Ballast Water

Management Convention
General information status May 2011
 I General questions related to the Convention

1. What are the aims of the Ballast Water Management 7. When do you expect the Convention to be ratified by
Convention (the Convention)? a qualifying number of states with a qualifying
A: Through the control and management of ship ballast percentage of gross tonnage?
water and sediments, the Convention aims to prevent, min- A: All the signs point to the Convention being ratified by no
imise and ultimately eliminate risks to the environment, fewer than 30 states representing not less than 35% of the
human health, property and resources arising from the trans- gross tonnage of the worlds merchant fleet in 2011.
fer of harmful aquatic organisms and pathogens.
8. What does the Convention actually require a ship to
2. What types of ships are targeted by the Convention? do with its ballast water?
A: The Convention applies to a vessel of any type whatsoever A: The Convention defines two standards for discharged bal-
operating in the aquatic environment and includes sub- last water that the ship must meet. Those standards are the
mersibles, floating craft, floating platforms, FSUs and FPSOs. ballast water exchange standard (D-1 standard) and ballast
water treatment standard (D-2).
3. Does the Convention require ships to carry The D-1 standard will eventually be phased out and
a certificate to prove compliance with it? replaced by the D-2 standard, depending on the ships date
A: The Convention requires ships that fly the flag of a party of construction and ballast water capacity.
to the Convention (i.e. an Administration that has ratified Table 1 summarises the dates when the ships have to com-
the Convention) to have an International Ballast Water ply with D-1 or the D-2 standard.
Management Certificate.
Ships flying the flag of a non-party to the Convention but 9. If the conversion my ship is undergoing is defined as
operating in waters that are under the authority of a party a major conversion according to the Convention, how
must carry a Certificate of Compliance with the Ballast Water will this affect my ship?
Management Convention. A: If the ship is undergoing a major conversion after the
entry into force of the Convention and when flying the flag
4. When will my ship be required to have a certificate of a party to the Convention, then the construction date of
to prove compliance with the Convention? the ship will be the commencement date of the conversion.
A: The ship will be required to have a certificate to prove This may imply that the ship must meet the D-2 standard at
compliance when the Convention enters into force. an earlier stage, depending on the ships keel-laying date and
ballast water capacity.
5. When will the Convention enter into force?
A: The Convention will enter into force 12 months after the 10. What documentation do I have to provide in order
date on which not less than 30 states representing not less for my ship to receive certification of compliance with
than 35% of the gross tonnage of the worlds merchant fleet the Convention?
ratify it. A: The Convention basically requires two documents:
I A Ballast Water Management Plan approved by the
6. How many states have ratified the Convention so far?
Administration. A template for a ballast water management
A: As per August 2010, 26 states representing 25.43% of the
plan can be provided free of charge by DNV.
gross tonnage of the world merchant fleet have ratified the
I A Ballast Water Record Book, which is not subject to
Convention and thus are parties to the Convention:
approval.
1- Albania 15- Mexico
2- Antigua & Barbuda 16- Netherlands 11. What happens when the Convention is ratified by
3- Barbados 17- Nigeria enough states and is due to enter into force 12 months
4- Brazil 18- Norway later?
5- Canada 19- Republic of Korea A: All ships that are flying the flag of a party to the
6- Cook Islands 20- St Kitts & Nevis Convention, or intending to sail in waters under the jurisdic-
7- Croatia 21- Sierra Leone tion of such a party, will have to do the following:
8- Egypt 22- South Africa
I Submit a Ballast Water Management Plan for approval; and
9- France 23- Spain
10- Kenya 24- Sweden I Supply the ship with a Ballast Water Record Book; and
11- Kiribati 25- Syria I Have an initial survey of the ship with the subsequent
12- Liberia 26- Tuvalu issuance of an International Ballast Water Management
13- Maldives 27- Malaysia Certificate or a Certificate of Compliance with the Ballast
14- Marshall Islands 28- Islamic Republic of Iran Water Management Convention.

12. That will be a lot of ships in a very short period of

time?
A: Yes. DNV therefore advises Owners to be proactive and
provide their ships with ballast water management plans
approved for at least the D-1 standard (i.e. ballast water
exchange), and to have the initial surveys done and a State-
ment or Certificate of Compliance issued as soon as possible.

2
I General questions related to the Convention

Ballast Water Date of construction of ship 4, 5

Capacity
Before 2009 2009 2009 2011 2010 or later 2012 or later

< 1500 m Ballast water Ballast water Ballast water

exchange or exchange or treatment
treatment until treatment until
20161 20113
Ballast water Ballast water
treatment only treatment only
after 20161 from 20113

1500 5000 m Ballast water Ballast water Ballast water

exchange or exchange or treatment
treatment until treatment until
20142 20113
Ballast water Ballast water
treatment only treatment only
after 20142 from 20113

> 5000 m Ballast water Ballast water Ballast water

exchange or exchange or treatment
treatment until treatment until
20161 20161
Ballast water Ballast water
treatment only treatment only
after 20161 after 20161

Table 1 Dates of entry into force of the Ballast Water Management Convention

1 The ship shall conduct Ballast Water Management that at
least meets the standard described in Regulation D-2 (i.e.
treatment) not later than the first intermediate or renewal
survey, whichever occurs first, after the anniversary date of
delivery of the ship in 2016.
2 The ship shall conduct Ballast Water Management that at
least meets the standard described in Regulation D-2 (i.e.
treatment) not later than the first intermediate or renewal
survey, whichever occurs first, after the anniversary date of
delivery of the ship in 2014.
3 The ship shall conduct Ballast Water Management that at
least meets the standard described in Regulation D-2 (i.e.
treatment) not later than the second annual survey, but not
later than 31 December 2011.
4 Constructed in respect of a ship means a stage of construction
where:
.1 the keel is laid; or
.2 construction identifiable with the specific ship begins; or
.3 assembly of the ship has commenced comprising at least
50 tonnes or 1 percent of the estimated mass of all
structural material, whichever is less; or
.4 the ship undergoes a major conversion.
5 Major conversion means a conversion of a ship:
.1 which changes its ballast water carrying capacity by
15 percent or greater, or
.2 which changes the ship type, or
.3 which, in the opinion of the Administration, is projected
to prolong its life by ten years or more, or
.4 which results in modifications to its ballast water system
other than component replacement-in-kind. Conversion of
a ship to meet the provisions of regulation D-1 shall not be
deemed to constitute a major conversion for the purpose
of this Annex.

