MEPC 54/21

I:\MEPC\54\21.DOC ANNEX 1

R E SOLUTION MEPC. 1 40(54)

Adopted on 24 March 2006

GUIDELINES FOR APPROVAL AND OV ERSIGHT OF PROTOTYPE BALLAST

WATER TREATMENT TECHNO LOGY PROGRAMMES (G10)

THE MARINE ENVIRONMENT PROTECTION COMMITTEE,

RECALLING Article 38(a) of the Convention on the International Maritime Organization concerning the functions of the Marine Envi ronment Protection Committee conferred upon it by

the international conventions for the prevention and c ontrol of marine pollution,

RECALLING ALSO that the International C onference on Ballast Water Management for Ships held in February 2004 adopted the In ternational Convention for the Control and Management of Ships’ Ballast Water and Se diments, 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 regulati on D-4.3 of the Ballast Water Management Convention provides that, in establishing a nd carrying out any programme to test and evaluate promising Ballast Water technologies, Parties shall ta ke 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 Organizati on to develop these Guidelines as a matter of

urgency,

HAVING CONSIDERED, at its fifty-fourth se ssion, the draft Guidelines for approval and oversight of prototype ballast water tr eatment 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 Guidelin es as soon as possible, or when the Convention becomes applicable to them; and

3. AGREES to keep the Guidelines under review.MEPC 54/21

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I:\MEPC\54\21.doc ANNEX

GUIDELINES FOR APPROVAL AND OVER SIGHT OF PROTOTYPE BALLAST

WATER TREATMENT TECHNO LOGY PROGRAMMES (G10)

Content

1 INTRODUCTION

General Purpose Applicability Programme requirements

2 DEFINITIONS

3 PROGRAMME APPLICATION REQUIREMENTS

Participants Ballast water treatment technology description Ship description

Installation and installa tion survey description

Performance test and evaluation description Time schedule and reporting

4 INSTALLATION SURVEY AN D STATEMENT OF COMPLIANCE

Installation survey Statement of Compliance

5 PERFORMANCE REQUIREMENT FOR ALREADY INSTALLED SYSTEMS

6 PROGRAMME OVERSIGHT

APPENDIX

Statement of Compliance for a Prototype Ballast Water Treatment TechnologyMEPC 54/21

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I:\MEPC\54\21.doc GUIDELINES FOR APPROVAL AND OV ERSIGHT OF PROTOTYPE BALLAST

WATER TREATMENT TECHNO LOGY PROGRAMMES (G10)

1 INTRODUCTION

General

1.1 These Guidelines provide recommendations for Administrations on the approval and oversight of programmes for prototype ballast wa ter treatment technologies in accordance with regulation D-4 of the “Internati onal Convention for the Contro l and Management of Ships’ Ballast Water and Sediments, 2004” (the Conventio n). The intention of regulation D-4 is to provide opportunities to test and evaluate promising ballast wate r treatment technologies aboard ships with the potential to meet or exceed th e performance standards in regulation D-2 of the

Convention. The document may also assist manufacturers, sh ip owners and other stakeholders undertaking development activities in the area of ballast water trea tment. The Guidelines also make recommendations on criteria for approval of such programmes. Recommendations outlined in these Guidelines should be applied in an obj ective, consistent and transparent way and their application should be evaluated periodically by the Organization.

1.2 Regulations referred to in these Guidelin es are those contained in the Convention.

1.3 The Guidelines include general recommenda tions on design and c onstruction, 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 manageme nt knowledge, experience and subsequently technological achievements continue to deve lop, these Guidelines may require updating. Periodical review of their content in light of such developments should be carried out and any revisions duly circulat ed by the Organization.

Purpose

1.5 The main purpose of th ese Guidelines is to:

.1 assist Administrations to approve or reject proposed programmes and in cases where approval is granted, to issu e a Statement of Compliance under regulation D-4;

.2 describe the responsibili ties of the Administration in the oversight of the programme’s execution; and

.3 encourage a uniform interpretation and application of regulation D-4.MEPC 54/21

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I:\MEPC\54\21.doc Applicability

1.6 These Guidelines apply to programmes establis hed to test and evalua te promising ballast water treatment technologies in accordance with regulation D-4.

