The Administration decides the sequence of land-based and shipboard testing.
2.1 Quality Assurance and Quality Control Procedures2.1.1
The testing body performing the tests should have implemented appropriate quality
control measures in accordance with recognized international standards acceptable to the
The approval testing process should contain a rigorous quality control/quality
assurance program, consisting of:
Both a Quality Management Plan (QMP) and a Quality Assurance Project Plan
(QAPP). Guidance on preparation of these plans, along with other guidance
documents and other general quality control information are available from
appropriate international organizations1
The QMP addresses the quality control management structure and policies of
the testing body (including subcontractors and outside laboratories).
The QAPP is a project specific technical document reflecting the specifics of
the BWMS to be tested, the test facility, and other conditions affecting the
actual design and implementation of the required experiments.
1 Such as ISO/IEC 17025. 2.2 Shipboard tests2.2.1
A shipboard test cycle includes:
the uptake of ballast water of the ship;
the storage of ballast water on the ship;
treatment of the ballast water in accordance with paragraph 188.8.131.52 by the
BWMS, except in control tanks; and
the discharge of ballast water from the ship.
Success criteria for shipboard testing2.2.2
In evaluating the performance of BWMS installation(s) on a ship or ships, the following
information and results should be supplied to the satisfaction of the Administration:
Test plan to be provided prior to testing.
Documentation that the BWMS is of a capacity within the range of the Treatment
Rated Capacity for which it is intended.
The amount of ballast water tested in the test cycle onboard should be consistent
with the normal ballast operations of the ship and the BWMS should be operated
at the Treatment Rated Capacity for which it is intended to be approved.
Documentation of the results of three consecutive, valid test cycles showing
discharge of treated ballast water in compliance with Regulation D-2.
Valid tests are indicated by uptake water, for both the control tank and ballast
water to be treated, with viable organism concentration exceeding 10 times the
values of Regulation D-2.1 and control tank viable organism concentration
exceeding the values of Regulation D-2.1 on discharge.
For the control tank:
three replicate samples of influent water, collected over the period
of uptake (e.g. beginning, middle, end).
three replicate samples of discharge control water, collected over
the period of discharge (e.g. beginning, middle, end).
For treated ballast water:
Three replicate samples of discharge treated water collected at each
of three times during the period of discharge (e.g. 3 x beginning,
3 x middle, 3 x end).
Sample sizes are:
For the enumeration of organisms greater than or equal to
50 micrometres or more in minimum dimension, samples of at least
one cubic metre should be collected. If samples are concentrated
for enumeration the samples should be concentrated using a sieve
no greater than 50 micrometres mesh in diagonal dimension.
For the enumeration of organisms greater than or equal to
10 micrometres and less than 50 micrometres in minimum
dimension, samples of at least one litre should be collected. If
samples are concentrated for enumeration the samples should be
concentrated using a sieve no greater than 10 micrometres mesh in
For the evaluation of bacteria a sample of at least 500 millilitres
should be taken from the influent and treated water.
The test cycles including invalid and unsuccessful test cycles are to span a trial
period of not less than six months.
The applicant is requested to perform three consecutive test cycles that comply
with Regulation D-2 and which are valid in accordance with paragraph 184.108.40.206.
Any invalid test cycle does not affect the consecutive sequence.
The source water for test cycles shall be characterized by measurement of salinity,
temperature, particulate organic carbon and total suspended solids.
For system operation throughout the trial period, the following information should
also be provided:
documentation of all ballast water operations including volumes and
locations of uptake and discharge, and if heavy weather was encountered
the possible reasons for the occurrence of an unsuccessful test cycle, or a
test cycle discharge failing the D-2 Standard should be investigated and
reported to the Administration;
documentation of scheduled maintenance performed on the system;
documentation of unscheduled maintenance and repair performed on the
documentation of engineering parameters monitored as appropriate to the
documentation of functioning of the control and monitoring equipment.
2.3 Land-based testing2.3.1
The test set-up including the Ballast Water Treatment Equipment should operate as
described in the provided documentation during at least 5 valid replicate test cycles. Each test
cycle should take place over a period of at least 5 days.
A land-based test cycle should include:
the uptake of ballast water by pumping;
the storage of ballast water for at least 5 days;
treatment of ballast water within the BWMS, except in control tanks; and
the discharge of ballast water by pumping.
