CONTENTS

1 Introduction
1.1 Learning objectives
1.2 Training other crew members
1.3 Background to the ballast water regulations
1.4 The ballast water discharge regulations

2 System approval and the D-2 standard

2.1 The D-2 performance standard
2.2 Testing for type approval

3 Possible systems
3.1 Implementation schedules
3.2 Factors affecting the decision about Ballast Water Treatment Systems
3.3 Types of system
3.4 Handling and storing chemicals
3.5 The Master’s BWMS responsibilities
3.6 Notice of areas where ballast water should not be taken up

4 Management
4.1 Record keeping
4.2 Training
4.3 Inspection
4.4 Contingency measures

5 Summary

6 Glossary

7 Further resources

8 Table relating the regulations to the programme

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 1 INTRODUCTION

1.1 Learning objectives

After doing this training, crew members will understand:
 the principles behind, and the key points in, the new regulations for ballast
water management
 the range of management options, and the advantages and disadvantages of
each
 the importance of safe operation and maintenance of Ballast Water
Management Systems (BWMS)
 the consequences of non-compliance with the regulations

1.2 Training other crew members

If you are responsible for training others then you should aim to follow the instructions
in this section as closely as possible. It will help you to learn how to run effective
training sessions with the crew.

Preparation
Think about the group
How familiar is everyone with ballast water management? What questions might they
ask you? What do you want this session to achieve?

Watch the video

It is important to familiarise yourself with the video in advance, so that you can
anticipate possible questions from the group and research your answers.

Read the Reference

The Reference reinforces the key points from the video and contains reference
material that expands on the learning.

Tips for running an effective training session

Begin with an overview
Tell the group what the objectives of the session are, what you are going to cover,
what they will know by the end of the session, and how long it will take.

Make the best use of the video and Reference

Show the video and open up the session to general questions and discussion. If
anyone was unclear about a particular point, or you would like to reinforce a message,
you can re-play the relevant section(s) of the video and/or refer them to the material in
the corresponding section of the Reference.

Ask questions throughout

Ask your trainees questions from the start, and encourage them to take an
active part in the session. You can use the questions and discussion points in
this workbook to test understanding and raise awareness of the issues in
trainees’ minds.

Start discussions
Encouraging discussions in a small group will help each individual to make a
contribution to the session. But remember that some people are reluctant to speak up,
so try and bring them in.

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 Sum up what the session has achieved
At the end, briefly bring together everything you have covered. Make sure that you
have asked for any other questions, and answered them. Ask the group what they
found most useful about the session. Summarise and highlight the key learning points
and draw conclusions.

Afterwards
When the session is over, spend a few minutes thinking about how it went, and how
you might want to change it next time. Write down any lessons learned.

1.3 Background to the ballast water regulations

Ballast water is essential for ship stability, as it compensates for changes in
displacement as cargoes are loaded or discharged. It also helps control trim, list, and
stability, and minimises stresses on the ship’s structure.

For centuries, ballast water has been loaded in one port and discharged in another,
often on the other side of the ocean. However, it began to emerge in the 1980s that
harmful aquatic organisms were being transported in the water and released into new
environments where they sometimes thrived with devastating consequences.

Definition (from BWM Convention, Article 1, item 3)

Harmful aquatic Aquatic organisms or pathogens which, if introduced into the sea,
organisms and including estuaries, or into fresh water courses, may create
pathogens hazards to the environment, human health, property or resources,
impair biological diversity or interfere with other legitimate uses of
such areas.

To combat the problem initially, some coastal states required ships to exchange their
ballast when they were in open ocean and to establish ballast water management
(BWM) reporting systems.

Ballast water exchange

Exchange methods are:

 sequential – each ballast tank is emptied and refilled
 flow through – each ballast tank is repeatedly over-filled and flushed out
 dilution – ballast water is pumped into each tank at the top, while at the
same time ballast water is pumped out from the bottom

The risks from exchange methods include:

 the effect on the ship's trim and stability
 over and under-pressurising ballast tanks
 creating stresses in the hull which can lead to structural failure
 accidents resulting from human error (due to crew haste or inadequate
training)
 lack of proper plans and procedures
 lack of contingency plans for worsening weather or equipment failure

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 Not only can ballast water exchange pose risks to the safety of those on board and to
the structure and stability of a ship, it has also become clear that ballast water
exchange does not in all cases entirely eliminate the risk of undesirable organisms
being transferred.