Programme requirements

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 app licant 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 A pproval of Ballast Water Management systems that make use of Active Substan ces (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 appr oved 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 tec hnology in accordance with the approved Programme should be verified by an installa tion survey. Provided that this survey confirms adherence to the approved programme, including any applicable conditions set by the Administrati on, 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 t echnology should be subjected to on-going experimental testing and evaluation according to the approved programme to evaluate both the engineering and bi ological performance under shipboard operating conditions. Reporting to the Admi nistration should be of the form and schedule in accordance with the approved programme.

2 DEFINITIONS

2.1 Prototype Ballast Water Treatment Technology - means any integrated system of ballast water treatment equipment as under regulation D-4, participating in a prog ramme for testing and evaluation with the potential of m eeting or exceeding the ballast water performance standard in regulation D-2 including treatment equipment, al l associated control equipment, monitoring equipment and sampling facilities . A prototype ballas t water treatment technology may be a mechanical, physical, chemical, or biological unit process, either singula rly 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 Pat hogens within ballast water and sediments.MEPC 54/21

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I:\MEPC\54\21.doc Prototype ballast water treatment technologies may operate at the uptake or discharge of ballast water, during the voyage or in a ny 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 mana gement processes and procedures on board individual ships.

2.3 Active Substances - means a substance or orga nism, 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 requi red for proper functioning of the prototype ballast water treatment technology.

2.5 Monitoring Equipment - refers to the equipm ent installed for asse ssment of the correct operation of the prototype ball ast water treatment technology.

2.6 Convention - means the International Conve ntion for the Control and Management of Ships’ Ballast Water and Sediments, 2004.

2.7 Sampling Facilities - refers to the mean s 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 a nd documentation that should be included in a Programme and Programme Application as defined in section 1.7.1. The Programme Application should contain inform ation on the following aspects:

.1 participants

.2 ballast water treatmen t technology description .3 ship description

.4 installation and installa tion 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 su bmitted to the Administration. The application should only encompass one prototype ballast water treatment technology and should not normally result in installa tions in more than three ships. Prototype installations onboard more than one ship should be justif ied 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.MEPC 54/21

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I:\MEPC\54\21.doc 3.3 The Programme Application should also take into account safety and environmental regulations which have to be me t by the ship so as to ensure that other international and/or national requirements are not compromised by th e 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.

Participants

3.5 The Programme should provide an overview of the different participants included in the Programme Application in cluding, 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 manufactu rer in carrying out the programme.

3.6 The roles and responsibilities of each of the identified pa rticipants 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 li miting its application with respect to voyage duration, ship type, capacity (flow rate and/or vol ume) or any other such condition if relevant.

3.8 The Programme Application should cont ain documentation on the potential of the prototype technologies meeting or exceeding the performance standard in regulation D-2. Recognized scientific and st atistical practi ces should have been utilized in the pr eparation of this

documentation.

3.9 The construction, operation and maintenance of the technology should be adequately described to allow for consideration by th e Administration and this should include:

.1 The prototype ballast water treatment te chnology should have a configuration and construction suitable for shipboard in stallation and normal onboard operation;

.2 Design, construction and material should be suitable for the purpose for which the equipment is intended, the working conditi ons to which it should be subjected and

the environmental conditions onboard. Th is should include considerations of:

.1 vibration – to ensure that there are no potential resonance occurring;

.2 temperature – to assure safe and pr oper operations and performance of the technology over a range of temperat ures applicable for shipboard installations;MEPC 54/21

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I:\MEPC\54\21.doc .3 humidity – to ensure the suitability of equipment exposed to humidity/ water as applicable to shipboard installations;

.4 power fluctuation – to ensure prop er functioning over a voltage/frequency variation; and

.5 inclination – to assure that th e technology should ope rate 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 cl early described by th e manufacturer in a operating and maintenance manual.

.4 The prototype ballast water treatment t echnology should be provided with simple

and effective means for its operation and control.

.5 In case of a failure compromising the proper operation of th e prototype ballast water treatment technology, audible and visual alarm signals are to be activated at

all stations from where ballast wa ter operations may be controlled.

.6 The prototype ballast water treatment technology programme should provide for record keeping of the entire balla st water operations including:

.1 record of operations and a ny malfunctioning during operations;

.2 record of all essential parameters necessary to ensure proper functioning;

.3 date and time of start and e nd 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 experiment al design as described in the Programme Application.

3.10 The Programme Application should include desc riptions of the working principles, use if any Active Substances, operational conditions and a pplication feasibility of the prototype ballast water treatment technology.

