### The Treatment ofShips' Ballast Water 

# The Treatment ofShips' Ballast Water.

Darren Oemcke*

*School ofEngineering, James Cook University, Townsville, QLD 4811, Australia

Present address: Gutteridge, Haskins and Davey Pty Ltd POBox 930 Townsville Qld 4810



# EcoPorts Monograph Series No. 18 March 1999

PORTS CORPORATION 

### QUEINSlAND 

# . :



# .**\~."''$o** ..........**",,~** ....

Ports Corporation of Queensland ISSN 1326-4338 ISBN 1-876366-06-0 Published March 1999 By the Ports Corporation of Queensland

GPO Box 409 Brisbane Qld 4001

The opinions expressed in this document are not necessarily those of the Ports Corporation ofQueensland
The Ecoports Monograph Series is published by the Ports Corporation of Queensland to disseminate information about and results from its corporate environment program

The correct citation for this report is: Oemeke, D (1999). "The Treatment of Ships' Ballast Water" Ecoports Monograph. Series No. 18 (Ports Corporation of Queensland, Brisbane), 102pp. 

# .


# ..'



# ..The Treatment ofShips' Ballast Water



# FOREWORD

The Treatment of Ships ,Ballast Water monograph is the culmination of three and a half years research by Mr Darren Oemcke. Ithas beenjointly supportedby the Cooperative Research Centre for the Ecologically Sustainable Development ofthe GreatBarrierReef (CRC), based at James CookUniversity of North Queensland, and the Ports Corporation of Queensland as part of its environmental Ecoports programme.

The Ports Corporation has co-funded the work into this very important aspect of worldwide shipping operations; the question ofhow to address the treatment of ballast water to minimise the risk ofthe spread of exotic organisms. The Corporation and the CRC believed that it was necessaryfor ballast watertreatment to be rigorously evaluated using the best techniques available, both to determine the treatments that are likely to be successful as well as those that are not. This is some ofthe first work ofits kind and has led to a synthesis ofimportant data and new ideas. The work by Mr. Oemcke at the CRC provides the shipping and ports industries ofthe world with considerableinformation as to how they may proceed to practically implement treatment ofballast waterin an environmentally responsible and economical manner. Particularly, the work has provided insights into design requirements for ballast water treatmentplants andthe practical difficulties associated with exchange of ballast water at sea.

While management orientedresearch is the basis of the charter ofthe CRC, the Corporation is operationallyfocused and does not usually providefinancial support for fundamental research. However, in this case, the Corporation took the view that this strategic research would be ofsubstantial long-termbenefit and could be used to 'prime' further practical development of ballast water treatment by others. This report is a fine example ofhow industry and research institutions can work together, through the CRC mechanism, for mutual benefit and meet both industry and national objectives. It represents a discrete and measurable achievementresulting from this cooperation.

The Corporation and the CRC recommend that both the national and international maritime industries take this work into consideration as they further address ways of reducing the importation ofexotic species that have occurred, and are still occurring, as a result of ballast water being discharged into ports throughout the world.

Derek G Andrews Simon Woodley ChiefExecuti ve Officer Director Ports Corporation ofQueensland CooperativeResearch Centre for the Ecologically Sustainable Development of the Great Barrier Reef

11

### The Treatment ofShips' Ballast Water



# ACKNOWLEDGMENTS

This report results from research into methods for the control ofexotic species transported in the ballast water of ships. The author wishes to acknowledge the contributions of the individuals and organisations who have contributed to this project.

The research was funded, in the main, by the Ports Corporation of Queensland and the Australian Cooperative Research Centres Program through the Cooperative Research Centre for the Ecologically Sustainable Development of the Great BarrierReef. Additional funding was provided by James Cook University through its Merit Research Grants Scheme and the School ofEngineering.

Professors J. (Hans) van Leeuwen and John Patterson have been instrumental through their supervision of the research. Theproject could not have proceeded without the support and assistance of Mr. Steve Raaymakers and Mr. Steve Hillman from the Ports Corporation of Queensland and ProfessorChris Crossland, Ms. Anne Tucker, Ms. Siriol Giffney and Mr. Simon Woodley from the CRC ReefResearch Centre. Many other people assisted with valuable advice and/or assistance with the project. They include: ProfessorDilwyn Griffiths, Dr. Lachlan Harris, Associate Professor Warren Shipton, Dr. Graham Jones, Dr. Micheal ten Lohius, ProfessorJim Burnell and Dr. Jim Woodward from James Cook University; Ms Penny Lockwood, ofthe Australian Quarantine and Inspection Service; Dr. GustaafHallegraeff, University of Tasmania; Dr. Cameron Hay, Cawthron Institute; Dr. Chad Hewitt, Centre for Research on Introduced MarinePests; Dr. Robert Hilliard, LeProvost, Dames and Moore; Dr. Dario Comar, Microtech Pty. Ltd.; Mr. Alec Bilney, International Chamber of Shipping; Ms. Caryn Anderson and Mr. Chris Patterson, Townsville Port Authority; Dr. GeoffRigby, BHP (now ReninnaPty Ltd.); Ms. Lyn Mcilwain, Golder and Associates; Mr. Bill Robson, Queensland AluminaLtd.; and Mr. MikeRiley (Alsoc).
Support has been provided by the water treatment industry, particularly UVS Ultraviolet Pty. Ltd. and Watertec Engineering Pty. Ltd.. Access to ports has been enabled by the TownsvillePort Authority, Port of Mourilyan, Port of Lucinda, and Port of Abbot Point. Access to ships has been enabled by Brambles Seacargo, Burns Philp Shipping Agency, ASP Ship Management, Adsteam Agency and Northern Shipping Agency. Advice and assistance has been provided by a large number of equipment suppliers, including Memtec (now US Filters), Amiad AustraliaPty. Ltd., Triangle Filtration, Australian Ultra-Violet Pty. Ltd., Wetworld Pumps and Irrigation, Wilson Walton, Hydrotech and Aquatec Maxcon Pty. Ltd.

111

### The Treatment ofShips' BallastWater


## TABLE OF CONTENTS

FOREWORD ii

ACKNOWLEDGEMENTS iii

TABLE OF CONTENTS iv

EXECUTIVE SUMMARY 

### viii

STRUCTURE OF THE REPORT x



### PART 1INTRODUCTION, RESEARCH RESULTS & 

### RECOMMENDATIONS 1

INTRODUCTION 

### 2

1.1 THE BALLAST WATER TREATMENT PROJECf 3 1.2 AIMS OF THE PROJECT 3 1.3 RESEARCH CONDUCTED TO MEETTHE AIMS OF THE PROJECT 3 1.4 SUMMARY OF MAJOR EXPERIMENTAL RESULTS 4 104.1 Identification oftreatment technologies and test organisms 4 1.4.2 Characteristics of ballast water 5 104.3 Ozone 6 1.404 Ultraviolet irradiation (UV) 6 1.4.5 Other tests 7



### 2 TRANSLOCATION OF MARINE ORGANISMS 8

2.1 INTRODUCTION VECTORS 8 2.2 OPERATIONALIMPORTANCE OF BALLAST WATER TO SHIPPING 9 2.3 BALLASTING AND DEBALLASTING CYCLES 10 2.4 BALLAST WATER VOLUMES ENTERING AUSTRALIAN WATERS 11 2.5 EVIDENCE FOR BALLAST WATER TRANSPORT OF MARINE ORGANISMS 12 2.6 REQUIREMENTS FOR ORGANISMS TO SURVIVE BALLAST TRANSPORT 12 2.7 INCREASING RATES? 14 2.8 PESTS INTRODUCED IN BALLAST WATER 14 2.8.1 Toxic dinoflagellate algae in Tasmania 15 2.8.2 Northern Pacific Seastar in Tasmania 15 2.8.3 Zebra mussel in the Great Lakes of NorthAmerica 15 2.8.4 Comb jellyfish in the Black Sea 15 2.8.5 The transfer of epidemic cholera 16 2.9 REGULATORY RESPONSES TO BALLAST WATER TRANSFERS 16



### 3 ANALYSIS OF TREATMENT TECHNOLOGIES 

### 18

4 SUMMARY OF POTENTIAL TREATMENT SYSTEMS 

### 19
4.1 IN-TRANSIT TREATMENT 19 4.2 LAND AND PORT-BASEDTREATMENT SYSTEMS 20 4.3 SHIP-BOARD TREATMENT DURING BALLASTING 20

iv

### The Treatment of Ships' Ballast Water

4.4 REFINED MODEL OF SHIP-BOARD BALLAST TREATMENT SYSTEMS 21 4.5 COMPARING BALLAST TREATMENT SYSTEMS 22 4.5.1 The need for a basis to compare ballast water treatment options 22 4.5.2 Non-quantitative bases for comparison 23 4.5.3 Comparing costs 24



### 5 PROPOSED PILOT PLANTS 25



### 6 RECOMMENDATIONS 29

6.1 BALLASTMANAGEMENT 29 6.2 BALLASTTREATMENT 29 6.3 UNDERLYING SCIENCE 30



### PART 2 ANALYSIS OF CURRENT AND POTENTIAL MANAGEMENT AND TREATMENT OPTIONS 

### 31

7 BALLAST WATERMANAGEMENT OPTIONS 

### 32

7.1 BALLASTINGMICRO-MANAGEMENT 32 7.2 BALLAST EXCHANGE AT SEA 34 7.2.1 The ballast exchange at sea processes 34 7.2.2 Efficiency of ballastexchange at sea 35 7.2.2.1 Reballasting 35 7.2.2.2 Ballast dilution 35 7.2.2.3 Studies on exchange, with method not specified 36 7.2.2.4 Behaviour of organisms 37 7.2.3 Safety ofrebaliasting 37 7.2.4 Time taken to exchange ballast 39 7.2.5 Costs of ballastexchangeprocesses 39 7.2.6 Compliance with voluntary exchange guidelines 40 7.2.7Monitoring compliance with exchange 41 7.3 THEPART LOAD PROCESS 42
7.4 THE ROLE OF RISK ASSESSMENT IN BALLAST MANAGEMENT 42 7.5 INTEGRATED BALLAST MANAGEMENT 43 7.6 SUMMARY OF ISSUES FOR BALLAST MANAGEMENT 44



### 8 BALLAST WATER TREATMENT OPTIONS 45

8.1 ISSUES AFFECTING BALLAST TREATMENT 45 8.1.1 Use of treatedwater as ballast 45 8.1.1.1 Costs of potable (drinking) water 45 8.1.1.2 Shore-based treatment plants for ballasting 45 8.1.2 Ship-board treatment during ballasting 46 8.1.3 Ship-board treatment in-transit 46 8.1.4 Use of biocide shock dosing 47 8.1.5 Ship-board treatment during deballasting 47 8.1.6 Port-based treatment at deballasting (treatment ship or shore-based) 47 8.1.7Discharge to sewer 49



### 9 DISINFECTANT TECHNOLOGIES 

### 51

9.1 CHEMICALAND PHYSICAL CHARACTERISTICS OF BALLAST WATER 51 9.2FACTORS INFLUENCING CHOICE OF DISINFECTION AGENTS 52

v

### The Treatment of Ships' BallastWater

9.2.1 Biocide demand 52 9.2.2 Residual contact time 52 9.2.3 Natural decay 53 9.2.4 Temperature 53 9.2.5pH 53 9.2.6 Particulates 54 9.2.6.1 Organisms in resuspended sediments 54 9.2.6.2 Vibrio survival strategies 54 9.3 VIABLE, NON-CULTURABLE CHOLERA. 54 9.4 PHYSICAL DISINFECTANTS 55 9.4.1 Filtration 55 9.4.1.1 Sizes of Organisms 55 9.4.1.2 Elasticity/plasticity 58 9.4.1.3 Filtration technologies 58 9.4.2 Cyclonic seperation 60 9.4.3 Ultraviolet irradiation (UV) 60 9.4.4 Heat 62 9.4.5 Ultrasound 63 9.4.6 Magneticfields 64 9.4.7Electric fields 64 9.4.8 Enhancedmechanicaldamage 65 9.5 CHEMICALDISINFECTANTS 65 9.5.1 Chlorine 65 9,5.2 Other halogens 67 9.5.2.1 Bromine 67 9.5.2.2 Iodine 67 9.5.4 Chlorine dioxide 68 9.5.5 Ozone 69 9.5.6 Hydrogen peroxide 70 9.5.7 Organic chemicals 70 9.5.7.1 Glutaraldehyde 70 9.5.7.2 Glycolic acid 71 9.5.7.3 Peracetic acid 71 9.5.7.4 Proprietary biocides 71 9.5.8 Copper ions 71 9.5.9 Copper + Silver systems (Cu/Ag) 72 9.5.10Ionising radiation 72 9.5.10 I Gamma irradiation 72 9.5.10 2 High energy electron beam irradiation 72 9.5.11 Photochemistry 72 9.5.12 Oxygen deprivation 73 9.5.13pHadjustment 73 9.5.14 Salinity 73 9,5,15 Tank coatings 73 9.6 OTHER 74



### PART 3 SUPPORTING INFORMATION 

### 75

10 SUPPORTING INFORMATION 

### 76

10.1 DEFINmONS 76 10.2 ACRONYMS 77 10.3 SYMBOLS 77 10.4 COSTCONVERSIONS 78



### REFERENCES 79



### vi

### The Treatment ofShips' Ballast Water


## EXECUTIVE SUMMARY

Ballast water is recognised internationally as a vectorfor the translocation ofinvasive marine organisms. This has led the Ports Corporation and the CRC ReefResearch Centre to become involved in a number of studies aimed at finding ways to reduce the risk of introducing marine pests to Australia via ballast water.

Ballast wateris one ofa numberofvectors for the introduction ofexotic organisms in the shipping industry, and has received considerable attention since it was first confirmed as a transport vector in the 1970s, although it had been postulated as a dispersal mechanism for plankton as early as 1908. An international research and regulation efforthas evolved since the mid 1980s, which has identified some strategies for controlling species introductions via ballast water. One of the most significant results of this effort is the development ofnational and international regulations to control the movement of ballast water. Several countries, including Australia, have unilaterally introduced controls (mostly voluntary), and the International Maritime Organisation is in the process ofintroducing international controls on ballast water.
At present the only control options are managing ballast uptake, mid-ocean exchange ofballast water, where the ballast wateris replaced by oceanic water, and the ability to refuse ships permission to discharge. The effectiveness of managing the uptake of ballast water is limited by the ballasting requirements of ships. There are two methods of mid-ocean ballast exchange: reballasting and ballast dilution (flushing), which will reduce the risk of exotic species translocation via ballast water. Both ballast exchange processes are, however, only partially effective at replacing coastal ballast water with oceanic water, and cannot be used by coastal shipping as they do not enter oceanic water. Reballasting is also considered by the shipping industry to be dangerous for many ships. Ballast dilution is a safer operation, but less efficient. Both exchange processes can take considerable time and it is presently difficult to monitor compliance. In somejurisdictions, ships that do not comply with mandatory exchange requirements can be forced back to sea, or to alternative zones to exchange their ballast.

Other methods for controlling the transfer of exotic marine organisms in ballast water require investigation. Ballasting and reballasting procedures mean that treatment in port, such as land-based treatment, treatment ships, discharge to sewer, and pumping treated water aboard during ballasting, will be difficult for many ship types and trading patterns. It

### will be difficult to operate purpose built, port-based ballast water treatment plants economically for most of the industry. The cost and availability of adequate volumes of potable water, and the availability of appropriate sewerage treatment facilities limits the applicability of these options.

Treatment on board ships can be fitted into ships' ballasting practice and has the potential to be widely applied. It

### can be conducted during ballasting, whilst the ship is
en route 

### or during the discharge ofballast water. The rate at which ballast is discharged means that treatment duringballasting will be more effective than during deballasting. The only option for en route 

### treatment, at present, is heat treatment using

VllTheTreatment ofShips' BallastWater

waste heat from ships' engines, which is effective for manyplankton but ineffective for many other organisms, particularly pathogenic microorganisms. Heattreatment alsorequires a numberofdays, both to raise the temperature ofwater in ships, and for the heat to have an effect on organisms. The constraints on this option need to be

more fully determined, so that the future role and efficacy ofthis treatment process for particular shipping routes and vessel types can be evaluated.

Clarification by filtration or cyclonic separation during ballasting have potential for ballast water treatment. Screens with a size of 50 urn should remove most, if not all, zooplankton, and smaller screens (20 urn) will remove the hypnocysts oftoxic dinoflagellate algae, which are a majorconcern in ballast water. Hydrocyclones are claimed to be effective for the removal many organisms and should remove dinoflagellate algae. These systems also remove turbidity and willbe effective for reducing turbidity priorto the application of disinfectants (by a non-mechanical centrifugal action). Clarification needs to be pursued, and pilot plant testing is required to determine the constraints on these processes, such as sedimentplumes and algal and zooplankton blooms.

These systems will not be effective for smallerorganisms in ballast water, so secondary treatment with a disinfectant may also be necessary. Options with broad potential for secondary disinfection are considered to be ultraviolet (UV) irradiation and high powerultrasound. UV irradiation has undergone laboratory testing, which has identified some ofthe constraints on this option for ballast water and now requires both pilot plant and further laboratory testing on a wider range of marine organisms. High powerultrasound is a new technology for watertreatment, and because of this there is inadequate data to determine its overall cost effectiveness as an option. A 'watching brief' is recommended for ultrasound, and when the link between laboratory results and large scale plants is understood, laboratorytesting on species of

concern in ballast water should be pursued. Chlorine dioxide may also have a role, but small scale laboratory tests are needed to evaluate its potential. Ozonehas been evaluated and only has potential for smaller organisms in ballast water and, will require fine filtration (less than 5 urn) to be effective. Chlorine is similarly constrained.

A major limitation for comparing the effectiveness ofballast water treatment options is the lack ofmeaningful criteria for effectively comparing the various options and combinations ofoptions. There are no criteria or standards for ballast water treatment that can be used to decide whether a particulartreatment is effective to a predetermined, desirable level. Until a system of comparing options on the basis ofthe cost to remove particular organisms to a pre-determined level of invasion risk is developed it will be difficult to rationally compare ballast watertreatment alternatives. Such a system might involve: identifying indicator organisms; obtaining an estimate ofthe number and/or concentration of these organisms that constitute an invasion risk; determining the treatmenttechniques and doses to remove the organisms to that level from ambient (or bloom) levels; and, comparethe treatment options on the basis of costto control the indicator species.

viii

### The Treatment ofShips' Ballast Water


# STRUCTlTRE OFTHE REPORT

This report is written, in part, to comply with the reporting requirements ofthe Ports Corporation ofQueensland, and is arranged in three parts to suit this purpose.

PartI contains information on: the ballastwatertreatment project, conducted at James CookUniversity from 1995 to 1998; a definition ofthe ballast waterproblem; a brief description ofthe technologies reviewed for theirpotential to treatballast water; a summary ofpotential treatment systems for ballast water, based on the reviews contained in part II; proposedUV and solids separation pilottreatment plants; and, recommendations for future research.

PartII contains a review ofpotentialballast watertreatment techniques. Ballast water management methods are reviewed in detail, followed by a review ofballast treatment options, with particularregard to how treatment may fit into the operation ofthe shipping industry. The final chapterofpart II is a review ofwaterdisinfection technologies for theirpotential in ballast watertreatment.

Part illcontains definitions, acronyms, symbols, detail on cost conversions and references.

ix

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations


# PART 1 INTRODUCTION, RESEARCH RESULTS & 

# RECOMMENDATIONS

1

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations 

# INTRODUCTION

Ballast water is now recognised as a serious environmental threat due to the risk of introducing invasive marine pests when ballast water is discharged. Ballast water was first postulated as a transfer mechanism for plankton in 1908 (Carlton, 1985) and first demonstrated to be a vector for the transport of living marine organisms in 1973 (Medcof, 1975). The first research on ballast management, using ballast exchange at sea, was conducted in 1976-1978 (Williams 

### et ai., 1988).



### Research into the biology ofballast water has increased steadily in the intervening period, with delegates from 16countries, representing government, United Nations agencies, the shipping industry, universities and research institutes, participating in the most recent International Study Group on BallastWater and Sediments meeting in 1998. Biological aspects of ballast water research include: determining the extent of ballast water transfers; identification of the species present; understanding the ballast environment; management practices for controlling introductions; ballast water treatment; compliance monitoring; risk assessment; and decision support systems.

The management and treatment of ships' ballast water has become an important focus ofattention, although research into these aspects is in its infancy. This review attempts to bring together the research which has been published on the treatment and management ofballast water in the last 10 or so years and identify the areas where further research should be targeted.

Ballast water management and treatment is an important watertreatment issue, and is beginning to generate interest within the international waterquality community as a serious industrial water treatment issue. Researchers and managers working in this field should publish their research results and ideas in internationaljournals that deal with waterquality and treatment, to increasethe readership of ballast water as a water treatment issue. This may lead to ballast waterreceiving more research attention, from a greater breadth of funding than is presently the case, which will lead to the development ofmore effective treatments.

Ballast water management and treatment represents a challenge to water treatment specialists, as many ofthe traditional approaches to water treatment are difficult to implement. This review should help water treatment specialists to better understand the nature ofthe ballast water problem and the shippingindustry, and help biologists understand the benefits of applying specialist skills in water treatment to ballast water. The application of these skills will help to develop a suite, or 'toolbox', of options to suit different ship designs, routes and trading patterns.



### 2

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations 

# 1 THE BALLASTWATER TREATMENT PROJECT

1.1 The ballast water treatment project

This document is part of the outcome of a research project looking at methods to control the introduction of exotic marine pests via ships' ballast water. The ballast water treatmentproject commenced in July 1995 at the CRC ReefResearch Centre and the School ofEngineering at James CookUniversity. Major funding for the project was provided by the Ports Corporation of Queensland and the Australian Cooperative Research Centres Program through the Cooperative Research Centre for the Ecologically Sustainable Development of the Great BarrierReef, referred to as the CRC ReefResearch Centre. Other funding and support was provided by: James Cook University, through the James Cook University Merit Research Grant Scheme; the School of Engineering at James Cook University and water treatment equipment suppliers.

Research was conducted by Mr. Darren Oemcke towards a doctorate, with supervision from ProfessorJ. (Hans) van Leeuwen from the University of New England and ProfessorJohn Patterson from James Cook University. ProfessorArchie Johnston was involved in the initial stage of the project.
Advice on marine algae was providedby Professor Dilwyn Griffiths of James Cook University and Dr. GustaafHallegraeffof the University of Tasmania and advice on marine bacteria was provided by Associate Professor Warren Shipton and Dr. Lachlan Harris ofJames Cook University.


## 1.2 Aims ofthe project

The aims of the project were.

1. To select representative species for disinfection efficacy testing.

2. To identify and evaluate suitable ballast water disinfection technologies.

3. To design a pilot plant for ships' ballast water treatment.


## 1.3 Research conducted to meet the aims ofthe project

Four main sets of research were conducted to meet the aims of the BallastWater Treatment Project and are listed below.

1. Literature review of options for the treatment and management of ships' ballast water. An up to date review is the subject of part IT ofthis report.

