National Ballast Water Management Requirements January 2014 PDF

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National ballast water management requirements

January 2014
Contents
1. Introduction 1
2. National requirements 2
2.1 Argentina 2
2.2 Argentina - Buenos Aires 3
2.3 Australia 4
2.4 Brazil 5
2.5 Canada 7
2.6 Canada - Vancouver 8
2.7 Chile 9
2.8 Georgia 10
2.9 Israel 11
2.10 Korea (South) 12
2.11 Lithuania Butinge oil terminal, Klaipeda 13
2.12 New Zealand 14
2.13 Norway 16
2.14 Panama 18
2.15 Peru 19
2.16 Russia Novorossiysk 20
2.17 Ukraine 21
2.18 United Kingdom 22
2.19 United States (US) 24
3. US state requirements 27
3.1 California 27
3.2 New York 29
4. Regional ballast water requirements 32
4.1 Mediterranean 32
4.2 Persian Gulf area 34
4.3 North East Atlantic and the Baltic Sea 35
Appendix Useful web sites 37
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National Ballast Water Management requirements
V2 / January 2014
1. Introduction
This document contains a synopsis of a number of known national, regional and local ballast water
management regulations and known bio-fouling management regulations and requirements.
The information here is an overview of the regulations and requirements. The complete text of each
regulation should be consulted for full details.
The map below demonstrates the locations contained in this report.
1
2. National requirements
2.1 Argentina
Authority: Direccin de Prefectura Naval Argentina (DPMA)

Ports affected: All
Ships affected: All ships
Implementation: Mandatory
Start date: 1998
a) Ballast water exchange (BWE): to be conducted in open-
sea following the IMO approved methods, i.e., flow-through,
over-flow or sequential exchange.
Note: salinity levels following BWE must not be below
Acceptable methods: 30mg/cm3.
b) Treatment system/ballast discharge standard: Alternative
methods are allowed under strict guidance and approval from
either the IMO or the administration, details of which are found
in Section 8 and Annex 1 of the ORDENANZA N 7-98.
Unwanted organisms and
No information
pathogens:
Uptake control: No information
Sampling: Random, by Argentine authorities
A Ballast Water Management Plan must be carried on board
Ballast Water Management
with a record/log of all ballast water exchange and operations
Plan:
to be maintained and available for inspection
Records and reporting: No reporting or recording requirements specified
Alternatives to en route
No information
management procedures:
Procedure for unacceptable It is understood that ships may be required to treat ballast with
ballast water: chlorine
The regulations apply to all ships entering the River Plate Basin
and transiting the River Parana and its ports. The area is
delineated as:
Notes: The zone from Punta del Este (Republic of Uruguay) to Punta
Rasa, Cape San Antonio (republic of Argentina). From there to a
point located latitude 37o 32 South, longitude 55o 23 West.
From there to a point located in latitude 36o 14 South and
longitude 53o 32 West. From there back to Punta del Este.
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2.2 Argentina - Buenos Aires
Direccion Nacional de Sanidad de Fronteras, del Ministerio de

Authority: Salud Publica (quarantine authorities from the ministry of public
health)
Ports affected: Buenos Aires
Ships affected: Ships arriving from areas where cholera is endemic
Start date: 1990
In-tank treatment by adding chlorine to ballast water through
Acceptable methods:
air pipes
Not defined
pathogens:
Uptake control: No information whether any specified
Sampling: Random, by Argentine authorities
No information
Plan:
Records and reporting: No information
No information
Procedure for unacceptable
Not applicable
ballast water:
Ships should note that new regulations will be introduced in the
Notes: near future, under Ordinance No. 12-97, dated 7th January
1998, entitled Rules for the Protection of the Environment.
3
2.3 Australia
Authority: Australian Quarantine and Inspection Service (AQIS)

Ports affected: All
All ships entering Australian ports from overseas territories. No
Ships affected:
exceptions specified.
Voluntary compliance, but mandatory reporting (reporting form
Implementation:
required see website address below)
Start date: 1992
Ballast water exchange methods in deep ocean areas:
1. Tanks to be drained until pump suction is lost
2. Flow through method with 3 x tank volume pumped
through
Acceptable methods: 3. Compliance regime in agreement with AQIS
4. Other in-tank treatment agreed with AQIS (only AQIS
heat treatment method approved as yet for cross equatorial
voyages. Further information available from AQIS see website,
address below).

No information
pathogens:
Targeted, random and mandatory, under supervision of an AQIS
Sampling:
officer
Required
Plan:
Record time, location, volume and salinity of all ballast water
Records and reporting:
loaded, exchanged at sea, and discharged.
1. Normal discharge based on risk assessment taking into
account the type of vessel, origin and risk factors at port of
entry, e.g. fish farms
Alternatives to en route 2. Withholding discharge until analysis of samples found to
management procedures: be free of harmful organisms
3. Ship to proceed to designated area or open sea to
exchange ballast.
Procedure for unacceptable Ship to proceed to designated area or open sea to exchange
ballast water: ballast
AQIS website: www.agis.gov.au
It is suggested that a copy of the Ballast Water Requirements
Notes: Australia is obtained for vessels visiting Australia. Either contact
AQIS directly ballastwater@agis.gov.au
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2.4 Brazil
Authority: Diretoria De Portos E Costas

