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 world’s 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 ship’s 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 ship’s 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 world’s 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:
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
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.

I – General questions related to the Convention

Ballast Water Date of construction of ship 4, 5

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

< 1500 m³ • 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 m³ • 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 m³ • 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 .1 the keel is laid; or
least meets the standard described in Regulation D-2 (i.e. .2 construction identifiable with the specific ship begins; or
treatment) not later than the first intermediate or renewal .3 assembly of the ship has commenced comprising at least
survey, whichever occurs first, after the anniversary date of 50 tonnes or 1 percent of the estimated mass of all
delivery of the ship in 2016. structural material, whichever is less; or
2 The ship shall conduct Ballast Water Management that at .4 the ship undergoes a major conversion.
least meets the standard described in Regulation D-2 (i.e. 5 Major conversion means a conversion of a ship:
treatment) not later than the first intermediate or renewal .1 which changes its ballast water carrying capacity by
survey, whichever occurs first, after the anniversary date of 15 percent or greater, or
delivery of the ship in 2014. .2 which changes the ship type, or
3 The ship shall conduct Ballast Water Management that at .3 which, in the opinion of the Administration, is projected
least meets the standard described in Regulation D-2 (i.e. to prolong its life by ten years or more, or
treatment) not later than the second annual survey, but not .4 which results in modifications to its ballast water system
later than 31 December 2011. other than component replacement-in-kind. Conversion of
4 Constructed in respect of a ship means a stage of construction a ship to meet the provisions of regulation D-1 shall not be
where: deemed to constitute a major conversion for the purpose
of this Annex.

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

II – Questions about the standards of the Convention

16. What does a ship need to do in order to meet the 19. What is the D-2 standard?
D-1 standard? A: The D-2 standard is a ballast water performance standard
A: There are three approved ballast water exchange methods: and refers to regulation D-2 of the Convention. The D-2 stan-
Sequent i a l met hod: a process by which a ballast tank or dard requires that ships discharge:
hold intended for the carriage of ballast water is first emp- I Less than 10 viable organisms per m3 greater or equal to
tied for at least 95% of its volume and then refilled with 50µm in minimum dimension; and
replacement ballast water. I Less than 10 viable organisms per ml less than 50µm in
Fl ow t hr ough met hod: a process by which replacement minimum dimension and greater than or equal to 10µm in
ballast water is pumped into a ballast tank or hold allowing minimum dimension; and
water to overflow through openings on open deck. At least I Indicator microbes not exceeding the following concentra-
three times the tank or hold volume shall be pumped tions:
through the tank or hold. – Toxicogenic Vibrio cholerae (O1 & O139) with less than
Di l ut i on met hod: a process by which replacement ballast 1 colony forming unit (cfu) per 100ml or less than 1 cfu
water is filled through the top of the ballast tank or hold per 1 gram (wet weight) zooplankton samples;
with simultaneous discharge from the bottom at the same – Escherickia coli less than 250 cfu per 100ml;
flow rate and maintaining a constant level in the tank or – Intestinal Enterococci less than 100 cfu per 100ml.
hold. At least three times the tank or hold volume shall be
pumped through the tank or hold. 20. What if I want to exchange ballast water if
the treatment system malfunctions?
17. Where do I find more information on the methods A: In principle, the Convention does not allow for the use of
described above? exchange methods when the requirement is to treat the water
A: The IMO has so far published 14 guidelines on the uni- according to the D-2 standard. Exchange will not be men-
form implementation of the Convention. tioned as a management method in the International Ballast
The Guidelines applicable to ballast water exchange are Water Management Certificate (IBWM Certificate).
G6: Guidelines for ballast water exchange and G11: Guidelines for However, a port state controller may see it as positive that a
ballast water exchange design and construction standards. ship has exchanged ballast water according to the D-1 stan-
dard instead of just bypassing the treatment system in cases of
18. What type of documentation is needed to prove malfunction.
that my ship meets the D-1 standard? In DNV’s opinion, the Ballast Water Management Plan
A: You should submit a ballast water management plan (BWM Plan) should include only the methods that are
(BWM Plan) that complies with the standards defined in acceptable for the IBWM Certificate in order to avoid confu-
Guidelines G4: Guidelines for ballast water management and the sion. DNV nevertheless recommends that the BWM Plan
development of ballast water management plans. 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 23. Do I need to have a different BWM Plan for the
acceptable BWM Plan? D-1 standard and the D-2 standard?
A: Yes, DNV has developed an easy–to-use template for a A: No. DNV’s template includes both standards. During the
BWM Plan that is free of charge. You can download the tem- transition period between the date when the Convention
plate from www. dnv . c om, through your Exchange server or enters into force and the date when the ship must meet the
by contacting any of the 190 DNV offices around the world. D-2 standard, both D-1 and D-2 standards can be used.
DNV’s contact numbers are given at the end of this docu-

