1 INTRODUCTION

 This document contains the Methodology for information gathering and conduct of work of the GESAMP-BWWG when undertaking technical evaluations in accordance with the Procedure for approval of ballast water management systems that make use of Active Substances (G9) (adopted by resolution MEPC.169(57), as revised, hereinafter referred to as Procedure (G9)).

1.1 Terms and definitions

For the purpose of this Methodology, these definitions are intended to supplement those in the Ballast Water Management Convention to facilitate a consistent evaluation of submissions:

• .1 Ballast Water Management Convention (the Convention) means the International Convention for the Control and Management of Ships' Ballast Water and Sediments, 2004.

• .2 Ballast Water Management means mechanical, physical, chemical and biological processes – either singularly or in combination – to remove, render harmless, or avoid the uptake or discharge of harmful aquatic organisms and pathogens within ballast water and sediments.

• .3 Ballast Water Management System (BWMS) means any system which processes ballast water such that meets or exceeds the ballast water performance standard in regulation D-2. The BWMS includes ballast water treatment equipment, all associated control equipment, piping arrangements as specified by the manufacturer, control and monitoring equipment and sampling facilities. For the purpose of this Methodology, BWMS does not include the ship's ballast water fittings, which may include piping, valves, pumps, etc., that would be required if the BWMS was not fitted.

• .4 Preparation means any commercial formulation containing one or more Active Substances including any additives. This term also includes any Active Substances generated on board for purposes of ballast water management and any Relevant Chemicals formed in the ballast water management system that makes use of Active Substances to comply with the Convention.

• .5 Active Substance (AS) means a substance or organism, including a virus or a fungus, that has a general or specific action (chemical or biological) on or against harmful aquatic organisms and pathogens.

• .6 Relevant Chemical (RC) means transformation or reaction product that is produced during and after employment of the ballast water management system in the ballast water or in the receiving environment and that may be of concern to the ship's safety, aquatic environment and/or human health.

• .7 Other Chemical (OC) means any other substance, other than the Active Substance(s) or Relevant Chemicals, potentially associated with the system either intentionally or resulting from the treatment of ballast water.

• .8 Basic Approval (BA) means the preliminary approval of Active Substances and the ballast water management system that uses them in order to comply with the Ballast Water Management Convention. Basic Approval should confirm that the available information does not indicate possible unacceptable adverse effects or a potential for unreasonable risk to environment, human health, property or resources. This should include consideration of potential risks associated with the Active Substance during full-scale deployment on commercial ships when possible.

• .9 Final Approval (FA) means the approval of a ballast water management system using an Active Substance or Preparation to comply with the Convention and includes an evaluation of the whole effluent toxicity (WET) tests performed as part of the land-based Type Approval process in accordance with the Guidelines for approval of ballast water management systems (G8). The review does not include the re-evaluation of efficacy testing results conducted by Administrations under the 2016 Guidelines (G8). The Final Approval should confirm that previous evaluations of risks to ship, crew and the environment including storage, handling and application of Active Substances or Preparations remain valid and the concerns expressed during the Basic Approval process have been addressed, as well as that the residual toxicity of the discharge conforms to the evaluation undertaken for Basic Approval.

• .10 GESAMP-Ballast Water Working Group (GESAMP-BWWG), also being referred to as the Group, means the Technical Group consisting of independent experts acting in their individual capacity that review the proposals for approval of ballast water management systems that make use of Active Substances submitted by the Administration and report, through the GESAMP, to the MEPC. When reviewing the proposals, the Group should take account of any other relevant data as well as other relevant information submitted to it, or the Group is aware of, because of its members' expertise.

• .11 GESAMP is the IMO/FAO/UNESCO-IOC/WMO/IAEA/UN/UNDP/UNEP/UNIDO Joint Group of Experts on the Scientific Aspects of Marine Environmental Protection, an advisory and multi-disciplinary body consisting of specialized experts nominated by the sponsoring agencies. Experts working for the GESAMP act independently in their individual capacity.

• .12 Land-based testing means a test of the BWMS carried out in a laboratory, equipment factory or pilot plant including a moored test barge or test ship, according to parts 2 and 3 of the annex to the 2016 Guidelines (G8), to confirm that the BWMS meets the standard described in regulation D-2 of the Convention.

• .13 Major components means those components that directly affect the ability of the system to meet the ballast water performance standard described in regulation D-2.

• .14 System Design Limitations (SDL) of a BWMS means the water quality and operational parameters, determined in addition to the required type approval testing parameters, that are important to its operation, and, for each such parameter, a low and/or a high value for which the BWMS is designed to achieve the performance standard of regulation D-2. The System Design Limitations should be specific to the processes being employed by the BWMS and hould not be limited to parameters otherwise assessed as part of the type approval process. The System Design Limitations should be identified by the manufacturer and validated under the supervision of the Administration in accordance with the 2016 Guidelines (G8).

• .15 Holding time means the total time during which treated ballast water will be held in a simulated ballast water tank for the purpose of verifying biological efficacy under the 2016 Guidelines (G8).

• .16 Storage period means the total time during which treated ballast water will be held in a simulated ballast water tank for the purpose of identifying the worst-case concentrations of Relevant Chemicals in treated and discharged ballast water.

1.2 Abbreviations used in the text