Ports affected: All
All ships entering Brazilian ports with additional requirements
for ships entering the Amazon and Para Rivers.
Ships affected:
No exceptions specified.
Start date: 15 October 2005
Sequential method
Flow through method
Dilution method
The exchange is to take place water exchange in an area no less

than 200 nautical miles (nm) from any shore and in a water
depth of 200 metres or more. If this is not possible exchange
may take place 50 nm or more from land and in a water depth
of 200 metres or more.
Ships entering the Amazon River from international voyages or

from other hydrographical region are required to undertake
Acceptable methods:
two water ballast exchanges as follows. The first exchange is to
be as detailed above and the second is to reduce the salinity of
the water ballast between the isobaric of 20 metres and
Macap. When the ballast volume is less then 5,000 cubic metres
the limit will be the Jari river. In this second exchange it will be
necessary only to pump the tank volume once.
Ships entering the Para River from international voyages or

from other hydrographical region are also required to
undertake two water ballast exchanges. The first exchange as
detailed above and the second exchange must be between 70
nm from Salinpolis until the Light of the Ponta do Chapu
Virado (Ilha do Mosqueiro).
No information
pathogens:
Sampling: Targeted, random and mandatory.
Ballast Water Management A Ballast Water Management Plan to be onboard and must be
Plan: approved by classification society
Ships must send a ballast water report form to the Harbour
Records and reporting: Masters or their agencies by the ships master or its agents 24
hours prior arrival in port. One copy of this report will have to
be maintained on board for possible presentation to any other
5
authorities.
When it is not possible to exchange the water ballast at sea, the
ballast will have to be retained on board, being accepted a
minimum discharge with the authorisation of the Maritime
Authority that will have to record this occurrence. The master
will have to formally justify with the necessary anticipation.
Procedure for unacceptable Ship to proceed to designated area or open sea to exchange
ballast water: ballast.
Notes: None
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2.5 Canada
Authority: Transport Canada

Ports affected: All
Start date: 2000
a) Ballast Water Exchange (BWE): sequential, flow-through or
dilution method.
Note: an onboard inspection may be undertaken to verify
whether BWE has been conducted. If BWE has not been
Acceptable methods: undertaken, clear proof as to why it could not be performed
must be provided.
b) Treatment system/ballast discharge standard: the treatment
standard is the same as that contained in the IMO
Convention Regulation D-2.
No information
pathogens:
Sampling: No information
A Ballast Water Management Plan is to be on board. The plan is
to be reviewed by the ships flag administration. Review or
Plan:
approval by the ships classification society is also acceptable.
A reporting form should be submitted by email before entering
Canadian waters.
For ships proceeding to ports on the west coast, email rmic-
pacific@pac.dfo-mpo.gc.ca
For ships proceeding to ports in Eastern Canada, north of 60
degrees north latitude, email atlanticballastwater@tc.gc.ca
For ships proceeding to ports on the east coast, in Quebec or in
Ontario (Great Lakes), email atlanticballastwater@tc.gc.ca
No information
Should a vessel be unable to exchange or treat its ballast it may
Procedure for unacceptable be requested to conduct exchange in the Scotian Shelf of the
ballast water: Gulf of Maine. Please refer to the text of the regulations and
their guidance notes (link below) for exact details.
www.tc.gc.ca/eng/marinesafety/oep-environment-
Notes:
ballastwater-menu-449.htm
7
2.6 Canada - Vancouver
Authority: Vancouver Port Corporation

Ports affected: Vancouver, Canada
All ships destined to arrive at the Port of Vancouver in ballast
Ships affected:
condition
Start date: 1 January, 1998
Ballast water exchange in mid ocean before entering Canadian
waters.
No ballast water to be discharged in harbour until samples have
been taken and analysed by the harbourmasters representative.
Exemptions:
Acceptable methods: ships wishing to discharge less than 1,000 metric tonnes
ships arriving from the US west coast, Canada and Alaska
if the ballast water to be discharged originated from
these waters
stress of weather
stability or hull stress concerns.
No information
pathogens:
Required
Plan:
A harbourmasters representative will require seeing either an
entry (in English) in the logbook, an abstract of the logbook
entry, or other formal record (company or administration). This
Records and reporting: must include the place where the original ballast was taken on,
the position of exchange (latitude and longitude), the amount
of ballast on board, and ballast tanks that have had water
exchanged.
No information
Retention on board, or departure from port and exchange of
ballast in outgoing current of the north side of the Strait of
ballast water:
Juan de Fuca, west of Race Rocks
Vancouver Port Corporation announcement, dated 10 February,
1997, or contact the harbourmaster by telephone (+1 604 666
Notes:
2405), fax (+1 604 666 1072) or email: harbour-
master@portvancouver.com
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2.7 Chile
Chilean Navy; Division for Maritime Territory and the Merchant

Authority:
Marine, Maritime Safety and Operations Department
Ports affected: All
All ships coming from abroad, ballasted with sea water. No
Ships affected: exceptions are listed. All ships coming from zones affected by
cholera or by any similar contagious epidemic.
Start date: 10 August 1995
Acceptable methods: Ballast water exchange in deep water.
No information
pathogens:
Required
Plan:
Entries in bridge and engine room logbooks, showing
Records and reporting: geographical co-ordinates, amount replaced and what
percentage of total ballast capacity it represents
In-tank treatment before discharge. Addition of 100 grams of
powdered sodium hypochlorite or 14 grams of powdered
calcium hypochlorite per tonne of ballast water, ensuring
thorough mixing and then allowing 24 hours before beginning
to deballast.
No information
ballast water:
Chilean Declaration DGTM. And MM. ORD. NO. 12600/228 VRS.
Order for Preventative Measures to Avoid Transmission of
Notes:
Harmful Organisms and Epidemics by Ballast Water. 10th
August 1995.
9
2.8 Georgia
Authority: Georgian Environmental Protection Ministry

Ports affected: All Georgian ports
Ships affected: All
Start date: No information
Ballast water exchange (BWE): BWE must be conducted in the
Acceptable methods:
Black Sea.
No information
pathogens:
Required
Plan:
No information
No information
ballast water:
Notes: No information
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2.9 Israel
Authority: Ministry of Transport, Administration of Shipping and Ports

Ports affected: All
All ships destined for Israeli ports wishing to pump out ballast
water while in port or while navigating along the coast of
Ships affected: Israel.
No exceptions are listed.

