Ireland Convention
Ireland Convention
Ireland Convention
________________
Citation
1. These Regulations may be cited as the Sea Pollution (Ballast Water
Management Convention) Regulations 2023.
Definitions
2. (1) In these Regulations –
“Act of 1991” means the Sea Pollution Act 1991 (No. 27 of 1991);
“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;
“Ballast Water Management Plan” means the plan referred to in Regulation 10;
“Ballast Water Record Book” means a book, electronic or otherwise, used to
record the operations of a ship’s ballast water;
“BWM Certificate” means the International Ballast Water Management
Certificate referred to in Regulation 7(14);
“cfu” means colony forming unit commonly used to estimate the concentration
of microorganisms in a test sample;
“Code” means the document entitled Code for Approval of Ballast Water
Management Systems, attached as Annex 5 to the Convention and included in
Schedule 1 to these Regulations;
“Convention” means the International Convention for the Control and
Management of Ships’ Ballast Water and Sediments, 2004;
“Guidelines” means IMO guidelines specifically related to the Convention;
“harbour authority” has the same meaning as it does in section 3 of the Sea
Pollution (Miscellaneous Provisions) Act 2006 (No. 29 of 2006);
“IEC 60079-29-1” means the international standard specifying general
requirements for construction, testing, performance and test methods that apply
to portable, transportable and fixed apparatus for the detection and
measurement of flammable gas or vapour concentrations with air;
Application
3. (1) Subject to paragraph (2), these Regulations apply to –
(a) Irish ships;
(b) ships, although not entitled to fly the flag of the State, operate
under the authority of the State, and
(c) ships, other than those referred to in paragraphs (a) and (b), that
enter a port, harbour or repair yard in the State.
(2) These Regulations shall not apply to –
(a) a ship that is neither designed nor constructed to carry ballast
water, or
(b) a ship that carries all its ballast water in sealed tanks, so that its
ballast water is never discharged into the sea.
(3) An inspector shall apply the requirements of these Regulations to ships
of non-Parties in a non-discriminatory manner.
Compliance
4. Unless otherwise specified, the owner of a ship (in these Regulations
referred to as “ship owner”) is responsible for ensuring compliance with the
requirements set out in these Regulations.
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(13) The ship owner shall ensure that the manufacturer demonstrates,
through mathematical modelling or calculations, that any up or down scaling of
the ballast water management system will not affect the functioning and
effectiveness on board the ship of the type and size for which the equipment
will be certified and shall ensure that the manufacturer takes into account the
relevant guidance developed by the IMO.
(14) At a minimum, the shipboard test unit shall be of a capacity that allows
for further validation of the mathematical modelling or calculations for scaling
and should be selected at the upper limit of the rated capacity of the ballast
water management system unless otherwise approved by the inspector.
(15) The ballast water management system shall be accompanied by
sampling facilities installed taking into account the Guidelines and so arranged
in order to collect representative samples of the ship’s ballast water discharge.
(16) (a) Suitable bypasses or overrides shall be installed and used for the
purposes of protecting the safety of the ship and personnel and
these shall be connected to the ballast water management system
so that any bypass of the system shall activate an alarm.
(b) A bypass event shall be recorded by the control and monitoring
equipment and the master shall ensure it is recorded within the
Ballast Water Record Book.
(17) (a) The requirement in paragraph (16) does not apply to internal
transfer of ballast water within the ship.
(b) Where the ballast water management system transfers water
internally that may affect the ship in complying with the
requirements of Regulation 14, the recording referred to in
paragraph (16)(b) shall identify such internal transfer operations.
(18) The master shall ensure that a record is kept of all maintenance and
repairs of the ballast water management system.
(19) The ship owner shall ensure that the manufacturer of the equipment
submits information to the MSO regarding the design, construction, operation
and functioning of the ballast water management system in accordance with
Part 1 of the Annex to the Code and shall include information regarding the
water quality and operational parameters that are important to the operation of
the system.
authority of another Party, which other Party has issued a Type Approval
Certificate.
(15) Where an inspector issues a Type Approval Certificate to the
manufacturer, he or she shall provide a type approval report to the IMO in
accordance with Part 6 of the Annex to the Code.
(16) Where a ship owner that has type approval from the competent
authority of another Party, which was given by taking account of revised
Guidelines adopted by resolution MEPC.174(58), and he or she seeks type
approval from the State, he or she shall submit such additional test reports and
documentation set out in the Code as may be requested by the MSO.
(17) Ballast Water Management Systems installed before 28 October 2020
and approved taking account of the 2016 Guidelines referred to in paragraph
1.13 of the Code shall be deemed to be approved in accordance with the Code
and these Regulations.
standards described in Regulation 13(5), (6) and (7) or Regulation 14 until the
survey to renew its International Oil Pollution Prevention Certificate is carried
out and thereafter shall meet the standards described in Regulation 14.
(4) Where a ship was constructed in or after 2009 and before 2012 with a
ballast water capacity of 5,000 cubic metres or more, its ballast water
management shall be conducted in a manner that meets the standards described
in Regulation 13(5), (6) and (7) or Regulation 14 until the survey to renew its
International Oil Pollution Prevention Certificate is carried out and thereafter
shall meet the standards described in Regulation 14.
(5) Where a ship was constructed in or after 2012 and before 8 September
2017 with a ballast water capacity of 5,000 cubic meters or more, its ballast
water management shall be conducted in a manner that at least meets the
standards described in Regulation 13(5), (6) and (7) or Regulation 14 until the
survey to renew its International Oil Pollution Prevention Certificate is carried
out and thereafter shall meet the standards described in Regulation 14.
