Resolution
MEPC.140(54)
GUIDELINES FOR APPROVAL AND OVERSIGHT OF PROTOTYPE BALLAST WATER TREATMENT
TECHNOLOGY PROGRAMMES (G10)
(Adopted on 24 March 2006)
THE
MARINE ENVIRONMENT PROTECTION COMMITTEE,
RECALLING
Article 38(a) of the Convention on the International Maritime Organization
concerning the functions of the Marine Environment Protection Committee
conferred upon it by the international conventions for the prevention and
control of marine pollution,
RECALLING
ALSO that the International Conference on Ballast Water Management for Ships
held in February 2004 adopted the International Convention for the Control and
Management of Ships’ Ballast Water and Sediments, 2004 (the Ballast Water
Management Convention) together with four Conference resolutions,
NOTING
that regulation A-2 of the Ballast Water Management Convention requires that
discharge of ballast water shall only be conducted through Ballast Water
Management in accordance with the provisions of the Annex to the Convention,
NOTING
FURTHER that regulation D-4.3 of the Ballast Water Management Convention
provides that, in establishing and carrying out any programme to test and
evaluate promising Ballast Water technologies, Parties shall take into account
Guidelines developed by the Organization,
NOTING
ALSO that resolution 1 adopted by the International Conference on Ballast Water
Management for Ships invited the Organization to develop these Guidelines as a
matter of urgency,
HAVING
CONSIDERED, at its fifty-fourth session, the draft Guidelines for approval and
oversight of prototype ballast water treatment technology programmes developed
by the Ballast Water Working Group,
1.
ADOPTS the Guidelines for approval and oversight of prototype ballast water
treatment technology programmes as set out in the annex to this resolution;
2.
INVITES Governments to apply the Guidelines as soon as possible, or when the
Convention becomes applicable to them; and
3.
AGREES to keep the Guidelines under review.
Annex.
GUIDELINES FOR APPROVAL AND OVERSIGHT OF PROTOTYPE BALLAST WATER TREATMENT
TECHNOLOGY PROGRAMMES (G10)
GUIDELINES FOR
APPROVAL AND OVERSIGHT OF PROTOTYPE BALLAST WATER TREATMENT TECHNOLOGY
PROGRAMMES (G10)
1.1
These Guidelines provide recommendations for Administrations on the approval
and oversight of programmes for prototype ballast water treatment technologies
in accordance with regulation D-4 of the "International Convention for the
Control and Management of Ships’ Ballast Water and Sediments, 2004" (the
Convention). The intention of regulation D-4 is to provide opportunities to
test and evaluate promising ballast water treatment technologies aboard ships
with the potential to meet or exceed the performance standards in regulation
D-2 of the Convention. The document may also assist manufacturers, ship owners
and other stakeholders undertaking development activities in the area of
ballast water treatment. The Guidelines also make recommendations on criteria
for approval of such programmes. Recommendations outlined in these Guidelines
should be applied in an objective, consistent and transparent way and their
application should be evaluated periodically by the Organization.
1.2
Regulations referred to in these Guidelines are those contained in the
Convention.
1.3
The Guidelines include general recommendations on design and construction,
technical procedures for overall performance testing and evaluation, procedures
for the issuance of a Statement of Compliance in accordance with regulation D-4
and Administration oversight responsibilities.
1.4
As the level of ballast water management knowledge, experience and subsequently
technological achievements continue to develop, these Guidelines may require
updating. Periodical review of their content in light of such developments
should be carried out and any revisions duly circulated by the Organization.
1.5
The main purpose of these Guidelines is to:
.1 assist
Administrations to approve or reject proposed programmes and in cases where
approval is granted, to issue a Statement of Compliance under regulation D-4;
.2 describe the
responsibilities of the Administration in the oversight of the programme’s
execution; and
.3 encourage a
uniform interpretation and application of regulation D-4.
1.6
These Guidelines apply to programmes established to test and evaluate promising
ballast water treatment technologies in accordance with regulation D-4.
1.7
The Programme for prototype ballast water treatment technologies in accordance
with these Guidelines should contain the following three main steps:
.1 Programme
Application, Submission and Approval: The submission should include a detailed
plan describing the prototype technology and implementation of the programme as
described in Section 3. Further, the applicant should include evidence on the
potential of the prototype technologies meeting or exceeding the performance
standard in regulation D-2. If the prototype ballast water treatment technology
makes use of Active Substances, or preparations containing one or more Active
Substances, the substances should have received Basic Approval, as described by
the Procedure for the Approval of Ballast Water Management systems that make
use of Active Substances (G9). All of the above information should be the basis
for the Administration in its evaluation and approval of the submitted
programme. In the case where a programme is approved, the applicant may proceed
in accordance with the approved programme taking into account any conditions
set by the Administration.