Start date: 15 August 1994
Ballast water that has not been taken on in open ocean must be
exchanged in open ocean, beyond any continental shelf or fresh
water current effect.
Masters will be requested to provide ships inspectors (pilots)
Acceptable methods: with a completed ballast water exchange report.
Ships bound for Eilat must exchange outside of the Red Sea
when practicable.
Ships bound for Mediterranean ports must exchange in the
Atlantic Ocean when practicable.
No information
pathogens:
No information
Plan:
Israel has issued a format for recording the status of ballast.
(Please refer to the authority directly Israel Ministry of
Transport, Administration of Shipping and Ports or to
INTERTANKO tim.wilkins@intertanko.com).
Retention on board
Retention on board
ballast water:
Israel Notice to Mariners No. 4/96 dated 19th April 1996, issued
Notes:
by the Israeli Administration of Shipping and Ports.
11
2.10 Korea (South)
Authority: The South Korean Ministry of Oceans and Fisheries (MOF)

Ports affected: South Korean ports
Vessels that have loaded ballast water within 50 miles of the
Fukushima nuclear power plant or within the Japanese ports of
Ships affected:
Hachinohe, Ishinomaki, Sendai, Soma, Onahama and Hitachi,
and visiting South Korean ports
Implementation: Guidance
Start date: November 2013
If it is necessary to load ballast water in the listed Japanese
areas/ports, e.g. for the purpose of ensuring the safety of the
vessel in an emergency situation, the vessel should perform a
ballast water exchange operation in the open sea prior to
entering a South Korean port.
The ballast water should be replaced by means of overflowing
Acceptable methods:
the tanks and pumping through three times the volume of the
ballast tanks capacity.
Authorities will inspect the relevant vessels arriving from Japan
and vessels found in breach of the guidance will be instructed
to leave the Korean port in order to exchange the ballast water
in open sea.
No information
pathogens:
No information
Plan:
The vessel should also report the ballast water exchange
Records and reporting: operation to the Korean port authorities when declaring port
entry.
No information
No information
ballast water:
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2.11 Lithuania Butinge oil terminal, Klaipeda
Authority: Port authority

Ports affected: Port of Klaipeda and in particular Butinge oil terminal
Ships affected: All
Implementation: Believed to be mandatory
Ballast Water Exchange (BWE): BWE should be conducted so as
discharge into Butinge and/or Klaipeda is Baltic or North Sea
Acceptable methods: water. No specific details on methodology are given although
the IMO Guidelines are advised in the Helsinki Commission
(HELCOM) recommendation (see Further information below).
No information
pathogens:
No information
Plan:
While the port authority has not directly advised on reporting it
does specify following the HELCOM recommendations which
require the reporting of an IMO type ballast water reporting
form prior to arrival. In addition, HELCOM recommend the
carriage and implementation of a shipboard Ballast Water
Management Plan.
No information
No information
ballast water:
Full text of the HELCOM Recommendations can be downloaded
Notes: from the link. Further information can be gained from the
HEMCOM site directly.
13
2.12 New Zealand
Authority: MAF Biosecurity New Zealand

Ports affected: All
All ships entering New Zealand territorial seas carrying ballast
Ships affected: water loaded within the territorial water of another country.
No exceptions are listed.
Compliance with a standard requiring mid-ocean exchange of
ballast water. An import health standard for ballast water came
into effect on 1 May 1998 (revised 13 June 2005), applying to
ballast water loaded in another country and due for discharge
in New Zealand. It requires that ballast water to be discharged
Implementation: has been exchanged in mid-ocean.
Submission of ballast water declaration forms prior to arrival in
first New Zealand port, and on departure from final New
Zealand port, is mandatory.
No ballast discharge permitted until inspectors permission
received.
Start date: Mandatory measures from 30 April 1998
Ballast water exchange at mid ocean position preferably 200
nautical miles from land.
Alternative methods
Acceptable methods: Use of fresh water in ballast tanks (<2.5ppt NaCl)
Use of approved on-shore treatment facility (none approved
yet)
Use of approved in-tank treatment (none approved yet).
Not applicable
pathogens:
None specified. However, masters are expected to use their
discretion and care when loading ballast water, avoiding where
Uptake control: possible, taking ballast in shallow water, or in areas where there
are known to be active algal blooms or an outbreak of any
disease communicable through ballast water.
Samples may be taken. Ballast tank covers should be maintained
Sampling:
in good order to allow access for sampling.
No information
Plan:
Per tank:
location and volume of ballast water loaded in other port
location, volume, method and duration of exchange at sea
and pumping rate
location, volume and date of discharge in New Zealand.
Until other treatment options are available, discharge will be

permitted if it can be shown that weather conditions and/or
14
V2 / January 2014
management procedures: vessel design precluded safe exchange, providing that the
ballast water for discharge was not loaded in an area listed in
Annex 1 of the Import Health Standard (currently Tasmania and
Port Philip Bay, Australia).
Vessel retains ballast and possibly redistributes it around the
vessel, or returns to 200nm to undertake the exchange and
ballast water:
reapplies for permission.
New Zealand Import Health Standard for Ballast Water from All
Countries a standard issued under the Biosecurity Act 1993
(New Zealand statue).
Notes:
Further information can be found on the MAF Biosecurity New
Zealand website:
www.biosecurity.govt.nz/enter/ships/ballast
15
2.13 Norway
Authority: Norwegian Maritime Directorate