(6) Where a ship was constructed on or after 8 September 2017, its ballast
water management shall be conducted in a manner that at least meets the
standards described in Regulation 14.
(7) The MSO may, where acceptable to the Marine Environment Protection
Committee of the IMO, accept alternative methods of ballast water
management other than the requirements described in paragraphs (2) to (6),
provided that such methods ensure at least the same level of protection to the
environment, human health, property and resources.
(8) The requirements of this Regulation do not apply to ships that –
(a) undertake ballast water management –
(i) for the purpose of ensuring the safety of a ship in
emergency situations or saving a life at sea;
(ii) for the purpose of avoiding or minimising pollution
incidents from the ship, and
(b) discharge ballast water to a reception facility which has been
designed in a manner that takes account of Guidelines for such
facilities.
thereafter shall be retained within the control of the ship owner for at least a
further three years.
(3) In the event of the discharge of ballast water pursuant to Regulation
11(8), or in the event of other accidental or exceptional discharge of ballast
water, the master shall ensure that an entry be made in the ballast water record
book describing the circumstances of, and the reason for, the discharge.
(4) The master shall ensure that the ballast water record book is readily
available for inspection at all reasonable times.
(5) In the case of an unmanned ship which is under tow, the ballast water
record book of that ship may be kept on the towing ship.
(6) (a) The master shall ensure that each operation concerning ballast
water is fully recorded without delay in the ballast water record
book.
(b) Each entry shall be signed by the officer in charge of the
operation concerned and each completed page shall be signed by
the master.
(7) 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 an entry is
also made in an official national language of the state whose flag the ship is
entitled to fly, that language shall prevail in the case of a dispute or
discrepancy.
(4) When a ship is required to conduct ballast water exchange and does not
do so in accordance with this Regulation, the reason for not so doing shall be
entered in the Ballast Water Record Book.
(5) The master shall ensure that ballast water exchange is performed with
an efficiency of at least 95 per cent volumetric exchange of ballast water.
(6) Where a ship is exchanging ballast water by the pumping-through
method, pumping through three times the volume of each ballast water tank
shall be considered to meet the standard described in paragraph (5).
(7) Notwithstanding paragraph (6), pumping through less than three times
the volume may be accepted provided that the master can demonstrate that at
least 95 per cent volumetric exchange is met.
the renewal survey to a date not exceeding 5 years from the date
of expiry of the existing BWM Certificate,
(c) more than 3 months before the expiry of the current BWM
Certificate, a newly issued BWM Certificate shall be valid from
the date of completion of the renewal survey to a date not
exceeding 5 years from the date of completion of the renewal
survey.
(3) Where a BWM Certificate is issued for a period that is less than 5
years, the MSO may extend the validity of the certificate beyond its expiry date
to the maximum period referred to in paragraph (1), provided that the surveys
under Regulation 15(2)(c) and (d) are carried out.
(4) Where a renewal survey referred to in Regulation 15(2)(b) is completed
but a new BWM Certificate has not been issued pursuant to the survey, or
where it has issued but cannot be placed on board the ship, the MSO may
endorse the existing BWM Certificate, which shall be valid for a further period
not exceeding 5 months from the date of expiry of the BWM Certificate.
(5) Where, at the time of expiry of a BWM Certificate, a ship is not in a
port in which it may be surveyed, the MSO may, where it is proper and
reasonable to do so, extend the period of validity of the certificate for the
purposes of allowing the ship to complete its voyage to a port in which it may
be surveyed.
(6) An extension under paragraph (5) shall not exceed 3 months.
(7) A ship which has received an extension pursuant to paragraph (5) shall,
on arrival at the port in which it is to be surveyed, undergo the survey and shall
not, regardless of the period of extension received, depart that port without the
renewal survey having been carried out with respect to it and a new BWM
Certificate having been issued to it.
(8) A BWM Certificate issued in the circumstances outlined in paragraph
(7) shall be valid for a period not exceeding 5 years from the date of expiry of
the existing certificate.
(9) (a) A BWM Certificate issued to a ship engaged on short voyages
which has not been extended under other provisions of this
Regulation may be extended by the MSO for a period of up to 1
month from the date of expiry of the certificate.
(b) A new BWM Certificate issued following a renewal survey in
relation to a ship to which paragraph (a) applies shall be valid
for a period not exceeding 5 years from the date of expiry of the
certificate before the extension was granted.
(10) In special circumstances, as may be determined by the MSO, a newly
issued BWM Certificate may not be required to be dated from the date of
expiry of the existing BWM Certificate and in such circumstances the newly
issued BWM Certificate shall be valid for a period that does not exceed 5 years
from the date of completion of the renewal survey.
(11) Where an intermediate survey or an annual survey is completed before
the period specified in Regulation 15(2)(c) or (d), as the case may be, then the
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Inspection
17. (1) Subject to paragraph (2), sampling by the MSO of a ship’s ballast
water shall be carried out in accordance with Guidelines.
(2) The time required to analyse samples shall not be used as a basis for
unduly delaying the operation, movement or departure of a ship.
(3) Subject to paragraph (4), where a ship is a foreign registered ship, an
inspector shall limit checks to –
(a) taking samples of the ship’s ballast water,
(b) inspecting the ship’s BWM Certificate to verify that it is valid,
and
(c) inspecting the ship’s Ballast Water Record Book.
