Ballast Water Management, Understanding the regulations and the treatment technologies available, 11th Edition.  (eBook)

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Ballast Water Management, Understanding the regulations and the treatment technologies available, 11th Edition. (eBook)

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This 11th edition of 'Ballast Water Management' sets out the current international and national ballast water legislation and provides practical information on compliance. It discusses the various treatment options available and summarises the IMO and USCG Type Approved BWMS currently on the market.


Since 28th October 2020, only BWMS with revised 2016 G8/BWMS Code Type Approval are permitted to be installed on ships. A key feature of this new edition is a set of data sheets setting out BWMS that meet these revised standards. These data sheets present System Design Limitations, which are practical aids to shipowners when evaluating and selecting a BWMS.

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The Ballast Water Management Convention entered into force on 8th September 2017 and is now fully in effect for all applicable ships. This comprehensive guide provides up-to-date information on the regulations and equipment options available, and will assist shipowners with transition to full compliance. Of key significance in this edition is the deadline of 28th October 2020, after which point only BWMS holding a revised 2016 G8/BWMS Code Type Approval certificate are permitted to be installed. A new set of data sheets summarises the BWMS that meet this new requirement and facilitates easy comparison and evaluation of the various systems.

The book discusses the methods and considerations for safe ballast water exchange. It also provides detailed information on the various treatment technologies, including physical separation; thermal, ultraviolet and plasma technologies; and deoxygenation, magnetic and ultrasonic/cavitation technologies.

The book sets out the onboard requirements relating to ballast water management, including the Ballast Water Record Book, Port State Control, and ballast water sampling and monitoring.

The Appendices identify key invasive species and contain updated charts illustrating current native and invasive ranges, and areas potentially at risk.

PART ONE – Introduction and Background

CHAPTER ONE – The Issue in Recent Years
1.1 Ballast Water
1.2 The Timeline for Legislation


CHAPTER TWO – The Ship as a Carrier
2.1 Aquatic Species
2.2 Pathogens
2.3 Age of Ballast Water
2.4 Ballast Tank Configuration
2.5 Biofouling

PART TWO – Risk Management – Ballast Water Exchange is the First Measure

CHAPTER THREE – Ballast Water Exchange (BWE)
3.1 BWE Operational Considerations
3.2 Sequential BW Exchange Method
3.3 Flow-through BW Exchange Method
3.4 Ship Design and Ballasting
3.5 BWM Options Summary
3.6 Ballast Operations Checklists

PART THREE – Regulations

CHAPTER FOUR – BWM Legislation Timeline


CHAPTER FIVE – IMO Guidance Documents on Ballasting


CHAPTER SIX – IMO Legislation
6.1 Legislation from the International Maritime Organization




CHAPTER EIGHT – United States Legislation
8.1 The Vessel Incidental Discharge Act (VIDA)
8.2 Environmental Protection Agency
8.3 The US Coast Guard
8.4 State Legislation
8.5 Summary of Current US Legislation


CHAPTER NINE – Local and Regional BW Regulations

PART FOUR – Implementation of Regulations

CHAPTER TEN – The Financial Implications of BWM Legislation
10.1 Cost of Ballast Water Exchange
10.2 Cost of Compliance
10.3 Cost of Ballast Water Management Systems
10.4 The Cost to BWMS Manufacturers


CHAPTER ELEVEN – The Port State Authority


CHAPTER TWELVE – Ship Administration of BWM
12.1 The Ballast Water Management Plan
12.2 Ballast Water Record Book
12.3 Surveys
12.4 Certification
12.5 Ballast Water Reporting
12.6 Training


CHAPTER THIRTEEN – Port States and Port State Control (PSC)
13.1 Existing Conditions
13.2 Notification
13.3 Inspection, Monitoring and Enforcement


CHAPTER FOURTEEN – Ballast Water Sampling/Monitoring
14.1 Monitoring Capability
14.2 Arrival Ballast Conditions
14.3 Monitoring Levels
14.4 Post-treatment Monitoring
14.5 Sampling
14.6 Sediment
14.7 Test Methods
14.8 Monitoring that Requires Tank Entry


CHAPTER FIFTEEN – Alternatives to Using a BWMS on Board
15.1 Port Reception Facilities
15.2 Guidelines on Contingency Measures
15.3 Port-based BW Treatment
15.4 Sediment