Ports affected: All
Ships affected: All
Start date: 1 July, 2010
Ballast water exchange: ballast is to be exchanged in waters at
least 200 metres deep and 200 nautical miles from the nearest
land. If this is not possible, ballast may be exchanged in waters
200 metres deep and not less than 50 nautical miles from land.
Ships are not required to deviate from their intended voyage to
meet this requirement.
Acceptable methods: Treat with an IMO approved system.
Deliver to a shore reception facility.
The Norwegian Maritime Directorate may, in individual cases
and upon written application, grant exemption from these
requirements. There must be special reasons that make the
exemption necessary and it must be justifiable in terms of
safety.
No information
pathogens:
All ballast water is to be taken up outside the following areas:
the Barents Sea, the Norwegian Sea, the North Sea, the Irish
Uptake control:
Sea, the Bay of Biscay and surrounding Iberian peninsular, and
the northern part of the Atlantic Ocean
Sampling: Not defined
Ships must have a Ballast Water Management Plan approved in
Ballast Water Management accordance with IMO Resolution (MEPC.127(53) - Guidelines for
Plan: Ballast Water Management and Development of Ballast Water
Management Plans (G4), adopted on 22 July, 2005.
Ships must have a ballast water log book or record ballasting
operations in the deck log book.
If a ship cannot exchange ballast in the specified depth of water
or at the required distance from land, it must be exchanged in
Alternatives to en route one of three designated exchange zones off the Norwegian
management procedures: coast.
For details of these control areas please see Further
information.
No information
ballast water:
Regulation of 7 July 2009 No. 992 concerning the prevention of
transfer of alien organisms via ballast water and sediments from
Notes: ships (the Ballast Water Regulation) can be downloaded from:
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V2 / January 2014
www.sjofartsdir.no/en/legislation/regulations/regulation-of-7-
july-2009-no-992-concerning-the-prevention-of-transfer-of-alien-
organisms-via-ballast-water-and-sediments-from-ships-the-
ballast-water-regulation/
17
2.14 Panama
Authority: Panama Canal Authority

Ports affected: Panama Canal
Ships affected: All
Start date: 1999
Acceptable methods: No ballast to be discharged into the canal
No information
pathogens:
No information
Plan:
No information
No information
ballast water:
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2.15 Peru
General Directorate of Captainships and Coastguards acting as

Authority:
the Maritime Authority
Ports affected: All Peruvian ports
Implementation: No information
Start date: May 2006
a) Ballast water exchange (BWE): BWE must be undertaken
12nm from the Peruvian coast even if ballast was taken up
in a Peruvian port.
b) Treatment system/ballast discharge standard: none
specified.
Acceptable methods:
c) Ballast Water Management Plans: While referring to a
Ballast Water Register Book in the regulation, it is
understood that this is equal to a Ballast Water
Management Plan and as a consequence is required to be
maintained on board.
No information
pathogens:
No information
Plan:
A Ballast Water Notification should be submitted to the
Maritime Authority
If BWE was not undertaken, the harbourmaster must be
Alternatives to en route notified. On notification of this the harbourmaster must notify
management procedures: the master of an alternative ballast exchange area where the
vessel will have to undertake BWE.
No information
ballast water:
Local authorities are obligated to provide designated ballast
Notes:
exchange zones
19
2.16 Russia Novorossiysk
Authority: Novorossiysk Port Authority

Ports affected: Novorossiysk
Ships affected: All
Start date: 2006
Ballast Water Exchange (BWE): de-ballasting will only be
Acceptable methods: permitted if the ballast water has been taken (exchanged in)
the Black Sea
No information
pathogens:
No information
Plan:
No information
No information
ballast water:
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2.17 Ukraine
Authority: State Inspection for Protection of the Black Sea (SIPBS)

Ports affected: All
Start date: Date unknown but in force
Ballast water exchange - all ships must exchange ballast in the
Acceptable methods:
Black Sea
No information
pathogens:
Ballast will be sampled and tested before ballast discharge is
permitted
The test will be for :
oil products 0.05mg/litre
Sampling:
iron 0.05mg/litre
suspended solids 0.75mg/litre or 2mg/litre depending on the
regulatory source.

No information
Plan:
The authorities will require an entry in the oil record book and
the log book detailing the exchange procedure.

The ships agent must be informed as to the amount of ballast
water to be discharged in the port. Ships must then await
approval of their ballast before discharging.
No information
No information
ballast water:
21
2.18 United Kingdom
Authority: Orkney Islands Council Harbour Authority

29 piers and harbours located in the Orkney Islands, including
Ports affected:
Scapa Flow
All ships intending to conduct ballast water management and /
or discharge within Scapa Flow, in particular:
(a) all vessels over 400 gt within or using the Scapa Flow Oil Port
or Anchorage Facility as defined by the harbour authority limits,
(b) all vessels carrying out ship to ship oil or liquid gas
Ships affected:
operations within 500m (radius) of designated STS locations 1 to
4 as shown on United Kingdom Hydrographic Office Chart 35.
Liquid Petroleum Gas Carriers using Flotta Oil Terminal not