13. What will be required of ships that already have a
Statement or Certificate of Compliance when the
Convention enters into force?
A: If the ship is still using the same standard (i.e. the D-1 or
D-2 standard), then the changeover will simply involve paper-
work. A request must be submitted to DNV by the manager of
the ship in order to start the changeover process for a ship.
14. Will DNV remind me that my ship must comply with
the Convention (either the D-1 or D-2 standard) within a
certain date?
A: Yes, DNV will issue a Statutory Retroactive Requirement
note in the ships profile in DNV Exchange reminding the
ships manager that the ship must comply with the
Convention by a given date.
We will also issue another Statutory Retroactive
Requirement for the date the ship is required to be in com-
pliance with the D-2 standard (i.e. ballast water treatment).
15. Will the International Ballast Water Management
Certificate and surveys align with other class and
statutory surveys of the ship?
A: Not necessarily. The International Association of Class
Societies (IACS) has submitted to MEPC.61 a paper aiming
to clarify issues like the anniversary date of the ship as
defined by the Convention and other issues related to the
entry into force of the D-2 standard for ships.

3
 II Questions about the standards of the Convention
16. What does a ship need to do in order to meet the
D-1 standard?
A: There are three approved ballast water exchange methods:
Sequent i a l met hod: a process by which a ballast tank or
hold intended for the carriage of ballast water is first emp-
tied for at least 95% of its volume and then refilled with
replacement ballast water.
Fl ow t hr ough met hod: 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
three times the tank or hold volume shall be pumped
through the tank or hold.
Di l ut i on met hod: a process by which replacement ballast
water is filled through the top of the ballast tank or hold
with simultaneous discharge from the bottom at the same
flow rate and maintaining a constant level in the tank or
hold. At least three times the tank or hold volume shall be
pumped through the tank or hold.
17. Where do I find more information on the methods
described above?
A: The IMO has so far published 14 guidelines on the uni-
form implementation of the Convention.
The Guidelines applicable to ballast water exchange are
G6: Guidelines for ballast water exchange and G11: Guidelines for
ballast water exchange design and construction standards.
18. What type of documentation is needed to prove
that my ship meets the D-1 standard?
A: You should submit a ballast water management plan
(BWM Plan) that complies with the standards defined in
Guidelines G4: Guidelines for ballast water management and the
development of ballast water management plans.
4
19. What is the D-2 standard?
A: The D-2 standard is a ballast water performance standard
and refers to regulation D-2 of the Convention. The D-2 stan-
dard requires that ships discharge:
I Less than 10 viable organisms per m3 greater or equal to
50m in minimum dimension; and
I Less than 10 viable organisms per ml less than 50m in
minimum dimension and greater than or equal to 10m in
minimum dimension; and
I Indicator microbes not exceeding the following concentra-
tions:
Toxicogenic Vibrio cholerae (O1 & O139) with less than
1 colony forming unit (cfu) per 100ml or less than 1 cfu
per 1 gram (wet weight) zooplankton samples;
Escherickia coli less than 250 cfu per 100ml;
Intestinal Enterococci less than 100 cfu per 100ml.
20. What if I want to exchange ballast water if
the treatment system malfunctions?
A: In principle, the Convention does not allow for the use of
exchange methods when the requirement is to treat the water
according to the D-2 standard. Exchange will not be men-
tioned as a management method in the International Ballast
Water Management Certificate (IBWM Certificate).
However, a port state controller may see it as positive that a
ship has exchanged ballast water according to the D-1 stan-
dard instead of just bypassing the treatment system in cases of
malfunction.
In DNVs opinion, the Ballast Water Management Plan
(BWM Plan) should include only the methods that are
acceptable for the IBWM Certificate in order to avoid confu-
sion. DNV nevertheless recommends that the BWM Plan
should include an Appendix stating the exchange method
procedures so that the ship can follow them in cases where
the treatment system has been bypassed. However, this will
not be required by DNV.
III Questions about the BWM Plan

21. Does DNV have a standard template for an
acceptable BWM Plan?
A: Yes, DNV has developed an easyto-use template for a
BWM Plan that is free of charge. You can download the tem-
plate from www. dnv . c om, through your Exchange server or
by contacting any of the 190 DNV offices around the world.
DNVs contact numbers are given at the end of this docu-
ment.
23. Do I need to have a different BWM Plan for the
D-1 standard and the D-2 standard?
A: No. DNVs template includes both standards. During the
transition period between the date when the Convention
enters into force and the date when the ship must meet the
D-2 standard, both D-1 and D-2 standards can be used.

22. My ship has a BWM Plan approved to Resolution

A.868(20). What do I have to do for my plan to be
approved to the G4 Guidelines of the Convention?
A: There is no need for re-approval of BWM Plans approved
to Resolution A.868(20). DNV is able, upon request, to issue
a Statement confirming that the BWM Plan also complies
with the G4 Guidelines.

