The Merchant Shipping (Control and Management of Ships’ Ballast Water and Sediments) Regulations 2022

• (2) Where such proceedings have been instituted but not concluded, they must be suspended upon the request of the foreign State in question and the Secretary of State must send all the evidence, court records and documents relating to the case, together with any sum paid or security given, to the foreign State.

• (3) In this regulation “exclusive economic zone” in relation to a foreign State, means the area beyond and adjacent to the territorial sea of that State, but not extending beyond 200 nautical miles from the baselines from which the breadth of the territorial sea is measured.

Suspension of proceedings at flag State request

47

• (1) This regulation applies to proceedings instituted but not concluded in the United Kingdom for an offence under regulation 44(1)(a) (offences) alleged to have been committed outside United Kingdom waters in relation to a ship which is not a United Kingdom ship.

• (2) Subject to paragraph (3), any proceedings must be suspended if the court is satisfied that the ship’s flag State has instituted proceedings corresponding to the proceedings in paragraph (1) within six months of the institution of the proceedings in the United Kingdom.

• (3) Paragraph (2) does not apply—

• (a) where the offence resulted in serious pollution of the United Kingdom; or

• (b) if the Secretary of State certifies that the ship’s flag State has repeatedly disregarded its obligations to enforce effectively the requirements of the Convention in respect of its ships.

• (4) Where proceedings instituted by the ship’s flag State have been brought to a conclusion, the suspended proceedings must be terminated.

Service of documents on foreign companies

48

Section 143(6) of the 1995 Act[^f00018] (service of documents on foreign companies required or authorised by any statutory provision in connection with proceedings for an offence under section 131 of the 1995 Act) applies to proceedings for an offence under these Regulations as it applies to proceedings for an offence under section 131 (discharge of oil from ships into certain United Kingdom waters) of the 1995 Act, as if—

• (a) the reference to section 131 were to these Regulations;

• (b) in the case of an offence in respect of a ship other than a floating platform, the reference to the owner were to the owner, manager or demise charterer; and

• (c) in the case of any offence in respect of a floating platform, the reference to—

• (i) the owner of the ship were to the owner of the platform; and

• (ii) the master of the ship were to the manager of the platform.

Enforcement and application of fines

49

Section 146 of the 1995 Act (enforcement and application of fines) applies to any fine for an offence under regulation 44(1)(a) (offences) as if—

• (a) in subsection (1) of that section the reference to proceedings against the owner or master of a ship for an offence under Chapter 2 were a reference to proceedings against the owner, manager, demise charterer or master for an offence under regulation 44(1)(a) (offences); and

• (b) in subsection (2) of that section, the reference to an offence under section 131 (discharge of oil from ships into certain United Kingdom waters) were a reference to an offence under regulation 44(1)(a) (offences).

PART 8 — Amendment

Amendment to the Merchant Shipping (Fees) Regulations 2018

50

In the Table in paragraph 5 of Part 1 of Schedule 1 (fees under the Merchant Shipping Act 1995) to the Merchant Shipping (Fees) Regulations 2018[^f00019] after the entry under heading J (prevention and control of pollution) relating to the Merchant Shipping (Prevention of Pollution from Noxious Liquid Substances in Bulk) Regulations 2018[^f00020], insert—

PART 9 — Review

Review

51

• (1) The Secretary of State must from time to time—

• (a) carry out a review of the regulatory provision contained in these Regulations; and

• (b) publish a report setting out the conclusions of the review.

• (2) The first report must be published before 29th July 2027.

• (3) Subsequent reports must be published at intervals not exceeding 5 years.

• (4) Section 30(3) of the Small Business, Enterprise and Employment Act 2015[^f00021] requires that a review carried out under this regulation must, so far as is reasonable, have regard to how the obligations under the Convention are implemented in other countries which are subject to the obligations.

• (5) Section 30(4) of the Small Business, Enterprise and Employment Act 2015 requires that a report published under this regulation must, in particular—

• (a) set out the objectives intended to be achieved by the regulatory provision referred to in paragraph (1)(a);

• (b) assess the extent to which those objectives are achieved;

• (c) assess whether those objectives remain appropriate; and

• (d) if those objectives remain appropriate, assess the extent to which they could be achieved in another way which involves less onerous regulatory provision.

• (6) In this regulation, “regulatory provision” has the same meaning as in sections 28 to 32 of the Small Business, Enterprise and Employment Act 2015 (see section 32 of that Act).

