Marine Pollution Bulletin 48 (2004) 615–623

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Viewpoint

Challenges in global ballast water management

Øyvind Endresen *, Hanna Lee Behrens, Sigrid Brynestad, Aage Bjørn Andersen,
Rolf Skjong
Det Norske Veritas, Veritasveien 1, N-1322 Høvik, Norway

Abstract

Ballast water management is a complex issue raising the challenge of merging international regulations, ship’s specific config-
urations along with ecological conservation. This complexity is illustrated in this paper by considering ballast water volume, dis-
charge frequency, ship safety and operational issues aligned with regional characteristics to address ecological risk for selected
routes. A re-estimation of ballast water volumes gives a global annual level of 3500 Mton. Global ballast water volume discharged
into open sea originating from ballast water exchange operations is estimated to approximately 2800 Mton. Risk based decision
support systems coupled to databases for different ports and invasive species characteristics and distributions can allow for dif-
ferentiated treatment levels while maintaining low risk levels. On certain routes, the risk is estimated to be unacceptable and some
kind of ballast water treatment or management should be applied.
Ó 2004 Elsevier Ltd. All rights reserved.

Keywords: Ballast water; Risk assessment; Norway; Water exchange; Ship safety

1. Introduction opinion now demands that measures to reduce the risk

A wide variety of organisms that are transported in
ballast water in ocean trade vessels may establish
themselves in new environments when discharged from
the ship and alter or impact the receiving ecosystems
(Hayes and Sliwa, 2003). The rate of introductions has
been increasing exponentially since the 1800s (Carlton,
2001) and invasive marine species are one of the greatest
threats to the world’s oceans (GloBallast, 2002a). The
economical impacts of these invasions is considerable,
the zebra mussel alone accounts for over $500 million a
year (Ruiz et al., 2001).
Ballast water management is a complex issue raising
the challenge of merging international regulations, ship
technical solutions and ecological conservation. Inter-
national regulations by nature take a relatively long time
to enter into force, hence regional and national regula-
tions tend to be developed to meet with more local de-
mands. Such developments are of major concern to the
shipping industry, which must operate across different
jurisdictions. Ecological awareness that forms the public
*
Corresponding author. Fax: +47-67-57-75-20.
E-mail address: oyvind.endresen@dnv.com (Ø. Endresen).
0025-326X/$ - see front matter Ó 2004 Elsevier Ltd. All rights reserved.
doi:10.1016/j.marpolbul.2004.01.016
of invasive species introductions.
The current recommended method for controlling the
introduction of non-indigenous species is open ocean
exchange of ballast water (IMO, 2003). It is expected
that the International Maritime Organisation (IMO)
member countries will adopt a convention (IMO, 2003)
regulating ballast water issues in the Spring of 2004.
Open ocean exchange of ballast water involves replacing
coastal water with open ocean water during a voyage,
either by emptying and refilling ballast tanks (sequential
exchange) or by flow-through dilution (three times tank
volume).
It is important to recognise that open ocean exchange
is not always biologically effective and is not always
possible to perform due to ship safety and operational
issues involved (as access to open ocean water). These
operational considerations and safety aspects indicate
that a portion of the ballast water transported annually
will have to be treated by other methods, or discharged
as untreated ballast water. To determine where most
effort should be expended on mitigation and control
strategies, a risk based approach that ensures focus on
trades posing unacceptable risk should be considered for
ballast management. This again raises the challenges of
data input and quality, methodology and understanding
616 Ø. Endresen et al. / Marine Pollution Bulletin 48 (2004) 615–623
of ecological systems that forms the basis for a risk based
approach. This is further complicated by the presence of
other transfer vectors, as for example hull fouling.
The complexity in the situation is shown in this paper
by going through some of the elements needed for the
understanding of ballast water management. We con-
sider the steps of ballast water volume, frequency, safety
and operational issues aligned with regional character-
istics to address ecological risk for selected routes.
2. Ballast water volume
Ballast water capacity varies as a function of cargo
carrying capacity and ship type as discussed in Endresen
et al. (2003c). The annual ballast water amounts trans-
ported can be estimated as a function of the total cargo