subject to special ballast management agreements.
Start date: Before 1998
a) For vessels using the Flotta Oil Terminal jetty or Single Point
Mooring (SPM) facilities: Discharge is only permitted
through the ballast water reception and treatment facilities
that are provided at the Flotta Oil Terminal.
b) Direct discharge to sea of their ballast water is only
permitted in accordance with the following restrictions:
i) The total quantity of ballast water for discharge is limited to
the minimum essential quantity possible.
ii) The ballast water for discharge must have been taken
onboard or exchanged in accordance with IMO Resolution
A.868 (20) Reg B-4 criteria
iii) The Master has formally requested and obtained written
permission from the Harbour Authority to undertake specific
de-ballast operations.
Acceptable methods:
c) Direct discharge to sea of their ballast water is only
permitted in accordance with the following conditions:
i) The total quantity of ballast water for discharge is limited to
the minimum essential quantity possible.
ii) The ballast water for discharge must have been taken
onboard or exchanged within the specific locations and in
accordance with the circumstances and conditions identified
within the agreement.
iii) The Master submits to the Harbour Authority prior to arrival
a ballast water reporting form or similar indicating the times,
quantities and positions of all ballast water intake operations
and indicating those tanks to be discharged.
iv) The Master has onboard a valid copy of the ballast water
management agreement.
Unwanted organisms and Some unwanted organisms are leathery sea squirt (styela clava),
pathogens: common cord-grass (spartina anglica), colonial tunicate
22
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(didemnun vexillum), slipper limpet (crepidula fornicata),

chinese mitten crab (eriocher sinensis), American oyster drill
(urosalpinx cinerea) and marine tubeworm (ficopomatus
enigmaticus).
Sampling of vessels ballast water will be carried out in
Sampling:
accordance with Article 9 of the Convention.
All ships are required to be prepared to submit for inspection a
Ballast Water Management Ballast Water Management Plan as described by Regulation B-1
Plan: of the Convention, and a Ballast Water Record Book as
described by Regulation B-2.
To obtain permission to discharge ballast water the Master must
provide OIC Harbour Authority with a Ballast Water Reporting
Form, or similar, indicating the position and time of taking on-
board and/or exchange of the ballast water, and a Ballast Water
Discharge Request Form or similar, indicating those tanks and
quantities being requested for discharge. Permission will be
granted to the Master either directly or through the Ships
agent as appropriate.
No information
Vessels that for any reason cannot comply with the conditions
described in a), b) or c) will not be permitted to de-ballast
ballast water:
within Harbour limits.
For further information and download forms visit
Notes: http://www.orkneyharbours.com/ballast_water_management.as
p
23
2.19 United States (US)
Authority: US Coast Guard

Ports affected: All US or Canadian ports
All non-recreational vessels, US and foreign, that are equipped
Ships affected: with ballast tanks and operate in the waters of the US or
Canada
Start date: 21 June, 2012
Ballast water exchange: perform complete ballast water
exchange in an area 200 nautical miles from any shore before
discharging ballast water and in waters 200 metres deep.
Exchange is permitted until treatment is required by the time
table below.
Treatment system/ballast discharge standard: ships calling at US
ports and intending to discharge ballast will be required to use
an approved ballast water treatment system that meets the US
discharge standard (which is the same as the IMO D-2 standard)
in accordance with the following timetable.
Vessels
Vessels
ballast Date
compliance
water constructed
date
capacity
On or after 1
New
All December, On delivery
vessels
2013
Acceptable methods: First

Before 1 scheduled
Less than
December, drydocking
1,500 m3
2013 after 1
January, 2016
First
Before 1 scheduled
Existing 1,500-
December, drydocking
vessels 5,000 m3
2013 after 1
January, 2014
First
Greater Before 1 scheduled
than December, drydocking
5,000 m3 2013 after 1
January, 2016
The regulations will also require all ships to:

clean ballast tanks to remove sediments
rinse anchors and chains when an anchor is retrieved
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V2 / January 2014
remove fouling from the hull, piping and tanks on a regular

basis
maintain a Ballast Water Management Plan that includes
procedures for fouling and sediment removal as well as
ballast water management there is no requirement for the
plan to be approved
submit a report form 24 hours before arrival.
The USCG will review the practicability of implementing a
higher ballast water discharge standard and publish the results
no later than 1 January, 2016.

No information
pathogens:
Avoid the discharge or uptake of ballast water in areas within,
or that may directly affect, marine sanctuaries, marine
preserves, marine parks, or coral reefs.
Minimise or avoid uptake of ballast water in the following areas

and situations:
areas known to have infestations or populations of harmful
organisms and pathogens (e.g., toxic algal blooms)
areas near sewage outfalls
areas near dredging operations
areas where tidal flushing is known to be poor or times when
a tidal stream is known to be turbid
in darkness, when bottom dwelling organisms may rise up in
the water column
Uptake control:
where propellers may stir up the sediment
areas with pods of whales, convergence zones, and
boundaries of major currents.
Clean the ballast tanks regularly to remove sediments.
Sediments must be disposed of in accordance with local, state,
and federal regulations.
Discharge only the minimal amount of ballast water essential
for vessel operations while in the waters of the United States.
Rinse anchors and anchor chains when the anchor is retrieved to
remove organisms and sediments at their places of origin.
Remove fouling organisms from the vessels hull, piping, and
tanks on a regular basis and dispose of any removed substances
in accordance with local, state and federal regulations.
Treatment systems must be approved by the USCG and must be
able to meet the following standards:
Discharge standard: 1. For organisms greater than or equal to 50 micrometers in
minimum dimension discharge must include fewer than 10
organisms per cubic meter of ballast water.
2. For organisms less than 50 micrometers and greater than or
25
equal to 10 micrometers discharge must include fewer than
10 organisms per millilitre (mL) of ballast water.
3. Indicator micro-organisms must not exceed:
I. for toxicogenic vibrio cholerae (serotypes O1 and O139),
a concentration of less than 1 colony forming unit (cfu)
per 100 ml
II. for escherichia coli, a concentration of fewer than 250
cfu per 100 ml
III. for intestinal enterococci, a concentration of fewer than
100 cfu per 100 ml.
A ship must maintain records of ballast and fouling
management and submit a report form 24 hours before arrival
The Coast Guard will allow the master, owner, operator, agent,
or person in charge of a vessel that cannot practicably meet the
requirements of ballast water exchange because its voyage does
not take it into waters 200 nautical miles or greater from any
shore for a sufficient length of time and the vessel retains
ballast water on board or because the master of the vessel has
identified safety or stability concerns, to discharge ballast water
in areas other than the Great Lakes and the Hudson River north
Alternatives to en route of the George Washington Bridge.
The Coast Guard will not allow such a discharge if the vessel is
required to have a Coast Guard-approved ballast water
treatment system in accordance with the implementation
schedule above. If the treatment system stops work for any
reason the ships is required to report the fact to the nearest
Coast Guard commander as soon as possible.