Examples of species and pathogens transferred by ballast water

When ballast water that is taken on board at one port is discharged close to land at
the next port of call, it is possible for species and pathogens to be transferred from
one location to another.

Species:
 zebra mussel (Dreissena polymorpha) – continuing to proliferate in the United
States Great Lakes, to the point where it blocks power station outlets
 European shore crab (Carcinus maenas) – listed as a candidate for the top
100 most destructive invasive species
 comb jelly (Mnemiopsis leidyi) – which has well-documented effects on the
entire food chain in the Black Sea and Mediterranean, including losses of
$500m in the anchovy industry

Pathogens:
 Vibrio cholerae – the bacterium that causes cholera in humans
 Escherichia coli (E-coli) – a bacterium that causes serious food poisoning in
humans
 Intestinal enterococci – organisms capable of causing serious human
infections

1.4 The ballast water discharge regulations

To avoid potentially harmful organisms and bacteria being released into ports and
coastal areas, it was recognised that an internationally agreed standard of ballast
water management would be needed.

Definition

Ballast water Mechanical, physical, chemical and biological processes, either

management singularly or in combination to remove, render harmless, or
avoid the uptake or discharge of harmful aquatic organisms and
pathogens within ballast water and sediments.

Ballast water management is currently controlled under:

 the Ballast Water Management Convention – International Maritime
Organization (IMO)
 the Aquatic Invasive Species Act – United States Coast Guard (USCG)
 the Clean Water Act – United States Environmental Protection Agency
(USEPA)
 local and national regulations, including Australia, the Baltic States, the Black
Sea States, Brazil and Canada

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 IMO and US regulations – key points
IMO Ballast Water Ships over 400 GT must have surveys and a Ballast
Management (BWM) Water Management System (BWMS) that incorporates a
Convention Ballast Water Treatment System (BWTS) complying with
Regulation D-2 discharge performance standard (See
Section 2. System approval and the D-2 standard).

Ships must carry an International Ballast Water

Management Certificate (IBWMC) as proof of compliance.

Ships without an approved BWMS must manage ballast

water in compliance with Regulation D-1, which specifies
frequent change of ballast water (with an efficiency of at
least 95% volumetric exchange) during normal ship
operations until the ship’s compliance date specified by
its ballast water capacity and International Oil Pollution
Prevention (IOPP) renewal survey.

Organisms in ballast water must not be ‘viable’, i.e. they

must be either dead or unable to reproduce.

Ships must follow a Ballast Water Management Plan and

carry a ballast water record book.

Ships must remove and dispose of sediments from ballast

water spaces in accordance with the Ballast Water
Management Plan.

Article 5 requires that shipowners and operators ensure

that ports and terminals where ballast tanks are cleaned
or repaired or where ballast water sediments are
discharged have adequate sediment reception facilities.

US requirements Ballast water management requirements are applicable to

(USCG 33 CFR Part ships of more than 300 GT.
151, 46 CFR Part 162,
USEPA Vessel General The Ballast Water Discharge Standard (BWDS) is the
Permit) same as the IMO D-2 standard, except that organisms in
ballast water must not be ‘living’. The Standard became
effective on 21 June 2012.

Special requirements apply in certain areas e.g. the Great

Lakes.

All discharges are regulated by the Vessel General

Permit (VGP). For more information on VGP, see
Videotel’s programme Vessel General Permit (Edition 2)
and/or the Vessel General Permit itself at:
www.epa.gov/npdes/pubs/vgp_permit2013.pdf

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 Implications of the regulations
Seafarers rapidly need to become familiar not only with the Ballast Water
Management Convention but also with new systems and procedures for treating
ballast water on board their vessels. Thorough familiarisation and training of all
personnel involved in the operation and maintenance of the ballast water equipment –
including of the new crew after handover – will be needed.

 Basic principles:
o Ballast water must be treated as it is taken on board, during the voyage
or during deballasting
o It is normally carried for the duration of the ship's passage
o It is normally discharged at the port where the new cargo is loaded
o In some cases, such as parcel tankers and container ships, intermediate
ballasting and deballasting might take place as partial cargoes are
unloaded and loaded at more than one port

 Shipowners must study the existing ships’ ballast systems (flow rates, capacity,
pressure limitations, etc.) and trading pattern and decide which BWTS is most
suitable for each ship.