transported annually. The cargo amounts transported
are less than capacity, which may be measured by the
dead weight tonnage (Dwt). For large tankers, a rule of
thumb is that at least 2.5% of the total carrying capacity
is reserved for stores, provisions and bunkers. The
maximum cargo load factor is hence 0.975, but can also
be lower (0.65) due to partial loading and multi-porting
(Wijnolst and Wergeland, 1997). The converting factor
from Dwt to tonnes of cargo is typically 0.87 for tankers
and 0.91 for Dry bulk (Fearnleys, 2002b), and 0.89 is
assumed to be a representative figure in our calculations.
The ballast capacity is based in these assumptions cal-
culated to about 40% of the cargo transported (36%
ballast capacity per Dwt divided by 0.89 tonnage cargo
per Dwt).
Shipping is the dominant mode of transport,
accounting for almost two thirds of world trade, in
metric tonnes (Hoffmann and Kumar, 2002). Domestic
transport of cargo by ships amounts to some 3300 mil-
lion tonnes (Mton) while merchant ships in international
trade transport about 5434 Mton of cargo annually
(Fearnleys, 2002a). The major bulk cargoes are fuel, raw
materials for industry, and food. By commodity, crude
oil represents the biggest share (30%), followed by coal
(9.6%), iron ore (8.4%), oil products (7.7%) and grain
(4.2%) (Fearnleys Review, 2001). The global ballast
water required for this cargo transport is estimated to be
approximately 3500 Mton. This is shared between
international (2174 Mton) and national (1300 Mton)
trade. Internationally, oil tankers account for some 37%
of the ballast water annually transported, while Dry
bulk cargo carriers account for 39% (coal, iron ore,
grains and other bulk commodities). The remaining 24%
includes General Cargo, Container vessels, Ro-Ro,
Chemical tankers and LNG tankers. The contribution
of the latter group may be lower since General Cargo
and Container vessels rarely operate return voyages in
ballast condition and mainly use ballast for adjusting
trim and heel.
3. Ballast water movement
Most of the maritime traffic (85%) takes place in the
northern hemisphere, specifically the North Atlantic/
Northern Europe and the northern Pacific (Corbett
et al., 1999; Endresen et al., 2003a). This is supported by
international cargo statistics (Fearnleys, 2000) and port
surveys (ISL, 2001). The major bulk cargoes are mainly
transported in large vessels within a fairly well defined
system of international sea routes. Fig. 1 presents
international sea routes for some of these vessels types
(Endresen et al., 2003b). The international sea borne
cargo statistics indicate that the US, Europe and Japan
are the main export regions of ballast water by crude oil
carriers. The main importing regions are the Middle
East, the Caribbean and Africa (Fig. 3). The pattern is
different for bulk vessels where the most important ex-
port areas of ballast water is Asia and Europe while the
importing regions are North and South America, Aus-
tralia and Asia (Fearnleys, 2000). Table 1 presents cargo
trade per region indicating export and import regions of
ballast water.
4. Volume exchanged in open ocean
Ballast water volume uptake in port and volume ex-
changed in open sea are not necessarily equal. This
section evaluates safety and operational issues involved,
and estimate the potential ballast water volume that can
be exchanged in the open ocean.
4.1. Safety factors
The hazards associated with the sequential method
are presented in two studies performed by the Interna-
tional Association of Classification Societies (Skjong
and Dahle, 1997; Skjong and Spouge, 2000). One hazard
is that permissible bending moments and the shear for-
ces on the ship’s hull may be exceeded (Rigby and
Hallegraeff, 1994; Transport Canada, 1995; Karaminas,
2000). Obviously, the problem may be solved by
designing new ships. This would, however, add costs.
Other criteria most frequently found difficult to main-
tain during all stages of the exchange sequence are
bridge visibility, propeller immersion and minimum
forward draft (Skjong and Dahle, 1997; Skjong and
Spouge, 2000; Karaminas, 2000; Japan, 2001). From
these studies it is apparent that a vessel carrying out
sequential exchange while exposed to wave loads might
experience excessive bending moments and shear stres-
ses representing a threat to structural integrity. Slam-
ming and tank sloshing increase the risk of causing
structural damage to the vessel. Sequential exchange is
the option chosen by most ships that exchange ballast
water, including 75% of the ships coming into California
 Ø. Endresen et al. / Marine Pollution Bulletin 48 (2004) 615–623 617

Fig. 1. Vessel traffic densities for year 2000 based on the AMVER data (AMVER, 2001). Upper left: all cargo and passenger ships in the merchant
fleet, upper right: oil tankers, lower left: bulk carriers, lower right: container vessels (from Endresen et al., 2003b).

