RESOLUTION MEPC.279(70)

(Adopted on 28 October 2016)

 

2016 GUIDELINES FOR APPROVAL OF BALLAST WATER MANAGEMENT SYSTEMS (G8)

 

THE MARINE ENVIRONMENT PROTECTION COMMITTEE,

 

RECALLING Article 38(a) of the Convention on the International Maritime Organization concerning the functions of the Marine Environment Protection Committee conferred upon it by the international conventions for the prevention and control of marine pollution from ships,

 

RECALLING ALSO that the International Conference on Ballast Water Management for Ships held in February 2004 adopted the International Convention for the Control and Management of Ships' Ballast Water and Sediments, 2004 (the Ballast Water Management Convention) together with four conference resolutions,

 

NOTING that regulation D-3 of the annex to the Ballast Water Management Convention provides that ballast water management systems used to comply with the Convention must be approved by the Administration, taking into account the guidelines developed by the Organization,

 

NOTING ALSO resolution MEPC.125(53) by which the Committee adopted the Guidelines for approval of ballast water management systems (the Guidelines (G8)), and resolution MEPC.174(58), by which the Committee adopted a revision to the Guidelines (G8),

 

NOTING FURTHER that, by resolution MEPC.174(58), the Committee resolved to keep Guidelines (G8) under review in the light of experience gained,

 

RECALLING the provisions for non-penalization of early movers contained in the Roadmap for the implementation of the BWM Convention, agreed at its sixty-eighth session (MEPC 68/WP.8, annex 2),

 

NOTING the Organization's established practice with regard to the validity of type approval certification for marine products (MSC.1/Circ.1221) that the Type Approval Certificate itself has no influence on the operational validity of existing ballast water management systems accepted and installed on board a ship and manufactured during the period of validity of the relevant Type Approval Certificate, meaning that the system need not be renewed or replaced due to expiration of such Certificate,

 

HAVING CONSIDERED, at its seventieth session, the outcome of the Intersessional Working Group on the Review of Guidelines (G8),

 

1          ADOPTS the 2016 Guidelines for approval of ballast water management systems (G8), as set out in the annex to this resolution (the 2016 Guidelines (G8));

 

2          AGREES to keep the 2016 Guidelines (G8) under review in the light of experience gained with their application;

 

3          RECOMMENDS that Administrations apply the 2016 Guidelines (G8) when approving ballast water management systems as soon as possible, but not later than 28 October 2018; 4 AGREES that ballast water management systems installed on ships on or after 28 October 2020 should be approved taking into account the 2016 Guidelines (G8);

 

5          AGREES that ballast water management systems installed on board ships prior to 28 October 2020 should be approved taking into account either the Guidelines (G8) as adopted by resolution MEPC.174(58), or preferably the 2016 Guidelines (G8) set out in the annex to this resolution;

 

6          AGREES that, for the purpose of operative paragraphs 4 and 5 of this resolution, the word "installed" means the contractual date of delivery of the ballast water management system to the ship. In the absence of such a date, the word "installed" means the actual date of delivery of the ballast water management system to the ship;

 

7          AGREES that the dates referenced in this resolution will be considered in the reviews carried out in accordance with regulation D-5 of the Ballast Water Management Convention, to determine whether a sufficient number of appropriate technologies are approved and available, taking into account the 2016 Guidelines (G8);

 

8          SUPERSEDES the Guidelines for approval of ballast water management systems (G8) adopted by resolution MEPC.174(58).

 

ANNEX

 

2016 GUIDELINES FOR APPROVAL OF BALLAST WATER MANAGEMENT SYSTEMS (G8)

 

Contents

 

1     INTRODUCTION

 

 General

 Goal and purpose

 Applicability

 

2        BACKGROUND

 

3        DEFINITIONS

 

4        TECHNICAL SPECIFICATIONS

 

 General principles for operation

 Ballast water management systems

 Control and monitoring equipment

 

5        TYPE APPROVAL PROCESS

 

6        APPROVAL AND CERTIFICATION PROCEDURES

 

7        INSTALLATION REQUIREMENTS FOLLOWING TYPE APPROVAL

 

8        INSTALLATION SURVEY AND COMMISSIONING PROCEDURES FOLLOWING TYPE APPROVAL

 

ANNEX

 

PART 1 – SPECIFICATIONS FOR PRE-TEST EVALUATION OF SYSTEM DOCUMENTATION

 

