Annex 4 - Survey Guidelines under the International Convention for the Control and Management of Ships' Ballast Water and Sediments, 2004

 (B) 1 Guidelines for Surveys for the International Ballast Water Management Certificate

(BI) 1.1 Initial surveys - see part "General" section 2.1

(BI) 1.1.1 For the control and management of ships' ballast water sediments the examination of plans and designs should consist of:

(BI) 1.1.1.1 examining the design and construction (regulation B-5);

(BI) 1.1.1.2 examining the ballast water management plan (regulation B-1);

(BI) 1.1.1.3 examining plans for the installation of ballast water management systems (regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable); and

(BI) 1.1.1.4 if applicable, examining plans for the installation of prototype ballast water treatment technologies (regulation D-4).

(BI) 1.1.2 For the control and management of ships' ballast water sediments the survey during construction and after installation should consist of:

(BI) 1.1.2.1 confirming that the ballast water management plan has been provided (regulation B-1);

(BI) 1.1.2.2 confirming that the ballast water record book has been provided (regulation B-2);

(BI) 1.1.2.3 confirming that the certificate(s) for type approval of ballast water management system(s) are available (regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BI) 1.1.2.4 confirming that a statement has been provided by the Administration, or from a laboratory authorized by the Administration, confirming that the electrical and electronic components of the ballast water management system(s) have been type-tested in accordance with the specifications for environmental testing contained in part 3 of the annex of the applicable Guidelines for approval of ballast water management systems (G8) (regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BI) 1.1.2.5 confirming that equipment manuals for major components of the ballast water management system(s) have been provided (regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BI) 1.1.2.6 confirming that an operations and technical manual for the ballast water management system(s) specific to the ship and approved by the Administration, containing a technical description of the ballast water management system(s), operational and maintenance procedures, and backup procedures in case of equipment malfunction has been provided (regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BI) 1.1.2.7 confirming that installation specifications for the ballast water management system(s) have been provided (regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BI) 1.1.2.8 confirming that installation commissioning procedures for the ballast water management system(s) have been provided (regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BI) 1.1.2.9 confirming that initial calibration procedures of the ballast water management system(s) have been provided (regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BI) 1.1.2.10 confirming that sampling facilities are provided and so arranged in order to collect representative samples of the ship's ballast water from the ballast water management system(s) intake(s) before the ballast discharge points and any other points necessary for sampling (regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BI) 1.1.2.11 verifying that the BWMS installation has been carried out in accordance with the technical installation specification (Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BI) 1.1.2.12 verifying that the BWMS is in conformity with the Type Approval Certificate of BWMS issued by the Administration or its representative (Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BI) 1.1.2.13 verifying that the installation of the complete BWMS has been carried out in accordance with the manufacturer's equipment specification (Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BI) 1.1.2.14 verifying that any operational inlets and outlets are located in the positions indicated on the drawings of the pumping and piping arrangements (Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BI) 1.1.2.15 verifying that the workmanship of the installation is satisfactory and, in particular, that any bulkhead penetrations or penetrations of the ballast system piping are to the relevant approved standards (Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BI) 1.1.2.16 verifying that the control and monitoring equipment operates correctly (Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BI) 1.1.2.17 confirming that if applicable the ballast water management recording device(s) are operable and that there is a sufficient supply of consumables for the recording device(s) on board (regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BI) 1.1.2.18 confirming the satisfactory installation and operation of the ballast water management system, including any audible or visual alarms (regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BI) 1.1.2.19 verifying that an operational test of the ballast water management system was carried out based on the installation commissioning procedures and that documented evidence is provided which shows compliance of the treated discharge ballast water during the above mentioned test with regulation D-2 through sampling and analysis based on applicable guidelines developed by the Organization;

(BI) 1.1.2.20 confirming that, if applicable, active substances are provided on board (regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BI) 1.1.2.21 confirming that, if applicable, dosage instruction for active substances or preparations are available on board (regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BI) 1.1.2.22 verifying that, if applicable, the prototype ballast water treatment technology installation has been carried out in accordance with the approved programme and that the workmanship of the installation is satisfactory (regulation D-4); and

(BI) 1.1.2.23 confirming that, if applicable, a statement of compliance for a prototype ballast water treatment technology has been provided (regulation D-4);

(BI) 1.1.3 For the control and management of ships' ballast water sediments the completion of initial survey should consist of:

(BI) 1.1.3.1 after a satisfactory survey, the International Ballast Water Management Certificate should be issued.