2. Determining the constraints that the chemical and physical characteristics of ballast water present for ballast water treatment. This was done by sampling the ballast water of ships arriving in North Queensland for characteristics which



### 3

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations



### would affect oxidising biocides, UV irradiation and filtration. At the same time characteristics which would help determine the efficiency of ballast water exchange were also sampled. This research has been published by the CRC Reef Research (Technical Report No. 23, 1998) and papers submitted to the Journal of Marine Environmental Engineering.

3. Experiments on the ozonation of ballast water. Spores of the bacterium 

### Bacillus subtilis and the marine dinoflagellate alga 

### Amphidinium sp. were used to investigate the potential of ozonation and the effect that the nature of ballast water would have on the treatment technologies. Summarised findings of this component have been published by the Australian Quarantine and Inspection Service as a report entitled 

### Potential ofOzonefor Ballast Water Treatment which

was submitted to the 41 st 

### session (March 1998) of the International Maritime Organisation Marine Environment Protection Committee (MEPC). Papers on this component of the research have been submitted to thejournalWaterResearch, with anotherpapers in preparation.

4. Experiments on the UV disinfection of ballast water. Spores of the bacterium B. 

### subtilis, the marine dinoflagellate alga 

### Amphidinium sp., and vegetative cells and hypnocysts of the marine dinoflagellate alga 

### Gymnodinium catenatum. Several papers on this component of the research are in preparation.


## 1.4 Summary ofmajor experimental results

1.4.1 Identification oftreatment technologies and test organisms

The initial literature review suggested that ozone, UV irradiation and filtration were strongcandidates for ballast water treatment. Organisms selected for the testing of these technologies were spores of the bacterium 

### Bacillus subtilis, the bacterium 

### Vibrio cholerae, the marine dinoflagellate algae 

### Amphidinium sp., and the cysts and vegetative cells of the marine dinoflagellate alga 

### Gymnodinium catenatum.

B. subtilis was selected for testing ozone as it is a hardy organism, similarto the pathogenic 

### Clostridium botulinum, from which toxins have been detected in ballast water, and was used to obtain data on how different environmental conditions in ballast tanks will affect ozone disinfection. It

### was also used to calibrate the UV system. 

### Vibrio cholerae was selected as there are forms and behaviours of this organism for which no disinfection datais available and it is considered an important health risk if transported in ballast water. 

### Amphidinium sp. is a very hardy dinoflagellate alga and relatively easy to culture, and was used to obtain an understanding of the behaviour of dinoflagellate algae after disinfection. 

### Gymnodinium catenatum was used since it is a noxious species which is transported in ballast water, has a very resistant cyst stage and is a 

### defacto standard for ballast water treatment (eg. Hallegraeff, 1998).

G. 

### catenatum was nottested for ozone after the results for B. 

### subtilis and 

### Amphidinium sp. found that very high doses would be required. 

### V. cholerae testing

4

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations



### was not completed as the results ofthe algae tests with UV required more investigation than was initially anticipated.



### 1.4.2 Characteristics ofballast water

A majorknowledge gap identified in the initial literature review was a lack of information on the chemical and physical characteristics ofballast water. The composition is very important as there are a number ofcharacteristics of water which will significantly constrain the design of ballast water treatment plants.

This experiment analysed ballast water for a range of characteristics which would affect ozone (and other oxidising biocides), UV irradiation, filtration and cyclonic separation. Ten ships visiting the North Queensland ports of Mourilyan, Lucinda, Townsville and Abbot Point were sampledfor characteristics including: pH, salinity, temperature, turbidity, total suspended solids, organic carbon, Alkalinity, redox potential, UV transmittance, dissolved oxygen, total and dissolved iron, chlorophyll 

### a, pheophytin, nitrate, nitrite, ammonia, total nitrogen, phosphate and total phosphorus. Sludges and sediments were analysed for some of the chemical characteristics and for particle size distribution. A literature review of the size of organisms was also conducted. The analysis was used to determine the constraints of the ballast water composition on ballast water treatment technologies and to conduct a preliminary analysis on the use ofoceanic water characteristics to determine the effectiveness of ballast water exchange.

Constraints identified for the use of ozone were the presence ofcorroding iron which is likely to reduce oxidantresiduals in some regions of ballast tanks, and the presence of sediments, which can contain high levels of organic material and are likely to reduce oxidant residuals around the sediments. No constraints for UV treatment during the ballasting process were identified. ForUV treatment after ballasting, however, the presence ofiron is likely to cause fouling of the transmitting surfaces of UV reactors. Both ozone and UV will require pre-clarification, and 20 to 50 urn filters

or hydrocyclones would probably be adequate. The size ofthe clarification system would need to be determined by pilot tests. Filtration or hydrocyclones could also be used as a stand alone disinfectants. Selfcleaning screens of 20 to 50 urn or newly developed hydrocyclones appearto be the most likely options, depending on the targeted organism.

In 

### addition to the need to determine the constraints of ballast watercharacteristics on treatment systems, chemical profiling was used to determine the efficiency of ballast exchange and/or compliance with exchange guidelines. The results from chemical profiling suggested that the selection of characteristics for comparison needs to be done with care. Highly mobile components such as dissolved forms of nitrogen were variable and often high, and recontamination of bulk water from sediments is likely. Chlorophyll 

### a and pheophytin appeared to behave in the same manner. Redox potential is a poor indicator as the conditions in ballast tanks seem to reduce this measure, and turbidity appeared be particularly affected by the presence ofiron in the ballast tanks. The effective compliance (vessels for which the chemical profile of the ballast water was similar to oceanic water) was 43 to 86%.



### 5

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations


### 1.4.3 Ozone

To determine the potential of ozone for ballast water treatment, two sets of experiments and a modelling process for in-transit treatment were conducted. The first set of experiments investigated the effect of dose, pH, the presence of iron and organism strain on the inactivation ofB. subtilis. The second set ofexperiments investigated the effect of ozone dose onAmphidiniumsp..

The experiments on B. subtilis showed that doses of up to 14 mgIL were required to achieve an adequate disinfection (99.99% inactivation) at a pH of 8 with a 24 hour contact time. Reducing the pH to 7 reduced the dose required for 99.99% inactivation to 9 mgIL with the 24 hour contact time. Iron from corrosion also significantly reduced the effectiveness of ozonation. For the inactivation ofAmphidinium sp. ozone doses of up to 8 mg/L were required for a 99.99% inactivation. These doses are high, and with additional ozone demand from coastal water, doses of more than 10 mgIL are likely to be

### required. A cost modellingprocess based on these results suggested that the costs of ozonation to remove organisms from water would be very high. Based on data on the chlorination of G. catenatum cysts, it is predicted that the dose for inactivation would be even higher, and since it is feasible to remove them by filtration or hydrocyclone prior to treatment they were not tested.

In addition to this disinfection efficacydata, it is likely that ballast water sediments will contain areas of chemicallyreducing conditions caused by sediments (which can contain high levels of organics and corrosion products). Ozone residuals are not likely to be effective in these areas. Furthermore, experiments showed that ozone can increase corrosion, or the consumption of sacrificial anodes. The major conclusions from these experiments are summarised below.

1. Ozone is not appropriate as an in-transit treatment system as it is not possible to cost effectively apply the ozone dose required to inactivate all organisms, particularly dinoflagellate cysts. Filtration or hydrocyclones, cannot be used as a pretreatment for in-transittreatment systems, unless conducted during ballasting. 2. Ozone may have a role as a treatment to remove viruses, bacteria and some protozoa and algae after filtration during ballasting, or in land-based treatment systems. However, filtration system selection will be important as bacterial spores and other organisms smallerthan 5 to 10 urn will be ozone resistant or require very long contact times.



### 1.4.4 Ultraviolet irradiation (UV)
Experiments showed potential for UV to be effective in ballast water at doses which could be cost effective. A large number oftests were conducted onAmphidiniumsp. and on both vegetative gametes and cysts of G. catenatum.

For the control ofAmphidinium sp. the storage of the organism in the dark (as occurs in ballast water) for three to five days after irradiation with UV will result in adequate disinfection using doses of about 100 mWstcm2• 

### The response to dark storage of this organism was extensively examined. Prefiltration at 20 urnpriorto treatment

6

### The Treatment ofShips' Ballast Water Part 1:Introduction, Research Results and Recommendations improved the efficacy ofUV irradiation, probably by removing floes ofalgae and organic waste, thus aiding the penetration ofUV to individual organisms. Elevated temperature (32°C) increased the rate ofinactivation.

### Amphidinium sp. is not an organism which is ofconcern in ballast waterbut was used to examine the effects of UV as it is a very hardy organism. The results ofthis research need to be extended to otherorganisms that are ofconcern in ballast water.

The vegetative cells of G. 

### catenatum responded in the same manner as the 

### Amphidinium sp. to dark storage and elevated temperatures with a dose ofless than 50 mWs/cm2 required for complete inactivation (>99.98%). G. 

### catenatum cysts were completely unaffected by UV, at doses ofup to 1,600 mWs/cm2

. Forcontrol ofthe cysts filtration or cyclonic separation will be required as a UV pretreatment. Filtration to 25 IJ-m would be required for G. 

### catenatum and 20 IJ-m for other species ofcyst producing dinoflagellates. The density ofdinoflagellate cysts suggests that hydrocyclones could be effective.

Datafrom the literature suggest that a UV dose ofaround 60 mWscm-2 will be effective for the removal ofbacteria, most viruses and many protists and a dose of 120 mWs/cm2 for almost all microorganisms excepthighly resistant cysts and viruses. A range ofnew and modified UV systems have been developed, which have the potential to improve inactivation in turbid waterand for resistant organisms. Furthermore, the actual conditions in ballast tanks may increasethe inactivation of organisms afterthey have been damaged by UV.

The majorconclusions from these experiments are summarised below. 1. Laboratory based UV testing needs to be extended to a widerrange oftarget organisms in ballast water. 2. Pilot scale testing ofUV and filtration/cyclonic separation needs to be conducted with an objective oftesting in conditions which will challenge the system, such as algal and zooplankton reproductive blooms and sedimentplumes. It also needs to be done underconditions which realistically reflectprocesses which will occur in ballast tanks aftertreatment.



### 1.4.5 Other tests

A magnetic system was tested against

### B. subtilis but with no effect.

Heat treatment without UV irradiation was also a component (controls) ofthe UV tests and produced some interestingresults.

### Amphidinium sp. was unaffected by temperatures of32°C, but was completely inactivatedby 38°C after 24 hours in the dark. Vegetative gametes ofG. 

### catenatum were completely inactivated (>99.98%) by

a temperature of23°C after 5 days in the dark. Cysts ofG. 

### catenatum were inactivated (>90%) after 3 days in the dark at 32°C. These datarepresent the lowest temperatures and longest contacttimes described for heat treatment ofdinoflagellate cysts.

7

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations



# 2 TRANSLOCATION OFMARINE ORGANISMS

2.1 Introduction vectors

Marine organisms are translocated around the world by various means such as those listed in box 1 (eg. Minchin & Moriarity, 1998; Minchin, 1996; Baltz, 1991; Carlton, 1985).



### Box:J:Somedisper$alveetors for marineorganisms
Ships ilrtdboats (halls, ballast, other)**Oy~ters** (surface,·

## soft tissue, entrainedsediIJlents)**Aquaticpl~ts** i\lgaepacked with fishery products Specimensimportedfor aquaria (publiCand private) Discarded fish bait Canals Currents Driftil1

The three major vectors for species introduction are ships' ballast water, ships' hulls and mariculture (based on Hewitt, 1988). There are a number ofother areas on ships that couldbe responsible for the introduction ofmarine pests, as shown in figure 1. In Australia, ballast water couldbe responsible for 24-33% ofthe estimated 170+ introduced marine species (Hewitt, 1988; Hilliard 

### et al., 1997).

Sanitary system water
Engine Fire COOling water Ballast Incidental Chain locker water water w

..... and sediments control wa'" PropeJler

ohen cooling water No.4 HOLD Fouling in propeller

sheft Foulng (seacheet & 

# i
Bilgewat.er In'.mol piping) Fouling(yesoe! hulQ Fooling (ardlore & cheln)



### Figure 1. Areasof ships from which organisms canbe introduced (adapted from Hayes & 

### Hewitt, 1998)

8

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations 

## 2.2 Operational importance ofballast water to shipping

Ballast water is carried by ships that are not adequately loaded with cargo to ensure safe travel. Ballast water keeps the propeller sufficiently immersed to minimise wake induced vibration and to maintain propulsion efficiency. It

### ensures the ship is stable and manageable during transit by adjusting trim (weight distribution) and draft (depth) to suit prevailing sea conditions. Ballast is also used to keep shear stresses and bending moments within safe limits during transit (Thompson Clarke Shipping, 1993).

Ballast water is carried in purpose built ballast tanks and, on some vessels, in specially strengthened cargo holds. The location, size and configuration of ballast tanks varies with age, vessel type and shipbuilder. Figures 2 and 3 show the configuration of ballast tanks on some types ofvessel.

No.4 Hold or Deeptank Machinery spilce

TopsideTanks

Hetchcoomlng

length B,P. Beammid. 141m 2O-Sm Depth mid. 12-OSm

Inner bottom**klngltU<liNl~** 

### \

.......---,,....-Tf----r--r-r4co-TOT-oI0101ol"Ol

## "~-~-~l

I 

# I

, 

# I

I

# I

I 

# I

I

HopperTanks 

### Figure 2. Layout ofballast tanks and midship section of a handysize bulk carrier fitted with separatetopside tanks; doublebottomand side hopper tanks are combined (Derrett, 1990)

9

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations

1ii .!!! <0 co Cargo



### -, Cargo

/ 1ii .!!! <0 co

Ballast



### Tanker Panamax size oil bulk ore carrier

Containers

Cargo Hold

Ballast Ballast Containers



### Great Lakes bulk vessel, Container ship intermediate class 

### Figure 3. Mid-section views of several differenttypes ofship, showing the ballast tank arrangements (NRC, 1996)


## 2.3 Ballasting and deballasting cycles

A simplified example of the ballasting and deballasting cycles of ships servicing Australian ports is shown in figure 4. Ships leave Australia full of cargo, with minimal ballast on board and travel to their destination where they unload cargo and take up ballast water. This ballast wateris then transported to Australia where it is unloaded before or during cargo loading.

The ballasting cycle is actually more complicated than suggested in the diagram. Ships also take ballast aboard to adjust trim and draft during travel to suit prevailing sea conditions and vessels can contain ballast from several ports as illustrated in the example given in box 2 (adapted from NRC, 1996). The ballast waterofcargo ships has been recorded as having waterfrom four previous ports (Chu 

### et al., 1997). Implementation of changes to ballastingpractices is very complex, and discussed in later sections.



### 10

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations

APPROACHING

AUSTRALIA

No cargo Full ballast DESTINATION PORT Unload cargo Load ballast

LEAVING AUSTRALIA Full cargo No ballast**.~.**



### Figure4. Simplifiedballastingand deballastingprocedures using bulkexports from Australia as an example

.•••.....•.•. Box 2. Complexity of:ballastingpatterns (adaptedfromNRC,1996)
A ship unloads cargo at a destination,' having arrived with some ballastalready on board. Itunloads its cargo,taking on additional ballast for atransoceanic voyage to pick 

### upcargo fro)D overseas. During its oceanic passage, additional ballastis pumped aboard to suit heavy sea conditions, to adjustfor fuel and freshwater consumption, or to further adjuststability. Upon arrival at its destination, thevessel.now contains ballast from two ormoresource Ports and from the ocean. This ballast is then discharged to enable it toj)iCk up)DorecarJ.!io.

... .... . ..


## 2.4 Ballast water volumes entering Australian waters

It 

### is estimated that in ]99] there were] 21 million tonnes ofballast water discharged into Australian ports as a result of over 4,500 international ship visits (Kerr, ]994). this translates to more than 13 million litres per hour. Similar rates of ballast transfer occur in the United States of America, with an estimate of more than 9 million litres per hour, i.e. 79 million tonnes per annum (Carlton 

### et al., 1995). There were approximately]23 million tonnes ofballast water released to 12 of Queensland's ports as a result of 4,593 international arrivals between]989 and 1995 (Hayes 

### et al., ]996). It 

### is estimated that from August]994 to July 1995, 5.9 million tonnes of ballast water were discharged to Victorian ports as a result of 3,4] 6 ship visits (Walters, ]996).

11

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations 

## 2.5 Evidence for ballast water transport ofmarine organisms

The first suggestion of ballast water as a transport medium for marine organisms was made in 1908 after the introduction of the diatom Biddulphia sinensis to the North Sea in 1903 (Carlton, 1985). In the following years several authors suggested that ballast water had a role in translocating zooplankton and larvae around the world, but it was not until 1975 that the first direct evidence of living organisms in ships' ballast water
was documented (Carlton, 1985).

Medcofand Scribner (Medcof, 1975) found a range of crustaceans, including planktonic and adult benthic copepods, amphipods, an ostracod, polychaete larvae, and chaetognaths in the ballast water of a ship which had travelled from Japan to Eden, New South Wales, a voyage of 14.5 days. The organisms identified ranged in size from 0.5 to 8 mm long. This research was followed in 1976 by the identification of a wide range of plankton and two small fish in ships entering Australia (Williams 

### et 

### al., 1988). A considerable number of studies have since identified a large range of viable organisms in ships ballast water, examples of which are shown in box 3. Copepods have even been recorded to survive in ballast tanks for up to 95 days (Carlton, 1985).

Bac.teria (McCarthY & Khambaty, 1994) Protd?:oai,is (Galil &Hillstrtartn, 1997) Diatomsrl.akshminarayanaet al; 1994; Rigby &Hallegraeff, 1994;iHallegraeff et 01.,.1990) Dinoflagellate**alga~** (Macpona1d & Davidson. 1998; Subba RaoetaL,1 994; 

### I(eqr, 1992; Hallegraeff& Bolch, 1991;**19~2)** Plankton (Chlletal., 1997; Hayetal., 1997; Carlton&;;Geller, 1993; Williams et ol., 1988;,Howarth, 196J; Medcof, 1975) fish (Williams¢tal., 1988;Paxtori & Hoese, 1985)


## 2.6 Requirements for organisms to survive ballasttransport
For organisms to become established in a new environment, they must first be present in a port, then be entrained in ballast water, survive ballasting, survive the trip and survive the deballasting process. They must then thrive in the new environment and establish a viable reproductive population, which may then become a pest when environmentalconditions are suitable. Each oftheseprocesses will result in organism mortality, and very few ofthe organisms originally present in sourceports will ever become pests in a new environment (Hayes & 

### Hewitt, 1998; Scholin 

### et al., 1995; 

### Carlton, 1985). Figure 5 shows this process, with the declining width of the boxes reflecting the reduced organism survival at each stage ofthe process.



### 12

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations



### Figure 5. Processes that an organism must survive if it is to be transported to a
new environmentin ballast water; the width oftheboxes indicates the declining number oforganisms which will surviveeach stage,but are notto scale (Carlton, 1985; adapted by Hayes & 

### Hewitt, 1998; Scholin et al., 1995)
Ships take ballast water from coasts, bays, estuaries, rivers and inland seas, then release it to similarenvironments around the world. Many ofthe receiving environments are perturbed by human activities such as agriculture, urbanisation, industry and changes in hydrodynamics, which make them susceptible to invasion (Rosenthal et al., 1998; Carlton & 

### Geller, 1993; Balz, 1991). Ballast water is alone amongst the areas of ships shown in figure 1, in its capacity to accommodate organisms which spend part or all oftheir lives swimming, benthic species which can vertically migrate, and benthic organisms in re-suspended sediments (Carlton & 

### Geller, 1993).

Some invasions only occur after years or decades of inoculum being continuously transported between sites, and a successful establishmentprobably requires several, if not more, inoculations. Some populations appear to require continuous inoculations to maintain a presence (Hilliard et 

### al., 1997; Furlani, 1996). The success will be affected by inoculant size, physiological condition ofthe invader upon arrival and conditions in the receiving port (Ruiz et al., 1997, Carlton & 

### Geller, 1993). Estuaries and embayments appearto be more susceptible to invasions than rocky and sandy shores.

13

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations This may be due to the higherlevels ofshipping activity in these areas, which leads to

more frequent arrival ofinoculum, or that they are more degraded systems, or due to habitat (Ruiz 

### et al., 1997). There is no evidence, at present, that tropical regions are less susceptible to invasion than temperate regions (Ruiz 

### et 

### al., 1997), although Hilliard 

### et al. (1997) provide circumstantial evidence that coastal communities in the Central Indo-WestPacific region may be more resistant due to a range ofphysical and biological factors.


## 2.7 Increasingrates?

The importance ofballast water as an introduction vectorin Australia, compared with other vectors appears to have been increasing with time, and it is becoming an increasingly important source ofinvasions (C. Hewitt,

### pers. comm.). Ruiz 

### et al. (1997) suggestthat the invasion rate attributable to ballast waterhas been increasing

as a result of changes in tradingpatterns. McMinn 

### et al. (1997) conducted interesting detective work that suggests that the toxic dinoflagellate algae 

### Gymnodinium
catenatum was introduced to Tasmania when the woodchip trade with Japan commenced. The relative importance ofballast water as a vector is also expected to increase as introductions by aquaculture are reduced by improved quarantine methods and fouling communities on ships hulls may have decreased due to effective antifouling coatings (Rosenthal 

### et al., 1998). Hewitt 

### (pers. comm.)disputes that this is necessarily the case and Hay & Dodgshun (1997) found significant fouling communities on an ex-Soviet fishing boat visiting New Zealand.

Carlton & Geller (1993) suggest that increasing numbers, speed and size ofships and increasingly disturbed ecosystems are leading to an increase in ballast water translocations ofmarine organisms. They also suggest that many species, such as polychaetes, flatworms and diatoms, have been introduced but will not be noticed until regions become better studied for these organisms. In Australia the number of introduced marine species detected has increased from 76 in 1995 (Thresher & Martin, 1995) to more than 170 in 1998 (Hewitt, 1998; Hilliard 

### et 

### al., 1997), which probably reflects an increase in the effortto detect organisms (eg. Ruiz 

### et al., 1997).


## 2.8 Pests introduced in ballast water

Many ofthe species introduced in ballast water have caused considerable ecological and economic damage, and some are a direct threat to human health. Species introduced to Australia include toxic dinoflagellate algae, the Northern Pacific Seastar,

### Asteriasamurensis, several species offish, crustaceans, molluscs and polychaete worms (Sutton & Bruce, 1996; Hallegraeff& Bolch, 1991; Jones, 1991). There is also potential for a large number of fish diseases to be transported in ballast water (Munday 

### et al., 1992). International examples of species transfers by ballast waterinclude seaweeds, fish, crustaceans, polychaete worms, molluscs, starfish, other zooplankton and 

### Vibrio cholerae (Ribera, 1995; McCarthy 

### & Khambaty, 1994; Carlton, 1985).

14

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations


### 2.8.1 Toxic dinoflagellate algae in Tasmania

Gymnodinium catenatum, 

### a toxic dinoflagellate alga, was first recognised in 1985 in the area around the port of Hobart, and was probably introduced from Japan in ballast water (McMinn et al., 

### 1997). It

### has recently been found off the coast ofMelbourne and off Port Lincoln in South Australia. The Port Lincoln strain is genetically identical to the Tasmanian population and may have been translocated from Tasmania in ballast water (McMinn et 

### al., 1997). G. catenatum 

### produces paralytic shellfish poisons which can be accumulated by shellfish and cause severe poisoning in humans, and, in extreme cases, death, when the shellfish are consumed (Hallegraeff, 1995). It



### was responsible in 1986, 1987 and 1991 for the closure of shellfisheries in Southern Tasmaniafor periods of up to 6 months (Hallegraeff, 1992).