5
 IV Questions about certification of vessels and national requirements

24. Can I obtain a certificate for my ship before the 5- Cook Islands
Convention enters into force? 6- Faroe Islands
A: No. However, DNV can issue a Certificate of Compliance 7- Gibraltar
or Statement of Compliance with the Convention depending 8- Isle of Man
on whether or not the Administration whose flag the ship is 9- Jordan
flying has authorised DNV to act on its behalf in relation to 10- Kazakhstan
the Convention. 11- Libyan Arab Republic
12- Lithuania
25. Which Administrations have authorised DNV to issue 13- Luxembourg
Certificates of Compliance on their behalf? 14- Malaysia
A: As per May 2011, the following Administrations have 15- Marshall Islands
authorised DNV to issue a Certificate of Compliance with the 16- Norway
Convention on their behalf: 17- Oman
1- Bahamas 18- Qatar
2- Bahrain 19- Serbia
3- Brazil 20- St. Vincent and the Grenadines
4- British Virgin Islands 21- United Kingdom

State Ports Ships Exchange

Argentina All All Yes

Australia All All Yes2
Brazil All All3 Yes2
ROPME area (Bahrain, Iran, Iraq, Kuwait, Oman, All in ROPME sea area All ships entering Yes5
Saudi Arabia, Qatar & United Arab Emirates) ROPME sea area
Canada All All Yes2
Chile All All Yes2
Egypt Alexandria All Yes
Georgia All All Yes
Israel All All Yes7
Lithuania Klaipeda & Butinge All Yes8
Oil Terminal
Malaysia All All Yes21
New Zealand All All Yes2

Norway All All Yes2

Panama Panama Canal11 All

Peru All All Yes12
Russia Novorossiysk All Yes14
Turkey All All Yes
Ukraine All All Yes15
United States of America All All17 Yes

United Kingdom (Orkney Islands) All ports in the Scapa Flow All20

Table 2 National requirements for ballast water management

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
6 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 bal-
last water either onboard or onshore
10 A ballast declaration must be submit-
ted 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
 IV Questions about certification of vessels and national requirements

26. What if my ship is flying the flag of an
Administration that has not authorised DNV to issue
a Certificate of Compliance on its behalf?
A: DNV can issue a Statement of Compliance instead.
27. Do any states require ships calling into their ports or
ships flying their flags to meet one or both of the D-1 or
D-2 standards?
A: Many states have started requiring the ballast water of
ships calling into their ports or sailing in waters under their
jurisdiction to meet the D-1 or D-2 standard.
Table 2 summarises the national requirements for ballast
water management.
DNV is not aware of any state yet requiring ships flying
its flag to meet the D-1 and/or the D-2 standard.
28. What kind of certification/approval is required in
order to use a treatment system?
A: Regulation D-3 of the Convention requires ballast water
management systems to be type approved by the
Administration according to the G8 Guidelines: Guidelines
for approval of ballast water management systems.
Systems that use active substances must, prior to receiving
type approval from the Administration, have Basic and Final
Approval for the active substances in compliance with the G9
Guidelines: Procedure for approval of ballast water management
systems that make use of active substances.
Basic and Final Approval are granted by the MEPC based
on recommendations by GESAMP-BWWG.

Treatment Ballast Water Ballast Water Entry Additional information

Management Plan Record Book into force

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

Recommended 2001 See http://www.daff.gov.au/aqis
Yes4 Yes 2006 See www.dpc.mar.mil.br
2009-11-01 For more information, refer to document
MEPC.59/INF.3.
Yes Yes 2000 See http://www.tc.gc.ca/marinesafety/oep/
Yes 1995

Yes6

Advised Advised See HELCOM (Helsinki Commission)

recommendations
Yes21 Yes21 Yes21 2011-09-27 See notice Nr.MSN 28/2011
Yes9
No 10
Yes 1998 See http://www.biosecurity.govt.nz/enter/
ships/ballast
Yes1 Yes4 Yes 2010-07-01 See http://www.regjeringen.no/en/dep/
md.html?id=668
1999 See www.pancanal.com
Yes13 Yes See www.dicapi.mil.pe
2006 See www.nmtp.info/en

Yes16 See www.kmu.gov.ua

Yes18
Yes19 2004 See http://www.uscg.mil/hq/cg5/cg522/
cg5224/bwm.asp
http://www.orkneyharbours.com

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 bal-
last 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
21 Through notice MSN 28/2011,
Malaysia announces the entry into
force of the full requirements of the
BWM Convention for all ships with
Malaysia flag and ships operating in
Malaysia water as of 2011-09-27.