PART 2 – TEST AND PERFORMANCE SPECIFICATIONS FOR APPROVAL OF BALLAST WATER MANAGEMENT SYSTEMS

 

PART 3 – SPECIFICATION FOR ENVIRONMENTAL TESTING FOR APPROVAL OF BALLAST WATER MANAGEMENT SYSTEMS

 

PART 4 – SAMPLE ANALYSIS METHODS FOR THE DETERMINATION OF BIOLOGICAL CONSTITUENTS IN BALLAST WATER

 

PART 5 – SELF-MONITORING

 

PART 6 – VALIDATION OF SYSTEM DESIGN LIMITATIONS

 

PART 7 – TYPE APPROVAL CERTIFICATE AND TYPE APPROVAL REPORT

 

Appendix – TYPE APPROVAL CERTIFICATE OF BALLAST WATER MANAGEMENT SYSTEM

 

 

2016 GUIDELINES FOR APPROVAL OF BALLAST WATER MANAGEMENT SYSTEMS (G8)

 

1          INTRODUCTION

 

General

 

1.1       The 2016 Guidelines for approval of ballast water management systems (G8) are aimed primarily at Administrations, or their designated bodies, in order to assess whether ballast water management systems meet the standard as set out in regulation D-2 of the "International Convention for the Control and Management of Ships' Ballast Water and Sediments," hereafter referred to as "the Convention". In addition, these guidelines can be used as guidance for manufacturers and shipowners on the evaluation procedure that equipment will undergo and the requirements placed on ballast water management systems. These Guidelines should be applied in an objective, consistent and transparent way and their application should be evaluated periodically by the Organization.

 

1.2       Articles and regulations referred to in these Guidelines are those contained in the Convention.

 

1.3       The Guidelines include general requirements concerning design and construction, technical procedures for evaluation, the procedure for issuance of the Type Approval Certificate of the ballast water management system, and reporting to the Organization.

 

1.4       These Guidelines are intended to fit within an overall framework for evaluating the performance of systems that includes the experimental shipboard evaluation of prototype systems under the provisions of regulation D-4, approval of ballast water management systems and associated systems that comply fully with the requirements of the Convention, and port State control sampling for compliance under the provisions of article 9 of the Convention.

 

1.5       The requirements of regulation D-3 stipulate that ballast water management systems used to comply with the Convention must be approved by the Administration, taking into account these Guidelines. In addition to such ballast water management system approval, as set forth in regulation A-2 and regulation B-3, the Convention requires that discharges of ballast water from ships must meet the regulation D-2 performance standard on an on-going basis. Approval of a system is intended to screen-out management systems that would fail to meet the standards prescribed in regulation D-2 of the Convention. Approval of a system, however, does not ensure that a given system will work on all ships or in all situations. To satisfy the Convention, a discharge must comply with the D-2 standard throughout the life of the ship.

 

1.6       The operation of ballast water management systems should not impair the health and safety of the ship or personnel, nor should it present any unacceptable harm to the environment or to public health.

 

1.7       Ballast water management systems are required to meet the standards of regulation D-2 and the conditions established in regulation D-3 of the Convention. These Guidelines serve to evaluate the safety, environmental acceptability, practicability and biological effectiveness of the systems designed to meet these standards and conditions. The cost effectiveness of type-approved equipment will be used in determining the need for revisions of these Guidelines.

 

1.8       These Guidelines contain recommendations regarding the design, installation, performance, testing, environmental acceptability and approval of ballast water management systems.

 

1.9       To achieve consistency in its application, the approval procedure requires that a uniform manner of testing, analysis of samples, and evaluation of results is developed and applied. These Guidelines should be applied in an objective, consistent, and transparent way; and their suitability should be periodically evaluated and revised as appropriate by the Organization. New versions of these Guidelines should be duly circulated by the Organization. Due consideration should be given to the practicability of the ballast water management systems.

 

Goal and purpose

 

1.10     The goal of these Guidelines is to ensure uniform and proper application of the standards contained in the Convention. As such the Guidelines are to be updated as the state of knowledge and technology may require.

