No management
Complete columns with (*) only if exchange or flushing was conducted.

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APPENDIX 3

EXAMPLE TANK-BY-TANK LOG FORM

Ballast Water Log

Ship name: This voluntary log allows for tank-by-tank recording of all Tank ID:
IMO
operations concerning ballast water in order to facilitate the
Number: completion of the ballast water report form that may be
(if not requested by port States. Further information on completing
applicable, this log is available in the Guidance on ballast water
Distinctive record-keeping and reporting of the International Maritime Tank capacity:
Numbers / Organization.
Letters,
Call Sign or
MMSI):
Record of operations
Volume (m3)
Any BW
Location / Estimated
Estimated managem
Date Position Minimum Estimate intake Estimated Time
Estimated discharge ent
(dd/MMM/y (Port Time depth in d uptake from circulated comple
discharge d to port method(s) Remark
yyy) UN/LOCOD started metres (if Initial from sea, reception or treated, Final ted
d into sea, reception (DE, SE, s
E or (UTC) outside content where facility, where content (UTC)
where facility, FE, SWF,
Lat./Long. port)* applicabl where applicable
applicable where OT, PBU,
at sea) e applicabl *
applicable PRF, NM)
e

Enter positions in degrees, minutes and seconds in the format: 00 00 000 N or 00 00 000 S (latitude) and 000 00 000 W or 000 00 000 E
(longitude).
Methods: DE = Dilution exchange, SE = Sequential exchange, FE = Flow-through exchange, SWF = Saltwater flushing, OT = Onboard
treatment, PBU = Uptake from port-based facility, PRF = Discharge to port reception facility, NM = No management
Complete columns with (*) only if exchange or flushing was conducted.

___________

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