(4) Where a foreign registered ship does not carry a valid BWM Certificate
or an inspector has clear grounds to believe that –
(a) the condition of the ship or its equipment does not correspond
substantially with the particulars of the BWM Certificate, or
(b) the master or the crew are not familiar with the essential
shipboard procedures relating to ballast water management or
have not implemented such procedures,
then a detailed inspection may be carried out.
(5) Where a detailed inspection is being carried out under paragraph (4), an
inspector shall notify the master and take necessary steps to ensure that the ship
does not discharge ballast water until it can do so without presenting a threat of
harm to the environment, human health, property or resources.
(6) An inspector shall investigate any complaints alleging a breach of these
Regulations and may request the complainant to provide additional evidence of
the alleged breach.
(7) The identity of any person making a complaint to an inspector shall not
be revealed to the master or the ship owner in respect of the ship concerned and
an inspector shall take all appropriate steps to safeguard the confidentiality of
the complainant during an inspection.
(8) Where a complaint relates to a foreign registered ship, the MSO shall
notify the appropriate authority of the flag state, the Party that made the
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complaint in the event that it is a different state, the Party that issued the BWM
Certificate in respect of the vessel and the IMO that –
(a) a complaint has been made,
(b) the outcome of an inspection under paragraph (3) or (4), and
(c) any action it proposes to take, including a prosecution under the
Act of 1991.
(9) Where no action has been taken by the MSO within a year of receiving
a complaint referred to in paragraph (8), it shall notify the appropriate authority
of the flag state in that regard.
(10) Where sampling in the course of an investigation under this Regulation
indicates a breach of these Regulations or leads to a result indicating that a ship
poses a threat to the environment, human health, property or resources, the
MSO shall notify the master and prohibit the ship from discharging ballast
water until the threat is removed.
(11) The MSO shall notify the next port of call of any relevant information
relating to a breach of these Regulations in circumstances where –
(a) it has not been possible to warn, detain or exclude a ship for
breach of these Regulations or where it has not been possible to
prohibit a ship from discharging ballast water in the
circumstances provided for in paragraph (10),
(b) a ship has been allowed to proceed to the next port of call.
20 [188]
SCHEDULE 1
Regulation 2(1)
Code for Approval of Ballast Water Management Systems
1 INTRODUCTION
General
1.1 The Code for Approval of Ballast Water Management Systems (BWMS
Code) is aimed primarily at Administrations, or their designated bodies, in
order to assess whether ballast water management systems (BWMS) meet the
standard set out in regulation D-2 of the International Convention for the
Control and Management of Ships' Ballast Water and Sediments, 2004 (the
Convention). In addition, the Code is intended for manufacturers and
shipowners as a reference on the evaluation procedure that equipment will
undergo and the requirements placed on BWMS. The Code should be applied
in an objective, consistent and transparent way and its application should be
evaluated periodically by the Organization.
1.2 Articles and regulations referred to in this Code are those contained in
the Convention.
1.4 The Code is 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 BWMS 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 approval requirements of regulation D-3 stipulate that BWMS used
to comply with the Convention must be approved by the Administration, in
accordance with this Code. In addition to such BWMS 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 BWMS 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.
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1.6 BWMS shall be designed to not impair the health and safety of the ship
or personnel, nor to present any unacceptable harm to the environment or to
public health.
1.7 BWMS shall meet the standards of regulation D-2 and the conditions
established in regulation D-3 of the Convention. The Code serves 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 the Code.
Applicability
1.11 This Code applies to the approval of BWMS in accordance with the
Convention.
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1.12 This Code applies to BWMS intended for installation on board all ships
required to comply with regulation D-2.
1.13 BWMS approved taking into account the 2016 Guidelines (G8) adopted
by resolution MEPC.279(70) shall be deemed to be in accordance with the
BWMS Code.
2 BACKGROUND
2.1 The requirements of the Convention relating to approval of BWMS
used by ships are set out in regulation D-3.
3 DEFINITIONS
For the purpose of this Code:
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 this Code, 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.
[188] 23
3.3 Ballast water management plan means the plan 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 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.
3.9 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.
3.11 Sampling facilities refers to the means provided for sampling treated or
untreated ballast water as needed in this Code and in the guidelines developed
by the Organization.1
1
Refer to the Guidelines for ballast water sampling (G2) resolution MEPC.173(58)
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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
ballast water performance standard described in regulation D-2.
3.14 System Design Limitations (SDL) 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 SDL 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 SDL should be identified by the manufacturer and validated under the
supervision of the Administration, taking into account Guidance developed by
the Organization, and in accordance with this Code.
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.
3.18 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 test
organization.
3.19 Viable organisms means 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
shall meet in order to obtain type approval.
[188] 25
4.3 Ballast water discharged following treatment shall 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 shall 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.
4.6 The BWMS shall 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.
4.8 All working parts of the BWMS that are liable to wear or to be
damaged shall be easily accessible for maintenance. The routine maintenance
of the BWMS and troubleshooting procedures shall be clearly defined by the
manufacturer in the operation, maintenance and safety manual. All
maintenance and repairs shall be recorded.
26 [188]
4.9 To avoid interference with the BWMS, the following items shall be
included:
1 every access of the BWMS beyond the essential requirements of
paragraph 4.8 shall require the breaking of a seal;
2 if applicable, the BWMS shall 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 shall be recorded by the control and monitoring
equipment; and
3 the BWMS shall 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 shall 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 shall be retained on board for inspection
purposes. Only the manufacturer or persons authorized by the manufacturer
shall perform the accuracy checks.
4.11 The BWMS shall be provided with simple and effective means for its
operation and control. It shall be provided with a control system that shall be
such that the services needed for the proper operation of the BWMS are
ensured through the necessary arrangements.