3.11 The Programme Application should includ e an assessment of th e potential effects upon other personnel, shipboard system s and structure, highli ghting any special safe ty provisions that maybe necessary due to the characteristics of th e installation and/or operation of the prototype ballast water treatment technology.MEPC 54/21

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I:\MEPC\54\21.doc Ship description

3.12 The Programme Application shoul d include a full and complete description of the ship(s) in which the prototype ballast wa ter 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 (n ormal 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, typi cal voyage lengths and routes.

Installation and installation survey description

3.14 The Programme Application should fully de scribe the manner in which the equipment should be integrated into the ship and should pr ovide the following for the onboard installation:

.1 process flow diagram of the protot ype ballast water treatment technology;

.2 “equipment arrangement” drawings of the proposed prototype ballast water

treatment installation. Thes e 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 pr ototype ballast water treatment system installation, including ballast and cross-connected piping systems, sample piping, and the operational outlets for treate d effluent and any waste streams;

.4 information relating to onboard safety matters;

.5 an assessment of the pote ntial effects upon other shipboa rd systems and the ship’s structure, highlighting those aspects of th e 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;MEPC 54/21

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I:\MEPC\54\21.doc .6 assurance of adequate safety interl ocks and failsafe measures to ensure subdivision boundaries, structural integr ity, and vessel stability are not compromised;

.7 assurance that new piping and flows s hould 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 in tegrity any boundary between safe and hazardous spaces;

.10 attention to restrictions related to the use of elect rical equipment in hazardous areas; and

.11 a provision for safe storage and use of Active Substances.

3.15 The installation survey description should c ontain a listing of those items which should be validated at the survey and these in clude, as a minimum, the following:

.1 updated, as-installed diagrammatic drawings of any additional pumping and piping arrangements, identifying the operati onal 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 manufactur ers, which should contain details of the major components of the treatment system;

.3 operations and technical manual for the co mplete installed prototype ballast water

treatment. This manual should cover the arrangements a nd 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 a nd should include instructions for keeping a maintenance record;

.4 the installation should comply with manuf acturer’s specific installation criteria.

A technical installation specification defining, inter alia, the location and mounting of components, arrangements fo r maintaining the integrity of any boundary between safe and hazardous spaces, and the arrangement of the sample piping;

.5 the Ballast Water Management Plan; andMEPC 54/21

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I:\MEPC\54\21.doc .6 any other conditions requ ired by the Administration.

3.16 The Programme Application s hould provide a recommended te st and survey procedure. This procedure should specify all the checks to be carried out in a func tional test and should provide guidance for the surveyor when carryi ng out the on-board surv ey of the treatment system. This procedure may be amended as necessary prior to the survey and with the

concurrence of the Administration.

Performance test and evaluation description

3.17 A full description of the onboard tests and evaluations to be und ertaken should be provided. When available standard method s for the collection, handling (including concentration), storage, and analysis of samp les should be applied. These methods should be clearly referenced and described in test plans and in reports. This includes methods for detecting, concentrating, enumerating, and identifying organisms and for de termining viability. When non-standard methods are used they should be validated, documen ted and reported. A description of the experimental design and sampling procedure should be provided.

3.18 The Programme should evaluate:

.1 the biological efficacy of the instal led prototype ballast water treatment technology;

.2 the operational performance which s hould include, but not be limited to:

- unplanned maintenance and manning requirements - operational data relative to manufacturer’s specification

- consideration of the environmental conditions identifie d in section 3.9.2;

.3 the effects upon the ship’s systems and structure; and

.4 any other characteristics identified by the participants or the Administration.

3.19 Experimental Design and Pr otocols should include:

.1 a general description of the experime ntal test including the experimental hypotheses being tested and methods for th e determination of biological efficacy and operational performance. The Programme Application should identify the test locations, source waters, and relevant environmental water conditions, to the extent possible. The overall study plan s hould take full advant age of the range of locations provided by the vessel’s oper ations, to the extent practicable;

.2 a detailed description for each of the experiments including:

.1 ballast water sample collection for each treatment and control, identification and number of repli cate tanks, ballast water samples and time points encompassed in the test;MEPC 54/21

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I:\MEPC\54\21.doc .2 description of test runs: replicat e tests (tests at same location and environmental conditions) and compar ative tests (tests at different locations or environmental conditions). Description of how the efficacy of the treatment process shoul d be evaluated; include a description of how the efficacy should be quantified, as well as a description of the comparison of biological efficacies;

.3 the plan should address statistical analysis (including power analysis) and

data confidence issues. Fu lly describe the intended statistical tests, use of controls, and replicates for each experiment; and

.4 how the experiment accounts for the range of seasons, organic matter content, turbidity, pH, salinity, etc. likely to be encountered in operation and, to the extent possible, descri be the range of these variables;

.3 the experimental design should address the operation of the sh ip’s systems whose arrangements (e.g., cross connections) have the potential to confound the resulting

data.

