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STATUTORY INSTRUMENTS.

S.I. No. 188 of 2023

________________

SEA POLLUTION (BALLAST WATER MANAGEMENT CONVENTION)


REGULATIONS 2023
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S.I. No. 188 of 2023

SEA POLLUTION (BALLAST WATER MANAGEMENT CONVENTION)


REGULATIONS 2023

I, EAMON RYAN, Minister for Transport, in exercise of the powers conferred


on me by sections 10, 12, 14, 15 and 17 of the Sea Pollution Act 1991 (No. 27
of 1991) and the Maritime Transport, Safety and Security (Transfer of
Departmental Administration and Ministerial Functions) Order 2005 (S.I. No.
842 of 2005), as adapted by the Transport, Tourism and Sport (Alteration of
Name of Department and Title of Minister) Order 2020 (S.I. No. 351 of 2020),
hereby make the following regulations:

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;

Notice of the making of this Statutory Instrument was published in


“Iris Oifigiúil” of 21st April, 2023.
[188] 3

“IMO” means the International Maritime Organization;


“inspector” has the same meaning as it has in section 3 of the Act of 1991;
“International Oil Pollution Prevention Certificate” means the certificate issued
pursuant to Annex I of the International Convention for the Prevention of
Pollution from Ships, 1973, as modified by the Protocol of 1978;
“Irish ship” has the same meaning as it has in section 9 of the Mercantile
Marine Act 1955 (No. 29 of 1955);
“master” in relation to a ship, means the person having, for the time being, the
command or charge of the ship;
“MSO” means the Marine Survey Office of the Department of Transport;
“Party” means a party to the Convention other than the State;
“recognised organisation” has the meaning it has in Regulation (EC) No.
391/2009 of the European Parliament and of the Council of 23 April 2009 on
common rules and standards for ship inspection and survey organisations;
“renewal survey” means the survey referred to in Regulation 15(2)(b);
“Type Approval Certificate” means a certificate issued in accordance with
Regulation 7.
(2) A word or expression that is used in these Regulations has the same
meaning that it has in the Convention.

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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Design and construction of ballast water management systems


5. (1) Ballast water management systems shall be designed and constructed

(a) so as not to impair the health and safety of the ship or personnel,
nor to present any unacceptable harm to the environment or to
public health,
(b) so as not to interact negatively with the ship’s systems and
cargo,
(c) so as not to create long-term impacts on the safety of the ship or
the crew through corrosive effects in the ballast system or other
spaces,
(d) for robust and suitable operation in the shipboard environment,
(e) for the service for which it is intended,
(f) to mitigate any danger to persons on board when installed,
(g) so as to ensure that equipment that could emit dangerous gases
or liquids shall have at least two independent means of detection
and shutdown of the system, and
(h) with materials compatible with –
(i) the substances used within the ballast water management
system,
(ii) the purposes for which they are intended,
(iii) the operational and environmental parameters to which
they will be subjected.
(2) The ballast water management system shall be effective in meeting the
standards described in Regulation 14 with respect to both short voyages and
long voyages, so as to allow for both short and long intervals between
treatment and discharge regardless of temperature of the ballast water, unless
the system is intentionally constructed for use in specific waters.
(3) Any ballast water discharged following treatment shall be safe for the
environment with respect to both short voyages and long voyages, so as to
allow for both short and long intervals between treatment and discharge
regardless of temperature of the ballast water.
(4) The ballast water management system shall be designed to allow for
any viable organisms that remain after treatment to reproduce in the interval
between treatment and discharge, regardless of the technology employed.
(5) Where, for the purposes of complying with these Regulations, active
substances, or preparations containing one or more active substances, are used
by the ballast water management system, the ship owner shall ensure that only
those substances or preparations that are approved by the IMO on the basis of
procedures adopted by the IMO are used.
(6) The ballast water management system shall not contain or use any
substance of a dangerous nature, unless adequate risk mitigation measures
[188] 5

which are deemed acceptable by an inspector are incorporated for storage,


application, installation and safe handling.
(7) In the case of any failure that would compromise the proper operation
of the ballast water management system, audible and visual alarm signals shall
be given in all stations from which ballast water operations are controlled.
(8) (a) All working parts of the ballast water management system that
are liable to wear or damage shall be easily accessible for
maintenance.
(b) The routine maintenance of the ballast water management
system along with troubleshooting procedures shall be clearly
defined by the manufacturer in the operation, maintenance and
safety manual.
(9) The ballast water management system shall include the following
requirements:
(a) the breaking of a seal for every access of the system outside of
the working parts referred to in paragraph (8);
(b) a visual indication that is activated for the duration of any
cleaning, calibration or repair of the system;
(c) control and monitoring equipment which records the matters
referred to in subparagraph (b);
(d) necessary connections to ensure that any bypass of the system
will activate an alarm and any such bypass event is recorded by
the control and monitoring equipment.
(10) (a) Facilities shall be provided for checking, at the renewal surveys
and according to the manufacturer’s instructions, the
performance of the components of the ballast water management
system that take measurements.
(b) A calibration certificate certifying the date of the last calibration
check shall be retained on board for inspection purposes.
(c) Only the manufacturer or persons authorised by the
manufacturer shall perform the accuracy checks.
(11) The ballast water management system shall be provided with simple
and effective means for its operation and control, including a control system
allowing for the services needed for the proper operation of the system through
necessary arrangements.
(12) (a) If the ballast water management system is fitted in a hazardous
area location, the system shall comply with relevant safety
regulations under Irish law and any relevant ISO standards for
such spaces.
(b) Any electrical equipment that is part of the ballast water
management system is required to be certified by an inspector as
safe for use in hazardous areas.
(c) Any moving parts, which are fitted in a hazardous area shall be
arranged so as to avoid the formation of static electricity.
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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.

Control and monitoring of equipment


6. (1)(a) The ballast water management system shall have a suitable
control and monitoring system that will automatically monitor
and record sufficient data to verify the correct operation of the
system.
(b) The system for control and monitoring referred to in
subparagraph (a) shall record the proper functioning or failure of
the system and, where practical, the system design limitations
shall be monitored and recorded by the system to ensure proper
operation.
[188] 7

(2) The ballast water management system shall incorporate control


equipment that automatically monitors and adjusts necessary treatment dosages
or intensities or other aspects of the system.
(3) The equipment referred to in paragraph (2) shall be capable of
producing a report, either electronically or in print, of the applicable self-
monitoring parameters in accordance with part 5 of the Annex to the Code for
the purpose of inspections or maintenance, as required.
(4) (a) For the purposes of compliance with Regulation 12, the
equipment referred to in paragraph (2) shall be capable of
storing data for at least two years.
(b) Where this equipment is replaced, the ship owner shall ensure
that data recorded prior to replacement remains available on
board for two years.
(5) (a) Where a ballast water management system may emit dangerous
gases, a means of gas detection by redundant safety systems
shall be fitted in the space of the system and an audible and
visual alarm shall be activated at a local area and at a manned
ballast water management system control station in case of
leakage.
(b) The means for gas detection referred to in subparagraph (a) shall
be designed and tested in accordance with IEC 60079-29-1 or
other recognised standards acceptable to the MSO.
(c) Gas detection devices with independent shutdown shall be
provided on the ballast water management system.
(6) All software changes introduced to the ballast water management
system after the pre-test evaluation shall be done according to a change
handling procedure as set out in section 1.3.6 of Part 1 of the Annex to the
Code.

Type approval process and certification


7. (1) Paragraphs (2) to (17) apply where a person is applying for type
approval.
(2) Ballast water management systems that are installed on or after 28
October 2020 shall be approved in accordance with the Code.
(3) A manufacturer seeking type approval from the State for a ballast water
management system shall apply in writing or electronically to the MSO in the
form specified in Schedule 2.
(4) An application under paragraph (3) shall be accompanied by, at a
minimum, the following documentation:
(a) a description and diagrammatic drawings of the ballast water
management system;
(b) the operation, maintenance and safety manual;
(c) hazard identification;
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(d) environmental and public health impacts;


(e) system design limitations.
(5) Following the receipt of an application under paragraph (3), the MSO
may request such additional information as it deems necessary and shall carry
out a pre-test evaluation in accordance with Part 1 of the Annex to the Code.
(6) The MSO, following a pre-test evaluation referred to in paragraph (5),
shall engage the services of a testing facility approved by the Minister and shall
submit the application received in accordance with this Regulation, along with
the results of the evaluation to the testing facility.
(7) The approved testing facility shall undertake land based, shipboard and
other tests in accordance with the procedures set out in Parts 2 and 3 of the
Annex to the Code.
(8) Where the approved testing facility notifies the MSO that a ballast
water management system fulfils the requirements and procedures set out in
Parts 1, 2, 3 and 4 of the Annex to the Code, in addition to those of Regulations
5 and 6, the MSO shall, taking account of guidance developed by the IMO,
issue to the manufacturer who made the application a Type Approval
Certificate, in accordance with Part 7 of the Annex to the Code and its
Appendix, for the specific application for which the ballast water management
system is approved.
(9) Limitations of a ballast water management system, in addition to the
required type approval testing parameters identified in paragraphs 2.29 and
2.46 of the Annex to the Code, as submitted by the manufacturer and validated
by the approved testing facility, shall be documented on the Type Approval
Certificate.
(10) The Type Approval Certificate shall specify the main particulars of the
ballast water management system and validated system design limitations and
shall be issued in accordance with Part 7 of the Annex to the Code and its
Appendix.
(11) A Ballast Water Management System that fulfils the requirements of
the Code except that it has not been tested at all the temperatures and salinities
set out in Part 2 of the Annex to the Code shall only be approved by the MSO
if corresponding limiting operating conditions are clearly stated on the Type
Approval Certificate that is issued.
(12) The system design limitations 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 high parameter values for which
the system is designed in order to achieve the ballast water performance
standards provided for in Regulation 14.
(13) Where an active substance is used in the ballast water management
system, the MSO shall issue a Type Approval Certificate only where the ship
owner has complied with Regulation 5(5).
(14) The MSO may issue a BWM Certificate, which shall be in the form
specified in Schedule 3, on the basis of testing carried out by a competent
[188] 9

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.