Signed

Signed by authority of the Secretary of State for Transport

Robert Courts — Parliamentary Under Secretary of State — Department for Transport — 3rd July 2022

We consent to the making of these Regulations

Michael Tomlinson — Gareth Johnson — Two of the Lords Commissioners of Her Majesty’s Treasury — 30th June 2022

Explanatory note

(This note is not part of the Regulations)

EXPLANATORY NOTE

These Regulations implement the International Convention for the Control and Management of Ships’ Ballast Water and Sediments, 2004 (“the Convention”). The Convention was adopted on 13th February 2004 and came into force internationally on 8th September 2017. The United Kingdom acceded to the Convention on 26th May 2022. These Regulations implement all amendments to the Convention as at the date of this statutory instrument.

The Regulations apply to United Kingdom ships wherever they may be and any other ship whilst it is operating in United Kingdom waters or controlled waters (regulation 4). The Regulations are disapplied in relation to certain ships including those which are not designed or constructed to carry ballast water, ships which operate only in waters under the jurisdiction of a single Contracting State or only in waters under the jurisdiction of a single Contracting State and on the high seas and ships which carry permanent ballast water in sealed tanks not subject to discharge.

Part 2 imposes a prohibition on discharging any ballast water or sediments from a ship unless they are subject to ballast water management (regulation 5). There are a number of exceptions (regulation 6) and the Secretary of State may grant exemptions (regulation 7) and, for certain ships, approve equivalents (regulation 8).

Part 3 requires ships to have an approved ballast water management plan (regulation 9) and to carry a ballast water record book to record operations concerning ballast water (regulation 10). Regulation 11 imposes requirements on where ballast water exchange may take place and regulation 12 sets the standard for the exchange of ballast water. Regulation 13 sets the standard for the treatment of ballast water and sediments.

Part 4 requires the owner and operator of a shipyard within a harbour to provide sediment reception facilities (regulation 14).

Part 5 of the Regulations contains a power to designate nominated bodies to carry out type approval of ballast water management systems (regulation 15). Regulation 16 imposes a requirement on United Kingdom ships to have a valid BWMS (ballast water management system) Type Approval Certificate when the BWMS is installed. The procedure for applying for type approval is contained in regulation 17, whilst the requirements that must be fulfilled for type approval to be granted are in regulation 18. Regulation 19 enables nominated bodies to suspend or withdraw type approval in certain circumstances. Part 5 also makes provision for the Secretary of State to prohibit the use of systems which use active substances and the substances themselves (regulation 20). Regulation 21 allows the Secretary of State to approve the testing of prototype ballast water management systems.

Part 6 of the Regulations provides that a UK ship must not proceed to sea or, if it is already at sea, remain at sea without a valid IBWM Certificate (International Ballast Water Management Certificate) (regulation 23). There is a similar requirement for non-UK ships (regulation 24). United Kingdom ships must be subjected to various surveys (regulation 25) and if they satisfy the requirements of these surveys then a Certifying Authority must issue them with an IBWM Certificate or endorse an existing IBWM Certificate (regulations 26 and 27). Part 6 also provides that an additional survey will be required following a change, replacement or significant repair (regulation 32) and that the ship must be maintained to conform with the provisions of the Regulations following a survey (regulation 31).

Part 7 of the Regulations makes provision in relation to the powers of inspection and detention of ships, and in relation to offences and penalties.

Part 8 amends the Merchant Shipping (Fees) Regulations 2018 (S.I. 2018/1104) to allow fees to be charged for various functions carried out by the Maritime and Coastguard Agency (“MCA”) under these Regulations.

The Secretary of State must review the operation and effect of these Regulations and publish a report within five years after they come into force and within every five years thereafter (regulation 51). Following such a review it will fall to the Secretary of State to consider whether the Regulations should remain as they are, or be revoked or amended. A further instrument would be needed to revoke the Regulations or to amend them.

Merchant Shipping Notices are published by the MCA and a copy of MSN 1908 (M+F) can be obtained free of charge at www.gov.uk or in hard copy from the MCA of Spring Place, 105 Commercial Road, Southampton SO15 1EG.

Guidance supporting these Regulations has been published in a Marine Guidance Note (MGN 675 (M+F)). Copies can be obtained free of charge at www.gov.uk or in hard copy from the address given above.

The Convention can be obtained from the International Maritime Organization (“the IMO”) at IMO Publishing, 4 Albert Embankment, London SE1 7SR, www.imo.org/publications; email: sales@imo.org; telephone: 0207 735 7611. The text of IMO Regulations can be obtained in hard copy from the IMO Library at the same address as IMO Publishing.

A full impact assessment of the effect that this instrument will have on the costs of business, the voluntary sector and the public sector is published with the Explanatory Memorandum alongside this instrument on www.legislation.gov.uk.

