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Q. BALLAST WATER MANAGEMENT: WHAT WE NEED TO KNOW AND HOW TO COMPLY?

*Ballast water management convention:
The International Convention for the Control and Management of Ships’ Ballast Water and Sediments (BWM
Convention) was adopted on 13 February 2004.
The BWM Convention finally entered into force on 8 September 2017.
Purpose
Ballast water is essential to control trim, list, draft, stability, or stresses of the ship.
However, ballast water may contain aquatic organisms or pathogens, which, if introduced into the sea
including estuaries, or into freshwater courses, may create hazards to the environment, human health,
property or resources, impair biological diversity or interfere with other legitimate uses of such area.
IMO has developed guidelines for the development and implementation of a ballast water management on
board ship aiming to assist governments, appropriate authorities, ships masters, operators, owners and port
authorities, as well as other interested parties, in the preventing, minimizing and ultimately eliminating the
risk of introducing harmful aquatic organisms and pathogens from ship’s ballast water and associated
sediment while protecting ship’s safety.
The selected methods of ballast water management take into account the need to ensure that ballast water
management practices used to comply with this convention do not cause greater harm than they present to
the environment, human health, property or resources of any state and the safety of the ship.
It is estimated that at least 7,000 different species are being carried in ship’s ballast tanks around the world
*Application of ballast water management convention
The convention applies to all the ships of a state that has ratified the convention and that carry ballast.
There are few logical exemptions such as a ship that carries permanent ballast in sealed tanks on ships, that
is not subject to discharge.
Ballast water convention does not apply to such ships.
*Ballast water standards
Ballast water convention is all about pollution from ballast water from one location discharged into different
ecology.
Ballast water management convention would require us to treat the ballast water in ways that it becomes
less harmful or not harmful at all.
Ballast water management (BWM) convention provides two ways of doing that.
These methods are provided in section D of the ballast water management (BWM) convention namely D1
AND D2.
*Ballast water exchange standard (regulation d1)
The first standard is to replace the ballast water in mid sea.
This method is based on the fact that the invader species from coastal water cannot survive in deep waters
and deep-water species cannot survive in coastal waters.
When replacing the ballast water at deep sea, BWM convention regulation D1 requires that at least 95% of
the ballast water need to be exchanged.
And there are two ways to do that.
The first method is to deballast at least 95% of the volume of ballast water from the tank and then re-fill it.
This is called the “Sequential method or simply Pump-in, pump-out method)”.
For example, let us say we need to exchange the ballast water from a ballast tank that has 1000 m3 of
ballast.
In this case, we need to deballast at least 950 m3 of ballast and then refill it.
Actually, we need to deballast as much as possible. 5% is just allowed for the unpumpable ballast.
The second method is to keep on ballasting the ballast tank and keep on overflowing the ballast water from
ballast tank through air pipe or other openings of the ballast tank.
For the flow-through method, BWM convention regulation D1 requires to pump in 3 times of the ballast tank
capacity to achieve 95% of the volumetric exchange.
*Ballast water performance standard (regulation d2)
The first ballast water standard is temporary and ultimately all ships need to arrive at ballast water
performance standard (regulation D-2).
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This second ballast water standard is more scientific in words.

It aims to control the number of actual species (in simpler word micro-organisms) that can be discharged.
Ships conducting ballast water management must discharge fewer than 10 viable organisms per cubic metre
that are greater than or equal to 50 micrometers in minimum dimension and fewer than 10 viable organisms
per millilitre that are less than 50 micrometers in minimum dimension and greater than or equal to 10
micrometers in minimum dimension; and discharge of the indicator microbes must not exceed the specified
concentrations.
The indicator microbes, as a human health standard, include, but are not limited to:
1. Toxicogenic vibrio cholerae (O1 and O139) with less than 1 colony-forming unit (cfu) per 100 millilitres or
less than 1 cfu per 1-gram (wet weight) zooplankton samples.
2. Escherichia coli – less than 250 cfu per 100 millilitres.
3. Intestinal enterococci – less than 100 cfu per 100 millilitres.
This can only be achieved by a Ballast water treatment system.
This system is fitted before the ballast overboard and it treats the ballast water to the required standards
before the ballast water goes overboard.