7
 V Questions related to ballast water treatment systems
29. What are active substances?
A: An active substance is a substance or organism, including a
virus or a fungus, that has a general or specific action on or
against harmful aquatic organisms and pathogens.
30. Is it safer or better to use a system that does not use
active substances?
A: It is not necessarily better or safer to use systems that do
not use active substances. As long as the system has been
given Basic and Final Approval and the Administration has
assessed and requested mitigating measures for hazards, any
system with type approval should be safe to use.
31. What type of treatment system does not use active
substances?
A: So far, the only systems that have received type approval
without undergoing the G9 procedure are systems employing
UV and filtration.
32. Will DNV accept a type approval certificate issued by
another class society (IACS member or not) or an
Administration?
A: It is not within DNVs scope to accept a type approval cer-
tificate issued by an Administration or by a class society on
behalf of an Administration. This question must be clarified
with the flag administration of the ship before the treatment
system is installed on board.
DNV Class may only provide advice and recommenda-
tions/evaluations concerning different treatment systems to
Administrations when requested to do so by Administrations.
33. What do you mean by the performance of a
treatment system?
A: DNV will mainly make sure that the following are met in
relation to the initial approval and survey of the installation
of a treatment system:
I The capacity of at least one ballast pump does not exceed
the maximum capacity of the treatment system (i.e.
Treatment Rated Capacity, TRC).
I Bypasses, alarms and other operational criteria for the
performance of the system in accordance with the granted
type approval are met.
34. What do you mean by safe installation?
A: Systems that are using or generating chemicals or gases
which are toxic, explosive or flammable will be required by
DNV to be installed in a manner which meets a minimum
safety level.
Such systems may be required to be installed in a separate
compartment with strict requirements regarding sensors,
alarms, ventilation, gas suits and masks and fire extinguishing
arrangements.
DNV Rules Pt.6 Ch.18 Sec.4 includes detailed requirements
related to safety. Those requirements are identified by being
in bold italic.
35. Arent the safety issues addressed during type
approval?
A: Probably yes, but this issue is dealt with by both the
GESAMP-BWWG and the type-approving Administration. In
order not to take any risks, DNV will require a minimum safe-
ty standard for all treatment systems.
8 of (t1) and (t2).
36. Which Administrations have authorized DNV to issue
Type Approval Certificates for ballast water treatment
systems and which will accept Type Approval Certificates
issued by DNV?
The following Administrations have authorized DNV to issue
Type Approval Certificates on their behalf:
1- Bahamas
2- Norway
3- United Kingdom (G8 only)
4- Isle of Man
5- Bahrain
6- St. Vincent and the Grenadines
7-Denmark
The following Administrations will accept Type Approval
Certificates issued by DNV:
1- Australia
2- Germany
3- Hong Kong
4- Singapore
37. What is holding time?
A: Most treatment systems using active substances will contain
Total Residual Oxidants (TRO) that are added during the
intake. The TRO work on the unwanted organisms to elimi-
nate them. TRO are toxic and unwanted in sea water when
above certain concentrations. This is why ballast water passing
through a system using active substances cannot be dis-
charged immediately.
The GESAMP-BWWG has decided that the level of TRO at
discharge must be below 0.2 mg/L (or ppm).
TRO degrade over time at a rate that depends on the salin-
ity of water, the amount of organisms in the water and the
temperature of the water.
The rate of degradation of the TRO is measured during
land-based and shipboard tests for the type approval of a bal-
last water treatment system. Those measurements will indi-
cate how long the TRO need to reach a level of below 0.2
mg/L naturally.
Let us call the time it takes TRO to degrade from the dos-
ing level (at ballast water intake) to the level of below 0.2
mg/L (t1).
(t1) can be shortened by using neutralizers before the dis-
charge. Neutralizers will more or less instantly decrease the
level of TRO to below the 0.2 mg/L threshold. How this hap-
pens is that the TRO are measured in the ballast water to be
discharged and, depending on the concentration, a neutraliz-
er is introduced to decrease that concentration.
Some types of neutralizers are not good for the environ-
ment above a certain concentration; the amount of neutraliz-
ers and the way to introduce them into the discharged ballast
water are decided by the GESAMP-BWWG.
DNV recommends a neutralization step from systems that
have a holding time for TRO degradation (t1) of longer than
12 hours.
Let us call the other factor determining the holding time
(t2). (t2) is directly related to the biological efficiency of the
system. Systems using active substances will have the TRO
working on eliminating the unwanted organisms while in the
ballast tank.
(t2) is the minimum time needed for TRO to work on the
unwanted organisms so that they reach a level which is lower
than the D-2 standard.
For a given treatment system, the holding time is the larger
 V Questions related to ballast water treatment systems

38. Why is the holding time important when choosing a
treatment system for my ship?
A: A ship with a treatment system that has a long holding
time will not be allowed to de-ballast until that time has
elapsed; ships that are on short voyages or have to adjust
their trim, etc, due to fuel consumption may have a problem
with that.
A holding time which is governed by the TRO degradation
can easily be overcome by proper neutralization. A holding
time due to biological efficiency cannot be shortened.
39. What factors other than the holding time are
important for the proper operation of a type-approved
treatment system?
A: This question should be addressed to the manufacturer of
the treatment system. The temperature of the water will in
most cases play an important role in the degradation of TRO.
For treatment systems using UV, the UV transmission (UV-
T) of the water, measured as a percentage, will play an essen-
tial role in the effectiveness of the system. During land-based
and shipboard tests, most systems will have a certain UV-T at
which they were tested. As long as the water the ship is sailing
in has a UV-T which is greater than or equal to that test UV-T,
the system should work normally.
When the UV-T of the ballast water drops below what is
tested during the type approval, it is uncertain whether the
system is treating the water to the D-2 standard or not. Such
systems should then give a warning to the operator that the
system is not treating the water according to the type
approval.
Another factor which is important for the efficiency of a
treatment system is the salinity of the water. Systems using
electrolysis to generate active substances need a certain con-
centration of salinity in the water in order to achieve the
desired effect on the organisms. When the salinity of the
water is very low, the system may not be treating the water to
a satisfactory level. A salinity meter with alarms to alert the
operator when the salinity drops below the required level
should therefore be included in the treatment system.
40. Will DNV recommend a treatment system for my
ship?
A: DNV will not recommend a specific manufacturer. We will
only require safety installations of the treatment system based
on the type of technology used and on our Rules Pt.6 Ch.18.
41. Is a treatment system that is type approved by DNV
also evaluated in relation to the safety requirements in
Pt.6 Ch.18?
A: Yes, treatment systems that are type approved by DNV will
already be evaluated in relation to the safety requirements of
Pt.6 Ch.18 and other DNV Rules for ships as applicable.
42. Will DNV take on consultancy work and recommend
a suitable treatment system for my ship?
A: Yes, DNV is able to perform a feasibility study on BWM
treatment systems for specific ship designs. The treatment sys-
tems are evaluated based on objective criteria and each crite-
ria is given a weight in a workshop with the ship owners.
Please contact your customer service manager who can assist
you with ordering a feasibility study.
43. How many systems are Type Approved and which
use active substances and which do not?
A: Table 3, a and b summarises the type approval status of the
different manufacturers.