Sediment management for ships


8. (1) The master shall ensure that the removal and disposal of a ship’s
sediments from those spaces designated to carry ballast water is carried out in
accordance with the ship’s Ballast Water Management Plan.
(2) Taking account of Guidelines, along with safety and operational
efficiency considerations, ships referred to in Regulation 11(4), (5) and (6)
shall be designed and constructed with a view to –
(a) minimising the uptake and undesirable entrapment of sediments,
(b) facilitating removal of sediments, and
(c) providing safe access to personnel to allow for sediment
removal and sampling.

Sediment reception facilities


9. (1) A harbour authority having control over a harbour, port, terminal,
shipyard or ship repair facility shall ensure that if cleaning or repair of ships’
ballast tanks occurs at such harbour, port, terminal, shipyard or ship repair
facility, adequate facilities are provided for the reception of sediments.
(2) When deciding on whether reception facilities for sediments are
adequate, a harbour authority shall take into account Guidelines for sediment
reception facilities.
(3) Such reception facilities shall operate without causing undue delay to
ships and shall provide for the safe disposal of such sediments in a manner that
does not impair or damage the environment, human health, property or
resources in the State or in another state.
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Ballast Water Management Plan


10. (1) Each ship shall have on board a Ballast Water Management Plan
along with a designated officer charged with ensuring that the plan is properly
implemented.
(2) In the case of an Irish ship, the plan shall be approved by the MSO,
taking into account Guidelines.
(3) The Ballast Water Management Plan shall be specific to each ship and
shall, at a minimum, contain the following:
(a) safety procedures, as set out in Guidelines, for the ship and the
crew associated with ballast water management;
(b) detailed description of the actions to be taken to implement the
plan, including the ballast water management requirements set
out in Regulations 8(1), 11, 13(1), (5), (6) and (7), and 14 along
with the required supplemental ballast water management
practices provided for in Regulations 12 and 15(2);
(c) procedures for the disposal of sediments at sea and to shore;
(d) procedures for coordinating with authorities of a state in a
situation where ballast water management involves discharge
into the territorial seas of that state;
(e) details of the designated officer referred to in paragraph (1);
(f) processes for ensuring that the requirements provided for in
Regulations 5(16)(b), 5(17)(b), 5(18), 12(3), 12(6), 13(4),
15(4)(a) and 15(4)(c) are met.
(4) The Ballast Water Management Plan shall be written in the working
language of the ship and if that language is not English, French or Spanish, a
translation into one of those languages shall be included.
(5) The master shall ensure that officers and crew are familiar with their
duties in the implementation of ballast water management particular to the ship
on which they serve and shall, commensurate with their duties, be familiar with
the ship’s Ballast Water Management Plan.

Conducting ballast water management


11. (1) The master shall ensure that discharge of ballast water shall be
carried out only as part of a Ballast Water Management Plan and is in
accordance with these Regulations.
(2) Where a ship was constructed prior to 2009, its ballast water
management plan shall meet 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.
(3) Where a ship was constructed in or after 2009 and before 8 September
2017 with a ballast water capacity of less than 5,000 cubic meters, its ballast
water management shall be conducted in a manner that at least meets the
[188] 11

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.

Ballast Water Record Book


12. (1) Each ship shall have on board a Ballast Water Record Book in
which shall be entered at a minimum the information specified in Schedule 4
and which may be in the form of –
(a) an electronic record which is self-contained or integrated
into another electronic record system, or
(b) a physical record book which is self-contained or part of
another physical record book.
(2) Entries in the ballast water record book shall be retained on board the
ship for a minimum period of two years after the last entry has been made and
12 [188]

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.

Ballast Water Exchange


13. (1) Where a ship is conducting ballast water exchange to meet the
standards set out in paragraphs (5), (6) and (7), the master shall ensure –
(a) whenever possible, that ballast water exchange is conducted at
least 200 nautical miles from the nearest land and in water at
least 200 metres in depth, taking into account the Guidelines,
and
(b) in cases where the ship is unable to conduct ballast water
exchange in accordance with paragraph (a), that the exchange
takes place taking the Guidelines into account and as far from
the nearest land as possible, and in all cases at least 50 nautical
miles from the nearest land and in water at least 200 metres in
depth.
(2) A ship shall not be required to deviate from its intended voyage, or
delay the voyage, in order to comply with any particular requirement of
paragraph (1).
(3) A ship conducting ballast water exchange shall not be required to
comply with paragraph (1) if the master reasonably decides that such exchange
would threaten the safety or stability of the ship, its crew, or its passengers
because of adverse weather, ship design or stress, equipment failure, or any
other extraordinary conditions.
[188] 13

(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.

Ballast Water Performance Standards


14. (1) Where a ship is conducting ballast water management in
accordance with these Regulations, the master shall ensure that discharge –
(a) contains less than 10 viable organisms per cubic metre which
are greater than or equal to 50 micrometres in minimum
dimension,
(b) contains less than 10 viable organisms per millilitre which are
less than 50 micrometres in minimum dimension and greater
than or equal to 10 micrometers in minimum dimension, and
(c) with respect to indicator microbes, shall not exceed the specified
concentrations in paragraph (2).
(2) The concentration levels for indicator microbes are as follows:
(a) toxicogenic Vibrio cholerae (O1 and O139) with less than 1
colony forming unit (cfu) per 100 millilitres or less than 1 cfu
per 1 gram (wet weight) zooplankton samples;
(b) escherichia coli less than 250 cfu per 100 millilitres;
(c) intestinal Enterococci less than 100 cfu per 100 millilitres.

Survey and Certification


15. (1) The MSO shall ensure that ships of 400 gross tonnage and above,
excluding floating platforms, floating storage units (FSOs) and floating
production storage and offloading units (FPSOs) are surveyed for compliance
with the Regulations in accordance with paragraph (2) and certified in
accordance with paragraph (6)(a).
(2) A ship to which paragraph (1) applies shall be presented to the MSO for
a survey as follows:
(a) an initial survey to be carried out –
(i) before the ship is put into service, or
(ii) before a BWM Certificate is issued for the first time,
14 [188]

for the purposes of certifying that the Ballast Water


Management Plan and any associated structure,
equipment, systems, fitting, arrangements and material
or processes comply fully with the requirements of these
Regulations and that a commissioning test has been
conducted to validate the installation of any ballast water
management system by demonstrating that its
mechanical, physical, chemical and biological processes
are working properly, taking account of Guidelines;
(b) subject to paragraphs (2), (5), (6), (7), (8) and (9) of Regulation
16, a renewal survey every five years from the date of issue of
the BWM Certificate for the purposes of certifying that the
Ballast Water Management Plan required by Regulation 10 and
any associated structure, equipment, systems, fitting,
arrangements and material or processes comply fully with the
applicable requirements of these Regulations;
(c) an intermediate survey –
(i) within three months before or after the second anniversary
date, or
(ii) within three months before or after the third anniversary
date,
of the date of issue of the BWM Certificate, which shall take
the place of one of the annual surveys specified in paragraph
(d), and the intermediate survey shall include a general
inspection of the structure, equipment, systems, fittings,
arrangements and material or processes associated with the
Ballast Water Management Plan and that they fully comply
with the requirements of these Regulations, are in good
working order and remain satisfactory for the service for which
the ship is intended to be used;
(d) an annual survey made within three months before or after each
anniversary date of the BWM Certificate, including a general
inspection of the structure, equipment, systems, fittings,
arrangements and material or processes associated with the
Ballast Water Management Plan required under Regulation 10,
and the annual survey shall ensure that they have been
maintained in accordance with paragraph (5) and remain
satisfactory for the service for which the ship is intended to be
used;
(e) an additional survey, either general or partial, according to the
circumstances, where a change, replacement or significant repair
of the structure, equipment, systems, fittings, arrangements and
material necessary to achieve full compliance with these
Regulations is made, which survey shall ensure that any such
change, replacement, or significant repair has been effectively
made, so that the ship complies with the requirements of these
Regulations and that a commissioning test has been conducted
[188] 15

