DNV brochure_BWM_convention 2010

Ballast Water Management Convention

General information – status October 2010

1. What are the aims of the Ballast Water ManagementConvention (the Convention)?

A: Through the control and management of ship ballastwater and sediments, the Convention aims to prevent, min-imise and ultimately eliminate risks to the environment,human health, property and resources arising from the trans-fer of harmful aquatic organisms and pathogens.

2. What types of ships are targeted by the Convention?

A: The Convention applies to a vessel of any type whatsoeveroperating in the aquatic environment and includes sub-mersibles, floating craft, floating platforms, FSUs and FPSOs.

3. Does the Convention require ships to carry acertificate to prove compliance with it?

A: The Convention requires ships that fly the flag of a partyto the Convention (i.e. an Administration that has ratifiedthe Convention) to have an International Ballast WaterManagement Certificate.

Ships flying the flag of a non-party to the Convention butoperating in waters that are under the authority of a partymust carry a Certificate of Compliance with the Ballast WaterManagement Convention.

4. When will my ship be required to have a certificate toprove compliance with the Convention?

A: The ship will be required to have a certificate to provecompliance when the Convention enters into force.

5. When will the Convention enter into force?

A: The Convention will enter into force 12 months after thedate on which not less than 30 states representing not lessthan 35% of the gross tonnage of the world’s merchant fleetratify it.

6. How many states have ratified the Convention so far?

A: As per August 2010, 26 states representing 24.44% of thegross tonnage of the world merchant fleet have ratified theConvention and thus are parties to the Convention:

7. When do you expect the Convention to be ratified bya qualifying number of states with a qualifyingpercentage of gross tonnage?

A: All the signs point to the Convention being ratified by nofewer than 30 states representing not less than 35% of thegross tonnage of the world’s merchant fleet in 2011.

8. What does the Convention actually require a ship todo with its ballast water?

A: The Convention defines two standards for discharged bal-last water that the ship must meet. Those standards are theballast water exchange standard (D-1 standard) and ballastwater treatment standard (D-2).

The D-1 standard will eventually be phased out andreplaced by the D-2 standard, depending on the ship’s dateof construction and ballast water capacity.

Table 1 summarises the dates when the ships have to com-ply with D-1 or the D-2 standard.

9. If the conversion my ship is undergoing is defined as a‘major conversion’ according to the Convention, howwill this affect my ship?

A: If the ship is undergoing a major conversion after theentry into force of the Convention and when flying the flagof a party to the Convention, then the construction date ofthe ship will be the commencement date of the conversion.This may imply that the ship must meet the D-2 standard atan earlier stage, depending on the ship’s keel-laying date andballast water capacity.

10. What documentation do I have to provide in orderfor my ship to receive certification of compliance withthe Convention?

A: The Convention basically requires two documents:

� A Ballast Water Management Plan approved by theAdministration. A template for a ballast water managementplan can be provided free of charge by DNV.

� A Ballast Water Record Book, which is not subject toapproval.

11. What happens when the Convention is ratified byenough states and is due to enter into force 12 monthslater?

A: All ships that are flying the flag of a party to theConvention, or intending to sail in waters under the jurisdic-tion of such a party, will have to do the following:

� Submit a Ballast Water Management Plan for approval; and

� Supply the ship with a Ballast Water Record Book; and

� Have an initial survey of the ship with the subsequentissuance of an International Ballast Water ManagementCertificate or a Certificate of Compliance with the BallastWater Management Convention.

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

A: Yes. DNV therefore advises Owners to be proactive andprovide their ships with ballast water management plansapproved for at least the D-1 standard (i.e. ballast waterexchange), and to have the initial surveys done and aStatement or Certificate of Compliance issued as soon as pos-sible.

2

1- Albania2- Antigua & Barbuda3- Barbados4- Brazil5- Canada6- Cook Islands7- Croatia8- Egypt9- France10- Kenya11- Kiribati12- Liberia13- Maldives14- Marshall Islands

15- Mexico16- Netherlands17- Nigeria18- Norway19- Republic of Korea20- St Kitts & Nevis21- Sierra Leone22- South Africa23- Spain24- Sweden25- Syria26- Tuvalu27- Malaysia

I – General questions related to the Convention

3

13. What will be required of ships that already have aStatement or Certificate of Compliance when theConvention enters into force?

A: If the ship is still using the same standard (i.e. the D-1 orD-2 standard), then the changeover will simply involve paper-work. A request must be submitted to DNV by the manager ofthe ship in order to start the changeover process for a ship.

14. Will DNV remind me that my ship must comply withthe Convention (either the D-1 or D-2 standard) within acertain date?

A: Yes, DNV will issue a Statutory Retroactive Requirementnote in the ship’s profile in DNV Exchange reminding theship’s manager that the ship must comply with theConvention by a given date.