TYPE APPROVAL WITH DNV

Manufacturer BWT system Technologies Active Stage of Other

substances approval by DNV approval

Alfa Laval PureBallast 2.0/2.0 Ex Advanced Oxidization Yes Type Approved No

+ filtration
OceanSaver OceanSaver Cavitation + electrolysis Yes Type Approved No
+ saturation + filtration
Optimarin Optimarin Ballast UV + filtration No Type Approved No
System (OBS)
Headway Marine OceanGuard BWMS Electrocatalysis + Yes Final Approval CCS
Technology filtration + ultrasound (China)
Wilhelmsen Marine Unitor BWMS Cavitation + electrolysis Yes Final Approval South
Equipment + filtration + ozonation Africa
Auramarine Crystal Ballast BWMS UV + filtration No Ongoing No
Knutsen OAS KBAL Pressure drop + UV No Ongoing No
Trojan UV Wartsila BWT UV + filtration No Ongoing No
MMC MMC BWMS UV + filtration No Ongoing No
Sunrui Company Balclor BWMS Electrolysis + filtration Yes Ongoing CCS (China)

Table 3 a: Overview of ballast water treatment systems (Updated 2011-05)

(continued on page 10) 9
 V Questions related to ballast water treatment systems

TYPE APPROVAL WITH OTHER ADMINISTRATIONS

Manufacturer BWT system Technologies Active Stage of Other

substances approval by DNV approval

Techcross Electro-Cleen Electrolysis Yes Type Approved South Korea

Hyde Marine Hyde Guardian BWMS UV + filtration No Type Approved LR (UK)
NEI Ventury Oxygen Stripping Deoxygenation No Type Approved Marshall Islands
NK Co., Ltd NK-O3 Blue Ballast Ozonation Yes Type Approved South Korea
Panasia Glo-En Patrol UV + filtration No Type Approved South Korea
JFE JFE BWMS Chemical injection + Yes Type Approved Japan
filtration
Hitachi Hitachi BWMS Filtration + coagulation Yes Type Approved Japan
+ magnetic separation
RWO CleanBallast Filtration + electrolysis Yes Final Approval Germany
+ electrochlorination
HHI EcoBallast UV + filtration Yes Final Approval South Korea
Japanese SP Hybrid Cavitation + ozonation Yes Final Approval Japan
Association of
Marine Safety
Ecochlor Ecochlor BWMS Chemcial injection (ClO2) Yes Final Approval Germany
21st Century
Shipbuilding ARA BWMS Filtration + high energy Yes Final Approval South Korea
plasma + UV
Severn Trent
De Nora BalPure Filtration + electrolysis Yes Final Approval Germany

Table 3 b: Overview of ballast water treatment systems (Updated 2011-05)

1 The list above includes only systems that are type approved,
have received final approval from MEPC, are in the process of
being approved by DNV or expressed their intent to do type
approval with DNV.
2 Systems using active substances must receive approval from
IMOs GESAMP-BWWG. The approval is given in two stages, the
first stage is basic approval and the last stage is Final Approval.
Before receiving Type Approval Certificate, Final Approval from
MEPC must be given.

44. What will DNV require from my type-approved
treatment system?
A: When the system is installed on a DNV-classed vessel, DNV
will evaluate the installation from a safety point of view based
on the Rules Pt.6 Ch.18.
When requested to issue a Certificate or Statement of
Compliance or an International Ballast Water Management
Certificate on behalf of a flag administration, DNV will also
require the installation work to be done in accordance with
the Convention and its Guidelines, and the operational
requirements and assumptions for the type approval to be
met by the actual installation.
Furthermore, DNV will undertake a commissioning survey
as stipulated in Paragraph 8 of the G8 Guidelines.
45. Will the systems be typically installed in engine
rooms?
A: For most ship types, yes; for oil and chemical tankers the
system must be installed in the hazardous area zone since bal-
last water is adjacent to cargo tanks.
DNV will require that some systems, depending on the type
and amount of chemicals or gases they use, are installed in
separate compartments in the engine room or cargo pump
room. This is to ensure the safe operation of the treatment
systems.
46. The treatment system I intend to buy requires
inerting of the ballast tank does DNV have special
requirements regarding that?
A: Yes. Some ballast water treatment systems combine their
technology with inerting of the ballast tanks. Inerting of bal-
last tanks as part of normal operations represents an
increased risk to personnel in connection with tank entry.
The governing rule with respect to the ballast tanks piping
system is that it must be possible to over-pump the ballast
tanks within the structures pressure limits. Pressure drop
calculations must be submitted for approval.
The following alternatives are acceptable to DNV as a
means to maintain the Inert Gas pressure in the ballast tank:
I Pressure relief loop with discharge directly overboard; or
I Pressure-Vacuum valves with a means to release water.
The discharge of ballast normally ensures that there are ade-
quate oxygen levels in the ballast tanks, although there are
frequent struggles to achieve adequate levels in the double
bottom area (portable fans with plastic hoses leading to the
double bottoms are normally required to be arranged prior
to tank entry).
The following must be considered when inerting ballast
tanks:

10
VI Questions related to the installation of ballast water treatment systems
I Assessment of the capacity of the P/V-valve during dis-
charging (vacuum) and ballasting (pressure relief with
water).
I Arrangements for ventilating the double bottom part of
ballast tanks must be provided.
I Inerted ballast tanks to have direct access to the open deck.
I Air and Sounding pipes to be led to the open deck.
I Warning signs to be posted at the ballast tank manholes.
I Safety procedures for entry to the ballast tanks are to be
included in the ships safety manual.
I The risk of leakage from an inerted tank to a non-inerted
tank must be considered and identified with relevant pro-
cedures in the ships safety manuals.
47. What capacity will DNV require of a treatment
system compared to the ballast pump capacity?
A: The ballast pump 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
for the treatment system.
If two pumps (when the capacity of both pumps exceeds
the TRC of the installed treatment system) are connected to
the treatment system, instructions must be included in the
Ballast Water Management Plan stating that only one pump
can be run at a time.
A possible solution when the ballast pump capacity exceeds
the TRC of the treatment system is to install an orifice in the
inlet pipe of the treatment system to limit the flow.
48. The manufacturer of the treatment system I intend
to buy needs to install a new booster pump to increase
the systems pressure what do I need to take into
consideration when installing such a pump?
A: Some ballast water treatment systems will need new or
additional ballast pumps. Ballast pumps with increased head
may cause some challenges to be considered:
I The suitability of existing flanges to tackle the higher pres-
sure in the system; and
I New pressure drop calculations for the air pipes of the bal-
last tanks in case the flow rate increases.
49. Is it allowed to bypass the treatment system in cases
of emergency or of internal transfer of the ballast
water?
A: The guidelines for type approval of ballast water treatment
systems require, in the event of an emergency, suitable
bypasses or overrides of the treatment system to be arranged
to protect the safety of the ship and personnel. Such bypasses
should activate an alarm, and the bypass event should be
recorded by the treatment systems Control Equipment. The
alarms are audible and visual signals in all stations from
which ballast water operations are controlled.
Any additional possibility to bypass the treatment unit in a
ballast system must in general be avoided or logged automati-
cally in the treatment systems control unit. This is in general
applicable in cases of heeling operations or other internal
movement of ballast water in the ship. These operations must
be identified by the treatment systems control unit to avoid
triggering the bypass alarm.
Accidental filling and discharging of the ballast water by
gravity must be avoided by installing non-return valves on the
ballast piping between the overboard discharge outlet and
the ballast tanks.
For systems that only treat the ballast water during intake,
there are no restrictions on the discharge of water by gravity.
50. What documentation is required to be submitted
when a treatment system is intended to be retro-fitted
onboard a ship:
Piping system
1 P&ID of the ballast system including any connections to
it from other systems (bilge, fire etc.) if pumps to those
systems can be used for ballast.
2 Arrangement of all units and auxiliary systems with
hazardous potentials or with critical importance for the
functioning of the treatment system.
Electrical system
3 Drawings of the MSB modification
4 Updated electric load balance
5 Updated electrical power single line diagram
6 Selectivity evaluation of the largest new breakers intro-
duced into the main switchboard vs. the generator breakers.
7 It should be evaluated whether new short circuit calcula-
tions are found necessary; if this is found relevant these
should be evaluated by the designers and a conclusion with
regard to: breakers currently installed in the switchboard
and new breakers introduced (making/breaking capacities).
The necessity of this document depends on the current
installation, the difference between the short circuit level and
the breakers making/breaking capacities on existing installa-
tion and the newly introduced equipment (loads supplied
via variable frequency drives will for instance not affect the
short circuit currents hence it will not give an increase
which in turns will not require a new calculation to be per-
formed, on the other hand directly supplied motors will
effect, whether or not the contribution is relevant may be
considered based on the existing installation and how it is
dimensioned.)
This evaluation should be received and taken into consid-
eration together with the other relevant electrical documen-
tation.
Control system
8 System block diagram
9 Power supply arrangement
10 List of controlled and monitored points
11 Description of interface towards the ships existing
systems
Structure and Stability
12 Depending on the ratio of the added weight to the
ships light weight, new stability calculations may be
required. Please inform of the total weight added.
13 Any reinforcements needed due to the added elements
may be required to be approved. Please inform whether
new strengthening structure is added or not.
11
 VII Questions related to the installation onboard tankers
51. What about the aft peak tank on a tanker, should a
separate treatment system be installed for it?
A: In DNVs opinion, a connection between the aft peak tank
and the ballast system in the cargo area is possible.
Connections between the aft peak tank ballast piping and
the ballast system in the cargo area, pump-room or cargo
pump-room are acceptable provided the following are
observed:
I Water from compartments adjacent to cargo tanks for liq-
uids with a flash point not exceeding 60C is not allowed to
be pumped to the engine room, aft peak tank or other gas
safe area unless as accepted specifically by other regula-
tions.
I Arrangements for pumping water from the aft peak tank to
the cargo area, pump-room or cargo pump-room are
acceptable provided the following are met:
Two non-return valves mounted in series or an equivalent
arrangement are installed; and
All connections between the aft peak tank and the cargo
area, pump-room or cargo pump-room must be led
above deck with penetrations to the pump-room and aft
peak tank from the main deck level. Penetrations of the
engine room/pump-room bulkhead are not acceptable.
Figure 1 is an illustration of the above understanding.
52. Will any treatment system be adequate for
installation on board a tanker if the requirements in
question 51 are to be met?
A: Ballast water to the aft peak tank must be pumped from a
non-hazardous zone (usually the engine room); discharge
from the aft peak tank can be led to the cargo area (for
example pump room) where it must be treated before being
discharged overboard.
This means in practice that the treatment system must be
able to treat the water to the D-2 standard during one run
only, and the water must have a low enough TRO level (i.e.
less than 0.2 mg/L) before being discharged overboard.
53. What are the alternatives to the solution proposed in
question 51?
There are three alternatives:
I Install a separate treatment system in the engine room ded-
icated to the aft peak tank.
I The water from the aft peak tank can be pumped through
the treatment system in the cargo area, following the prin-
ciples laid out in question 26 above, to an empty tank in
Figure 1 Acceptable connection between the Aft Peak Tank and the cargo area on oil and chemical tankers
12
the cargo area; this water can then be pumped overboard
like any other ballast water.
I Use fresh water or potable water for the aft peak tank and
obtain equivalent compliance with the Convention accord-
ing to Regulation A-5 following the G3 Guidelines:
Guidelines for ballast water management equivalent com-
pliance.
54. What are hazardous areas on tankers and how do
they affect the installation of ballast water treatment
systems?
A: Due to the fact that they carry liquids with a flash point
below 60C, tankers have areas that are defined as hazardous
areas. In those areas, electrical equipment or mechanical
equipment with moving parts that can cause static electricity
are not allowed to be installed.
The definition of hazardous areas varies depending on the
ships date of construction.
The hazardous area on tankers that are constructed prior
to 1 January 2007 are defined as either gas dangerous or gas
safe areas. For those ships, only intrinsically safe electrical
equipment is allowed in the gas dangerous areas, apart from
exceptions for luminaries etc, in the pump room.
Tankers that are constructed after 1 January 2007 comply
with a newer standard (IEC 60092-502) and their areas are
defined as zone 0, zone 1, zone 2 or a safe area. For those
ships, electrical equipment can be installed in areas for which
it is certified safe.
55. OK, so I am buying a system that is certified for zone
1. Can I just install it on my tanker in a hazardous area?
A: Not completely. Depending on the liquid cargo your ship
is certified to carry, certain standards must be met before the
electrical equipment can be installed.
Ships are measured against two standards: for the appara-
tus group and the temperature.
The apparatus group standard is given as IIA, IIB or IIC.
The temperature group standard is given as T1, T2 T6.
However, T3 is the minimum standard required for oil
tankers.
For an easy explanation of what these standards refer to,
consult the IBC Code Item 21.4.9.
The minimum SOLAS requirements for oil tankers are IIA,
T3. For chemical tankers, those standards may be as high as
IIC and T6. IIC is typical for stainless steel chemical tankers
intended for the carriage of acids (refer to IBC Code Item
11.5).
VII Questions related to the installation onboard tankers
56. So, we have the standards and the zones, is that
enough to make a decision on whether or not a system
can be installed on board a tanker?
A: No. Last but not least, depending on the location of the
electrical equipment, the equipment should be certified as
being explosion-proof in accordance with the EXia, Ex
standard as required for the different hazardous zones. For
an easy explanation of those standards, refer to DNV Rules
Pt.4 Ch.8.
57. The explosion-proof standards are applicable when
the treatment system is installed in the cargo area. What
if I just install it in the engine room?
A: The engine room is a gas safe area. The transfer of ballast
water from ballast tanks adjacent to cargo tanks carrying liq-
uid chemicals or oils with a flash point not exceeding 60C is
not allowed due to the dangers of gas transfer.
58. So the only way for my ship to have a treatment
system is to have it installed in the cargo pump room or
a similar space?
A: No. Usually, tankers have their ballast pump rooms within
the cargo area. Another way of avoiding EX-proof equipment
for tankers is to use treatment systems that only need to treat
the intake and not the discharge.
In that way, a system installed in the engine room would be
able to pump ballast water from a sea chest in the engine
room through the treatment system, up to the open deck and
down to the ballast tanks.
Since the water is then clean, it could easily be discharged
through the cargo pump room using the normal ballast system.
The IBC Code Item 3.5.1 already allows for such arrange-
ments.
59. So if I have a ship constructed prior to 1 January
2007, I can only install the system in the engine room as
described above?
A: No. The other possibility is to change the hazardous area
classification regime from pre-2007 to post-2007.
60. What are the requirements for changing the
hazardous area regime from pre-2007 to post-2007?
A: The following must be submitted for approval:
1 Area classification drawings for the complete ship.
2 Drawings showing the location of all the electrical equip-
ment in hazardous areas (applies to old and new equip-
ment).
Figure 2 Hazardous area classification on an oil or chemical tanker
3 A single line diagram showing intrinsically safe circuits
and data to verify the compatibility between the barrier and
the field component (applies to new equipment only).
4 A list of explosion-protected equipment with reference to
drawings. See also Pt.4 Ch.8 Sec.11, Table B1 (applies to
new equipment only).
5 A maintenance manual as specified in Sec.8 E101 for elec-
trical installations in hazardous areas must be submitted for
approval (applies to old and new equipment).
61. Do you foresee any issues due to the change in the
hazardous area regime from pre-2007 to post-2007?
The only ships that may encounter a problem are oil and
chemical tankers with transverse deck girders above deck,
where openings to the accommodation in the aft of the ship
and equipment for and openings to gas safe spaces at the
fore of the ship will fall under zone 2 (the extra 1.5m
required in addition to the 3m of zone 1).
Most oil tankers have the transverse deck girders below
deck and do not have this problem.
Most chemical tankers with transverse deck girders below
deck have a raised forecastle and openings to accommoda-
tion far from the cargo area; they do not have a problem.
Ships for which the change-over procedure will be prob-
lematic will be handled on a case-by-case basis by DNV.
62. What are the zone classifications of cargo pump
rooms, ballast pump rooms, ballast tanks, cargo tanks
and closed hazardous spaces on deck?
A: The hazardous classification on board tankers carrying liq-
uid products with a flash point not exceeding 60C is as fol-
lows:
1 Cargo pump room: Zone 1.
2 Ballast pump room: Zone 2 when not adjacent to a cargo
tank.
3 Spaces above, below or adjacent to a cargo tank without
cofferdam separation: Zone 1.
4 Cargo tank: Zone 0.
5 Closed hazardous space on deck:
Zone 1 if openings or doors into zone 1.
Zone 2 if built in a safe zone with ballast water flowing
through it.
Figure 2 illustrates the classification of hazardous areas on an
oil or chemical tanker.
Zone 0
Zone 1
Zone 2
1. Zone 1 on an open deck is only applicable when
the girders are on open deck. When the girders
are inside the cargo tank, then the open deck is
zone 2 and the 1.5m zone around zone 1 in the
drawing is no longer applicable.
2. The BWM room is zone 2 if the ventilation and
openings are in the safe area; otherwise, it will
have the same zone classification as the area it
has an opening to.
3. A BWM room without a cofferdam separating it
from the deck of the cargo tanks is classified as
being in zone 1.
13
 VIII Questions related to the US standards