Table 1 time and cost significantly compared to the sequential

World seaborne cargo trade per region in 2000 (in Mton) (Hoffmann method. One of the major concerns with this process is
and Kumar, 2002)
over-pressurization of the ballast tank(s) or ballast
Region Exports Imports Total piping system, which could cause damage to the ship’s
Asia Pacific 1395.0 2106.1 3501.2 structure. Other safety issues are interference with the
Europe 673.4 1421.8 2095.2
watertight integrity of the main deck during removal of
North America 536.2 910.7 1446.9
Latin America 948.3 313.0 1261.3 the main deck manhole covers and icing on deck during
and the Caribbean sub-zero temperature conditions. For new ships all these
Persian Gulf 832.3 76.2 908.5 hazards could be removed at a cost.
Other 829.2 386.6 1215.8
Total 5214.5 5214.5 4.2. Modelling of ballast water exchange

Ships on ballast voyages will have to exchange ballast

and Texas ports, but there are some variations between
vessel types (National Ballast Information Clearing-
house, 2002).
The continuous flushing method avoids the problem
of exceeding safe bending moments and shears forces,
since the fresh ocean water is pumped via the ballast
pumps into the ballast tanks and allowed to overflow in
a safe manner. However, the IMO guidelines (IMO,
1997) require that three times the tank volume must be
pumped through the tank, which increases the exchange
water mid-ocean. Based on the above studies, we have
assumed that the safety critical significant wave height is
3 m, and that this applies to all vessels executing open
sea exchange. This is clearly a simplification since the
critical limits will depend on actual sea-state (direction,
periods, spectrum, etc.) and ship specifics (arrange-
ments, design, ballast condition, etc.). Ballast voyages
are normally shorter in distance compared to cargo
voyages. A study that followed 1580 cargo vessels,
demonstrated significant variations in operational
618 Ø. Endresen et al. / Marine Pollution Bulletin 48 (2004) 615–623

profile of different vessel types/sizes and type of trade 5. Operational issues

(United Kingdom, 2002). They reported a mean total
time at sea for all vessel types involved in all trades of
5.8 days and up to 13–14 days for larger vessels. Taking
this into account we assume that on average a ballast
voyage by vessels in international trade takes 7 days. Of
these 2 days are spent within the 200 nm zones leaving 5
days for open ocean exchange. The probability of per-
forming ballast water exchange under these criteria (5
days and 3 m critical wave height) is estimated by Monte
Carlo simulation using hind cast wind data (The Nor-
wegian Meteorological Institute, 1955) from the period
1955–1999 for a representative sector for the Norwegian
Sea (for details see Endresen et al., 2002). These calcu-
lations show that 7% of the ships will not be able to
exchange ballast water by open ocean exchange if 1 day
is needed, and 30% of the ships will not be capable of
performing exchange if 2 days are needed. Note that the
necessary ballast water exchange period varies, but lar-
ger ships may use up to 2 days for ballast water ex-
change.
Seasonal variations in traffic, geographical variations
and weather conditions may influence the results. As an
example, for vessels operating on routes north of the
25th latitude during winter the possibility of performing
ballast water exchange will be significantly reduced
(Young and Holland, 1996; Gulev and Hasse, 1998;
Bitner-Gregersen et al., 1995).
Medium and small vessels operating in shallow
coastal routes (such as the North Sea) will not neces-
sarily comply with the IMO Guideline for ballast water
exchange (Spain, 2000; Endresen et al., 2002). Such
routes exist between the North Sea and other European
countries, in the Mediterranean Sea and between the
Caribbean Sea and North/South seas of America. These
and other shallow and near coastline sea routes repre-
sent a large portion of the traffic. The global traffic data
from AMVER shows that about 60% of the traffic in the
North Atlantic operates within 200 nautical miles (nm)
from shore at any given time (Fig. 2). The AMVER
system is used to track about 30% by number of the
world cargo and passenger fleet greater than 2000 Dwt
(more than 7300 vessels) that daily report to AMVER
during voyage (AMVER, 2002). These findings corre-
spond with those of Corbett et al. (1999) and Oftedal
(1996), who reported that 74–83% of the ships are within
200 nm of land at all times (Liberia, 1996; Norway,
1994). A large fraction will also be employed in regional
or coastal trade. For example, Whall et al. (2002)
claimed that some 60–65% of the traffic in European
waters was regional.
Table 2 summarizes the results of our analyses, and
presents cargo and ballast water inventories (uptake and
discharge). Based on the above analyses we assume the