We will also issue another Statutory RetroactiveRequirement 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 ManagementCertificate and surveys align with other class andstatutory surveys of the ship?

A: Not necessarily. The International Association of ClassSocieties (IACS) has submitted to MEPC.61 a paper aimingto clarify issues like the anniversary date of the ship asdefined by the Convention and other issues related to theentry into force of the D-2 standard for ships.

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.



treatment) not later than the first intermediate or renewal

survey, whichever occurs first, after the anniversary date of

delivery of the ship in 2014.



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.

I – General questions related to the Convention

< 1500 m³ • Ballast water

exchange or

treatment until

20161

• Ballast water

treatment only

after 20161

• Ballast water

exchange or

treatment until

20113

• Ballast water

treatment only

from 20113

• Ballast water

treatment

1500 – 5000 m³ • Ballast water

exchange or

treatment until

20142

• Ballast water

treatment only

after 20142

• Ballast water

exchange or

treatment until

20113

• Ballast water

treatment only

from 20113

• Ballast water

treatment

> 5000 m³ • Ballast water

exchange or

treatment until

20161

• Ballast water

treatment only

after 20161

• Ballast water

exchange or

treatment until

20161

• Ballast water

treatment only

after 20161

• Ballast water

treatment

Ballast Water

Capacity

Date of construction of ship 4, 5

Before 2009 2009 2009 – 2011 2010 or later 2012 or later

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

4

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:

Sequential method: a process by which a ballast tank or holdintended for the carriage of ballast water is first emptiedfor at least 95% of its volume and then refilled withreplacement ballast water.

Flow through method: a process by which replacement ballastwater is pumped into a ballast tank or hold allowing waterto overflow through openings on open deck. At least threetimes the tank or hold volume shall be pumped throughthe tank or hold.

Dilution method: a process by which replacement ballastwater is filled through the top of the ballast tank or holdwith simultaneous discharge from the bottom at the sameflow rate and maintaining a constant level in the tank orhold. At least three times the tank or hold volume shall bepumped through the tank or hold.

17. Where do I find more information on the methodsdescribed 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 thatmy ship meets the D-1 standard?

A: You should submit a ballast water management plan(BWM Plan) that complies with the standards defined inGuidelines G4: Guidelines for ballast water management and the

development of ballast water management plans.

19. What is the D-2 standard?

A: The D-2 standard is a ballast water performance standardand refers to regulation D-2 of the Convention. The D-2 stan-dard requires that ships discharge:

� Less than 10 viable organisms per m3 greater or equal to50µm in minimum dimension; and

� Less than 10 viable organisms per ml less than 50µm inminimum dimension and greater than or equal to 10µm inminimum dimension; and

� 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 thetreatment system malfunctions?

A: In principle, the Convention does not allow for the use ofexchange methods when the requirement is to treat the wateraccording to the D-2 standard. Exchange will not be men-tioned as a management method in the International BallastWater Management Certificate (IBWM Certificate).

However, a port state controller may see it as positive that aship has exchanged ballast water according to the D-1 stan-dard instead of just bypassing the treatment system in cases ofmalfunction.

In DNV’s opinion, the Ballast Water Management Plan(BWM Plan) should include only the methods that areacceptable for the IBWM Certificate in order to avoid confu-sion. DNV nevertheless recommends that the BWM Planshould include an Appendix stating the exchange methodprocedures so that the ship can follow them in cases wherethe treatment system has been bypassed. However, this willnot be required by DNV.

II – Questions about the standards of the Convention

5

21. Does DNV have a standard template for anacceptable BWM Plan?

A: Yes, DNV has developed an easy–to-use template for aBWM Plan that is free of charge. You can download the tem-plate from www.dnv.com, through your Exchange server or bycontacting any of the 190 DNV offices around the world.

DNV’s contact numbers are given at the end of this docu-ment.

22. My ship has a BWM Plan approved to ResolutionA.868(20). What do I have to do for my plan to beapproved to the G4 Guidelines of the Convention?

A: There is no need for re-approval of BWM Plans approvedto Resolution A.868(20). DNV is able, upon request, to issuea Statement confirming that the BWM Plan also complieswith the G4 Guidelines.

23. Do I need to have a different BWM Plan for the D-1standard and the D-2 standard?

A: No. DNV’s template includes both standards. During thetransition period between the date when the Conventionenters into force and the date when the ship must meet theD-2 standard, both D-1 and D-2 standards can be used.

III – Questions about the BWM Plan

6

24. Can I obtain a certificate for my ship before theConvention enters into force?

A: No. However, DNV can issue a Certificate of Complianceor Statement of Compliance with the Convention dependingon whether or not the Administration whose flag the ship isflying has authorised DNV to act on its behalf in relation tothe Convention.

