Annex 4 - Survey Guidelines Under the International Convention for the Control and Management of Ships' Ballast Water and Sediments, 2004
Clasification Society 2024 - Version 9.40
Statutory Documents - IMO Publications and Documents - Resolutions - Assembly - IMO Resolution A.1140(31) - Survey Guidelines Under the Harmonized System of Survey and Certification (HSSC), 2019 – (Adopted on 4 December 2019) - Annex 4 - Survey Guidelines Under the International Convention for the Control and Management of Ships' Ballast Water and Sediments, 2004

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 and sediments the examination of plans and designs should consist of:
(BI) 1.1.1.1 examining the design and construction (BWM Convention 04, regulation B-5);
(BI) 1.1.1.2 examining the ballast water management plan (BWM Convention 04, regulation B-1);
(BI) 1.1.1.3 examining plans for the installation of ballast water management systems (BWMS) (BWM Convention 04/18, 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 (BWM Convention 04, regulation D-4).
(BI) 1.1.2 For the control and management of ships' ballast water and 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 (BWM Convention 04, regulation B-1);
(BI) 1.1.2.2 confirming that the ballast water record book has been provided (BWM Convention 04, regulation B-2);
(BI) 1.1.2.3 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 (BWM Convention 04, regulation D-4);
(BI) 1.1.2.4 confirming that the BWMS(s) installed on or after 28 October 2020 are approved in accordance with the BWMS Code, as may be amended; and confirming that the BWMS(s) installed before 28 October 2020 are approved taking into account the guidelinesfootnote developed by the Organization or the BWMS Code, as may be amended (BWM Convention 04/18, regulation D-3, paragraphs 1.1 and 1.2); and
(BI) 1.1.2.5 confirming that, if applicable, a statement of compliance for a prototype ballast water treatment technology has been provided (BWM Convention 04, regulation D-4).
(BI) 1.1.3 When the performance standard described in regulation D-2 is applicable, the survey after installation of BWMS (also applicable for installations on existing ships) should consist of:
(BI) 1.1.3.1 confirming that the certificate or certificates for type approval of BWMS(s) are available (BWM Convention 04/18, regulation D-3);
(BI) 1.1.3.2 confirming that a statement has been provided by the Administration, or by a laboratory authorized by the Administration, confirming that the electrical and electronic components of the BWMS(s) have been type-tested in accordance with the specifications for environmental testing contained in part 3 of the annex of the applicablefootnote Guidelines for approval of ballast water management systems (G8) (BWM Convention 04/18, regulation D-3);
(BI) 1.1.3.3 confirming that equipment manuals for major components of the BWMS(s) in accordance with the relevant resolutionfootnote have been provided (BWM Convention 04/18, regulation D-3);
(BI) 1.1.3.4 confirming that an operations and technical manual for the BWMS(s), specific to the ship and approved, containing a technical description of the ballast water management system(s), operational and maintenance procedures, and backup procedures in case of equipment malfunction,footnote or an operation, maintenance and safety manual of the BWMSfootnote has been provided (BWM Convention 04/18, regulation D-3);
(BI) 1.1.3.5 confirming that installation specifications for the BWMS(s), e.g. installation drawing, piping and instrumentation diagrams, have been provided (BWM Convention 04/18, regulation D-3);
(BI) 1.1.3.6 confirming that installation commissioning procedures for the BWMS(s) have been provided (BWM Convention 04/18, regulation D-3);
(BI) 1.1.3.7 confirming that initial calibration procedures of the BWMS(s) have been providedfootnote(BWM Convention 04/18, regulation D-3);
(BI) 1.1.3.8 confirming that a valid calibration certificate is provided on board in accordance with the relevant resolution;footnote
(BI) 1.1.3.9 confirming that sampling facilities are provided and arranged such as to collect representative samples of the ship's ballast water from the BWMS(s) intake(s), or from a location before the ballast discharge points and any other points necessary for sampling as applicablefootnote (BWM Convention 04/18,_ regulation D-3);
(BI) 1.1.3.10 verifying that the BWMS installation has been carried out in accordance with the technical installation specification;
(BI) 1.1.3.11 verifying that the BWMS is in conformity with the Type Approval Certificate of BWMS issued by Administration or its representative;
(BI) 1.1.3.12 verifying that the installation of the complete BWMS has been carried out in accordance with the manufacturer's equipment specification;
(BI) 1.1.3.13 verifying that any operational inlets and outlets are located in the positions indicated on the drawings of the pumping and piping arrangements;
(BI) 1.1.3.14 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;
(BI) 1.1.3.15 verifying in accordance with the relevant resolutionfootnote that the control and monitoring equipment operates correctly;
(BI) 1.1.3.16 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 (BWM Convention 04/18, regulation D-3);
(BI) 1.1.3.17 confirming the satisfactory installation and operation of the BWMS(s), including any audible or visual alarms (BWM Convention 04/18, regulation D-3);
(BI) 1.1.3.18 confirming that, if applicable,footnote the suitable bypasses or overrides to protect the safety of the ship and personnel are installed and used in the event of an emergency and these shall be connected to the BWMS so that any bypass of the BWMS shall activate an alarm. The bypass event shall be recorded by the control and monitoring equipment and within the ballast water record book;
(BI) 1.1.3.19 verifying that, if applicable,footnote installation commissioning procedures have been completed;
(BI) 1.1.3.20 verifying that an operational test of the BWMS was carried out based on the installation commissioning procedures and that documented evidence is provided which shows compliance of the treated discharge ballast water with regulation D-2 through sampling and analysis based on applicable guidelines developed by the Organization;footnote
(BI) 1.1.3.21 confirming that, if applicable, active substances are provided on board (BWM Convention 04/18, regulation D-3); and
(BI) 1.1.3.22 confirming that, if applicable, dosage instructions for active substances or preparations are available on board (BWM Convention 04/18, regulation D-3).