The identification of cysts of 

### G. catenatum, 

### and othertoxic dinoflagellate species, in sediment samples from ships' ballast tanks have confirmed the role of ships' ballast as

a dispersal mechanism for toxic dinoflagellates (Hallegraeff& 

### Bolch, 1992). A single ballast tank, sampled in Australia, was found by Hallegraeffand Bolch (1991) to contain more than three hundred million cysts ofanother exotic toxic dinoflagellate algaAlexandrium tamarense.



### 2.8.2 Northern Pacific Seastar in Tasmania

The Northern Pacific Seastar, Asteriasamurensis, 

### is thought to have been introduced to Southern Tasmania via ships' ballast in the 1980s, with the first specimen lodged with the Tasmanian museum in 1986 (Morris, 1996). It is now present in very high numbers in the Derwent Estuary, and all areas between Triabunna and the Huon River, where there is considerable concern about the potential impacts to yields in the scallop industry (Turner, 1992).Asterias amurensis 

### adults were found in Port Philip Bay in 1995 and it has the potential to spread from Albany to Eden and possibly from Fremantle to Sydney (Sutton & 

### Bruce, 1996; O'Hara, 1995 in Byrne et al., 1997).



### 2.8.3 Zebra mussel in the GreatLakes ofNorth America

The zebra mussel, Dreissenapolymorpha, 

### was probably introduced to Lake St. Clair in the Great Lakes of North America via ships' ballast water in 1986 (Johnson & 

### Padilla, 1996; Griffiths et al., 

### 1991). It 

### spread rapidly throughout the rest of the Great Lakes, the Hudson, IUinios and Mississippi rivers and is now present in 18 States of the USA and two Provinces of Canada (Johnson & 

### Padilla, 1996). It is estimated to cost US$500m per annum in total nuisance costs by blocking water intakes at power plants, watertreatmentplants and heavy industries and also by fouling fishing nets, boat hulls and buoys (Weathers & 

### Reeves, 1996; Ribera, 1995; Lamarre, 1991).



### 2.8.4 Combjellyfish in the Black Sea

The comb jellyfish, Mnemiopsis leidyi, 

### was introduced to the Black Sea in the 1980s in ballast water from North America (Mutlu et al., 

### 1994; Vinogradov et al., 1989). 

### Since 1989-90 it has contributed to a huge decline in commercial fisheries in the Black Sea, where it decimated anchovy, sprat and horse mackerel fisheries, and the

15

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations

SeaofAsov, where it decimated the anchovy and Asovkilkacatches by competeing for food resources (Vinogradov et al., 1996; Studenikina et al., 1991). Thecomb jellyfish has also spread to the eastern Mediterranean Sea (Kideys & Niermann, 1994).



### 2.8.5 The transfer ofepidemic cholera

TheEl Torbiotype of 

### Vibrio cholerae, responsible for the seventh worldwide cholera pandemic from 1961 to the early 1990s (Epstein, 1993), was found in the ballast and bilge wateroffive cargo ships which were docked in United States ports along the GulfofMexico in 1991 and 1992 (McCarthy & Khambaty, 1994). This discovery suggests that ballast water may have a role in the international dissemination of cholera, which has been shown to survive in seawaterfor periods of50 days (Munro & Colwell, 1996; Levins et al., 1994). The survival ofcholeraby association with algal blooms and colonisation ofthe chitinaceous exoskeletons ofsome marine organisms (Epstein, 1993; Colwell & Spira, 1992) suggests the role ofballast may be in association with the transport ofintermediate hosts as well as free cells.

In 1992, Australiaintroduced testing for the presence of 

### Vibrio cholerae in ships arriving from ports in countries with cholera outbreaks (AQIS, 1994). The Australian Quarantine and Inspection Servicehas commissioned the investigation ofa response strategy for vessels which have been confirmed as carrying 

### Vibrio cholerae (Manning et al., 1996). New sampling and analysis procedures were introduced in 1998 (P. Lockwood,

### pers. comm.).


## 2.9 Regulatory responses to ballast water transfers

TheAustralian Quarantine and Inspection Service introduced voluntary guidelines for the control ofballast waterin February 1990 (updated 1992, reissued 1995 & 1997). Revised guidelines, which require ballast watermanagement, were introduced in August 1998. The new Australian guidelines are summarised in box 4.

In 1991 the Marine EnvironmentProtection Committee (MEPC) of the International Maritime Organisation (IMO) introduced voluntary guidelines for the exchange of ballast at sea, and in 1997 introduced revised voluntary guidelines under IMO resolution A.868(20). The IMO has a target date ofthe year 2000 for the adoption ofa mandatory international framework for ballastmanagement (MEPC, 1998).

New Zealand introduced voluntary controls on ballast water discharges in 1992, with mandatory ballast exchange at seafor vessels arriving from Tasmania during the Northern Pacific Seastar spawning season (July 1 to January 31). The guidelines require inspection in New Zealand prior to discharge, documentation ofballast origins and documented evidence of ballast treatment, with exchange at seathe only currently approved treatment method. Discharge ofsediment is banned and there is allowance for mandatory testing for the presence oftoxic dinoflagellate algae (New Zealand Ministry ofFisheries, 1998).
Mandatory ballast water exchange has also been introduced in the Great Lakes of North America, the Port ofVancouver in Canada, the Port ofHaifa in Israel and in

16

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations
### Chile (United States ofAmerica, 1990; VancouverPort Corporation, 1997; Parliament ofVictoria, 1997). Voluntary exchange at sea has been extended to all ballast water entering the USA (United States of America, 1996). The US legislation has a review process with the option of making guidelines mandatory if compliance with the voluntary guidelines is considered inadequate.

BoX4. Options to complywithAustralian guidelinesfor ballastcontrol.August 1998 (AQIS. 1998a)

Sediments**MandatorY.1iQn-discharg~** of pallast sediments to Australian**water~.**
Water**Mand~?ry** accurate completionofa ballast water reporting formforvesselsgreater than 25m.**Ve~sFlsfailingJo** report will not receive quarantine clearance. Reports will be checked and there**are~nalties** for false reporting after October 1998 under the Quarantine Act (1908). 2. Mandatory.access to ballastwater sampling points under the Quarantine'

### Act (1908). 3.**Balla~~.water** management plan specific to the ship. 4. For failUreto exchange ballast at sea-reasons must-be given. If weather is used as a reason this can be checked.
Acceptable ballastwatermanagementalternatives 1. Nonrdischarge of ballastin**AustJW,i~** 2.**Ball~~~** exchange at sea

### enroutetoAustralia, 3. Dischargeto reception facilities (ifapproyedpy.AQIS). 4.**Ba1I~$tJreatment** (ifa roved b .,AQIS).



### 17

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations 

# 3 ANALYSIS OF TREATMENT TECHNOLOGIES

Box 5 shows disinfectants which have been reviewed for ballast water treatment. Hayes (1998) has suggested the use of a risk assessment framework for determining the efficacy ofdisinfection technologies, which would require data on:

• presence of organisms, • organism life stage,

• chemical resistance of life stages,

• coverage of biocide, and

• required dose of biocide for organism.

Box5.**SoD,l~disinrection** optionsfor ballaSt watertieatl1lent.
Physical-methods: filtration cyclonic separation ultraviolet irradiation heat ultrasound magnetic fields electricfields mechanicaldamage

Chemicalmethods; chlprine otperhalogens (bromine !\ridiodine)**chlora~ne** chlorine dioxide

ozone hydrogen·**pero){i~e** organi()compounds copper ions copper+silyer ioris ionisingradiation photochemistry oxygen deprivation pH adjustment salinity adjustment tank: coatin s



### A complete review (in part II) 

### suggests that the options with the most potential for ballast water treatment are filtration, cyclonic separation, ultraviolet irradiation (UV), in-transit heat treatment using waste heat from the ship's engine and, possibly, ultrasound. Chlorine dioxide also has potential for treatment, but requires additional investigation. Filtration and/or hydrocyclone plus UV irradiation warrant pilot testing for shipboard treatment ofballast water, as they appear to have high potential for costeffective ballast water treatment.

18

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations 

# 4 SUMMARY OFPOTENTIAL TREATMENT SYSTEMS

4.1 In-transit treatment

In-transit treatmentmustbe capable ofachieving an effective disinfection residual throughout the vessel during transit. It must also control as broad a range oftarget organisms as possible.

Ozone, chlorine and brominedo not target dinoflagellate cysts under an in-transit treatment regime, and reduction ofthe residuals at the sediment-waterinterface and

areas ofcorrosion are likely to adversely affect the mostcost-effective dosing methods (See Oemcke & van Leeuwen, 1998a). It maybe possible to arrange chlorine dioxide dosing to make it effective, although benthic organisms in sediments will probably be difficult to remove and local areas ofcorrosion may have a negative effect. Oemcke and van Leeuwen (1998a) reported experimental data and cost modelling ofozonation systems, and concluded that ozone will not be broadly effective for in-transit treatment, on the basis ofcost, the required level of disinfectant residual, and corrosion risk. The only circumstance under which it is likely to be applicable is if pretreatment during ballasting is used to remove most, or all, plankton and dinoflagellate cysts. Carless (1998) recommends such a system with membrane filtration and electrolytically generated chlorinefor the treatment ofcruise ship ballast water.
Options which produce no residual, such as filtration, cyclonic separation, high power ultrasound, magnetic treatment and UV irradiation have no role for in-transit treatment, as the organisms must be moved to the treatmentplant, and the hydraulic inefficiencies ofcurrentballast tank designs ensure this will not happen.

The only treatment that presently appears to have potential for in-transit treatment is heat. Waste heat from the ships' engine cooling system and the exhaust are two areas where 'free' waste heat can be obtained, giving this option the opportunity to be almost cost neutral compared with ballast exchange at sea. However, somepotentially importantpathogens (eg. 

### Aeromonas saImonicida, Vibrio cholerae) will not be affected, and a wide range oforganisms is yet to be tested. Theuse of waste heat will also not be suitable for short voyages, due to the time required to transfer adequate heat into the water, and may not to work in cooler waters due to heat loss to the environment (Rigby 

### et aI., 1998). No detailedexaminations on the corrosion potential havebeen conducted, butRigby 

### et al. (1998) believe this will notbe a problem. Heat may affect the stress loadings ofthe vessel by causingdifferential expansion ofthe ship superstructure (Carlton 

### et al., 1995), and deserves attention. Theuse ofwaste heat from the exhaustas a source ofheat may improve the process, and the use of recirculation, rather than the ballast dilution approach will improve the efficacyof heat treatment (D. Mountfort,

### pers. comm.), although possibly more expensive. A system which uses waste heat plus an additional heat exchangerhas recently been trialed in Australia (Anon., 1997) butthe long term cost effectiveness of addingheat exchangers to ballast systems may be poor, due to the cost ofmaintenance.

19

### The Treatment ofShips' BallastWater Part 1: Introduction, Research Results and Recommendations 

## 4.2 Land and port-based treatment systems

The technological requirements for effective treatment at a land-based facility can be met in many ways and would be site specific. Several different types offilters can be used to remove a large number of organisms (eg. sand filters, pressure filters), pH can easily be adjusted to give optimum conditions for disinfectants, and oxidant residuals can be easily removed with dechlorination or activated carbon processes. It

### remains unlikely that land-based treatment will be widely used to treat ballast water, due to ballasting management practices in ships, where they often complete most deballasting during approach to berth (but maintain some ballast for maintenance of trim and stability). This shortcircuits land-based treatment and may limit the usefulness oftreatment ships. A system of cyclonic separation and UV irradiation has been proposed for VLCC's (very large crude carriers) where ballast is purchased from

a port-based supplier, possibly from a specially equipped tender (H. Hilsen & 

### A. Jelmert,

### pers. comm.). VLCC's have very high costs for ballast exchange and well defined trade routes, making this system very attractive for that part of the shipping industry (A. Bilney, 

### pers. comm.).


## 4.3 Ship-board treatment during ballasting

Solids separation (screening or hydrocyclones) is the simplest system for ship-board treatment. Filtration can handle sediment loads ifappropriate units are selected and designed appropriately. Fortreatment of largerorganisms in ballast water a 50 urn

screen appears to be the appropriate filter, and for the removal of dinoflagellate cysts 20 urn screens will be necessary. Precoat filtration (eg. diatomaceous earth) may also be a viable alternative. Hydrocyclones should remove dinoflagellate cysts, and new systems are claimed to be effective for removal of a range of organisms and particles to less than 10 urn (A. Nilsen,

### pers. comm.). Pilot testing to determine the limits of these technologies, both as a disinfectant and as a primary treatment prior to disinfection, needs to be done, and a system for testing under a range of conditions as presented in section 5.

Ultraviolet irradiation has considerable potential as a ballast watertreatment during ballasting. UV will require pre-clarification to be effective, both to reduce turbidity and remove UV resistant dinoflagellate cysts. UV irradiationplus clarification is currently the strongest contender for treatment during ballasting and should be pilot tested in a way that is designed to obtain data on the limitations of both the screening system and the UV unit.

Ozone is unlikely to be applicable to treatment during ballasting, due to the high doses or fine filtration required to remove resistant organisms (Oemcke and van Leeuwen, 1998a).


### High powerultrasound is a promising new technology that may be effective for ballast water treatment. The technology is still in the developmental stage, so very little good data are available on costs perunit of water treated in large installations, or on the effects of interfering substances or the limitations of the technology (eg. suspended solids). The relationship between laboratory tests and full scale plants cannot be

20

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations



### determined until full scale plants are built and evaluated for disinfection applications. A 'watching brief is, therefore, the appropriate approach to this technology at present as it will probably take several years before developments reach the stage where testing for efficacy against ballast water organisms is appropriate.

Chlorine dioxide is an effective cysticide, which may be appropriate for treatment during ballasting. The main concerns with chlorine dioxide are cost and the possible environmental toxicity ofby-products, although only limited toxicity data were found.


## 4.4 Refined model ofship-board ballast treatment systems

Carlton et at. 

### (1995) proposed a list of at least 32 potential ballast water treatments, which is refined to 13 currently strong options for ship-board treatment and shown in table 1. Options from the list of Carlton et at. 

### (1995) which have been omitted are those which recommend in-transit treatment with non-residual biocides or biocides which need to be

### evenly and reliably distributed to be effecti ve. The five options for prevention of organism intake havebeen refined to a single option called 'ballasting micro-management'. Use of shore facilities to provide treated water, use ofpotable water, discharge to sewage, discharge to shore-based facility and discharge to reception vessel, and options specific to sediments have also been removed from the list (see chapter7). The model for filtration is refined to two levels ofscreening (20 and 50 urn). Land and port-based systems are not included, as local discharge regulations, land availability and infrastructure are the majorconstraints on treatment, and the technology can be selected from many possible combinations of clarification and disinfection. Tank coatings and oxygen deprivation are also rejected as potentially effecti ve treatments.

21

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations


### Table 1. Refined list ofballast water treatment alternatives for shipboard treatment (modified from Carlton 

### et al., 1995)

Partially effective, should be pursued asriskrednction strategy / i· .... l " : '. v : x 

### i x 1 x ; Partial



## '( I research 

## I note.Z 

## I research 

## I partial Maintain 'watching brief forafew years until technology develops Mfrintain ':watchingbrief Until technologydevelops Effectiveness unknown, requires research Orgafl;isms**pr~~p],(** in sourceport (1)Ballast "micro-manag t" (2a.)Filtration duringball um) (2b) Filtration dur).uBlJallasting (20 urn) (2C)FiltratiOnduring ballasting (50!UJ1 +cyclo (2d) Cyclonic**.~p** .... . halop.e (3) Enhanced mechanical**damag~** at pump (4) Mltraviolet .Iiradiationl (5)}lighpowllrultrasoundl

(6) Other new technologiea'**(7)~hlorine di9~del**  research x ! ./ j fesearch 

## I ./probably 

## I requires research some 

# I Attache

# ·~acteria

? 

# I research

Organismsurvivesballast**uPl(1~e** (8) Heat treatmelltin-transie**(9)~hlorine** diO*lde l (IQa)llallastdilutiPtI(3 volumes)
(lOb)·Reballasting 

## I 

# <. I........./ I partial Effectiveness unknown, requires research > 85-90% effectiveforpelagic; effect of dead spots must be researched >90% effective for pelagic;implelllentationdifficultfor many ships
Organism surVivesjourney (lQc)Backup exchangezones Same as options lOa and lObexceptJorPotential risk to backup

zone (lOd)Part load-then degallast 100% effective within part as no ballast is discharged, potential (returnto sea or backup zone) riskito back-up zones (11)Non-discharge of ballast .water 100% effective where viable (12 In-situ extenrnnation Difficult to achieve mixinor find suitable disinfectant (l)·Screeningand/orcyclonicseparation will**benecessary~s** apretreatment; (2) 20 

### urn screensand cyclonic separati?nlikely tope effective. 50 JUU filtration or UValone ineffective; (3) assumes ade nate time and heat transfer are available



## 4.5 Comparing ballast treatment systems

4.5.1 The need for abasis to compare ballast water treatment options

At present there are two 

### defacto standards being used for ballast water treatment. The first is based on the efficiency ofballast exchange processes. which is somewhere around 90%, and often much lower. The US coastguard is assuming that an efficiency of 85% is acceptable (Reeves. 1997) and Hallegraeff(AQIS, 1998b) 

### suggests that ballast dilution is about 85 to 95% effective. Ballast exchange is currently the only widely applicable method for ballast treatment identified by the IMO (MEPe, 

### 1998)



### 22

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations

and AQIS 

### (1998a). The result ofthis is that the current accepted efficacy ofballast exchangeis about 90%. The second 

### de facto standard is that impliedby the current approach to ballastdisinfection, where 100% control ofthe resting cysts ofcertain species ofdinoflagellate algae is the target.

These two 

### de facto standards are incompatible, and mean that quantitatively comparing the treatment processes with ballastexchange is impossible. Criteriafor the treatment ofballast water are required to determine ifthe processes are achieving

an appropriate level ofremoval. To do this it is necessary to fulfil the following requirements.

1. Have a clearunderstanding ofthe organisms present in ballast tanks, which is the subject of considerable research at the present time (references in box 3, section 2.5). 2. Understand the dynamics ofthe survival oforganisms presentin ballast tanks, which is beginning to be addressed (eg. AQIS, 

### 1998c;Hall 

### et al., 1998; Ruiz 

### & Hines, 1998; Taylor-Wood 

### et al., 1997; Gollasch 

### et al., 1995 reported in Hay 

### et al., 1997). 3. Understand or estimate the inoculum oforganism which is necessary to infect a new site, which is a difficult task, and is beginningto be addressed (eg. Ruiz 

### & Hines, 1998; CRIMP, unpubi.). 4. Decide on an appropriate level ofrisk.
Development ofa fully quantitative and probabilistic risk assessment framework is being progressed (eg. Hayes, 1998; Hayes 

### & Hewitt, 1998). Non- or semiquantitative risk assessment such as the 'hot spots' approach (Carlton 

### et al., 1995) and the environment matching approach (eg. Hilliard 

### & Raaymakers, 1997) can also be used to identify problem routes and canbe matched with inoculum information. These methods can be used to assess differenttreatment techniques, on the basis ofcost to achieve levels ofrisk reduction.



### 4.5.2 Non-quantitative bases for comparison

Thetechnologies, in theirpresent configurations, canbe compared on the basis of where they will actually work. Forexample (based on current information):

• exchange at sea or in designated backup zones is impossible where ships do not pass through such areas,

• reballasting is not possible for some ships or in rough weatherdue to safety problems,

• heat treatment (with waste heat) may not work for short trips or those which do notpass through the tropics.

More limitations will be identified as othertechnologies are tested underballast water conditions.

23

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations Technologies can also be compared on the basis oftargeted organisms. Forexample:

• exchange does not target organisms which can avoid areas ofhigh flow,

• exchange does not effectively target organisms which can move into sediments,

• heat treatment targets only organisms which are sensitive to the achievable temperature (for the use of waste heatthis is currently around 38°C),

• filtration cannot remove free swimming organisms smaller than the filter size,

• UV inactivation oforganisms is dose, and hence cost, sensitive, and will not work for dinoflagellate cysts or in highly turbid water without pre-clarification,

• ozone will not be effective without 5 urn filtration to remove resistant organisms (and even then will not be fully effective),

• hydrocyclones will probably not remove organisms with a density very close to that ofwater.


### 4.5.3 Comparing costs

Costs ofballast watertreatment and management techniques cannotbe generalised for the whole shipping industry due to variation in ship design, ship purpose and trading routes. Furthermore, depending on the management or treatment technology, the cost ofballast management is related to eitherthe total ballast capacity and trip length or to the size ofballast pumps, each ofwhich vary significantly. Therefore, cost comparisons must be conducted on the basis ofindividual ships and theirtrading patterns, on the required level oforganism removal for that trading pattern, and over the life ofthe ship.

Ithas been suggested that the cost of improving the efficiency ofballast exchange will be relatively low (eg. Reeves, 1997), but the estimates by Armstrong (1997) suggest that this is not necessarily the case, and that achieving efficient ballast exchange could be expensive and this mustbe considered in analysis ofthe costs of ballast management. Cost estimation for ballast water treatments are necessarily in their infancy as pilot testing ofthese options is not yet complete in the case offiltration, filtration 

### + UV and heat treatment (wasteheat). A preliminarycost analysis on filtration has been conducted (Parsons et al., 1997) which canvasses many ofthe important issues for the effective cost modelling offiltration, although the cost data presented will change as results from their filtration trials becomes available. Without information on necessary treatment standards, as a basis for the comparison ofballast management and treatment options, price has no meaning for any system.



### 24

### The Treatment ofShips' Ballast Water Part 1:Introduction, Research Results and Recommendations 

# 5 PROPOSED PILOT PLANTS

The design of a pilot ballast water treatment plant is the final outcome required from this project (aim 3, section 1.2). Experimental data (Oemcke, 1998a) 

### and the review in part IT indicate the potential for screening or cyclonic separation as a cost effective primary ballast water treatment and for UV as an effective secondary ballast water treatment.

Pilot testing and analysis of typical and maximum suspended solids in ports are needed to determine the operational aspects of these systems. Some data on sediment loads are available for many ports (eg. Oemcke, 1995). Screens can handle water of very high solids and organism loading, but the effective screen surface area needs to be determined, and the effectiveness of different back washing systems, particularly for organism blooms, requires investigation. Testing under high naturally occurring sediment and plankton loads in harbourenvironments will obtain the necessary data. Furthermore, as a pretreatment for secondary disinfection the effectiveness of screens for reducing water turbidity and suspended solids can only be properly determined under pilot test conditions. The effectiveness ofhydrocyclones for turbidity and organism removal needs to be fully evaluated.