.2 Installation
Survey and Statement of Compliance: The installation of the prototype ballast
water treatment technology in accordance with the approved Programme should be
verified by an installation survey. Provided that this survey confirms
adherence to the approved programme, including any applicable conditions set by
the Administration, a Statement of Compliance under regulation D-4 may be
issued by the Administration.
.3 Performance
Evaluations and Reporting: During the test and evaluation period, a prototype
ballast water treatment technology should be subjected to on-going experimental
testing and evaluation according to the approved programme to evaluate both the
engineering and biological performance under shipboard operating conditions.
Reporting to the Administration should be of the form and schedule in
accordance with the approved programme.
2.1
Prototype Ballast Water Treatment Technology - means any integrated system of
ballast water treatment equipment as under regulation D-4, participating in a
programme for testing and evaluation with the potential of meeting or exceeding
the ballast water performance standard in regulation D-2 including treatment
equipment, all associated control equipment, monitoring equipment and sampling
facilities. A prototype ballast water treatment technology may be a mechanical,
physical, chemical, or biological unit process, either singularly or in
combination that may or may not use Active Substances that remove, render
harmless, or avoid the uptake or discharge of Harmful Aquatic Organisms and
Pathogens within ballast water and sediments.
Prototype
ballast water treatment technologies may operate at the uptake or discharge of
ballast water, during the voyage or in any combination of these phases.
2.2
Ballast Water Management Plan - is the document referred to in regulation B-1
of the Convention describing the ballast water management processes and
procedures on board individual ships.
2.3
Active Substances - 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.
2.4
Control Equipment - refers to the installed equipment required for proper
functioning of the prototype ballast water treatment technology.
2.5
Monitoring Equipment - refers to the equipment installed for assessment of the
correct operation of the prototype ballast water treatment technology.
2.6
Convention - means the International Convention for the Control and Management
of Ships’ Ballast Water and Sediments, 2004.
2.7
Sampling Facilities - refers to the means provided for sampling treated or
untreated ballast water as needed in these Guidelines.
3. PROGRAMME
APPLICATION REQUIREMENTS
3.1
This section provides the detailed elements and documentation that should be
included in a Programme and Programme Application as defined in section 1.7.1.
The Programme Application should contain information on the following aspects:
.1 participants
.2 ballast water treatment technology
description
.3 ship description
.4 installation and
installation survey description
.5 performance test and
evaluation description
.6 time schedule and reporting
3.2
All relevant and requested documentation describing the Programme for which the
applicant is applying for approval should be submitted to the Administration.
The application should only encompass one prototype ballast water treatment
technology and should not normally result in installations in more than three
ships. Prototype installations onboard more than one ship should be justified
in the application and may rest upon technology development requirements
related to, for example:
- capacity
issues;
- geographical
areas of operation;
- specific
onboard conditions varying as a function of ship type; and
- refit to
existing vessels versus installations onboard new vessels.
3.3
The Programme Application should also take into account safety and
environmental regulations which have to be met by the ship so as to ensure that
other international and/or national requirements are not compromised by the
prototype ballast water treatment technology.
3.4
The Programme should implement appropriate quality control measures in
accordance with recognized international standards to which all participants
specified in Section 3.5 should be required to comply.
3.5
The Programme should provide an overview of the different participants included
in the Programme Application including, as appropriate:
- the ship owner
or operator;
- the
manufacturer(s); and
- the testing
institution or any laboratories, institution(s) or companies carrying out
elements of or the entire programme or advising the manufacturer in carrying
out the programme.
3.6
The roles and responsibilities of each of the identified participants should be
clearly described within the Programme Application.
Ballast water treatment
technology description
3.7
The Programme Application should include information regarding design,
construction, operation and functioning of the proposed ballast water treatment
technology. The information should also include any foreseen conditions
limiting its application with respect to voyage duration, ship type, capacity
(flow rate and/or volume) or any other such condition if relevant.
3.8
The Programme Application should contain documentation on the potential of the
prototype technologies meeting or exceeding the performance standard in
regulation D-2. Recognized scientific and statistical practices should have
been utilized in the preparation of this documentation.
3.9
The construction, operation and maintenance of the technology should be
adequately described to allow for consideration by the Administration and this
should include:
.1 The prototype
ballast water treatment technology should have a configuration and construction
suitable for shipboard installation and normal onboard operation;
.2 Design,
construction and material should be suitable for the purpose for which the
equipment is intended, the working conditions to which it should be subjected
and the environmental conditions onboard. This should include considerations
of:
.1 vibration –
to ensure that there are no potential resonance occurring;
.2 temperature –
to assure safe and proper operations and performance of the technology over a
range of temperatures applicable for shipboard installations;
.3 humidity – to
ensure the suitability of equipment exposed to humidity/ water as applicable to
shipboard installations;
.4 power
fluctuation – to ensure proper functioning over a voltage/frequency variation;
and
.5 inclination –
to assure that the technology should operate during those scenarios it is
intended for, taking into account the motion of the vessel and that it should
remain safe and not represent any danger to crew or ship onboard during
inclination.