(BA) 1.2 Annual surveys – see part "General" section 2.5

(BA) 1.2.1 For the control and management of ships' ballast water and sediments the examination of current certificates and other records should consist of:

(BA) 1.2.1.1 checking the validity, as appropriate, of the Cargo Ship Safety Equipment Certificate, the Cargo Ship Safety Radio Certificate and the Cargo Ship Safety Construction Certificate or the Cargo Ship Safety Certificate or Passenger Ship Safety Certificate;

(BA) 1.2.1.2 checking the validity of the International Load Line Certificate or International Load Line Exemption Certificate;

(BA) 1.2.1.3 checking, where appropriate, the validity of the International Oil Pollution Prevention Certificate, International Sewage Pollution Prevention Certificate, and International Air Pollution Prevention Certificate;

(BA) 1.2.1.4 confirming, when appropriate, the validity of the International Energy Efficiency Certificate (MARPOL Annex VI, regs.6.4 and 6.5);

(BA) 1.2.1.5 checking the validity of the International Ship Security Certificate;

(BA) 1.2.1.6 checking, when appropriate, the validity of the Safety Management Certificate (SMC) and that a copy of the Document of Compliance (DOC) is on board;

(BA) 1.2.1.7 checking the certificates of class, if the ship is classed with a classification society;

(BA) 1.2.1.8 checking, when appropriate, the validity of the International Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk or the Certificate of Fitness for the Carriage of Dangerous Chemicals in Bulk;

(BA) 1.2.1.9 checking, when appropriate, the validity of the International Certificate of Fitness for the Carriage of Liquefied Gases in Bulk;

(BA) 1.2.1.10 checking when appropriate the validity of the International Pollution Prevention Certificate for the Carriage of Noxious Liquid Substances in Bulk;

(BA) 1.2.1.11 checking, when appropriate, the validity of the International Sewage Pollution Prevention Certificate;

(BA) 1.2.1.12 checking that the ship's complement complies with the Minimum Safe Manning Document (SOLAS 74/00/12 reg.V/14) (SOLAS 74/88 reg.V/13(b));

(BA) 1.2.1.13 checking that the master, officers and ratings are certificated as required by the STCW Convention;

(BA) 1.2.1.14 checking whether any new equipment has been fitted and, if so, confirm that it has been approved before installation and that any changes are reflected in the certificate;

(BA) 1.2.1.15 confirming that the ballast water management plan is on board (regulation B-1);

(BA) 1.2.1.16 checking whether the appropriate entries have been made in the ballast record book (regulation B-2);

(BA) 1.2.1.17 sighting the type test certificate(s) for the ballast water management system(s) (regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BA) 1.2.1.18 sighting the records of the recording device, if fitted (regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BA) 1.2.1.19 sighting, if applicable, the statement of compliance for a prototype ballast water treatment technology (regulation D-4); and

(BA) 1.2.1.20 verifying, if applicable, that there is evidence that the prototype ballast water treatment technology is continuing to be operated in accordance with the approved programme (regulation D-4).

(BA) 1.2.2 For the control and management of ships' ballast water sediments the annual survey should consist of:

(BA) 1.2.2.1 examining externally the ballast water treatment system and confirming, as far as practicable its satisfactory operation (regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BA) 1.2.2.2 confirming that, if applicable, active substances in accordance with the manufacturer's recommendations are provided on board (regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);

(BA) 1.2.2.3 confirming that, if applicable, dosage instructions for active substances or preparations are available on board (regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable); and

(BA) 1.2.2.4 where applicable examining externally the prototype ballast water treatment technology and confirming, as far as practicable, its satisfactory operation (regulation D-4).

(BA) 1.2.3 For the control and management of ships' ballast water sediments the completion of the annual survey should consist of:

(BA) 1.2.3.1 after a satisfactory survey, the International Ballast Water Management Certificate should be endorsed; and

(BA) 1.2.3.2 if a survey shows that the condition of a ship or its equipment is unsatisfactory, see part "General" section 4.8.

(BIn) 1.3 Intermediate surveys – see part "General" section 2.4

(BIn) 1.3.1 For the control and management of ships' ballast water sediments the examination of current certificates and other records should consist of:

(BIn) 1.3.1.1 the provisions of (BA) 1.2.1.

(BIn) 1.3.2 For the control and management of ships' ballast water sediments the intermediate survey should consist of:

(BIn) 1.3.2.1 the provisions of (BA) 1.2.2; and

(BIn) 1.3.2.2 examining the ballast water management system for obvious defects, deterioration or damage including examining associated pumps, piping and fittings for wear and corrosion (regulations D-3 and D-4 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable).

(BIn) 1.3.3 For the control and management of ships' ballast water sediments the completion of the intermediate survey should consist of:

(BIn) 1.3.3.1 after a satisfactory survey, the International Ballast Water Management Certificate should be endorsed; and

(BIn) 1.3.3.2 if a survey shows that the condition of a ship or its equipment is unsatisfactory, see part "General" section 4.8.

(BR) 1.4 Renewal surveys – see part "General" section 2.3

(BR) 1.4.1 For the control and management of ships' ballast water sediments the examination of current certificates and other records should consist of:

(BR) 1.4.1.1 the provisions of (BA) 1.2.1, except for the validity of the International Ballast Water Management Certificate.

(BR) 1.4.2 For the control and management of ships' ballast water sediments the renewal survey should consist of:

(BR) 1.4.2.1 the provisions of (BIn) 1.3.2; and

(BR) 1.4.2.2 if applicable, confirming, if necessary by simulated test or equivalent, the satisfactory operation of the ballast water management systems (regulation. D-4).

(BR) 1.4.3 For the control and management of ships' ballast water sediments the completion of renewal survey should consist of:

(BR) 1.4.3.1 after a satisfactory survey, the International Ballast Water Management Certificate should be issued.