UV irradiation also requires pilot testing, as preliminary cost estimates suggest it may be competitive, but the limitations of this option can only be determined under realistic conditions. Particularissues, which will limit the effectiveness of UV, are the resistance oforganisms and the quality ofthe water. The final selection of UV plant design and accurate costs can only be determined from the results ofpilot tests, but experiments on the effect offiltration and cyclonic separation on UV transmittance will help to identify critical constraints on UV reactor design. This data could come from filtration pilot plants or from sampling port water and determining the effect of filtration with 20-25 urn filter paper and 45 urn screens with laboratory apparatus.

A conceptual ballast water treatment plant based on screening and UV irradiation for the ship-board treatment of ballast water during ballasting is shown in figure 6. This conceptual plant has been used as a basis for the pilot treatmentplantdesign .



# • ••• •••
Figure 6. Conceptual UV-Screeningballastwatertreatmentplant

25

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations The pilot treatment plants shown in figures 

### 7. 8 and 9 are designed to be built into a 20 ft shipping container so they can be moved between shore locations on a truck. The plant can then be taken to sites where high sediment loads or planktonic blooms are present and the systems fully pilot tested. Table 2 is a key to the symbols used on the treatmentplantflowcharts.
Figure 7 shows a pilot plant for testing clarification (eg. screens and hydrocyclones). The testing will help determine (a) how many organisms that are expected to be retained can actually pass the clarifiers, and, (b) to determine optimal designs to cope with sediment and organism loads. The reduction in turbidity and suspended solids by the clarifiers can also be tested, so that the effectiveness as a pretreatment for disinfection is understood. Turbidity is sampled on-line, and the automatic sampler takes samples for analysis ofsuspended solids, and size distribution ofsolids.
Figures 8 and 9 show a system for testing UV and pre-clarifiers. Figure 8 shows the sampling system and figure 9 shows the control system. Itis designed to obtain information on turbidity and solids as for the screening only option. Itincludes a system for injecting organisms into the pilotplant for testing the inactivation of particularorganisms. It should obtain information on UV transmittance, which is a basic design parameterfor UV units, and incorporates a tank (preferablycorrosion protected, with sediment) for the assessment ofpost treatment organism behaviour within ballast tanks. A cleaning in place (CIP) system is included for maintaining the system between tests.

The process designs for the UV tests are similarto those that would be needed for other secondary disinfectants and the pilotplant couldbe readily modified to test other secondary disinfectants, such as ultrasound.

Table 2. Legend ofsymbols usedinthepilotplantflow charts

S mbol meanin 

### elP DO ORP p pH 

### Q S T UV cleaning.1n place solution dissolved oxygen data redoxpotentialdata pressure gauge pH data floWmeter salinitydata**tempef~~ure** data ultraviolet



### 26

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations



### Figure7. Screening only pilot treatment plant

Figure 8. Screeningplus UV pilottreatmentplant,showing proposed biological, chemical and physical data sampling system

27

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations

""-- DEPTHADJUSTABLE Hose SEAWATER INTAKE



## .ValVeconlrof PUrTlPCOlllrol]

Flow

## ooniroi.



# :iii 

# i[I!;.

GI

.....•••.•••....•..................... [ ........•••1 ••••1•

.

### ~.~

. Datataking

UV

sensor.
Valve control

......... ---------- ..

DISCHARGE TO WASTE 

### Figure9. Screening plus UV pilotplant, showingflow control system

28

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations 

# 6 RECOMMENDATIONS

Full cost modelling of the options canvassed cannot be done properly without data from the proposed laboratory and pilot tests and criteria against which to compare treatment options. The following actions are recommended to further evaluate the potential costs and benefits of various treatment options. When costs are compared they should be done on an individual ship-by-ship basis, as the wide range of ship designs, sizes, trading routes and ballast pumping rates mean that the costs will vary significantly between ships, and that different treatment options will be optimal. They should also be compared over a lifetime, not over a single trip, to reduce distortion of cost comparisons.

The recommendations have been arranged for logic, not priority. The author considers that the recommendations on ballast management are lower priority than the treatment and science recommendations, and that the testing of chlorine dioxide is a low priority.


## 6.1 Ballastmanagement

1. Ballast exchange dye tracer tests. Testing of the effectiveness of ballast dilution and reballasting at sea should be further pursued. Tracer studies have had problems with evenly distributing dye into the water, and it would be preferable to
use a method that injects a pulse of dye into the incoming ballast water during the exchange process. This will require the collaboration of a ship owneras an injection point is needed. Data from well conducted tests can be used to help design more effective systems.

2. Modelling the effectiveness ofballast exchange. Modelling of a ballast tank using a flow analysis package and including the internal structures of the tank is necessary both to evaluate the effectiveness of dilution and to design good dilution systems for new vessels.


## 6.2 Ballast treatment

3. Screening/cyclone pilot tests. Pilot testing should be conducted for screening at 20 to 50 urn, to determine its ability to handle sediment loads and blooms of plankton and phytoplankton. This pilot testing will find the operating constraints so that systems can be appropriately designed and enable full scale cost data to be accurately determined.

4. UV laboratory tests. Further laboratory testing on UV disinfection is required. This testing should target species of phytoplankton and protozoans which will pass clarifiers and for which disinfection efficacy data are not currently available. It

### must account for dark repair and the effect ofstorage on inhibiting photorepair mechanisms.

5. UV pilot tests. Pilottesting for UV+screening/cyclone systems should be pursued in addition to further laboratory testing. There is enough data demonstrating that



### 29

### The Treatment ofShips' Ballast Water Part 1: Introduction, Research Results and Recommendations


### UV has considerable potential for ballast water treatment during ballasting, and full scale design data needs to be gathered. The pilot testing must aim to test the limits of the UV system.

6. Ultrasound: 'wait and see'. High power ultrasound should be

### viewed cautiously by ballast researchers until the costs and operating constraints of full scale systems are understood. This technology should be watched carefully, as it appears to have considerable potential for treatment during ballasting.

7. Heat treatment testing. In-transit heat treatment needs to be

### further researched, to determine where this will be an appropriate solution. Modelling offlow processes may enable systems to be designed which improve the transfer of heat into the ballast tank, and can be

### designed into new vessels. Continueddevelopment of this system is likely to lead to improvement, ego additional heat sources and recirculation.



### 8. Vibrio cholerae laboratorytesting. The importance of viable, non-culturable (refer section 9.3) and attached 

### Vibrio cholerae for ballast transport needs to be determined, and the efficacy of disinfectants other than heat (eg. UV) investigated.

9. Chlorine dioxide laboratory tests. Laboratory scale tests of chlorine dioxide should be considered for addition to any tests being conducted on cysts, to determine if it is effective for their treatment. It

### is a highly effective cysticide, and may have potential for ballast treatment, either ship-board or land-based.


## 6.3 Underlying science

10. Determination of inoculum required for successful invasion. Without some basis for the comparison of treatment options it is impossible to determine which approach to ballast water management is the most effective in terms of what is most important, ie. reducing the chances of an invasion, within the cost structure ofthe shipping industry. Determination of the inoculum required is an important first step.

11. Development oftreatment criteria. Criteria for ballast water treatment need to be developed, based on invasion risk for organisms. Once adequate criteria are established, then control options can be evaluated on the basis of cost to meet recommended treatment levels.

30

### The Treatment ofShips' Ballast Water Part 2:Analysis ofCurrent and Potential Management and Treatment Options 

# PART 2 ANALYSIS OF CURRENT AND POTENTIAL MANAGEMENT AND TREATMENT OPTIONS

31

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options 

# 7 BALLAST WATER MANAGEMENT OPTIONS

Figure 10 shows locations at which ballast watertreatment and management can be conducted within the shipping and ports industries at various stages ofthe ballast transferprocess. This covers all the treatment options canvassed by Carlton 

### et al. (1995), with the exception ofnon-discharge ofballast water and increasing voyage length. The ballast management options require ships' crews to manipulate the transfer ofballast waterto minimise exotic species introductions. Theballast treatment options use disinfection technologies to treat the ballast water. The first priority with all ballasting options and procedures is the safe and efficient operation of the ship, and where these options interfere with the priorities of shipping they cannot be utilised (NRC, 1996).

There are three areas where shipping management can be used to minimise the risk of exotic species introduction: ballasting micro-management, ballast exchange at sea and the part loading process.


## 7.1 Ballasting micro-management

Ballast micro-management options are shown in box 6 (AQIS, 1998a; Carlton 

### et al., 1995; Rigby, 1994).

These techniques minimise the uptake ofcertain organisms, reducing the risk of introductions by decreasing the inoculum, and will be useful at times where there is flexibility in ballasting operations. Minimising ballasting during the presence of identified risk species depends both on the ability and willingness ofthe ship's master to comply, and the identification ofthe presence ofthe risk species, but can be an effective method of minimising the entrainment ofspecific species (Hallegraeff& Bolch, 1992). Minimisingballasting at night is predicted to significantly reduce the transfer ofmarine organisms as many benthic species rise in the watercolumn at night (Carlton 

### et al., 1995). Not ballasting in areas ofsewerdischarge will minimise the risk oftaking on human pathogens.

A 'globalhot spots' approach was proposed by Carlton 

### et al. (1995). The purpose is to provide an advisory network to identifyregions where the uptake ofballast wateris either not advised, or identified as 'hot' ballast, requiring remedial action. Identifying what species to make notifiable may be difficult (Carlton 

### et al., 1995) and the definition ofa 'hot spot' depends on the destination of the vessel.



### 32

### The Treatment ofShips' Ballast Water Part 2:Analysis ofCurrent and Potential Management and Treatment Options 

### Ballasttransport Ballast management Ballasttreatment flowchart options options

Shore basedtreatment 

## E

# i~ I £"1 Ballasting micromanagement

# ;~~ E I J., I . Treatment during ballasting

In-transit treatment



# t=:ffl

# ~: to Biocide shock dose. exchange at designated "back-up zone"

3. Debollast at "bac-kJpzone"

# i~.u. Ship based treatment at deballasting

4. Return to whart ; I

# n iii 

# . Treatment shl 5. Cornplete load Treatment ship, at deballasting 

# !tC:A",,,,JiiI

Shore basedtreatment



### Outsidepotentialforcontrol within shipping or portoperations

Figure 10. Ballast watertreatmentoptions in the shipping and ports industries
Ballasting in shallow ports, turbid river ports, during fast tides and/or where sediments

are disturbed by propeller wash, increases the chances of bottom dwelling organisms and sediments being entrained with the ballast water. Avoiding ballasting, minimising ballasting or using shallow ballast intakes (if the ship has shallow intakes) in ports with high suspended sediment levels can also be applied, and it may be possible to include or retrofit high ballast intakes in vessel designs (Carlton 

### et al., 1995; Rigby, 1994). Ballast water with high sedimentloads can be confined to specific ballast tanks for subsequentremedial treatment, such as exchange at sea or non-discharge (eg. Rigby, 1994).

33

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options 

## 7.2 Ballast exchange at sea

7.2.1 The ballast exchange at sea processes

Ballast water exchange processes replace port ballast with oceanic water. The ocean is low in zooplankton and coastal organisms (Williams 

### et al., 1988) so replacing the coastal waterwith oceanic water will minimise the risk of transporting exotic organisms in ballast water. Williams 

### et at. 

### (1988) investigated ballast exchange at sea and found that this reduced the number of zooplankton surviving voyages and reduced theirfrequency of arrival on voyages from Japan to Australia.

Ballast exchange at sea can be 

### conducted by reballasting and by ballast dilution. Reballasting is done by emptying and refilling ballasttanks as shown in figure II(a). Ballast dilution is conductedby pumping waterthrough the ballast tanks using dilution with several volumes to reduce the amount of original port water as shown in figure ll(b) (Rigby, 1994).

Forthe purpose ofreballasting and ballast dilution, the open ocean was initially defined as water deeperthan 2,000 m (Carlton 

### et al., 1995), but is not defined in draft lMO resolution A.868(20). In 

### the current lMO draft regulations 500 m depth and at least 200 nautical miles from shore are underdiscussion. For vessels unable to get to these depths, such as coastal shipping, backup zones have been proposed. The backup zone for vessels which have not exchanged at sea on the way to the Great Lakes of North America is the St. Lawrence Seaway, and for the Port of Vancouveris the outgoing currentof the Strait of Juan de Fuca (VancouverPort Corporation, 1997; Carlton 

### et al., 1995). Coastal vessels never actually approach the open sea, making ballast exchange at sea impossible (Hirst, 1994).
(a) leballasting

(b) Ballastdilution (flushing)



### Figure 11. Ballastexchange at sea processes (adapted from Rigby, 1994)

34

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options


### 7.2.2 Efficiency ofballast exchange at sea

7.2.2.1 Reballasting
Reballasting was estimated to have 99 to 99.9% efficiency, depending on the design ofballast tanks and pumping system (Rigby, 1994; Thompson Clarke Shipping, 1993). Experimental investigations have not demonstrated these efficiencies regularly (probably due to unpumpable ballast residuals), although it is greater than 90% efficient (Ruiz & 

### Hines, 1997). Another study on the efficiency ofreballasting suggested it is 95% efficient, although it was confounded by poor mixing of dye into the water (Hall et al., 1998).

7.2.2.2 Ballast dilution

The efficiency of ballast dilution depends on how much water is pumped through the tanks, and is currently estimated from models of ballast behaviour and experimental investigations (Brazil, 1997; Rigby & 

### Hallegraeff, 1994). Rigby and Hallegraeff (1994) found a combination of plug (un-mixed) and completely mixed flow with dye tracer tests and plankton measurements during ballastdilution, and suggested that a completely mixed flow model could be used to describe ballastexchange. Interpretation of their results is confounded by poor mixing of dye tracer into the water. Ruiz & 

### Hines (1997) found an efficiency of 60% exchange for salinity and less than 90% exchange for coastal plankton, on a ship exchanging one volume of ballast, and an efficiency of 70-100% for salinity and greater than 95% for coastal organisms on a ship which exchanged three volumes of ballast. A study using computer modelling of an oil tanker, with an assumption of no internal structural components, found that the completely mixed model overestimatedthe efficiency of ballast dilution (Brazil, 1997). Results from the Brazilian models on ballast dilution and the completely mixed model of Rigby & 

### Hallegraeff(1994) are shown in table 3. (The Brazilian modelling suggested that pumping water into the top of the tank, rather than the bottom would be 4% more effective than systems with inlets at the bottom of the tank).



### Table 3. Estimates of tank volumes pumpedthrough and original ballast remainingfor ballast dilution (Brazil, 1997; Rigby & 

### Hallegraeff, 1994).

(a)inlet at bottom, one oVe!t1Q"";'i(P) inlet atbottom,four overflows:

### Cf} Rigby & Hallegraeff(1994). Note. The Brazilian studies also investigatedpumping waterinftotllthe top ofthe tanks and out at the bottom, which was more efficient (Brazil, 1997). Completely

stirred modele

60.7 36.8 41 38 50 (30) 13.5 18 If} 12 5.0 11 6 4 25 (5) 4.0 1.8 63 62



### 35

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options



### Current data on the efficiency ofballast dilution are inadequate, as dye tracer results have been difficult to interpret due to problems with dye dissolution. More data are necessary, particularly to determine the extent ofdead spots in the ballast tanks, and the behaviour of a range of ballast tank designs. Tracerdye injection methods are superior to dissolving dye in the tanks and are needed to quantify the effect, if any, of dead spots (eg. Fogler, 1992), although injection may be difficult to implement on ships. Additional work on this aspect of ballast exchange has commenced at the Cawthron Institute in New Zealand and at the Smithsonian Environmental Research Center, and these tests are beginning to yield results (c. 

### Hay and 

### J. Hall, pers comm.). 

### Computer modelling with a complete model of the internal structure ofballasttanks will also help describe the effect of dead spots and further improvethe design of exchange systems.

7.2.2.3 Studies on exchange, with method not specified

Ballast exchange efficiency has also been investigated qualitatively. Hallegraeff& 

### Bolch (1992) investigated 32 vessels that explicitly claimed to have exchanged ballast water at sea, of which 14 still contained significant amounts of sediment, including dinoflagellate cysts. One particular vessel arriving in Australia from Korea was found to have significant numbers of toxic dinoflagellate cysts afterreporting it had exchanged ballast at sea. It

### was sent back out to re-exchange its ballast, and still had significant numbers of cysts on its return (Rigby 

### et al., 1993).



### MacDonald & 

### Davidson (1998) found that ballast exchange increased the diversity of diatom and dinoflagellate species during trips from mainland Europe to Scotland, indicating that on voyages within coastal shelfwaters, where it is not possible to exchange in the open ocean, there may be no benefit of ballast exchange. Dinoflagellate cysts were found in 62% of the vessels that had exchanged ballast (MacDonald & 

### Davidson, 1998). The efficiency ofballast exchange was estimated for 24 vessels entering the Great Lakes region using freshwater zooplankton and salinity as indicators for ships that originated from fresh and brackish water ports. Final efficiencies for ballast waterexchange ofbetween 67 and 86% were estimated for the zooplankton and salinity indicators respectively (Locke 

### et 

### al., 1993). Oemcke & 

### van Leeuwen (1998b) 

### compared the chemical and physical characteristics of ballast waters which were reported as exchanged at sea, with criteria based on the characteristics of oceanic seawater, and estimated that 14 to 57 % 

### (depending on the critical criteria) had eitherfailed to exchange or achieved only a partially effective ballast exchange.

Smith 

### et al. (1996) interviewed ships' officers from 10 vessels which had exchanged ballast at sea, estimated the efficiency ofexchange by comparing the tank salinity with open ocean salinity, then compared their results with the reported exchange efficiency. (This may overestimate the exchange efficiency, as it implicitly assumes that the original salinity was 0%0). 

### This research showed a significant difference between the officers' perception of exchange efficiency and the actual efficiency. In only one vessel was the efficiency underestimated, with the officers reporting 80% efficiency but with a calculated 91 % 

### efficiency. In the othernine vessels the estimated exchange efficiency perceived by the ships officers was 100%, and overall the calculated efficiency was from 40 to 100%, with an average of 91.6%.

36

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options



### Smith 

### et al. (1996) also found that the mean number ofindividuals and taxa present in ballast water were reduced by the exchange process (50% and 95% reduction respectively) and that the numbers ofindividuals of the pelagic larvae ofa coastal planktonic organism (spinoid polychaetes) were reduced by 99%.

7.2.2.4 Behaviouroforganisms

There is an assumption with ballast exchange that removing a proportion ofthe ballast water will remove a similar proportion ofthe organisms present. The case ofvessels which exchanged ballastto remove dinoflagellate cysts (Rigby 

### et al., 1993) 

### demonstrated how this assumption fails for organisms which migrate to sediments and other crannies within ballasttanks. There may also be problems with organisms which migrate away from flowing water or migrate into zones oflow flow during the dilution process.


### 7.2.3 Safety ofreballasting

The shipping industry is particularly concerned about the safety ofreballasting (A. 

### Bilney, pers. comm.; 

### Plowman, 1995). Emptying ballast tanks introduces dynamic loads from waves and ship motion which may exceed safe hull shear and bending moments, as well as affect draft, trim, stability and propeller depth (Rigby & Hallegraeff, 1994; Woodward 

### et al., 

### 1994). Figure 12 shows how different loading in cargo and ballast compartments causes shear stresses and longitudinal bending in still water and figure 13 shows how waves affect the stress loading on ships. Partially empty ('slack') tanks are also a risk since the centre of gravity of the ship can move, causing the vessel to loll and lose transverse stability (NRC, 1996).

A 

### 150,000 DWT bulk carriercould exchangeballast at sea in calm conditions without exceeding acceptable loads or stability criteria (Thompson Clarke Shipping, 1993). Woodward 

### et

### at. (1994) modelled stillwater reballasting for a 37,707 DWT dry bulk carrier, a 110,000 DWT tanker and a 38,744 DWT container ship to evaluate bending moments and stability criteria and concluded that it was safe for waves of less than 10 ft (3m) significant height. In a more detailed study, Prior (1995) found that reballasting by two large bulk carriers would experience bending moment or shear force exceedence, instances ofpropeller emergence and an increased risk offorward slamming. Modelled shear forces and bending moments on a 141,475 DWT bulk carrierexceeded maximum values at several locations and they would be further exceeded if seas were rough (Rigby & Hallegraeff, 1994). Unacceptable conditions for propeller depth were found when certain tanks were emptied. Strain gauge analysis of the 188,200 DWT P&O vessel Ormond

### indicated undesirable variation in the ship's stress as a result of reballasting (M. Grey in Rigby 

### et al., 1993). The safety of reballasting is reduced by rough conditions at sea and will further reduce as vessels age (Jones, 1991).

The International Council ofCruiseLines (1997) has suggested that passenger ships may be unable to reballast without exceeding the limits of stability, and have suggested that alternatives to exchange, such as chemical treatment should be considered for these ships.

37

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options

- 

### Figure 12. Effect of differential loading in cargo or ballast tanks on shear and bending stressesin ships hulls (Eyres, 1994) 

# s=m-l**-1---~** 

# T

TrOU<Jh

SAGGING

Crest

HOGGING

LongiIIJdinal Shear loreos



### Figure 13. Effect of wave motion on bending and stresses in ship's superstructures (Eyres, 1994)

Ballast dilution is much safer than reballasting as there are no static load changes since tanks are continuously full throughout the process. Thereis a risk of pressurisation or depressurisation ofballast tanks, which might occurifthe water inlets and outlets are poorly matchedin size, which could damage the structure ofthe ship (Rigby & Hallegraeff, 1992). Anotherconcern with continuous dilution ofballast tanks is erosion of steelwork, scouring of protective coatings by coarse particles and a significantlyreduced life of pumps and bearings.



### 38

### The Treatment ofShips' BallastWater Part 2: Analysis ofCurrent and Potential Management and Treatment Options


### 7.2.4 Time taken to exchange ballast

Ballast exchanges are very time consuming. Hay et al. 

### (1997) report on a vessel en route 

### from India to Australiathat required almost a week to reballast. Rigby & Hallegraeff(1992) estimate that a complete ballast dilution process on the M. V. Iron Whyalla 

### would take approximately 50 hours of pumping, and require almost three days of constant attention. A P&O Jervis Bay

### class container vessel (16,613 m3 

### ballast) would require 4.15 days and the P&O cruise ship GrandPrincess 

### (4,345 m3 

### ballast) would require 2.17 days (Armstrong, 1997). Pumping time estimates for a range of other vessels to conduct ballast exchange processes are shown in table 2. A crude generalisation to estimate the time taken to exchange ballast is that reballasting will take 30 to 36 hours on most ships and dilution will take 60 to 72 hours (A. 

### Bilney, pers. comm.). 

### Most ships have ballast pump sizes approximately matched to their cargo carrying capacity, so exchanges take roughly the same amount of time regardless of size (A. 

