IMSML Website Article 04/2025: Resolution MEPC.372(80) - Guidelines for the Use of Electronic Record Books under the BWM Convention
Resolution MEPC.372(80) was the means by which the Marine Environment Protection Committee (MEPC) at its 80th Session, adopted the 2023 Guidelines for the use of electronic record books under the BWM Convention. Resolution MEPC.372(80) is the fourth subject-matter in Appendix 1 of Malaysian Shipping Notice (MSN) 14/2023.
The record books of ballast water operations are a key tool in the monitoring of such ship operations in industry. Resolution MEPC.372(80) enables Regulation B-2 of the BWM Convention which provides for the use of electronic record books. The Guidelines are contained in the ANNEX, see Annex 6, p2.
Section 1 - INTRODUCTION
The record book is a ‘key element’ of the BWM Convention, see Section 1.1. The format of the recoding is contained in Appendix II of the BWM Convention, see Section 1.2.
How does this help shipping companies? The electronic format is now popular and it aids companies do the following efficiently (see Section 1.3):
[1] A focused way to operate in an environmentally responsible manner;
[2] Reduce the heavy burden associated with paperwork through operational logs in an electronic format.
Record keeping in electronic form can be a mean of standardising information to ensure BWM Convention obligations are met in a consistent systematic manner, see Section 1.4.
Section 2 - APPLICATION
This electronic record keeping is confined to meeting only the obligations of the BWM Convention, ie it does not extend to record keeping under other Conventions, see Section 2.1. Electronic record-keeping is an alternative means of record keeping to the hard copy version of the record book and contributes to a reduction of paper use, see Section 2.2.
What are limitations to the application of the Guidelines? The Guidelines do not provide information on the management of electronic access electronic versions of (see Section 2.3):
[1] Certificates;
[2] Other documents that do not log the continuous operations of a ship.
Do the Guidelines address the exchange of information from a ship to a company headquarters or other body? No, the exchange is not a requirement of record books under the BWM Convention, see Section 2.4.
Section 3 - DEFINITIONS
The Section provides ‘Definitions’ for terms ranging from ‘Administration’ (see Section 3.1) to ‘Digital signature’ (see Section 3.10), ‘Document’ (see Section 3.11) to ‘Key’ (see Section 3.20), ‘Private Key’ (see Section 3.21) to ‘Storage (device)’ (see Section 3.27).
The centre piece of the Guidelines, is the definition for ‘Electronic record book’ (see Section 3.12). It is defined as a device or system used to electronically record the entries for discharges, transfers and their operations as required under the BWM Convention.
Section 4 - SYSTEM SPECIFICATION
Section 4.1 - Ability of the electronic book to meet regulations under the BWM Convention
Could a partial entry be saved for verification by the master? No, only a complete entry under the allowed under the approved system which specifies the recording of a range of information for specific circumstances, see Section 4.1.2.
Where possible, should technology which can automatically input required data be installed? Yes, to ensure accuracy. Manual input should only be used in case of equipment failure. In this case, the change in data source should be documented, see Section 4.1.2.
How automatic data value inputs be protected? By measures aimed at preventing attempts at manipulation or falsification. Any attempts to manipulate or falsify data should be automatically recorded, see Section 4.1.2.
How is consistency of data recording such as dates and positions is achieved? The entry fields and data formats should be as consistent as possible with other electronic reporting required by IMO and other shipboard systems, for example, in the form specified in the BWM Convention. This will enable a smooth transition from hard copy record books to electronic ones, see Section 4.1.3.
Should the electronic record have the capability to retain all records for a minimum period of time? Yes, this is specified in the BWM Convention, and aids in the compliance of Convention obligations, see Section 4.1.4.
Section 4.2 - Updates to the electronic record book
Why should all approved electronic record books have to be reviewed? The BWM continues to evolve and the electronic record should be updated to ensure relevant BWM Convention amendments are incorporated, see Section 4.2.
Should updates cause loss of existing records, or make them unreadable? No, the system should continue to present all records in the form specified by the BWM Convention, see Section 4.2. Note, that any update to the system should be completed before relevant entry into force of BWM Convention amendments.
Section 4.3 - Security and accountability of the electronic record book
Why is it critical that the system implements a role-based access control? To ensure the security of an electronic record book, for example by using a unique personal login identifier and password for each user. This level of security makes the person accountable for any false entries or omissions, see Section 4.3.1.