to validate the installation of the system by demonstrating that


its mechanical, physical, chemical and biological processes are
working properly, taking into account Guidelines.
(3) An inspector shall certify that he or she has inspected the following:
(a) a copy of the Type Approval Certificate of the Ballast Water
Management System;
(b) the operation, maintenance and safety manual of the Ballast
Water Management System;
(c) the Ballast Water Management Plan;
(d) installation specifications;
(e) installation commissioning procedures.
(4) (a) Whenever an accident occurs to a ship or a defect is discovered
which substantially affects the ability of the ship to conduct
ballast water management in accordance with these Regulations,
the master shall report it at the earliest opportunity to the MSO.
(b) The MSO shall conduct a preliminary investigation to ascertain
whether a survey of a type described in Regulation 15(2)(c) is
required in the circumstances described in paragraph (a).
(c) If the ship is in a port of another state, the owner shall also
report immediately to the appropriate authorities of the port state
and the MSO shall ascertain that such report has been made.
(5) The condition of the ship and its equipment, systems and processes
shall be maintained to conform with these Regulations, so as to ensure that the
ship in all respects will remain fit to proceed to sea without presenting a threat
of harm to the environment, human health, property or resources.
(6) (a) On completion of an initial survey or a renewal survey in
accordance with paragraph (2)(a) or (b), as the case may be, and
verification of the matters provided for in paragraph (3) and
subparagraph (b), the MSO shall issue a BWM Certificate.
(b) Prior to issuing a BWM Certificate, the MSO shall verify that –
(i) the ballast water management system installation has been
carried out in accordance with the technical installation
specification referred to in paragraph (3)(d),
(ii) the ballast water management system is in conformity with
the relevant Type Approval Certificate,
(iii) the installation of the complete ballast water management
system has been carried out in accordance with the
manufacturer’s equipment specification,
(iv) any operational inlets and outlets are located in the
positions indicated on the drawing of the pumping and
piping arrangements,
16 [188]

(v) the workmanship of the installation is satisfactory and, in


particular, that any bulkhead penetrations or penetrations
of the ballast system piping are to the relevant approved
standards, and
(vi) the installation commissioning procedures have been
completed.
(7) Where a survey is carried out under paragraph (2) and the inspector is
not satisfied that the ship complies with the provisions of these Regulations,
the MSO shall refuse to issue, or may withdraw, as the case may be, a BWM
Certificate, until such time as corrective action has been taken to satisfy the
inspector that the ship complies with the Regulations.
(8) A BWM Certificate issued under paragraph (6)(a) shall cease to be
valid where –
(a) the ship transfers to the flag of another State,
(b) a survey under paragraph (2) is not completed within the
appropriate period specified in that paragraph, or
(c) the BWM Certificate is not endorsed in accordance with
paragraph (11).
(9) Where a vessel transfers to the Irish flag, a BWM Certificate shall only
be issued when the MSO is fully satisfied that the ship is in compliance with
the requirements of this Regulation.
(10) In the case of a transfer of an Irish ship to the flag of another State, the
MSO shall, if requested within three months after the transfer has taken place,
transmit to the authorities of the new flag state, copies of the BWM Certificate,
the Type Approval Certificate, the Ballast Water Record Book and other
relevant documentation carried by the ship before the transfer and, if available,
copies of the surveys referred to in paragraph (2).
(11) A survey carried out pursuant to paragraph (2)(c), (d) or (e) shall be
noted in the form of an endorsement and signed, dated and stamped by the
inspector on the BWM Certificate.

Duration and Validity of BWM Certificate


16. (1) Subject to paragraph (2), a BWM Certificate issued under
Regulation 15(6)(a) shall be valid for a period not exceeding five years.
(2) Where a renewal survey referred to in Regulation 15(2)(b) is completed
with the appropriate certification provided –
(a) within 3 months before the expiry date 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 expiry of the existing BWM
Certificate,
(b) after the expiry of the current BWM Certificate, a newly issued
BWM Certificate shall be valid from the date of completion of
[188] 17

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
18 [188]

anniversary date referred to in those provisions shall be amended by an


inspector to a date which shall not be more than 3 months later than the
anniversary of the date on which the survey was completed and the intervals by
which subsequent surveys under those provisions are required to be carried out
shall be modified accordingly.
(12) Where paragraph (11) applies, the expiry date in respect of a BWM
Certificate shall remain unchanged provided that the surveys referred to in that
paragraph are carried out within the maximum interval permitted under those
paragraphs.

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
[188] 19

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.

1.3 The Code includes general requirements concerning the design,


installation, performance, testing, environmental acceptability, technical
procedures for evaluation and procedures for issuance of Type Approval
Certificates of BWMS and reporting to the Organization.

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.
[188] 21

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.

1.8 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. Amendments to this Code shall be duly
circulated by the Secretary-General. Due consideration shall be given to the
practicability of the BWMS.

Goal and purpose


1.9 The goal of the Code is to ensure uniform and proper application of the
standards contained in the Convention. As such the Code should be updated as
the state of knowledge and technology may require.

1.10 The purpose of the Code 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
BWMS;
2 set out appropriate design, construction and operational
parameters necessary for the approval of BWMS;
3 provide direction 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
4 ensure that BWMS 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, the crew, the environment or public health.

Applicability
1.11 This Code applies to the approval of BWMS in accordance with the
Convention.
22 [188]

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.

2.2 Regulation D-2 stipulates that ships conducting ballast water


management in accordance with the ballast water performance standard of the
Convention shall discharge:
1 less than 10 viable organisms per cubic metre greater than or
equal to 50 μm in minimum dimension;
2 less than 10 viable organisms per millilitre less than 50 μm in
minimum dimension and greater than or equal to 10 μm 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 mL or
less than 1 cfu per 1 g (wet weight) of zooplankton
samples;
2 Escherichia coli less than 250 cfu per 100 mL; and
3 Intestinal Enterococci less than 100 cfu per 100 mL.

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.

3.8 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 this Code, to confirm that
the BWMS meets the ballast water performance 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 shall be taken in a time-
integrated manner and the sampling facility shall be installed, taking into
account guidelines developed by the Organization.1

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)
24 [188]

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 this Code, 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
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.

3.16 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 ballast water performance standard in regulation D-
2. 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 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

General principles for operation


4.2 A BWMS shall 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 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.

Ballast water management systems


4.5 The BWMS shall 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 with: the substances used; the
purpose for which it is intended; the working conditions to
which it will be subjected; and the environmental conditions on
board.

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.

4.7 In case of any failure compromising the proper operation of the


BWMS, audible and visual alarm signals shall 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 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.

4.12 The BWMS shall, 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 shall be based in a non-hazardous area, or
shall be certified by the Administration as safe for use in a hazardous area. Any
moving parts, which are fitted in hazardous areas, shall be arranged so as to
avoid the formation of static electricity.

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.

4.14 It shall 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
shall take into account the relevant guidance developed by the Organization.
[188] 27

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.

Control and monitoring equipment


4.17 Administrations shall 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 shall record the proper functioning or failure of the
BWMS. Where practical, SDL parameters should be monitored and recorded
by the BWMS to ensure proper operation.

4.18 The BWMS shall 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 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.

4.20 To facilitate compliance with regulation B-2, the control and


monitoring equipment shall also be able to store data for at least 24 months. In
the event that the control and monitoring equipment is replaced, means shall 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 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 TYPE APPROVAL PROCESS

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

5.2 The manufacturer of the equipment shall 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 shall be the basis for a first evaluation of suitability
by the Administration.

5.3 Following the Administration's pre-test evaluation, the BWMS shall


undergo land-based, shipboard and other tests in accordance with the
procedures described in Parts 2 and 3 of the annex. The BWMS tested for type
approval shall be a final and complete product that meets the requirements of
section 4 and it shall 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 this Code, shall
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 2.29 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.

5.6 When a type-approved BWMS is installed on board, an installation


survey according to section 8 shall be carried out.

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.
[188] 29

6 APPROVAL AND CERTIFICATION PROCEDURES

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.

6.3 A Type Approval Certificate of a BWMS shall be issued for the


specific application for which the BWMS is approved, e.g. for specific ballast
water capacities, flow rates, salinity or temperature regimes, or other limiting
operating conditions or circumstances as appropriate.

6.4 A Type Approval Certificate of a BWMS shall be issued by the


Administration based on satisfactory compliance with all the requirements
described in Parts 1, 2, 3 and 4 of the annex.

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.

6.6 An Administration may issue a Type Approval Certificate of a BWMS


based on testing already carried out under supervision by another
Administration. In cases where the approval of a BWMS by an Administration
for installation on a ship operating under its authority is to be granted on the
basis of testing carried out by another Administration, the approval may be
conveyed through the issuance of the International Ballast Water Management
Certificate.

