Ballast Water Management

Convention
General information – status August 2009

DNV Maritime
 The Convention specifies two standards to satisfy its require- exchange of ballast water will be phased out and no longer
ments, Ballast Water Exchange (Standard D-1) and Ballast Water acceptable. Ballast water treatment will then be the only accept-
Treatment (Standard D-2). able method.

1. BALLAST WATER EXCHANGE 2. BALLAST WATER TREATMENT

Figure 1 States with restrictions on ballast water
The status of the Ballast Water Management Convention
(Convention) per August 2009 is that 18 States representing
15.36% of the gross tonnage of the world’s merchant fleet have
ratified the Convention. Those states are:
In order to meet the requirements of the Ballast Water
Management Convention Regulation B-4 (see footnote 2 in the
Table above), there are three approved exchange methods that
can be used:
Sequential method: a process by which a ballast tank or hold
intended for the carriage of ballast water is first emptied of at
least 95% of its volume and then refilled with replacement bal-
last water.
Flow through method: a process by which replacement ballast
water is pumped into a ballast tank or hold allowing water to
overflow through openings on open deck. At least 3 times the
tank or hold volume shall be pumped through the tank or
hold.
Dilution method: a process by which replacement ballast water is
filled through the top of the ballast tank or hold with simulta-
Until the Convention enters into force, a number of States have neous discharge from the bottom at the same flow rate and
introduced, or plan to introduce, restrictions on ballast water for maintaining a constant level in the tank or hold. At least 3
ships entering their territorial waters. These States are per times the tank or hold volume shall be pumped through the
August 2009: tank or hold.
Ballast water treatment systems used to treat ballast water to meet
the standard specified in Regulation D-2 of the Convention, must
be type approved in accordance with the G8 guidelines and/or
G9 procedures of the Convention (ref. resolutions
MEPC.174(58) and MEPC.126(53) respectively).
The G8 is a set of guidelines for approval of ballast water man-
agement systems.
The G9 is a set of procedures for approval of Active Substances
used in the treatment system.
A treatment system using active substances must receive Basic
and Final Approval from GESAMP-BWWG – following the G9
procedures – before a Type Approval Certificate may be issued by
the Administration. Such systems are then approved following
both the G8 guidelines and the G9 procedures.
A treatment system not using active substances does not need to
follow the G9 procedures and may thus receive a Type Approval
Certificate directly from the Administration. Such systems are
approved following the G8 guidelines.

I Antigua & Barbuda I Argentina As the Convention starts entering into force for the different Per August 2009, the status of approval of the different treatment
I Albania I Australia types of ships, as given in Figure 2 below, these methods of systems is as follows:
I Barbados I Bahrain
I Egypt I Brazil
I France I Canada
Treatment system Approving Administration Following G8 or G8&G9
I Kenya I Chile
I Kiribati I Egypt PureBallast – Alfa Laval DNV on behalf of Norway G8 & G9
I Liberia I Georgia
I Maldives I Iran OceanSaver® – OceanSaver DNV on behalf of Norway G8 & G9
I Mexico I Iraq Sedna® – Hamann AG Germany G8 & G9
I Nigeria I Israel
Electro-Cleen™ - Techcross Republic of Korea G8 & G9
I Norway I Kuwait
I St. Kitts & Nevis I Lithuania NEI Treatment Systems Liberia and Marshall Islands G8
I Sierra Leone I New Zealand Hyde Marine BWTS LR on behalf of the UK G8
I South Africa I Norway
I Spain I Oman
I Syria I Panama Channel
I Tuvalu I Peru
I Qatar 3. BALLAST WATER MANAGEMENT PLAN Brazil and Norway require that the plans are approved; Brazil has
The Convention will enter into force 12 months after the date on I Russia delegated the approval of the plans to class. Norway, although a
which not less than 30 States representing not less than 35% of I Saudi Arabia Guidelines on how a Ballast Water Management Plan must be set formal delegation is not yet given, will probably delegate the
the gross tonnage of the world’s merchant fleet have ratified the I Turkey up have been developed within IMO. The Guidelines are given approval of the ballast water management plans to class.
Convention. I Ukraine in Resolution MEPC.127(53).
I United Arab Emirates DNV approves Ballast Water Management Plans found to be in
When the Convention enters into force, ballast management I USA compliance with the aforementioned guidelines, as mentioned in 4. BALLAST WATER RECORD BOOK
becomes an international requirement and the entire world fleet I UK (Orkney Island) footnote 4 in the Table below.
(with some exemptions) will have to comply with the standards A Ballast Water Management Plan for ships using exchange The Ballast Water Record book should contain at least the infor-
in the Convention. methods is different than a Ballast Water Management Plan for mation contained in Appendix II of the Convention.
ships using treatment methods. However, the Guidelines given in
Resolution MEPC.127(53) are valid for both methods.