### Bitney, pers. comm.).



### 7.2.5 Costs ofballast exchange processes

Table 4 shows cost estimates for ballast exchange at sea from two studies. For the vessels studied, reballasting is estimated to cost 3.3 cents pertonne (one ship only), and costs for ballast dilution is estimated to cost 0.9 to 12.6 ¢/t 

### of ballast. All the total costs indicated are of the same magnitude, although not directly comparable as the Parliament of Victoria (1997) have included the cost of maintenance on pumps, which appears to approximately double the cost of dilution. There is an additional one off cost for ships intending to exchange ballast, associate with the development of a ballast management plan (A. 

### Bilney, pers. comm.). 

### A crude cost estimate for ballast exchange is about half a days charterrate (A. 

### Bilney,pers. comm.).



### Table4. Cost estimates for ballast waterexchange processes

Vessel 

### DWT Rebaiiast Dilution Cost Ref. basis ¢/totme hr total ¢/tonne hr total Cost cost Bulk carrier 141,47 28 $1,860' 42 $2,590' Fuel 1 MVlron 5 50 $2,300' Fuel 2 Whyalla Container 35,616 5.6 18 $702 16.8 53 $2,110 Pumping 3 b Bulk Carrier 45,262 2.6 17 $540 7.9 51 $1,620 Pumping 3 b Product tanker 37,700 4.1 

## n $543 12.1 33 $1,630 Pumping 3 b 45 $4,500 Pumping 3 Crude tanker 101,90 15 $1,500 b 

### o 97 $715C Fuel 4 Ormond 0 BulkCarrier 190,00

All costs discountedto Apnll997 Australiandollars (as describedin the definitions section)from January of the year of publication. of the report in which the values are.quoted, Notes: (a) does.not include cornbinedcargo/ballast tame (bjincludes fuel andmaintenance; (c) number of volumes pumped not-given. References.'(Ij Ri b (1994;(Z)Ri b &fIalleraeff(I994); (3)ParliamentofVi¢toria (1997);(4) Armstron (1997).



### 39

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options 

### A recent analysis has estimated that ballast exchange on VLCC's (larger than 250,000 DWT) could cost AU$21,000 to $61,000 per trip (A. 

### Bilney, pers comm. 

### and reported in Anon., 1998). This is equivalent to 18.7 to 54.2 ¢/t ifballast is estimated as 45% of DWT, or $210,000 to $610,000 per annum, if 10 trips are assumed. These costs are based on increased fuel, crew workload, maintenance and wear and tear on pumps, with the highest for steam boiler driven pumps, which require constant supervision and are expensive to use.
Ships have been sent back to sea to conduct a ballast exchange in Australia and New Zealand, and the Vancouver Port Corporation requires vessels to return to an alternative exchange site if they have not met the requirements of the ballast water exchange program (Vancouver Port Corporation, 1997; Carlton et ai., 

### 1995; Rigby et ai., 

### 1993). The Parliament ofVictoria (1997) examined the costs of this and compared them to the part load-deballast option, discussed in Section 7.3.
Armstrong (1997) assumed that the ballast dilution efficiency would be inadequate due to dead spots in ballast tanks, and estimated the capital costs ofinternal pipework to ensure that the dilution process was adequate. For the P&O bulk carrier Ormond 

### it would cost AU$I,128,000, the P&O Jervis Bay 

### class containerships would cost $698,000 and a cruise liner (P&O GrandPrincess) 

### would cost $364,000.



### 7.2.6 Compliance with voluntary exchange guidelines

Box 7 summarises the results from some recent studies on compliance with voluntary ballast exchange guidelines. Except for the monitoring offreshwater biota and salinity on vessels from brackish and freshwater ports (Locke et 

### al., 1993), all these results are based on questionnaires.

Locke et

## at. (1993) found that ofthe ships entering the Great Lakes, which carried ballast, 94% had complied with the Great Lakes Ballast Water Control Guidelines, which include ballastexchange at sea, no ballast discharge or no ballast on board. When vessels not carrying ballast water were excluded from the assessment, 88% had complied. Approximately 14% of the ballast water, by volume, was not in compliance with the guidelines.

Box 7. Gompliancewithvoluntary·baJlastwaterguidelines.

Great Lakes 88·94%(LockeetaI., 1993) NewZea1and 91 %(NZMinistryof Fisheries, 1992) Australia77.% (Jones, 1991) Australia**80%~;tI994)** Australia

### 86%Ja·esandHilliard, 1996)



### A New Zealand study (New Zealand Ministry ofFisheries, 1992) estimated that 91% of vessels had complied with voluntary controls which require exchange at sea or nondischarge. Reasons given for non-compliance included: vessel too old; unaware of controls; sea conditions too rough; ship incapable ofcomplying; master believes water from the Pacific Islands is safe; and, the controls are only voluntary. In Australia,

40

### The Treatment ofShips' BallastWater Part 2: Analysis ofCurrent and Potential Management and Treatment Options

Jones (1991) reported 51% compliance with exchange at sea and 26% not releasing ballast water, giving a total compliance of77%. AQIS (1994) reported 80% compliance, and Hayes and Hilliard (1996) found it to be 86%. Since the introduction ofmandatory exchange for vessels entering the Great Lakes 7% (1993), 7% (1994) and 4% (1995) ofvessels have been found to have incompletely exchanged their ballast, based on monitoring salinity levels (Reeves, 1997).



### 7.2.7 Monitoring compliance with exchange

There is no widely accepted, fast and reliable method for measuring compliance with requirements for ballast exchange, but salinity and analysis oforganisms in ballast water are currently used. Complianceis easily tested for ships arriving from hypersaline, brackish and freshwater ports by means ofsalinity, assuming that all ballast on boardis from those ports (J. Baumann,

### pers comm; Locke 

### et al., 1993). Methods proposed for testing compliancefor ships from saltwaterports are a technical check, a 'blackbox' monitoring system, chemical testing and biological analysis (AQIS, 

### 1998b; Battelle & Cawthron, 1998; Greene, 1998; McKeown & Mills, 1998; Scholin 

### et al., 1995; J. Baumann,

### pers comm). Decay ofradionucleides has also been suggested (AQIS, 

### 1998b). The VancouverPort Corporation is using a two tierprocess in its random testing procedures. Low salinity is used as an indicator ofestuarine water thathas been inadequately exchanged. Forhigh salinity water, a plankton analysis is used, the presence ofcalenoid copepods indicates oceanic water whilst the presence ofharpacticoid and cyclopoid copepods indicates estuarine water. Waters with high salinity and no copepods are assumed to be oceanic. A similar system using other species has been proposed (AQIS, 

### 1998b) and various coastal organisms have been used in research (Ruiz & Hines, 1997; Smith 

### et 

### al., 1996). The US Coast Guard

uses salinity ofgreaterthan 

### 30%0 and a check of ships' records to validate that exchange is conducted, unless ships opt to have theirtanks sealed (Gauthier & Steel, 1996).

Chemical methods offerthe potential for fast analysis ofthe efficacy ofballast exchange. Thepotential ofoptical and fluorescent characteristics ofcoastal and oceanic waterto distinguishbetween them, biochemical methods and using nitrate and salinity are currently being investigated (Battelle & Cawthron, 1998; Greene, 1998; McKeown & Mills, 1998, Scholin 

### et al., 1995). Oemcke & van Leeuwen 

### (1998b) examined the potential ofcomparing a matrix ofexpected oceanic water characteristics to those measured in ballast water samples. This type oftest has potential, although further research is needed to select the most appropriate characteristics, as there are a number of confounding features ofballast water, such as low redox potentials, the presence ofiron from corrosion and reservoirs oforganic material and nutrients in ballast sediments and sludges.



### It is likely thattechnical checkmethods will be adapted by some authorities as a primary method ofmonitoring ballast waterexchange. Such a method is being developed by BHP, Australia (the so-called 'Newcastle method'), which consists of checking various aspects of ballast management including, weatherat the time and location ofexchanges, ballast water management plans, ballast reporting forms, the deck log book, engine logs and examining surges in generatorelectrical loadings when ballast pumps are switched on (AQIS, 

### 1998b). A black box approach has been

41

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options 

### suggested, which monitors ship location, water depths in ballast tanks and the flow of waterthrough the ballast tanks via a tamper proofsystem (AQIS, 1998b).


## 7.3 The part load process

A part load process proposed that vessels which have been identified as high risk after entering a port are part-loaded without deballasting (to theirmaximum stability criteria), then sent back to sea to deballast before returning to port to complete loading (Parliament of Victoria, 1997). The Parliament of Victoria (1997) conducted cost estimates for this particular option at several Victorian ports and the costs ofsending vessels back to sea (60m depth) to exchange ballast before commencing loading (table 5). These prices assumed that channel charges will be re-applied when the vessel reenters port, which is likely to be considered an unreasonable impost, and are excluded from table 5. All otherberthing costs are included. This system is not likely to be widely used, as many vessels have to deballast during approach to port to meet draft requirements. For the vessels which can take this option, it may be cheaperto partly load before returning to sea, as the costs of deballasting alone are potentially much less than the cost of deballasting and reballasting. An analysis would need to be conducted on a case-by-case basis.



### Table 5. CostofrebaJlasting at sea aftermooringatportfor selected Victorian Ports (Parliamentof Victoria, 1997)

Vessel t e Container Bulkcarrier

Producttanker

Crude tanker

Option GRT 3:2,534 2(},092

26,162

65,094 

### DWT 35,616 45,262

37,700

101,900 Port Melbourne Melbourne Portland Hastings Melbourne Portland Hastings Melbourne Hastin s 

## o tion 2 $46,146 $29.358 $24.966 $73,828 $31,713 $25,054 $80,147 $66,863 $107,475

I. Option 2.



### The costs ofexchanging ballast after mooring at port are very high (table 5) compared with the costs of ballast exchange at sea at sea (table 4). If

### port states are going to force vessels to return to sea to deballast, then it is potentially cheaperto ensure that effective ballast exchange is conducted en route 

### and verifiable when approaching those ports.


## 7.4 The role ofrisk assessment in ballast management

Risk assessment has an important role in assessing ballast water treatment technologies as it is extremely unlikely that one treatment process will be efficient or cost effective for all ship types, designs and routes, and treatment system selection needs to be done on a case-by-case, or at least industry-by-industrybasis. Risk

42

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options



### assessment is, therefore, an effective way of testing cost effectiveness against operational efficiency of control options (eg. Hayes, 1998).

Risk assessment can be used to:

• target ballast water monitoring programs to high risk vessels, ensuring that monitoring dollars are spent in the most appropriate manner,
• identify high risk vessels for remedial action,

• identify high risk source and receival ports, which may wish to enact unilateral ballast water controls,

• assess the benefits and costs of technological options for ballast water treatment in terms of the effective control of specific identified risk species.

Risk assessment procedures which are being used or proposed are the qualitative global 'hot spots' (Carlton et al., 

### 1995), semi-quantitative environmental matching and hazard analysis (Hilliard & 

### Raaymakers, 1997; Hay et al., 

### 1997), and fully quantitative probabilistic risk assessment approaches (Hayes, 1998; Hayes & 

### Hewitt, 1998; Hay et al., 

### 1997; Hayes, 1997). An example of the use of a 'hot spots' style process is the targeting ofvessels from regions with cholera by AQIS for 

### Vibrio cholerae 

### testing (Manning et al., 1996).



### The usefulness ofrisk assessment as a tool for targeted, in-transit treatment is tied to the ability of vessels to implement an effective remedial strategy. At present, and conceivably for the future, the only remedial in-transit technology is ballast exchange at sea, which is a relatively poor quarantine barrier, and there are presently no widely applicable methods for verification of actual exchange efficiency. A serious drawback of some risk assessment procedures is the mixed origin ofballast water. Carlton et al. 

### (1995) report that only halfof all vessels entering the United States of Americain ballast acquired all their ballast water from their last port of call, and some may have water from several ports. Chu et al. 

### (1997) reported that some ships contained ballast from four previous ports. Risk assessment will be the most useful tool forjudgingthe costs and benefits ofthe use of disinfection technologies on ships, and Hayes (1998) has proposed a quantitative method that can be applied to these techniques.


## 7.5 Integrated ballast management

Carlton et al. 

### (1995) recommended 'integrated ballast management' (ffiM) as a 'stopgap' measure for the management of ballast discharge. ffiM requires no new technology to be introduced to shipping, but establishes a series ofprocedures for managing ballast water, which incorporate:

• ballast micro-management,

• ballast exchange at sea,

• backup zones for vessels which have been unable to exchange at sea,

• some sort of risk assessment,

• quarantineprocedures for vessels which are identified as high risk, and

• procedures for regulators to administerintegrated ballast management. The Australian Quarantine and Inspection Service is developing management tools for

an integrated approach to ballast management, and is in the process of developing a

43

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options



### decision support system (DSS) which integrates a risk assessment with a computerised management support system for assessing each ship visit to Australia (AQIS, 1997). The integrated ballast management approach has merit as a 'stop-gap' until technological approaches and/or improved ballast management practices are trialed and proven effective.



## 7.6 Summary of issues for ballastmanagement

The management options for ballast water are ballast micro-management, ballast exchange and the part load process. Ballast micro-management should be applied as a normal operating practiceto minimise the risk of transferring exotic organisms in ballast water. Their use will, however, be limited by the requirements of the shipping industryto load ballast in the safest and most efficient mannerpossible.

Ballast exchange at sea is the only currently and' widely available management option for reducing the risk ofexotic organisms transfer. Research has demonstrated that the efficiency of these options is typically less than 95%, and probably lower. When the costs of regularexchanges are accumulated over the long term, these may be higher than more effective options. Other problems with these processes include:

• safety of reballasting,

• the time required for an adequate exchange,

• the inability of coastal shipping to perform exchange, and

• adequate compliance monitoring.

If

### ships are required to return to sea to exchange ballast, then partially loading and returning to sea to deballast has the potential to be more cost effective than simply returning to sea to conduct an exchange.

Risk assessment has application in managing the risk of species introductions in the short term by targeting ballast water monitoring programs and targeting ships for remedial action. It

### will also be 

### useful for comparing ballast water treatment and management options on the basis of cost and efficacy. However a large amount of research data will be required to fully develop a reliableprobabilistic risk assessment for various ports, ship designs, types and routes.



### 44

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options 

# 8BALLASTWATER TREATMENT OPTIONS

8.1 Issues affecting ballast treatment

This section reviews the locations of ballast water treatment technology, with discussion of management issues associated with alternative treatments. This is to focus the discussion oftechnological options on those that are feasible from a management point of view.



### 8.1.1 Use oftreated water as ballast

The use oftown water supply and shore-based water treatmentplants have been suggested for loading ballast priorto ship departure (Carlton et ai., 

### 1995). Both of these options will require reticulation, and the provision of supportinfrastructure, to ensure all berths are adequately serviced. Vessels may continue to ballast as they depart from the port, and requiring all ballasting to be conducted alongside berth may slow shipping operations, adding ship hire and potential demurrage to the cost of providing water.

8.1.1.1 Costs ofpotable (drinking) water
The cost to supply town wateris approximately $1.05 to $1.20 per tonne (m')in Townsville (QLD) (Townsville City Council, 1998). Other estimates of the cost of potable water are NZ$1.00 (AU$0.99) per tonne (Ogilvie, 1995) and US$0.52 (AU$0.83) per tonne in the United States of America (Carlton et al., 

### 1995). In Auckland the delivery rate would require about 5% of the town water supply (Ogilvie, 1995). (The use of oil tankerballast to transport potable water from Japan to the Middle East was investigated by Akita (1983), but the scheme has never been implemented).
This system is unlikely to be used due to the cost of potable water, and the need to supply adequate volumes. Using the Townsville data it would cost more than $31,500 for a 100,000 DWT bulk carrierto load to its normal ballast condition of approximately 30% of deadweight tonnage (based on Thompson Clarke Shipping, 1993). This cost could conceptually be reduced by part-loading with town water for departure, and completing ballasting outside of the ports to reduce the probability of entraining sediments and coastal organisms.

8.1.1.2 Shore-based treatmentplants for ballasting

Shore-based treatment at the port of ballasting appears, intuitively, to be a good option as it treats the ballast at source. A major concern with this approach is the dependence on foreign authorities to provide acceptable levels of treatment and the difficulty of regulating treatment quality as there is little incentive for quality control.

Port-based ballast treatment at ballasting is being considered in the oil industry for the treatment of VLCC ballast, due to the exceptionally high costs of ballast exchange for these ships (A. 

### Bilney,pers. comm.). 

### The option being considered is a cyclonic

45

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options separation, followed by UV irradiation (based on the work ofJelmert in Norway; and Oemcke, 1998a,b). Ithas been proposed that a private supplier will sell ballast water to the ships as they depart, possibly from a tender vessel, and they will discharge treated ballast water when loading oil at the next port.



### 8.1.2 Ship-board treatment during ballasting

Ship-board treatment duringballasting has considerablepotential, with the advantage oftreatment at source and the capacity to remove or inactivate organisms in-line as ballast tanks are filled. Appropriate design should ensure no interference with normal ballasting operations as ships can ballast as required during departure from port and deballast as required during approach to ports. A major advantage ofthis process is that management of any treatment residuals (eg. sediments and organisms) is simple as they canbe returned to the source water.

Concerns about ship-board treatment during ballasting are that it:

• should not interfere with shipping operations, which requires that rates of treatment be matched with ballast pumping rates,

• should not require excessive space,
• should not require excessive maintenance.



### 8.1.3 Ship-boardtreatment in-transit

Ship-boardtreatment conducted in-transit makes intuitive sense, as the treatment can be conducted overthe duration ofa voyage, and will not interfere with normal ballasting and deballastingpractices. Any technologyfor in-transit treatment must, however, be capable ofproducing sometype ofresidual that will diffuse into the waterrelatively evenly throughout the ship. Itis impossible to recirculate all the water through a treatment plant, due mixing and inevitable dead spots in the ballast tanks, particularly in double bottom tanks. This means that and treatment that does not produce a residual (eg. UV irradiation, filtration, ultrasound, hydrocyclone) cannotbe used in transit (see also Oemcke, 1999).
To date, the only option that has shownpotential for in-transittreatment is heating. Research on heat treatmentin Australia has led to the development ofa pilot system utilising waste heat in ships' engine cooling circuits (eg. Rigby et al., 1998; Hallegraeffet al., 1997; Rigby, 1994; Rigby & Hallegraeff, 1994; Bolch & Hallegraeff, 1993), and anotherutilising waste heat from engine cooling heat plus additional heat exchangers (Prentice & Thornton, 1997). Research into heat treatment, using waste heat from the exhaust, has also been conducted in New Zealand (D. Mountfort,pers. comm.).

46

### The Treatment ofShips' Ballast Water Part 2:Analysis ofCurrent and Potential Management and Treatment Options 

## 8.1.4 Use ofbiocide shock dosing

The use of biocides to treat ballast during approach to port, for vessels that have been identified as a 'risk' by a port state, is a conceptually attractive option, but has a

variety ofdifficulties and concerns including identifying:

• a chemical that works,

• a chemical that is safe to handle, and not prohibitively expensive,

• a chemical that is safe to discharge to the environment, and

• a method for thoroughly mixing the chemical into the ballast tanks.

Loaded vessels carrying no ballast on board (NOBOB) entering the Great Lakes of North America are proposed to be dosed with biocide, to inactivate organisms in unpumpable ballast residuals remaining in empty ballast tanks (Lubomudrov et al., 

### 1998; Moll et al., 

### 1998; RNT, 1997). The residuals will otherwise mix with new ballast water as cargo is transferred between ports within the Great Lakes, and reinfect it with any exotic species present. Lubomudrov et al., 

### (1998) and Moll et al. 

### (1998) recommend glutaraldehyde, which they believe will have time to break down before its eventual release to the environment, and could be dosed at a station by properly trained staff. RNT (1997) recommend the use of glycolic acid or glutaraldehyde. This approach is suitable only for areas like the Great Lakes, where ships enterwithout ballast and then trade within the system, and can be dosed during river passages en route 

### to the lakes.



### 8.1.5 Ship-boardtreatment during deballasting
Figure 14 shows a vessel deballasting simultaneously from several wing tanks during its approach to the Dalrymple Bay Coal Terminal in North Queensland. The problem of shipboard treatment during deballasting is that any treatment plant must be capable ofhandling such flows to avoid interference with normal shipping operations. For shipboard treatment, its use during ballasting is clearly preferable to deballasting, as ballasting is conducted at a slower rate (eg. Hayes and Hilliard, 1996) and through only one inlet.



### 8.1.6 Port-basedtreatment at deballasting (treatment ship or shore-based)

Port-based treatment couldbe conducted ashore or on a treatment ship and designed to meet local discharge requirements by a range of possible combinations of clarification and disinfection. Carlton et al. 

### (1995) suggest using a lighter or a treatment ship that could be used to take ballast from identified risk vessels for exchange at sea or an alternative exchange site. A treatment ship which approaches vessels before they dock to receive ballast water for treatment was suggested by Gutteridge Haskins and Davey (1993). A conceptual land-based treatment plant was designed by Gutteridge Haskins and Davey (1993), and supported by Ogilvie (1995). This design uses a potable water disinfection approach to ballast water and several combinations oftechnology are possible, which could be almost completely effective.



### 47

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options



### Figure 14. Ship simultaneously deballasting from all tanks as it approaches port

However, in recent years Australian authorities have moved away from the consideration of land or port-based ballast water treatment options on the grounds of practicality and costs (Denis Patterson in Royal Society of New Zealand, 1995). Also, the treatment of VLCC ballast water, discussed in section 8.1.1, was initially anticipated for collection and treatment at deballasting, but due to photoreactivation following UV irradiation, treatment during ballastinghas become the preferred option (A. 

### Bilney,pers. comm.).

The benefits ofport-based treatment at ballast discharge are:

1. The port or port state that cares about the problem is the one that handles it. 2. Treatment standards can be guaranteed and enforced (Ogilvie, 1995; Gutteridge Haskins & 

### Davey, 1993). 3. On an industry wide basis, it should be very much cheaperthan treatment conducted on each ship, if treatment plant costs alone are considered (Ogilvie, 1995). (Demurrage and increased ship hire costs due to delay will affect any cost analysis).

The disadvantages of land-based treatment at discharge are:

1. Residuals will need to be managed, with an additional cost when compared with treatment during ballasting 2. It

### is dependant on the ships masterbeing prepared to keep all ballast on-board, rather than discharging during approach to port. Bulk carriers typically discharge 5 to 20% of their ballast as they approach port (Hayes & 

### Hilliard, 1996).



### 48

### The Treatment ofShips' BallastWater Part 2: Analysis ofCurrent and Potential Management and Treatment Options

3. Vessels may not be able to keep their ballast on-board due to tides and draft requirements in approaching port (Thompson Clarke Shipping, 1993). 4. Difficulty involved in getting ballast water ashore, and the cost ofretrofitting infrastructure to ports for the receival ofballast water (eg. Mayson, 1995; Carlton 

### et al., 1995). These issues are the same as for land-based treatment during ballasting, but can be overcome in some parts ofthe industry. 5. Costrecovery. Ballast water treatment is non-core business for port authorities (Mayson, 1995; Hirst, 1994), so it is likely that treatment plants would be privately operated on a cost recovery basis (Mayson, 1995) Although it is proposed for VLCC's, the nature ofthat part ofthe industry probably makes cost recovery uniquely simple. The shipping industry may be reluctant to lose control of ballast management and pay the costs ofland-based treatment. Many ship

owners and charterers may, therefore, exchange at sea and request risk assessment before agreeing to discharge to shore-based plants (eg. Taylor, 1994, discussing ballast exchange at sea) which would reduce the ability for these plants to operate economically. 6. Delays at berth will increase the cost to shiphirers and lost income to port operators (Mayson, 1995). 7. The significant investment required to install land-based treatment plants will not be cost effective for ports which are used infrequently, unless a national cost recovery mechanism is implemented by the port state. 8. The land area required for holding ponds or tanks is not easily accessible at all ports.