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

6.9 An approved BWMS may be type approved by other Administrations


for use on their ships. Should a BWMS approved by one country fail type
approval in another country, then the two countries concerned shall consult one
another with a view to reaching a mutually acceptable agreement.

6.10 An Administration approving a BWMS shall promptly provide a type-


approval report to the Organization in accordance with part 6 of the annex.
Upon receipt of a type-approval report, the Organization shall promptly make it
available to the public and Member States by appropriate means.

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.

6.12 In the case of a BWMS that was previously type-approved by an


Administration taking into account the revised Guidelines (G8) adopted by
resolution MEPC.174(58), the manufacturer, in seeking a new type approval
under this Code, shall only be requested to submit to the Administration the
additional test reports and documentation set out in this Code.

7 INSTALLATION REQUIREMENTS FOLLOWING TYPE


APPROVAL

7.1 The BWMS shall be accompanied by sampling facilities installed


taking into account guidelines developed by the Organization,3 so arranged in
order to collect representative samples of the ship's ballast water discharge.

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

standard described in regulation D-2 (i.e. circulation or in-tank treatment) the


recording in paragraph 7.2 shall identify such internal transfer operations.

8 INSTALLATION SURVEY AND COMMISSIONING PROCEDURES


FOLLOWING TYPE APPROVAL

8.1 The additional information outlined in the paragraphs below is intended


to facilitate ship operations and inspections and assist ships and
Administrations in preparing for the procedures set out in the Survey
Guidelines for the purpose of the International Convention for the Control and
Management of Ships' Ballast Water and Sediments under the Harmonized
System of Survey and Certification,4 developed by the Organization, which
describe the examination of plans and designs and the various surveys required
under regulation E-1.

8.2 The Administration issuing the International Ballast Water


Management Certificate shall verify that the following documentation is on
board in a suitable format:
1 for the purpose of information, a copy of the Type Approval
Certificate of the BWMS;
2 the operation, maintenance and safety manual of the BWMS;
3 the ballast water management plan of the ship;
4 installation specifications, e.g. installation drawing, piping and
instrumentation diagrams, etc; and
5 installation commissioning procedures.

8.3 Prior to the issuance of the International Ballast Water Management


Certificate, following the installation of a BWMS, the Administration should
verify that:
1 the BWMS installation has been carried out in accordance with
the technical installation specification referred to in paragraph
8.2.4;
2 the BWMS is in conformity with the relevant Type Approval
Certificate BWMS;
3 the installation of the complete BWMS has been carried out in
accordance with the manufacturer's equipment specification;
4 any operational inlets and outlets are located in the positions
indicated on the drawing of the pumping and piping
arrangements;

4
Refer to the Survey Guidelines under the Harmonized System of Survey and Certification
(HSSC), 2017 (resolution A.1120(30))
32 [188]

5 the workmanship of the installation is satisfactory and, in


particular, that any bulkhead penetrations or penetrations of the
ballast system piping are to the relevant approved standards; and
6 the installation commissioning procedures have been completed.

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.

1.2 Documentation shall be provided by the manufacturer/developer for


two primary purposes: evaluating the readiness of the BWMS for undergoing
approval testing and evaluating the manufacturer's proposed SDL and
validation procedures.

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

including scope of the ships (sizes, types and operation)


for which the system is intended. This information may
form the link between the system and the ship’s ballast
water management plan; and
7 a description of BWMS side streams (e.g. filtered
material, centrifugal concentrate, waste or residual
chemicals) including a description of the actions planned
to properly manage and dispose of such wastes;
2 the operation, maintenance and safety manual, including at least:
1 instructions for the correct operation of the BWMS,
including procedures for the discharge of untreated
water in the event of malfunction of the ballast water
treatment equipment;
2 instructions for the correct arrangement of the BWMS;
3 maintenance and safety instructions and the need to keep
records;
4 troubleshooting procedures;
5 emergency procedures necessary for securing the ship;
6 any supplementary information considered necessary for
the safe and efficient operation of the BWMS, e.g.
documentation provided for approval under the
Procedure for approval of ballast water management
systems that make use of Active Substances (G9
(resolution MEPC.169(57)); and
7 calibration procedures;
3 information on any hazard identification conducted to identify
potential hazards and define appropriate control measures, if the
BWMS or the storage tanks for processing chemicals could emit
dangerous gases or liquids;
4 information regarding environmental and public health impacts
including:
1 identification of potential hazards to the environment
based on environmental studies performed to the extent
necessary to assure that no harmful effects are to be
expected;
2 in the case of BWMS that make use of Active
Substances or Preparations containing one or more
Active Substances, the dosage of any Active Substances
used and the maximum allowable discharge
concentrations;
3 in the case of 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
34 [188]

impacts to receiving waters might occur upon discharge,


the documentation shall include results of toxicity tests
of treated water as described in paragraph 2.19 of this
annex; and
4 sufficient information to enable 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;
5 information regarding SDL including:
1 the identification of all known parameters to
which the design of the BWMS is sensitive;
2 for each parameter the manufacturer shall claim a
low and/or a high value for which the BWMS is
capable of achieving the Performance Standard
of regulation D-2; and
3 the proposed method for validating each claimed
SDL shall be set out, together with information
on the source, suitability and reliability of the
method;
6 a software change handling and revision control document
including all software changes introduced to the system after the
pre-test evaluation. These shall be done according to a change
handling procedure ensuring traceability. Therefore, the
manufacturer shall present a procedure describing how changes
are to be handled and how revision control is maintained. As a
minimum for a modification request, the following types of
information shall be produced and logged:
1 reason for modification;
2 specification of the proposed change;
3 authorization of modification; and
4 test record;
7 functional description including a textual description with
necessary supporting drawings, diagrams and figures to cover:
1 system configuration and arrangement;
2 scope of supply;
3 system functionality covering control, monitoring, alarm
and safety functions;
4 self-diagnostics and alarming functionalities; and
5 safe states for each function implemented.
1.4 The documentation may include specific information relevant to the test
set-up to be used for land-based testing according to this Code. Such
information should include the sampling needed to ensure proper functioning
[188] 35

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.

1.7 Administrations shall ensure adequate risk assessments including the


implementation of preventative actions have been undertaken relating to the
safe operation of BWMS.

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.

1.11 The Administration may allow replacements of non-major components


of equivalent specification (independently approved to a recognized and equal
operational standard) during type approval. Replacements of non-major
components during testing shall be reported.
36 [188]

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.

1.13 The evaluation shall identify consumable components in the BWMS.


The Administration may allow replacement of like-for-like consumable
components during type approval testing and all replacements shall be
reported.

System Design Limitation evaluation


1.14 The SDL evaluation shall be undertaken by the Administration. It shall
assess the basis for the manufacturer's claim that the SDL include all known
water quality and operational parameters to which the design of the BWMS is
sensitive and that are important to its ability to achieve the performance
standard described in regulation D-2.

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.

PART 2 –TEST AND PERFORMANCE SPECIFICATIONS FOR


APPROVAL OF BALLAST WATER MANAGEMENT SYSTEMS
2.1 The Administration decides the sequence of land-based and shipboard
testing. The BWMS used for testing must be verified by the Administration to
be the same as the BWMS described under Part 1 of the annex with major
components as described in the documentation submitted in accordance with
paragraphs 1.3.1.3 and 1.3.1.4 of this annex.

Quality assurance and quality control procedures


2.2 The test facility shall demonstrate its competency in conducting valid
type approval tests in two ways:
1 by having implemented a rigorous quality control/quality
assurance programme, approved, certified and audited by an
independent accreditation body, or to the satisfaction of the
Administration; and
2 by demonstrating its ability to conduct valid test cycles with
appropriate challenge water, sample collection, sample analysis
and method detection limits.
[188] 37

It is the responsibility of the Administration, or its authorized delegate, to


determine the acceptability of the test facility.

2.3 The test facility's quality control/quality assurance programme shall


consist of:
1 a Quality Management Plan (QMP), which addresses the quality
control management structure and policies of the testing body
(including subcontractors and outside laboratories);
2 a Quality Assurance Project Plan (QAPP), which defines the
methods, procedures, and quality assurance and quality control
(QA/QC) protocols used by the test facility for testing BWMS
in general. It identifies the test team members, and it includes all
relevant standard operating procedures (SOPs), typically as
appendices; and
3 a Test/Quality Assurance Plan (TQAP), that provides specific
details for conducting a test of a given BWMS at a given site
and time. The TQAP includes detailed plans for commissioning
the BWMS, the experimental plan, decommissioning, and
reporting the results. The TQAP identifies all organizations
involved in the test and includes the BWMS manufacturer's
documentation and performance claims. The TQAP also
identifies the data to be recorded, operational and challenge
parameters that define a valid test cycle, data analyses to be
presented in the verification report and a schedule for testing.
Appropriate statistical distributions shall be considered and used
to analyse data.

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.