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.

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 6 Treatment may be accepted. Owners 11 No ballast water can be discharged
accordance with IMO guidelines are advised to consult with the port in the Panama Canal
2 Ballast water exchange is required to authorities first 12 All ballast water must be exchanged
be performed in accordance with 7 All ships entering the coast of Israel at least 12nm from the Peruvian
Regulation B-4 of the Convention, have to exchange the ballast water coast. The requirement also applies
meeting the standard of Regulation beyond any continental shelf or fresh to ballast water taken up in a
D-1 of the Convention water current effect Peruvian port.
3 Exemptions are given to Offshore 8 All ships coming to the Baltic Sea 13 In addition to the Ballast Water
Supply Vessels have to exchange ballast in the Management Plan, a Ballast Water
4 Approved by the Administration North Sea Notification must be submitted to
5 Ballast Water Exchange is required to 9 Ships are required to clean the bal- the Maritime Authority
be performed in accordance with last water either onboard or onshore 14 All ballast must be exchanged in the
Regulation B-4 of the Convention; no 10 A ballast declaration must be submit- Black Sea before arriving to
6 standards are mentioned ted before entering the port Novorossiysk
IV – Questions about certification of vessels and national requirements

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

Treatment Ballast Water Ballast Water Entry Additional information
Management Plan Record Book into force

Yes1 Yes Yes 1998 See
Recommended 2001 See
Yes4 Yes 2006 See
2009-11-01 For more information, refer to document
Yes Yes 2000 See
Yes 1995


Advised Advised See HELCOM (Helsinki Commission)
Yes21 Yes21 Yes21 2011-09-27 See notice Nr.MSN 28/2011
No 10
Yes 1998 See
Yes1 Yes4 Yes 2010-07-01 See
1999 See
Yes13 Yes See
2006 See

Yes16 See
Yes19 2004 See

15 All ships arriving to a port in Ukraine 18 Approved ballast water treatment 21 Through notice MSN 28/2011,
must have exchanged the ballast methods. Contact the US Coast Guard Malaysia announces the entry into
water in the Black Sea to find out if the installed treatment force of the full requirements of the
16 Ships must apply for discharging bal- system is approved or not BWM Convention for all ships with
last water in the ports 19 Ballast reports are required to be Malaysia flag and ships operating in
17 All ships entering US EEZ (Exclusive submitted to the US authorities Malaysia water as of 2011-09-27.
Economic Zone) except passenger 20 See
ships equipped with ballast water for more details on ship types and
treatment systems and crude oil requirements for exchange and
tankers engaged in US coastwise delivery to reception facilities