The Coast Guard may allow discharge in specified areas.
ballast water:
Notes: https://homeport.uscg.mil
26
V2 / January 2014
3. US state requirements
3.1 California
Authority: California States Land Commission

Ports affected: All
All:
1. vessels arriving to California Waters from a port or place
outside the Pacific Coast Region
2. vessels arriving to California Waters from a port or place
within the Pacific Coast Region, with ballast water from the
Pacific Coast Region.
Ships affected:
Pacific Coast Region (PCR) definition: All coastal waters (within

200 nm of land) on the Pacific Coast of North America east of
154 degrees W longitude and north of 25 degrees N latitude
(Public Resources Code, Section 71200(k)). Excludes the Gulf of
California.
a) Retain ballast water (no discharge).
b) Exchange ballast water in mid-ocean waters (waters more
than 200 nm from land at least 2,000 m deep).
c) Discharge ballast water at the same location where the
ballast water originated. It must be demonstrated that the
water was not mixed with ballast water taken on in an area
other than mid-ocean waters. Same location = within 1
nautical mile (6,000 ft) of the berth or within the recognised
breakwater of a California port or place at which the ballast
Acceptable methods: water was loaded.
d) Use an alternative, environmentally sound, Commission or
US Coast Guard-approved method of treatment.
e) Discharge to an approved reception facility (none currently
exist).
f) Ships which have a ballast water treatment system on board
will be required to meet the California discharge standard
and complete the report forms available via the link in the
Further information section below.
Unwanted organisms and Not defined
pathogens:
Discharge only the minimal amount of ballast water essential to
operations
Uptake control:
Minimise discharge and uptake in marine sanctuaries, marine
preserves, marine parks, or coral reefs.
27
Minimise or avoid uptake of ballast water in:
areas with known infestations of non-indigenous
organisms
areas near a sewage outfall
areas for which the master has been informed of the
presence of a toxic algal bloom
areas of poor tidal flushing or high turbidity
periods of darkness when bottom dwelling organisms
may rise up in the water column
areas where sediments have been disturbed (e.g. near
dredging operations).
Clean ballast tanks regularly in mid-ocean waters or in port or
drydock.
Rinse anchors and anchor chains to remove organisms and
sediments at their place of origin.
Remove hull fouling organisms on a regular basis.
No information
Plan:
Records and reporting: Required
Alternatives to en route Under extraordinary circumstances, perform a ballast water
management procedures: exchange within an area agreed in advance by the Commission.
Procedure for unacceptable Unknown
ballast water:
With effect from January 2011 all ships calling at Californian
ports are required to complete and submit a Hull Husbandry
California hull fouling Reporting Form annually to the California State Lands
requirements Commission.
The ships agents should supply the required form which is also
available via the link below.
www.slc.ca.gov/Spec_Pub/MFD/Ballast_Water/Laws_Regulations.ht
Notes:
ml
28
V2 / January 2014
3.2 New York
Authority: New York State Department of Environmental Conservation

Ports affected: All
Ships affected: All
All vessels entering New York waters must have the ability to
measure salinity levels in each tank on board the vessel so that
salinities of at least 30 ppt can be ensured.
Ballast water exchange: any vessel whose voyage originates

from within the exclusive economic zone and enters New York
waters with ballast on board, shall conduct ballast water
exchange at least 50 nautical miles from shore and in water at
least 200 metres deep. Such vessels that carry only residual
amounts of ballast water and/or sediments shall conduct
saltwater flushing of their ballast water tanks, at least 50
nautical miles from shore and in water at least 200 metres in
depth.
This does not apply to vessel(s):

1. that operate exclusively in the Great Lakes St. Lawrence
Seaway System upstream of Montreal, Quebec
2. operating exclusively within the waters of New York
Harbour and Long Island Sound
3. entering New York waters from ports of call within New
Acceptable methods: Jersey and Connecticut waters which are included in the
definition of "waters of New York Harbour and Long Island
Sound" provided that the vessel has met the requirements
of this condition before entering the waters of New York
Harbour and Long Island Sound
4. that have met the requirements of conditions 2 or 3, above
5. that carry only permanent ballast water, all of which is in
sealed tanks that are not subject to discharge
6. of the Armed Forces
7. of the National Defence Reserve Fleet that are scheduled to
be disposed of through scrapping or sinking.
Treatment system/ballast discharge standard: not later than

January 1, 2012, each vessel that operates in New York waters
shall have a ballast water treatment system that meets the
following standards, subject to the exceptions listed below.
1. Standard for organisms 50 or more micrometers in minimum

dimension: Any ballast water discharged shall contain less
than 1 living organism per 10 cubic metres.
29
2. Standard for organisms less than 50 micrometers in
minimum dimension and more than 10 micrometers in
minimum dimension: Any ballast water discharged shall
contain less than 1 living organism per 10 millilitres.
3. Standards for indicator microbes:
I. Any ballast water discharged shall contain less than one
colony-forming unit of Toxicogenic Vibrio cholera
(serotypes O1 and O139) per 100 millilitres or less than
one colony-forming unit of that microbe per gram of
wet weight of zoological samples.
II. Any ballast water discharged shall contain less than 126
colony-forming units of Escherichia coli per 100
millilitres.
III. Any ballast water discharged shall contain less than 33
colony-forming units of intestinal enterococci per 100
millilitres.
Vessels constructed on or after January 1, 2013 that operate in