Why is the signature of a relevant officer entering the record required by the BWM Convention? To enable implementation of audit logging, which records a user code, identifying symbol (eg a graphic character, or an equivalent identifier) to uniquely identify the user (regardless of whether the user provided, accessed or amended an entry), see Section 4.3.2.
What are the applicable authentication standards for electronic signatures? Those adopted by IMO, see Section 4.3.3.
How should records and entries be protected? By measures aimed at preventing and detecting attempts at unauthorised deletion, destruction or amendment, see Section 4.3.4
What should happened after an entry is saved by the user? The system should secure the information against unauthorised or untraceable changes, see Section 4.3.4.
What happens when any change(s) to the entry is made by the same (or different user)? This should be automatically recorded and made visible both in the system and in any output presentation, or printed versions of the electronic book, see Section 4.3.4.
How should transparency of the system be achieved? Section 4.3.4 envisages two methods:
[1] The entry should appear in the list of entries in a format that makes it clear that the entry has been amended;
[2] The system should be designed to retain both the original entry and the amendment(s).
What should be done if an entry requires amendment? Section 4.3.5 recommends that the following be recorded for verification by the master:
[1] The reason for the amendment;
[2] The officer making the amendment.
Note, the original entries and all amendments should be retained and be made visible.
What should be done for verification of information that is in the record book? Section 4.3.6 identifies two things:
[1] If there is a single or series of saved entires by the master, for verification the electronic record book should have an additional authentication factor to allow verification;
[2] The authentication factor should be in the form of additional credentials supplied by the master at the time of verification.
Should the electronic record book also be able to log and identify entires made or amended or verified by time? Yes, this will help in where actions requiring an entry are undertaken over days or weeks and all entered at one time. The BWM Convention (eg Regulation B-2.5) requires each operation to be fully recorded without delay in the Ballast Water Record Book, see Section 4.3.7.
What should be done when there are different stages of data entry and approval processes? The electronic record book should provide a status field for each entry that clearly determines the verification stage of the entry (eg such as ‘pending’ or ‘awaiting verification). Only when the master has verified an entry, should the term ‘verified’ be automatically reflected in the system, see Section 4.3.8.
What happens when an entry is amended after the master has verified it? The electronic record book should automatically return to ‘pending’ or ‘re-verification’, and the master should be notified that the entry needs re-verification, see Section 4.3.9.
How should the entries be verified in a timely manner? The system should provide a reminder that verification by the master is required. It is recommended that verifications should occur weekly prior to prior to arrival in-port (as appropriate), see Section 4.3.10.
How should entries that are not verified be treated? These should be labelled with comments advising of the reasons for non-verification, see Section 4.3.10.
Section 4.4 - Storage of data recorded in the electronic record book
How could the same level of confidence be created for any electronic record book be created to rival that of a hard copy record book? Make the electronic record book a part of the Information Technology Continuity Plan, by implementing the following (see Section 4.4.1):
[1] Appropriate method for backing up data and data recovery (ie if the systems fail or not be available from the ship’s network);
[2] Alternate power supplies to ensure consistent access to the system;
[3] Allow ongoing entries to be made and facilitate Port State Control (PSC) inspections.
How often should automatic backup of the data in the electronic record book be made? Automatically every time changes are made to the entires to ensure that the backing up process is not forgotten by the user, see Section 4.4.2.
How should storage of recorded data be handled in offline space? Section 4.4.3 recommends the following:
[1] Use cryptography to prevent unauthorised access to information (see Section 4.4.3.1);
[2] Store saved data in read-only format with any amendments prohibited (unless by a user with the appropriate level of authorisation) (see Section 4.4.3.1);
[3] Use a format that can be transferred from the point of record to another storage location, eg removable storage or remote networked storage (see Section 4.4.3.2);
[4] Maintained in a format that ensures longevity and integrity of the record (see Section 4.4.3.3);
[5] In a format that allows output presentation and printing of the record (see Section 4.4.3.4).
What format should the offline record be kept in? Any format deemed appropriate by IMO and digitally signed by the master, see Section 4.4.4.
What properties of the digital signature need to appear on the offline record? Section 4.4.4 identifies the following:
[1] Title;
[2] Full name of the signer;
[3] Date and time of the signing.