 

1.11     The purpose of these Guidelines is to provide a uniform interpretation and application of the requirements of regulation D-3 and to:

 

.1       define test and performance requirements for the approval of ballast water management systems;

 

.2       assist Administrations in determining appropriate design, construction and operational parameters necessary for the approval of ballast water management systems;

 

.4       provide guidance to Administrations, equipment manufacturers and shipowners in determining the suitability of equipment to meet the requirements of the Convention and of the environmental acceptability of treated water; and

 

.5       assure that ballast water management systems approved by Administrations are capable of achieving the standard of regulation D-2 in land-based and shipboard evaluations and do not cause unacceptable harm to the ship, crew, the environment or public health. 

 

Applicability

 

1.12     These Guidelines apply to the approval of ballast water management systems in accordance with the Convention.

 

1.13     These Guidelines apply to ballast water management systems intended for installation on board all ships required to comply with regulation D-2.

 

2          BACKGROUND

 

2.1       The requirements of the Convention relating to approval of ballast water management systems used by ships are set out in regulation D-3.

 

2.2       Regulation D-2 stipulates that ships meeting the requirements of the Convention by meeting the ballast water performance standard must discharge:

 

.1       less than 10 viable organisms per cubic metre greater than or equal to 50 micrometres in minimum dimension;

 

.2       less than 10 viable organisms per millilitre less than 50 micrometres in minimum dimension and greater than or equal to 10 micrometres in minimum dimension; and

 

.3       less than the following concentrations of indicator microbes, as a human health standard:

 

.1       Toxicogenic Vibrio cholerae (serotypes O1 and O139) with less than 1 Colony Forming Unit (cfu) per 100 millilitres or less than 1 cfu per 1 gramme (wet weight) of zooplankton samples;

 

.2       Escherichia coli less than 250 cfu per 100 millilitres; and

 

.3       Intestinal Enterococci less than 100 cfu per 100 millilitres.

 

3          DEFINITIONS

 

For the purpose of these Guidelines:

 

3.1       Active Substance means a substance or organism, including a virus or a fungus, that has a general or specific action on or against harmful aquatic organisms and pathogens.

 

3.2       Ballast water management system (BWMS) means any system which processes ballast water such that it meets or exceeds the ballast water performance standard in regulation D-2. The BWMS includes ballast water treatment equipment, all associated control equipment, piping arrangements as specified by the manufacturer, control and monitoring equipment and sampling facilities. For the purpose of these guidelines, BWMS does not include the ship's ballast water fittings, which may include piping, valves, pumps, etc., that would be required if the BWMS was not fitted.

 

3.3       Ballast water management plan means the document referred to in regulation B-1 of the Convention describing the ballast water management process and procedures implemented on board individual ships.

 

3.4       Control and monitoring equipment means the equipment installed for the effective operation and control of the BWMS and the assessment of its effective operation.

 

3.5       The Convention means the International Convention for the Control and Management of Ships' Ballast Water and Sediments, 2004.

 

3.6       Failed test cycle is a valid test cycle in which the performance of the BWMS resulted in treated water that is determined to be non-compliant with the standard set within regulation D-2. A failed test cycle interrupts the required consecutive test cycles and terminates the test.

 

3.7       Invalid test cycle is a test cycle in which, due to circumstances outside the control of the BWMS, the requirements for a valid test cycle are not met. When a test cycle is invalid, it does not count as one of the required consecutive test cycles in a test and the test can be continued.

 

3.8       Land-based testing means a test of the BWMS carried out in a laboratory, equipment factory or pilot plant including a moored test barge or test ship, according to Parts 2 and 3 of the annex to these Guidelines, to confirm that the BWMS meets the standard described in regulation D-2 of the Convention.

 

3.9       Major components means those components that directly affect the ability of the system to meet the ballast water performance standard described in regulation D-2.

 

3.10     Representative sampling means sampling that reflects the relative concentrations (chemicals) and numbers and composition of the populations (organisms) in the volume of interest. Samples should be taken in a time-integrated manner and the sampling facility should be installed in accordance with the annex, Part 1 of the Guidelines on ballast water sampling (G2).

 

3.11     Sampling facilities refers to the means provided for sampling treated or untreated ballast water as needed in these Guidelines and in the Guidelines for ballast water sampling (G2) developed by the Organization.

 

3.12     Shipboard testing means a full-scale test of a complete BWMS carried out on board a ship according to Part 2 of the annex to these Guidelines, to confirm that the system meets the standards set by regulation D-2 of the Convention.

 

3.13     Successful test cycle means a valid test cycle where the BWMS functions to its specifications and treated water is determined to meet the performance standard described in regulation D-2.