 BWTS must be maintained and operated according to the manufacturers’

instructions to make sure that they comply with the performance standards.

 Shipowners must develop ship-specific Ballast Water Management Plans and

ships must follow them, with all ballast water operations duly recorded.

 An initial survey of the ship’s Ballast Water Management System must be

carried out by the flag State, after which an IBWMC is issued. This is then
renewed at a full renewal survey which is normally at an interval of no more
than five years. An intermediate survey is required within three months before
or after the third anniversary date of the certificate, and an annual survey also
within three months before or after each anniversary date. An additional survey,
either general or partial, must be made if there has been a change,
replacement or significant repair to the system.

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 2 SYSTEM APPROVAL AND THE D-2 STANDARD
2.1 The D-2 performance standard
The IMO Ballast Water Management Convention D-2 standard specifies the maximum
number of viable organisms permitted in a cubic metre or millilitre of water, according
to their size.

IMO International Convention for the Control and Management of Ships’

Ballast Water and Sediments, Regulation D-2

Ships conducting ballast water management must discharge:

 less than 10 viable organisms per cubic metre, which are greater than or
equal to 50 micrometres in minimum dimension
 and less than 10 viable organisms per millilitre, which are less than 50
micrometres in minimum dimension, and greater than or equal to 10
micrometres in minimum dimension
 and the discharge of the indicator microbes (below) must not exceed the
specified concentrations

Indicator microbes, as a human health standard, include:

1. Toxicogenic Vibrio cholerae (O1 and O139) – less than 1 colony forming unit
(cfu) per 100 millilitres, or less than 1 cfu per 1 gram (wet weight)
zooplankton samples
2. Escherichia coli (E-coli) – less than 250 cfu per 100 millilitres
3. Intestinal enterococci – less than 100 cfu per 100 millilitres

2.2 Testing for type approval

One of the key challenges in ensuring the standards are met is in the detection of
viable organisms after any treatment. Testing requires laboratory facilities where the
samples can be examined through microscopes, but a number of online monitoring
techniques are currently being developed.

The certification testing begins on shore and then continues on board a test ship. The
equipment must be tested and achieve the required standard in at least two of the
following three salinities: fresh, brackish or saline water.

US testing protocols are slightly different and require, as a minimum, testing in at least
all of the three above salinities. At present, the USCG has not formally type approved
any BWMS but has given some type approved systems the status of an Alternative
Management System (AMS), which can be used in US waters for a period of five
years after the USCG implementation date for that specific ship. Individual US states
may also implement their own regulations.

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 3 POSSIBLE SYSTEMS
3.1 Implementation schedules
New and existing ships will have to comply with the legislation regarding fitting BWMS
according to the following timetables.

IMO Ballast Water Management Convention

D-2 standard compliance dates
Date constructed Ballast water Date when compliance with D-2
capacity (in compliance required
cubic metres)
Between 1,500 By first IOPP renewal survey after
and 5,000 entry into force of the Convention
Before 2009
<1,500 or >5,000 By first IOPP renewal survey after the
anniversary date of delivery of ship in
2016
2009 During or after <5,000 By first IOPP renewal survey after
or after 2009 but entry into force of the Convention
before 2012
During or after >5,000 By first IOPP renewal survey after the
2009 but anniversary date of delivery of ship in
before 2012 2016
After 2011 >5,000 By first IOPP renewal survey after
entry into force of the Convention

United States implementation schedule

Installation of BWMS will be mandatory as the Best Available Technology (BAT)
economically achievable and ships will have to meet US requirements according to
the schedule below.

United States
Dates when ballast water treatment becomes mandatory
Vessel’s ballast Date constructed Vessel’s compliance
water capacity (in date
cubic metres)
New vessels All After 1 December On delivery
2013
Less than 1,500m3 Before 1 December First scheduled dry
2013 docking after 1
January 2016
1,500-5,000m3 Before 1 December First scheduled dry
Existing 2013 docking after 1
vessels January 2014
>5,000m3 Before 1 December First scheduled dry
2013 docking after 1
January 2016

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 3.2 Factors affecting the decision about Ballast Water Treatment Systems
In the next few years up to 60,000 ships may have to be fitted with BWTS. Existing
ships will have to be retrofitted.