4.13 The BWMS shall be designed so as not to 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 shall not create long-
term impacts on the safety of the ship and crew through corrosive effects in the
ballast system and other spaces.
4.15 Scaling information shall 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 shall 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.
4.19 The equipment shall 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.
4.21 For BWMS that could emit dangerous gases, a means of gas detection
by redundant safety systems shall be fitted in the space of the BWMS, and an
audible and visual alarm shall be activated at a local area and at a manned
BWMS control station in case of leakage. The gas detection device shall 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 shall 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.
28 [188]
5.1 The type approval requirements for BWMS are as described below.
5.5 The limitations of the BWMS, in addition to the required type approval
testing parameters identified in paragraphs 2.29 and 2.46 of the annex, as
submitted by its manufacturer and validated by the Administration, shall 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.
5.7 The documentation submitted for approval shall include at least the
following:
1 a description and diagrammatic drawings of the BWMS;
2 the operation, maintenance and safety manual;
3 hazard identification;
4 environmental and public health impacts; and
5 System Design Limitations.
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6.1 A BWMS which in every respect fulfils the requirements of this Code
may be approved by the Administration for fitting on board ships. The
approval shall take the form of a Type Approval Certificate of BWMS,
specifying the main particulars of the BWMS and validated SDL. Such
certificates shall be issued in accordance with Part 7 of the annex in the format
shown in the appendix.
6.2 A BWMS that in every respect fulfils the requirements of this Code
except that it has not been tested at all the temperatures and salinities set out in
Part 2 of the annex shall only be approved by the Administration if
corresponding limiting operating conditions are clearly stated on the issued
Type Approval Certificate with the description "Limiting Operating
Conditions". For the limiting values, the SDL shall be consulted.
6.5 The SDL shall be specified on the Type Approval Certificate in a table
that identifies each water quality and operational parameter together with the
validated low and/or high parameter values for which the BWMS is designed
to achieve the ballast water performance standard described in regulation D-2.
6.7 A Type Approval Certificate shall only be issued to a BWMS that has
been determined by the Administration to make use of an Active Substance
after it has been approved by the Organization in accordance with regulation
D-3.2. In addition, the Administration shall ensure that any recommendations
that accompanied the Organization's approval have been taken into account
before issuing the Type Approval Certificate.
30 [188]
6.8 The Type Approval Certificate shall be issued taking into account
guidance developed by the Organization.2
6.11 In the case of a type approval based entirely on testing already carried
out under supervision by another Administration, the type-approval report shall
be prepared and kept on file and the Organization shall be informed of the
approval.
7.2 Suitable bypasses or overrides to protect the safety of the ship and
personnel shall be installed and used in the event of an emergency and these
shall be connected to the BWMS so that any bypass of the BWMS shall
activate an alarm. The bypass event shall be recorded by the control and
monitoring equipment and within the ballast water record book.
7.3 The requirement in paragraph 7.2 does not apply to internal transfer of
ballast water within the ship (e.g. anti-heeling operations). For BWMS that
transfer water internally which may affect compliance by the ship with the
2
Refer to validity of type approval certification for marine products (MSC.1/Circ.1221)
3
Refer to the guidelines for ballast water sampling (G2) (resolution MEPC.173(58))
[188] 31
4
Refer to the Survey Guidelines under the Harmonized System of Survey and Certification
(HSSC), 2017 (resolution A.1120(30))
32 [188]
ANNEX
PART 1 – SPECIFICATIONS FOR PRE-TEST EVALUATION OF
SYSTEM DOCUMENTATION
1.1 Adequate documentation shall be prepared and submitted to the
Administration and be shared with the test organization as part of the approval
process well in advance of the intended approval testing of a BWMS. Approval
of the submitted documentation shall be a prerequisite for carrying out
independent approval tests.
Documentation
1.3 The documentation to be submitted as a part of the readiness evaluation
shall include at least the following:
1 a BWMS technical specification, including at least:
1 a description of the BWMS, treatment processes it
employs and details of any required permits;
2 adequate information including descriptions and
diagrammatic drawings of the pumping and piping
arrangements, electrical/electronic wiring, monitoring
system, waste streams and sampling points. Such
information should enable fault finding;
3 details of major components and materials used
(including certificates where appropriate);
4 an equipment list showing all components subject to
testing including specifications, materials and serial
numbers;
5 an installation specification in accordance with
manufacturers installation criteria requirements for the
location and mounting of components, arrangements for
maintaining the integrity of the boundary between safe
and hazardous spaces and the arrangement of the sample
piping;
6 information regarding the characteristics and
arrangements in which the system is to be installed,
[188] 33
and any other relevant information needed to ensure proper evaluation of the
efficacy and effects of the equipment. The information provided should also
address general compliance with applicable environment, health and safety
standards during the type-approval procedure.
Readiness evaluation
1.5 During the readiness evaluation, the Administration shall ensure that
each technical specification set out in section 4 of this Code has been met,
other than those that will be assessed during later testing.
1.6 The readiness evaluation shall examine the design and construction of
the BWMS to determine whether there are any fundamental problems that
might constrain the ability of the BWMS to manage ballast water as proposed
by the manufacturer, or to operate safely, on board ships.
1.8 As a first step the manufacturer shall provide information regarding the
requirements and procedures for installing, calibrating and operating (including
maintenance requirements) the BWMS during a test. This evaluation should
help the test organization to identify any potential health or environmental
safety problems, unusual operating requirements (labour or materials), and any
issues related to the disposal of treatment by-products or waste streams.
