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ANNEX 4
GUIDELINES ON BALLAST WATER EXCHANGE/GUIDELINES FOR THE
DEVELOPMENT OF BALLAST WATER MANAGEMENT PLANS
A LIST OF CONTENTS FOR GUIDELINES ON BALLAST WATER EXCHANGE
General
●Introduction
The existing text from Resolution A.868(20) and the ICS model plan could be used here.
●Application/user groups
The guidelines should apply to those involved with BWE, e.g., owners ship's staff, designers, classed societies, shipbuilders.
●Objectives/purpose
This section should describe the objectives such as the reduction in risk of transporting unwanted aquatic organisms etc.
●Relation to other guidelines - Ballast Water Management Plan
This section should describe how these guidelines related to other guidelines.
●Responsibilities/responsible officer
This section should describe the need to appoint an officer responsible for ballast water exchange and outline their duties.
How to carry out ballast water uptake, exchange and discharge
●Procedures to ensure safety (reference to plans and procedures)
The text from Resolution A.868(20) could be used here.
References are required to documents such as the ballast water management plan, loading manuals. This section would also contain guidance on safety considerations such as weather/sea state, draught, trim, bridge visibility, need for the ballast water management plan to contain a stepwise procedure, company responsibilities, the fact that no undue pressure should be put on the master etc.
●Precautionary practices/procedures to minimize uptake of organisms
The existing text from Resolution A.868(20) can be used here. It should be outlined that ports need to provide ships information on local conditions.
●Procedures for BWE
This section should detail the three IMO accepted methods for BWE and that ships should only be provided with information in the BWMP on the exchange method used on that ship.
●Procedures to minimize effects of discharge
This section should include information on environmental aspects including public health issues.
The following section was not expanded further as much of its content is dependent on the final form of the convention.
Where to carry out ballast water uptake, exchange and discharge
●Soliciting and dissemination of information
●Adherence to guidance related to discharge prohibition areas
●Adherence to guidance/requirements related to designated BWE areas
The following sections where not expanded as the information in Resolution A.868(20) is sufficient at this time however the final format of the convention may such that further information is required.
Recording and reporting of relevant information
●Procedures for record keeping/Ballast Water Management Record Book
●Procedures for sampling
●Procedures for reporting to port state authorities
●Procedures for communicating with coastal states
●Experience feedback
Motivation and training
●Measures to enhance motivation
●Procedures for training of responsible officer
●Familiarization of other relevant shipboard personnel
B OUTLINE OF GUIDELINES FOR THE DEVELOPMENT OF BALLAST WATER MANAGEMENT PLANS
1 Introduction
This section should describe the purpose of the BWMP.
2 Objectives
This section should contain an explanation of the purpose and objectives of Ballast Water Management.
3 General
This section should detail the mandatory requirements and obligations of the convention.
4 Details and guidance to be included in the plan:
Ship particulars
This section should include ships particulars name, port of registry, IMO number.
Explanation of need for ballast water management, and reporting requirements
This section should include the following:
●Ballast water arrangements including details of the ballast water exchange method used onboard or the treatment system
●Tank arrangement, and tank capacities
●A plan and profile of the ship, or a schematic drawing of the ballast tank arrangement should help a quarantine officer who is unfamiliar with the ship
●If a treatment system is used brief operational and maintenance guidance should be included with reference to more detailed manufacturer's operational and maintenance manuals and where maintenance records are maintained
Safety considerations
This section should include the following:
●Maintaining bridge visibility, adequate draught, trim etc.
●Stress, stability, sloshing considerations etc.
●Conditions for safe BWE and use of the treatment system where applicable.
●Times when ballast water exchange at sea is not to be undertaken
●Weather sea state
●Crew considerations including fatigue factors, availability of adequate crew
●Dangers of tank over-pressure
Procedures for managing ballast water
This section should give guidance on ballast handling procedures to be followed at sea, including:
●Uptake of ballast water
●The need for step-by-step plans and sequences
●If there are no safe options, either under all circumstances or in certain conditions, the restrictions should be stated here. Such a statement will assist a master when responding to enquiries from a quarantine officer
●Sediment removal or reduction
●Where practical, cleaning of the ballast tanks to remove sediments should be undertaken
●Ballast water exchange at sea
●Retention of ballast on board
●Ballast water treatment
Ballast water sampling points
This section should identify sampling points.
Lists or diagrams should be provided indicating sampling and access points in pipelines and tanks, so that crewmembers can quickly assist quarantine officers who wish to obtain samples. Port State Control officers must be advised of all safety procedures to be observed when entering enclosed spaces.