Avoiding sampling bias


2.5 The sampling protocol must ensure organism mortality is minimized,
e.g. by using appropriate valves and flow rates for flow control in the sampling
facility, submerging nets during sampling collection, using appropriate
sampling duration and handling times, and appropriate concentrating
methodology. All methods to avoid sampling bias shall be validated to the
satisfaction of the Administration.

Shipboard tests
2.6 A shipboard test cycle includes:
1 the uptake of ballast water of the ship;
38 [188]

2 treatment of the ballast water in accordance with paragraph


2.8.4 of this annex by the BWMS;
3 the storage of ballast water on the ship during a voyage; and
4 the discharge of ballast water from the ship.

2.7 Shipboard testing of BWMS shall be conducted by the test facility,


independent of the BWMS manufacturer, with the system being operated and
maintained by the ships' crew as per the operation, maintenance and safety
manual.

Success criteria for shipboard testing


2.8 In evaluating the performance of BWMS installation(s) on a ship or
ships, the following information and results shall be supplied to the satisfaction
of the Administration:
1 test plan to be provided prior to testing;
2 documentation that an in-line BWMS is of a capacity to reflect
the flow rate of the ballast water pump for the TRC of the
BWMS;
3 documentation that an in-tank BWMS is of a capacity to reflect
the ballast water volume that it is intended to treat within a
specified period of time;
4 the amount of ballast water tested in the test cycle on board shall
be consistent with the normal ballast operations of the ship and
the BWMS shall be operated at the TRC for which it is intended
to be approved;
5 documentation showing that the discharge of each valid test
cycle was in compliance with regulation D-2. For a test to be
valid, the uptake water for the ballast water to be treated shall
contain a density of viable organisms exceeding 10 times the
maximum permitted values in regulation D-2.1;
6 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 1 m³. If a smaller
volume is validated to ensure representative
sampling of organisms, it may be used;
[188] 39

2 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 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
4 the full volume of the sample shall be analysed
unless the total number of organisms is high, e.g.
100. In this case, the average density may be
extrapolated based on a well-mixed subsample
using a validated method;
2 for the enumeration of viable organisms greater than or
equal to 10 μm and less than 50 μm 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. A sample of at
least 10 L shall be collected, and a fraction may
be subsampled for transport to the laboratory,
provided it is representative of the sample and is
a minimum of 1 L. A minimum of three 1 mL
subsamples shall be analysed in full to enumerate
organisms;
2 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. A sample of at least 10 L shall be
collected, and a fraction may be subsampled for
transport to the laboratory, provided it is
representative of the sample and is a minimum of
1 L. A minimum of six 1 mL subsamples shall be
analysed in full to enumerate organisms;
3 the sample may not be concentrated for analysis
unless the procedure is validated. Only
40 [188]

organisms greater than 10 μm and less than 50


μm in minimum dimension shall be enumerated;
and
4 the full volume of the sample shall be analysed
unless the total number of organisms is high, e.g.
100. In this case, the average density may be
extrapolated based on a well-mixed subsample
using a validated method;
3 for the evaluation of bacteria:
1 for the influent and discharge samples, the
minimum 10 L sample referred to in paragraphs
2.8.6.2.1 and 2.8.6.2.2, or another sample at least
10 L in volume and collected in a similar manner
should be used, a subsample of minimum 1 L
may be transferred to a sterile container for
analysis;
2 a minimum of three subsamples of appropriate
volume taken from the 1 L subsample described
above shall be analysed for colony forming units
of bacteria listed in regulation D-2; and
3 the toxicogenic test requirements shall be
conducted in an appropriately approved
laboratory. If no approved laboratory is available,
the analysis method may be validated to the
satisfaction of the Administration.
7 the test cycles including invalid test cycles shall span a period of
not less than six months;
8 three consecutive test cycles in compliance with regulation D-2
are to be performed. Any invalid test cycle does not affect the
consecutive sequence;
9 the six-month shipboard test period starts and ends with the
completion of a successful test cycle or invalid test cycle that
meets the D-2 standard. The three consecutive and valid test
cycles that are required in paragraph 2.8.8 above must be
suitably separated across the six-month period;
10 the source water for test cycles shall be characterized by
measurement of salinity, temperature, particulate organic
carbon, total suspended solids and dissolved organic carbon;
and
11 for system operation throughout the test period, the following
information shall also be provided:
1 documentation of all ballast water operations including
volumes and locations of uptake and discharge, and if
heavy weather was encountered and where;
[188] 41

2 documentation that the BWMS was operated


continuously throughout the test period for all ballasting
and deballasting of the ship;
3 documentation detailing water quality parameters
identified by the test organization that should be
provided as appropriate and practicable;
4 the possible reasons for an invalid test cycle, or a test
cycle discharge failing the D-2 standard, which shall be
investigated and reported to the Administration;
5 documentation of scheduled maintenance performed on
the system during the test period;
6 documentation of unscheduled maintenance and repair
performed on the system during the test period;
7 documentation of engineering parameters, monitored as
appropriate to the specific system; and
8 a report detailing the functioning of the control and
monitoring equipment.

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.

2.10 Any limitations imposed by the BWMS on the testing procedure


described here shall be duly noted and evaluated by the Administration.

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.

2.14 Test facilities carrying out identification of Relevant Chemicals and


toxicity testing of the treated ballast water from test cycles with a storage time
42 [188]

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.

2.15 Land-based testing of BWMS shall be independent of the system


manufacturer.

2.16 Testing shall occur using different water conditions sequentially as


provided for in paragraphs 2.29 and 2.31 of this annex.

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

Land-based testing set-up


2.20 The test set-up for approval tests shall be representative of the
characteristics and arrangements of the types of ships in which the equipment
is intended to be installed. The test set-up shall therefore include at least the
following:
1 the complete BWMS to be tested;
2 piping and pumping arrangements; and
3 the storage tank that simulates a ballast tank, constructed such
that the water in the tank shall be completely shielded from
light.

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.

Ballast water management system scaling


2.25 Scaling of the BWMS should take into account guidance developed by
the Organization.7 The Administration shall verify that the scaling used is
appropriate for the operational design of the BWMS.

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.

2.28 In-tank treatment equipment shall be tested on a scale that allows


verification of full-scale effectiveness. The suitability of the test set-up shall be
evaluated by the manufacturer and approved by the Administration.

Land-based test design – inlet and outlet criteria


2.29 For any given set of test cycles (five are considered a set) a salinity
range shall be chosen for each cycle. Given the salinity of the test set-up for a
test cycle in fresh, brackish and marine water, each shall have dissolved and
particulate content in one of the combinations set out in the table below.
Deviations from the marine and brackish salinity ranges of the table shall be
reported and justified and the resulting tests shall not be less challenging for
the BWMS than would be the circumstance if the deviations had not occurred:

Salinity

Marine 28 - 36 Brackish 10 - 20 Fresh < 1 PSU


PSU PSU

Dissolved organic > 1 mg/L > 5 mg/L > 5 mg/L


carbon (DOC)

Particulate organic > 1 mg/L > 5 mg/L > 5 mg/L


carbon (POC)

Total suspended > 1 mg/L > 50 mg/L > 50 mg/L


solids (TSS)

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.

2.32 Use of standard test organisms (STO):


1 the use of standard test organisms (STO) is permissible if the
challenge levels in naturally occurring water at the test facility
require supplementation. The use of STO shall not be
considered standard practice and the Administration shall in
every case review that the selection, number and use of
supplementary STOs ensures that the challenge posed to the
BWMS provides an adequately robust test. The use of STOs
shall not bias a test for or against any specific treatment process.
They shall be locally isolated to ensure that the risk to the local
environment is minimized; non-indigenous organisms which
have the potential to cause harm to the environment shall not be
used;
2 procedures, processes and guidance for the use of STO shall be
based on the most relevant and up-to-date available scientific
data. Such procedures, processes and guidance shall form a part
of the testing facilities quality assurance regimes; and
3 the use of STO, including concentrations and species, shall be
recorded within the test report. The test report shall include
information pertaining to the evaluation and justification for the
use of STO, an assessment of the impact of their use on other
test parameters and potential impacts on the test being
undertaken. The information contained within the report shall
reflect both the positive and negative impacts of the use of STO.

2.33 The influent water shall include:


1 test organisms of greater than or equal to 50 μm or more in
minimum dimension that shall be present in a total density of
preferably 106 but not less than 105 individuals per cubic metre,
and shall consist of at least five species from at least three
different phyla/divisions;

2 test organisms greater than or equal to 10 μm and less than 50


μm in minimum dimension that shall be present in a total
density of preferably 104 but not less than 103 individuals per
mL, and shall consist of at least five species from at least three
different phyla/divisions;
46 [188]

3 heterotrophic bacteria that shall be present in a density of at


least 104 living bacteria per mL; and
4 a variety of organisms which shall be documented according to
the size classes mentioned above regardless of whether natural
organism assemblages or cultured organisms were used to meet
the density and organism variety requirements.

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.