1.9 The test facility shall have a procedure to deal with deviations that
occur prior to testing and an evaluation process which includes an assessment
and validation process to address any unforeseen deviations that may occur
during testing. Deviations from the testing procedure shall be fully reported.
1.10 During the readiness evaluation the major components of the BWMS
shall be identified. Major components are considered to be those components
that directly affect the ability of the system to meet the performance standard
described in regulation D-2. Upgrades or changes to major components shall
not take place during type approval testing. A change to a major component
requires a new submission of the test proposal and shall involve a new
evaluation and repeating of the land-based and shipboard tests.
1.12 Upgrades of the BWMS that relate to the safe operation of that system
may be allowed during and after type approval and shall be reported. If such
safety upgrades directly affect the ability of the system to meet the standard
described in regulation D-2, it shall be treated as a change of a major
component, as per paragraph 1.10 above.
1.15 The Administration shall also evaluate the suitability and reliability of
the methods proposed for validating the claimed low and/or high values for
each SDL. These methods may include tests to be undertaken during land-
based, shipboard or bench-scale testing and/or the use of appropriate existing
data and/or models.
2.4 The test facility performing the BWMS tests shall be independent. It
shall not be owned by or affiliated with the manufacturer or vendor of any
BWMS, or by the manufacturer or supplier of the major components of that
equipment.
Shipboard tests
2.6 A shipboard test cycle includes:
1 the uptake of ballast water of the ship;
38 [188]
Land-based testing
2.9 The land-based testing provides data to determine the biological
efficacy and environmental acceptability of the BWMS under consideration for
type approval. The approval testing aims to ensure replicability and
comparability to other treatment equipment.
2.11 The test set-up including the BWMS shall operate as described in the
provided operation, maintenance and safety manual during at least five
consecutive successful test cycles in each salinity.
2.12 A land-based test cycle shall include the uptake of ballast water by
pumping, the storage of ballast water, treatment of ballast water within the
BWMS (except in control tanks), and the discharge of ballast water by
pumping. The order will be dependent on the BWMS.
2.13 At least two test cycles in each salinity tested shall be conducted in
order to evaluate compliance with the D-2 standard at the minimum holding
time specified by the BWMS manufacturer.
which is shorter or longer than five days shall ensure that sufficient volumes of
treated water are collected after five days or are reserved after the efficacy
testing to permit the requirements of guidelines5 developed by the
Organization, for approval of BWMS making use of Active Substances, to be
assessed for at least one test cycle per salinity.
2.17 The BWMS shall be tested at its TRC or as given in paragraphs 2.25 to
2.28 of this annex for each test cycle. The equipment shall function to
specifications during this test.
2.18 The analysis of treated water discharge from each test cycle shall
determine if the treated discharge meets regulation D-2.
2.19 The analysis of treated water discharge from the relevant test cycle(s)
shall also be used to evaluate the formation of Relevant Chemicals as well as
the toxicity of the discharged water for BWMS that make use of Active
Substances. The same evaluation shall be conducted for those BWMS that do
not make use of Active Substances or Preparations but which could reasonably
be expected to result in changes to the chemical composition of the treated
water such that adverse impacts to receiving waters might occur upon
discharge. Toxicity tests of the treated water discharge shall be conducted,
taking into account guidelines developed by the Organization.6
5
Refer to the Procedure for approval of ballast water management systems that make use of
Active Substances (G9) (resolution MEPC.169(57))
6
Refer to paragraphs 5.2.3 and 5.2.7 of the Procedure for the approval of ballast water
management systems that make use of Active Substances (G9) (resolution MEPC.169(57))
[188] 43
2.21 The control and treated simulated ballast tanks shall each include:
1 a minimum capacity of 200 m³;
2 the use of standard industry practices for design and
construction for ships; surface coatings shall be in accordance
with the Performance standard for protective coatings of
dedicated seawater ballast tanks on all new ships and of
double-sided skin spaces of bulk carriers (PSPC) (resolution
MSC.215(82)); and
3 the minimum modifications required for structural integrity on
land.
2.22 The control and treated simulated ballast tanks should include normal
internal structures, including lightening and drainage holes.
2.23 The test set-up shall be pressure-washed with tap water, dried and
swept to remove loose debris, organisms and other matter before starting
testing procedures, and between test cycles.
2.24 The test set-up shall include facilities to allow sampling as described in
paragraphs 2.40 and 2.41 of this annex and provisions to supply influents to the
system, as specified in paragraphs 2.29, 2.30, 2.33 and 2.34 of this annex. The
installation arrangements shall conform in each case with those specified and
approved under the procedure outlined in section 7 of this Code.
2.26 BWMS with at least one model with a TRC equal to or smaller than
200 m³/h shall not be downscaled.
2.27 For BWMS with at least one model that has a TRC higher than 200
m³/h or 1,000 m³/h the following must be observed for land-based testing. In-
line treatment equipment may be downsized for land-based testing, but only
when the following criteria are taken into account:
1 BWMS with at least one model with a TRC higher than 200
m³/h but lower than 1,000 m³/h may be downscaled to a
maximum of 1:5 scale, but may not be lower than 200 m³/h; and
7
Refer to the Guidance on scaling of ballast water management systems
(BWM.2/Circ.33/Rev.1)
44 [188]
2 BWMS with at least one model with a TRC equal to, or higher
than, 1,000 m³/h may be downscaled to a maximum of 1:100
scale, but may not be lower than 200 m³/h.