Time schedule and reporting

3.20 The Programme Application should include pr ocedures and schedules for reporting the progress and status of the Programme through all phases. Reporting to the Administration should occur on a regular basis throughout the Programme . In addition, reporting should include the results and evaluation of all conducted experiments.

3.21 The Programme Application should present an overall time schedule compliant with project management standards. This schedule s hould include an estimation of major task element

time lines. Each of these should have an antic ipated period of performance and execution and include events such as approval of the Programme by the Administration, the installation survey, experimental and progress reports. Major task elements should include the installation of the prototype ballast water treatm ent technology into the shi p, initiation and execution of experiments and maintenance periods.

4 INSTALLATION SURVEY AN D STATEMENT OF COMPLIANCE

Installation survey

4.1 Following approval of the Programme Appl ication, the Programme may proceed to installing the onboard prototype ba llast water treatment technology.

4.2 Following installation a survey should be performed by the Administration, or any designated body appointed by the Admi nistration to act on its behalf , to verify that the system

installation has been carried out in accordance with the approved Programme and that the workmanship of the inst allation is satisfactory.MEPC 54/21

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I:\MEPC\54\21.doc Statement of Compliance

4.3 Upon successful completion of the Installati on Survey a Statement of Compliance may be issued by the Administration, or by a person or organization duly authorized by the Administration. In every case, the Administration assumes full re sponsibility for the Statement of Compliance. The recommended format for the Statement of Compliance is given in the Appendix.

4.4 The Statement of Compliance should be valid until five years after the dates specified in regulations D-4.1 and D-4.2, as appropriate.

5 PERFORMANCE REQUIREMENT FOR ALREADY INSTALLED SYSTEMS

5.1 Ships with already installed prototype ballas t water treatment technologies that wish to make use of the provision of regulation D-4, ma y do so provided that a Programme Application is approved by the Administration.

6 PROGRAMME OVERSIGHT

6.1 The Administration or any de signated body appointed by the Ad ministration to act on its

behalf should ensure that the Pr ogramme as approved is followed.

6.2 The Administration should revoke the Statemen t of Compliance if the ship fails to follow the approved Programme or otherwise does not comply with the conditions of regulation D-4.4.MEPC 54/21

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I:\MEPC\54\21.doc APPENDIX 1

Statement of Compliance for a Prototype Ballast Water Treatment Technology

(Official seal)

Issued under the provisions of

GUIDELINES FOR APPROVAL AND OVERSI GHT OF PROTOTYPE BALLAST WATER TREATMENT TECHNOLOGY PROGRAMMES (G10)

(Resolution MEPC.140(54)), under the authority of the Government of ( full designation of country) by (full designation of the competent person or organization recognized by the Administration)

Particulars of ship

Name of ship

IMO Number ∗

Distinctive number or letters

Port of registry

Gross tonnage

Ballast Water Capacity, Volume and Flow Rates

Date on which keel was laid or ship was at a si milar stage of constructi on or, (in the case of a converted ship) date on whic h conversion was commenced

Date by which the ship is require d to comply with regulation D-2

Date on which the prototype ballast wa ter treatment system was installed

Name and address of prototype ballast water treatment technology manufacturer

Trade name of technology

Serial number or other identifying marking

Name of Active Substance a nd details of Basic Approval

Brief description of the prototype technology

∗ IMO Ship Identification Number Scheme adopted by the Organization by resolution A.600(15).MEPC 54/21

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I:\MEPC\54\21.doc THIS IS TO CERTIFY:

1. That the ship has a prototype ballast wate r treatment system which is subject to a programme approved in accordance with regulation D-4 by the Government of ( insert

Government title ) on (insert date of approv al of programme).

2. That the prototype ballast water treatment technology installation ha s been surveyed in

accordance with Section 4 of the annex to resolution MEPC.140(54).

3. A copy of the approved programme is on bo ard the ship together with equipment, operations and maintenance manuals for the prototype ballast water treatment technology.

This Statement is valid until (date)

(Place of issue of Statement)

(Date of issue)

(Signature of authorized offi cial issuing the Statement)

(Seal or stamp of the au thority, as appropriate)

***