 

3.14     System Design Limitations of a BWMS means the water quality and operational parameters, determined in addition to the required type approval testing parameters, that are important to its operation, and, for each such parameter, a low and/or a high value for which the BWMS is designed to achieve the performance standard of regulation D-2. The System Design Limitations should be specific to the processes being employed by the BWMS and should not be limited to parameters otherwise assessed as part of the type approval process. The System Design Limitations should be identified by the manufacturer and validated under the supervision of the Administration in accordance with these Guidelines.

 

3.15     Test cycle refers to one testing iteration (to include uptake, treatment, holding and discharge as appropriate) under a given set of requirements used to establish the ability of a BWMS to meet the set standards.

 

3.16     Test means the set of required test cycles.

 

3.17     Treatment Rated Capacity (TRC) means the maximum continuous capacity expressed in cubic metres per hour for which the BWMS is type approved. It states the amount of ballast water that can be treated per unit time by the BWMS to meet the standard in regulation D-2 of the Convention. The TRC is measured at the inlet of the BWMS.

 

3.18     Valid test cycle means a test cycle in which all the required test conditions and arrangements, including challenge conditions, test control, and monitoring arrangements (including piping, mechanical and electrical provisions) and test analytical procedures were achieved by the testing organisation

 

3.19     Viable organisms mean organisms that have the ability to successfully generate new individuals in order to reproduce the species.

 

4          TECHNICAL SPECIFICATIONS

 

4.1       This section details the general technical requirements which a BWMS should meet in order to obtain type approval.

 

General principles for operation

 

4.2       A BWMS should be effective in meeting the D-2 standard on short voyages and long voyages (i.e. short and long intervals between treatment and discharge), regardless of temperature, unless the system is intentionally constructed for use in specific waters.

 

4.3       Ballast water discharged following treatment should be safe for the environment on short voyages and long voyages (i.e. short and long intervals between treatment and discharge), regardless of temperature.

 

4.4       The design of the BWMS should account for the fact that, regardless of the BWMS technology employed, viable organisms remaining after treatment may reproduce in the interval between treatment and discharge.

 

Ballast water management systems

 

4.5       The BWMS should be designed and constructed:

 

.1       for robust and suitable operation in the shipboard environment;

 

.2       for the service for which it is intended;

 

.3       to mitigate any danger to persons on board when installed. Equipment that could emit dangerous gases/liquids shall have at least two independent means of detection and shutdown of the BWMS (i.e. hazardous gas level reaching lower explosive limits (LEL) or level of toxic concentrations that can result in severe effects on human health); and

 

.4       with materials compatible for the substances used, purpose which it is intended, the working conditions to which it will be subjected and the environmental conditions on board.

 

4.6       The BWMS should not contain or use any substance of a dangerous nature, unless adequate risk mitigation measures are incorporated for storage, application, installation, and safe handling, acceptable to the Administration.

 

4.7       In case of any failure compromising the proper operation of the BWMS, audible and visual alarm signals should be given in all stations from which ballast water operations are controlled.

 

4.8       All working parts of the BWMS that are liable to wear or to be damaged should be easily accessible for maintenance. The routine maintenance of the BWMS and troubleshooting procedures should be clearly defined by the manufacturer in the operation, maintenance and safety manual. All maintenance and repairs should be recorded.

 

4.9       To avoid interference with the BWMS, the following items should be included:

 

.1       every access of the BWMS beyond the essential requirements of paragraph 4.8, should require the breaking of a seal;

 

.2       if applicable, the BWMS should be so constructed that a visual indication is always activated whenever the BWMS is in operation for purposes of cleaning, calibration, or repair, and these events should be recorded by the control and monitoring equipment; and

 

.3       the BWMS should be provided with the necessary connections to ensure that any bypass of the BWMS will activate an alarm, and that the bypass event is recorded by the control and monitoring equipment.

 

4.10     Facilities should be provided for checking, at the renewal surveys and according to the manufacturer's instructions, the performance of the BWMS components that take measurements. A calibration certificate certifying the date of the last calibration check, should be retained on board for inspection purposes. Only the manufacturer or persons authorized by the manufacturer should perform the accuracy checks.

 

4.11     The BWMS should be provided with simple and effective means for its operation and control. It should be provided with a control system that should be such that the services needed for the proper operation of the BWMS are ensured through the necessary arrangements.