Factors to consider include:

 age of ship
 size of ship
 type of equipment
 complexity of operation
 safety considerations
 potential effects on tank corrosion rates
 potential discharge of harmful substances originating from the treatment
process
 proven reliability
 installation considerations – cost, delivery time, location, available space,
number of systems, potential need for cleaning of ballast tanks and piping
system prior to initial operation of the BWTS. For new buildings, this will involve
planning ahead to allocate space and to have adequate pump discharge
pressure. For retrofits, will this be done in dry dock, at the quayside or
underway? How will the system be brought on board? What should the ballast
pump pressure be? etc.
 operating cost
 power usage
 pressure drop
 operational profile of ship (cold temperatures, fresh water, high solids loading,
use of eductors for stripping)
 redundancy
 automation and data recording
 supplier experience and support
 recognised organisation availability
 how to dispose of the by-products of disinfection

For tankers, the systems will need to be intrinsically safe if they are not housed in the
ship’s safe area.

The IMO has produced Guidelines for approval of ballast water management systems
(G8) in Resolution MEPC.175(58).

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 3.3 Types of system
Many BWTS have gained type approval. Most of them have two stages of treatment,
with a separation stage followed by disinfection, although some disinfection
technologies are used without the need for separation first.

Physical solid-liquid separation Disinfection

Treatment: Chemical treatment:

 Sedimentation  Chlorination
 Hydrocyclone  Electrochlorination
 Filtration  Ozonation
 Peracetic acid
 Chlorine dioxide

OR

Physical treatment:
 UV irradiation
 UV + TIO2
 Ultrasound
 Cavitation
 Deoxygenation
 Gas injection

Step by step treatment process

Separation
Separation means removing the solid material, including larger organisms in the
ballast water, either by sedimentation (i.e. allowing the solids to settle as a result of
their own weight, by using a hydrocyclone) or by filtration.

Separation processes

Filtration
 Mainly used to remove larger organisms.
 Filters usually have a mesh size of 10-50 micrometres.
 Filters are normally cleaned by an automatic back-flushing process.

Factors to consider:
 To maintain the flow capacity, filters must be cleaned regularly.
 Careful monitoring is needed to make sure the system continues to operate
to the required standards.
 Manufacturers’ instructions must be followed at all times.
 Immediate attention must be paid to any alarms given by the system.

Hydrocyclone technology
 Injects ballast water at high speed to create centrifugal force.
 The centrifugal force provides more effective sedimentation than the filtration
method.

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  Works better if ballast water is pre-treated so the particles it contains are
larger.

Factors to consider:
 Works better when particles are significantly denser than the surrounding
water.
 Works better for larger particles, which respond more to centrifugal force.
 Speed of rotation is critical.

Coagulation or ‘flocculation’
 Chemical treatment makes particles in ballast water clump together, or
coagulate.
 Larger particles make filtration and hydrocyclone technology more efficient.

Factors to consider:
 Needs ‘residence time’ or ‘settlement time’ for the chemical to take effect.
 Because it is time-dependent, it only works with relatively large ballast tanks.
 The process can be speeded up by adding a high density powder (e.g. sand
or magnetite) to the tank.

Disinfection
The next stage is to disinfect the ballast water either by chemical or physical
treatments.

Disinfection processes

Chemical disinfection
 A variety of chemicals are used in different treatment systems e.g.:
o chlorination (by adding chemical compounds)
o electro-chlorination where the chlorine is generated by electrolysis
o the use of other biocidal compounds
 Pre-treatment of the ballast water with solid-liquid separation will increase the
effectiveness of the chemical.
 The efficiency of chemicals varies depending on the temperature of the
water, its pH, and the type of organism it contains.

Factors to consider:
 Chlorine – is ineffective against cysts unless high concentrations are used,
and produces harmful by-products.
 Ozone – has fewer harmful by-products than chlorine, but needs complex
equipment to make it, and to dissolve it in the water.
 Peracetic acid – often mixed with hydrogen peroxide, is very soluble with few
harmful by-products, but needs good storage facilities.
 Chlorine dioxide – is normally produced on board, but the reagents are
hazardous chemicals.