Salinity
2.30 The source of the test water shall be natural water. Any augmentation
of test water with dissolved organic carbon (DOC), particulate organic carbon
(POC) or total suspended solids (TSS) to achieve the minimum required
content shall be validated and approved by the Administration. As natural DOC
constituents are complex and primarily of aromatic character, the type of added
DOC is particularly critical to the evaluation of BWMS performance. The
validation shall ensure that relevant properties of the augmented water (such as
the oxidant demand/TRO decay and UV absorption in the range of 200 to 280
nm, the production of disinfectant by-products and the particle size distribution
of suspended solids) are equivalent, on a mg/L basis, to that of natural water
that would quantitatively meet the challenge conditions. In addition, the
validation shall ensure that augmentation does not bias a test for or against any
specific treatment process. The test report shall include the basis for the
selection, use and validation of augmentation.
[188] 45
2.31 The BWMS must be tested in conditions for which it will be approved.
For a BWMS to achieve an unlimited Type Approval Certificate with respect
to salinity, one set of test cycles shall be conducted within each of the three
salinity ranges with the associated dissolved and particulate content as
prescribed in paragraph 2.29 above. Tests under adjacent salinity ranges in the
above table shall be separated by at least 10 PSU.
2.34 The following bacteria do not need to be added to the influent water,
but shall be measured at the influent and at the time of discharge:
1 coliform;
2 Enterococcus group;
3 Vibrio cholerae; and
4 heterotrophic bacteria.
2.37 It shall be verified that the treatment equipment performs within its
specified parameters, such as power consumption and flow rate, during the test
cycle.
2.38 The range of operational flow rates that a BWMS is expected to achieve
in service, at the maximum and minimum operational flow rates (where it is
appropriate for that technology), shall be verified after the filter on the
discharge side of the pump. The range of flow rate may be derived from
empirical testing or from computational modelling. Where appropriate for the
technology, demonstration of system efficacy at low flow rates shall reflect the
need for flow reduction during the final stages of ballast operations.
2.40 Samples during the test for the purposes of determining biological
efficacy shall be taken at the following times and locations: immediately before
[188] 47
the treatment equipment, immediately after the treatment equipment and upon
discharge after the appropriate holding time.
2.43 Samples described in paragraphs 2.40 and 2.41 above shall be collected
with the following sampling regime and volumes for analysis:
1 for the enumeration of viable organisms greater than or equal to
50 μm or more in minimum dimension:
1 influent water shall be collected over the duration of
uptake as one time-integrated sample. The sample shall
be collected as a single, continuous sample or a
composite of sequential samples, e.g. collected at
intervals during the beginning, middle and end of the
operation. The total sample volume shall be at least one
cubic metre. If smaller volume is validated to ensure
representative sampling of organisms, it may be used;
2 control and treated discharged water shall be collected as
one time-integrated sample over the duration of
discharge from the tank(s). The sample may be collected
as a single, continuous sample or a composite of
sequential samples, e.g. collected throughout the
beginning, middle and end of the operation. The total
sample volume shall be at least 3 m³;
3 if samples are concentrated for enumeration, the
organisms shall be concentrated using a mesh with holes
no greater than 50 μm in the diagonal dimension. Only
organisms greater than 50 μm in minimum dimension
shall be enumerated; and
2.44 The samples shall be analysed as soon as possible after sampling, and
analysed live within six hours or treated in such a way so as to ensure that
proper analysis can be performed.
2.45 If in any test cycle the discharge results from the control water is of a
concentration less than or equal to 10 times the values in regulation D-2.1, the
test cycle is invalid.
Temperature
2.46 The effective performance of BWMS through a ballast water
temperature range of 0°C to 40°C (2°C to 40°C for fresh water) and a mid-
range temperature of 10°C to 20°C shall be the subject of an assessment
verified by the Administration.
Evaluation of regrowth
2.49 The evaluation of regrowth of organisms shall be undertaken to the
satisfaction of the Administration in land-based and/or shipboard testing in at
least two test cycles in each salinity.
2.50 In the case of land-based testing being performed with a holding time of
less than five days, a sufficient volume of treated uptake water shall be held
under conditions similar to conditions in the relevant holding tank. In the case
of shipboard testing, water shall be retained on board for the evaluation of
regrowth during a shipboard test cycle. Additional bench-scale testing may be
used to supplement the land-based and/or shipboard testing.
2.51 In the case of a BWMS that includes mechanical, physical, chemical
and/or biological processes intended to kill, render harmless or remove
organisms within ballast water at the time of discharge or continuously
between the time of uptake and discharge, regrowth shall be assessed in
accordance with sections "Shipboard tests" and "Land-based testing" of this
annex with a holding time of at least five days.
50 [188]
2.53 Any neutralization of ballast water required by the BWMS shall occur
at the end of the holding time and immediately before the enumeration of
organisms.
2.57 The reports submitted in accordance with paragraph 2.56 above shall
contain at least the following information:
1 the name and address of the laboratory performing or
supervising the inspections, tests or evaluations, and its national
accreditation or quality management certification, if
appropriate;
2 the name of the manufacturer;
2.59 The test report shall include all test cycles during land-based and
shipboard tests, including failed test cycles and invalid test cycles with the
explanation required in paragraph 2.8.11.4 for both shipboard and land-based
tests.
3.1 The electrical and electronic sections of the BWMS in the standard
production configuration shall be subject to the relevant tests specified in
paragraph 3.3 below at a laboratory approved for the purpose by the
Administration or by the accreditation body of the laboratory, with relevant
accreditation8 covering the relevant test standards.