25. Which Administrations have authorised DNV to issueCertificates of Compliance on their behalf?

A: As per June 2010, the following Administrations haveauthorised DNV to issue a Certificate of Compliance with theConvention on their behalf:

1- Bahamas2- Bahrain3- Brazil4- British Virgin Islands5- Cook Islands6- Faroe Islands7- Gibraltar

8- Isle of Man9- Jordan10- Kazakhstan11- Libyan Arab Republic12- Lithuania13- Luxembourg14- Malaysia15- Marshall Islands16- Norway17- Oman18- Qatar19- Serbia20- St. Vincent and the Grenadines21- United Kingdom

26. What if my ship is flying the flag of anAdministration that has not authorised DNV to issue aCertificate of Compliance on its behalf?

A: DNV can issue a Statement of Compliance instead.

IV – Questions about certification of vessels and national requirements

1 Type approved treatment system in

accordance with IMO guidelines

2 Ballast water exchange is required to

be performed in accordance with

Regulation B-4 of the Convention,

meeting the standard of Regulation

D-1 of the Convention

3 Exemptions are given to Offshore

Supply Vessels

4 Approved by the Administration

5 Ballast Water Exchange is required to

be performed in accordance with

Regulation B-4 of the Convention; no

standards are mentioned

6 Treatment may be accepted. Owners

are advised to consult with the port

authorities first

7 All ships entering the coast of Israel

have to exchange the ballast water

beyond any continental shelf or fresh

water current effect

8 All ships coming to the Baltic Sea

have to exchange ballast in the North

Sea

9 Ships are required to clean the 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

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

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

State Ports Ships Exchange

Table 2 National requirements for ballast water management

7

27. Do any states require ships calling into their ports orships flying their flags to meet one or both of the D-1 orD-2 standards?

A: Many states have started requiring the ballast water ofships calling into their ports or sailing in waters under theirjurisdiction to meet the D-1 or D-2 standard.

Table 2 summarises the national requirements for ballastwater management.

DNV is not aware of any state yet requiring ships flying itsflag to meet the D-1 and/or the D-2 standard.

28. What kind of certification/approval is required inorder to use a treatment system?

A: Regulation D-3 of the Convention requires ballast watermanagement systems to be type approved by theAdministration 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 FinalApproval for the active substances in compliance with the G9Guidelines: Procedure for approval of ballast water management sys-

tems that make use of active substances.

Basic and Final Approval are granted by the MEPC basedon recommendations by GESAMP-BWWG.

IV – Questions about certification of vessels and national requirements

12 All ballast water must be exchanged

at least 12nm from the Peruvian

coast. The requirement also applies

to ballast water taken up in a

Peruvian port.

13 In addition to the Ballast Water

Management Plan, a Ballast Water

Notification must be submitted to

the Maritime Authority

14 All ballast must be exchanged in the

Black Sea before arriving to

Novorossiysk

15 All ships arriving to a port in Ukraine

must have exchanged the ballast

water in the Black Sea

16 Ships must apply for discharging 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 deliv-

ery to reception facilities.

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

Yes9 No10 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

Treatment Ballast Water

Management Plan

Ballast Water

Record Book

Entry

into force

Additional information

8

29. What are active substances?

A: An active substance is a substance or organism, including avirus or a fungus, that has a general or specific action on oragainst harmful aquatic organisms and pathogens.

30. Is it safer or better to use a system that does not useactive substances?

A: It is not necessarily better or safer to use systems that donot use active substances. As long as the system has beengiven Basic and Final Approval and the Administration hasassessed and requested mitigating measures for hazards, anysystem with type approval should be safe to use.

31. What type of treatment system does not use activesubstances?

A: So far, the only systems that have received type approvalwithout undergoing the G9 procedure are systems employingUV and filtration.

32. Will DNV accept a type approval certificate issued byanother class society (IACS member or not) or anAdministration?

A: It is not within DNV’s scope to accept a type approval cer-tificate issued by an Administration or by a class society onbehalf of an Administration. This question must be clarifiedwith the flag administration of the ship before the treatmentsystem is installed on board.

DNV Class may only provide advice and recommenda-tions/evaluations concerning different treatment systems toAdministrations when requested to do so by Administrations.

33. What do you mean by the performance of atreatment system?

A: DNV will mainly make sure that the following are met inrelation to the initial approval and survey of the installationof a treatment system:

� The capacity of at least one ballast pump does not exceedthe maximum capacity of the treatment system (i.e.Treatment Rated Capacity, TRC).

� Bypasses, alarms and other operational criteria for the per-formance of the system in accordance with the grantedtype approval are met.

34. What do you mean by safe installation?

A: Systems that are using or generating chemicals or gaseswhich are toxic, explosive or flammable will be required byDNV to be installed in a manner which meets a minimumsafety level.