Post-treatment:
 Sodium sulphite or bisulphite – can be used to remove chlorine residues
before the treated ballast water is discharged.

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 Note that some chemical treatment methods require a minimum holding time to be
fully effective. The holding time could also be affected by temperature and other
ballast water characteristics.

Physical disinfection
 Ultraviolet (UV) irradiation is the best established method, using a range of
wavelengths and intensities.
 Pre-treatment before UV irradiation, using either ozone, or titanium dioxide,
or hydrogen peroxide, will remove cloudiness from the water and make
irradiation more effective.
 De-oxygenation deprives organisms of oxygen (by replacing it with nitrogen
or other inert gas), causing them to die.
 Ultrasonic treatment works by disrupting the cell wall of organisms.
 Cavitation works in a similar way to ultrasonic treatment.

Factors to consider:
 UV irradiation – works better in clear water for good transmission; the quartz
sleeves on the lamps must be kept clean and unfouled.
 De-oxygenation – takes a number of days to work, so problematic for short
voyages. Most effective for large tanks.
 Ultrasonic treatment – not used extensively in conventional industrial water
treatment, but systems have been given approval under the Convention.
 Cavitation – not used extensively in conventional industrial water treatment,
but systems have been given approval under the Convention.

Post-treatment:
 Ultrasonic treatment and cavitation can be used after chemical treatment to
enhance its effects.

3.4 Handling and storing chemicals

Chemicals supplied for ballast treatment must be handled and stored carefully in
accordance with the Material Safety Data Sheet (MSDS) so as to avoid any health
hazards for the crew.

MSDS must be provided by the manufacturer of any chemicals or preparations of

chemicals used for the Ballast Water Treatment System. Some manufacturers provide
proprietary blends of chemicals, and it is particularly important that the specific MSDS
(and not generic safety data sheets) are provided by the manufacturer.

Health and safety information must also be provided by the manufacturer of the
BWTS, for the operating and exposure risks of the system.

Guidance on chemical handling

Guidance on chemical handling for ballast water treatment is in IMO Circular
BWM.2/Circ.20 (2009) Guidance to ensure safe handling and storage of chemicals
and preparations used to treat ballast water and the development of safety procedures
for risks to the ship and crew resulting from the treatment process.

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 Whatever chemicals are in use, the IMO circular aims to help ships’ officers and crew
identify methods for the safe handling and storage of chemicals, and develop specific
safety procedures for their ship that can be included in the Safety Management
System (SMS).

Other risks
The operation and maintenance of the BWTS carries other potential health and safety
risks which will have to be managed:
 the discharging of chemicals into fishing and recreational waters
 the leaking of gases into the ventilation
 explosions from volatile substances in ballast tanks
 ozone released into the atmosphere from electrolytic systems when changing
filters or calibrating electrodes

Risk assessments
Risk assessments should be made by shore management, together with the
manufacturer of the system, and the supplier of the chemicals. Broadly speaking, the
assessments should cover:
 loading and storage of chemicals on to the ship
 transfer and application of chemicals from storage to the Ballast Water
Treatment System
 the position of the system and its piping
 operation of the system
 maintenance of the system
 spillages from the system
 exposure to treated ballast water, chemicals or preparations
 Personal Protective Equipment (PPE) for operations and emergencies
 any other specific assessments which are relevant to the ship

3.5 The Master’s BWMS responsibilities

The Master is responsible for:
 ensuring that safe storage facilities, including fire protection, are used.

 implementing specific health and safety procedures for:

o loading ballast water treatment chemicals
o handling and applying chemicals and preparations into the system
o normal operation of the system
o what to do if there is a spillage of chemicals
o what to do if crew are exposed to treated ballast water, chemicals or
preparations
o providing adequate Personal Protective Equipment (PPE)

 making sure crew are:

o instructed and trained appropriately in the operation of the BWMS
o familiar with the appropriate MSDS
o aware of any potentially hazardous by-products of the system

3.6 Notice of areas where ballast water should not be taken up

Ships should be aware that notices can be issued setting out where they should not
uptake ballast water due to the known conditions applying there. These notices will

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 include precise co-ordinates and, where possible, the location of alternative area(s) for
uptake. For example, notices may be issued for areas:
 containing outbreaks of harmful organisms and pathogens
 near sewage outfalls
 where tidal flushing is poor or a tidal stream is known to be turbid

4 MANAGEMENT

4.1 Record keeping

Whichever BWMS is installed, a high level of record keeping is mandatory to ensure
and verify compliance with the new legislation. In particular, any accidental or
exceptional uptake or discharge must be logged.