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 5. NATIONAL REQUIREMENTS FOR BALLAST WATER MANAGEMENT

State Ports Ships Exchange Treatment Ballast Water Ballast Water Entry into Additional information
Management Plan Record Book force

Argentina All All Yes Yes1 Yes Yes 1998 See www.prefecturanaval.gov.ar

Australia All All Yes2 Recommended 2001 See www.daff.gov.au/aqis

Brazil All All3 Yes2 Yes4 Yes 2006 See www.dpc.mar.mil.br

ROPME area (Bahrain, Iran, Iraq, All in ROPME All ships entering Yes5 2009-11-01 Refer to document MEPC.59/INF.3.
Kuwait, Oman, Saudi Arabia, sea area ROPME sea area
Qatar & United Arab Emirates)

Canada All All Yes2 Yes Yes 2000 See www.tc.gc.ca/marinesafety/oep/

Chile All All Yes2 Yes 1995

Egypt Alexandria All Yes

Georgia All All Yes Yes6

Israel All All Yes7

Lithuania Klaipeda & Butinge All Yes8 Advised Advised See HELCOM (Helsinki Commission)
Oil Terminal recommendations

New Zealand All All Yes2 Yes9 No10 Yes 1998 See www.biosecurity.govt.nz/enter/ships/ballast

Norway All All Yes2 Yes1 Yes4 Yes 2010-01-01 See www.regjeringen.no/en/dep/md.html?id=668

Panama Panama Canal11 All 1999 See www.pancanal.com

Peru All All Yes12 Yes13 Yes See www.dicapi.mil.pe

Russia Novorossiysk All Yes14 2006 See www.nmtp.info/en

Turkey All All Yes

Ukraine All All Yes15 Yes16 See www.kmu.gov.ua

United States of America All All17 Yes Yes18 Yes19 2004 See www.uscg.mil/hq/cg5/cg522/cg5224/bwm.asp

United Kingdom All ports in the All20 See www.orkneyharbours.com

(Orkney Islands) Scapa Flow

1 Type approved treatment system in accordance with
IMO guidelines
2 Ballast water exchange is required to be performed
in accordance with Regulation B-4 of the Convention,
meeting the standard of Regulation D-1 of the
Convention
3 Exemptions are given to Offshore Supply Vessels
4 Approved by the Administration
5 Ballast Water Exchange is required to be performed
in accordance with Regulation B-4 of the Convention;
no standards are mentioned
6 Treatment may be accepted. Owners are advised to
consult with the port authorities first
7 All ships entering the coast of Israel have to
exchange the ballast water beyond any continental
shelf or fresh water current effect
8 All ships coming to the Baltic Sea have to exchange
ballast in the North Sea
9 Ships are required to clean the ballast water either
onboard or onshore
10 A ballast declaration must be submitted before
entering the port
11 No ballast water can be discharged in the Panama
Canal
12 All ballast water must be exchanged at least 12nm
from the Peruvian coast. The requirement also
applies to ballast water taken up in a Peruvian port.
13 In addition to the Ballast Water Management Plan, a
Ballast Water Notification must be submitted to the
Maritime Authority
14 All ballast must be exchanged in the Black Sea before
arriving to Novorossiysk
15 All ships arriving to a port in Ukraine must have
exchanged the ballast water in the Black Sea
16 Ships must apply for discharging ballast water in the
ports
17 All ships entering US EEZ (Exclusive Economic Zone)
except passenger ships equipped with ballast water
treatment systems and crude oil tankers engaged in
US coastwise trade
18 Approved ballast water treatment methods. Contact
the US Coast Guard to find out if the installed
treatment system is approved or not
19 Ballast reports are required to be submitted to the
US authorities
20 See www.orkneyharbours.com for more details on
ship types and requirements for exchange and
delivery to reception facilities.

