The Treatment ofShips' Ballast Water 

The Treatment of Ships' Ballast 

Water. 

Darren Oemcke* 

*School of Engineering, 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 .

:

.
 

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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 ofthe 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 of Ships' Ballast Water 

FOREWORD 

The Treatment ofShips , Ballast Water monograph is the culmination of three and a half 

years research by Mr Darren Oemcke. It has been jointly supported by the Cooperative 

Research Centre for the Ecologically Sustainable Development of the Great Barrier Reef 

(CRC), based at James Cook University 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 of how to address the treatment of ballast 

water to minimise the risk of the spread of exotic organisms. The Corporation and the 

CRC believed that it was necessary for ballast water treatment 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 of its 

kind and has led to a synthesis of important data and new ideas. The work by Mr. 

Oemcke at the CRC provides the shipping and ports industries of the world with 

considerable information as to how they may proceed to practically implement 

treatment of ballast water in an environmentally responsible and economical manner. 

Particularly, the work has provided insights into design requirements for ballast water 

treatment plants and the practical difficulties associated with exchange of ballast 

water at sea. 

While management oriented research is the basis of the charter of the CRC, the 

Corporation is operationally focused and does not usually provide financial support for 

fundamental research. However, in this case, the Corporation took the view that this 

strategic research would be of substantial long-term benefit and could be used to 'prime' 

further practical development of ballast water treatment by others. This report is a fine 

example of how 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 achievement resulting 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 of exotic 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 

Chief Executi ve Officer Director 

Ports Corporation of Queensland Cooperative Research 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 of exotic 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 Barrier Reef. 

Additional funding was provided by James Cook University through its Merit 

Research Grants Scheme and the School of Engineering. 

Professors J. (Hans) van Leeuwen and John Patterson have been instrumental through 

their supervision of the research. The project could not have proceeded without the 

support and assistance of Mr. Steve Raaymakers and Mr. Steve Hillman from the 

Ports Corporation of Queensland and Professor Chris Crossland, Ms. Anne Tucker, 

Ms. Siriol Giffney and Mr. Simon Woodley from the CRC Reef Research Centre. 

Many other people assisted with valuable advice and/or assistance with the project. 

They include: Professor Dilwyn Griffiths, Dr. Lachlan Harris, Associate Professor 

Warren Shipton, Dr. Graham Jones, Dr. Micheal ten Lohius, Professor Jim Burnell 

and Dr. Jim Woodward from James Cook University; Ms Penny Lockwood, of the 

Australian Quarantine and Inspection Service; Dr. Gustaaf Hallegraeff, University of 

Tasmania; Dr. Cameron Hay, Cawthron Institute; Dr. Chad Hewitt, Centre for 

Research on Introduced Marine Pests; 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. Geoff Rigby, BHP (now Reninna Pty Ltd.); Ms. Lyn Mcilwain, Golder 

and Associates; Mr. Bill Robson, Queensland Alumina Ltd.; and Mr. Mike Riley 

(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 Townsville Port 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 Australia Pty. Ltd., 

Triangle Filtration, Australian Ultra-Violet Pty. Ltd., Wetworld Pumps and Irrigation, 

Wilson Walton, Hydrotech and Aquatec Maxcon Pty. Ltd. 

111 
The Treatment of Ships' Ballast Water 

TABLE OF CONTENTS 

FOREWORD ii
 

ACKNOWLEDGEMENTS iii
 

TABLE OF CONTENTS iv
 

EXECUTIVE SUMMARY viii
 

STRUCTURE OF THE REPORT x
 

PART 1 INTRODUCTION, 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 MEET THE AIMS OF THE PROJECT 3
 

1.4 SUMMARY OF MAJOR EXPERIMENTAL RESULTS 4
 

104.1 Identification of treatment technologies and test organisms 4
 

1.4.2 Characteristics ofballast 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 OPERATIONAL IMPORTANCE 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 ofNorth America 15
 

2.8.4 Comb jellyfish in the Black Sea 15
 

2.8.5 The transfer ofepidemic 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-BASED TREATMENT 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 BALLAST MANAGEMENT 29
 