4.2 When available, widely accepted standard methods for the collection,
handling (including concentration), storage, and analysis of samples should be
used. These methods shall be clearly cited and described in test plans and
reports. This includes methods for detecting, enumerating, and determining
minimum dimension of and identifying organisms and for determining viability
(as defined in this Code).
4.3 When standard methods are not available for particular organisms or
taxonomic groups, methods that are developed for use shall be described in
8
Refer to general requirements for the competence of testing and calibration laboratories
(ISO/IEC 17025:2017)
9
Refer to ICS UR E10, Rev. 6, October 2014 - Test Specification for Type Approval
54 [188]
detail in test plans and reports. The descriptive documentation shall include any
experiments needed to validate the use of the methods.
4.4 Given the complexity in samples of natural and treated water, the
required rarity of organisms in treated samples under regulation D-2, and the
expense and time requirements of current standard methods, it is likely that
several new approaches will be developed for the analyses of the composition,
concentration and viability of organisms in samples of ballast water.
Administrations/Parties are encouraged to share information concerning
methods for the analysis of ballast water samples, using existing scientific
venues, and documents distributed through the Organization.
10
Refer to the Guidance on methodologies that may be used for enumerating viable organisms
(BWM.2/Circ.61)
[188] 55
5 the density of E. coli in the replicate samples is less than 250 cfu
per 100 mL;
6 the density of Intestinal Enterococci in the replicate samples is
less than 100 cfu per 100 mL; and
7 no averaging of test cycles, or the discounting of failed test
cycles, has occurred.
PART 5 – SELF-MONITORING
Introduction
5.1 BWMS shall monitor and store a minimum number of parameters for
detailed evaluation. In addition, all system indications and alerts shall be stored
and available for inspection. Data storage and retrieval shall follow common
standards. This part gives an overview of the minimum required self-
monitoring parameters.
Monitoring of parameters
5.2 The applicable self-monitoring parameters listed below shall be
recorded for every BWMS.13 Any additional parameters that are necessary to
ascertain system performance and safety shall be determined by the
Administration and stored in the system. If a parameter is not applicable due to
the particulars of the system, the Administration may waive the requirement to
11
Suggested sources may include but are not limited to:
1. The Handbook of Standard Methods for the Analysis of Water and Waste Water.
2. ISO standard methods.
3. UNESCO standard methods.
4. World Health Organization.
5. American Society of Testing and Materials (ASTM) standard methods.
6. United States EPA standard methods.
7. Research papers published in peer-reviewed scientific journals.
8. MEPC documents.
12
Refer to paragraphs 5.2.3 and 5.2.7 of the Procedure for approval of ballast water
management systems that make use of Active Substances (G9) (resolution MEPC.169(57))
13
Associated guidance for a template on technical details of the monitoring parameters and
record intervals to be developed by the Organization.
56 [188]
5.5 The control and monitoring equipment shall automatically record the
proper functioning or failure of a BWMS without user interaction and add a
time stamp to every entry. Additionally, the system shall have a tool to produce
summary text files for each ballast water operation on demand to support
inspections work.
5.6 The system shall store the required data in an acceptable format to be
able to display, print or export the data for official inspections. An acceptable
format could be:
1 an internationally standardized readable format (e.g. text format,
pdf, MS Excel); or
2 the extensible mark-up language (xml).
5.7 The equipment shall be so designed that, as far as is practical, it will not
be possible to manipulate either the data being stored by the system or the data
which has already been recorded. Any attempt to interfere with the integrity of
the data shall be recorded.
14
Refer to Digital interfaces for navigational equipment within a ship (IEC 61162)
58 [188]
6.1 The objective of the SDL approach is twofold. Firstly, it ensures that
the performance of the BWMS has been transparently assessed with respect to
the known water quality and operational parameters that are important to its
operation, including those that may not be specifically provided for in this
Code. Secondly, it provides transparent oversight of BWMS performance
claims by the manufacturer that may go beyond specific criteria in this Code.
Although the validation of SDL yields information that is reported on the Type
Approval Certificate, this information does not affect the eligibility of a
BWMS to receive type approval.
6.2 The low and/or high parameter values for each SDL shall be validated
to the satisfaction of the Administration as follows:
1 the validation shall be overseen by the Administration and shall
consist of a rigorous evidence-based assessment of a specific
claim by the BWMS manufacturer that the equipment will
operate as intended between pre-stated parameter values;
2 tests to validate SDL shall be undertaken in accordance with
paragraphs 2.2 to 2.4 of this annex. Such tests may be combined
with land-based and/or shipboard testing if the QAPP
establishes that the validation tests will not interfere with the
specific procedures in Part 2 of this annex. Laboratory or bench-
scale testing may also be used in the validation of SDL;
3 methods other than testing, such as the use of existing data
and/or models, may be used in the validation of SDL. The
source, suitability and reliability of such methods shall be
reported; and
4 validation is not intended as a stress-test of the BWMS or as a
procedure for identifying equipment failure points. Validation
shall be undertaken independently of the BWMS manufacturer
and shall be separate from BWMS research and development
activities. Data and models may be supplied by the
manufacturer when appropriate but shall be independently
assessed.
6.5 SDL shall be established for all known parameters to which the design
of the BWMS is sensitive that are important to the operation of the BWMS. In
the case of SDL parameters that are also subject to specific criteria in Part 2 of
this annex, the procedure set out in Part 2 shall be followed. For such
parameters, the approach in paragraph 6.2 above may be used only to the
extent that the performance claim goes beyond the specific criteria in Part 2.