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6. IMPLEMENTATION SCHEDULE OF THE CONVENTION
The following chart illustrates the implementation schedule of the
Convention based on the keel-laid date of the ship and its ballast
water capacity:
Figure 2 Implementation chart of the Ballast Water Convention
D-1 standard refers to ballast water exchange
D-2 standard refers to ballast water treatment
For ships keel-laid in 2009, Assembly Resolution A.1005(25) asks Administrations to postpone the implementation of the Convention
until the 2nd annual survey of the ship but not later than 31st December 2011.
7. ITEMS FOR CONSIDERATION WHEN CHOOSING/
INSTALLING BALLAST WATER TREATMENT SYSTEMS
a. Ballast water pump capacity vs. ballast water treatment
system capacity
The ballast water pumping capacity (1 pump) of a ship cannot
exceed the capacity (Treatment Rated Capacity, TRC) of the
treatment system, as given in the Type Approval Certificate of the
treatment system.
In case two pumps (where capacity of both pumps exceed the
TRC of the installed treatment system) are connected to the
treatment system, instructions in the Ballast Water Management
Plan stating that only one pump can be run at a time must be
included.
A possible solution when the ballast pumping capacity exceeds
the TRC of the treatment system is to install an orifice in the
inlet pipe to the treatment system to limit the flow.
b. Ballast pump pressure head
Some ballast water treatment systems will need new or additional
ballast water pumps. Ballast water pumps with increased head
may cause some challenges to be considered:
I Suitability of existing flanges to tackle the higher pressure in
the system
6 7
I New pressure drop calculations for the air pipes of the ballast
tanks in case the flow rate increases
c. Bypass operations of the treatment system
The guidelines for type approval of ballast water treatment sys-
tems require, in the event of an emergency, that suitable bypasses
or overrides of the treatment system to protect the safety of the
ship and personnel should be arranged. Such bypasses should
activate an alarm, and the bypass event should be recorded by
the Control Equipment of the treatment system. The alarms are
audible and visual signals in all stations from which ballast water
operations are controlled.
Any additional bypass possibility of the treatment unit in a ballast
system must in general be avoided or logged automatically in the
treatment system’s control unit. This in general is applicable in
cases of heeling operations or other internal movement of ballast
water in the ship. These operations must be identified by the
control unit of the treatment system to avoid triggering the
bypass alarm.
Accidental filling and discharging by gravity of the ballast water
must be avoided by installing non-return valves on the ballast
piping between the overboard discharge outlet and the ballast
tanks.
d. Safety issues related to gas generation during treatment
of the ballast water
Some ballast water treatment systems use or generate different
toxic and flammable gases in order to achieve the required treat-
ment level by the Convention.
A guideline for the storage of chemicals onboard ships has been
developed at IMO, given in BWM.2/Circ.20 dated 21st July 2009.
Toxicity, explosion and flammability of the gases generated while
treating the ballast water must be considered and proposals for
dealing with those gases (ventilation, fire fighting, alarms etc.)
will be considered and approved by DNV.
Typical gases are: Hydrogen (H2), Ozone (O3), Methane (CH4)
and Sodium Hypochlorite (NaClO).
e. Inerting of ballast tanks
Some ballast water treatment systems combine their technology
with inerting of the ballast tanks. Inerting of ballast tanks as part
of normal operation represents an increased risk for personnel
in connection with tank entry.
The governing rule with respect to piping system of the ballast
tanks is that it must be possible to over-pump the ballast tanks
within the pressure limits of the structure. Pressure drop calcula-
tions must be submitted for approval.
The following alternatives are accepted to DNV as means to
maintain the Inert Gas pressure in the ballast tank:
I Pressure relief loop with discharge directly overboard.
I Pressure-Vacuum valves with means to release water.