6.2 BALLAST TREATMENT 29
 

6.3 UNDERLYING SCIENCE 30
 

PART 2 ANALYSIS OF CURRENT AND POTENTIAL
 

MANAGEMENT AND TREATMENT OPTIONS 31
 

7 BALLAST WATER MANAGEMENT OPTIONS 32
 

7.1 BALLASTING MICRO-MANAGEMENT 32
 

7.2 BALLAST EXCHANGE AT SEA 34
 

7.2.1 The ballast exchange at sea processes 34
 

7.2.2 Efficiency ofballast exchange 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 of rebaliasting 37
 

7.2.4 Time taken to exchange ballast 39
 

7.2.5 Costs ofballast exchange processes 39
 

7.2.6 Compliance with voluntary exchange guidelines 40
 

7.2.7 Monitoring compliance with exchange 41
 

7.3 THE PART 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 oftreated water 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 ofbiocide 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
 

8.1.7 Discharge to sewer 49
 

9 DISINFECTANT TECHNOLOGIES 51
 

9.1 CHEMICAL AND PHYSICAL CHARACTERISTICS OF BALLAST WATER 51
 

9.2 FACTORS INFLUENCING CHOICE OF DISINFECTION AGENTS 52
 

v 
The Treatment of Ships' Ballast Water 

9.2.1 Biocide demand 52
 

9.2.2 Residual contact time 52
 

9.2.3 Natural decay 53
 

9.2.4 Temperature 53
 

9.2.5 pH 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 Magnetic fields 64
 

9.4.7 Electric fields 64
 

9.4.8 Enhanced mechanical damage 65
 

9.5 CHEMICAL DISINFECTANTS 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
 

9.5.10 Ionising 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
 

9.5.13 pH adjustment 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 COST CONVERSIONS 78
 

REFERENCES 79
 

vi 
The Treatment ofShips' Ballast Water 

EXECUTIVE SUMMARY 

Ballast water is recognised internationally as a vector for the translocation of invasive 

marine organisms. This has led the Ports Corporation and the CRC Reef Research 

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 water is one of a number of vectors for the introduction of exotic 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 effort has 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 of national 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 of introducing international 

controls on ballast water. 

At present the only control options are managing ballast uptake, mid-ocean exchange 

of ballast water, where the ballast water is 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 some jurisdictions, 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 of ballast water. The rate at which ballast is 

discharged means that treatment during ballasting will be more effective than during 

deballasting. The only option for en route treatment, at present, is heat treatment using 

Vll 
The Treatment of Ships' Ballast Water 

waste heat from ships' engines, which is effective for many plankton but ineffective 

for many other organisms, particularly pathogenic microorganisms. Heat treatment 

also requires a number of days, both to raise the temperature of water 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 of this 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 of toxic 

dinoflagellate algae, which are a major concern 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 will be effective for 

reducing turbidity prior to 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 sediment plumes and 

algal and zooplankton blooms. 

These systems will not be effective for smaller organisms 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 power ultrasound. UV irradiation has undergone laboratory testing, which 

has identified some of the 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 power ultrasound is a new technology for water treatment, 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, laboratory testing 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. Ozone has 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 of ballast water treatment options 

is the lack of meaningful criteria for effectively comparing the various options and 

combinations of options. There are no criteria or standards for ballast water treatment 

that can be used to decide whether a particular treatment is effective to a predetermined, desirable level. Until a system of comparing options on the basis of the 

cost to remove particular organisms to a pre-determined level of invasion risk is 

developed it will be difficult to rationally compare ballast water treatment alternatives. 

Such a system might involve: identifying indicator organisms; obtaining an estimate 

of the number and/or concentration of these organisms that constitute an invasion risk; 

determining the treatment techniques and doses to remove the organisms to that level 

from ambient (or bloom) levels; and, compare the treatment options on the basis of 

cost to control the indicator species. 

viii 
The Treatment ofShips' Ballast Water 

STRUCTlTRE OF THE REPORT 

This report is written, in part, to comply with the reporting requirements of the Ports 

Corporation of Queensland, and is arranged in three parts to suit this purpose. 

Part I contains information on: the ballast water treatment project, conducted at James 

Cook University from 1995 to 1998; a definition of the ballast water problem; a brief 

description of the technologies reviewed for their potential to treat ballast water; a 

summary of potential treatment systems for ballast water, based on the reviews 

contained in part II; proposed UV and solids separation pilot treatment plants; and, 

recommendations for future research. 