Such systems may be required to be installed in a separatecompartment with strict requirements regarding sensors,alarms, ventilation, gas suits and masks and fire extinguishingarrangements.

DNV Rules Pt.6 Ch.18 Sec.4 includes detailed requirementsrelated to safety. Those requirements are identified by beingin bold italic.

35. Aren’t the safety issues addressed during typeapproval?

A: Probably yes, but this issue is dealt with by both theGESAMP-BWWG and the type-approving Administration. Inorder not to take any risks, DNV will require a minimum safe-ty standard for all treatment systems.

36. Which Administrations have authorized DNV to issueType Approval Certificates for ballast water treatmentsystems and which will accept Type Approval Certificatesissued by DNV?

The following Administrations have authorized DNV to issueType Approval Certificates on their behalf:

1- Bahamas2- Norway3- United Kingdom (G8 only)4- Isle of Man5- Bahrain6- St. Vincent and the Grenadines

The following Administrations will accept Type ApprovalCertificates issued by DNV:

1- Australia2- Germany3- Hong Kong4- Singapore

37. What is holding time?

A: Most treatment systems using active substances will containTotal Residual Oxidants (TRO) that are added during theintake. The TRO work on the unwanted organisms to elimi-nate them. TRO are toxic and unwanted in sea water whenabove certain concentrations. This is why ballast water passingthrough a system using active substances cannot be dis-charged immediately.

The GESAMP-BWWG has decided that the level of TRO atdischarge 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 thetemperature of the water.

The rate of degradation of the TRO is measured duringland-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 0.2mg/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 0.2mg/L (t1).

(t1) can be shortened by using neutralizers before the dis-charge. Neutralizers will more or less instantly decrease thelevel 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 bedischarged 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 ballastwater are decided by the GESAMP-BWWG.

DNV recommends a neutralization step from systems thathave a holding time for TRO degradation (t1) of longer than12 hours.

Let us call the other factor determining the holding time(t2). (t2) is directly related to the biological efficiency of thesystem. Systems using active substances will have the TROworking on eliminating the unwanted organisms while in theballast tank.

(t2) is the minimum time needed for TRO to work on theunwanted organisms so that they reach a level which is lowerthan the D-2 standard.

For a given treatment system, the holding time is the largerof (t1) and (t2).

V – Questions related to ballast water treatment systems

9

38. Why is the holding time important when choosing atreatment system for my ship?

A: A ship with a treatment system that has a long holdingtime will not be allowed to de-ballast until that time haselapsed; ships that are on short voyages or have to adjusttheir trim, etc, due to fuel consumption may have a problemwith that.

A holding time which is governed by the TRO degradationcan easily be overcome by proper neutralization. A holdingtime due to biological efficiency cannot be shortened.

39. What factors other than the holding time areimportant for the proper operation of a type-approvedtreatment system?

A: This question should be addressed to the manufacturer ofthe treatment system. The temperature of the water will inmost 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-basedand shipboard tests, most systems will have a certain UV-T atwhich they were tested. As long as the water the ship is sailingin 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 istested during the type approval, it is uncertain whether thesystem is treating the water to the D-2 standard or not. Suchsystems should then give a warning to the operator that thesystem is not treating the water according to the typeapproval.

Another factor which is important for the efficiency of atreatment system is the salinity of the water. Systems usingelectrolysis to generate active substances need a certain con-

centration of salinity in the water in order to achieve thedesired effect on the organisms. When the salinity of thewater is very low, the system may not be treating the water toa satisfactory level. A salinity meter with alarms to alert theoperator when the salinity drops below the required levelshould therefore be included in the treatment system.

40. Will DNV recommend a treatment system for myship?

A: DNV will not recommend a specific manufacturer. We willonly require safety installations of the treatment system basedon the type of technology used and on our Rules Pt.6 Ch.18.

41. Is a treatment system that is type approved by DNValso evaluated in relation to the safety requirements inPt.6 Ch.18?

A: Yes, treatment systems that are type approved by DNV willalready be evaluated in relation to the safety requirements ofPt.6 Ch.18 and other DNV Rules for ships as applicable.

42. Will DNV take on consultancy work and recommenda suitable treatment system for my ship?

A: Yes, DNV Maritime Solutions is able to do that type ofwork as a consultant. However, this is not to be confused withthe work done by DNV Class, which is a completely differententity.

You can contact your Customer Service Manager (CSM)who can assist you with this.

43. How many systems are Type Approved and whichuse active substances and which do not?

A: Table 3 summarises the type approval status of the differ-ent manufacturers.