(BI) 1.1. 4 For the control and management of ships' ballast water and sediments the completion of the initial survey should consist of:
(BI) 1.1.4.1 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 confirming, when appropriate, that confirmation of compliance for the SEEMP part II is provided and retained on board the ship (MARPOL Annex VI, reg. 5.4.5)footnote;
(BA) 1.2.1.6 confirming, when appropriate, the validity of the Statements of Compliance related to fuel oil consumption reporting (MARPOL Annex VI, regs.6.6 and 6.7);
(BA) 1.2.1.7 checking the validity of the International Ship Security Certificate;
(BA) 1.2.1.8 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) 1.2.1.9 checking the certificates of class, if the ship is classed with a classification society;
(BA) 1.2.1.10 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) 1.2.1.11 checking, when appropriate, the validity of the International Certificate of Fitness for the Carriage of Liquefied Gases in Bulk;
(BA) 1.2.1.12 checking, when appropriate, the validity of the International Pollution Prevention Certificate for the Carriage of Noxious Liquid Substances in Bulk;
(BA) 1.2.1.13 checking, when appropriate, the validity of the International Sewage Pollution Prevention Certificate;
(BA) 1.2.1.14 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) 1.2.1.15 checking that the master, officers and ratings are certificated as required by the STCW Convention;
(BA) 1.2.1.16 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) 1.2.1.17 confirming that the ballast water management plan is on board (BWM Convention 04, regulation B-1);
(BA) 1.2.1.18 checking whether the appropriate entries have been made in the ballast record book (BWM Convention 04, regulation B-2);
(BA) 1.2.1.19 sighting the certificate(s) for type approval for the BWMS(s) (BWM Convention 04/18, regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);
(BA) 1.2.1.20 sighting the records of the recording device, if fitted (BWM Convention 04/18, regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);
(BA) 1.2.1.21 confirming that a calibration check has been performed in accordance with the approved manual and the relevant resolution;footnote
(BA) 1.2.1.22 sighting, if applicable, the statement of compliance for a prototype ballast water treatment technology (BWM Convention 04, regulation D-4); and
(BA) 1.2.1.23 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 (BWM Convention 04, regulation D-4).
(BA) 1.2.2 For the control and management of ships' ballast water and sediments, the annual survey should consist of:
(BA) 1.2.2.1 the provisions of (BAd) 1.5 where applicable; otherwise
(BA) 1.2.2.2 examining externally the ballast water treatment system and confirming, as far as practicable, its satisfactory operation (BWM Convention 04/18, 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, active substances in accordance with the manufacturer's recommendations are provided on board (BWM Convention 04/18, regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable);
(BA) 1.2.2.4 confirming that, if applicable, dosage instructions for active substances or preparations are available on board (BWM Convention 04/18, regulation D-3 / Note: this survey requirement is relevant only when the performance standard according to regulation D-2 is applicable); and
(BA) 1.2.2.5 where applicable examining externally the prototype ballast water treatment technology and confirming, as far as practicable, its satisfactory operation (BWM Convention 04, regulation D-4).
(BA) 1.2.3 For the control and management of ships' ballast water and 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 and 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 and 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 BWMS for obvious defects, deterioration or damage including examining associated pumps, piping and fittings for wear and corrosion (BWM Convention 04/18, 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 and 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 and 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 and 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 prototype ballast water treatment technology (BWM Convention 04, regulation. D-4).
(BR) 1.4.3 For the control and management of ships' ballast water and 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.
(BAd) 1.5 Additional surveys – see part "General" section 2.7.
(BAd) 1.5.1 For the control and management of ships' ballast water and sediments, the additional survey should consist of:
(BAd) 1.5.1.1 the provisions of (BI) 1.1.1.3, (BI) 1.1.1.4, (BI) 1.1.2.3, (BI)1.1.2.4, (BI) 1.1.2.5 and (BI)1.1.3; and
(BAd) 1.5.2 For the control and management of ships' ballast water and sediments the completion of the additional survey should consist of:
(BAd) 1.5.2.1 after a satisfactory survey, the International Ballast Water Management Certificate should be issued.

Copyright 2022 Clasifications Register Group Limited, International Maritime Organization, International Labour Organization or Maritime and Coastguard Agency. All rights reserved. Clasifications Register Group Limited, its affiliates and subsidiaries and their respective officers, employees or agents are, individually and collectively, referred to in this clause as 'Clasifications Register'. Clasifications Register assumes no responsibility and shall not be liable to any person for any loss, damage or expense caused by reliance on the information or advice in this document or howsoever provided, unless that person has signed a contract with the relevant Clasifications Register entity for the provision of this information or advice and in that case any responsibility or liability is exclusively on the terms and conditions set out in that contract.