1.1 These Guidelines for Approval of Ballast Water Management Systems are aimed primarily at Administrations, or their designated bodies, in order to assess whether ballast water treatment systems meet the standard as set out in Regulation D-2 of the "International Convention for the Control and Management of Ships' Ballast Water and Sediments" hereafter referred to as the "Convention". In addition, this document can be used as guidance for manufacturers and ship owners on the evaluation procedure that equipment will undergo and the requirements placed on Ballast Water Management Systems. These Guidelines should be applied in an objective, consistent and transparent way and their application should be evaluated periodically by the Organization.

　

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

　

1.3 The Guidelines include general requirements concerning design and construction technical procedures for evaluation and the procedure for issuance of the Type Approval Certificate of the Ballast Water Management System.

　

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

　

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

　

1.6 The operation of Ballast Water Management Systems should not impair the health and safety of the ship or personnel, nor should it present any unacceptable harm to the environment or to public health.

　

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

　

1.8 These Guidelines contain recommendations regarding the design, installation, performance, testing and approval of Ballast Water Management Systems.

　

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

　

　

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

　

1.11 The purpose of these Guidelines is to:

　

　

1.12 These Guidelines apply to the approval of Ballast Water Management Systems in accordance with the Convention.

　

1.13 These Guidelines apply to Ballast Water Management Systems intended for installation on board all ships required to comply with Regulation D-2.

　

　

1.14 The land-based [and shipboard] approval requirements for Ballast Water Management Systems specified in these Guidelines are summarized below.

　

1.15 The manufacturer of the equipment should submit information regarding the design, construction, operation and functioning of the Ballast Water Management System in accordance with Part 1 of the annex. This information should be the basis for a first evaluation of suitability by the Administration.

　

1.16 The Ballast Water Management System should be tested for Type Approval in accordance with the procedures described in Parts 2 and 3 of the annex.

　

1.17 Successful fulfilment of the requirements and procedures for Type Approval as outlined in Parts 2 and 3 of the annex should lead to the issuance of a Type Approval Certificate by the Administration.

　

1.18 When a Type Approved Ballast Water Management System is installed on board, an installation survey according to section 9 should be carried out.

　

　

2.1 The requirements of the Convention relating to approval of Ballast Water Management Systems used by ships are set out in Regulation D-3.

　

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

　

　

For the purpose of these Guidelines:

　

3.1 Active Substance means a substance or organism, including a virus or a fungus that has a general or specific action on or against Harmful Aquatic Organisms and Pathogens.

　

3.2 Ballast Water Management System (BWMS) means any system which processes ballast water such that it meets or exceeds the Ballast Water Performance Standard in Regulation D-2. The BWMS includes Ballast Water Treatment Equipment, all associated Control Equipment, Monitoring Equipment and Sampling Facilities.

　

3.3 The Ballast Water Management Plan is the document referred to in Regulation B-1 of the Convention describing the ballast water management process and procedures implemented on board individual ships.

　

3.4 Ballast Water Treatment Equipment means equipment which mechanically, physically, chemically, or biologically processes, either singularly or in combination, to remove, render harmless, or avoid the uptake or discharge of Harmful Aquatic Organisms and Pathogens within Ballast Water and Sediments. Ballast Water Treatment Equipment may operate at the uptake or discharge of ballast water, during the voyage, or at a combination of these events.

　

3.5 Control Equipment refers to the installed equipment required to operate and control the Ballast Water Treatment Equipment.

　

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

　

3.7 Monitoring Equipment refers to the equipment installed for the assessment of the effective operation of the Ballast Water Treatment Equipment.

　

3.8 Sampling Facilities refers to the means provided for sampling treated or untreated ballast water as needed in these Guidelines and in the Guidelines for Ballast Water Sampling' developed by the Organization.

　

[3.9 Shipboard Testing is a full-scale test of a complete BWMS carried out on board a ship according to Part 2 of the annex to these Guidelines, to confirm that the system meets the standards set by Regulation D-2 of the Convention.]

　

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

　

3.11 Land-based Testing is a test of the BWMS carried out in a laboratory, equipment factory or pilot plant, according to Parts 2 and 3 of the annex to these Guidelines, to confirm that the BWMS meets the standards set by Regulation D-2 of the Convention.

　

3.12 Viable Organisms are organisms and any life stages there of that are living.

　

　

4.1 This section details general technical requirements which a BWMS should meet in order to obtain Type Approval.

　

　

4.2 The BWMS should not contain or use any substance of a dangerous nature, unless adequate arrangements for storage, application, mitigation, and safe handling, acceptable to the Administration, are provided to mitigate any hazards introduced thereby.

　

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

　

4.4 All working parts of the BWMS that are liable to wear or to be damaged should be easily accessible for maintenance. The routine maintenance of the BWMS and troubleshooting procedures should be clearly defined by the manufacturer in the Operating and Maintenance Manual. All maintenance and repairs should be recorded.

　

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

　

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

　

　

4.7 The Ballast Water Treatment Equipment should be robust and suitable for working in the shipboard environment, should be of a design and construction adequate for the service for which it is intended and should be so installed and protected as to reduce to a minimum any danger to persons on board, due regard being paid to hot surfaces and other hazards. The design should have regard to materials used in construction, the purpose for which the equipment is intended, the working conditions to which it will be subjected and the environmental conditions on board.

　

4.8 The Ballast Water Treatment Equipment should be provided with simple and effective means for its operation and control. It should be provided with a control system that should be such that the services needed for the proper operation of the Ballast Water Treatment Equipment are ensured though the necessary automatic arrangements.

　

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

　

　

4.10 The BWMS should incorporate Control Equipment that automatically monitors and adjusts necessary treatment dosages or intensities or other aspects of the BWMS of the vessel, which while not directly effecting treatment are nonetheless required for proper administration of the necessary treatment.

　

4.11 The Control Equipment should incorporate a continuous self-monitoring function during the period in which the BWMS is in operation.

　

4.12 The Monitoring Equipment should record the proper functioning or failure of the BWMS.

　

4.13 To facilitate compliance with Regulation B-2, the Control Equipment should also be able to store data for at least 24 months, and should be able to display or print a record for official inspections as required. In the event the Control Equipment is replaced, means should be provided to ensure the data recorded prior to replacement remains available on board for 24 months.

　

4.14 It is recommended that simple means be provided aboard ship to check on drift by measuring devices that are part of the Control Equipment, repeatability of the Control Equipment devices, and the ability to re-zero the Control Equipment meters.