1 PureBallast Alfa Laval Sweden Filtration + Type Approved DNV on behalf 4 m2 for 500 m3/h

advanced oxida- of Norway

tion technology

(AOT)

2 OceanSaver BWMS OceanSaver Norway Filtration + Type Approved DNV on behalf 6 m2 for 750 m3/h

nitrogen satura- of Norway

tion + cavitation

3 OptiMarin BS OptiMarin Norway Filtration + UV Type Approved DNV on behalf 3.9 m2

of Norway

4 SEDNA system Hamann AG Germany Filtration + Type Approved Germany 5 m2

hydrocyclone + SEE NOTE 4 BELOW

ParaClean

5 Electro-Cleen system Techcross Korea Electrochemical Type Approved Korea 2.5 m2

oxidation

6 Venturi Oxygen NEI USA Deoxygenation Type Approved Liberia, Marshall 6 m2

Stripping Islands and Malta

7 Hyde Guardian HydeMarine USA Filtration + UV Type Approved LR on behalf Not available at

of the UK the moment

DNV type approval

8 NK-O3 BlueBallast NK Company Korea Ozone Type Approved Korea 10 m2

System (Ozone) DNV type approval

System Name Manufacturer Country Technology

Description

Approval

Status

Approving

Administration

Footprint for

300 m3/h pump

capacity 2

Table 3 Overview of ballast water treatment systems (Updated 2010-09)

(continued on page 10)

10


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 The footprint data is taken directly

from MEPC.55/WP.4 dated 2006-10-11.

3 Systems using active substances must

receive approval from IMO’s 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.

4 The SEDNA system is out of produc-

tion. Refer to www.hamannag.com.

9 GloEn-Patrol Panasia Co. Korea Filtration + UV Type Approved Korea Not available

at the moment

10 Hitachi Ballast Water Hitachi Japan Filtration + coa- Type Approved Japan 20 m2 for 50 m3/h

Purification System gulation + mag-

netic separation

11 JFE BWMS JFE Engineering Japan Chemical Type Approved Japan Not available

Co injection and (26 March 2010) DNV type approval at the moment

neutralization

12 Greenship BWMS Hamworthy Netherlands Hydrocyclone + Final Approval Netherlands Not available

electrolysis (July 2009) at the moment

13 CleanBallast RWO Germany Filtration + Final Approval3 Germany Not available

Advanced (July 2009) at the moment

electrolysis

14 RBT (Wilhelmsen Wilhelmsen Norway Cavitation, Final Approval South Africa Not available

Ship Equipment) electrolysis, (26 March 2010) DNV type approval at the moment

filtration requested

and ozone

15 EcoBallast Hyundai Heavy Korea Filtration + UV Final Approval Korea Not available

Industries (26 March 2010) at the moment

16 OceanGuard Qingdao China Filtration + Final Approval DNV on behalf Not available

Headway electro-catalysis recommended of Norway at the moment

+ ultrasound (September 2010)

17 Special Pipe Hybrid Japan Association Japan Mechanical Final Approval Japan Not available

BWMS (combined with of Marine Safety treatment + recommended at the moment

ozone treatment) ozone (September 2010)

18 ARA Ballast BWMS 21st Century Korea Filtration + Final Approval Korea Not available

Shipbuilding high energy recommended at the moment

company plasma + UV (September 2010)

19 BalClor BWMS Qingdao Sunrui China Filtration + Final Approval China Not available

Corrosion and sea water/ recommended at the moment

Fouling Control salt addition (September 2010)

Company

20 Ecochlor BWMS Ecochlor, INC, USA Filtration + Final Approval Germany Not available

Acton chlorine dioxide recommended at the moment

(September 2010)

21 BalPure Severen Trent Germany Final Approval Germany Not available

De Nora (September 2010) at the moment

22 Crystal Ballast Auramarine Finland Filtration + UV Approval DNV on behalf Not available

commenced of Norway at the moment

23 Trojan UV Trojan Canada Filtration + UV Approval DNV on behalf Not available


24 KBAL Knutsen OAS Norway Pressure drop Approval DNV on behalf Not available

+ UV commenced of Norway at the moment

25 MMC BWMS MMC Norway Filtration + UV Approval DNV on behalf Not available


System Name Manufacturer Country Technology

Description

Approval

Status

Approving

Administration

Footprint for

300 m3/h pump

capacity 2

Table 3 Overview of ballast water treatment systems (Updated 2010-09)

(continued from page 9)

11

44. What will DNV require from my type-approvedtreatment system?

A: When the system is installed on a DNV-classed vessel, DNVwill evaluate the installation from a safety point of view basedon the Rules Pt.6 Ch.18.

When requested to issue a Certificate or Statement ofCompliance or an International Ballast Water ManagementCertificate on behalf of a flag administration, DNV will alsorequire the installation work to be done in accordance withthe Convention and its Guidelines, and the operationalrequirements and assumptions for the type approval to bemet by the actual installation.