What is the recommended format? Documents may be presented in PDF, although an alternative formats are also permitted. If the latter is used it should allow the exchange and view of the electronic document independent from the environment in which they were created, in a simple way and with fidelity, see Section 4.4.4.
What are the benchmarks which the electronic record book, related infrastructure (eg computers and peripherals) meet? Where applicable these should be installed in compliance with IEC 60092 and IEC 60533, see Section 4.4.5.
Section 5 - DECLARATION
Should written confirmation that an electronic system meets the criteria be obtained from IMO and carried on board the ship for the purpose of regulatory surveys or inspections? YES, see Section 5.1.
Is delegating the assessment of the electronic record book against the Guidelines and the issuing of a declaration on behalf of IMO (or recognised organisation) at the discretion of IMO? YES, see Section 5.2.
Section 6 - BWM CONVENTION INSPECTION AND ENFORCEMENT
Section 6.1 - Inspection
Should the electronic record book have the ability to meet the company verification and/or audit requirements (eg under the ISM Code)? YES. In particular, the record book should have the ability to meet all flag State and survey requirements, as well as control provision set out in the BWM Convention, see Section 6.1.1.
What is the benchmark that the electronic record book should meet? Any of the requirements set out in the ‘Procedures for Port State Control 2021’ adopted by Resolution A.1155(32)(as amended) and the provisions for detection of violations / enforcement in Article 10 of the BWM Convention, see Section 61.1.
Does usage and reliance on electronic record books relieve shipowners of their existing duties to accurately maintain and produce records during an inspection as required by the BWM/M Convention? NO. If the ship cannot produce the electronic record book or a declaration provided by IMO during an inspection, the Port State Control Officer should request to view an alternative verified copy of the records, OR … a hard copy record book for verification, see Section 6.1.2.
Section 6.2 - Equipment requirements during an inspection
Is it necessary for officers to carry additional equipment (eg electronic devices to view the records) during inspections? NO. The electronic record books will be presented using the ships’ onboard equipment, see Section 6.2.
May officers choose to carry additional equipment on board to aid in the verification process? Yes, especially if the ship’s’ on board equipment is unavailable, see Section 6.2.
Section 6.3 - Prosecution
Why should the electronic record book allow for the specific entry, relevant page, pages or the entirety be printed at the time of an investigation and each page to be physically signed by the master as certified ‘true copy’? To accommodate current procedures when investigating illegal discharges under the BWM Convention, see Section 6.3.
What details should be provided for the record books? Section 6.3 identifies the following:
[1] Title and full name of the person that entered the record (in addition to the person’s unique username and/or ID in the electronic record book), see Section 6.3.1;
[2] Any changes made to the entries, see Section 6.2.2;
[3] Date and time of printing, see Section 6.3.3;
[4] Name and version number of the electronic record book from which the true copy was produced, see Section 6.3.4;
[5] Page numbering and number of pages to ensure the report is complete, see Section 6.3.5.
APPENDIX - EXAMPLE DECLARATION - DECLARATION OF BWM CONVENTION ELECTRONIC RECORD BOOK
The form starts with the full country designation of the country that authorised the declaration. This is followed by the usual identity related details such as:
[1] Name of the ship;
[2] IMO number;
[3] Flag State of the ship;
[4] Gross tonnage.
These details are followed by a declaration that the requirements under the BWM Convention have complied with. The following electronic record books related parties details include:
[1] Manufacturer;
[2] Supplier;
[3] Installer;
[4] Software Name / Version;
[5] The relevant MEPC Resolution(s);
[6] Date of installation.
The declaration ends with the ‘name’, ‘signature’ and ‘date’.
Thank you for reading IMSML Website Article 04/2024
Stay tuned for the next IMSML Website Article 05/2025: Resolution MEPC.373(80) - 2023 Guidelines for Thermal Waste Treatment Devices (TWTD)
Signing-off for today,
Dr Irwin Ooi Ui Joo, LL.B(Hons.)(Glamorgan); LL.M (Cardiff); Ph.D (Cardiff); CMILT
Professor of Maritime and Transport Law
Head of the Centre for Advocacy and Dispute Resolution
Faculty of Law
Universiti Teknologi MARA Shah Alam
Selangor, Malaysia
Tuesday, 28 January 2025
Note that I am the corresponding author for the IMSML Website Articles. My official email address is: uijoo310@uitm.edu.my