*Criteria for ballast water exchange (regulation b-4)
To achieve ballast water standard as per regulation D-1, the vessel needs to exchange the ballast in the mid
sea.
BWM convention regulation B-4 provides the criteria for deep sea where the ballast exchange needs to be
carried.
The Convention requires that vessel should conduct ballast water exchange:
•At least 200 nm from the nearest land and in water at least 200 m in depth; if this is not possible
•As far from the nearest land as possible, and in all cases at least 50 nm from the nearest land and in water
at least 200m in depth.
•In sea areas designated by the Port State.
All local and / or national regulation should be taken into consideration as they may specify other depths and
distances from land.
A ship will not be required to deviate from its intended voyage or delay the voyage in order to comply with
any particular requirement as stated above.
In addition, if the master decides reasonably that an exchange would threaten the safety or stability of the
ship, its crew or its passenger because of adverse weather, ship design or stress, equipment failure, or any
other extraordinary condition he is not required to comply with above paragraphs.
*ballast water management plan
BWM convention, regulation B-1 requires the ships to have an approved Ballast water management plan.
The ballast water management plan is a ship specific plan and has all the details related to the compliance
with BWM convention.
For example, it lists if the regulation D-1 is applicable to the vessel or regulation D-2.
In the case of regulation D-1, the approved process of achieving 95% of volumetric exchange of ballast will
be provided in the BWM plan.
It would also contain the safety consideration for ballast water exchange.
For example, the information about the set of ballast tanks that can be exchanged together along with the
ship’s stability during this process.
If regulation D-2 is applicable, then the BWM plan would contain the information about Ballast water
treatment system.
And the BWM plan provides information about the handling of sediments from the ballast water tanks.
*Ballast water record book
BWM convention regulation B-2 requires the ships to have on board a “Ballast water record book”.
An entry needs to be made for each activity related to the ballast water.
Below are the entries that need to be made
●When Ballast Water is taken on board
●Whenever Ballast Water is circulated or treated for Ballast Water Management purposes
●When Ballast Water is discharged into the sea
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●When Ballast Water is discharged to a reception facility

●Accidental or other exceptional uptake or discharges of Ballast Water
●Additional operational procedure and general remarks
Codes given in the beginning pages of the ballast water record book need to be used for making entries.
*International ballast water management certificate
BWM convention regulation e-2 requires that the ship that complies with the requirements of the
conventions be issued with a certificate.
The international ballast water management certificate is issued after the successful initial survey of that
vessel.
The initial survey is carried out to verify that
●The ship’s ballast water management plan complies with the requirements of the convention.
●The equipment and procedures comply with the requirements of the convention.
The ballast water management certificate is valid for 5 years subject to the annual surveys.
The annual survey is carried out each year within three months before or after each anniversary date.
Apart from that, an Intermediate survey is carried out within three months before or after the second or
third-anniversary date of the certificate.
Compliance with BWM convention
First, we need to have on board
●A valid “International Ballast water management certificate”; and
●An approved “Ballast water management plan”.
Second, we need to know if the vessel is required to comply with D-1 standards or D-2 standards.
The ballast water management certificate provides this information.
If the method employed is as per regulation D-1, then we must ensure that ballast is exchanged as per the
procedures mentioned in the BWM plan.
If the method employed is as per regulation D-2, that is, the vessel is fitted with a BWM system then we
must have a type approval certificate for such a system.
Vessel needs to record all activities related to the ballast water in the “Ballast water record book”.
And finally, ship’s crew need to be aware of and trained about their responsibilities as per the ballast water
management convention.
A training record for the training of all of those involved with ballast operations would help show
compliance.
Once these points are taken care of, the vessel can be expected to comply with ballast water management
convention.
*Operation of the ballast water management system
Ballast water exchange in open water and the need to for exchange should be carefully examined and
prepared in advance, in a similar manner to the preparation of a cargo plan for a loaded voyage, and with
the same degree of thoroughness.
There are three methods of Ballast Water exchange which have been evaluated and accepted by the
Organization.
The three methods are the sequential methods, the flow-through method and dilution method. The flow-
through method and the dilution method are considered as “pump through” methods.