63. Does DNV certify treatment systems that comply
with the different requirements of US states and/or
the US Coast Guard?
A: No. DNV only undertakes the type approval of treatment
systems according to the IMO regulations.
DNV will only undertake type approval of treatment sys-
tems according to the US Coast Guard standards once those
standards are published.
In principle, DNV will not engage in the certification of
treatment systems or ships ballast water management systems
for compliance with individual US states requirements.
65. What are the proposed US Coast Guard standards
and how do they compare to those of the IMO?
A: Table 4 summarises the proposed US Coast Guard
requirements compared to those of the IMO:
66. What are the proposed US deadlines for the
installation of treatment systems and how do they
compare to those of the IMO?
A: Table 5 summarises the proposed US Coast Guard dates
for the installation of treatment systems compared to those
of the IMO:

64. Will a system type approved for the IMO standard
be accepted in US waters?
A: The US Coast Guard has not yet finished preparing its
treatment system certification requirements or the proce-
dures for the acceptance of type approval certificates issued
by other Administrations.
Until it is clear what the US Coast Guard will require of
ships calling into US waters, DNV recommends that all ships
planning to sail into US waters have a ballast water manage-
ment plan compatible with the D-1 standard and undergo
ballast water exchange as required by the D-1 standard and
US Regulations.
67. Will a system type approved by an Administration
or DNV be acceptable for use in US waters?
No, systems type approved to the IMO D-2 standard (follow-
ing the G8 Guidelines) are not acceptable as replacements
for the US Coast Guard exchange requirements until the pro-
posed US Coast Guard requirements are finally approved.
Treatment systems that are type approved by DNV are not
evaluated against the proposed US Coast Guard standards or
any other US states standards.

Standard Phase 1 /USCG) / IMO Phase 1 /USCG) / IMO

Standard Phase 1 (USCG) / IMO Phase 2 (USCG)

Organisms >50 microns <10 organisms per m3 <1 organism per 100 m3
Organisms >10 microns <=50 microns <10 organisms per mL <1 organism per 100 mL
Vibrio cholerae <1 cfu per 100 mL <1 cfu per 100 mL
Escherichia coli <250 cfu per 100 mL <126 cfu per 100 mL
Intestinal enterococci <100 cfu per 100 mL <33 cfu per 100 mL
Organisms <10 microns <103 living bacterial cells per 100 mL; and
<104 viruses per 100 mL

Table 4 US Coast Guard proposed requirements vs. IMO D-2 Standard

14
IX Questions related to specific ship types

68. I have a pleasure craft used solely for recreation
or competition or a craft used primarily for search and
rescue, less than 50m in length overall and with
maximum ballast water capacity of 8m3. Will my ship
be required to comply with the Convention?
A: Yes, Regulation A-5 of the Convention allows equivalent
compliance with the requirements of the Convention, but
no exceptions.
Equivalent compliance must be determined by the
Administration taking into account the G3 Guidelines:
Guidelines for ballast water management equivalent
compliance.
69. I have a ship with a potable/fresh water generator
and I would like to use this water as ballast on my ship,
will my ship then be in compliance with the Convention?
A: Strictly speaking, no. Regulation D-3 of the Convention
requires ballast water management systems to be type ap-
proved according to the G8 or G9 Guidelines, as applicable.
So the potable/fresh water system or any other system treat-
ing water must undergo the type approval process.
However, Regulation B-3 Item 7 states that other methods
of ballast water management may also be accepted as alterna-
tives provided such methods ensure at least the same level of
protection to the environment, human health, property or
resources and are approved in principle by the Committee.
So in order to use the potable/fresh water system as an
alternative to a standard treatment system, compliance with
the requirements of Regulation B-3 Item 7 is needed.
DNV is able to work with manufacturers of such systems to
establish compliance with Regulation B-3 Item 7 for such sys-
tems.
70. I have a fishing vessel with a Refrigerated Sea Water
(RSW) tank. Is the water in the RSW tank subject to
treatment?
A: In DNVs opinion, ballast water as defined in the Conven-
tion Article A-1.2 does not include RSW and as such the
Convention is not applicable to RSW.

Ballast Water Date of construction of ship 4, 5

Capacity
Before 2009 2009 2009 2011 2010 or later 2012 or later

< 1500 m Ballast water Ballast water Ballast water Phase 1 at

exchange or exchange or treatment only delivery
treatment until treatment until Phase 1 at first
20161 20113 dry docking after
Ballast water Ballast water January 1st 2016
treatment only treatment only
after 20161 from 20113
Phase 1 at first Phase 1 at first
dry docking after dry docking after
January 1st 2016 January 1st 2016

1500 5000 m Ballast water Ballast water Ballast water Phase 1 at

exchange or exchange or treatment only delivery
treatment until treatment until Phase 1 at first
20142 20113 dry docking after
Ballast water Ballast water January 1st 2014
treatment only treatment only
after 20142 from 20113
Phase 1 at first Phase 1 at first
dry docking after dry docking after
January 1st 2014 January 1st 2014

> 5000 m Ballast water Ballast water Ballast water

exchange or exchange or treatment only
treatment until treatment until Phase 1 at
20161 20161 delivery
Ballast water Ballast water
treatment only treatment only
after 20161 after 20161
Phase 1 at first Phase 1 at first
dry docking after dry docking after
January 1st 2016 January 1st 2016

Table 5 US Coast Guard proposed installation deadlines vs. IMO deadlines

15
DNV (Det Norske Veritas)
NO-1322 Hvik, Norway
Tel: +47 67 57 99 00
Fax: +47 67 57 99 11
www.dnv.com

Coor Service Management as/Graphic Services 1105-069

Det Norske Veritas AS 300/05-2011

Contacts in DNV
Section for Cargo Handling and Piping Systems, NACNO385
NACNO385@dnv.com