Part II contains a review of potential ballast water treatment techniques. Ballast water 

management methods are reviewed in detail, followed by a review of ballast treatment 

options, with particular regard to how treatment may fit into the operation of the 

shipping industry. The final chapter of part II is a review of water disinfection 

technologies for their potential in ballast water treatment. 

Part ill contains 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 of ballast water has increased steadily in the intervening 

period, with delegates from 16 countries, representing government, United Nations 

agencies, the shipping industry, universities and research institutes, participating in the 

most recent International Study Group on Ballast Water 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 

of attention, 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 of ballast 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 water treatment issue, and is 

beginning to generate interest within the international water quality community as a 

serious industrial water treatment issue. Researchers and managers working in this 

field should publish their research results and ideas in international journals that deal 

with water quality and treatment, to increase the readership of ballast water as a water 

treatment issue. This may lead to ballast water receiving more research attention, from 

a greater breadth of funding than is presently the case, which will lead to the 

development of more effective treatments. 

Ballast water management and treatment represents a challenge to water treatment 

specialists, as many of the traditional approaches to water treatment are difficult to 

implement. This review should help water treatment specialists to better understand 

the nature of the ballast water problem and the shipping industry, 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 BALLAST WATER 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 treatment project commenced in July 1995 at the CRC Reef Research Centre 

and the School of Engineering at James Cook University. 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 Barrier Reef, referred to as the 

CRC Reef Research 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 Professor J. (Hans) van Leeuwen from the University of New England and 

Professor John Patterson from James Cook University. Professor Archie Johnston was 

involved in the initial stage of the project. 

Advice on marine algae was provided by Professor Dilwyn Griffiths of James Cook 

University and Dr. Gustaaf Hallegraeff of the University of Tasmania and advice on 

marine bacteria was provided by Associate Professor Warren Shipton and Dr. Lachlan 

Harris of James Cook University. 

1.2 Aims of the 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 of the project 

Four main sets of research were conducted to meet the aims of the Ballast Water 

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 of this 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 ofOzone for Ballast Water Treatment which 

was submitted to the 41st session (March 1998) of the International Maritime 

Organisation Marine Environment Protection Committee (MEPC). Papers on this 

component of the research have been submitted to the journal Water Research, 

with another papers 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 of major experimental results 

1.4.1 Identification of treatment technologies and test organisms 

The initial literature review suggested that ozone, UV irradiation and filtration were 

strong candidates 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, similar to 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 data is 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 de facto standard for ballast water 

treatment (eg. Hallegraeff, 1998). 

G. catenatum was not tested 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 of the algae tests with UV required more 

investigation than was initially anticipated. 

1.4.2 Characteristics of ballast water 

A major knowledge gap identified in the initial literature review was a lack of 

information on the chemical and physical characteristics of ballast water. The 

composition is very important as there are a number of characteristics 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 sampled for 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 of oceanic water characteristics to determine the effectiveness of 

ballast water exchange. 

Constraints identified for the use of ozone were the presence of corroding iron which 

is likely to reduce oxidant residuals 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. For UV treatment after ballasting, 

however, the presence of iron 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 of the clarification system 

would need to be determined by pilot tests. Filtration or hydrocyclones could also be 

used as a stand alone disinfectants. Self cleaning screens of 20 to 50 urn or newly 

developed hydrocyclones appear to be the most likely options, depending on the 

targeted organism. 

In addition to the need to determine the constraints of ballast water characteristics 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 of iron 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 of B. subtilis. The second set of experiments 

investigated the effect of ozone dose on Amphidinium sp.. 

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 of Amphidinium 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 modelling process 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 efficacy data, it is likely that ballast water sediments 

will contain areas of chemically reducing 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-transit treatment 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 smaller than 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 of tests were conducted on Amphidinium sp. 

and on both vegetative gametes and cysts of G. catenatum. 