*Sequential method
The “Sequential Method” is a process by which a ballast tank intended for the carriage of ballast water is first
emptied and then refilled with replacement ballast water to achieve at least a 95% percent volumetric
exchange. In each tank, all the ballast water should be discharged until suction of the pump is lost, and
stripping pumps or Eductors should be used if possible. This is to avoid a possible situation, where organisms
are left in the bottom part of the tank, the tank is refilled with new water which may allow re-emergence of
organisms.
The sequential method requires careful planning and monitoring by the ship’s staff to mitigate risks to the
ship in respect of:
●longitudinal strength

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●dynamic loads
●excessive trim
●bottom forward slamming
●propeller emergence
●intact stability; and
●bridge visibility
At the same time ship stuff should be taking account ship’s position in relation to the land, navigational
hazards, shipping density, current and forecast weather, machinery performance and degree of crew fatigue,
before proceeding for exchange. If any factors are considered unfavorable the ballast exchange should be
suspended or halted.
*Flow through method
Flow-through Method is a process by which replacement ballast water pumped into a Ballast tank intended
for the carriage of ballast water, allowing water to flow through overflow or other arrangements to achieve
at least 95% percent volumetric exchange of ballast water.
Pumping through three times the volume of each ballast water tank usually shall be considered to meet the
standard described above. Pumping through less than three-time volume may be accepted provided the ship
can demonstrate that at least 95% percent volumetric exchange is met.
The flow-through method has the advantage that it can be used in weather conditions which would be
marginal for the use of the sequential method since there is little change to the condition of the ship and is
relatively easy to follow by ship stuff. However, the Flow-through method introduces certain other risks and
problems which may be considered before using this procedure.
The disadvantage is that not all tanks are designed with a head to the top of the overflow. Moreover, some
tank configurations can be difficult to flush through effectively, in particular, cellular double bottom spaces
and peak tanks. There is a danger of over pressurization of tanks and there can be an accumulation of water
on deck, which in sub-zero temperature conditions make the method impractical and dangerous for the
crew.
In addition, pumps and piping will experience an increase in workload. Where peak tanks are partially filled,
the flow through method should be avoided unless any inadvertent exceeding of the design partially filling
levels will not result in hull girder bending moments and shear forces exceeding the permissible values.
*Dilution method
Dilution method is a process by which replacement ballast water is filled through the top of the ballast tank
intended for the carriage of ballast water with simultaneous discharge from bottom at same flow rate and
maintaining a constant level in the tank throughout the ballast exchange operation to achieve at least 95%
percent volumetric exchange of ballast water.
Pumping through three times the volume of each ballast water tank usually shall be considered to meet the
standard described above. Pumping through less than three times the volume may be accepted
Treatment systems
The BWMS includes Ballast Water Treatment Equipment, all associated Control Equipment and Sampling
Facilities.
Ballast Water Treatment Equipment is equipment which mechanically, physically, chemically, or biologically
processes, either singularly or in combination, to remove, render harmless, or avoid the uptake or discharge
Harmful Aquatic Organisms and Pathogens within Ballast Water and Sediments. Ballast Water Treatment
Equipment may be operated at the uptake or discharge of ballast water, during the voyage, or at a
combination of these events. Ballast water management systems installed on board should ensure in
addition to compliance with the convention requirements, to be type approved and relevant certificates to
be readily available on board. When such a system is fitted on board it should be operated in accordance
with the system design criteria and manufactures operational and maintenance instructions as contained in
the relevant booklets. When the system encounter failure and / or malfunctions, these are to be recorded in
the ballast record book.
Ballast water sampling points
Compliance monitoring may be undertaken by authorized officers (e.g. Port State Control), by taking and
analyzing ballast water and sediment samples from the ship.
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There is unlikely to be any need for crew members to take sample except at the express request, and under
the supervision, of an authorized officer. Authorized officers must be advised of all safety procedure to be
observed when entering enclosed spaces.
Where ballast water or Sediment sampling for compliance or effectiveness monitoring is being undertaken,
the time required to analyze the samples shall not be used as a basis for unduly delaying the operation
movement or departure of the ship. When sampling for research or compliance monitoring, authorized
officer (e.g. Port State Control) should give as much notice to the master as possible that sampling will occur,
to assist the Master.
r in planning staffing and operation resource to assist. The Master has a general obligation to provide
reasonable assistance for the above monitoring and information pertaining to ballast arrangements and
sampling points.