Footnotes

[^f00001]: S.I. 2022/629.

[^f00002]: S.I. 1996/282, amended by the Marine and Coastal Access Act 2009 (c. 23), Schedule 4(1), paragraphs 3(1) to (4). There are other amendments to this Order but none is relevant.

[^f00003]: 1995 c. 21; there are amendments to section 128 which are not relevant to these Regulations.

[^f00004]: The consent of the Treasury is required to make these Regulations under section 302(1) of the Merchant Shipping Act 1995 (c. 21).

[^f00006]: S.I. 2014/3306.

[^f00007]: This Convention (the “UNCLOS” Convention) was originally published in Cmnd. 8941, and subsequently in Cm. 4524. A hard copy of Cm. 4524 is available for inspection free of charge but by appointment at the Parliamentary Archives, Houses of Parliament, London, SW1A 0PW (catalogue number: HL/PO/JO/10/11/3186/287). An electronic copy of Cm. 4524 can be found at https://treaties.fco.gov.uk/awweb/pdfopener?md=1&did=69421. A copy of the UNCLOS Convention can be obtained from the United Nations (email doalos@un.org), and at www.un.org/Depts/los/convention_agreements/texts/unclos/unclos_e.pdf.

[^f00008]: CP 557. This Convention was adopted on 13th February 2004 by the International Conference on Ballast Water Management for Ships, 2004, convened by the International Maritime Organization. It entered into force on 8th September 2017 and has been amended by IMO Resolutions MEPC.296(72), MEPC.297(72), MEPC.299(72), and MEPC.325(75). The Convention (ISBN 978-92-801-60963) is available from IMO Publishing, 4 Albert Embankment, London SE1 7SR, www.imo.org/publications; email: sales@imo.org; telephone: 0207 735 7611. IMO Resolutions are available from the IMO Library, also of 4 Albert Embankment, London SE1 7SR.

[^f00009]: The IMO is a special agency of the United Nations responsible for shipping safety and security, and the prevention of pollution.

[^f00010]: S.I. 2018/1104, to which there are amendments not relevant to these Regulations.

[^f00011]: The definition of “short voyage” derives from IMO Resolution A.1104(29). Resolutions of the IMO can be obtained from the IMO Library at 4 Albert Embankment, London SE1 7SR and www.imo.org/en/MediaCentre/Pages/Default.aspx; email: media@imo.org; telephone: 020 7587 3134. They will also be made available via the Foreign and Commonwealth Office treaties database (https://treaties.fco.gov.uk/responsive/app/consolidatedSearch/#home).

[^f00012]: The process for requesting this advice from the Secretary of State can be found in Marine Guidance Note MGN 675 (M+F). Copies of MGN 675 (M+F) can be obtained free of charge at www.gov.uk or in hard copy from the Maritime and Coastguard Agency of Spring Place, 105 Commercial Road, Southampton SO15 1EG.

[^f00013]: Merchant Shipping Notices are published by the Maritime and Coastguard Agency (“MCA”). Copies of MSN M.1613 can be obtained free of charge at www.gov.uk or in hard copy from the MCA of Spring Place, 105 Commercial Road, Southampton SO15 1EG.

[^f00014]: This Convention (“STCW”) was originally published in Cmnd. 7543 and subsequently in Cmnd. 9266. An electronic copy of Cmnd. 9266 can be found at https://treaties.fco.gov.uk/awweb/pdfopener?md=1&did=68238. The Annex to STCW was replaced in full in 2010 following a conference of the parties to STCW held in Manila, The Philippines. STCW has since been amended by IMO Resolutions MSC.396(95) and MSC.416(97). STCW is available from IMO Publishing, 4 Albert Embankment, London SE1 7SR; www.imo.org/publications; email: sales@imo.org; telephone: 0207 735 7611. IMO Resolutions are available from the IMO Library, also of 4 Albert Embankment, London SE1 7SR. A hard copy of Cmnd. 9266 is available for inspection free of charge but by appointment at the Parliamentary Archives, Houses of Parliament, London, SW1A 0PW (catalogue number: HL/PO/JO/10/11/2230/2631).

[^f00015]: Section 258 is amended by the Merchant Shipping and Maritime Security Act 1997 (c. 28), Schedule 1, paragraph 4, and Schedule 7, Part 1, and the Protection of Freedoms Act 2012 (c. 9), Schedule 2, Part 1 paragraph 2 and Schedule 10, Part 2.

[^f00016]: Section 284 was amended by the Merchant Shipping and Maritime Security Act 1997 (c. 28), Schedule 1, paragraph 5, and S.I. 2015/664, Schedule 4, Part 1, paragraph 27(1) and (15).