The BWM Convention specifies the information that must be recorded and indicates
how the ballast water record book should be laid out. Regulation B-2 makes the
following points:

 It may be electronic, or paper, or be integrated into another book or system

 Entries must be kept on board for at least two years after the last entry has
been made

 It must record all ballasting operations in the working language of the ship

 It must be kept readily available for inspection

 An entry must be made describing the circumstances of, and the reason for,
any accidental or exceptional discharge of ballast water

 Every operation must be recorded without delay and signed by the officer in
charge. Each completed page must be signed by the Master

 It may be inspected and copied by officers duly authorised by a Party to the

Convention while the ship is in port or offshore terminal

Ballast Water Management Plan

The shipping company and the Master must ensure and verify that a practicable,
comprehensive and realistic Ballast Water Management Plan has been developed and
followed. It must comply with BWM Convention Regulation B-1 and VGP (if it trades
with the US) and be approved by the Administration.

The plan must be specific to the ship and written in the ship’s working language. If the
language is not English, French or Spanish, there must be a translation into one of
these languages.

The plan must include:

 particulars of the ship
 an introduction aimed at the crew
 plans or drawings of the BWMS

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  a text description of the BWMS
 an indication of the ballast water sampling points
 a description of how the BWMS works
 details of safety procedures for the ship and the crew
 a description of on board ballast water management and sediment control
actions required
 procedures for disposal of sediments at sea and to shore, including:
o safety precautions if tank entry is required to remove sediments
o safe handling, packaging and storage of sediments
 methods of communication
 duties of the designated Ballast Water Management Officer who is in charge of
ensuring that the plan is properly implemented
 record keeping and reporting requirements
 methods of communication with the coastal State into whose waters the
discharge will take place
 information about crew training and familiarisation
 details of any exemptions granted
 details and stamp of the approving authority

It must be evaluated, reviewed and updated as necessary.

A final version of the plan must be submitted for approval to the Administration.

For more information on the plan, see IMO Resolution MEPC.127(53) Guidelines for
Ballast Water Management and Development of Ballast Water Management Plans.

US Coast Guard regulations also establish mandatory ballast water reporting and
record keeping requirements (33 CFR 151.2041 and 151.2043), and require vessels
to have a Ballast Water Management Plan (33 CFR 151.2035(a)(7)).

The designated Ballast Water Management Officer

The designated Ballast Water Management Officer is responsible for implementing

the procedures of the Ballast Water Management Plan. Duties include:
 ensuring the safety of the ship and crew
 ensuring that ballast water management and/or treatment procedures are
followed and recorded
 where ballast exchange is required, ensuring that the steps/sequences of the
ballast exchange sequence are followed in the prepared order
 ensuring that adequate personnel and equipment are available for the
execution of the planned ballast water management operations
 ensuring that all required ballast water management records are maintained
and up to date, including the ballast water record book
 where required, preparing the appropriate national or port ballast water
declaration form prior to arrival
 assisting the Port State Control or quarantine officers for any sampling that
may need to be undertaken
 undertaking familiarisation and training of crew in ballast water
 management requirements and applicable shipboard systems and
procedures

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  other duties, as specified by the company

The Master must ensure that the Ballast Water Management Plan is clearly
understood by the appointed officer and by any other ship staff that may be
involved.

(Source: Lloyd’s Register Model Ballast Water Management Plan)

Ballast water record book

Ships must keep a ballast water record book on board. It can be electronic or
integrated into another book or system.

Every ballast water operation must be recorded immediately. Entries must be kept on
board for at least two years after the last entry has been made, and with the company
for at least three years after that.

The book must be kept available for inspection at all times.

Model ballast water record books are normally available from classification societies.

The form of the Convention’s ballast water record book can be found in the Ballast
Water Convention at Appendix II.