Port State Authorities should indicate to the master or responsible officer the purpose for which the sample
is taken (i.e. Monitoring, research or enforcement). Port State Authorities may sample or require the sample
to analyze ballast water and sediment, before permitting a ship to discharge its ballast water.
Precautionary practices
A. Minimizing uptake of harmful aquatic organisms, pathogens and sediments.
When loading ballast, every effort should be made to avoid the uptake of potentially harmful aquatic
organisms, pathogens and sediment that may contain such organisms.
The uptake of ballast water should be minimized or, where practicable, avoid areas and situations such as:
●Area identified by the port state in connection with advice relating to:
●Areas with outbreaks, infestations or known populations of harmful organisms and pathogens.
●Areas with current phytoplankton bloom (algal blooms, such as red tides):
●Nearby sewage outfalls:
●Nearby dredging operations:
●When a tidal stream is known to be the more turbid: and
●Areas where tidal flushing is known to be poor.
●In darkness when bottom-dwelling organisms may rise up in the water column;
●In every shallow water; or
●Where propellers may stir up sediments.
●If it is necessary to take on and discharge ballast water in the same port to facilitate safe cargo operations,
care should be taken to avoid unnecessary discharge of ballast water that has been taken up in another port.
●Minimize departure and arrive ballast quantities but always within the constraints of safe navigation.
B. Non-release or minimal release of ballast water
In the case where ballast exchange or other treatment options are not possible, ballast water may be
retained in tanks or holds, should this not be possible, the ship should only discharge the minimum essential
amount of ballast water in accordance with port state’s contingency strategies.
C. Discharge to reception facilities
If reception facilities for ballast water and / or sediment are provided by a port state, they should, where
appropriate, be utilized.
Procedures for disposal of sediment
Where practicable routine cleaning of the ballast tank to remove sediments, should be carried out in mid-
ocean or under a controlled arrangement in port or dry dock.
When sediment has accumulated consideration should be given to flushing tank bottoms and other surfaces
when in suitable areas, i.e. Outside 200 nautical miles from land and in a water depth of over 200 meters.
The volume of sediment in a ballast tank should be monitored on a regular basis.
Sediment in ballast tanks should be removed on a timely basis and as found necessary always taking into
account safety and operational considerations addressed in this manual. The frequency and timing of
removal will also depend on factors such as Sediment build up, ship’s trading pattern, availability of
reception facilities, the workload of the ship personnel and safety consideration. Removal of the sediment
from ballast tank should preferably be undertaken under controlled conditions in port, at a repair facility or
in dry dock. The removed sediment should be preferably be disposed of in a sediment reception facility if
available reasonable and practicable. Flushing by using water movement within a tank to bring sediment into
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suspension will only remove a part of the mud, depending on the configuration of an individual tank and its
piping arrangement.
Removal may be more appropriate on a routine basis during scheduled dry dockings. However, flushing at
sea may be a useful tool on some occasions such as when a ship changes its trading area.
When sediment is removed from the ship’s ballast tanks and is to be disposed of by that ship at sea such
disposal should only take place in an area outside 200 nautical miles from land and in a water depth of over
200 meters. When ballast tanks have been cleaned to remove sediment, a record should be entered into the
ballast water handling log.
Duties of ballast water management officer
Duties of the appointed officer in charge of ballast water management:
●Ensure that ballast water management and / or treatment procedures are follow and recorded.
●Where ballast exchange is required, follow the applicable Ballast Exchange Sequence (BES), or develop a
new BES on the basis of ship’s assessment criteria, the condition of hull, equipment and weather forecast.
●Ensure adequate and enough personnel and equipment are available for the execution of the BES and / or
treatment.
●Ensure that the steps / sequences of the BES are followed in the prepared order.
●Inform the shore management on commencement / interruption / completion of ballast water exchange,
using the Notification Form.
●Maintain the Ballast Water Record Book and all other relevant / applicable documentation.
