Ballast Water Management: Understanding the Regulations and the Treatment Technologies Available, 11th Edition 2020

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This 11th edition of 'Ballast Water Management' sets out the current international and national ballast water legislation and provides essential information on compliance. It discusses the various treatment options available and summarises the IMO and USCG Type Approved BWMS currently on the market. It also highlights the significant date of 28th October 2020, after which point 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 essential aids to shipowners when evaluating and selecting a BWMS.

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 summarizes 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.


List of Figures
List of Figures – Appendices
List of Tables
List of Tables – Appendices
List of Abbreviations

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
2.5.1 Biofouling Regulations and Guidelines
2.5.2 The GloFouling Partnerships Project

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

CHAPTER THREE – Ballast Water Exchange (BWE)
3.1 BWE Operational Considerations
3.1.1 Geographic Location Requirements
3.1.2 Exchange Zones
3.1.3 Satellite Remote Colour Sensing
3.1.4 Salinity and Temperature
3.1.5 Time Required
3.1.6 Deviation
3.1.7 Need for Exchange
3.1.8 Safety Implications
3.1.9 BWE Combined with BWT
3.2 Sequential BW Exchange Method
3.3 Flow-through BW Exchange Method
3.4 Ship Design and Ballasting
3.4.1 Natural Ballast Water Exchange Method
3.4.2 The Ballastless Ship
3.4.3 No Ballast On Board (NOBOB) Ships
3.4.4 Simple Design Solutions to Limit Sediment
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
6.1.1 Application of the BWM Convention
6.1.2 The IMO Approval Process
6.1.3 Historical Problems
6.1.4 Pertinent MEPC Discussions


CHAPTER EIGHT – United States Legislation
8.1 The Vessel Incidental Discharge Act (VIDA)
8.1.1 History of VIDA
8.1.2 VIDA 2018
8.1.3 The Interim Period
8.2 Environmental Protection Agency
8.3 The US Coast Guard
8.3.1 History of USCG Ballast Water Management Regulations
8.3.2 USCG Discharge Standards for Concentration of Living Organisms in Ballast Water
8.3.3 USCG Final Rule Implementation Dates
8.3.4 USCG Extensions
8.3.5 Alternate Management System (AMS) Acceptance
8.3.6 USCG Type Approval of Ballast Water Management Systems
8.3.7 The Shipboard Technology Evaluation Program (STEP)
8.3.8 The ETV (Environmental Technology Verification) Program
8.3.9 USCG Enforcement and Penalties
8.4 State Legislation
8.4.1 California State Ballast Requirements
8.4.2 Great Lakes States Ballast Requirements
8.4.3 VIDA 2018 State Requirements
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
10.3.1 Port-based Treatment
10.3.2 Logistical Issues Arising from Non-compliance
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
12.1.1 Introduction
12.1.2 Ship Particulars
12.1.3 Index
12.1.4 Purpose
12.1.5 Plans/Drawings and Description of the Ballast System
12.1.6 Additional Details
12.1.7 Safety Procedures for the Ship and the Crew
12.1.8 Duties of the Ballast Water Management Officer
12.2 Ballast Water Record Book
12.3 Surveys
12.3.1 Initial Survey
12.3.2 Intermediate Survey
12.3.3 Annual Survey
12.3.4 Renewal Survey
12.4 Certification
12.4.1 Effects of COVID-19 on Survey and Certification
12.5 Ballast Water Reporting
12.5.1 Online Reports
12.5.2 Fax Reports
12.5.3 Postal/Mail-in Reports
12.6 Training
12.6.1 Support Level
12.6.2 Operational Level
12.6.3 Management Level (to include port and company staff)

CHAPTER THIRTEEN – Port States and Port State Control (PSC)
13.1 Existing Conditions
13.2 Notification
13.3 Inspection, Monitoring and Enforcement
13.3.1 IMO PSC Guidelines
13.3.2 The Experience-Building Phase (EBP)

CHAPTER FOURTEEN – Ballast Water Sampling/Monitoring
14.1 Monitoring Capability
14.2 Arrival Ballast Conditions
14.3 Monitoring Levels
14.3.1 Level 1 Monitoring/ Sampling
14.3.2 Level 2 Monitoring/Sampling
14.3.3 Level 3 Monitoring/Sampling
14.4 Post-treatment Monitoring
14.5 Sampling
14.5.1 Sampling Issues
14.5.2 Protective Equipment
14.6 Sediment
14.7 Test Methods
14.7.1 Colourimetric Test
14.7.2 Amperometry
14.7.3 Immunofluorescence
14.7.4 Flow Cytometry
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
16.4.1 Ownership Changes
16.4.2 Cooperation within the Industry
16.4.3 BWMS Approvals (IMO and USCG)
16.4.4 BWMS Upgrades
16.4.5 Experience with Ballast Water Management

CHAPTER SEVENTEEN – Physical Separation, Thermal, Ultraviolet and Plasma Technologies
17.1 Physical Separation
17.1.1 The Hydrocyclone
17.1.2 Screen Filtration
17.1.3 Disc Filtration
17.1.4 Limitations and Advantages of Physical Separation
17.2 Heat Treatment Technology
17.2.1 Limitations and Advantages of Heat Treatment Technology
17.3 Ultraviolet Radiation/Advanced Oxidation Technology
17.3.1 Limitations and Advantages of UV Radiation Technology
17.4 Plasma Technology

CHAPTER EIGHTEEN – Deoxygenation, Magnetic and Ultrasonic/Cavitation Technologies
18.1 Deoxygenation/Supersaturation Technology
18.1.1 Limitations and Advantages of Deoxygenation Technology
18.2 Magnetic/Electric Fields Technology
18.3 Ultrasonic and Hydrodynamic Cavitation Technology
18.3.1 Ultrasonic Technology
18.3.2 Hydrodynamic Cavitation Technology

CHAPTER NINETEEN – Chemical, Biocide and Electrochemical Technologies
19.1 Chemical and Biocide Technology
19.1.1 Limitations and Advantages of Chemical and Biocide Technology
19.1.2 Types of Biocide
19.1.3 Oxidising Biocide Residues
19.1.4 Sodium Hypochlorite (NaOCl)
19.1.5 Peroxygen Compounds
19.1.6 Ozone (O3)
19.1.7 Glutaraldehyde
19.1.8 Menadione
19.1.9 Acrolein
19.1.10 Chlorine Dioxide (ClO2)
19.2 Electrochemical Technology

PART SIX – Components and Data Sheets 281

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
23.2.1 Alternate Management Systems
23.2.2 USCG Type Approval


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.



Title: Ballast Water Management, Understanding the regulations and the treatment technologies available, 11th Edition.
Number of Volumes: 1
Edition: Eleventh
Product Code: IT103454
Published Date:
Binding Format: Hardback
Book Height: 280 mm
Book Width: 220 mm
Book Spine: 30 mm
Weight: 2.20 kg
Author: Nadeem Anwar

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