Ballast Water Management  Understanding the regulations and the treatment technologies available, 9th Edition.

Published Date

November 2018

Ballast Water Management Understanding the regulations and the treatment technologies available, 9th Edition.

(Excludes any applicable taxes)

Updated to MEPC 73 (October 2018)

This 9th edition of 'Ballast Water Management' has been fully updated to reflect the recent entry into force of the BWM Convention. Providing up-to-date information on the current state of international and national ballast water legislation, it contains essential information on the requirements for compliance and the treatment options available. It also includes data sheets for both IMO and USCG Type Approved BWMS (both G8 and G9) that are currently available on the market.



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The Ballast Water Management Convention entered into force on 8th September 2017.


Whether you already have a Ballast Water system implementation plan or not, this full and comprehensive guide will provide the information on the regulations and equipment options available that you need to make the transition to full compliance

Foreword v

Acknowledgements vii

List of Figures xv

List of Tables xxiii

List of Abbreviations xxv

PART ONE – Introduction and Background 1

CHAPTER ONE – The Issue in Recent Years 3

Ballast Water 5

The Timeline for Legislation 7

CHAPTER TWO – The Ship as a Carrier 9

2.1 Aquatic Species 12

2.2 Pathogens 14

2.3 Age of Ballast Water 14

2.4 Ballast Tank Configuration 14

2.5 Biofouling 16

2.5.1 Biofouling Regulations and Guidelines 16

2.5.2 The GloFouling Partnerships Project 18

PART TWO – Risk Management – Ballast Water Exchange is the First Measure 19

CHAPTER THREE – Ballast Water Exchange (BWE) 21

3.1 BWE Operational Considerations 26

3.1.1 Geographic Location Requirements 26

3.1.2 Exchange Zones 27

3.1.3 Satellite Remote Colour Sensing 28

3.1.4 Salinity and Temperature 30

3.1.5 Time Required 31

3.1.6 Deviation 32

3.1.7 Need for Exchange 32

3.1.8 Safety Implications 32

3.2 Sequential BW Exchange Method 33

3.3 Flow-through BW Exchange Method 36

3.4 Ship Design and Ballasting 40

3.4.1 Natural Ballast Water Exchange Method 40

3.4.2 The Ballastless Ship 40

3.4.3 No Ballast On Board (NOBOB) Ships 43

3.4.4 Simple Design Solutions to Limit Sediment 44

3.5 BWM Options Summary 45

3.6 Ballast Operations Checklists 46


PART THREE – Regulations 51

CHAPTER FOUR – BWM Legislation Timeline 53

CHAPTER FIVE – IMO Guidance Documents on Ballasting 59

CHAPTER SIX – IMO Legislation 65

6.1 Legislation from the International Maritime Organization 67

6.1.1 Application of the BWM Convention 68

6.1.2 The IMO Approval Process 72

6.1.3 Historical Problems 75

6.1.4 Pertinent MEPC Discussions 76

CHAPTER SEVEN – GloBallast 91

CHAPTER EIGHT – United States Legislation 97

8.1 The US Coast Guard 99

8.1.1 USCG Discharge Standards for Concentration of Living Organisms in

Ballast Water 100

8.1.2 USCG Final Rule Implementation Dates 102

8.1.3 USCG Extensions 103

8.1.4 Alternate Management System (AMS) Acceptance 105

8.1.5 USCG Type Approval of Ballast Water Management Systems 105

8.1.6 The Shipboard Technology Evaluation Program (STEP) 110

8.1.7 The ETV (Environmental Technology Verification) Program 111

8.1.8 USCG Enforcement and Penalties 112

8.2 Environmental Protection Agency 114

8.3 State Legislation 115

8.3.1 California State Ballast Requirements 116

8.3.2 Great Lakes States Ballast Requirements 121

