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ANNEX
This annex provides detailed test and performance specifications for a BWMS and contains:
PART 1 - Specifications for Pre-test Evaluation of System Documentation
PART 2 - Test and Performance Specifications for Approval of Ballast Water Management Systems
PART 3 - Specification for Environmental Testing for Approval of Ballast Water Management Systems
PART 4 - Sample Analysis Methods for the Determination of Biological Constituents in Ballast Water
PART 1 - SPECIFICATIONS FOR PRE-TEST EVALUATION OF SYSTEM DOCUMENTATION 1.1 Adequate documentation should be prepared and submitted to the Administration as part of the approval process well in advance of the intended approval testing of a BWMS. Approval of the submitted documentation should be a pre-requisite for carrying out independent approval tests.
General
1.2 Documentation should 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 test requirements and procedures for the test.
Readiness evaluation
1.3 The readiness evaluation should 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. The latter concern should, in addition to basic issues related to the health and safety of the crew, interactions with the ship's systems and cargo, and potential adverse environmental effects, also consider the potential for longer term impacts to the safety of the crew and vessel through effects of the BWMS on corrosion in the ballast system and other spaces.
1.4 The evaluation should also address the degree, if any, to which the manufacturer's/developer's efforts during the research and development phase tested the performance and reliability of the system under operational shipboard conditions and should include a report of the results of those tests.
Test proposal evaluation
1.5 Evaluation of the test proposal should examine all of the manufacturer's stated 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.
Documentation
1.6 The documentation to be submitted should include at least the following:
.1 Technical Manual - The technical description should include:
- product specification;
- process description;
- operational instructions;
- details (including Certificates where appropriate) of the major components and materials used;
- technical installation specifications in accordance with manufacturers' specific installation criteria;
- system limitations; and
- routine maintenance and trouble-shooting procedures;
.2 BWMS Drawings - Diagrammatic drawings of the pumping and piping arrangements, electrical/electronic wiring diagrams, which should include reference to any waste streams and sampling points;
.3 Link to the Ballast Water Management Plan - Information regarding the characteristics and arrangements in which the equipment is to be installed as well as the scope of the ships (sizes, types and operation) for which the equipment is intended. This information can later form the link between the equipment and the ship's Ballast Water Management Plan; and
.4 Environmental and Public Health Impacts - Potential hazards for the environment should be identified and documented based on environmental studies performed to the extent necessary to assure that no harmful effects are to be expected. In the case of Ballast Water Management Systems that make use of Active Substances or Preparations containing one or more Active Substances the procedure described in the "Procedure for the Approval of Ballast Water Management Systems that make use of Active Substances" should be followed. The equipment must then ensure that dosage of the Active Substance and the maximum allowable discharge concentration are kept under the approved criteria at all times.
1.7 The documentation may include specific information relevant to the test set-up to be used for land-based testing according to these Guidelines. Such information should include the sampling needed to ensure proper functioning 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.
PART 2 - TEST AND PERFORMANCE SPECIFICATIONS FOR APPROVAL OF BALLAST WATER MANAGEMENT SYSTEMS The Administration decides the sequence of land-based and shipboard testing.
2.1 Quality Assurance and Quality Control Procedures
2.1.1 The testing body performing the tests should have implemented appropriate quality control measures in accordance with recognized international standards acceptable to the Administration.
2.1.2 The approval testing process should contain a rigorous quality control/quality assurance program, consisting of:
.1 Both a Quality Management Plan (QMP) and a Quality Assurance Project Plan (QAPP). Guidance on preparation of these plans, along with other guidance documents and other general quality control information are available from appropriate international orgnizations1.
.2 The QMP addresses the quality control management structure and policies of the testing body (including subcontractors and outside laboratories).
.3 The QAPP is a project specific technical document reflecting the specifics of the BWMS to be tested, the test facility, and other conditions affecting the actual design and implementation of the required experiments.
2.2 Shipboard tests
2.2.1 A shipboard test cycle includes:
.1 the uptake of ballast water of the ship;
.2 the storage of ballast water on the ship;
.3 treatment of the ballast water in accordance with paragraph 2.2.2.3 by the BWMS, except in control tanks; and
.4 the discharge of ballast water from the ship.
Success criteria for shipboard testing
2.2.2 In evaluating the performance of BWMS installation(s) on a ship or ships, the following information and results should be supplied to the satisfaction of the Administration:
.1 Test plan to be provided prior to testing.
.2 Documentation that the BWMS is of a capacity within the range of the Treatment Rated Capacity for which it is intended.
.3 The amount of ballast water tested in the test cycle onboard should be consistent with the normal ballast operations of the ship and the BWMS should be operated at the Treatment Rated Capacity for which it is intended to be approved.
.4 Documentation of the results of three consecutive, valid test cycles showing discharge of treated ballast water in compliance with Regulation D-2.
.5 Valid tests are indicated by uptake water, for both the control tank and ballast water to be treated, with viable organism concentration exceeding 10 times the values of Regulation D-2.1 and control tank viable organism concentration exceeding the values of Regulation D-2.1 on discharge.
.6 Sampling regime:
.1 For the control tank:
.1 three replicate samples of influent water, collected over the period of uptake (e.g. beginning, middle, end).
.2 three replicate samples of discharge control water, collected over the period of discharge (e.g. beginning, middle, end).
.2 For treated ballast water:
.1 Three replicate samples of discharge treated water collected at each of three times during the period of discharge (e.g. 3 x beginning, 3 x middle, 3 x end).
.3 Sample sizes are:
.1 For the enumeration of organisms greater than or equal to 50 micrometres or more in minimum dimension, samples of at least one cubic metre should be collected. If samples are concentrated for enumeration the samples should be concentrated using a sieve no greater than 50 micrometres mesh in diagonal dimension.
.2 For the enumeration of organisms greater than or equal to 10 micrometres and less than 50 micrometres in minimum dimension, samples of at least one litre should be collected. If samples are concentrated for enumeration the samples should be concentrated using a sieve no greater than 10 micrometres mesh in diagonal dimension.
.3 For the evaluation of bacteria a sample of at least 500 millilitres should be taken from the influent and treated water.
.7 The test cycles including invalid and unsuccessful test cycles are to span a trial period of not less than six months.
.8 The applicant is requested to perform three consecutive test cycles that comply with Regulation D-2 and which are valid in accordance with paragraph 2.2.2.5. Any invalid test cycle does not affect the consecutive sequence.
.9 The source water for test cycles shall be characterized by measurement of salinity, temperature, particulate organic carbon and total suspended solids.
.10 For system operation throughout the trial period, the following information should 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;
.2 the possible reasons for the occurrence of an unsuccessful test cycle, or a test cycle discharge failing the D-2 Standard should be investigated and reported to the Administration;
.3 documentation of scheduled maintenance performed on the system;
.4 documentation of unscheduled maintenance and repair performed on the system;
.5 documentation of engineering parameters monitored as appropriate to the specific system;
.6 documentation of functioning of the control and monitoring equipment.
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