Furthermore, DNV will undertake a commissioning surveyas stipulated in Paragraph 8 of the G8 Guidelines.

45. Will the systems be typically installed in enginerooms?

A: For most ship types, yes; for oil and chemical tankers thesystem 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 typeand amount of chemicals or gases they use, are installed inseparate compartments in the engine room or cargo pumproom. This is to ensure the safe operation of the treatmentsystems.

46. The treatment system I intend to buy requiresinerting of the ballast tank – does DNV have specialrequirements regarding that?

A: Yes. Some ballast water treatment systems combine theirtechnology with inerting of the ballast tanks. Inerting of bal-last tanks as part of normal operations represents anincreased risk to personnel in connection with tank entry.

The governing rule with respect to the ballast tanks’ pipingsystem is that it must be possible to over-pump the ballasttanks within the structure’s pressure limits. Pressure drop cal-culations must be submitted for approval.

The following alternatives are acceptable to DNV as ameans to maintain the Inert Gas pressure in the ballast tank:

� Pressure relief loop with discharge directly overboard; or

� 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 arefrequent struggles to achieve adequate levels in the doublebottom area (portable fans with plastic hoses leading to thedouble bottoms are normally required to be arranged priorto tank entry).

The following must be considered when inerting ballasttanks:

� Assessment of the capacity of the P/V-valve during dis-charging (vacuum) and ballasting (pressure relief withwater).

� Arrangements for ventilating the double bottom part ofballast tanks must be provided.

� Inerted ballast tanks to have direct access to the open deck.

� Air and Sounding pipes to be led to the open deck.

� Warning signs to be posted at the ballast tank manholes.

� Safety procedures for entry to the ballast tanks are to beincluded in the ship’s safety manual.

� The risk of leakage from an inerted tank to a non-inertedtank must be considered and identified with relevant pro-cedures in the ship’s safety manuals.

47. What capacity will DNV require of a treatmentsystem compared to the ballast pump capacity?

A: The ballast pump capacity (1 pump) of a ship cannotexceed the capacity (Treatment Rated Capacity, TRC) of thetreatment system, as given in the Type Approval Certificatefor the treatment system.

If two pumps (when the capacity of both pumps exceedsthe TRC of the installed treatment system) are connected tothe treatment system, instructions must be included in theBallast Water Management Plan stating that only one pumpcan be run at a time.

A possible solution when the ballast pump capacity exceedsthe TRC of the treatment system is to install an orifice in theinlet pipe of the treatment system to limit the flow.

48. The manufacturer of the treatment system I intendto buy needs to install a new booster pump to increasethe system’s pressure – what do I need to take intoconsideration when installing such a pump?

A: Some ballast water treatment systems will need new oradditional ballast pumps. Ballast pumps with increased headmay cause some challenges to be considered:

� The suitability of existing flanges to tackle the higher pres-sure in the system; and

� 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 casesof emergency or of internal transfer of the ballastwater?

A: The guidelines for type approval of ballast water treatmentsystems require, in the event of an emergency, suitablebypasses or overrides of the treatment system to be arrangedto protect the safety of the ship and personnel. Such bypassesshould activate an alarm, and the bypass event should berecorded by the treatment system’s Control Equipment. Thealarms are audible and visual signals in all stations fromwhich ballast water operations are controlled.

Any additional possibility to bypass the treatment unit in aballast system must in general be avoided or logged automati-cally in the treatment system’s control unit. This is in generalapplicable in cases of heeling operations or other internalmovement of ballast water in the ship. These operations mustbe identified by the treatment system’s control unit to avoidtriggering the bypass alarm.

Accidental filling and discharging of the ballast water bygravity must be avoided by installing non-return valves on theballast piping between the overboard discharge outlet andthe ballast tanks.

For systems that only treat the ballast water during intake,there are no restrictions on the discharge of water by gravity.

VI – Questions related to the installation of ballast water treatment systems

12

50. What about the aft peak tank on a tanker, should aseparate treatment system be installed for it?

A: In DNV’s opinion, a connection between the aft peak tankand the ballast system in the cargo area is possible.

Connections between the aft peak tank ballast piping andthe ballast system in the cargo area, pump-room or cargopump-room are acceptable provided the following areobserved:

� Water from compartments adjacent to cargo tanks for liq-uids with a flash point not exceeding 60°C is not allowed tobe pumped to the engine room, aft peak tank or other gassafe area unless as accepted specifically by other regula-tions.

� Arrangements for pumping water from the aft peak tank tothe cargo area, pump-room or cargo pump-room areacceptable 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.

51. Will any treatment system be adequate forinstallation on board a tanker if the requirements inquestion 26 are to be met?

A: Ballast water to the aft peak tank must be pumped from anon-hazardous zone (usually the engine room); dischargefrom the aft peak tank can be led to the cargo area (forexample pump room) where it must be treated before beingdischarged overboard.