8.4 Summary of US Legislation 122

CHAPTER NINE – Local and Regional BW Regulations 125

PART FOUR – Implementation of Regulations 135

CHAPTER TEN – The Financial Implications of BWM Legislation 137

10.1 Cost of Ballast Water Exchange 139

10.1.1 Enforcement Costs 139

10.2 Cost of Ballast Water Management Systems 140

10.2.1 Funding for Major Projects 141

10.2.2 Port-Based Treatment 142

10.2.3 Logistical Issues Arising from Non-Compliance 142

10.3 The Cost to BWMS Manufacturers 143

CHAPTER ELEVEN – The Port State Authority 145

CHAPTER TWELVE – Ship Administration of BWM 149

12.1 The Ballast Water Management Plan 151

12.1.1 Introduction 151

12.1.2 Ship Particulars 151

12.1.3 Index 151

12.1.4 Purpose 152

12.1.5 Plans/Drawings and Description of the Ballast System 152

12.1.6 Additional Details 153


12.1.7 Safety Procedures for the Ship and the Crew 154

12.1.8 Duties of the Ballast Water Management Officer 155

12.2 Ballast Water Record Book 155

12.3 Surveys 158

12.3.1 Initial Survey 158

12.3.2 Intermediate Survey 160

12.3.3 Annual Survey 161

12.3.4 Renewal Survey 162

12.4 Certification 163

12.5 Ballast Water Reporting 165

12.5.1 Online Reports 166

12.5.2 Fax Reports 166

12.5.3 Postal/Mail-in Reports 166

12.6 Training 166

12.6.1 Support Level 167

12.6.2 Operational Level 167

12.6.3 Management Level (to include port and company staff) 168

CHAPTER THIRTEEN – Port States and Port State Control (PSC) 169

13.1 Existing Conditions 171

13.2 Notification 172

13.3 Inspection, Monitoring and Enforcement 172

13.3.1 IMO PSC Guidelines 173

13.3.2 The Experience-Building Phase (EBP) 178

CHAPTER FOURTEEN – Ballast Water Sampling/Monitoring 181

14.1 Monitoring Capability 185

14.2 Arrival Ballast Conditions 185

14.3 Monitoring Levels 186

14.3.1 Level 1 Monitoring/Sampling 186

14.3.2 Level 2 Monitoring/Sampling 187

14.3.3 Level 3 Monitoring/Sampling 187

14.4 Post-Treatment Monitoring 188

14.5 Sampling 189

14.5.1 Sampling Issues 190

14.5.2 Protective Equipment 191

14.6 Sediment 191

14.7 Test Methods 192

14.7.1 Colourimetric Test 193

14.7.2 Amperometry 193

14.7.3 Immunofluorescence 193

14.7.4 Flow Cytometry 194

14.8 Monitoring that Requires Tank Entry 195

CHAPTER FIFTEEN – Deposit and Exchange Facilities 199

15.1 Reception Facilities 201

15.1.1 Guidelines on Contingency Measures 202

15.1.2 Facility to Receive/Treat Ballast Water at Port 203

15.1.3 Sediment Reception Facility 207




PART FIVE – Treatment Systems and Operation 209

CHAPTER SIXTEEN – Introduction to Treatment Technologies 211

16.1 Ballast Water Management System (BWMS) Requirements 214

16.2 Technical Installation Issues 215

16.3 Retrofit Assistance 217

16.4 The Evolution of Ballast Water Management Systems 219

16.4.1 Ownership Changes 219

16.4.2 Cooperation within the Industry 222

16.4.3 BWMS Approvals (IMO and USCG) 223

16.4.4 BWMS Upgrades 223

16.4.5 Experience with Ballast Water Management 224

CHAPTER SEVENTEEN – Physical Separation, Thermal, Ultraviolet and

Plasma Technologies 227

17.1 Physical Separation 229

17.1.1 The Hydrocyclone 230

17.1.2 Screen Filtration 232

17.1.3 Disc Filtration 232

17.1.4 Limitations and Advantages of Physical Separation 233

17.2 Heat Treatment Technology 234

17.2.1 Limitations and Advantages of Heat Treatment Technology 234

17.3 Ultraviolet Radiation/Advanced Oxidation Technology 235

17.3.1 Limitations and Advantages of UV Radiation Technology 237

17.4 Plasma Technology 238

CHAPTER EIGHTEEN – Deoxygenation, Magnetic and Ultrasonic/Cavitation Technologies 239