Fig. 2. Shows ship traffic density and bottom topography (GEBCO, 1997; AMVER, 2001), which illustrates that a significant portion of the ship
traffic occurs in costal and shallow waters. When compared with the reported ballast water exchange locations for individual ballast tanks (Ruiz
et al., 2001) it is apparent that much of the ballast water exchange is not performed in deep ocean water.
 Ø. Endresen et al. / Marine Pollution Bulletin 48 (2004) 615–623
Table 2
National and international cargo and ballast water inventories, separated on ballast water uptake and ballast water exchanged (Mton)
Inventory International
Cargo 5434
Ballast uptake 2174
Ballast uptake oil tanker 804
Ballast uptake bulk ships 848
Ballast uptake other ships 522
Ballast uptake not exchanged 217
Ballast uptake and exchanged 1956
Flow through exchanged 1467
Sequential exchanged 1320
Sum exchanged at sea 2788
national part of the ballast water, i.e. about 1300 Mton,
will not be handled through open sea exchange. Taking
into account the practical and operational aspects it is
expected that about 10% of the loaded international
ballast water or 200 Mton will not be exchanged in open
sea. It is assumed that 25% of the international vessels
will use the three times dilution of flow through ex-
change, and the rest sequential exchange (75%). The
total ballast water volume exchanged in open waters will
then be 2788 Mton (Table 2). The estimated volume
exchanged in open ocean might be too low, when the
considering location reported for completion of ballast
exchange (see above). The cost of an open ocean ex-
change of 2788 Mton of ballast water is estimated to be
USD 40–60 million, assuming 1.6–2.4 cents/m3 , con-
verted from Australian cents, i.e. 2.5–3.7 cents/m3 and
assumed 1 m3
1.025 ton based on Rigby and Taylor
(2001).
5.1. Ecological risk assessments
Ballast water exchange is not always possible to
perform due to safety issues as well as to geographical
constraints (see above). In addition, it is not always
biologically efficient, thus providing motivation for the
development of technologies to reduce the risk of un-
wanted invasions via ballast water and risk based ap-
proaches that determine what type of treatment is called
for. Risk based decision support systems are currently
being used by the Australian government (AQIS, 2002),
and being developed for developing countries by Glo-
Ballast (GloBallast, 2002b, 2003), and have been
developed by Det Norske Veritas (Behrens et al., 2002).
Risk based systems must be able to couple data bases
that include the potentially invasive species present in
each port, port characteristics and animals characteris-
tics and distribution spatially and seasonally. The
development of good data bases and systems for utilis-
ing data can allow for differentiated treatment levels of
ballast water while maintaining low risk levels. If a ship
on a route can be shown to represent an acceptable risk
619
National Comments
3300 Year 2000
1300 40% of cargo
– 37% of ballast uptake
– 39% of ballast uptake
– 24% of ballast uptake
– 10% of total uptake
– 90% of total uptake
– 25% of exchanged, three times diluted
– 75% of exchanged
–
in of introducing unwanted organisms, the level of
treatment required could be different compared to
routes posing an unacceptable risk of transfer. Present
efforts are still focusing on developing risk based eval-
uation methodologies able to assess the need for ballast
water treatment. It is important to recognise that
current knowledge does not allow for predictive mod-
elling of ecological systems. In addition, the data col-
lection is difficult and needs to be organised so that
the data can be used in ecological models. The devel-
opment of empirical ecological modelling approaches
and associated risk evaluation systems will enhance the
understanding of data needs and the development of a
common framework to assess this information.
This section presents a general risk assessment for
transport of ballast water with Crude oil carriers from
different donor areas into Europe (recipient area)
applying the risk evaluation approach using the DNV
EMBLA concept, which is outlined in Fig. 4.
5.2. Risk assessment for ballast transport into the western
coast of Norway
The origin of ballast water discharged in ports by
large vessels is normally well defined according to vessels
types and/or cargo. Thus it is possible to undertake risk
assessments for transport of ballast water from one area
to another area. The risk assessment approach allows
differentiation on the use of treatment (exchange or any
other type of treatment) based upon the risk posed by
the ballast water transported.
A crude oil transport model has been developed by
means of a Geographical Information System (GIS).
Fig. 3 illustrates the relations between loading and
unloading locations for Crude oil carriers greater than
50,000 Dwt (Endresen et al., 2003a). Based on the GIS
model input data, the amount of ballast water, discharge
frequency and voyage duration are calculated. Com-
bining these results with ecological information it is
possible to estimate the overall risk for this fleet seg-
ment by applying the risk evaluation methodology in
620 Ø. Endresen et al. / Marine Pollution Bulletin 48 (2004) 615–623

Fig. 3. Export (loading) and import (discharge) areas of ballast water by large crude oil carriers in 1996.