New York waters shall have a ballast water treatment system
that meets the following standards, subject to the exceptions
listed below.
1. Standard for organisms 50 or more micrometers in minimum

dimension: Any ballast water discharged shall contain no
detectable living organisms.
2. Standard for organisms less than 50 micrometers in
minimum dimension and more than 10 micrometers in
minimum dimension: Any ballast water discharged shall
contain less than 0.01 living organism per millilitre.
3. Standards for indicator microbes:
I. Any ballast water discharged shall contain less than one
colony-forming unit of toxicogenic Vibrio cholera
(serotypes O1 and O139) per 100 milliliters or less than
one colony-forming unit of that microbe per gram of
wet weight of zoological samples.
II. Any ballast water discharged shall contain less than 126
colony-forming units of Escherichia coli per 100
millilitres.
III. Any ballast water discharged shall contain less than 33
colony-forming units of intestinal enterococci per 100
millilitres.
Unwanted organisms and No information

pathogens:
No information
Plan:
30
V2 / January 2014
Records and reporting: Vessels should keep a ballast water log

Alternatives to en route No information
Procedure for unacceptable No information
ballast water:
Notes: www.dec.ny.gov/permits/72399.html
31
4. Regional ballast water requirements
4.1 Mediterranean
Regional Marine Pollution Emergency Response Centre for the

Authority:
Mediterranean Sea (REMPEC)
Ports affected: All
Ships affected: All
Implementation: Voluntary
Start date: 1 January, 2012
a) Ballast water exchange: exchange ballast water before
entering the Mediterranean Sea or after leaving the
Mediterranean Sea to meet the regulation D-1 standard of
the Ballast Water Convention. Exchange should be carried
out at least 200 nautical miles from land and in waters at
least 200 metres deep. The sequential, flow-through or
dilution methods of ballast water exchange are accepted as
meeting the D-1 standard.
When engaged in traffic between the ports and areas listed
below, ships should undertake ballast water exchange in
waters at least 50 nautical miles from the nearest land and
at least 200 metres deep or in an area designated by a port
state:
ports located within the Mediterranean Sea area
Acceptable methods: a port located in the Black Sea area and a port located
in the Red Sea area
a port located in the Black Sea and a port located in the
Mediterranean Sea area
a port located in the Red Sea area and a port located in
the Mediterranean Sea area.
Sediments collected during cleaning or repair of ballast
tanks should be delivered to sediment reception facilities or
be discharged to sea beyond 200 nautical miles from the
nearest coastline when the ship is sailing in the
Mediterranean Sea area.
b) An IMO-approved ballast water treatment system.

No information
pathogens:
Required
Plan:
Records and reporting: Ballast water record book
32
V2 / January 2014
In situations where this is not possible (because the ship will

have to deviate from its intended voyage; because exchange
will delay the ship; or for safety reasons) exchange should be
Alternatives to en route undertaken before entering the Mediterranean Sea area, or
management procedures: after leaving the Mediterranean Sea area, as far from the
nearest land as possible, and in all cases in waters at least 50
nautical miles from the nearest land and at least 200 metres
deep.
No information
ballast water:
Notes: IMO circular BWM.2/Circ.35 15 August 2011
33
4.2 Persian Gulf area
Regional Organization for the Protection of the Marine

Authority:
Environment (ROPME)
Ports affected: All
Ships affected: All
Start date: 1 November, 2009
a) Ballast water exchange: in waters at least 200 metres deep
and 200 nautical miles from the nearest land. If this is not
possible, ballast may be exchanged in waters 200 metres
deep and not less than 50 nautical miles from land. Ships are
Acceptable methods: not required to deviate from their intended voyage to meet
this requirement
b) Treat with an IMO-approved system

No information
pathogens:
All ballast water taken up outside the ROPME Sea Area, defined
as: extending between the following geographic latitudes and
Uptake control:
longitudes, respectively: 1639'N, 533'30''E; 1600'N, 5325'E;
1700'N, 5630'E; 2030'N, 6000'E; 2504'N, 6125'E
Ships must have a Ballast Water Management Plan approved in
Ballast Water Management accordance with the IMO Resolution MEPC.127(53) Guidelines
Plan: for Ballast Water Management and Development of Ballast
Water Management Plans (G4), adopted on 22, July 2005
Ships must have a ballast water log book or record ballasting
operations in the deck log book
No information
No information
ballast water:
34
V2 / January 2014
4.3 North East Atlantic and the Baltic Sea
Authority: OSPAR and Helsinki Convention members*