For the control of Amphidinium 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 urn prior to treatment 

6 
The Treatment ofShips' Ballast Water 

Part 1:Introduction, Research Results and Recommendations 

improved the efficacy of UV irradiation, probably by removing floes of algae and 

organic waste, thus aiding the penetration of UV to individual organisms. Elevated 

temperature (32°C) increased the rate of inactivation. Amphidinium sp. is not an 

organism which is of concern in ballast water but was used to examine the effects of 

UV as it is a very hardy organism. The results of this research need to be extended to 

other organisms that are of concern 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 of less than 50 

mWs/cm2 required for complete inactivation (>99.98%). G. catenatum cysts were 

completely unaffected by UV, at doses of up to 1,600 mWs/cm2

. For control of the 

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 of cyst 

producing dinoflagellates. The density of dinoflagellate cysts suggests that 

hydrocyclones could be effective. 

Data from the literature suggest that a UV dose of around 60 mWscm-2 will be 

effective for the removal of bacteria, most viruses and many protists and a dose of 120 

mWs/cm2 for almost all microorganisms except highly resistant cysts and viruses. A 

range of new and modified UV systems have been developed, which have the 

potential to improve inactivation in turbid water and for resistant organisms. 

Furthermore, the actual conditions in ballast tanks may increase the inactivation of 

organisms after they have been damaged by UV. 

The major conclusions from these experiments are summarised below. 

1.	 Laboratory based UV testing needs to be extended to a wider range of target 

organisms in ballast water. 

2.	 Pilot scale testing of UV and filtration/cyclonic separation needs to be conducted 

with an objective of testing in conditions which will challenge the system, such as 

algal and zooplankton reproductive blooms and sediment plumes. It also needs to 

be done under conditions which realistically reflect processes which will occur in 

ballast tanks after treatment. 

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) of the UV 

tests and produced some interesting results. Amphidinium sp. was unaffected by 

temperatures of 32°C, but was completely inactivated by 38°C after 24 hours in the 

dark. Vegetative gametes of G. catenatum were completely inactivated (>99.98%) by 

a temperature of 23°C after 5 days in the dark. Cysts of G. catenatum were inactivated 

(>90%) after 3 days in the dark at 32°C. These data represent the lowest temperatures 

and longest contact times described for heat treatment of dinoflagellate cysts. 

7 
The Treatment ofShips' Ballast Water 

Part 1: Introduction, Research Results and Recommendations 

2 TRANSLOCATION OF MARINE 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:Some disper$alveetors for marineorganisms 

Ships ilrtdboats (halls, ballast, other)
 

Oy~ters (surface,· soft tissue, entrainedsediIJlents)
 

Aquaticpl~ts
 

i\lgaepacked with fishery products
 

Specimensimported for 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 of other areas on ships 

that could be responsible for the introduction of marine pests, as shown in figure 1. In 

Australia, ballast water could be responsible for 24-33% of the 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 

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

Figure 1. Areas of ships from which organisms can be introduced (adapted from 

Hayes & Hewitt, 1998) 

8 
The Treatment ofShips' Ballast Water 

Part 1:Introduction, Research Results and Recommendations 

2.2 Operational importance of ballast 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 of vessel. 

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 of ballast tanks and midship section of a handysize bulk carrier 

fitted with separate topside tanks; double bottom and 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 different types of ship, 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 water is 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 water of cargo ships 

has been recorded as having water from four previous ports (Chu et al., 1997). 

Implementation of changes to ballasting practices 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 

.~.

Figure 4. Simplified ballasting and deballasting procedures using bulk exports 

from Australia as an example 

.•••... ..•.•. Box 2. Complexity of:ballasting patterns (adapted from NRC, 1996) 

A ship unloads cargo at a destination,' having arrived with some ballastalready on board. It unloads its 

cargo,taking on additional ballast for a transoceanic 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 adjust stability. 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)Dore carJ.!io. ... .... ... 

2.4 Ballast water volumes entering Australian waters 

It is estimated that in ]99] there were] 21 million tonnes of ballast 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 of ballast 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 of marine 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). 