●Prepare the appropriate national or port Ballast Water Declaration Form prior to arrival at destination.
●Assist the port state control or quarantine officers for any sampling that may need to be undertaken.
●Undertake familiarization and training of crew in ballast water management requirements and applicable
shipboard systems and procedures.
●Other duties specified by the Company.
The Master must ensure that the ballast Water Management Plan is clearly understood by the appointed
officer and by any other ship stuff that may be involved. The duty officer must keep the Master advised on
the progress of the plan from time to time. Should there be any doubt, or if the management plan does not
keep to the schedule, Master shall be advised accordingly.
Safety procedures for the ship and the crew
Exchange at sea
The exchange of ballast water in open sea has to be distinguished from ballast operation carried out in ports
or sheltered waters.
Ballast water operation at sea has the potential to be more hazardous than ballast water operations carried
out in port.
A decision should be made at the completion of each sequence, taking account factors such as the ship’s
position, weather forecast, machinery performance, stability, strength, the degree of crew fatigue, before
proceeding to the next sequence.
If any factors are considered unfavorable, the ballast exchange a decision should be made if exchange
operations should be suspended until conditions become favorable or halted. Contingency procedures for
situations which may affect ballast water exchange at sea, including deteriorating weather conditions, pump
failure and loss of power ; time to complete the ballast exchange for each tank or an appropriate sequence
thereof ; continual monitoring of the ballast water operation ; monitoring should include pumps, level in
tanks, line and pump pressures, stability and stresses.
Safety considerations
Ballast water exchange has a number of safety considerations these include but is NOT limited to:
●Avoidance of over and under-pressurization of ballast tanks;
●Sloshing loads in tanks that may be slack at any one time;
●Maintain adequate intact stability in accordance with an approved trim and stability booklet taking into
account the free surface effects on stability;
●Permissible seagoing strength limits of shear forces and bending moments in accordance with an approved
loading manual;
●Torsional forces
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●Forward and aft drafts and trim, with particular reference to bridge visibility
●Propeller immersion;
●Minimum forward draft
●Wave-induced huh vibrations when performing ballast water exchange;
●Watertight closures (e.g. Manholes) which may have to be opened during ballast exchange must be re-
secured; crew safety is paramount during this operation. Provision of discharging pipe head on the manhole
cover is suggested.
●Maximum pumping / flow rates – to ensure the tank is not subjected to a pressure greater than that for
which it has been designed.
●Internal transfers of ballast;
●Admissible weather conditions;
●Weather routeing in area reasonably affected by cyclones, typhoons, hurricanes, or heavy icing conditions;
Sequential method
●Hull girder damage due to insufficient longitudinal strength.
●Adverse effects on ship’s stability due to free surface effects resulting in a reduction of ship’s GM while
emptying ballast water tanks or holds originally in a filled or partially filled condition in order to achieve
exchange.
●Structural damage to ship bottom forward caused by insufficient forward draft,
●Impermanent of manoeuvrability and / or ability to make headway; caused by insufficient after the draft, as
a result of emptying after ballast water tanks or holds originally in a filled condition or filling partially filled
forward water ballast tanks in order to achieve exchange.
●Reduction of bridge visibility forward caused by insufficient forward draft, as a result of emptying forward
ballast water tanks or holds originally in a filled condition or filling partially filled aft water ballast tanks in
order to achieve exchange.
●Structural damage to topside and hopper side tanks caused by inertia loading, as a result of a full of a full
ballast hold with empty adjacent wing tanks.
●Structural damage to partially filled ballast water tanks or holds caused by sloshing as a result of resonance
with ship motion.
Flow through method
●Accumulation of water on decks which can cause a safety hazard to crew working on deck. (Effect on
stability may be negligible)
●In order to avoid over and under-pressure of the ballast tanks, the Master should ensure that the Air Vents
of the tanks are at all times properly maintained and in good operating condition.
●Where the flow through method is to be undertaken and there are slack ballast tanks in the certain ballast
condition, the appointed Ballast Water Management Officer should first ensure that accidental filling of the
partially filled tanks does not result in hull girder bending moments and shear force exceeding the
permissible values.