This means in practice that the treatment system must beable to treat the water to the D-2 standard during one runonly, and the water must have a low enough TRO level (i.e.less than 0.2 mg/L) before being discharged overboard.

52. What are the alternatives to the solution proposed inquestion 26?

There are three alternatives:

� Install a separate treatment system in the engine room ded-icated to the aft peak tank.

� The water from the aft peak tank can be pumped throughthe treatment system in the cargo area, following the prin-ciples laid out in question 26 above, to an empty tank in

the cargo area; this water can then be pumped overboardlike any other ballast water.

� Use fresh water or potable water for the aft peak tank andobtain equivalent compliance with the Convention accord-ing to Regulation A-5 following the G3 Guidelines:Guidelines for ballast water management equivalent com-pliance.

53. What are hazardous areas on tankers and how dothey affect the installation of ballast water treatmentsystems?

A: Due to the fact that they carry liquids with a flash pointbelow 60°C, tankers have areas that are defined as hazardousareas. In those areas, electrical equipment or mechanicalequipment with moving parts that can cause static electricityare not allowed to be installed.

The definition of hazardous areas varies depending on theship’s date of construction.

The hazardous area on tankers that are constructed priorto 1 January 2007 are defined as either gas dangerous or gassafe areas. For those ships, only intrinsically safe electricalequipment is allowed in the gas dangerous areas, apart fromexceptions for luminaries etc, in the pump room.

Tankers that are constructed after 1 January 2007 complywith a newer standard (IEC 60092-502) and their areas aredefined as zone 0, zone 1, zone 2 or a safe area. For thoseships, electrical equipment can be installed in areas for whichit is certified safe.

54. OK, so I am buying a system that is certified for zone1. Can I just install it on my tanker in a hazardous area?

A: Not completely. Depending on the liquid cargo your shipis certified to carry, certain standards must be met before theelectrical 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 oiltankers.

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 asIIC and T6. IIC is typical for stainless steel chemical tankersintended for the carriage of acids (refer to IBC Code Item11.5).

VII – Questions related to the installation onboard tankers

Figure 1 Acceptable connection between the Aft Peak Tank and the cargo area on oil and chemical tankers

55. So, we have the standards and the zones, is thatenough to make a decision on whether or not a systemcan be installed on board a tanker?

A: No. Last but not least, depending on the location of theelectrical equipment, the equipment should be certified asbeing explosion-proof in accordance with the EXia, Ex…standard as required for the different hazardous zones. Foran easy explanation of those standards, refer to DNV RulesPt.4 Ch.8.

56. The explosion-proof standards are applicable whenthe treatment system is installed in the cargo area. Whatif I just install it in the engine room?

A: The engine room is a gas safe area. The transfer of ballastwater from ballast tanks adjacent to cargo tanks carrying liq-uid chemicals or oils with a flash point not exceeding 60°C isnot allowed due to the dangers of gas transfer.

57. So the only way for my ship to have a treatmentsystem is to have it installed in the cargo pump room ora similar space?

A: No. Usually, tankers have their ballast pump rooms withinthe cargo area. Another way of avoiding EX-proof equipmentfor tankers is to use treatment systems that only need to treatthe intake and not the discharge.

In that way, a system installed in the engine room would beable to pump ballast water from a sea chest in the engineroom through the treatment system, up to the open deck anddown to the ballast tanks.

Since the water is then clean, it could easily be dischargedthrough the cargo pump room using the normal ballast system.

The IBC Code Item 3.5.1 already allows for such arrange-ments.

58. So if I have a ship constructed prior to 1 January2007, I can only install the system in the engine room asdescribed above?

A: No. The other possibility is to change the hazardous areaclassification regime from pre-2007 to post-2007.

59. What are the requirements for changing thehazardous 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).

3 – A single line diagram showing intrinsically safe circuitsand data to verify the compatibility between the barrier andthe field component (applies to new equipment only).

4 – A list of explosion-protected equipment with reference todrawings. See also Pt.4 Ch.8 Sec.11, Table B1 (applies tonew equipment only).

5 – A maintenance manual as specified in Sec.8 E101 for elec-trical installations in hazardous areas must be submitted forapproval (applies to old and new equipment).

60. Do you foresee any issues due to the change in thehazardous area regime from pre-2007 to post-2007?

The only ships that may encounter a problem are oil andchemical tankers with transverse deck girders above deck,where openings to the accommodation in the aft of the shipand equipment for and openings to gas safe spaces at thefore of the ship will fall under zone 2 (the extra 1.5mrequired in addition to the 3m of zone 1).

Most oil tankers have the transverse deck girders belowdeck and do not have this problem.

Most chemical tankers with transverse deck girders belowdeck 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.