The disadvantages of a treatment ship are:

1. Some ships require ballast on-board for stability as the ship approaches the wharf, which will require treatment ships to service both wharves and approaches to port. Fordeballast oftanks which can only be accessed from one side ofthe ship the retrofit or design changes to access these discharges may be complex. 2. Forinfrequently used ports, the ship-board option will require ship and personnel to be on standby for infrequent periods ofactivity, or to operatebetween ports which could cause loading delays. This will be expensive, and may not be used by ports due to the difficulties with cost recovery. However, it may be practical for

some ports (Austin 

### et al., 1998). 3. Ships almost certainly need to be modified to deballast to a treatment ship. 4. Delays may occur if the capacity of the treatment ship are exceeded (Austin 

### et al., , 1998).

Even though there are many disadvantages to these systems, the shipping industry is actually a collection ofvery diverse operations and in some parts ofthe industry these options are clearly feasible (eg. VLCC's).



### 8.1.7 Discharge to sewer
Discharge to seweris not likelyto be an effective treatment option, even if the operating issues and connection difficulties were overcome. Any discharge that does not have very low salinity is likely to adversely affect the flora ofsewage treatment plants (eg. Austin 

### et al., 1998). Many, if not most, existing sewage treatment plants

49

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options

would have difficulty handling the volumes without capacity augmentation, even if there is a plant within reach or a connection available (Carlton 

### et al., 1995). Few sewage treatment plants actually conduct disinfection so many organisms may be unaffected, unless dilution with fresh watercauses osmotic shock.



### 50

### The Treatment ofShips' Ballast Water Part 2:Analysis ofCurrent and Potential Management and Treatment Options 

# 9 DISINFECTANT TECHNOLOGIES

9.1 Chemical and physical characteristics ofballast water

Ballast water can potentiallyhave a very wide range of characteristics from fresh water to hypersaline, relatively clearto heavy sediment or organism loads, and relatively polluted to clean, depending on the conditions in the port from which it is pumped. Any treatment system will have to cope with this range ofpotential conditions. Furthermore, ballast tanks themselves can vary widely in conditions, particularly with respect to corrosion levels and sediment loads. These characteristics plus ambient heat sources (solar radiation and sea temperature) will interact with the water in ballasttanks, making the tanks an actively changing, and often unpredictable, environment.
This variability of ballast water will affect the efficacy of each option for ballast water treatment. For some treatment methods the chemistry of seawater will be important, for others the presence of sediment and the interactions between the conditions within ballast tanks and disinfecting agents will be important. There are very little data on how the differing characteristics ofballast water will affect water treatment technologies. Oemcke & 

### van Leeuwen (1998b) 

### provide details on research into the chemical and physical characteristics ofballast water, and noted that:

1. The characteristics ofballast water at the time oftreatment will be a function of what is in the port water duringballasting and processes within the ballast tank. The composition will vary widely in all parameters between the extremes offresh and salt water with varying sediment and contaminant loads. 2. Ballast tanks usually contain significant sediment loadings (see also NRC, 1996; Thompson Clarke Shipping, 1993). These sediments contain significant levels of organic material, which may become oxygen depleted and also chemically reducing during transit (eg. Rigby & 

### Hallegraeff, 1994). 3. Ballast tanks are actively corroding and/orprotected by tank coatings and sacrificial anodes. Iron from corrosion is a reducing compound that reacts with

some disinfectants. The conditions created by oxidising disinfectants (ozone, chlorine, chlorine dioxide) accelerate the decay of anodes and can increase corrosion in poorly protected areas (Oemcke, 1998a). 

### 4. Seawater contains high levels of salts, most of which are stable and non-reactive, with the exception ofbromide (see Oemcke & 

### van Leeuwen, 1998a) 

### which is present at 66 mgIL, in normal seawater (Millero & 

### Sohn, 1992). This will affect the ozonation ofballast water in particular, and also the chlorination ofseawater.
Apart from Oemcke & 

### van Leeuwen (1998b), 

### all published studies on ballast water chemistry have focused predominantly on the organisms found in ballast water. Recent reviews ofballast sampling projects (Sutton 

### et al., 1998; Taylor-Wood 

### et al., 1997) show that chemical analyses have generally focused only on those aspects which affect the biota, and little ofthese data are useful for assessing ballast treatment technologies. However, temperature, salinity, pH and dissolved oxygen have been widely determined and confirm the wide range of conditions that must be considered when selecting treatment technologies. For example temperatures have been recorded

51

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options 

### from 1° to 35°C, pH from 4.2 to 8.6, salinity from 0 to 

### 45%0, dissolved oxygen from 0.5 to 13.4 mg/L (Taylor-Wood 

### et al., 1997; Smith 

### et al., 1996). Iron levels in ballast reported by Rigby & 

### Hallegraeff(1993) were less than 0.01 mgIL, whereas Oemcke & 

### van Leeuwen (1998b) 

### obtained values for total iron as high as 1.5 mgIL and 85 ug/L 

### for dissolved iron.


## 9.2 Factors influencing choice ofdisinfection agents

Box 8 lists some of the key factors which will affect the selection of disinfectants.

Box 8.**·lssuesatT~ting** selectionofdisitd'ectlttlts

Biocidedemand Residual contact Decay Temperature pH Particulates Efficacy Toxic b**.~** rOducts



### 9.2.1 Biocide demand
Compounds in water can react with biocides, leading to their consumption, known as 'demand'. This demand must be satisfied before any biocide is available for disinfection (shown in equation 1). Many oxidising biocides have fast reactions with organic and inorganic compounds, demonstrated in equation 2.

Biocide residual 

## =biocide dose - biocide demand (1)



### Oxidising biocide 

### + 

# rorganic material oxidised organics 

## l reactive inorganics redox reactions (2)



### A disinfectant residual is that component of the disinfectant applied to water which remains after the satisfaction of demand.



### 9.2.2 Residual contact time
Residual biocides require time to inactivate organisms. For a given dose of a chemical, longer contact time will give a greater disinfection. The relationship between disinfectant concentration and contact time is often represented empirically as shown in equation 3 (based on the modified Chick-Watson Law, described in WaterEnvironment Federation, 1996).

52

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options



### Cn.t

## =constant (3)



### C

## =Concentration of disinfectant residual (mg/L),



### n = 

### constant (typically = 

### 1), but can be determined empirically t

## =time taken to effect a given percent kill (min).

When n

## = 1, Cf

### is the area under a dose-time curve (integral of dose time relationship). Therefore, for a given organism, high residual concentrations ofa disinfectant for short times can achieve similar results to low concentrations for long times (although in practice high doses are often better). The contact time directly affects cost, so short contact time means high chemical dose and consequentlyhigher disinfectant cost.


### 9.2.3 Natural decay

For a biocide to be effective it must not be consumed quickly (ie. high biocide demand) and it must not decay too quickly. Most biocidal chemicals undergo some sort of natural decay, due to factors including instability ofthe chemical species, reactions with light, slow reactions with organic and inorganic matter, volatility, and shifts in chemical equilibria. Many biocides decay quickly, which makes the development of disinfection residuals difficult, and some decay very slowly with potential for long-term environmental toxicity.



### 9.2.4 Temperature
Organisms are typically more sensitive to disinfectants at highertemperatures, due to faster diffusion of chemicals through the organism and faster organism metabolism (Langlais et al., 1991). Disinfectants are typically less effective at lowertemperature due to slower reaction kinetics with organisms. Some disinfectants are relatively insensitive to these effects, but some are highly affected.



### 9.2.5 pH

Some chemicals are affected by dissociation of acids at high (alkaline) pH. Bromine, the main biocidal product of seawater ozonation and chlorination, dissociates from hypobromous acid to the less effective disinfectant hypobromite ion as pH increases, shown in equation 4. The reaction has a dissociation constant (pK a) , 

### of 8.62 at 25°C (Aylward & 

### Findlay, 1974), which means that it becomes about 20% less effective at a typical seawater pH of about 8.2.


### (4)
The pH can significantly affect the behaviour ofpolymers, such as glutaraldehyde (Gorman & 

### Scott, 1980). Other chemicals are less affected by pH, such as molecular ozone, chlorine dioxide and chloramine (Langlais et al., 1991; Metcalf& 

### Eddy, 1991; Jolley & 

### Carpenter, 1983).

53

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options


### 9.2.6 Particulates

Microbes can form aggregates and attach to surfaces, be enmeshed in organic floes, be living within higher organisms or attached to them (Sobsey, 1989). Floes are particularly important as organisms enmeshed within floes avoid full exposure to biocides and can recover after treatment (Narkis 

### et al., 1995). Detritus also acts as a reservoir of considerable bacterial activity (Shahgholi 

### et 

### al., 1996; Kirchner, 1995). Examples relevant to ballast water are the effect of resuspended material on the microbial content of waters and the survival strategies of marine bacteria such as the pathogenic 

### Vibrio species.

9.2.6.1 Organisms in resuspended sediments
Ship passage can resuspend a large amount ofsediment in rivers and ports. Pettibone 

### et at. 

### (1996) found total suspended solids, at 1 and 4 m depth, before a ship passage was 3.4 to 6.1 mgIL but rose to 13.2 to 125.6 mgIL immediately after a ship passed, with a consequent rise in bacterial numbers and the overall size distribution of the suspended solids. Before the passage of the ship approximately 19% of the sediment by volume was smallerthan 20 urn and 50% below 50 urn whereas after the passage of the ship almost 0% the sediment was below 50 urn, due to a rise in the mass of suspended solids, and the nature of the resuspended solids being large floes of material from the river sediments.

9.2.6.2 Vibrio survival strategies

Vibrio survival strategies may make them more resistant to disinfectants. Several marine vibrios can survive on chitin and chitinaceous copepodexoskeletons, particularly the oral region and egg sack (Colwell & 

### Spira, 1992; Yu 

### et al., 1991; Karunasagar 

### et 

### al., 1986; Huq 

### et 

### al., 1983,1984; Nalin 

### et 

### al., 1979). Pathogenic outbreaks ofcholerahave been associated with consumption ofcrabs and shellfish possibly due to attachment on chitin (Mahon 

### et al., 1996; Blake 

### et al., 1980). 

### Vibrio cholerae 

### adsorbed on chitin is more resistant to acid, which probably helps it survive passage through the stomach, and probably is an estuarine survival strategy (Nalin 

### et al., 

### 1979).

Vibrio survival in freshwater is enhanced by association with water hyacinth, blue green algae, filamentous algae, amoebae, plankton and oysters (Thorn 

### et al., 1992; DePaola 

### et al., 1990; Islam 

### et al., 1990, 1989; Sarkar 

### et al., 1983; Spira 

### et al., 1981). These survival strategies may be the source for 

### V. cholerae survival in the environment between outbreaks (Colwell 

### et al., 1981). 

### V. cholerae probably multiply in association with plankton blooms (Colwell & 

### Spira, 1992).


## 9.3 Viable, non-culturable cholera.

Gram negative bacteria, including 

### Vibrio cholerae and other pathogens, representing over 13 genera, can entera viable, non-culturable dormant state, in which the organisms are viable, but not culturable on conventional media (Huq & 

### Colwell, 1996; Jiang & 

### Chai, 1996; Colwell & 

### Spira, 1992; Roszak 

### et al., 1984; Xu 

### et al.,

54

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options 

### 1982). In response to nutrient deprivation, elevated salinity and/or reduced temperature the cells contract from a rod shape into a coccoid (spherical) shape, reduce respiration to less than 1% 

### of normal, decrease cellularDNA and increase the density of the cytoplasm (Huq & Colwell, 1996; Colwell & Spira, 1992).

V. cholerae can recover from this state in the human gut and after increases in temperature, although there may be a period after which the cells cannot recover (Colwell et al., 1996; Wai et al., 1996; Ravel et al., 1995). The viable-non-culturable state may be analogous to sporulation in gram positive bacteria, as it results in a form that can resist adverse conditions (Ravel et al., 1994). These cells may be important for ballast waterdisinfection, since the efficacy of disinfectants against this dormant stage has not been determined. IT they are important as a transfer mechanism for marine pathogens, it is necessary to determine theirresistance to disinfectants.



## 9.4 Physical disinfectants

9.4.1 Filtration

Filtration is widely used in water and wastewater treatment for the removal of solids and organisms, and the clarification of waterprior to disinfection, (Metcalf& Eddy, 1991). Organism and particle size is the most important determinant of ballast water filterability and is reviewed in detail for ballast waterbelow.

9.4.1.1 Sizes of Organisms

Size data for microorganisms is shown in table 6, sizes of dinoflagellate algae are shown in table 7 and size data for macroorganisms are shown in table 8. Figure 15 shows the life cycle of Gymnodinium catenatum (Blackburn et al., 1989) to help interpret table 7.

55

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options



### Table 6. Sizes of microorganisms that may

### be presentin ballast water.

On anism Viruses lliN,VHS, lPN' Bacteria typically Vibrio cholerae 01z
VibrioSpp Aeromonas salmoiticida1 aeterium sal ninarum: Yersiniaspp'

Marineprotozoa selected',3 Perkinsus marinusl

Malinediatoms4 Vegetative cells and spores Auxospore
Dinoflagellate algae typically Pfiesteria piscicida5 0.5- 5.0 

### urn (SO:I-JOx33J.lffi)6 0.38 x 1.5 !-lInvegetativl1 0.2-0Ajimdiametercoccoidgormant 0.5-0.8 x 1**A-2.6~m**
0..3-1.0 x 1.0-1.5 O,6iJ,O!-lffi

spores 2.6-12!-lm ,plasmOdium4-30 um zoospores 2-3x4-6 urn**trophq~Q~~es** 2 to 20**~11\ sporangium.15~100**  J.lffi

3- 115!-lm diameter**3-~.Q** jiIndiameter

20-200 J.lffi(21**!fill,.~o28.mm)6** zoospores & male**gamete~.5-8"!lP'** p1an9zygote25-60urn, allleboiq<5-250 urn, cvsts >IOItl Wolf(1988)

Starr'& Schmidt(1981) Colwell & Spira (1992) Colwell & Spira (1992) HolletaL(1994) Gilles (1984) Holt et al: (1994)

Buchanan &Gibbons (1975)
Bower (1995) Bower (199$) B()wer(1995) Bower (1995)

Hargraves & French (1983) Hargraves & French (1983)
Taylor (1987) Steidingeretal:(1996)

(1) Identified by M4ndayet al. (1992) as having**l'Otentialf~rtrarlsl(x)ati()n** in ballast water(IHN: Infectious Hematopoietic Necrosis Virus: VHS: Viral Haemorrhagip Septicaemia**Virus;~N:lnfectious I'~p~reatic** **Necr~sis** Virus); (2)Identified in ballast (McCarthy &, Kharnbaty, 1994); (3)Bonamia osrrelW,Haplosporidiumcostale.H. nelsoni;Marteilia refringens and**Mi~r7cYfosmacl<ini;** (4) Leptocylindrus, ppllicus,**Ch~erocerosdiadema,~rephqrtc(f?YXis** palmerianaandStephanopyxisfarris; (5) But1<:hQldet etal.( 1995); (6) extreme sizes; (7) Gymnodiniumsimplex; (I;l) Noctiluca.

# ~~t\ e s



# ...**~-qv**

# +g9~**--------~~~-----!** 

# r

' _ Planomeiocyte
',_ )

, Hypnozygote 

# ,**/~** Planozygote

# .~~./ old young 

### Figure 15. Life stages of 

### Gymnodinium catenatum (Blackburn

### et al., 1989) (haploid reproduction is vegetative, vegetative resting stages arenot shown; diploid reproductionis sexual)

56

### The Treatment ofShips' Ballast Water Part 2:Analysis ofCurrent and Potential Management and Treatment Options



### Table7. Sizes of the life stages of the cyst-producingtoxic dinoflagellates identified by AQIS as concern organisms

sta .e G. catenatum

15-55 x 18-53 Ilm 8

38-56x 23-32 Il

m9 A.tamarense**20.2~llm** diameter? 35-40J.tm diameter' temporary cystIO

55;-75x 41259

## wn.}
25-60·llm diameter 4 planomeiocyte 70"85 m2 sexual(diploid) plitno:zygote hypnozygote vegetati¥e (haploid) gametes 2Q-65:X 16-42J.lIDI

(l}I(ono"a!ova (1993),**~1ack?~rn** etal;(1989},J;Il'llga & Sanchez (1985); (2)BlackbllrnetiIl. (1989); (3) Blackburn et al. q 989), Anderson et al. (1988); (4)**~acDonald** & j)avidson (1988), Blackbul'll et al,**(1~89),Allde~on** etal. (1988); (5) Fukuyo et at. (1985);(6)**Hqnsell(l~93),** Montresor et a/;(1990); (7) Dennetal. (l993};{8) Kono

....alova (1993), Montresor er al.(1990),Fraga & Sanchez (1985), Fu!\uyo,etal,(1985}, Loeblich & Loeblich (1975), Sousa & De (1962); (9) Fukuyo et al. (1985); 1O).!'/('lshownon firel5.



### Table 8. Sizes oftransportable stages of selected macroorganisms (adapted from Oemcke & 

### Van Leeuwen, 1998b)

Species

...... ...... ..'. ,.... ..'.

... stage size6 reference
U 00 · .., itid. 2,3;4 n

. nafmnattJI a' (Japanesegj3ptl<;elp) ..•.. ,.,' zoospore gametophyte 5f..Lm 30-1ooJ.lm (L) Munday et at. (1993)

### 1)"~iSs(!na**polytno,:pJul(~ebr~** mussel) larvae 70:290

### J:!m(L)

.. Laughton et at. (1992)**A§ieriasatnuren~ii',3,4** .• NorthernPaCific Seastar fertiltse(iegg

>to bipinarria >100

### um (D)5

, Kasyanov (1988)

Psel.ldopplydora .,.'**paudl:>ranchiat~2,4··(po}ychaete** ) 3 setiger larvae

...... 

### >}OO f..lm(L) Levin (1984)

3 setiger larvae >200J.lrn(L)**>~90** Ilm(W) Blake & Kudenov (1981) Woodwick (1977) Lepeophtheirus salmonis (metazoan) ...•.. nauplii 170Hm (W) 450 J.lm(L) Johannessen (1978) Schram (1993)

..." Pyromaia·tuberculata2;4 spider crab egg
zoea ...... 0,39nurL(D), 0.65 mrn(CL), 1.9mm(L)

......... Furota (1996) Webber & Wear (1981) Carcinus maenas2,3,4 European shore crab i' zoeato megalopa 0:47-1.18rnm (CL) Rice& Ingle (1975) Williams (1968) larvae

.... ..... 4,6:12mm (L) (newly**(~0,9** W) batched) r**Acanthpgobiusjla~imqn~;,4** . YeUowfin Goby Dotu &Mho (1955)

(I) Introduced species via ballast water, GreatLakes USA{Hebert ettIL 1991); (2) Introduced Species, Australia (Furlani, 1996); (3) Australian Ballast Waler Manage

## ll1e lltAdvisory**CounciIPestS\l!~us;** (4) Suspected of introduction to Australia in ballast water (C. Hewitt,pers.comm.(1998); (5) Munday etat

.. (1993) estimate that after taking plasticity into account, a 50 urn filter would be effective for the removal offertilised eggs**ofAst~rias** amurensis.; (6) L=length, CL=carapace length, W= width, D= diameter.



### 57

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options



### 9.4.1.2 Elasticity/plasticity
Elasticity and plasticity of organisms may affect filterability, iforganisms can distort and pass undamaged through filters that have a smallernominal pore size than the organism's external dimensions. Eggs and larval stages of organisms may exhibit elasticity or plasticity, but the effect on viability is unknown. There are few data available on elasticity or plasticity, and this should be assessed at the pilot plant scale. Munday 

### et al. (1993) estimate that, because ofplasticity, a 50 urn filter is required to
remove 

### Asteriasamurensis even though the oocytes have a nominal size of greater than 100 urn.

9.4.1.3 Filtration technologies



### Suitablefiltersfor ballast water Methods for direct filtration include rapid sand filtration, screening, cloth screens/filters, precoat filtration and a range ofmembrane filters. Representative removal sizes of selected filtration technologies are shown in figure 16. From tables 6 to 8, it appears that 50 urn filtration is likely to be effective for the removal of most or all zooplankton, and 20 urn is likely to remove dinoflagellate cysts. Laughton 

### et al. (1992) conclude that 50 urn filters would be adequate for the removal of most zooplankton, and Smythe 

### et al. (1995) suggest that 40 urn filters will remove all life stages of zebra mussel, 

### Dreissena polymorpha, whilst handling moderately high dissolved solids loadings. A mesh size of 100 urn has been suggested for the exclusion ofzebra mussel from cooling water intakes (Jenner & 

### Janssen-Mommen, 1993). These sizes are unlikely to be useful for treatment of 

### Undariapinnatifida,

some important rnicroalgae, protozoans, bacteria and any free viruses.

Membrane filters



### 0.01 0.1 1 

### 10 100 1000 

### Size (micron)
Figure 16. Comparison of organism sizes and selectedfiltration technologies



### 58

### The Treatment ofShips' Ballast Water Part 2:Analysis ofCurrent and Potential Management and Treatment Options 

### Rapidsand filtration Gravity based sand filters are used in the treatment ofpotable and wastewater, for reduction ofturbidity prior to disinfection processes, for effluent clarification and to reduce the numbers oforganisms. Mechanisms which remove particles are: mechanical straining for those largerthan the filter pore size; entrapmentin pore spaces for some smallerparticles; settling on the medium within the filter; heavy particles entering dead zones; adsorption and adhesion to the filter media; growth of floes; and, biological degradation (Metcalf& Eddy, 1991). Rapid sand filtration rates are 5 to 30 m/hr, which would require a surface area of33 to 200 m2 for 1,000tlhr of ballast water. Thesefilters will pass particles in the range of 1.5 to 60 urn, although reducing the numbers ofparticles in this range, with the faster filters performing less effectively and all filters requiring coagulation and flocculation to perform (Kawamura, 1991).



### Screens Selfcleaning stainless steel screens can filter down to about 10 to 20 urn without requiring the addition offlocculating chemicals (eg. Filtomat, Amiad) depending on the quality ofthe source water. Selfcleaning cloth filters can clean down to 3 urn (eg. Filtomat). Cloth filters probably require prefiltration to protect them from excessive

wear.