.3 Routine
maintenance of the prototype ballast water treatment technology and
trouble-shooting procedures should be clearly described by the manufacturer in
a operating and maintenance manual.
.4 The prototype
ballast water treatment technology should be provided with simple and effective
means for its operation and control.
.5 In case of a
failure compromising the proper operation of the prototype ballast water
treatment technology, audible and visual alarm signals are to be activated at
all stations from where ballast water operations may be controlled.
.6 The prototype
ballast water treatment technology programme should provide for record keeping
of the entire ballast water operations including:
.1 record of operations and any
malfunctioning during operations;
.2 record of all essential
parameters necessary to ensure proper functioning;
.3 date and time of start and
end of the ballast operation; and
.4 ballast operation mode
(loading, discharge, transfer).
.7 The prototype
ballast water treatment technology should allow for sampling such that
representative samples of the ship’s ballast water can be collected as
described in the experimental design as described in the Programme Application.
3.10
The Programme Application should include descriptions of the working
principles, use if any Active Substances, operational conditions and
application feasibility of the prototype ballast water treatment technology.
3.11
The Programme Application should include an assessment of the potential effects
upon other personnel, shipboard systems and structure, highlighting any special
safety provisions that maybe necessary due to the characteristics of the
installation and/or operation of the prototype ballast water treatment
technology.
3.12
The Programme Application should include a full and complete description of the
ship(s) in which the prototype ballast water treatment technology is to be
installed. This description should include:
- ships’ name;
- date of
construction;
- flag;
- port of
registry;
- gross tonnage;
- dead weight;
- IMO number;
- length (bp);
- beam;
- international
call sign;
- deepest
ballast drafts (normal and heavy weather);
- total ballast
capacity of the ship in cubic metres and other units if applicable to the ship.
3.13
The description should also include normal operational ballast flow rates and
volumes, and, to the extent possible, typical voyage lengths and routes.
Installation and
installation survey description
3.14
The Programme Application should fully describe the manner in which the
equipment should be integrated into the ship and should provide the following
for the onboard installation:
.1 process flow
diagram of the prototype ballast water treatment technology;
.2
"equipment arrangement" drawings of the proposed prototype ballast
water treatment installation. These should show scaled lay-outs of the spaces
and important mechanical and structural features such as major propulsion and
electrical components, bulkheads and pillars, and doors and other means of
access/egress;
.3 "piping
arrangement" drawing of the prototype ballast water treatment system
installation, including ballast and cross-connected piping systems, sample
piping, and the operational outlets for treated effluent and any waste streams;
.4 information
relating to onboard safety matters;
.5 an assessment
of the potential effects upon other shipboard systems and the ship’s structure,
highlighting those aspects of the design and operation of the system, and its
integration into the ship, to be put in place to prevent any compromises to
crew and ship safety;
.6 assurance of
adequate safety interlocks and failsafe measures to ensure subdivision
boundaries, structural integrity, and vessel stability are not compromised;
.7 assurance
that new piping and flows should not result in unsafe ballasting or
deballasting situations, e.g., overpressure;
.8 assurance
that escape arrangements in manned spaces are not compromised;
.9 arrangements
for maintaining the integrity any boundary between safe and hazardous spaces;
.10 attention to
restrictions related to the use of electrical equipment in hazardous areas; and
.11 a provision
for safe storage and use of Active Substances.
3.15
The installation survey description should contain a listing of those items
which should be validated at the survey and these include, as a minimum, the
following:
.1 updated,
as-installed diagrammatic drawings of any additional pumping and piping
arrangements, identifying the operational outlets for treated effluent and any
waste streams. Special consideration may have to be given to installations on
ships that have unusual pumping and piping arrangements, as well as
restrictions related to the use of electrical equipment in hazardous areas;
.2 equipment
manuals, supplied by manufacturers, which should contain details of the major
components of the treatment system;
.3 operations
and technical manual for the complete installed prototype ballast water
treatment. This manual should cover the arrangements and operation of the
system as a whole and should specifically describe the parts of the system
which may not be covered by the manufacturer’s equipment manuals. The
operations section of the manual should include normal operational procedures
and procedures for the discharge of untreated water in the event of malfunction
of the equipment. The technical section of the manual should include adequate
information (description and diagrammatic drawings of the pumping and piping arrangements,
of the monitoring system and electrical/electronic wiring diagrams) to enable
fault finding and should include instructions for keeping a maintenance record;
.4 the
installation should comply with manufacturer’s specific