15
Refer to the Procedure for approval of ballast water management systems that make use of
Active Substances (G9) (resolution MEPC.169(57))
[188] 61
7.4 The Type Approval Certificate and the type approval report (including
their entire contents and all annexes, appendices or other attachments) shall be
accompanied by a translation into English, French or Spanish if not written in
one of those languages.
it; and the Organization shall promptly make the revised report available to the
public and Member States through appropriate means.
[188] 63
APPENDIX
BADGE OR CIPHER (Limiting Operating Conditions apply)*
NAME OF ADMINISTRATION
TYPE APPROVAL CERTIFICATE OF BALLAST WATER
MANAGEMENT SYSTEM
This is to certify that the ballast water management system listed below has
been examined and tested in accordance with the requirements of the
specifications contained in the Code for Approval of Ballast Water
Management Systems (resolution MEPC.300(72)). This certificate is valid only
for the ballast water management system referred to below.
A copy of this Type Approval Certificate shall be carried on board a ship fitted
with this ballast water management system, for inspection on board the ship. If
the Type Approval Certificate is issued based on approval by another
Administration, reference to that Type Approval Certificate shall be made.
(Temperature / Salinity)
This equipment has been designed for operation in the following conditions:**
…….............................................
SCHEDULE 2
Regulation 7(3)
Ballast Water Management System Type Approval Application Form
Name of Applicant:...............................................................................................
Has an application for Type Approval for this ballast water management
system ever been submitted to another Administration?
Yes No
Signed: ...........................................................................................................
Date: ...............................................................................................................
66 [188]
SCHEDULE 3
Regulation 7(14)
BWM Certificate
…………………………………………………………………………………
(full designation of the country)
by………………………………………………………………………………
(full designation of the competent person or organization authorized under the
provisions of the Convention)
Particulars of ship16
16
Alternatively, the particulars of the ship may be placed horizontally in boxes.
17
IMO Ship Identification Number Scheme adopted by the Organization by resolution
A.1117(30), as may be amended.
[188] 67
THIS IS TO CERTIFY:
1. that the ship has been surveyed in accordance with regulation E-1 of the
Annex to the Convention; and
2. that the survey shows that Ballast Water Management on the ship
complies with the Annex to the Convention.
…………………………………………………………………………………
(Date of issue) (Signature of authorized official issuing the certificate)
Place……………………………………………………………………..............
Date ………………………………………………………….............................
(Seal or stamp of the authority, as appropriate)
Place …………….…………………………………………………………….
Date …………………………………………………………………………….
(Seal or stamp of the authority, as appropriate)
Place …………………………………………………………………………….
Date …………………………………………....................................................
(Seal or stamp of the authority, as appropriate)
[188] 69
Place …………………………………………………………………………..
Date …………………………………………………………............................
(Seal or stamp of the authority, as appropriate)
Signed ………………………………………………………………………….
(Signature of authorized official)
Place …………………………………………………………………………..
Date…………………………………………………...........................................
(Seal or stamp of the authority, as appropriate)
The ship complies with the relevant provisions of the Convention, and this
Certificate shall, in accordance with regulation E-5.3 of the Annex to the
Convention, be accepted as valid until ….............................................................
Signed ………………………………………………………………………….
(Signature of authorized official)
Place …………………………………………………………………………..
Date ……………...……………………………..................................................
. (Seal or stamp of the authority, as appropriate)
70 [188]
The ship complies with the relevant provisions of the Convention and this
Certificate shall, in accordance with regulation E-5.4 of the Annex to the
Convention, be accepted as valid until …………..
Signed ………………………………………………………………………….
(Signature of authorized official)
Place …………………………………………………………………………..
Date ……………...……………………………..................................................
(Seal or stamp of the authority, as appropriate)
Signed ………………………………………………………………………….
(Signature of authorized official)
Place …………………………………………………………………………..
Date ……………...……………………………..................................................
(Seal or stamp of the authority, as appropriate)
ENDORSEMENT FOR ADVANCEMENT OF ANNIVERSARY DATE
WHERE REGULATION E-5.8 APPLIES
In accordance with regulation E-5.8 of the Annex to the Convention the new
Anniversary date is
[188] 71
Signed ………………………………………………………………………….
(Signature of authorized official)
Place …………………………………………………………………………..
Date ……………...……………………………..................................................
(Seal or stamp of the authority, as appropriate)
In accordance with regulation E-5.8 of the Annex to the Convention the new
Anniversary date is ……………………………………………………………...
Signed ………………………………………………………………………….
(Signature of authorized official)
Place …………………………………………………………………………..
Date ……………...……………………………..................................................
SCHEDULE 4
Regulation 12(1)
Form of Ballast Water Record Book
Flag………………………………………………………………………………
72 [188]
1. Introduction
In accordance with regulation B-2 of the annex to the International
Convention for the Control and Management of Ships' Ballast Water
and Sediments, a record is to be kept of each Ballast Water operation.
This includes discharges at sea and to reception facilities.
18
Refer to the Guidelines for the control and management of ships’ ballast water to minimize
the transfer of harmful aquatic organisms and pathogens adopted by the Organization by
resolution A.868(20)
[188] 73
EAMON RYAN,
Minister for Transport.
76 [188]
EXPLANATORY NOTE
(This note is not part of the Instrument and does not purport to be a legal
interpretation)
These Regulations implement the International Convention for the Control and
Management of Ships’ Ballast Water and Sediments. They set out the
requirements for shipowners to ensure there is a Ballast Water Management
Plan in place, that ballast water exchange is undertaken in line with the
Convention and that any ballast water operations are recorded and that such
records are maintained. The Regulations also set out the survey and
certification requirements and the powers of inspectors.
[188] 77
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