61. What are the zone classifications of cargo pumprooms, ballast pump rooms, ballast tanks, cargo tanksand closed hazardous spaces on deck?

A: The hazardous classification on board tankers carrying liq-uid products with a flash point not exceeding 60°C is as fol-lows:

1 – Cargo pump room: Zone 1.

2 – Ballast pump room: Zone 2 when not adjacent to a cargotank.

3 – Spaces above, below or adjacent to a cargo tank withoutcofferdam 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 anoil or chemical tanker.

VII – Questions related to the installation onboard tankers

Figure 2 Hazardous area classification 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

14

62. Does DNV certify treatment systems that complywith the different requirements of US states and/or theUS Coast Guard?

A: No. DNV only undertakes the type approval of treatmentsystems according to the IMO regulations.

DNV will only undertake type approval of treatment sys-tems according to the US Coast Guard standards once thosestandards are published.

In principle, DNV will not engage in the certification oftreatment systems or ship’s ballast water management systemsfor compliance with individual US states’ requirements.

63. Will a system type approved for the IMO standard beaccepted in US waters?

A: The US Coast Guard has not yet finished preparing itstreatment system certification requirements or the proce-dures for the acceptance of type approval certificates issuedby other Administrations.

Until it is clear what the US Coast Guard will require ofships calling into US waters, DNV recommends that all shipsplanning to sail into US waters have a ballast water manage-ment plan compatible with the D-1 standard and undergoballast water exchange as required by the D-1 standard andUS Regulations.

64. What are the proposed US Coast Guard standardsand how do they compare to those of the IMO?

A: Table 4 summarises the proposed US Coast Guard require-ments compared to those of the IMO:

65. What are the proposed US deadlines for theinstallation of treatment systems and how do theycompare to those of the IMO?

A: Table 5 summarises the proposed US Coast Guard datesfor the installation of treatment systems compared to those ofthe IMO:

66. Will a system type approved by an Administration orDNV 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 replacementsfor 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 notevaluated against the proposed US Coast Guard standards orany other US state’s standards.

VIII – Questions related to the US standards

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

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

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

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67. I have a pleasure craft used solely for recreation orcompetition or a craft used primarily for search andrescue, less than 50m in length overall and withmaximum ballast water capacity of 8m3. Will my ship berequired to comply with the Convention?

A: Yes, Regulation A-5 of the Convention allows equivalentcompliance with the requirements of the Convention, but noexceptions.

Equivalent compliance must be determined by theAdministration taking into account the G3 Guidelines:Guidelines for ballast water management equivalent compli-ance.

68. I have a ship with a potable/fresh water generatorand 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 Conventionrequires 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 ofprotection to the environment, human health, property orresources and are approved in principle by the Committee.

So in order to use the potable/fresh water system as analternative to a standard treatment system, compliance withthe requirements of Regulation B-3 Item 7 is needed.

DNV is able to work with manufacturers of such systems toestablish compliance with Regulation B-3 Item 7 for such sys-tems.

69. I have a fishing vessel with a Refrigerated Sea Water(RSW) tank. Is the water in the RSW tank subject totreatment?

A: In DNV’s opinion, ballast water as defined in the Con ven -tion Article A-1.2 does not include RSW and as such theConvention is not applicable to RSW.

IX – Questions related to specific ship types

< 1500 m³ • Ballast water

exchange or

treatment until

20161

• Ballast water

treatment only

after 20161

• Phase 1 at first

dry docking after

January 1st 2016

• Ballast water

exchange or

treatment until

20113

• Ballast water

treatment only

from 20113


dry docking after

January 1st 2016

• Ballast water

treatment only


dry docking after

January 1st 2016

• Phase 1 at

delivery

1500 – 5000 m³ • Ballast water

exchange or

treatment until

20142

• Ballast water

treatment only

after 20142


dry docking after

January 1st 2014

• Ballast water

exchange or

treatment until

20113

• Ballast water

treatment only

from 20113


dry docking after

January 1st 2014

• Ballast water

treatment only


dry docking after

January 1st 2014

• Phase 1 at

delivery

> 5000 m³ • Ballast water

exchange or

treatment until

20161

• Ballast water

treatment only

after 20161


dry docking after

January 1st 2016

• Ballast water

exchange or

treatment until

20161

• Ballast water

treatment only

after 20161


dry docking after

January 1st 2016

• Ballast water

treatment only

• Phase 1 at

delivery

Ballast Water

Capacity

Date of construction of ship 4, 5

Before 2009 2009 2009 – 2011 2010 or later 2012 or later

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

DNV (Det Norske Veritas)

NO-1322 Høvik, Norway

Tel: +47 67 57 99 00

Fax: +47 67 57 99 11

www.dnv.com

Contacts in DNV

Section for Cargo Handling and Piping Systems, NACNO880

[email protected] © D

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