PART FIVE – Treatment Systems and Operation

CHAPTER SIXTEEN – Introduction to Treatment Technologies
16.1 Ballast Water Management System (BWMS) Requirements
16.2 Technical Installation Issues
16.3 Retrofit Assistance
16.4 The Evolution of Ballast Water Management Systems


CHAPTER SEVENTEEN – Physical Separation, Thermal, Ultraviolet and Plasma Technologies
17.1 Physical Separation
17.2 Heat Treatment Technology
17.3 Ultraviolet Radiation/Advanced Oxidation Technology
17.4 Plasma Technology


CHAPTER EIGHTEEN – Deoxygenation, Magnetic and Ultrasonic/Cavitation Technologies
18.1 Deoxygenation/Supersaturation Technology
18.2 Magnetic/Electric Fields Technology
18.3 Ultrasonic and Hydrodynamic Cavitation Technology


CHAPTER NINETEEN – Chemical, Biocide and Electrochemical Technologies
19.1 Chemical and Biocide Technology
19.2 Electrochemical Technology

PART SIX – Components and Data Sheets 

CHAPTER TWENTY – Filter Components used in the Assembly of a BWMS
20.1 The BOLLFILTER Automatic Filter Type 6.18.3
20.2 Filtersafe® E Series Filter
20.3 Filtrex ACB® Filter
20.4 HYDAC AutoFilt® Automatic Filter
20.5 KAF Bernoulli Filter®
20.6 MossHydro Filter
20.7 Omega Series Filters
20.8 Spin Klin™ Automatic Disc Filter


CHAPTER TWENTY ONE – BW Systems with No Active Substances (G8)

Part A – BW Systems with No Active Substances Type Approved under the 2016 G8 Guidelines or the BWMS Code
21A.1 Aquarius UV BWMS
21A.2 Bawat BWMS Mk2.0
21A.3 Blue Ocean Shield (BOS) BWMS
21A.4 CompactClean BWMS
21A.5 Evolution BWMS
21A.6 GloEn-Patrol™ 2.0 BWMS
21A.8 LeesGreen® BWMS
21A.9 Miura HK BWMS
21A.10 PureBallast 3.2 BWMS
21A.11 Seascape BWMS

Part B – BW Systems with No Active Substances Type Approved under the original G8 Guidelines

21B.4 Coldharbour Marine GLD™ BWTS
21B.5 Cyeco™ BWMS
21B.6 EcoBallast™ BWTS
21B.7 HY™ BWMS
21B.8 InvaSave 300 BWTS
21B.10 KS-BioViolet™ BWMS
21B.12 NiBallast™ BWMS
21B.13 Optimarin Ballast System
21B.14 RayClean™ BWTS
21B.15 Semb-Eco LUV BWTS
21B.17 Venturi Oxygen Stripping™ (VOS™) BWTS


CHAPTER TWENTY TWO – BW Systems using Active Substances (G9)

Part A – BW Systems using Active Substances Type Approved under the 2016 G8 Guidelines or the BWMS Code

22A.1 Aquarius EC BWMS
22A.2 BalClor® BWMS
22A.3 Ecochlor® BWMS
22A.5 Electro-Cleen™ System (ECS)
22A.7 HiBallast™ BWMS
22A.8 inTank™ BWTS
22A.9 OceanGuard® BWMS
22A.10 Oceansaver® BWTS MKII
22A.11 oneTank BWMS 349

Part B – BW Systems using Active Substances Type Approved under the original G8 Guidelines

22B.1 AquaStar™ BWMS
22B.2 ARA Plasma BWTS (previously named ‘Blue Ocean Guardian’ (BOG) for Basic Approval)
22B.5 BlueBallast BWTS
22B.6 BlueZone™ BWMS
22B.7 CleanBallast® BWTS
22B.8 EcoGuardian™ BWMS
22B.9 JFE BallastAce® BWTS
22B.12 OceanDoctor ® BWMS
22B.13 Purimar™ and Neo-Purimar™ BWMS
22B.14 SeaCURE® BWMS
22B.15 Van Oord (VO) BWMS