2.35 If cultured test organisms are used, local applicable quarantine


regulations shall be taken into account during culturing and discharge.

Land-based monitoring and sampling


2.36 Change of numbers of test organisms by treatment and during storage
in the simulated ballast tank shall be measured using methods described in Part
4 of this annex (paragraphs 4.5 to 4.7).

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.

2.39 Environmental parameters such as pH, temperature, salinity, dissolved


oxygen, TSS, DOC, POC and turbidity (Nominal Turbidity Unit, NTU) shall
be measured at the same time that the samples described are taken.

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.

2.41 The control and treatment cycles may be run simultaneously or


sequentially. Control samples are to be taken in the same manner as the
equipment test as prescribed in paragraph 2.40 above and upon influent and
discharge.

2.42 Facilities or arrangements for sampling shall be provided to ensure


representative samples of treated and control water can be taken that introduce
as little adverse effects as possible on the organisms.

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

4 the full volume of the sample shall be analysed unless


the total number of organisms is high, e.g. 100. In this
case, the average density may be extrapolated based on a
well-mixed subsample using a validated method;
2 for the enumeration of viable organisms greater than or equal to
10 μm and less than 50 μm in minimum dimension:
48 [188]

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. A sample of at least 10 L shall be collected,
and a fraction may be subsampled for transport to the
laboratory, provided it is representative of the sample
and is a minimum of 1 L. A minimum of three 1 mL
subsamples shall be analysed in full to enumerate
organisms;
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. A sample of
at least 10 L shall be collected, and a fraction may be
subsampled for transport to the laboratory, provided it is
representative of the sample and is a minimum of 1 L. A
minimum of six 1 mL subsamples shall be analysed in
full to enumerate organisms;
3 the sample may not be concentrated for analysis unless
the procedure is validated. Only organisms greater than
10 μm and less than 50 μm in minimum dimension shall
be enumerated; and
4 the full volume of the sample shall be analysed unless
the total number of organisms is high, e.g. 100. In this
case, the average density may be extrapolated based on a
well-mixed subsample using a validated method; and
3 for the evaluation of bacteria:
1 for the influent and discharge samples, a minimum 10 L
sample referred to in paragraphs 2.8.6.2.1 and 2.8.6.2.2
above, respectively, or another sample at least 10 L in
volume and collected in a similar manner, should be
used; a subsample of minimum 1 L may be transferred to
a sterile container for analysis;
2 a minimum of three subsamples of appropriate volume
taken from the 1 L subsample described above shall be
analysed for colony forming units of bacteria listed in
regulation D-2; and
3 the toxicogenic test requirements shall be conducted in
an appropriately approved laboratory. If no approved
laboratory is available, the analysis method may be
validated to the satisfaction of the Administration.
[188] 49

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.

2.47 This assessment may include:


1 testing during land-based, shipboard, laboratory or bench-scale
testing; and/or
2 the use of existing data and/or models, provided that their
source, suitability and reliability is reported.

2.48 The report submitted to the Administration shall contain all


documentation (including procedures, methods, data, models, results,
explanations and remarks) associated with the temperature assessment. The
report shall include at least the information identified in paragraph 2.57 of this
annex.

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]

2.52 Otherwise, the enumeration of organisms to assess regrowth shall be


undertaken at least five days after the completion of all of the mechanical,
physical, chemical and/or biological processes intended to kill, render harmless
or remove organisms within ballast water.

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.

2.54 The evaluation of regrowth is not intended to evaluate contamination in


ballast tanks or piping, such as may arise from the presence of untreated water
or residual sediments.

2.55 A report shall be submitted to the Administration containing all


documentation (including procedures, methods, data, models, results,
explanations and remarks) associated with the evaluation of regrowth. The
report shall include at least the information identified in paragraph 2.57 of this
annex.

Reporting of test results


2.56 After approval tests have been completed, a report shall be submitted to
the Administration. This report shall include information regarding the test
design, methods of analysis and the results of these analyses for each test cycle
(including invalid test cycles), BWMS maintenance logs and any observed
effects of the BWMS on the ballast system of the ship (e.g. pumps, pipes,
tanks, valves). Shipboard test reports shall include information on the total and
continuous operating time of the BWMS.

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;

3 the trade name, product designation (such as model numbers),


and a detailed description of the equipment or material
inspected, tested or evaluated;
4 the time, date, and place of each approval inspection, test or
evaluation;
[188] 51

5 the name and title of each person performing, supervising, and


witnessing the tests and evaluations;
6 executive summary;
7 introduction and background;
8 for each test cycle, inspection or evaluation conducted,
summary descriptions of:
1 experimental design;
2 methods and procedures;
3 results and discussion, including a description of any
invalid test cycle (in the case of a report referred to in
Part 2 of this annex) and a comparison to the expected
performance; and
4 in the case of land-based testing, test conditions
including details on challenge water preparation in line
with paragraph 2.30 of this annex;
9 a description or photographs of the procedures and apparatus
used in the inspections, tests or evaluation, or a reference to
another document that contains an appropriate description or
photographs;
10 at least one photograph that shows an overall view of the
equipment or material tested, inspected or evaluated and other
photographs that show:
1 design details; and
2 each occurrence of damage or deformation to the
equipment or material that occurred during the approval
tests or evaluations;
11 the operational safety requirements of the BWMS and all safety-
related findings that have been made during the inspections,
tests or evaluations;
12 an attestation that the inspections, tests or evaluations were
conducted as required and that the report contains no known
errors, omissions or false statements. The attestation must be
signed by the chief officer of the laboratory, or the chief
officer's representative;
13 appendices, including:
1 the complete test plan and the data generated during tests
and evaluations reported under paragraph 2.57.8 above,
including at least:
1 for land-based tests, whether ambient, cultured or
a mixture of test organisms have been used
(including a species-level identification for
cultured organisms, and an identification to the
52 [188]

lowest possible taxonomic level for ambient


organisms);
2 for shipboard tests, the operating parameters of
the system during successful treatment
operations (e.g. dosage rates, ultraviolet intensity
and the energy consumption of the BWMS under
normal or tested TRC, if available);
3 for SDL, details of all procedures, methods, data,
models, results, explanations and remarks,
leading to validation; and
4 invalid test information.
2 the QMP, the QAPP and quality assurance and quality
control records;
3 maintenance logs including a record of any consumable
components that were replaced; and
4 relevant records and test results maintained or created
during testing.

2.58 The results of biological efficacy testing of the BWMS shall be


accepted if during the land-based and shipboard testing conducted as specified
in sections "Shipboard tests" and "Land-based testing" of this annex it is shown
that the system has met the standard in regulation D-2 and that the uptake water
quality requirements were met in all individual test cycles as provided in
paragraph 4.7 below.

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.

2.60 The Administration shall identify and redact commercially sensitive


information (information that is proprietary and not related to the BWMS
performance) and make all other information available to interested parties and
the Organization. The information shall include all of the test reports, including
failed tests from both land-based and shipboard testing.
[188] 53

PART 3 – SPECIFICATION FOR ENVIRONMENTAL TESTING FOR


APPROVAL OF BALLAST WATER MANAGEMENT SYSTEMS

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.

3.2 Evidence of successful compliance with the environmental tests below


shall be submitted to the Administration by the manufacturer together with the
application for type approval.

3.3 Equipment is to be tested taking into account international test


specifications for type approval.9

3.4 A report on environmental tests shall be submitted to the


Administration and include at least the information identified in paragraph 2.57
of this Annex.

PART 4 – SAMPLE ANALYSIS METHODS FOR THE


DETERMINATION OF BIOLOGICAL CONSTITUENTS IN BALLAST
WATER

Sample processing and analysis


4.1 Samples taken during testing of BWMS are likely to contain a wide
taxonomic diversity of organisms, varying greatly in size and susceptibilities to
damage from sampling and analysis.

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.

Sample analysis for determining efficacy in meeting the discharge


standard
4.5 Sample analysis is meant to determine the species composition and the
number of viable organisms in the sample. Different samples may be taken for
determination of viability and for species composition.

4.6 The viability of organisms shall be determined taking into account


guidance developed by the Organization10 using methodologies appropriate to
the ballast water treatment technology being tested. Such methodologies shall
provide assurance that organisms not removed from ballast water have been
killed or rendered harmless to the environment, human health, property and
resources. Viability may be established by assessing the presence of one or
more essential characteristics of life, such as structural integrity, metabolism,
reproduction, motility or response to stimuli.

4.7 A treatment test cycle shall be deemed successful if:


1 it is valid in accordance with paragraph 2.8.5 (shipboard) or
2.29, 2.30, 2.33 and 2.47 (land-based testing) of this annex as
appropriate;
2 the density of organisms greater than or equal to 50 μm in
minimum diameter in the replicate samples is less than 10 viable
organisms per cubic metre;
3 the density of organisms less than 50 μm and greater than or
equal to 10 μm in minimum diameter in the replicate samples is
less than 10 viable organisms per mL;
4 the density of Vibrio cholerae (serotypes O1 and O139) is less
than 1 cfu per 100 ml, or less than 1 cfu per 1 g (wet weight)
zooplankton samples;

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.