### Diatomaceous earthprecoat filtration Diatomaceous earth filtration injects diatomaceous earth (DE) (fossilised diatoms) into water and retains the DE on a septum, using it to entrap organisms within the pores between the particles. Itis effective for theremoval of

### Giardia cysts from water (Walton, 1989). Diatomaceous earth precoat filters are capable ofremoving down to between 5 and 17 urn and otherprecoat media are capable ofremoving down to 1 urn (McIndoe 

### et al., 1988). As the effective diameter ofthe filter material decreases the capital, operating and maintenance costs tend to increase, and the plant size ('footprint') required to treat the high flow rates will increase.



### Membranefilters A typical membrane filtration unit for removal ofbacteriafrom waterhas an effective pore size of 0.2 urn although much smallermembranes can beused for viral removal (Mallevialle 

### et al., 1996). These 0.2 um membranes are used for the removal of bacteria, protozoan cysts and oocysts (Mallevialle 

### et aI., 1996). They can remove viruses by adsorption to membranes and in dirt retained on membranes, capture of organics to which viruses are adsorbed and entrapment on retentate layers (McGahey & Olivieri, 1993). They usually require prefiltration of50 to 200 urn to protectthe membrane from solids and control fouling and mayrequire pH adjustment to keep the polymers within their operating range (Mallevialle 

### et al., 1996; Pouet

### et aI., 1994).
High capital and operating costs limit membraneusein disinfection to specialised applications and small treatment plants (Owen 

### et aI., 1995; Pickering & Wiesner, 1993). This method was approximately 12 and 22 times more expensive for bacterial removal from secondary sewage effluent than UV and chlorination respectively (Owen 

### et al., 1995) and cost approximately 57-80 ¢/m3 (US$0.35-0.49/m3

, 1990 price) for treatment ofdrinking waterfrom surface sources (Pickering & Wiesner, 1993). However, the cost ofthis option has steadily decreased in recent years as

59

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options
manufacturing technology has improved and market share has increased, with the units are now being used in some large municipal plants (eg. Tauranga, New Zealand). A recent proposal has recommended the use ofmembrane filters plus chlorination for ballast watertreatment in some ship types, such as cruise ships (Carless, 1998).



### 9.4.2 Cyclonic seperation

Most organismsin ballast waterhave a specific gravityclose to that ofwater and many are actively motile, so they will not settle unassisted. This is in contrast to many solids, with a high specific gravity and oils with a low specific gravity, for which solids separation technologies are designed (Ogilvie, 1995). Dinoflagellate cysts have

a specific gravity ofgreaterthan 1.05 and typically greaterthan 1.1 (Anderson et al., 1985), which should make them removable from ballast waterby cyclone. Newly developed hydrocyclones are being investigated (in conjunction with UV irradiation) forballast watertreatment (A. Jelmert & 

### H. Nilsen,

### pers, comm).



### 9.4.3 Ultraviolet irradiation (UV)

UV irradiation (UV) is effective for the treatment ofa wide range oforganisms, depending on the applied dose, as shown in table 9. It produces no significant residual toxicants (eg. Blatchleyet 

### al., 1997). Temperature has no significant effect on the inactivation ofmost bacteriaand viruses (Sugita

### et al., 1992b; Severin 

### et al., 1983) although a slightreduction in efficacy has been observed in a species ofmarine bacteria at low temperature (Sugita et 

### al., 1992b). UV requires relatively low absorbance to be effective, although systems have been developed to overcome turbidity and improve efficacy on cysts (Clancy & Fricker, 1998; Acher 

### et al., 1997; WaterRecoverypIc, 1996; Campbell et aI., 1995; Blatchley, 1994).



### 60

### The Treatment ofShips' BallastWater Part 2:Analysis ofCurrent and Potential Management and Treatment Options



### Table 9. Selected data on the UV inactivation oforganisms



### 'Yihl

## s :IPN2 baculoviruses Bacteria Organism Dose Removal Reference mWs/cm 1pgl 2 FRESHWATER Viroses Adenovirus 40 30,124 1,4 Meng & Gerba( 1996) MS-2 coliphage 14,&5;2 1,4**Meng~perba** (1996) Poliovirus 1 4-6 Meng & Gerba (1996), Harris

### etat. (1987) 22-31 Meng & Gerba (1996), Harris et at. (1987)**Reovirp~** 16,45 Harris etal. (1987) f2 bacterial virus 61-73 Severin et

### at. (1983) Bacteria

Candidaparapsilosis**CY~~~bllCteria** Anabaena spp Protozoa Giardia tamblia Acanthamoeba castellanii Cfyptosporiditf17lparvum E. coli Jarrell (1988), Sobsey (1989), Severinet at. (1983) Bacilussubtilis 3 Sommetetqt. ·(1995), Sobsey (1989) Yeast 2 Seyerinetal: (1983)

3.2-3.7 Levine & Thiel (1987)

0.8 Jarroll (1988), 3 Sdbsey(1989), 1,2 Campbellet

### at. (1995) MARINE

Liltved etat. (19<]5) Changil(at. (1998)**Str1P~fcOCCUS** sp, 21.1 4.43 Sugitaet

### at. (1992b) Vibriq:qnguillarum 22 6.8 Sugifuet at. (1992:b) Pasteurellapiscicida 10,8 >6.5 Sugilaet al: (1992b) Vibriosalmonicida

.. .. 1.8 5. •.**Liltv~9** et al. (1995) (l)La notation is described in the definitions section 10.1; (2) Infectious.Pancreeiic Necrosis Virus

Some organisms exposedto UV exhibitrecovery processes known as photoreactivation and dark repair, which is usually dose sensitive (Baron, 1997; Liltved & Landfald, 1996; Lindenauer & Darby, 1994). Results in table 10 from experiments by Liltved & Landfald (1996) and Harris et at. (1987), show that doses mustbe increased to account for dark repair and photoreactivation. Darkrepairis a slow process, enhancedby elevatedtemperature (eg. over 24 hours at 37°C for E. coli but 60 hours at room temperature).

The extremehalophilic bacteriumHalobacterium salinarium does not exhibit dark repairbut can completely photoreactivate when exposedto light immediately after treatment, however repair declines afterdark storage (Eker et 

### al., 1991; Fitt et 

### al., 1983). E. coli, andthe halophilic bacterium NRC 41227 can significantly dark repair (310g in 24 hr) and partially 

### photoreactivate when exposed to light immediately, with the photorepair ceasing after4 hours in the dark (Fitt et al., 1983). The blue-green alga Anabaena spp. undergoes significant photorepair, which declines as dose increases (Levine & Thiel, 1987). Most viruses do not photoreactivate or dark repair, as they have no suitable enzymatic mechanism (Baron, 1997), althoughAnabaena spp.

61

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options cyanophages photorepair when grown with the cyanobacterium (Levine & Thiel, 1987).



### Table 10. UV 

### doses (mWscm·2) 

### for three log inactivation of pathogenic bacteria with various types ofrepairmechanism present

Organism

10.6 4 

### 154 Illumiaatio Reference n+dark3

2 2

10.6

13.4

Oemcke (1998a) has demonstrated that UV can be effective for inactivation ofthe dinoflagellate alga 

### Amphidinium sp. and vegetative gametes of 

### Gymnodinium catenatum. Photoreactivation can be disabled by storage in ballast tanks after irradiation. A slightly elevated incubation temperature increases the inactivation (Oemcke, 1998b). Hypnocysts cannotbe inactivated by UV irradiation (Oemcke, 1998b). Foreffective treatment of dinoflagellate hypnocysts either cyclonic separation

or prefiltration to about 20 urn is required (cyclonic pretreatment is the subject of research by Jelmert,

### pers. comm.). The pulsed UV system (Clancy & Fricker, 1998) is not expected to be effective for dinoflagellate cysts.

UV lamps irradiate water through a quartz sleeve that can become fouled by precipitation ofsolids in the water (WaterEnvironment Federation, 1996). This is typically associated with calcium carbonateprecipitation, which is unlikely to be a problem in ballast water. However the presence of iron (particularly iron(ll)), which will precipitate on lamp sleeves, in discharged ballast water will mean that shorebased treatment plants will have to treat the iron priorto UV irradiation (Oemcke &

van Leeuwen, 1998b).

For treatment of ballast waterduring ballasting, UV irradiation has considerable potential, and more data are needed on a wider range oforganisms. Pilottesting, with pre-screening or hydrocyclones, designed to test the limits ofthe UV system in ballast wateris recommended.



### 9.4.4 Heat

Heat is one ofthe options for ballast watertreatment that is receiving considerable research attention. Modelling conducted in Japan (1994) suggested that a temperature of

### 4SoCcouldbe achieved with the use ofwaste heat from the engine, butfield experiments were inconclusive (NRC, 1996). Successful shipboard trials by BHP, in Australia, have followed the 'ballast dilution' procedure to pump heated water, from the engine cooling water, into the ballast tanks. After 3 tank volumes were pumped



### 62

### The Treatment ofShips' Ballast Water Part 2:Analysis ofCurrent and Potential Management and Treatment Options



### this process achieved peak temperatures of 38°C in the ballast tanks, which remained above 35°C for 20 hours (Rigby et al., 

### 1998). Zooplankton were observed to die and only some small diatoms (5 urn) and ciliates survived in the first sea trial ofthis system (Rigby et 

### al., 1998). The Cawthron Institute is investigating the use ofheat from ships' exhaust and recirculating the ballast water rather than using the ballast dilution approach, which may improve the efficiency of heat treatment (D. 

### Mountfort, pers. comm.).



### Researchers in Poland are reported to be investigating 100 

### urnfiltration and 60-70°C for shipboard ballast treatment, although no data are available (MEPC, 1996). A system being developed in Australia by a private company adds an additional heat exchangerto the engine cooling system to achieve a temperature of 50°C for 30 seconds in a holding tank, followed by the discharge of35°C waterto ballast tanks (Prentice & 

### Thornton, 1997). This system, which relies on a contact time within the treatment loop, acts as a non-residual treatment system, relying on the ability to pump all water through the treatment system. It

### results in a continuous dilution ofthe tanks with disinfected water, suffering all the disadvantage of attempting to get each individual unit of waterthrough the treatment unit, although it is reported that the use of thermal stratification can overcome this problem (Anon., 1997), and systems for inline treatment during ballastinghave been developed.

For dinoflagellate hypnocysts, several heat treatment strategies are possible: temperature of approximately 45°C for 0.5 to 3 minutes (Montani et al., 1995); 

### temperature of 35° to 40°C for up to 7 hours (Hallegraeffet 

### al., 1997; Hallegraeff& 

### Bolch, 1993); or a temperature of32°C for three or more days (Oemcke, 1998b). 

### Several days are required to inactivate vegetative gametes ofAlexandriumminitum 

### at 35.5°C (Su et al., 

### 1993 in Hallegraeffet al. 1997).


### A long exposure strategy at about 38°C is the basis of the use of waste heatby Rigby
et at. 

### (1998). It

### is expected to work for many species ofphytoplankton and the introduced macroalga Undariapinnatifida, 

### the introduced starfish Asterias amurensis 

### and zebra mussel, Dreissenapolymorpha, 

### adults (Rigby et al., 

### 1998; Hallegraeffet 

### al., 1997; Sutton & 

### Bruce, 1996; Iwanyzki & 

### McMauley, 1993; Sanderson, 1990). However, some species of alga are heat resistant (Hallegraeffet al., 

### 1997). Achieving and maintaining a higher temperature in the tanks is limited by the heat input and the rate of heat transferinto and out ofthe tanks.

Low temperature «45°C) strategies will be ineffective for most pathogens, as the temperatures for control are higher and require much longer contact times. Examples include, the marine fish pathogensAeromonas salmonicida, Yersinia ruckeri, Renibacterium salmoninarum, 

### infectious pancreatic necrosis virus, viral haemorrhagic septicaemia virus and bacterial spores (Peck et al., 

### 1995; Humphrey et al., 1991). 

### Similarly, human pathogens will be unaffected by temperatures below 45°C.



### 9.4.5 Ultrasound

A review of acoustic technologies (NRC, 1996) concluded that the poor efficiency of ultrasound on higher organisms precluded it from ballast watertreatment. The use of

63

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options pre-clarification would effectively control this problem although the experimental nature ofcurrent applications for waterdisinfection is a much more significant issue.

There are two types ofultrasound: low intensity ultrasound and power ultrasound. Low intensity ultrasound is not used in disinfection. Powerultrasound is a relatively

new technology, with research commencingin about 1989, using frequencies of between 20 and 100 kHz, and may be applied to the disinfection ofwater (Shankie & Riach, 1995). Powerultrasound produces cavitation (low pressure bubbles) in water, which leads to localised regions ofhigh and low pressure and regions ofextreme temperature change (approx 1000°C) during bubble collapse (Shankie & Riach, 1995). Ithas been applied to 

### Giardia and 

### Cryptosporidium control (Shankie & Riach, 1995), although it appears that these systems are all experimental, and no efficacy datahas been found in the scientific literature. No large scale pilot or demonstration plants using powerultrasound disinfection were reported in operation by Shankie & Riach (1995). Although some information was regarded as proprietary, they expressed the beliefthat disinfection processes would move quickly towards large industrial applications. However, they cautioned that achieving an even distribution ofsonic energy in continuous flow systems, optimisation ofenergy input, and ensuring the durability ofequipment were the main hurdles to achieving reliable large scale applications.

An experimental system has shown 93 to 98.6% inactivation of

### Cryptosporidium oocysts with 20 seconds exposure in a pilot continuous flow system, and 4 log reduction at 10 seconds exposure for a laboratory batchreactor (Shanke & Riach, 1995). Draman & O'Dette (1998) report that 20 seconds ofpowerultrasound inactivated 

### Cryptosporidiumparvum (7log), viable helminth ova (4.2log), poliovirus (8log) 

### Salmonella sp. (9log) and 

### E. coli (9log). Ultrasound has potential to be developed into an effective treatment for the organisms in ballast water, and could be cost effective.



### 9.4.6 Magnetic fields

Magnetic treatment is used to control heterotrophic bacteriain fuel. A one pass system
was tested for control ofB. 

### subtilis spores underrecommended conditions and had no effect (Oemcke, 1998b). No data on this option were found in the literature.



### 9.4.7 Electric fields

Electric, as opposed to electrolytic, technologies appearin the literature, although there are few details on the methods or workings ofthe systems.

Electric fields work by producing chlorine, if chloride is present, ozone, oxygen radicals, hydroxyl radicals, heating, electric field effects on cells and possibly oxidised carbonate and sulphate species, the mix ofwhich may be complex (Hallegraeff

### et

### al., 1997; Patermarikis & Fountoukidis, 1990). Matsunaga

### et al. (1992) suggest the effect is predominantly due to intracellular oxidation. Electric fields are reported to be successful for the removal of

### E. coli and 

### Staphylococcus aureus but unsuccessful for 

### B. anthracoides at 30 volt/ern DC (Gould & Haas, 1978).

64

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options 

### Electric shock has been applied to the inactivation ofcysts ofdinoflagellate algae. Montani et al. 

### (1995) used a dose of 100 V AC for 5 seconds, which inactivated all cells ofsix species ofcyst tested. Hallegraeffet al. 

### (1997) demonstrated that the effect of applied voltage was due to the generation of chlorine and an increase in temperature, not the shock itself.

Electric pulse is reported as effective for bacterial inactivation, with UV and plasma effects responsible for disinfection (Blatchley & 

### Isaac, 1992). Inadequate information

was available to properly assess this technology for ballast water as it is currently experimental (NRC, 1996). No efficacy data were found.
Electrocoagulation is claimed to be effective for the removal ofcolloidal material from water, and seems to be by a process ofcharge destabilisation which leads to flocculation ofbacterial cells. It

### has been reported as successful for the removal of bacteria and algae from water (G. Tilley, pers. comm.). 

### There is inadequate information on this technique, and the process works on the basis of coagulation and flocculation, which will mean that it cannot be used for shipboard application.



### 9.4.8 Enhanced mechanical damage

It

### may be possible to make adjustments to ballast pumps, such as increasing pressure drops across pumps or shearforces within pumps that may improve the effectiveness of removal of macroorganisms (Carlton et al., 

### 1995). This may be worth pursuing.


## 9.5 Chemical disinfectants

9.5.1 Chlorine

Chlorine has historicallybeen the disinfectant of choice in potable water disinfection, and is likely to remain so for some time to come (Pilkington, 1995). Even where other disinfectants are used for primary disinfection, chlorine is still used in most potable water systems to maintain a disinfection residual in clear water storage and throughout distribution networks (eg. AWWA, 1991). Chlorine is effective for the removal of vegetative bacteria and many viruses, and can be used for bacterial spores, mycobacteria and protozoa, although high doses are required (Korich et al., 1990; 

### Sobsey, 1989; Jarroll, 1988). It

### is ineffective for the inactivation of Gymnodinium
catenatum 

### cysts (Hallegraeff& 

### Bolch, 1993).
Compared to freshwater, there is little published information on the efficacy of seawater chlorination. In seawater, chlorine reacts rapidly with bromide, as shown in equation 5 (Jolley & 

### Carpenter, 1983; Haag, 1981), which changes the disinfection process somewhat from the freshwater process. The reaction of chlorine with bromide is complete in approximately 10 seconds in seawater (Jolley & 

### Carpenter, 1983). In brackish waters, where the chlorine dose is higher than the bromide concentration, chlorite, chlorate and bromate will also form (Haag, 1981).

HOCI 

### +B( HOBr

### +

## cr (5)



### 65

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options

Chlorine also reacts with sulphides, nitrite and iron(II) very quickly and manganese(II) more slowly. These are the major inorganic components of chlorine demand (Langlais 

### et aI., 1991; Jolley & Carpenter, 1983). It also reacts with organic material in water (organic chlorine demand) to form a range of toxic organic chlorine compounds includingchloroform and bromoform (Jolley & Carpenter, 1983; Stewart 

### et al., 1979). Chlorine reacts with ammoniato produce chloramines as shown in Equations 6 to 8 and the break-point represented in equation 9 (Metcalf& Eddy, 1991; Jolley & Carpenter, 1983), although in seawateronly monochloramine, NH2CI,would normally be expected (Jolley & Carpenter, 1983). The reaction with bromide shown in Equation 10 is also favoured in seawater (Bousher

### et aI., 1989).

NH3 

### +HOCI NH2CI 

### +H20 (6) NH2CI

### +HOCI NHCh 

### + H20 (7) NHCh 

### +HOCI NCh 

### + H20 (8) 2NH3 

### + 3HOCI N2

### + 3H20 

### + 3HCI (9) NH3 

### +HOBr NH2Br

### +H20 (10)

The reaction between chlorine and bromide depends on the concentration of the reactants in the system. Where the bromideconcentration is much greater than the chlorine dose, the reaction follows equation 5. When chlorine is present in higher concentrations than bromide, the reaction can lead to the formation ofbromate, chlorite and chlorate (Haag, 1981).

Monochloramine (NH2CI)can be toxic to fish at levels ofless than 10 ug/L and causes avoidance in fish at concentrations of5.7 IlgIL (Yamamoto 

### et aI., 1988). It has a 48 hr LCsoof0.63,0.51 and 0.35 mg/L at 10°,20°, at 30°C respectively for the freshwater emerald shiner, and a 48 hr LCsoof 1.82 mg/L at 20°C for carp (Segert 

### et aI., 1979). It is toxic to the Asiatic clam, 

### Corbuiafluminea, in 1.3 to 8.5 days and 0.8 to 1.1 days for doses of 1 and 10 mgIL respectively (Cameron 

### et aI., 1989).

Monochloramine is very stable in freshwater with a halflife ofup to 10 days (Yamamoto 

### et aI., 1988). In seawater, the reaction ofmonochloramine with bromide to form monobromamine (equation 11) reduces the halflife to between 2.5 hrs and 2.5 days (Bousher 

### et aI., 1989; Jolley & Carpenter, 1983). Monobromamine is less stable than monochloramine and may reduce the toxicity in seawater (Elsmore, 1994; Cooper

### et ai., 1985). Chloramines can be removed from waterby activated carbon (Komorita & Snoeyink, 1985).

(11)

The complex chemistry and likely toxic by-products, in organic rich waters (particularly freshwaters), make chlorine relatively unattractive forballast water treatment. The combination of its ineffectiveness against dinoflagellate cysts, toxic by-products and difficult chemistry make it inappropriate for widespread shipboard treatment. (The results ofOemcke and van Leeuwen, 

### 1998a rejecting ozone, unless very fine filtration is used, are applicable to chlorine). It should not be rejected for shore- or treatment ship- based facilities, however, where control of the side reactions and residual managementis easier.

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### The Treatment ofShips' BallastWater Part 2: Analysis ofCurrent and Potential Management and Treatment Options



### 9.5.2 Other halogens

9.5.2.1 Bromine

Brominedisinfection has been applied to secondary wastewatereffluent where it is

more effective than chlorine at high pH, due to a difference in dissociation ofthe acid. The application ofbromine chloride, chlorine or ozone to watercontaining bromide

can generate bromine (Metcalf& Eddy, 1991). Brominedisinfectiondatais reviewed in Oemcke & van Leeuwen 

### (1998a).

A by-product ofbromination is bromamine, formed in the same way that chloramine is formed in chlorination. Bromarnine has a high disinfection efficacy, similarto that of bromine, depending on conditions (eg. Johannesson, 1958). The advantages and disadvantages ofbromination are discussed in the sections on ozone and chlorine.

9.5.2.2 Iodine

Iodine is used for disinfection in some specialist applications such as hospitals and emergency treatment ofsmall water supplies (Ellis 

### et 

### al., 1993). Ithas a very complicated chemistry and can be ineffective at pH greaterthan 8 (Ellis 

### et al., 1993). Iodine does not react with ammonia or bromide (Ellis 

### et 

### al., 1993; Gould & Haas, 1978; Stringer 

### et 

### al., 1975). At differentpH levels the disinfection efficacy on different organisms can vary significantly, butit is effective for theremoval of bacteria, bacterial spores, viruses and protozoan cysts (Ellis 

### et al., 1993; Stringer 

### et 

### al., 1975). Ithas application in the treatment ofhighly organic waters (Stringer 

### et 

### al., 1975) but in general will not be cost effective compared with chlorine (Gould & Haas, 1978) and is very unlikely to be favourable compared with the otherhalogens for large scale applications.

9.5.3 Chloramine

Monochloramine, NHzCl, is used as a disinfectant in the chloramination process (eg. Lyskins 

### et 

### al., 1994; Diyamandoglu & Selleck, 1992). It is not as reactive with organics as chlorine and ozone, and is often used in potable waters with high chlorine demand (Cooper 

### et al., 1985).

A concentration contact time, Ct, of between 500 and 3,000mg.minlL will remove 2 logs (99%) 

### Giardia muris cysts overtemperatures of5° to 15°C andpH from 7.5 to 9 (Straub, 1989; Jarroll, 1988) and 1.7 logs of

### Cryptosporidiumparvum oocysts at a C.t of9,600 (Korich 

### et al., 1990). A Ctof6,100 mg.minILis required for the removal of cell associated rotavirus SA 11 (Sobsey, 1989). These doses are much higherthan required for eitherpoliovirus or 

### E. coli (Straub, 1989; Fujioka 

### et al., 1983).

These C.t values suggest that doses ofabout 3-4 mgILcould be used to disinfect ballast waterin-transit (assuming a Ct of 10,000). However, the persistence and toxicity ofchloramine make this disinfectant environmentally unacceptable, particularly in freshwater ports that receive large volumes ofballast water, where the stability ofchloraminepresents a particularproblem.