[^f00017]: S.I. 2011/2601, to which there are amendments not relevant to these Regulations.

[^f00018]: Section 143(6) is amended by S.I. 2009/1941, Schedule 1, paragraph 152(1) and (2).

[^f00019]: ()S.I. 2018/1104, to which there are amendments not relevant to these Regulations.

[^f00020]: ()S.I. 2018/68.

[^f00021]: 2015 c. 26. Section 30(3) was amended by section 19 of the Enterprise Act 2016 (c. 12) and Schedule 8, Part 2, paragraph 36 to the European Union (Withdrawal) Act 2018 (c. 16).

Editorial notes

[^key-f0870e80be0dc69f80727125be725ddf]: Reg. 1 in force at 29.7.2022, see reg. 1(1)

[^key-2b495db03b998c61873ef2601d7f99f1]: Reg. 2 in force at 29.7.2022, see reg. 1(1)

[^key-6427ce079c98b98425abd9c6ec65a279]: Reg. 3 in force at 29.7.2022, see reg. 1(1)

[^key-29d8276a1af79a474492b12301336f72]: Reg. 4 in force at 29.7.2022, see reg. 1(1)

[^key-1f932e1d25fb6e416245dc63493f36f4]: Reg. 5 in force at 29.7.2022, see reg. 1(1)

[^key-a6502b1b83ddfa85315968cfd6367a09]: Reg. 6 in force at 29.7.2022, see reg. 1(1)

[^key-159b53c1df96ef54e59523d169b956d5]: Reg. 7 in force at 29.7.2022, see reg. 1(1)

[^key-12374fe2615370351217a41bc173cd92]: Reg. 8 in force at 29.7.2022, see reg. 1(1)

[^key-12636134f4c017a4c59bfda83980de1b]: Reg. 9 in force at 29.7.2022, see reg. 1(1)

[^key-c936f2302ccf0fe920b32378165a723e]: Reg. 10 in force at 29.7.2022, see reg. 1(1)

[^key-9916023839d185e7c54e986b10a17aa7]: Reg. 11 in force at 29.7.2022, see reg. 1(1)

[^key-d21b5a04fb069c28c2aa3fa26a424a55]: Reg. 12 in force at 29.7.2022, see reg. 1(1)

[^key-2b9022aea16b1f8f5690cc06ae1bff9a]: Reg. 13 in force at 29.7.2022, see reg. 1(1)

[^key-836e0b9b39fdc6f73f57851873a6ea17]: Reg. 14 in force at 29.7.2022, see reg. 1(1)

[^key-1c1f6163f931f488f77438862dc2c093]: Reg. 16 in force at 29.7.2022, see reg. 1(1)

[^key-1ae16a672ba75d90422ded5b12b14e02]: Reg. 20 in force at 29.7.2022, see reg. 1(1)

[^key-5284e63c39c5ac6a1085bf7b90905255]: Reg. 21 in force at 29.7.2022, see reg. 1(1)

[^key-c060338e0ca48b2f04209198fb62a598]: Reg. 22 in force at 29.7.2022, see reg. 1(1)

[^key-d2a8e0a33f494ff7b5126b4415a0682f]: Reg. 23 in force at 29.7.2022, see reg. 1(1)

[^key-6affd520d2cd2f3f1b35572d00541a99]: Reg. 24 in force at 29.7.2022, see reg. 1(1)

[^key-49ef9982123a43aaee8c137f648cc3bd]: Reg. 25 in force at 29.7.2022, see reg. 1(1)

[^key-a99cabe3a4a095e453d71e44e1a23c8b]: Reg. 26 in force at 29.7.2022, see reg. 1(1)

[^key-1eaca80da863393bb7d756386a2f66de]: Reg. 27 in force at 29.7.2022, see reg. 1(1)

[^key-eb6473971b2f32b89f2f5d67b1fc9d7f]: Reg. 28 in force at 29.7.2022, see reg. 1(1)

[^key-c3a75fca65d8b29fa5832bdecfd9c8bc]: Reg. 29 in force at 29.7.2022, see reg. 1(1)

[^key-3f0db6b762ad89926807b1734416081a]: Reg. 30 in force at 29.7.2022, see reg. 1(1)

[^key-c9441a3e40fa14f2fde2a486b8893584]: Reg. 31 in force at 29.7.2022, see reg. 1(1)

[^key-76703ed1d03074d52a84bd38e4caf964]: Reg. 32 in force at 29.7.2022, see reg. 1(1)

[^key-d7fea68fac8d51486c80cdfd8b9f222e]: Reg. 33 in force at 29.7.2022, see reg. 1(1)