Ports affected: All
All ships entering the waters** of contracting parties to the
Ships affected: OSPAR and Helsinki Conventions, which are also IMO member
states
Implementation: Voluntary
Start date: 1 April, 2008
Exchange all ballast tanks at least 200 nautical miles from the
nearest land in water at least 200 metres deep prior to entering
the waters of OSPAR and Helsinki Convention Members and
members of the IMO*
This applies to vessels transiting the Atlantic, or entering the

areas of the OSPAR and Helsinki Conventions from routes
passing the West African Coast it does not apply to vessels
entering the area from the Mediterranean Sea. If exchange has
not been undertaken as above, vessels will be expected to
Acceptable methods: exchange in waters at least 200 nautical miles from the nearest
land in water at least 200 metres deep within the North East
Atlantic. (If this is not possible for operational reasons then such
exchange should be undertaken as far from the nearest land as
possible, and in all cases in waters at least 50 nautical miles from
the nearest land and at least 200 metres deep). It should be
noted that nowhere in the Baltic Sea fulfils these criteria.
Ships must not release sediments during the cleaning of ballast

tanks within 200 nautical miles of the coastline of the North
East Atlantic or within the Baltic Sea.
No information
pathogens:
Required
Plan:
Records and reporting: Ballast water record book
No information
No information
ballast water:
*OSPAR and Helsinki Convention members who are also
Notes: members of the IMO are: Belgium, Denmark, Estonia, Finland,
France, Germany, Iceland, Ireland, Latvia, Lithuania,
Luxembourg, the Netherlands, Norway, Poland, Portugal, the
35
Russian Federation, Spain, Sweden, Switzerland and the United
Kingdom.
** Waters refers to: those parts of the Atlantic and Arctic
Oceans and their dependent seas, including the Baltic Sea,
which lie north of 36 north latitude and between 42 west
longitude and 51 east longitude, but excluding the
Mediterranean Sea and its dependent seas as far as the point of
intersection of the parallel of 36 north latitude and the
meridian of 5 36' west longitude; and that part of the Atlantic
Ocean north of 59 north latitude and between 44 west
longitude and 42 west longitude.
http://helcom.fi/helcom-at-work/groups/maritime/tg-ballast/
36
V2 / January 2014
Appendix Useful web sites

For further information on national regulations or ballast water management in general, visit:
Lloyds Register
www.lr.org/bwm
IMO
www.imo.org
http://globallast.imo.org
USCG
https://homeport.uscg.mil
US EPA (Environmental Protection Agency)

www.epa.gov/owow/invasive_species/ballast_water.html
US Smithsonian Environmental Research Centre

invasions.si.edu/ballast.htm
SOCP Ballast Water Management Information Centre

www.socp.org/ballast/bwm.htm
37
For further information, contact your local Lloyds Register Group office, or email:
marine-environment@lr.org
For all other LR ballast water management guidance and information about our services go to:
www.lr.org/bwm
www.lr.org
Lloyds Register Group Limited, its subsidiaries and affiliates and their respective officers, employees or agents are, individually and collectively,
referred to in this clause as Lloyds Register. Lloyds Register assumes no responsibility and shall not be liable to any person for any loss,
damage or expense caused by reliance on the information or advice in this document or howsoever provided, unless that person has signed a
contract with the relevant Lloyds Register entity for the provision of this information or advice and in that case any responsibility or liability is
exclusively on the terms and conditions set out in that contract.
Lloyds Register and variants of it are trading names of Lloyds Register Group Limited, its subsidiaries and affiliates.
Copyright Lloyds Register EMEA. 2014. A member of the Lloyds Register group.

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National ballast water management requirements

Authority: Direccin de Prefectura Naval Argentina (DPMA)

2.2 Argentina - Buenos Aires

Direccion Nacional de Sanidad de Fronteras, del Ministerio de

Authority: Australian Quarantine and Inspection Service (AQIS)

Unwanted organisms and

Authority: Diretoria De Portos E Costas

The exchange is to take place water exchange in an area no less

Ships entering the Amazon River from international voyages or

Ships entering the Para River from international voyages or

Authority: Transport Canada

Authority: Vancouver Port Corporation

Chilean Navy; Division for Maritime Territory and the Merchant

Authority: Georgian Environmental Protection Ministry

Authority: Ministry of Transport, Administration of Shipping and Ports

No exceptions are listed.

Authority: The South Korean Ministry of Oceans and Fisheries (MOF)

2.11 Lithuania Butinge oil terminal, Klaipeda

Authority: Port authority

Authority: MAF Biosecurity New Zealand

Until other treatment options are available, discharge will be

Authority: Norwegian Maritime Directorate

Authority: Panama Canal Authority

General Directorate of Captainships and Coastguards acting as

Authority: Novorossiysk Port Authority

Authority: State Inspection for Protection of the Black Sea (SIPBS)

Ballast Water Management

Records and reporting:

Authority: Orkney Islands Council Harbour Authority

Liquid Petroleum Gas Carriers using Flotta Oil Terminal not

(didemnun vexillum), slipper limpet (crepidula fornicata),

Authority: US Coast Guard

Acceptable methods: First

The regulations will also require all ships to:

remove fouling from the hull, piping and tanks on a regular

Unwanted organisms and

Minimise or avoid uptake of ballast water in the following areas

Procedure for unacceptable

Authority: California States Land Commission

Pacific Coast Region (PCR) definition: All coastal waters (within

3.2 New York

Authority: New York State Department of Environmental Conservation

Ballast water exchange: any vessel whose voyage originates

This does not apply to vessel(s):

Treatment system/ballast discharge standard: not later than

1. Standard for organisms 50 or more micrometers in minimum

Vessels constructed on or after January 1, 2013 that operate in

1. Standard for organisms 50 or more micrometers in minimum

Unwanted organisms and No information

Records and reporting: Vessels should keep a ballast water log

Regional Marine Pollution Emergency Response Centre for the

b) An IMO-approved ballast water treatment system.

Unwanted organisms and

In situations where this is not possible (because the ship will

Regional Organization for the Protection of the Marine

b) Treat with an IMO-approved system

4.3 North East Atlantic and the Baltic Sea

Authority: OSPAR and Helsinki Convention members*

This applies to vessels transiting the Atlantic, or entering the

Ships must not release sediments during the cleaning of ballast

Appendix Useful web sites

US EPA (Environmental Protection Agency)