CHAPTER TWENTY THREE – Approval Status of Systems
23.1 The BWM Convention
23.2 USCG Ballast Water Regulations 



A1 Key Invasive Species
1.1 The European Green Crab (Carcinus maenas)
1.2 Asian Kelp (Undaria pinnatifida), also known as Wakame
1.3 Fishhook Water Flea (Cercopagis pengoi)
1.4 Chinese Mitten Crab (Eriocheir sinensis), also known as the Shanghai Hairy Crab
1.5 Northern Pacific Sea Star (Asterias amurensis), also known as the Flatbottom Sea Star
1.6 Zebra Mussel (Dreissena polymorpha)
1.7 Round Goby (Neogobius melanostomus)
1.8 North American Comb Jelly (Mnemiopsis leidyi)
1.9 Toxic Algae (Producing Harmful Algal Blooms) (various species)

A2 Cholera (Vibrio cholerae) (various strains)

The discharge of untreated ballast water (BW) has been a key factor in the transfer of non-indigenous aquatic species that have subsequently established and become pests in various parts of the world. The economic and environmental damage these invasive species can cause has been well documented and the importance of managing untreated BW on board ships cannot be overstated.

National and international regulations to control the spread of non-indigenous aquatic species through managing BW using ballast water exchange (BWE) have been in effect in most regions and ports for many years. The International Convention for the Control and Management of Ships’ Ballast Water and Sediment, 2004 is now in force. The BWM Convention was triggered on 8th September 2016 when Finland ratified the Convention, and it subsequently entered into force on 8th September 2017. Three years later, in September 2020,there were 85 contracting States to the BWM Convention, representing approximately 91.11% of the world’s merchant shipping tonnage.

The United States is not party to the BWM Convention and its ballast water regulations, affecting ships that ballast in US waters only, have been fully in effect since 1st January 2016. However, a new US Act, the Vessel Incidental Discharge Act (VIDA) 2018, was enacted in December 2018. A key aim of this Act is to bring together the range of ballast water legislation in the US under one regulatory umbrella. Under VIDA 2018, the US EPA (Environmental Protection Agency) was given two years to develop new vessel discharge standards, and the US Coast Guard (USCG) the following two years to develop methods to implement those standards. The revised regulations will not be enforceable until the USCG publishes its strategies for implementing the new rules and this is scheduled for completion in December 2022. It is important to emphasise that the current US ballast water regulations are in force and full effect until that time. As at 8th September 2020, 34 BWMS have gained USCG Type Approval and of the 12 BWMS that are under review, 7 are systems that have already been awarded USCG Type Approval. The review process is for upgrades and 5 BWMS are from new manufacturers. VIDA 2018, when it enters into force, will also affect certain state ballast water regulations: The Great Lakes and The Pacific Region. The state of California was scheduled to have its own more stringent State regulations on controlling marine invasive species enter into force in January 2020. However, a revised implementation schedule passed through California State legislature in 2019 and was signed by the Governor and filed with the Secretary of State on 2nd October 2019. As from 1st January 2020, the California interim and final discharge performance schedule deadlines were shifted to 2030 and 2040 respectively.

The IMO Marine Environment Protection Committee (MEPC) has worked hard to improve, adapt and encourage new ideas over the many years since the BWM Convention was adopted in 2004. Although the thirteen years from adoption to entry into force may seem a long time, there have been many aspects of managing BW that have had to be considered. This has included waiting for enough ballast water management systems (BWMS) to be developed and tested, updating the guidelines to check that these systems were tested thoroughly, ensuring the safety of the environment into which the BW is discharged, producing guidelines on Port State Control to assist port States to verify a ship's compliance and, at MEPC 71 in 2017, agreeing to delay the implementation of the schedule for installation of BWMS so that information can be gathered and analysed from an experience-building phase now the Convention is in force. The agreed delay in the implementation schedule of the BWM Convention D-2 standard ended on 8th September 2019, which means that the BWM Convention is now fully in effect. Between 8th September 2019 and 8th September 2024, all applicable existing ships will have to comply with the D-2 standard by the ship's next IOPP renewal date. The IMO is focusing on the implementation of the BWM Convention.