V – Questions related to ballast water treatment systems

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

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


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


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

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

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

I Assessment of the capacity of the P/V-valve during dis- Accidental filling and discharging of the ballast water by
charging (vacuum) and ballasting (pressure relief with gravity must be avoided by installing non-return valves on the
water). ballast piping between the overboard discharge outlet and
I Arrangements for ventilating the double bottom part of the ballast tanks.
ballast tanks must be provided. For systems that only treat the ballast water during intake,
there are no restrictions on the discharge of water by gravity.
I Inerted ballast tanks to have direct access to the open deck.
I Air and Sounding pipes to be led to the open deck. 50. What documentation is required to be submitted
I Warning signs to be posted at the ballast tank manholes. when a treatment system is intended to be retro-fitted
onboard a ship:
I Safety procedures for entry to the ballast tanks are to be
included in the ship’s safety manual. Piping system
I The risk of leakage from an inerted tank to a non-inerted 1 – P&ID of the ballast system including any connections to
tank must be considered and identified with relevant pro- it from other systems (bilge, fire etc.) if pumps to those
cedures in the ship’s safety manuals. systems can be used for ballast.
2 – Arrangement of all units and auxiliary systems with
47. What capacity will DNV require of a treatment hazardous potentials or with critical importance for the
system compared to the ballast pump capacity? functioning of the treatment system.
A: The ballast pump capacity (1 pump) of a ship cannot
Electrical system
exceed the capacity (Treatment Rated Capacity, TRC) of the
3 – Drawings of the MSB modification
treatment system, as given in the Type Approval Certificate
4 – Updated electric load balance
for the treatment system.
5 – Updated electrical power single line diagram
If two pumps (when the capacity of both pumps exceeds
6 – Selectivity evaluation of the largest new breakers intro-
the TRC of the installed treatment system) are connected to
duced into the main switchboard vs. the generator breakers.
the treatment system, instructions must be included in the
7 – It should be evaluated whether new short circuit calcula-
Ballast Water Management Plan stating that only one pump
tions are found necessary; if this is found relevant these
can be run at a time.
should be evaluated by the designers and a conclusion with
A possible solution when the ballast pump capacity exceeds
regard to: breakers currently installed in the switchboard
the TRC of the treatment system is to install an orifice in the
and new breakers introduced (making/breaking capacities).
inlet pipe of the treatment system to limit the flow.
The necessity of this document depends on the current
48. The manufacturer of the treatment system I intend installation, the difference between the short circuit level and
to buy needs to install a new booster pump to increase the breakers making/breaking capacities on existing installa-
the system’s pressure – what do I need to take into tion and the newly introduced equipment (loads supplied
consideration when installing such a pump? via variable frequency drives will for instance not affect the
short circuit currents – hence it will not give an increase
A: Some ballast water treatment systems will need new or
which in turns will not require a new calculation to be per-
additional ballast pumps. Ballast pumps with increased head
formed, on the other hand directly supplied motors will
may cause some challenges to be considered:
effect, whether or not the contribution is relevant may be
I The suitability of existing flanges to tackle the higher pres- considered based on the existing installation and how it is
sure in the system; and dimensioned.)
I New pressure drop calculations for the air pipes of the bal- This evaluation should be received and taken into consid-
last tanks in case the flow rate increases. eration together with the other relevant electrical documen-
49. Is it allowed to bypass the treatment system in cases
of emergency or of internal transfer of the ballast Control system
water? 8 – System block diagram
A: The guidelines for type approval of ballast water treatment 9 – Power supply arrangement
systems require, in the event of an emergency, suitable 10 – List of controlled and monitored points
bypasses or overrides of the treatment system to be arranged 11 – Description of interface towards the ship’s existing
to protect the safety of the ship and personnel. Such bypasses systems
should activate an alarm, and the bypass event should be
Structure and Stability
recorded by the treatment system’s Control Equipment. The
12 – Depending on the ratio of the added weight to the
alarms are audible and visual signals in all stations from
ship’s light weight, new stability calculations may be
which ballast water operations are controlled.
required. Please inform of the total weight added.
Any additional possibility to bypass the treatment unit in a
13 – Any reinforcements needed due to the added elements
ballast system must in general be avoided or logged automati-
may be required to be approved. Please inform whether
cally in the treatment system’s control unit. This is in general
new strengthening structure is added or not.
applicable in cases of heeling operations or other internal
movement of ballast water in the ship. These operations must
be identified by the treatment system’s control unit to avoid
triggering the bypass alarm.