EMBLA. To illustrate this method, risk is estimated for

selected sea routes into the western coast of Norway
(Table 3).
The overall risk evaluation indicates that ballast wa-
ter from the northeast coast of the US poses a high risk
irrespective of season. This is due to the high biogeo-
graphical compatibility level between the east coast of
the US and western coast of Norway, 1994, and the
overlap in physical conditions as temperature and
salinity. Water from Piraeus, Greece is estimated to have
a high risk level during spring and a medium risk level
for the rest of the year. A more detailed risk analysis on
species and ship level can be undertaken when more
data is available.

5.3. Risk reduction

For the high and medium risk routes, assessment of

Fig. 4. EMBLA risk assessment structure (Behrens et al., 2002).
the ballast management onboard is recommended for
the purpose of minimising the risk potential through
improved internal ballast water management. For fur-
ther reduction of the environmental risk, ballast water
exchange or treatment by an approved technology
should be used. Ideally, for high risk routes, open ocean
exchange should only be accepted if it can be docu-
mented that the exchange is biologically efficient,
otherwise other technology should be applied. Currently
no ‘‘silver bullet’’ technology is available, but the new
opportunities for good technological solutions are
driving research, and a number of technologies are
 Ø. Endresen et al. / Marine Pollution Bulletin 48 (2004) 615–623
Table 3
Biogeographical evaluation of transport of ballast water from selected regions to the western coast of Norway (Eastern Atlantic Boreal region)
Donor area Recipient area
USA, Chesapeake bay area Western coast
Canada, Vancouver area Western coast
Greece Western coast
Spain, Atlantic coast Western coast
a
Compatibility evaluation is based on the work of Ekman (1953) and Briggs (1974, 1995).
under development (Hallegraeff, 1997; Buchholz et al.,
1998; Oemcke, 1999; GloBallast, 2002a; Ruiz et al., 2001;
AQIS, 2002; Brynestad, 2002, Cangelosi et al., 2001,
Rigby et al., 1999; Tamburri et al., 2002, URS/Dames
and Moore, 2000).
As physical methods cannot practically remove all
organisms and most of the chemical/ionisation methods
require an initial ‘‘clean-up’’ step before the desired ef-
fect can be assured, the use of combinations of methods
is often considered. There is a need for the development
of internationally agreed and approved performance
standards and evaluation procedures for the formal
acceptance of any new techniques that are developed to
ensure compliance with defined ballast water standards
(i.e. the IMO ballast water standard to be outlined in the
forthcoming convention). Such performance standards
must also take into account the occupational safety and
health issues. Several institutions are at present working
on developing such standards (Andersen et al., 2003;
Stevens et al., 2003) that are expected to be finalised
during 2004.
6. Discussion
The total amount of ballast water unloaded from
ships in international trade is estimated to be 2200 Mton
in 2000. Tankers and bulk carriers account for about
76% (37% oil tankers + 39% bulk carriers) of the total
ballast water volumes. These vessels mainly operate
within a fairly well defined set of international trade
routes. General Cargo and Container vessels, often
sailing with a mix of ballast and cargo comprise a major
part of the remaining 24%. Untreated ballast water
discharged by ships in national trade is estimated to be
1300 Mton, resulting in global annual amount of 3500
Mton. This figure is significantly lower than previous
reported estimates.
The global ballast water amount discharged into
open sea is estimated to be around 2788 Mton taking
into account the use of flow through method and
practical and operational issues. A mid-ocean exchange
of 2788 Mton of ballast water represents an annual
treatment cost of USD 40–60 millions. Using alternative
treatment methods is expected to introduce higher costs
to the industry. The ballast treatment methods used will
621
Compatibilitya Compatibility level
of Norway Compatible High
of Norway Compatible High
of Norway Compatible Medium
of Norway Compatible Medium
vary according to ship type and requirements set by the
authorities, but developing methods for large volumes of
water is a challenge that has not yet been adequately
met.
Risk based decision support systems coupled to data
bases for different ports and invasive species character-
istics and distributions can allow for differentiated
treatment levels while maintaining low risk levels.
Within certain routes as from the northern US to wes-
tern coast of Norway, the risk is estimated to be unac-
ceptable and some kind of ballast water treatment or
management should be applied.
Another challenge is the documentation of poten-
tially invasive species in the water taken on board. An
international harbour monitoring network and database
regime is necessary to make risk assessment a viable
alternative. As the presence of organisms can vary
greatly by season, monitoring would have to be on a
regular basis. Advances in rapid genetic detection
methods may enable the development of simple diag-
nostic tests that can detect the presence of selected
indicator species.
Although this paper focuses on the ballast water
transfer the authors acknowledge that other vectors may
be equally important and must be considered for any
ecological system.
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