Testing should occur using different water conditions sequentially as provided for in paragraphs 2.3.16 and 2.3.17.
The BWMS should be tested at its rated capacity or as given in paragraphs 2.3.12 to
2.3.14 of Part 2 of the annex to these Guidelines for each test cycle. The equipment should
function to specifications during this test.
The analysis of treated water discharge from each test cycle should be used to
determine that the average of discharge samples does not exceed the concentrations of
Regulation D-2 of the Convention.
Land-based testing objectives, limitations and criteria for evaluation2.3.6
The land-based testing serves to determine the biological efficacy of the BWMS under
consideration for Type Approval. The approval testing aims to ensure replicability and
comparability to other treatment equipment.
Any limitations imposed by the Ballast Water Management System on the testing
procedure described here should be duly noted and evaluated by the Administration.
The test set-up for approval tests should be representative of the characteristics and
arrangements of the types of ships in which the equipment is intended to be installed. The
test set-up should therefore include at least the following:
the complete BWMS to be tested;
piping and pumping arrangements;
the storage tank that simulates a ballast tank, constructed such that the water in
the tank must be completely shielded from light.
The control and treated simulated ballast tanks should each include:
a minimum capacity of 200 m3;
normal internal structures, including lightening and drainage holes;
standard industry practices for design, construction and surface coatings for
the minimum modifications required for structural integrity on land.
The test set-up should be pressure-washed with tap water, dried and swept to remove
loose debris, organisms and other matter before starting testing procedures, and between test
The test set-up will include facilities to allow sampling as described in paragraphs 2.3.25
and 2.3.26 and provisions to supply influents to the system, as specified in paragraph 2.3.18
and/or 2.3.19. The installation arrangements must conform in each case with those specified and
approved under the procedure outlined in section 7 of the main body to these Guidelines.
Ballast Water Treatment Equipment scaling2.3.12
In-line treatment equipment may be downsized for land-based testing, but only when
the following criteria are taken into account:
equipment with a TRC equal to or smaller than 200 m3/h should not be
equipment with a TRC larger than 200 m3/h but smaller than 1000 m3/h may be
downscaled to a maximum of 1:5 scale, but may not be smaller than 200 m3/h;
equipment with a TRC equal to, or larger than, 1000 m3/h may be downscaled
to a maximum of 1:100 scale, but may not be smaller than 200 m3/h.
The manufacturer of the equipment should demonstrate by using mathematical
modelling and/or calculations, that any downscaling will not affect the ultimate functioning
and effectiveness on board a ship of the type and size for which the equipment will be
In-tank treatment equipment should be tested on a scale that allows verification of full
scale effectiveness. The suitability of the test set-up should be evaluated by the manufacturer
and approved by the Administration.
Larger scaling may be applied and lower flow rates used than provided for in 5.1, if
the manufacturer can provide evidence from full-scale shipboard testing and in accordance
with 5.2 that scaling and flow rates will not adversely affect the ability of the results to
predict full-scale compliance with the standard.
Land-based test design - inlet and outlet criteria2.3.16
For any given set of test cycles (5 replicates is considered a set) a salinity range
should be chosen. Given the salinity, the test water used in the test set up described above
should have dissolved and particulate content in one of the following combinations:
At least two sets of tests cycles should be conducted, each with a different salinity range
and associated dissolved and particulate content as prescribed in paragraph 2.3.12. Tests under
adjacent salinity ranges in the above table should be separated by at least 10 PSU2
2 For example, if one set of test cycles is carried out at >32 PSU and a second set at 3-32 PSU, the test cycle
in the 3-32 PSU range needs to be at least 10 PSU less than the lowest salinity used in the test cycle in
the >32 PSU range. 2.3.18
Test organisms may be either naturally occurring in the test water, or cultured species
that may be added to the test water. The organism concentration should comply with
paragraph 2.3.19 below.