VII – Questions related to the installation onboard tankers

51. What about the aft peak tank on a tanker, should a the cargo area; this water can then be pumped overboard
separate treatment system be installed for it? like any other ballast water.
A: In DNV’s opinion, a connection between the aft peak tank I Use fresh water or potable water for the aft peak tank and
and the ballast system in the cargo area is possible. obtain equivalent compliance with the Convention accord-
Connections between the aft peak tank ballast piping and ing to Regulation A-5 following the G3 Guidelines:
the ballast system in the cargo area, pump-room or cargo Guidelines for ballast water management equivalent com-
pump-room are acceptable provided the following are pliance.
I Water from compartments adjacent to cargo tanks for liq- 54. What are hazardous areas on tankers and how do
uids with a flash point not exceeding 60°C is not allowed to they affect the installation of ballast water treatment
be pumped to the engine room, aft peak tank or other gas systems?
safe area unless as accepted specifically by other regula- A: Due to the fact that they carry liquids with a flash point
tions. below 60°C, tankers have areas that are defined as hazardous
areas. In those areas, electrical equipment or mechanical
I Arrangements for pumping water from the aft peak tank to
equipment with moving parts that can cause static electricity
the cargo area, pump-room or cargo pump-room are
are not allowed to be installed.
acceptable provided the following are met:
The definition of hazardous areas varies depending on the
– Two non-return valves mounted in series or an equivalent
ship’s date of construction.
arrangement are installed; and
The hazardous area on tankers that are constructed prior
– All connections between the aft peak tank and the cargo
to 1 January 2007 are defined as either gas dangerous or gas
area, pump-room or cargo pump-room must be led
safe areas. For those ships, only intrinsically safe electrical
above deck with penetrations to the pump-room and aft
equipment is allowed in the gas dangerous areas, apart from
peak tank from the main deck level. Penetrations of the
exceptions for luminaries etc, in the pump room.
engine room/pump-room bulkhead are not acceptable.
Tankers that are constructed after 1 January 2007 comply
Figure 1 is an illustration of the above understanding. 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
52. Will any treatment system be adequate for
ships, electrical equipment can be installed in areas for which
installation on board a tanker if the requirements in
it is certified safe.
question 51 are to be met?
A: Ballast water to the aft peak tank must be pumped from a 55. OK, so I am buying a system that is certified for zone
non-hazardous zone (usually the engine room); discharge 1. Can I just install it on my tanker in a hazardous area?
from the aft peak tank can be led to the cargo area (for A: Not completely. Depending on the liquid cargo your ship
example pump room) where it must be treated before being is certified to carry, certain standards must be met before the
discharged overboard. electrical equipment can be installed.
This means in practice that the treatment system must be Ships are measured against two standards: for the appara-
able to treat the water to the D-2 standard during one run tus group and the temperature.
only, and the water must have a low enough TRO level (i.e. The apparatus group standard is given as IIA, IIB or IIC.
less than 0.2 mg/L) before being discharged overboard. The temperature group standard is given as T1, T2… T6.
However, T3 is the minimum standard required for oil
53. What are the alternatives to the solution proposed in
question 51?
For an easy explanation of what these standards refer to,
There are three alternatives: consult the IBC Code Item 21.4.9.
I Install a separate treatment system in the engine room ded- The minimum SOLAS requirements for oil tankers are IIA,
icated to the aft peak tank. T3. For chemical tankers, those standards may be as high as
I The water from the aft peak tank can be pumped through IIC and T6. IIC is typical for stainless steel chemical tankers
the treatment system in the cargo area, following the prin- intended for the carriage of acids (refer to IBC Code Item
ciples laid out in question 26 above, to an empty tank in 11.5).