Discharging of ballast normally ensures that there is adequate
oxygen levels in ballast tanks, although one is frequently strug-
gling with achieving adequate levels in the double bottom area
(portable fans with plastic hoses leading to the double bottoms
are normally required arranged prior to tank entry).
The following assessments must be considered when inerting bal-
last tanks:
I Assessment of capacity of the P/V-valve during discharging
(vacuum) and ballasting (pressure relief with water).
I Arrangements for ventilating double bottom part of ballast
tanks must be provided.
I Inerted ballast tanks to have direct access to open deck.
I Air and Sounding pipes to be led to open deck.
I Warning signs posted at the manholes of the ballast tanks.
I Safety procedures for tank entry for the ballast tanks to be
included in the ship’s safety manual.
I Leakage hazards from an inerted tank to a non-inerted tank
must be considered and identified with relevant procedures in
the ship’s safety manuals.
f. Installation of treatment equipment in gas dangerous
zones
For oil tankers and chemical carriers with liquid products having
a flash point not exceeding 60°C, all electrical equipment must
be based in a non-hazardous area, or must be certified as safe for
use in a hazardous area.
Ballast water from ballast tanks adjacent to cargo tanks in which
liquids with flash point not exceed 60°C is present, is not allowed
to be led to the engine room because of risk of leakage of flam-
mable gases. Following the same reasoning, it is not allowed to
take ballast water from such ballast tanks into gas safe rooms on
deck.
8. CLASS NOTATIONS RELATED TO THE BALLAST WATER
MANAGEMENT CONVENTION IN DNV
DNV has developed class notations related to the Ballast Water
Management Convention.
The following class notations are available (ref. DNV Rules Pt.6
Ch.18):
BWM-E ( ) Ballast water exchange. This notation is applicable to
ships complying with the Convention by means of ballast water
exchange. The exchange of the ballast water could take place
either by the sequential method, dilution method or by the
flow through method. The applied method is indicated by the
letters in the bracket:
d for dilution method
s for sequential method
f for flow-through method
BWM-EP ( ) Ballast water enhanced exchange-performance. The
application of this notation is the same as the BWM-E ( ) nota-
tion; however, additional performance parameters of the
pumping system are required to receive this notation.
BWM-T Ballast water treatment. This notation is applicable to
vessels complying with the Convention by means of system(s)
for treatment of ballast water complying with the Guidelines
for Approval of Ballast Water Management Systems.
BWM-TP Ballast water treatment (prototype). This notation is
applicable to vessels complying with the Convention by means
of system(s) for treatment of ballast water complying with the
Guidelines for Approval of Prototype Ballast Water Treatment
Technologies.
9. TYPE APPROVAL OF BALLAST WATER TREATMENT
SYSTEMS IN DNV
DNV has developed a Type Approval Programme for Ballast
Water Treatment Systems. This is given in Type Approval
Programme No.771.91.
The DNV Type Approval Programme, together with the
Guidelines G8 and Procedures G9 developed at IMO, constitute
DNV’s reference when doing Type Approval of a Ballast Water
Treatment System.
In total, DNV is engaged in the Type Approval of 5 ballast water
treatment systems, two of which have already received their Type
Approval Certificate.
DNV (Det Norske Veritas)
NO-1322 Høvik, Norway
Tel: +47 67 57 99 00
Fax: +47 67 57 99 11

www.dnv.com

CONTACTS IN DNV

I Ballast Water Management Convention, Type Approval of Ballast Water Treatment Systems and
approval of Ballast Water Management Plans for systems using treatment method, DNV Rules, Surveys
Section for Piping Systems, Cargo Handling and Gas Carriers, MNBNA880

Coor Design 0909-029

MNBNA880@dnv.com

I Approval of Ballast Water Management Plans for systems using exchange methods
Section for Stability, MNBNA845
MNBNA845@dnv.com

© Det Norske Veritas AS 10-2009

I Consultancy related to Ballast Water Management Plans
Section for Stability Advisory Services, MNBNC369
MNBNC369@dnv.com

IConsultancy related to Ballast Water Treatment Systems

DNV Maritime Solutions, MNBNC311
maritimesolutions@dnv.com