[^key-a18b7ec26e4656c1d44dd66a8a5ba100]: Reg. 34 in force at 29.7.2022, see reg. 1(1)

[^key-c86369e31c08759649e089284c88c3c7]: Reg. 35 in force at 29.7.2022, see reg. 1(1)

[^key-168024347e93c4af40a83e2330f3d254]: Reg. 36 in force at 29.7.2022, see reg. 1(1)

[^key-478898ae949594e95b0e0672fdcf40f8]: Reg. 37 in force at 29.7.2022, see reg. 1(1)

[^key-430e6448f23f116b578738f25b00e731]: Reg. 38 in force at 29.7.2022, see reg. 1(1)

[^key-b5d607478406843f0a959830cdc829c4]: Reg. 39 in force at 29.7.2022, see reg. 1(1)

[^key-25938a63550702f0ccaaad9386400d27]: Reg. 40 in force at 29.7.2022, see reg. 1(1)

[^key-f807330e1a519f252a10a43456a1dc95]: Reg. 41 in force at 29.7.2022, see reg. 1(1)

[^key-1db61d5855e0a03425b04b178bcc888c]: Reg. 42 in force at 29.7.2022, see reg. 1(1)

[^key-bc244e10e9db62667a9cc3f30236e0f2]: Reg. 43 in force at 29.7.2022, see reg. 1(1)

[^key-0f5251fdd875959e3cca0c96d7ca9b2f]: Reg. 44 in force at 29.7.2022, see reg. 1(1)

[^key-73837bce9b987010fe4b8b6430178afe]: Reg. 45 in force at 29.7.2022, see reg. 1(1)

[^key-bf27539fc5bb586b6a4dc855d4d88a43]: Reg. 46 in force at 29.7.2022, see reg. 1(1)

[^key-0dcfc440a2bc5323a83e674f310403fb]: Reg. 47 in force at 29.7.2022, see reg. 1(1)

[^key-b8cf877b0ce8adeaf49062ced68642fa]: Reg. 48 in force at 29.7.2022, see reg. 1(1)

[^key-237aa01b064ed117a9141c0642f56207]: Reg. 49 in force at 29.7.2022, see reg. 1(1)

[^key-b633c8d4ae5834b90a505a7bf9540240]: Reg. 50 in force at 29.7.2022, see reg. 1(1)

[^key-e8c7b2db9c22b601988c91157ac1d7eb]: Reg. 51 in force at 29.7.2022, see reg. 1(1)

[^key-ea0998700d5c3665e1b7f7577cad560f]: Words in reg. 2 omitted (5.1.2026) by virtue of The Merchant Shipping (Marine Equipment) Regulations 2025 (S.I. 2025/1280), reg. 1(1), Sch. 1 para. 18(2) (with reg. 3)

[^key-8b35c01770abc2b5ce5271c064eaea5d]: Reg. 15 omitted (5.1.2026) by virtue of The Merchant Shipping (Marine Equipment) Regulations 2025 (S.I. 2025/1280), reg. 1(1), Sch. 1 para. 18(4) (with reg. 3)

[^key-7cad5d4f2407ff895fd6a1b3085b8fad]: Reg. 17 omitted (5.1.2026) by virtue of The Merchant Shipping (Marine Equipment) Regulations 2025 (S.I. 2025/1280), reg. 1(1), Sch. 1 para. 18(4) (with reg. 3)

[^key-479814bb83fea637c26b26b902830ea4]: Reg. 18 omitted (5.1.2026) by virtue of The Merchant Shipping (Marine Equipment) Regulations 2025 (S.I. 2025/1280), reg. 1(1), Sch. 1 para. 18(4) (with reg. 3)

[^key-64ce815e1e0d7c56f102a52b547c1195]: Reg. 19 omitted (5.1.2026) by virtue of The Merchant Shipping (Marine Equipment) Regulations 2025 (S.I. 2025/1280), reg. 1(1), Sch. 1 para. 18(4) (with reg. 3)

[^key-b5c5da950c4c1633fc0d195ed0747905]: Words in reg. 16(1) substituted (5.1.2026) by The Merchant Shipping (Marine Equipment) Regulations 2025 (S.I. 2025/1280), reg. 1(1), Sch. 1 para. 18(3)(a) (with reg. 3)

[^key-db5644ac5ddc09d0c8f93b0a4c89d32d]: Words in reg. 16(2) substituted (5.1.2026) by The Merchant Shipping (Marine Equipment) Regulations 2025 (S.I. 2025/1280), reg. 1(1), Sch. 1 para. 18(3)(b) (with reg. 3)