Figure 1 Acceptable connection between the Aft Peak Tank and the cargo area on oil and chemical tankers
VII – Questions related to the installation onboard tankers

56. So, we have the standards and the zones, is that 3 – A single line diagram showing intrinsically safe circuits
enough to make a decision on whether or not a system and data to verify the compatibility between the barrier and
can be installed on board a tanker? the field component (applies to new equipment only).
A: No. Last but not least, depending on the location of the 4 – A list of explosion-protected equipment with reference to
electrical equipment, the equipment should be certified as drawings. See also Pt.4 Ch.8 Sec.11, Table B1 (applies to
being explosion-proof in accordance with the EXia, Ex… new equipment only).
standard as required for the different hazardous zones. For 5 – A maintenance manual as specified in Sec.8 E101 for elec-
an easy explanation of those standards, refer to DNV Rules trical installations in hazardous areas must be submitted for
Pt.4 Ch.8. approval (applies to old and new equipment).
57. The explosion-proof standards are applicable when 61. Do you foresee any issues due to the change in the
the treatment system is installed in the cargo area. What hazardous area regime from pre-2007 to post-2007?
if I just install it in the engine room?
The only ships that may encounter a problem are oil and
A: The engine room is a gas safe area. The transfer of ballast chemical tankers with transverse deck girders above deck,
water from ballast tanks adjacent to cargo tanks carrying liq- where openings to the accommodation in the aft of the ship
uid chemicals or oils with a flash point not exceeding 60°C is and equipment for and openings to gas safe spaces at the
not allowed due to the dangers of gas transfer. fore of the ship will fall under zone 2 (the extra 1.5m
58. So the only way for my ship to have a treatment required in addition to the 3m of zone 1).
system is to have it installed in the cargo pump room or Most oil tankers have the transverse deck girders below
a similar space? deck and do not have this problem.
Most chemical tankers with transverse deck girders below
A: No. Usually, tankers have their ballast pump rooms within
deck have a raised forecastle and openings to accommoda-
the cargo area. Another way of avoiding EX-proof equipment
tion far from the cargo area; they do not have a problem.
for tankers is to use treatment systems that only need to treat
Ships for which the change-over procedure will be prob-
the intake and not the discharge.
lematic will be handled on a case-by-case basis by DNV.
In that way, a system installed in the engine room would be
able to pump ballast water from a sea chest in the engine 62. What are the zone classifications of cargo pump
room through the treatment system, up to the open deck and rooms, ballast pump rooms, ballast tanks, cargo tanks
down to the ballast tanks. and closed hazardous spaces on deck?
Since the water is then clean, it could easily be discharged A: The hazardous classification on board tankers carrying liq-
through the cargo pump room using the normal ballast system. uid products with a flash point not exceeding 60°C is as fol-
The IBC Code Item 3.5.1 already allows for such arrange- lows:
1 – Cargo pump room: Zone 1.
59. So if I have a ship constructed prior to 1 January 2 – Ballast pump room: Zone 2 when not adjacent to a cargo
2007, I can only install the system in the engine room as tank.
described above? 3 – Spaces above, below or adjacent to a cargo tank without
A: No. The other possibility is to change the hazardous area cofferdam separation: Zone 1.
classification regime from pre-2007 to post-2007.
4 – Cargo tank: Zone 0.
60. What are the requirements for changing the 5 – Closed hazardous space on deck:
hazardous area regime from pre-2007 to post-2007? Zone 1 if openings or doors into zone 1.
A: The following must be submitted for approval: Zone 2 if built in a safe zone with ballast water flowing
1 – Area classification drawings for the complete ship. through it.

2 – Drawings showing the location of all the electrical equip- Figure 2 illustrates the classification of hazardous areas on an
ment in hazardous areas (applies to old and new equip- 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
Figure 2 Hazardous area classification on an oil or chemical tanker being in zone 1.
VIII – Questions related to the US standards

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

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

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

IX – Questions related to specific ship types

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

Ballast Water Date of construction of ship 4, 5

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

< 1500 m³ • 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 m³ • 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 m³ • 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
DNV (Det Norske Veritas)
NO-1322 Høvik, Norway
Tel: +47 67 57 99 00
Fax: +47 67 57 99 11

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