Crew training and familiarization
This section should include:
●Details of requirements for crew training both of a general nature regarding ballast water exchange and treatment systems
●Particular training requirements for the ship and the ballast water management type used exchange or treatment
●Safety considerations being of high importance
Duties of appointed ballast water management officer
This section should:
●Identify the management officer and include the duties of the appointed officer in charge of ballast water management
●Ensure that the ballast water treatment or exchange follows procedures in the ballast water management plan
●Inform the owner or operator by an agreed procedure when commencing ballast water exchange, and when it is completed
●Prepare the ballast water declaration form prior to arrival in port
●Be available to assist the port state control or quarantine officers for any sampling that may need to be undertaken
●Maintain the ballast water handling record book
Ballast water reporting requirements, reporting form and ballast record book
This section should include:
●Format for ballast water reporting form
●Guidelines for completing the ballast water reporting form
Details of national ballast water management requirements, regional or local requirements for ballast water management
This section should include details of national reporting or other requirements including availability of information from port states on local conditions.
Reference documents
IMO regulations/resolutions, other guidelines and reference documents
Non-mandatory information
This section should include information of a non-mandatory nature, which would not require approval such as:
●Plan review procedures
●Availability of training material/procedures
5 Example ballast water management plan
The guidelines should include an example plan in a similar manner to the guidelines for Shipboard Oil Pollution Emergency Plans, Crude Oil Washing Manuals etc.
ANNEX 5
GUIDELINES FOR TYPE APPROVAL OF BALLAST WATER
TREATMENT SYSTEMS
OUTLINE
Purpose
These Guidelines for Type Approval of Ballast Water Treatment Systems are aimed at Administrations, or their designated bodies, in order to assess as to whether ballast water treatment equipment meets the standards as set out in the Regulations of the "International Convention on the Control and Management of Ships' Ballast Water and Sediments". The requirements and procedures outlined in these guidelines should be applied in an objective, consistent and transparent way. The application of the guidelines shall be evaluated periodically by the Organization.
The guidelines include general requirements, technical procedures and a procedure on the issuance of the certificate. The technical procedures consist of a systems design evaluation, test-bed testing and on-board testing of a "parent" or representative system. The assessment of the general requirements and the system design evaluation shall be based on documentation, test bed testing and on-board testing and shall include a series of practical tests as outlined below.
General requirements
Based on a submission of documentation by the proponent of the Ballast Water Treatment System, the Administration shall assess whether the design of the equipment has met the applicable international standards for occupational health (e.g., ILO-standards), public health (e.g., WHO-standards) and safety (e.g., SOLAS-standards).
Technical procedures
System Design Evaluation
Based on a submission of documentation by the proponent of the technology, the Administration shall assess whether the design of the equipment meets applicable standards for design and construction. The Administration shall also ascertain whether the equipment has met the technical requirements necessary to perform the test-bed testing and on-board testing.
Test Bed Testing
●test conditions (criteria such as that listed in document MEPC-IBWWG 2/INF.2, annex);
●test setup (design of the test facility);
●how the test should be performed;
●measurement: samples and sample analysis;
●analysis of results; and
●reporting (including limitations and expected on board performance).
On-Board Testing
●test conditions (criteria such as listed in the document MEPC-IBWWG 2/INF.2);
●test setup (design of the test facility);
●how the test should be performed;
●measurement: samples and sample analysis;
●analysis of results; and
●reporting (including limitations and expected on board performance).
Procedure on the issuance of the type approval certificate
The Administration shall assess whether the requirements and procedures as set out in these guidelines are fully met. If the Administration is satisfied that such is the case, it will issue a type approval certificate as shown in the annex11. The Administration shall notify the Organization on the issuance of the certificate by submitting a copy of the certificate and sufficient proof that the requirements and procedures as outlined in these guidelines are met.
ANNEX 6
GUIDELINES ON DEVELOPING ADDITIONAL MEASURES AS
SPECIFIED IN SECTION C OF THE REGULATIONS:
SPECIAL REQUIREMENTS IN CERTAIN AREAS
OUTLINE
Introduction
These Guidelines provide information to assist in the development of Additional Measures as specified in Section C - Special Requirements in Certain Areas of the Annex to the International Convention for the Control and Management of Ships' Ballast Water and Sediments.
The Convention requires States to advise the Organization within a time period. These Guidelines include matters for consideration that should be applied, when appropriate, to ensure that measures achieve all desired outcomes.
Additional measures should be regarded as an exception and a clear case should be made why such measures are needed beyond the global standards established under this Convention.
Guidance
The following need to be considered in the development of additional measures:
●prevention of adverse impacts, where the establishment of additional measures may effect the waters of neighbouring States;
●consistency with international law or other international agreements applicable to shipping;
●the rights and duties of Governments under international law or the legal regimes of straits used for international navigation and archipelagic sea-lanes;
●Flag-State responsibilities particularly in relation to liability issues resulting from the additional measures;
●impacts on existing ships' structural integrity, equipment and safety;
●possible conflicts between Ballast Water Management Plan, Safety Management System and the Security Plan of vessels;
●monitoring processes with a view to provision of useful information for the Organization;
●consideration of effectiveness (based on scientific studies or risk assessment
11 To be developed.
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