5 Approval Process
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Statutory Documents - IMO Publications and Documents - Circulars - Ballast Water Management - BWM.2/Circular.43/Rev.1 – International Convention for the Control and Management of Ships' Ballast Water and Sediments 2004 – (10 May 2018)... - Annex – Guidance for Administrations on the Type Approval Process for Ballast Water Management Systems - 5 Approval Process

5 Approval Process

  5.1 Under the provisions of the BWM Convention, a BWMS is to be approved in accordance with the BWMS Code and, where appropriate, Procedure (G9).

  5.2 The Administration should verify that the following issues have been specifically addressed by the manufacturer and, if the evaluation of the system is carried out by a third party organization, these issues should be relayed to the Administration to enable a decision on:

  • .1 a comprehensive explanation of the physical and/or biochemical treatment processes used by the BWMS to meet the D-2 Standard in the BWM Convention. This should be undertaken by the manufacturer and any supporting data should be submitted in writing. Any system which makes use of, or generates, Active Substances, Relevant Chemicals, or free radicals during the treatment process to eliminate organisms in order to comply with the Convention should be submitted to the Organization for review under Procedure (G9), (Procedure (G9), paragraph 3.3);

  • .2 whether a BWMS makes use of an Active Substance or not remains the prerogative of the responsible Administration. In making that determination, Administrations should take into account relevant GESAMP-BWWG recommendations and MEPC decisions as to whether a system should be subject to approval under Procedure (G9). When an Administration is unsure of whether a BWMS is subject to Procedure (G9), it may choose to submit such system for review under that Procedure (MEPC 59/24, paragraph 2.16);

  • .3 the BWMS that the Administration determines are not subject to Procedure (G9), as provided in paragraph 2.4.11 of the annex to the BWMS Code, the toxicity testing procedures in paragraphs 5.2.2 to 5.2.7 of Procedure (G9) should be used when the system could reasonably be expected to result in changes to the treated water such that adverse impacts to receiving waters might occur upon discharge;

  • .4 the approval documents that should include a piping and instrumentation diagram (P&ID) with parts list and material specification. Furthermore, wiring diagrams, function description of the control and monitoring equipment and description of regulator circuit of the BWMS;

  • .5 information on the preliminary testing (methodology, test water composition, salinities tested, sampling, analysis laboratories, etc.);

  • .6 accreditation of the BWMS Code land-based testing facility or body including their quality management plan (QMP) and quality assurance project plan (QAPP) to be used by the manufacturer for land-based testing;

  • .7 approval and subsequent verification of the design, construction, operation and functioning of the equipment used for land-based and shipboard testing;

  • .8 approval and subsequent verification of the land-based and shipboard test methodology, including the composition of the test water, and specific salinities to be tested which should be in line with the BWMS Code, Procedure (G9) and the Methodology for information gathering and conduct of work of the GESAMP-BWWG, as appropriate (waiver for multiple testing required);

  • .9 approval and subsequent verification of the methodology used to take and store samples, the laboratory testing, the frequency of sampling and the analysis procedure for samples from land-based and shipboard testing;

  • .10 approval and subsequent verification of the design, construction, operation and functioning of the equipment used for testing;

  • .11 if the system is using an Active Substance, the applications for Final Approval will have to be checked and approved by the Administration prior to making a proposal for approval to the Organization. In addition, the cost-recovery fee for the scientific services provided by the GESAMP-BWWG will have to be submitted;

  • .12 a safety assessment of the storage and handling of any chemicals is undertaken and approved in line with the technical guidance developed by the Organization (BWM.2/Circ.20);

  • .13 a safety and hazard assessment of the installation, operation and maintenance of the BWMS on the shipboard test is undertaken and approved in line with the technical guidance developed by the Organization (BWM.2/Circ.20), and includes as a minimum:

    • .1 any potential impact on the crew health and safety; and

    • .2 references to the classification society safety and hazard rules and recommendations;

  • .14 all electrical equipment used to operate the BWMS should be of a certified safety type required by the applicable national or international standard in respect of the hazardous areas where it is located; and

  • .15 results of environmental testing as specified in part 3 of the annex to the BWMS Code.

  5.3 For issuance of the Type Approval Certificate, the Administration should set the following requirements and provisions:

  • .1 the validity of the approval should be revisited as appropriate;

  • .2 in due time before the expiration of the approval, the manufacturer should prepare a report detailing the experiences with the system, including the results of any scientific research relevant to the system, as well as any results of port State controls, if available;

  • .3 the occurrence of any unexpected harmful consequences of the operation of the BWMS should be reported by the manufacturer to the Administration immediately;

  • .4 in accordance with the BWMS Code, the Type Approval Certificate should include details on all limiting operating conditions, restrictions and/or SDL determined by the Administration for the operation of the BWMS;

  • .5 an annex to the Type Approval Certificate should contain the test results of each land-based and shipboard test run. Such test results should include at least the numerical salinity, temperature, flow rates, and where appropriate UV transmittance. In addition, these test results should include all other relevant variables;

  • .6 the Type Approval Certificate should specify the components of the BWMS that are type-approved, including the manufacturer of each component; their operating ranges, including temperature, specific salinity and specify the possibility to use other similar components (e.g. filters) and the criteria for allowing such use;

  • .7 a separate Type Approval Certificate should be provided for each type or model of the BWMS. However, if Administrations wish to do otherwise, it is recommended that the different types and models are clearly stated and the test each type and model has undergone clearly referred to with test results, operating ranges, salinity, TRC, etc.;

  • .8 all accidents (e.g. accidental exposure, leakage) related to the BWMS should be reported;

  • .9 any indications that the system is not performing to the standards set by the BWM Convention, the BWMS Code and/or any additional provisions set by the Administration should be reported by the manufacturer to the Administration immediately;

  • .10 the Administration should have the opportunity to revoke the approval if these requirements are not met; and

  • .11 MSC.1/Circ.1221 on Validity of Type Approval Certification for marine products should apply.

Parent topic: Annex – Guidance for Administrations on the Type Approval Process for Ballast Water Management Systems
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