●In order to avoid over and under-pressure of the ballast tanks, the Master should ensure that the manholes
of the specific ballast tanks are opened prior to the commencement of the flow through method of the
ballast exchange for the top side tanks, as mentioned in the Ballast Exchange Sequences.
Care should be taken that the manholes are closed after termination of the flow through of subject tanks.
Conditions under which ballast water exchange at sea should not be undertaken
This circumstance may result from critical situations of an exception nature or force majeure due to the
stress of weather, known equipment failures or defects, or any other circumstances in which human life or
safety of the ship is threatened.
Ballast water exchange at sea should be avoided in freezing weather conditions. However, when it is deemed
absolutely necessary, particular attention should be paid to the hazard associated with the freezing of
overboard discharge arrangement air pipes, ballast system valves together with their means of control, and
the built up of ice on deck.
Consideration must always be given to personnel safety, including precautions which may be required when
personnel are required to work on deck at night, in heavy weather, when ballast water overflows the deck,
and in freezing conditions. These concerns may be related to the risks to the personnel of falling and injury,
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due to the slippery wet surface of the deck plate, when water is overflowing on deck, and to the direct
contact with the ballast water, in terms of occupational health and safety.
Ballast exchange at sea should not be carried out or, if under progress, interrupted under the following
conditions.
●When wind strength exceeds Beaufort 4 and sea state exceeds moderate.
●When there is an indication that weather and sea conditions will deteriorate prior to completing ballast
exchange program or a step thereof, adequate time margin should always be included in such cases.
●When sailing in an area which is known to be seasonally affected by cyclones, typhoons, hurricanes, or
heavy icing condition.
●When any part of the power or ballast system (generators, pumps, level indicators, etc.) Is inoperative or
gives a sign of under-performance.
●When due to other important duties on board, not enough trained officer and crew are available to
perform the ballast exchange safety.
●When abnormal vibrations of the vessel’s huff or equipment are experienced while progressing on a certain
step of the ballast exchange.
Precautionary advice to master when undertaking ballast water exchange operation
Master should take all necessary precautions when undertaking ballast water exchange sequences that
involve periods when the criteria for propeller immersion, minimum forward draft and bridge visibility
cannot be met.
(1) During ballast water exchange sequences there may be times when, for a transitory period, one or more
of the following criteria cannot be fully met or are found to be difficult to maintain:
●Bridge visibility standards (SOLAS V / 22)
●Propeller immersion; and
●Minimum draft forward
●Emergency fire pump suction;
(2) In planning a Ballast Water Exchange operation that includes sequence which involves periods when the
criteria for propeller immersion, minimum draft and or trim the following should be taken into
consideration:
●The duration and time(s) during the operation that any of criteria will not be met;
●The effect(s) on the navigational and maneuvering capabilities of the ship; and
●The time to complete the operation.
(3) A decision to proceed with the operation should only be taken when it is anticipated that;
●The ship will be in open water.
●The traffic density will be low;
●An enhanced navigational watch will be maintained including if necessary, an additional look out forward
with adequate communication with the navigation bridge;
●The maneuverability of the vessel will not be unduly impaired by the draft and trim and or propeller
immersion during the transitory period; and
The general weather and sea state condition.
Q. WHAT IF DISTANCE OR DEPTH REQUIREMENTS ARE NOT MET DURING THE VOYAGE, ESPECIALLY FOR A
SHORT VOYAGE BETWEEN TWO COUNTRIES?
Well, the best way is to communicate with the agent to know the local requirements from the port authority.
For example, for the voyage from a Brazilian port to Argentina: the vessel would not comply with the
requirements if the general route is followed.
But Argentinian port authorities have special instructions related to ballast water exchange for the vessels
arriving from Brazilian ports.
Q. REGULATION D-1 OR D-2: WHICH ONE APPLIES TO WHICH SHIPS?
Vessels need to either comply with regulation D-1 (Ballast exchange) or Regulation D-2 (Ballast water
treatment system).
As per the revised regulation B-3
●New ships (built on or after 08 Sept 2017) must meet D-2 standards.

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●Existing ships (built before 08 Sept 2017) must meet D-2 standards at first IOPP renewal survey after 08
Sept 2019.
●All vessel must comply with D-2 standards before 08 Sept 2024.

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