4.8 It is recommended that a non-exhaustive list of standard methods and


innovative research techniques be considered.11

Sample analysis for determining eco-toxicological acceptability of


discharge
4.9 Toxicity tests of the treated water discharge shall be conducted taking
into account guidelines developed by the Organization.12

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]

record that parameter. Limiting operating conditions on the operation of the


BWMS shall be determined by the manufacturer and approved by the
Administration.

General information for all systems


5.3 The information and applicable self-monitoring parameters to be
recorded for all systems shall include, inter alia:
1 general information: ship name, IMO number, BWMS
manufacturer and type designation, BWMS serial number, date
of BWMS installation on ship, BWMS TRC and principle of
treatment (in-line/in-tank);
2 operational parameters: all recorded parameters should be time
tagged if applicable: BWMS operational modes and any
transition modes, including bypass operations (e.g. uptake,
discharge, warming-up, cleaning and start up), ballast water
pump in operation (yes/no – if information is available from
ship), flow-rate at system outlet, and indication of the ballast
water tank that is involved in the ballast water operation when
practicable;
3 it is recommended that positional information on ballast water
operations and on the holding time should be recorded
automatically. Otherwise it shall be entered manually in the
ballast water record book as appropriate. Administrations are
encouraged to apply automatic position information recording to
ships which install BWMS during a ship's building to the
greatest extent possible;
4 system alerts and indications: all systems shall have an alert
regime. Every alert shall be logged and time stamped. To assist
the inspections it would be helpful to record an alert summary
after each ballast water operation automatically, if possible;
5 general alerts include: shutdown of system while in operation,
when maintenance is required, BWMS bypass valve status and
status of BWMS valves representing system operational mode
as appropriate;
6 operational alerts: whenever a relevant parameter exceeds the
acceptable range approved by the Administration, the system
shall give an alert. In addition, an alert shall be logged and time
stamped also when a combination of relevant parameters
exceeds system specifications, even if each single parameter
does not exceed its approved range. If a safety relevant
parameter (safety for crew, cargo and/or the ship) related to the
BWMS exceeds approved limits, an alert/alarm shall be
mandatory (e.g. hydrogen level at appropriate measurement
point(s));
7 the Administration may require additional alerts depending on
the design of the system and for future developments; and
[188] 57

8 the SDL parameters and their corresponding data such as range,


alarm limit, alert delay, etc., be password protected on a level
above what is required for normal operation and maintenance,
i.e. on a system administrator level. Change of any data or
parameters which are password protected and interruption of the
measurement (wire break, signal out of range) shall be
automatically logged and retrievable on a maintenance access
level.

Data storage and retrieval


5.4 Storage of data shall follow the requirements in paragraphs 4.17 to 4.22
of this Code. The equipment shall be able to store a minimum number of self-
monitoring parameters following common standards determined by the
Organization.

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.

5.8 Permanent deletion of recordings shall not be possible. The system


shall be capable of storing recorded data for at least 24 months to facilitate
compliance with regulation B-2 of the Convention. Where navigation
equipment is connected to the monitoring system to provide data for recording,
the interfaces shall be developed taking into account applicable parts of
relevant international standards.14

14
Refer to Digital interfaces for navigational equipment within a ship (IEC 61162)
58 [188]

PART 6 – VALIDATION OF SYSTEM DESIGN LIMITATIONS

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.

6.3 Claims of open-ended performance (expressed as the lack of either a


low or a high parameter value for a System Design Limitation) shall also be
validated.

6.4 BWMS manufacturers may include a margin of error in claiming SDL.


For this reason, SDL should not necessarily be interpreted as the exact
parameter values beyond which the BWMS is incapable of operation. The
Administration shall take this into account in considering whether to include
[188] 59

any additional restrictions on the Type Approval Certificate in connection with


the validation of SDL.

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.

6.6 A report shall be submitted to the Administration containing all


documentation (including procedures, methods, data, models, results,
explanations and remarks) associated with the validation of SDL. The report
shall include at least the information identified in paragraph 2.57 of this annex.

PART 7 – TYPE APPROVAL CERTIFICATE AND TYPE APPROVAL


REPORT
Type Approval Certificate
7.1 The Type Approval Certificate of a BWMS shall:
1 identify the type and model of the BWMS to which it applies
and identify equipment assembly drawings, duly dated;
2 identify pertinent drawings bearing model specification numbers
or equivalent identification details;
3 include a reference to the full performance test protocol on
which it is based;
4 identify if it was issued by an Administration based on a Type
Approval Certificate previously issued by another
Administration. Such a certificate shall identify the
Administration that supervised conduction of the tests on the
BWMS and a copy of the original test results shall be attached
to the Type Approval Certificate of the BWMS;
5 identify all conditions and limitations for the installation of
BWMS on board the ship;
6 include the SDL, which shall be listed under the heading “This
equipment has been designed for operation in the following
conditions”;
7 include any restrictions imposed by the Administration due to
the minimum holding time or in accordance with paragraph 6.4
of this annex; such restrictions shall include any applicable
environmental conditions (e.g. UV transmittance, etc.) and/or
system operational parameters (e.g. min/max pressure, pressure
differentials, min/max Total Residual Oxidants (TRO) if
applicable, etc.); and
60 [188]

8 include an appendix containing test results of each land-based


and shipboard test cycle. Such test results shall include at least
the numerical salinity, temperature, flow rates, and where
appropriate UV transmittance. In addition, these test results
shall include all other relevant variables. The Type Approval
Certificate shall list any identified SDL parameters.

Type approval report


7.2 The type approval report shall be submitted to the Organization and
made available to the public and Member States by appropriate means. It shall
contain at least:
1 information on the type approval of the BWMS, including:
1 the approval date;
2 the name of the Administration;
3 the name of the manufacturer;
4 the trade name and product designation (such as model
numbers) of the BWMS; and
5 a copy of the Type Approval Certificate including its
appendices, annexes or other attachments;
2 an executive summary;
3 a description of the BWMS, including, in the case of BWMS
using Active Substances, the following information:
1 the name of the Active Substance(s) or Preparation(s)
employed; and
2 identification of the specific Marine Environment
Protection Committee (MEPC) report and paragraph
number granting Final Approval, taking into account
guidelines developed by the Organization;15
4 an overview of the process undertaken by the Administration to
evaluate the BWMS, including the name and role of each test
facility, subcontractor and test organization involved in testing
and approving the BWMS, the role of each report in the type
approval decision, and a summary of the Administration's
approach to overall quality assurance and quality control;
5 the executive summary of each test report prepared in
accordance with paragraphs 2.48, 2.55 to 2.57, 3.4 and 6.6 of
this Annex;
6 the operational safety requirements of the BWMS and all safety-
related findings that have been made during the type approval
process;

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 a discussion section explaining the Administration's assessment


that the BWMS:
1 in every respect fulfilled the requirements of this Code,
including demonstrating under the procedures and
conditions specified for both land-based and shipboard
testing that it met the ballast water performance standard
described in regulation D-2;
2 is designed and manufactured according to requirements
and standards;
3 is in compliance with all applicable requirements;
4 has been approved taking into account the
recommendations provided by the MEPC in the Final
Approval of the BWMS, if any;
5 operates within the SDL at the TRC, performance, and
reliability as specified by the manufacturer;
6 contains control and monitoring equipment that operates
correctly;
7 was installed in accordance with the technical
installation specification of the manufacturer for all
tests; and
8 was used to treat volumes and flow rates of ballast water
during the shipboard tests consistent with the normal
ballast operations of the ship; and
8 the following annexes:
1 appropriate information on quality control and assurance;
and
2 each complete test report prepared in accordance with
paragraphs 2.48, 2.55 to 2.57, 3.4 and 6.6 of this annex.
7.3 The Administration may redact proprietary information of the
manufacturer from the type approval report before submitting it to the
Organization.

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.

7.5 Documents shall not be incorporated by reference into the Type


Approval Certificate. The Administration may incorporate an annex by
reference into the type approval report if the reference (e.g. internet URL) is
expected to remain permanently valid. Upon any reference becoming invalid,
the Administration shall promptly re-submit the type approval report to the
Organization and include the referenced document or an updated reference to
62 [188]

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.

Name of ballast water management system:……………………………………

Ballast water management system manufactured by:………………..…………

Under type and model designation(s)………………………………….……….


and incorporating:

To equipment/assembly drawing No.: ....................................... date: ........……

Other equipment manufactured by:

To equipment/assembly drawing No.: ...................................... date: .................

Treatment Rated Capacity (m³/h):.........................................................................

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.

Limiting Operating Conditions imposed are described in this document.

(Temperature / Salinity)

Other restrictions imposed include the following: ............................................


64 [188]

This equipment has been designed for operation in the following conditions:**
…….............................................

Official stamp Signed ……......................................................................