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### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options


### 9.5.4 Chlorine dioxide

Chlorine dioxide is produced by reacting hydrochloric acid with sodium chlorite as shown in equation 12. Itis not used widely in wastewaterdisinfection as the costs are unfavourable compared to chlorination (WaterEnvironmentFederation, 1996).

4HCI 

### + 5NaCI02 4CI02 

### + 5NaCl 

### + 2H20 (12)

Chlorine dioxide is notparticularly reactive with organics (Li 

### et al., 1996; Dernat & Pouillot, 1992), although it does have some minor fast reactions (eg. Hoigne & Bader, 1994). Itdoes not produce trihalomethane in potable watertreatment plants (Stevens


### et at. 1989) but does produce some chlorinated organics (Singer, 1989). It does not react with bromide or ammonia (Hoigne & Bader, 1994; Dernat & Pouillot, 1992).



### Table 11. Chlorine dioxide efficacy against selected freshwater organisms

Organism Dose p**T~mp** Time Removal c.t Ref. mgIL Hmin log mg.min IL Virus Poliovirus 2 3 0.8-1.3 3,4 1.9-5 3,4 Rotavirus SAl1 cell 1.0-2.1 5 associated 0.16- 5 0.2 Bacteria Clostridium peifringiiis 33 3 spores Protozoa 7 25 60 1 78 1 oocysts Cryptosporidium.parvum 8 22 30 1 <60 6 Giardia.muriscysts 0.22·1.13 7 25 3.3- 2 3.7-6.4 2 28.8 0.11-5.55 7 5 1.3-168 2 7.2- 2 18.5 'Giardialamblia cysts 7. 15 2 70 3 8 (I}KoJich et al. (1990); (2) Jarrell(19Sl:\); (3) Derri3.t& Pouillot (1992); (4) Straub (1989); (5) Sobse(l989); (6)Li ana 

### eet al. (1997).

Chlorine dioxide disinfection is affected slightly by temperature as shown in thepolio virus and 

### Giardia muris datain table 11. Itis also improved by increasing pH (eg. for rotavirus in table 11). Itis an effective sporicide and cysticide, and excellentfor control ofvegetative bacteria and viruses (table 11, Straub, 1989). Levels of5 mgIL give a 70% mortality ofzebra mussel veligers in flow-through cooling water systems, but c.t values cannot be determined from the data, reducing the value ofthe result (van Benschoten 

### et al., 1993a).

Chlorine dioxide can produce two majorby-products, chlorate and chlorite. Chlorate inhibits cell division ofmarine microalgae at high levels, although the presence of nitrate reduces the toxicity (Stauber, 1998). In a brown alga, chlorate inhibits growth

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### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options



### but toxic effects are not observed at below mg/L levels (Lander, 1989). It

### is less toxic to invertebrates and fish (Stauber, 1998) and newer chlorine dioxide generators do not produce chlorate (Gordon 

### et al., 1990). Chlorite is toxic to freshwater alga at levels of 20 mgIL (Demat & 

### Pouillot, 1992). These levels are all much higher than would be expected from treatment even with the 60-70% of chlorine dioxide which is typically converted to chlorite (Singer, 1989). Chlorine dioxide and chlorite are removed by activated carbon or sulphite, although organic material reduces the efficiencyof carbon for chlorite reduction (Gonce & 

### Voudrias, 1994; Karpel vel Leitner 

### et 

### al., 1992; Gordon 

### et 

### al., 1990; Singer, 1989).

Chlorine dioxide is toxic to aquatic organisms, but undernormal wastewater dosing conditions it will have declined to very low levels before release (Demat & 

### Pouillot, 1992). If

### dosed to ballast water during ballasting it can be expected to decline to very low levels before release, or couldbe removed before release from shore-based plants. 

### Ithas potential as a ballast water treatment, due to its very high disinfection efficacy against cysts, but requires further testing to determine costs.



### 9.5.5 Ozone

In 

### freshwater, ozone is considered an excellent disinfectant for the control of resistant organisms. It can achieve a 2 log (99%) reduction of 

### Cryptosporidiumparvum oocysts at Cf 

### values of 4-10 mg.minIL and 

### Giardia muris cysts at less than 2 mg.minIL, with a modest effect of temperature and pH (eg. Langlais 

### et al., 1991; Korich 

### et al., 1990). In 

### seawater, ozone is used for the control of bacteria and viruses (eg. Sugita 

### et al., 1992a).

The advantages of ozonation over chlorination are: (a) there is no need to dose with chemicals as ozone can be safely generated from air on-site; (b) chlorinated byproducts, such as chloramine, cannot form; only brominated organics, bromate and bromamines; (c) it is possible that ozone will make some contribution to disinfection in seawaterregardless of reactions with bromide (Oemcke, 1995); (d) possible increased stability of residuals over chlorine (Richardson 

### et 

### al., 1991); and (e) it will be highly effective in freshwater systems.

A complete review of the ozonation of seawateris given in Oemcke and van Leeuwen 

### (1988a), the key points of which are described here. The presence of bromide means that molecular ozone will probably not contribute to disinfection in seawater, but that the application of ozone will result in disinfection by hypobromous acid (as for chlorination). The reaction ofbromide with ozone in seawater results in a half life of

ozone of 5.3 seconds (Haag & 

### Hoigne, 1984).

Ozone reacts with dissolved organics, iron(lI), manganese (II) 

### and sulphite very quickly (Hoigne & 

### Bader, 1983; Langlais 

### et 

### al., 1991; Hoigne 

### et 

### al., 1985) and untreated raw waters can have a high ozone demand (Oemcke & 

### van Leeuwen, 

### 1998a). Brominated organics and bromate can have negative environmental impacts at low concentrations (eg. Stewart 

### et al., 1979) although the required concentrations for

some organisms are very much higher than would be generated in disinfection (eg. fish in Richardson 

### et al., 1981).

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### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options

Oemcke and van Leeuwen (1998a) conclude that ozonation will not be a suitable general purpose disinfectant for ballast water, but may have specialist applications similar to that proposed by Carless (1998) for chlorine, where membrane filtration (0.2 um) followed by chlorination has been proposed. It has also been proposed for ships which only trade in freshwater (M.Walsh,pers. comm.).



### 9.5.6 Hydrogen peroxide

Hydrogen peroxide is used as a disinfectant in a range ofspecialist applications including laboratory and medical applications and disinfection in the canning industry. Itis unaffected by pH between 4 and 7, but high doses are required (Gould & Haas, 1978). Ithas been investigatedfor the disinfection ofthe cysts ofdinoflagellate algae in ballast water with doses ofbetween 6 and 10,000 mgIL for periods of24 hours required to achieve disinfection (Montani et 

### al., 1995; Bolch & Hallegraeff, 1993; Ichikawa et 

### al., 1992). Bacterial spores require doses ofbetween 13,000 and 140,000 mg/L (Sagripanti & Bonifacino, 1996; Popham et 

### al., 1995). Hydrogen peroxide is the least effective ofoptions tested for control ofzebramussel Dreissenapolymorpha adults and veligers (Van Benschoten et al., 1993b; Klerks et al., 1993), with veligers only suffering 95.9% mortality at doses of9 mg/L (van Benschoten et al., 1993b). Doses of 1.4 mgIL are effective for the control offungal infections offish eggs, but doses of8.2 mg/Lwill not inactivate most fish eggs (Rach et 

### al., 1998). Itis not worth pursuing as a ballast water treatment.



### 9.5.7 Organic chemicals

A problem for all the organic acids is the need to protect workers from toxic sideeffects.

9.5.7.1 Glutaraldehyde
Glutaraldehyde is widely used in laboratories and hospitals as a disinfectant, as a biological fixative and in tanning (Sagripanti & Bonifacino, 1996; Gorman et 

### al., 1980). It has been proposed as a treatment for ships with no ballastto entering the Great Lakes (NOBOB vessels) to control organisms in tank residuals (Lubomudrov et 

### al., 1998; Moll et 

### al., 1998). It is a strong sporicide, generally unaffectedby organic material, non-corrosive and more effective than formaldehyde on a volume added basis (Gorman et 

### al., 1980). Efficacy is improved at higherpH values due to changes in polymerisation and also improves as temperature increases (Bailly et 

### al., 1991; Gorman et al., 1980). Doses of500 mg/L are required for poliovirus and 20,000 mg/L forbacterial spores (Sagripanti & Bonifacino, 1996; Bailly et al., 1991). There are no dataavailable on the resistant stages of marine organisms.
Any treatment system that uses glutaraldehyde will have to account for the strong pH response as ballast waterpH can vary from 4.2 to 8.6. Mixing the chemical into ballast tank residuals is also likely to be difficult and doses of20,000 mgIL will be expensive.

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### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options

9.5.7.2 Glycolic acid

Glycolic acid has also been proposed for use in NaBOB vessels entering the Great Lakes (RNT, 1997). Doses of up to 2,000 mg/L are probably required to control E. 

### coli and LCso's are around 100 mg/L for 

### Daphnia spp, zebra mussel and rainbow trout.

9.5.7.3 Peracetic acid

Peracetic acid (PAA) is used as a disinfectant in laboratories and hospitals and has been applied to sewage in France and England (Lefevre

### at al., 1992; Baldry & French, 1989). PAA is produced from the reaction between hydrogen peroxide and acetic acid to produce an equilibrium mixture of 10% PAA (Lefevre, 1992). Itis notaffected by suspended solids, but is affected by pH (Sagripanti & Bonifacino, 1996; Lefevre, 1992). Doses for vegetative bacteria are around 11 mg/L in sewage effluent, and for bacterial spores is around 300mg/L at a pH of3. It is not effective at a pH of8.4 (Sagripanti & Bonifacino, 1996; Lefevre

### at al., 1992). Very little data are available.

9.5.7.4 Proprietary biocides

There are a large number ofotherproprietybiocides and disinfectants, which have been developed for specialist applications. They may require specialisthandling, storage, have particularhazards, limited shelflife or undergo undesirable sidereactions (eg. Karbowski, 1993).

Kathan WT, used to control sulphate reducing and slimeforming bacteriain cooling towers had no effect on 

### Gymnodinium catenatum cysts at concentrations of 10,000 ppm (Bolch & Hallegraeff, 1993). Otherproprietarychemicals would have to have their efficacy demonstrated for marine organisms and pathogens before being considered for ballast water.


### 9.5.8 Copperions

Copperis an algicide, toxic to heterotrophic bacteriain aquatic environments and has been used to control poliovirus (Thurman & Gerba, 1989). In the presence of phosphates insoluble copperphosphate is formed and it will also form complexes and chelates with ammonia, humic acid and other organics, which reduce its bioavailability (Thurman 

### & Gerba, 1989; Aylward 

### & Findlay, 1971; Sundra 

### & Guillard, 1976). Copper (IT) suppresses the growth ofmarine algae at low concentrations, and is toxic to intermoult adult male freshwater crayfish with LCso's of0.83 to 4.07 mg/Lfor 96 and 24 hours respectively (Lage 

### et al., 1996; Taylor 

### et al., 1995; Hawkins & Griffiths, 1982; Sundra & Guillard, 1976). A dose of200 mg/L

was ineffective for the inactivation of 

### Gymnodinium catenatum cysts (Hallegraeff& Bolch, 1993). There are inadequate datafor assessment in ballast water, butthe chemistry suggests that it would be difficult to use for ballast water treatment.

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### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options


### 9.5.9 Copper + 

### Silver systems (Cu/Ag)

Synergistic combinations ofcopper and silverhave been used in hospital water distribution systems for the control of the bacteria

### Legionellapneumophila and 

### Mycobacterium avium (Lin 

### et ai., 1996, 1998). Electrolytically generated copper and silverplus low levels ofchlorine is effective for control ofthe bacteria L. 

### pneumophila and 

### Staphylococcus spp. and has been investigated for well water treatment (Landeen 

### et ai., 1989) and proposed for swimming pools (Bosch 

### et al., 1993; Yahya 

### et ai., 1990). This process is no moreeffective for viruses than chlorine alone (Bosch 

### et al., 1993). Cui Ag plus iodine has been has been used to control 

### Pseudomonas cepacia (Blatchley, 1993).

Silver (Ag+) has fast reactions with chloride and bromide that produce insoluble solids, AgCl and AgBr (Aylward & Findlay, 1974). The maximum concentration of silverthat can be dissolved in seawater, based on single product reactions, is 3.14 x 10- 2 ug/L. Electrolytically generated silver/copper at a final concentration of copper of 3,000 ug/l, and 1,300 ug/L of silver, was investigated for ballast watertreatment in seawater (Muller, 

### 1995a,b) but no dissolved silver was detected in their experiments and this system was rejected as a disinfectant (Muller, 

### 1995b). This system has no potential for ballast water treatment.



### 9.5.10 Ionisingradiation

9.5.10 1 Gammairradiation

Caesium 137 or Cobalt 60 are used as a source ofgammarays, arranged as a grid in a shielded chamber, with water flow through the chamber regulated to achieve different doses (Rawat 

### et al., 1998; Bitton, 1994). Ithas been applied to disinfection ofsewage effluent with doses ofabout 500 krad required for control ofbacteriain sewage effluent (Farooq 

### et al., 1992, 1993). This is likely to be a very expensive operation.

9.5.10 2 High energy electron beam irradiation

Electron beam irradiation is produced by using an acceleratorto 'shoot' high energy electrons into the waterto be treated (Douglas, 1993). Electron radiation can effectively remove viruses in aggregations or adsorbed to clay particles (Farooq 

### et al., 1993; Metcalf, 1979). Theefficacy of radiation is significantly enhanced by chloride, decreasing pH, and the addition of flocculants (Metcalf, 1979). Itis the subject of ongoing research (Douglas, 1993). The current systems rely on the irradiation of thin films ofwater, which means that treatment will require large installations for high flows, as in ballast water (Bitton, 1994). The high cost and design of current facilities mean that this is inappropriate for the treatment ofballast water.



### 9.5.11 Photochemistry

Photochemical disinfection uses sunlight or fluorescent light to produce highly reactive oxygen radicals, using an intermediary such as methylene blue or titanium dioxide at an elevated pH (Acher

### et al., 1997; Watts 

### et ai., 1995; Acher 

### et al., 1990).

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### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options

Electric field enhanced photocatalysis has also been trialed (Butterfield 

### et al., 1997). It is not used commercially, but several pilot studies have demonstrated effectiveness for poliovirus and coliforms (Acher

### et al., 1997; Ireland 

### et al., 1993; Acher

### et al., 1990; Eisenberg 

### et al., 1987; Hobbs 

### et al., 1977). Itrequires long contact times and has low inactivation rates compared with otherdisinfectants (Watts 

### et al., 1995), and will not be appropriate for ballast watertreatment.



### 9.5.12 Oxygen deprivation

Oxygen deprivation was also suggested by Laughton 

### et al. (1992). Ituses the addition ofan oxygen demanding substance such as sulphide or a readily utilisable carbon
source, such as sugar, to deprive respiring organisms oftheir oxygen. Itis effective for starfish larvae, but was not successful for the removal of 

### Undaria pinnatifida spores (Mountfort, 1997). Itmay not be effective for 

### Carcinus maenas zoea (Taylor-Wood 

### et al., 1997). It is considered unlikely to be effective for seaweeds, algae, cysts, spores, anaerobic bacteria and some viruses (Gutteridge Haskins and Davey, 1993). Anaerobic storage does not affect dinoflagellate cysts (Anderson 

### et al., 1987). Itis very unlikely to provide an effective ballast watertreatment, and has a high risk of stimulating corrosive anaerobic bacteria (eg. Copley, 1998; Ford and Mitchell, 1990). Itis unlikely to be useful for ballast watertreatment.



### 9.5.13 pH adjustment

Many organisms cannot survive extremes ofpH (Gutteridge Haskins and Davey, 1993). 

### Gymnodinium catenatum cysts are capable of surviving pHfrom 2 to 10 (Hallegraeff& Bolch, 1993). Lowering pH would have significant effects on corrosion and raising pH is likely to be result in chemically unstable water.



### 9.5.14 Salinity

Asterias amurensis larvae cannot tolerate salinity outside the range 15-42%0 (TaylorWood 

### et al., 1997). Salinity adjustment is ineffective for 

### Gymnodinium catenatum between the ranges 0 to 

### 100%0 (Hallegraeff& Bolch, 1993), 

### Undaria pinnatifida can survive in freshwater (Taylor-Wood 

### et al., 1997), and itmay be ineffective against many pathogens and the resting stages ofmany organisms (eg. Carlton 

### et al., 1995). Salinity cannotbe adjusted down, and adjusting up is only practical during ballast exchange.



### 9.5.15 Tank coatings

Tank coatings were recommended as a long term alternative for reducing introductions via ballast waterby Laughton 

### et al. (1992). Itwas suggested in Carlton 

### et al. (1995) that biocidal tank coatings would not have a significant effect, as no attached organisms have yet been found in ballast tanks, and that the organisms which will attach may not be particularly important. However, Smith 

### et al. (1996) found life history stages of organisms younger than the age ofthe ballast water. Itis likely that ballast tank sediments and free swimming adults are a greater source ofwithin tank reproduction (eg, Smith 

### et al., 1997), and tankcoatings will not affect these, so the

73

### The Treatment ofShips' Ballast Water Part 2: Analysis ofCurrent and Potential Management and Treatment Options 

### efficacy of coating for the control of within tank reproduction is questionable. Coatings may have to be reapplied every two to three years (Laughton et al., 1992). 

### Overall this does not appearto be an attractive option.


## 9.6 Other

A number of otherdisinfectants are described in the literature, but have not found wide application. Synergistic copper and chloramine has been used to inactivate E. 

### coli and MS-2 coliphage (Straub et 

### al., 1995). Ferrate, FeOl-, has been used to inactivate f 2 

### virus and coliforms in sewage effluent at doses of around 10-20 mgIL (Haas & 

### Gould, 1980; Schink & 

### Waite, 1980). Sodium azide, NaN3, 

### is ineffective for the removal ofdinoflagellate cysts at doses up to 500 mgIL (Montani et 

### al., 1995). 

### Microwave and ion exchange have been applied to the treatment ofbacteria (Gould & 

### Haas, 1981). Potassium permanganate has been applied successfully to inactivate adult zebra mussel, although 2.5 mgIL only achieves about 60% control of veligers (Klerks et al., 1993).



### 74

### The Treatment ofShips' Ballast Water Part 3: Supporting Information


# PART 3 SUPPORTING INFORMATION

75

### The Treatment ofShips' Ballast Water Part 3: Supporting Information


# 10 SUPPORTING INFORMATION

10.1 Definitions

Ballastexchange The process of replacing coastal ballast water with oceanic water. There are two ways ofconducting a ballastexchange: ballast dilution and reballasting.

BallastdilutionThis is the process of pumping several volumes (usually three) through ballast tanks without emptying them. It is also known as the 'flow through' method of ballast exchange or ballast flushing. The term ballast dilution has been used as it accurately describes how the method works.

Benthic Bottom dwelling
Completelymixed flow This is a theoretical flow regime in tanks. In 

### this regime the water in a tank is assumed to be fully mixed, and any new water entering the tank will immediately mix with the rest of the water.
Cyst Environmentally resistant resting stage of many organisms.
Deadweight tonnage (DWT) The total rated carrying capacity of a ship. It includes cargo, oil, fuel, drinking water, stores, passengers and crew.
Dinoflagellate Single celled motile algae.
HypnocystThe environmentally resistant sexual (diploid) resting stage of some species of dinoflagellate algae.
Log Log notation is used widely in the text for its convenience. One log reduction of organisms is a 90% reduction from original numbers, two log; is 99% reduction, three log is 99.9% and four log is 99.99%.
Megalopa A planktonic (free swimming) life stage ofcrustaceans such as European Shore Crab. More mature than zoea.
Oocyst The environmentally resistant resting stage of some protozoans.
Plugflow	 This is a theoretical flow regime in tanks, where there is no mixing at all. Any waterthat is pumped into the tank will act as a 'plug' of water and flow through the tank without any internal mixing.
Reballasting This is the process of emptying then refilling ballast tanks to replace the original ballast water with oceanic water. 

### Itis also known as ballast exchange by the empty-refill method.



### 76

### The Treatment ofShips' BallastWater Pari 3: Supporting Information SlammingImpact resulting from the bottom ofa ship, typically nearthe bow, making sudden contact with water, due to having risen above the surface ofthe water.
Step change This is a procedure for dye tracertesting offlow in tanks, where dye is continuously introduced into a tank (initially containing no dye) and the changes in dye concentration leaving the tank are analysed. This can be used to obtain information aboutflow within the tanks, including dead

zones.
Veliger Planktonic (free swimming) life stage ofmolluscs such as zebra mussel.

Zoea Planktonic (free swimming) life stage of crustaceans such as the European Shore Crab.


## 10.2 Acronyms

ABWMAC AQIS AWWA BHP CRC CRIMP DE DWT IHN IMO IPN MEPC NOBOB NRC UV VHS VLCC WEF Australian Ballast WaterManagement Advisory Committee Australian Quarantine and Inspection Service American WaterWorks Association Broken Hill Propriety [Company] Cooperative Research Centre Centre for Research on IntroducedMarine Pests, CSIRO Australia DiatomaceousEarth Filtration Deadweighttonnage Infectious Hematopoietic Necrosis Virus International Maritime Organisation Infectious Pancreatic Necrosis Virus MarineEnvironmentProtection Committee ofthe IMO No Ballast on Board National Research Council (USA) Ultraviolet Viral Haemorrhagic SepticaemiaVirus Very largeCrude Carrier WaterEnvironmentFederation


## 10.3 Symbols

c.t

g

LCso

m 

### mWs/cm2

nm t Disinfectant concentration multiplied by contact time. Typical units are mg.min/L, Itis used to compare disinfectant doses. gram. litre. Least concentration ofa toxic chemical which will cause 50% mortality in a given time, usually 24, 48, 72 or 96 hours. metre. 

### C'tfor UV irradiation (eirradiation x time). nanometer; 

### 1O-9m (111,000,000,000 m) or 

### 1O-6mm (111,000,000 mm). tonnes (metric). L

77

### The Treatment ofShips' Ballast Water Part 3: Supporting Information



### %0 Parts per thousand (gIL). Il

### m Micrometers; 1O-6m (111,000,000 

### m) or 10- 3

### mm (1/1,000

### mm).


## 10.4 Cost conversions

Costs in the literature have been discounted to April 1998 prices using the Chemical Engineering Plant Cost Index, which is published monthly in thejournal Chemical Engineering, unless otherwise stated. All internationalprices have then been converted to April 1998, Australian dollars, unless otherwise stated.

78

### The Treatment ofShips' BallastWater Pari 3: Supporting Information 

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