18.1 Deoxygenation/Supersaturation Technology 241

18.1.1 Limitations and Advantages of Deoxygenation Technology 241

18.2 Magnetic/Electric Fields Technology 242

18.3 Ultrasonic and Hydrodynamic Cavitation Technology 242

18.3.1 Ultrasonic Technology 242

18.3.2 Hydrodynamic Cavitation Technology 243

CHAPTER NINETEEN – Chemical, Biocide and Electrochemical Technologies 245

19.1 Chemical and Biocide Technology 247

19.1.1 Limitations and Advantages of Chemical and Biocide Technology 247

19.1.2 Types of Biocide 248

19.1.3 Oxidising Biocide Residues 248

19.1.4 Sodium Hypochlorite (NaOCl) 249

19.1.5 Peroxygen Compounds 249

19.1.6 Ozone (O3) 250

19.1.7 Glutaraldehyde 251

19.1.8 Menadione 251

19.1.9 Acrolein 251

19.1.10 Chlorine Dioxide (ClO2) 251

19.2 Electrochemical Technology 252


PART SIX – Components and Data Sheets 255

CHAPTER TWENTY – Filter Components used in the Assembly of a BWMS 257

20.1 The BOLLFILTER Automatic Filter Type 6.18.3C 260

20.2 Filtersafe® BS-e Series Filter 261

20.3 Filtrex ACB® Filter 262

20.4 HYDAC AutoFilt® Automatic Filter 263

20.5 KAF Bernoulli Filter® 264

20.6 MossHydro Filter 265

20.7 Omega Series Filters 266

20.8 Spin Klin™ Automatic Disc Filter 267

CHAPTER TWENTY ONE – BW Systems with No Active Substances (G8) 269

21.1 Ultraviolet and Filter Systems 271

21.2 Ultraviolet and Pressure Vacuum Systems 296

21.3 UV Systems 297

21.4 Deoxygenation with Inert Gas 298

CHAPTER TWENTY TWO – BW Systems using Active Substances (G9) 303

22.1 Chemical Biocide Systems 305

22.2 Electrolysis Systems 310

22.3 Ozone Systems 329

22.4 Advanced Oxidation Systems 331

22.5 Ultraviolet and Plasma Systems 332

22.6 Unconventional BWMS 333

CHAPTER TWENTY THREE – Approval Status of Systems 335

23.1 The BWM Convention 337

23.2 USCG Ballast Water Regulations 356

Appendices 371

1 Key Invasive Species 373

1.1 The European Green Crab (Carcinus maenas) 373

1.2 Asian Kelp (Undaria pinnatifida) also known as Wakame 375

1.3 Fishhook Water Flea (Cercopagis pengoi) 377

1.4 Chinese Mitten Crab (Eriocheir sinensis) also known as the

Shanghai Hairy Crab 378

1.5 Northern Pacific Sea Star (Asterias amurensis) also known as

the Flatbottom Sea Star 380

1.6 Zebra Mussel (Dreissena polymorpha) 382

1.7 Round Goby (Neogobius melanostomus) 385

1.8 North American Comb Jelly (Mnemiopsis leidyi) 386

1.9 Toxic Algae (Producing Harmful Algal Blooms) (various species) 388

2 Cholera (Vibrio cholerae) (various strains) 393

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 Convention was triggered on 8th September 2016 when Finland ratified the Convention, and it subsequently entered into force on 8th September 2017. Approximately one year later in mid-October 2018, there were 79 contracting States to the Convention, representing approximately 80.94% of the world’s merchant shipping tonnage. The United States is not party to the Convention and its ballast water regulations have been fully in effect since 1st January 2016. As of 1st November 2018, eleven BWMS have gained USCG Type Approval and ten are pending approval. The US BW regulations affect ships that ballast in US waters only. The state of California is scheduled to have its own more stringent State regulations enter into force in 2020.


The IMO Marine Environment Protection Committee (MEPC) has worked hard to improve, adapt and encourage new ideas over the many years since the Convention was adopted. Although the thirteen years from adoption to entry into force may seem a long time, there have been many angles to the task 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 IMO is now focusing more on the implementation and enforcement of the Convention. Future discussions will include the application of the Convention to specialised ship types, monitoring BWMS in real-time operations, contingency measures and the development of a model training course for training seafarers.


With so many systems on the market all claiming to meet the standards of the IMO Convention and USCG discharge rule, it is understandable that there is an element of confusion for decision makers in the shipping industry. 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. Several manufacturers are noticing increased interest and sales in 2018, and it is anticipated that 2019 will see a huge rush in installations and this will only increase. It has been estimated that, because of the complexity of installing these systems, particularly as a retrofit, and possible problems with scheduling of shipyard time for the fitting, the process can take 12 to 18 months from start to finish.


The importance of gaining operational and practical experience of the BWMS on board cannot be underestimated. The experience-building phase, linked with the delay in the B-3 implementation schedule, 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 knowledge and competence of the crew about operation of the specific BWMS on board, as well as the record- keeping 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 experience-building phase 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.


October 2018

Captain Nadeem Anwar graduated from the Pakistan Marine Academy in December 1983 and in 1984, went into shipping as a deck cadet on mul

Title: Ballast Water Management Understanding the regulations and the treatment technologies available, 9th Edition.
Number of Volumes: 1
Edition: Ninth
Product Code: WS1657K
Published Date: November 2018
Binding Format: Hardback
Book Height: 280 mm
Book Width: 220 mm
Book Spine: 30 mm
Author: Nadeem Anwar

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