Information required in the ballast water record book

The Convention’s Appendix II Form of Ballast Water Record Book requires the
following entries to be made:

3.1 When ballast water is taken on board, including the date, time, geographical
location and volume

3.2 Whenever ballast water is circulated or treated for ballast water management
purposes

3.3 When ballast water is discharged into the sea, including the date, time,
geographical location and volume

3.4 When ballast water is discharged to a reception facility, including the date,
time, geographical location and volume

3.5 Accidental or other exceptional uptake or discharge of ballast water,

including the date, time, geographical location and estimated volume

3.6 Additional operational procedures and general remarks including the

estimated volume of ballast water on board, in cubic metres

The Safety Management System (SMS) under the ISM Code should be amended in
accordance with the ship’s Ballast Water Management Plan and other relevant
changes to the ship’s operations originating from the entry into force of the BWM
Convention.

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 4.2 Training
Crew training in the use and maintenance of BWMS will be a key issue in compliance
with the standards required.

Training must cover:

 safety risks from the ballast water management procedures, including
precautions for entering the tanks to remove sediment, and how to handle,
package and store sediment safely
 how to operate and maintain the BWMS and BWTS in a compliant manner
 any risk to the safe operation of the ship caused by limitations in the BWMS
 how to complete the ballast water record book
 safe handling of chemicals and other substances
 initial familiarisation and handover training

Full records of the ballast water management training should be kept.

4.3 Inspection
Port State Control Officers or other authorised inspectors will check that ships are in
compliance with the BWM Convention.

They will want to confirm that:

 the ship has a valid International Ballast Water Management Certificate on
board
 the ship has an approved BWMS on board
 there are accurate records (including the Ballast Water Management Plan and
ballast water record book) showing correct operation and maintenance of the
BWMS
 a designated officer is responsible for ensuring that the BWM plan is being
carried out
 there are adequate records of crew training and the crew appear to be familiar
with the BWM Convention and operation of the BWMS

Any doubts or deficiencies at this stage could lead to a more detailed inspection with
possible time-consuming and expensive ballast water sampling required. If there are
serious deficiencies, then detentions may result, leading to further delays and extra
costs being incurred. Breaches of the Convention could result in fines being imposed.

Port State Control Officers inspectors could hold the ship under the International
Safety Management (ISM) Code if they do not see evidence of adequate BWM
training.

US inspections
As regards the US regulations, ships are expected to self monitor and report their
violations. Presentation of false records, and failure to report, record and rectify the
causes of violations are contraventions of US law, even if recorded outside US waters.
They may lead to penalties including heavy fines and imprisonment, and crew
members may be detained as material witnesses while waiting for the case to come to
court.

All VGP-related records must be kept on board for three years and made available to
USEPA or their representatives as required.

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 USCG may perform occasional spot checks of discharge samples, but full testing is
likely only for historical offenders or in obvious cases of non-compliance.

4.4 Contingency measures

Although there is currently no implementation framework for ballast water contingency
measures, some sea and land based systems are being considered and developed,
including:

Ballast Water Reception and Management or Treatment Vessel

This type of vessel could receive ballast water at a rate of up to 500 cubic metres per
hour and process it with a commercially available BWMS before the water is
discharged into the harbour.

Ballast Responder System

This is a mobile system that is transferred to the marine vessel for in-tank treatment.
The system consists of a mixing system which is inserted into full or partially full
ballast water tanks, a chemical dosing system to apply an active chemical and, after a
holding time, a neutralising agent.

See also IMO Resolution MEPC.161(56) Guidelines for additional measures regarding
ballast water management including emergency situations.

5 SUMMARY
A challenging period lies ahead for shipping company management and crews as they
get to grips with the new BWMS and understand and implement the legal
requirements. Meeting these challenges will ensure that ballast water can, in future,
be handled safely and with fewer adverse effects on the environment and on human
populations (from the transfer of pathogens).

Key points
 A Ballast Water Management Plan needs to be drawn up and the crew trained
in its operation.

 Type approved management systems will need to be installed and properly

maintained.

 Detailed records will need to be kept.