Administration of ............................................................
Issued this ............... day of ...............20 ..........................
Valid until this .........day of .............. 20 ..........................
________________________
*Delete as appropriate
**Insert System Design Limitations.

SCHEDULE 2
Regulation 7(3)
Ballast Water Management System Type Approval Application Form

Name of Applicant:...............................................................................................

Name of Company: ...............................................................................................

Name of ballast water management system: ........................................................

Ballast water management system manufactured by: ..........................................

Other equipment manufactured by: ......................................................................

Has an application for Type Approval for this ballast water management
system ever been submitted to another Administration?
Yes No

If Yes, please give details:


…………………………………………………………………………………
…………………………………………………………………………………
…………………………………………………………………………………
…………………………………………………………………………………
…………………………………………………………………………………
…………………………………………………………………………………
…………………………………………………………………………………
[188] 65

A copy of this Application form should be submitted to the Marine Survey


Office along with the following documentation:

1. A description and diagrammatic drawings of the ballast water


management system;
2. The operation, maintenance and safety manual;
3. Hazard identification;
4. Environmental and Public Health impacts;
5. System Design Limitations;
6. Any other relevant information requested by the Marine Survey Office.

Signed: ...........................................................................................................

Date: ...............................................................................................................
66 [188]

SCHEDULE 3
Regulation 7(14)
BWM Certificate

INTERNATIONAL BALLAST WATER MANAGEMENT


CERTIFICATE
Issued under the provisions of the International Convention for the Control and
Management of Ships’ Ballast Water and Sediments (hereinafter referred to as
“the Convention”) under the authority of the Government of Ireland

…………………………………………………………………………………
(full designation of the country)

by………………………………………………………………………………
(full designation of the competent person or organization authorized under the
provisions of the Convention)

Particulars of ship16

Name of ship …………………………………………………………………..

Distinctive number or letters …………………………………………………..

Port of registry …………………………………………………………………

Gross Tonnage …………………………………………………………………

IMO number17 ………………………………………………………………….

Date of Construction ……………………………………………………………

Ballast Water Capacity (in cubic metres) ………………………………………

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

Details of Ballast Water Management Method(s) Used

Method of Ballast Water Management used …………………………………...

Date installed (if applicable) (dd/mm/yyyy) ……………………………………

Name of Manufacturer (if applicable) ………………………………………….

The principal Ballast Water Management method(s) employed on this ship


is/are:

in accordance with regulation D-1


in accordance with regulation D-2
(describe)………………………………………………………...
the ship is subject to regulation D-4
other approach in accordance with Regulation B-3.7

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.

This certificate is valid until ………………………………. subject to surveys


in accordance with regulation E-1 of the Annex to the Convention.

Completion date of the survey on which this certificate is based:


…………………………………

Issued at: ……………………………………………………………………….


(Place of issue of certificate)
68 [188]

…………………………………………………………………………………
(Date of issue) (Signature of authorized official issuing the certificate)

(Seal or stamp of the authority, as appropriate)


ENDORSEMENT FOR ANNUAL AND INTERMEDIATE SURVEY(S)

THIS IS TO CERTIFY that a survey required by regulation E-1 of the Annex


to the Convention has found the ship to comply with the relevant provisions of
the Convention:

Annual survey: Signed ………………………………………………..


(Signature of duly authorized official)

Place……………………………………………………………………..............

Date ………………………………………………………….............................
(Seal or stamp of the authority, as appropriate)

Annual* / Intermediate survey*: Signed………………….……………


(Signature of duly authorized official)

Place …………….…………………………………………………………….

Date …………………………………………………………………………….
(Seal or stamp of the authority, as appropriate)

Annual* / Intermediate survey* Signed ……….……………………..


(Signature of duly authorized official)

Place …………………………………………………………………………….

Date …………………………………………....................................................
(Seal or stamp of the authority, as appropriate)
[188] 69

Annual survey: Signed ….………………….


(Signature of duly authorized official)

Place …………………………………………………………………………..

Date …………………………………………………………............................
(Seal or stamp of the authority, as appropriate)

ANNUAL/INTERMEDIATE SURVEY IN ACCORDANCE WITH


REGULATION E-5.8.3

THIS IS TO CERTIFY that, at an annual/intermediate* survey in accordance


with regulation E-5.8.3 of the Annex to the Convention, the ship was found to
comply with the relevant provisions of the Convention.

Signed ………………………………………………………………………….
(Signature of authorized official)

Place …………………………………………………………………………..

Date…………………………………………………...........................................
(Seal or stamp of the authority, as appropriate)

ENDORSEMENT TO EXTEND THE CERTIFICATE IF VALID FOR


LESS THAN 5 YEARS WHERE REGULATION E-5.3 APPLIES

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]

ENDORSEMENT WHERE THE RENEWAL SURVEY HAS BEEN


COMPLETED AND REGULATION E-5.4 APPLIES

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)

ENDORSEMENT TO EXTEND THE VALIDITY OF THE


CERTIFICATE UNTIL REACHING THE PORT OF SURVEY OR FOR
A PERIOD OF GRACE WHERE REGULATION E-5.5 OR E-5.6
APPLIES

This Certificate shall, in accordance with regulation E-5.5 or E-5.6* 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)
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 ……………...……………………………..................................................

(Seal or stamp of the authority, as appropriate)

SCHEDULE 4
Regulation 12(1)
Form of Ballast Water Record Book

INTERNATIONAL CONVENTION FOR THE CONTROL AND


MANAGEMENT OF SHIPS' BALLAST WATER AND SEDIMENTS

Period From: ….…… To: ………..

Name of Ship ………………….……………….............................................

IMO number …………..……………………..…….……………………………

Gross tonnage …………………………………………………………………...

Flag………………………………………………………………………………
72 [188]

Total Ballast Water capacity (in cubic metres) ………………….……………...

The ship is provided with a Ballast Water Management Plan

Diagram of ship indicating ballast tanks:

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.

2. Ballast Water and Ballast Water Management


"Ballast Water" means water with its suspended matter taken on board
a ship to control trim, list, draught, stability, or stresses of a ship.
Management of Ballast Water shall be in accordance with an approved
Ballast Water Management Plan and taking into account guidelines18
developed by the Organization.

3. Entries in the Ballast Water Record Book


Entries in the Ballast Water Record Book shall be made on each of the
following occasions:

3.1 When Ballast Water is taken on board:


.1 Date, time and location of port or facility of uptake (port or
lat/long), depth if outside port
.2 Estimated volume of uptake in cubic metres
.3 Signature of the officer in charge of the operation.
3.2 Whenever Ballast Water is circulated or treated for Ballast
Water Management purposes:
.1 Date and time of operation
.2 Estimated volume circulated or treated (in cubic metres)
.3 Whether conducted in accordance with the Ballast Water
Management Plan
.4 Signature of the officer in charge of the operation

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

3.3 When Ballast Water is discharged into the sea:


.1 Date, time and location of port or facility of discharge (port or
lat/long)
.2 Estimated volume discharged in cubic metres plus remaining
volume in cubic metres
.3 Whether approved Ballast Water Management Plan had been
implemented prior to discharge
.4 Signature of the officer in charge of the operation

3.4 When Ballast Water is discharged to a reception facility:


.1 Date, time, and location of uptake
.2 Date, time, and location of discharge
.3 Port or facility
.4 Estimated volume discharged or taken up, in cubic metres
.5 Whether approved Ballast Water Management Plan had been
implemented prior to discharge
.6 Signature of officer in charge of the operation

3.5 Accidental or other exceptional uptake or discharges of Ballast


Water:
.1 Date and time of occurrence
.2 Port or position of the ship at time of occurrence
.3 Estimated volume of Ballast Water discharged
.4 Circumstances of uptake, discharge, escape or loss, the reason
therefore and general remarks
.5 Whether approved Ballast Water Management Plan had been
implemented prior to discharge
.6 Signature of officer in charge of the operation

3.6 Additional operational procedure and general remarks


4. Volume of Ballast Water
The volume of Ballast Water on board should be estimated in cubic
metres. The Ballast Water Record Book contains many references to
estimated volume of Ballast Water. It is recognized that the accuracy of
estimating volumes of ballast is left to interpretation.
74 [188]

RECORD OF BALLAST WATER OPERATIONS

SAMPLE BALLAST WATER RECORD BOOK PAGE

Name of Ship: ………………………………………………

Distinctive number or letters ……………………………….

Date Item Record of operations/signature of officers in


(Number) charge

Signature of master ……………………………….


[188] 75

GIVEN under my Official Seal,


19 April, 2023.

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

BAILE ÁTHA CLIATH


ARNA FHOILSIÚ AG OIFIG AN tSOLÁTHAIR
Le ceannach díreach ó
FOILSEACHÁIN RIALTAIS,
BÓTHAR BHAILE UÍ BHEOLÁIN,
CILL MHAIGHNEANN,
BAILE ÁTHA CLIATH 8,
D08 XAO6

Teil: 046 942 3100


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