Important amendments to Regulation E-1 of the BWM Convention were agreed at MEPC 74 in May 2019 and will be considered for approval at the rescheduled MEPC 75. This guidance on commissioning will not apply before October 2021, although some administrations are acting early. The E-1 amendments to the BWM Convention mean that a BWMS must undergo commissioning testing by sampling and analysis to check that it is biologically effective once it has been installed on board. This ensures the installation of the BWMS onto the ship has been carried out properly and that the system operates correctly on board, producing biologically-compliant treated ballast water.

The importance of gaining operational and practical experience of the BWMS on board cannot be underestimated. The experience-building phase (EBP) is a ‘soft opening’ for the BWM Convention, allowing ship operators and manufacturers to gain valuable real-world experience and give them time to overcome inevitable snags. The EBP started on EIF of the BWM Convention in September 2017 and is scheduled to continue until autumn 2022. Adequate crew training and experience is essential for operational compliance. The knowledge and competence of the crew about operation of the specific BWMS on board, as well as the recordkeeping involved to verify compliance, are early indicators that a system is properly operated and compliant. These are currently crucial early stage checks for regulatory compliance within the Port State Control assessment with regard to the USCG Ballast Water Discharge Standards in US waters and are an important feature of the Guidelines for Port State Control under the BWM Convention. Although the EBP of the BWM Convention allows for a temporary non-penalisation of ships that discharge non-compliant ballast water, there are strict conditions to that leniency. The US is not a signatory to the BWM Convention, and the USCG is enforcing the US ballast water regulations, which are fully in effect, with increasing thoroughness.

With so many BW systems on the market all claiming to meet the standards of the IMO Convention and USCG discharge rule, it is ;understandable that there has been an element of confusion for decision makers in the shipping industry. It is important to emphasise the deadline of 28th October 2020, after which point only BWMS holding a revised 2016 G8/BWMS Code certificate are permitted to be installed. As of 7th September 2020, there are 22 BWMS holding the revised 2016 G8/BWMS Code certification:11 G8 and 11 G9. The new certificates list the System Design Limitations of each approved BWMS so that ship owners have more information with which to make an informed decision before purchasing. BWMS with this revised Type Approval are the only systems that may be installed after the October deadline, although ships already fitted with BWMS with the original G8 Type Approval remain compliant with that certification and the systems do not have to be replaced. The COVID-19 pandemic has affected the scheduling of BWMS testing and of system installations. The delays to legislative decision making have also affected when BWMS will be able to come to market. BWMS manufacturers that already have the revised Type Approval and ship owners who already have these systems installed and operational on board are in the best position going forward.

Considering the upfront expense of a BWMS, owners want to be sure that the system they install will operate properly, is suitable for the BW capacity, age and operating conditions of the particular ship, and will be compliant with the various BW regulations that their ships will encounter. However, waiting to organise installation is no longer an option. Many BWMS manufacturers experienced increasing interest and sales in 2018, 2019 and through into 2020, and it is anticipated that the rush in installations will increase, with a flattened peak in 2022. It has been estimated that, because of the complexity of installing these systems, particularly as a retrofit, and the likely problems with scheduling of shipyard time for the fitting now that the implementation schedule is fully in effect, alongside the knock-on ramifications of the COVID-19 shutdown, the process may take 12 to 18 months from start to finish. Due to the demand for systems from the more popular manufacturers, ship owners may not get their first choice of system. With a narrow window for D-2 compliance with the BWM Convention, planning should be underway now.

September 2020

Dr Captain Nadeem Anwar Master Mariner, FNI, SFHEA, ACII, DoS, PGCEL, MSc (Maritime Operations), BSc (Quality Management), CertEd. Captain Anwar’s time at sea was mainly spent in deep-sea trade, which gave him global navigational experience. In education since 1998, he is now a Senior Lecturer in the Petrochemical section at Warsash Maritime Academy and Leader for MSc – Shipping Operations (online). He left sea while in command in 1998.

Title: Ballast Water Management, Understanding the regulations and the treatment technologies available, 11th Edition. (eBook)
Number of Volumes: 1
Edition: Eleventh
Number of Pages: 394
Product Code: IT103455
ISBN: ISBN 13: 978-1-85609-949-3
Published Date:
Binding Format: Hardback
Book Height: 280 mm
Book Width: 220 mm
Book Spine: 30 mm
Author: Nadeem Anwar

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