 

4.12     The BWMS should, if intended to be fitted in hazardous area locations, comply with the relevant safety regulations for such spaces. Any electrical equipment that is part of the BWMS should be based in a non-hazardous area, or should be certified by the Administration as safe for use in a hazardous area. Any moving parts, which are fitted in hazardous areas, should be arranged so as to avoid the formation of static electricity.

 

4.13     The BWMS should not endanger the health and safety of the crew, interact negatively with the ship's systems and cargo or produce any adverse environmental effects. The BWMS should not create long term impacts on the safety of the ship and crew through corrosive effects in the ballast system and other spaces.

 

4.14     It should be demonstrated by using mathematical modelling and/or calculations, that any up or down scaling of the BWMS will not affect the functioning and effectiveness on board a ship of the type and size for which the equipment will be certified. In doing so, the manufacturer of the equipment should take into account the relevant guidance developed by the Organization.

 

4.15     Scaling information should allow the Administration to verify that any scaled model is at least as robust as the land-based-tested model. It is the responsibility of the Administration to verify that the scaling used is appropriate for the operational design of the BWMS.

 

4.16 At a minimum, the shipboard test unit should be of a capacity that allows for further validation of the mathematical modelling and/or calculations for scaling, and preferably selected at the upper limit of the rated capacity of the BWMS, unless otherwise approved by the Administration.

 

Control and monitoring equipment

 

4.17     Administrations should ensure that type approved BWMS have a suitable control and monitoring system that will automatically monitor and record sufficient data to verify correct operation of the system. The control and monitoring equipment should record the proper functioning or failure of the BWMS. Where practical, system design limitation parameters should be monitored and recorded by the BWMS to ensure proper operation.

 

4.18     The BWMS should incorporate control equipment that automatically monitors and adjusts necessary treatment dosages or intensities or other aspects of the BWMS of the ship, which while not directly affecting treatment, are nonetheless required for proper administration of the necessary treatment.

 

4.19     The equipment should be able to produce (e.g. display, print or export) a report of the applicable self-monitoring parameters in accordance with Part 5 of the annex for official inspections or maintenance, as required.

 

4.20     To facilitate compliance with regulation B-2, the control and monitoring equipment should also be able to store data for at least 24 months, In the event the control and monitoring equipment is replaced, means should be provided to ensure the data recorded prior to replacement remains available on board for 24 months.

 

4.21     For BWMS that could emit dangerous gases, a means of gas detection by redundant safety systems is to be fitted in the space of the BWMS, and an audible and visual alarm is to be activated at a local area and at a manned BWMS control station in case of leakage. The gas detection device is to be designed and tested in accordance with IEC 60079-29-1, or other recognized standards acceptable to the Administration. Monitoring measures for dangerous gases with independent shutdown is to be provided on the BWMS.

 

4.22     All software changes introduced to the system after the pre-test evaluation shall be done according to a change handling procedure ensuring traceability.

 

5          TYPE APPROVAL PROCESS

 

5.1       The type approval requirements for BWMS are as described below.

 

5.2       The manufacturer of the equipment should submit information regarding the design, construction, operation and functioning of the BWMS in accordance with Part 1 of the annex including information regarding the water quality and operational parameters that are important to the operation of the system. This information should be the basis for a first evaluation of suitability by the Administration.

 

5.3       Following the Administration's pre-test evaluation, the BWMS should undergo landbased, shipboard, and other tests in accordance with the procedures described in Parts 2 and 3 of the annex. The BWMS tested for type approval should be a final and complete product that meets the requirements of section 4 and it should be constructed using the same materials and procedures that will be used to construct production units.

 

5.4       Successful fulfilment of the requirements and procedures outlined in Parts 2 and 3 of the annex, as well as all other requirements of these guidelines, should lead to the issuance of a Type Approval Certificate by the Administration in accordance with section 6.

 

5.5       The limitations of the BWMS, in addition to the required type approval testing parameters identified in paragraphs 2.4.20 and 2.5.1 of the annex, as submitted by its manufacturer and validated by the Administration, should be documented on the Type Approval Certificate. These design limitations do not determine if the equipment may be type approved or not, but provide information on the conditions beyond the type approval testing parameters under which proper functioning of the equipment can be expected.

 

5.6       When a type approved BWMS is installed on board, an installation survey according to section 8 should be carried out.

 

5.7       The documentation submitted for approval should include at least the following:

 

 .1      a description and diagrammatic drawings of the BWMS;

 

 .2      operation, maintenance and safety manual;

 

 .4      hazard identification;