The influent water should include:
test organisms of greater than or equal to 50 micrometres or more in minimum
dimension should be present in a total density of preferably 106 but not less
than 105 individuals per cubic metre, and should consist of at least 5 species
from at least 3 different phyla/divisions;
test organisms greater than or equal to 10 micrometres and less than
50 micrometres in minimum dimension should be present in a total density of
preferably 104 but not less than 103 individuals per millilitre, and should
consist of at least 5 species from at least 3 different phyla/divisions;
heterotrophic bacteria should be present in a density of at least 104 living
bacteria per millilitre; and
the variety of organisms in the test water should be documented according to
the size classes mentioned above regardless if natural organism assemblages or
cultured organisms were used to meet the density and organism variety
The following bacteria do not need to be added to the influent water, but should be
measured at the influent and at the time of discharge:
Vibrio cholerae; and
If cultured test organisms are used, then it should be ensured that local applicable
quarantine regulations are taken into account during culturing and discharge.
Land-based monitoring and sampling
Change of numbers of test organisms by treatment and during storage in the simulated
ballast tank should be measured using methods described in Part 4 of the Annex,
paragraphs 4.5 to 4.7.
It should be verified that the treatment equipment performs within its specified
parameters, such as power consumption and flow rate, during the test cycle.
Environmental parameters such as pH, temperature, salinity, dissolved oxygen, TSS,
DOC, POC and turbidity (NTU)3
should be measured at the same time that the samples
described are taken.
3 NTU=Nominal Turbidity Unit. 2.3.25
Samples during the test should be taken at the following times and locations:
immediately before the treatment equipment, immediately after the treatment equipment and
The control and treatment cycles may be run simultaneously or sequentially. Control
samples are to be taken in the same manner as the equipment test as prescribed in
paragraph 2.3.25 and upon influent and discharge. A series of examples are included in
Facilities or arrangements for sampling should be provided to ensure representative
samples of treated and control water can be taken that introduce as little adverse effects as
possible on the organisms.
Samples described in paragraphs 2.3.25 and 2.3.26 should be collected in triplicate on
Separate samples should be collected for:
organisms of greater than or equal to 50 micrometres or more in minimum
organisms greater than or equal to 10 micrometres and less than
50 micrometres in minimum dimension; and
for coliform, enterococcus group, Vibrio cholerae and heterotrophic bacteria.
For the comparison of organisms of greater than or equal to 50 micrometres or more
in minimum dimension against the D-2 standard, at least 20 litres of influent water and
l cubic metre of treated water, in triplicate respectively, should be collected. If samples are
concentrated for enumeration, the samples should be concentrated using a sieve no greater
than 50 micrometres mesh in the diagonal dimension.
For the evaluation of organisms greater than or equal to 10 micrometres and less than
50 micrometres in minimum dimension, at least 1 litre of influent water and at least 10 litres
of treated water must be collected. If samples are concentrated for enumeration, the samples
should be concentrated using a sieve no greater than 10 micrometres mesh in the diagonal
For the evaluation of bacteria, at least 500 millilitres of influent and treated water
should be collected in sterile bottles.
The samples should be analysed as soon as possible after sampling, and analyzed live
within 6 hours or treated in such a way so as to ensure that proper analysis can be performed.
The efficacy of a proposed system should be tested by means of standard scientific
methodology in the form of controlled experimentation, i.e. ”experiments”. Specifically, the
effect of the BWMS on organism concentration in ballast water should be tested by
comparing treated ballast water, i.e. ”treated groups”, to untreated ”control groups”, such
one experiment should consist of a comparison between control water and treated
water. Multiple samples, but at a minimum of three, of control and treated water
within a single test cycle should be taken to obtain a good statistical estimate of
the conditions within the water during that experiment. Multiple samples taken
during a single test cycle should not be treated as independent measures in the
statistical evaluation of treatment effect, to avoid ”pseudo-replication”.
If in any test cycle the average discharge results from the control water is a concentration
less than or equal to 10 times the values in Regulation D-2.1, the test cycle is invalid.
Statistical analysis of BWMS performance should consist of t-tests, or similar statistical
tests, comparing control and treated water. The comparison between control and treated water
will provide a test of unexpected mortality in the control water, indicating the effect of an
uncontrolled source of mortality in the testing arrangement.
2.4 Reporting of test results2.4.1
After approval tests have been completed, a report should be submitted to the
Administration. This report should include information regarding the test design, methods of
analysis and the results of these analyses.
The results of biological efficacy testing of the BWMS should be accepted if it is shown
that the system has met the standard in Regulation D-2 in all test cycles as specified in
paragraph 4.7 under land-based testing and shipboard testing as specified in section 2.2 of this