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 6 GLOSSARY
AMS Alternative Management System

BAT Best Available Technology

BWDS Ballast Water Discharge Standard (US)

BWMS Ballast Water Management System

BWTS Ballast Water Treatment System

Cavitation An acoustic method of killing organisms, similar to ultrasonic

treatment

CFR Code of Federal Regulations (US)

cfu Colony Forming Unit

Coagulation A chemical treatment to make particles in ballast water stick

together

CWA Clean Water Act (US)

EPA Environmental Protection Agency (US)

Flocculation See coagulation

Hydrocyclone A device for separating particles in liquid

IBWMC International Ballast Water Management Certificate

IOPP International Oil Pollution Prevention

MSDS Material Safety Data Sheet

Pathogens Microorganisms such as viruses and bacteria

Sedimentation Allowing solids to settle as a result of their own weight

UV Ultraviolet

VGP Vessel General Permit For Discharges Incidental To The Normal

Operation Of Vessels

USCG United States Coast Guard

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 7 FURTHER RESOURCES
Legislation, guidance and publications
Note: The latest amendments/editions of all regulations and publications should be
consulted.

Step-by-Step Guide to Ballast Water Management (BIMCO) includes guidance on the

ballast water regulations, key considerations when planning for compliance,
information about ballast water treatment and a review of systems and suppliers.

There is a large amount of specific information about particular treatment systems

available from manufacturers’ websites. This is constantly changing as the technology
develops and improves.

Sources of generic information about ballast water treatment can be found at:
 Lloyd's Register (Ballast water management) – www.lr.org/bwm
 The Institute of Marine Engineering, Science & Technology (IMarEST) –
www.imarest.org
 United States Coast Guard (USCG) – https://homeport.uscg.mil
 DNV GL – www.dnvgl.com

Information relating to ballast water management available from the International

Maritime Organization (IMO) includes:
 Ballast Water Management Convention and the Guidelines for its
implementation (2009)
 Global Ballast Water Management Programme (GloBallast) –
www.globallast.imo.org
 Resolution MEPC.175(58) Guidelines for approval of ballast water
management systems (G8)
 Resolution MEPC.127(53) Guidelines for ballast water management and
development of ballast water management plans (G4)
 Circular, BWM.2/Circ.20 (2009) Guidance to ensure safe handling and storage
of chemicals and preparations used to treat ballast water and the development
of safety procedures for risks to the ship and crew resulting from the treatment
process
 Resolution MEPC.161(56) Guidelines for additional measures regarding ballast
water management including emergency situations
 International Maritime Dangerous Goods (IMDG) Code

United States ballast water management requirements – 33 CFR Subpart 151.1510

United States ballast water management systems – 46 CFR Subpart 162.060

United States Coast Guard Standards for Living Organisms in Ships’ Ballast Water
Discharged in U.S. Waters (33 CFR Part 151, 46 CFR Part 162) –
www.uscg.mil/hq/cg5/cg522/cg5224/docs/USCG-2001-10486-0138.pdf

The US Vessel General Permit (VGP) –www.epa.gov/npdes/pubs/vgp_permit2013.pdf

The VGP Fact Sheet – www.epa.gov/npdes/pubs/vgp_fact_sheet2013.pdf

© Videotel MMXV
 Information about invasive species can be found at the Invasive Species Specialist
Group website – www.issg.org

Related Videotel programmes

Bulk Carriers – Handle with Care (Edition 2) (Code 1126)
Environmental Officer Training Course (Code 864)
It’s Not Worth It! – Maritime Pollution Offences (Code 944)
US Port State Control (Edition 2) (Code 1171)
Vessel General Permit (Edition 2) (Code 1214)

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 8 TABLE RELATING THE REGULATIONS TO THE PROGRAMME

Regulation Reference section

BWM Convention Article 5 1.4

BWM Convention Article 7 1.4

BWM Convention Regulations B-1 4.1

BWM Convention Regulations B-2 4.1

BWM Convention Regulation B-3 3.1

BWM Convention Regulation D-1 1.4

BWM Convention Regulation D-2 1.4

2.1
3.1

BWM Convention Regulation E-1 1.4

BWM Convention Regulation E-2 1.4

Vessel General Permit 1.4

4.1
4.3

33 CFR 151.1510 1.4

33 CFR 151.2035(b) 3.1

46 CFR 162.060 1.4

© Videotel MMXV