Medcof and 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.akshminarayana et al; 1994; Rigby &Hallegraeff, 1994;iHallegraeff 

et 01.,.1990) 

Dinoflagellatealga~ (Macpona1d & Davidson. 1998; Subba Raoet aL,1 994; 

I(eqr, 1992; Hallegraeff & Bolch, 1991; 19~2)

Plankton (Chllet al., 1997; Hay et al., 1997; Carlton &;;Geller, 1993; Williams 

et ol., 1988;,Howarth, 196J; Medcof, 1975) 

fish (Williams¢t al., 1988;Paxtori & Hoese, 1985) 

2.6 Requirements for organisms to survive ballast transport 

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 

environmental conditions are suitable. Each of these processes will result in organism 

mortality, and very few of the organisms originally present in source ports 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 of the 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 environment in ballast water; the width of the boxes indicates the declining 

number of organisms which will survive each stage, but are not to 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 similar environments around the world. Many of the 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 of their 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 establishment probably 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 of the invader upon arrival and conditions 

in the receiving port (Ruiz et al., 1997, Carlton & Geller, 1993). Estuaries and 

embayments appear to 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 higher levels of shipping activity in these areas, which leads to 

more frequent arrival of inoculum, 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-West Pacific region may be more resistant due to a range of physical and 

biological factors. 

2.7 Increasing rates? 

The importance of ballast water as an introduction vector in Australia, compared with 

other vectors appears to have been increasing with time, and it is becoming an 

increasingly important source of invasions (C. Hewitt, pers. comm.). Ruiz et al. 

(1997) suggest that the invasion rate attributable to ballast water has been increasing 

as a result of changes in trading patterns. 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 of ballast 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 of ships and 

increasingly disturbed ecosystems are leading to an increase in ballast water 

translocations of marine 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 effort to detect organisms (eg. Ruiz et al., 1997). 

2.8 Pests introduced in ballast water 

Many of the 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, Asterias amurensis, several species of fish, 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 

water include 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 of Melbourne 

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 

Tasmania for periods of up to 6 months (Hallegraeff, 1992). 

The identification of cysts of G. catenatum, and other toxic 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 Hallegraeff and Bolch (1991) to 

contain more than three hundred million cysts of another exotic toxic dinoflagellate 

alga Alexandrium tamarense. 

2.8.2 Northern Pacific Seastar in Tasmania 

The Northern Pacific Seastar, Asterias amurensis, 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 Great Lakes of North America 

The zebra mussel, Dreissena polymorpha, 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, water treatment plants and heavy industries and also by fouling fishing nets, 

boat hulls and buoys (Weathers & Reeves, 1996; Ribera, 1995; Lamarre, 1991). 

2.8.4 Comb jellyfish 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 of Ships' Ballast Water 

Part 1:Introduction, Research Results and Recommendations 

Sea of Asov, where it decimated the anchovy and Asov kilka catches by competeing 

for food resources (Vinogradov et al., 1996; Studenikina et al., 1991). The comb 

jellyfish has also spread to the eastern Mediterranean Sea (Kideys & Niermann, 1994). 

2.8.5 The transfer of epidemic cholera 

The El Tor biotype 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 water of five cargo ships which were docked in United States ports along the 

Gulf of Mexico 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 seawater for periods of 50 days (Munro 

& Colwell, 1996; Levins et al., 1994). The survival of cholera by association with 

algal blooms and colonisation of the chitinaceous exoskeletons of some marine 

organisms (Epstein, 1993; Colwell & Spira, 1992) suggests the role of ballast may be 

in association with the transport of intermediate hosts as well as free cells. 

In 1992, Australia introduced testing for the presence of Vibrio cholerae in ships 

arriving from ports in countries with cholera outbreaks (AQIS, 1994). The Australian 

Quarantine and Inspection Service has commissioned the investigation of a 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 

The Australian Quarantine and Inspection Service introduced voluntary guidelines for 

the control of ballast water in February 1990 (updated 1992, reissued 1995 & 1997). 

Revised guidelines, which require ballast water management, were introduced in 

August 1998. The new Australian guidelines are summarised in box 4. 

In 1991 the Marine Environment Protection 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 of the year 2000 for the adoption of a 

mandatory international framework for ballast management (MEPC, 1998). 

New Zealand introduced voluntary controls on ballast water discharges in 1992, with 

mandatory ballast exchange at sea for 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 of ballast origins 

and documented evidence of ballast treatment, with exchange at sea the only currently 

approved treatment method. Discharge of sediment is banned and there is allowance 

for mandatory testing for the presence of toxic dinoflagellate algae (New Zealand 

Ministry of Fisheries, 1998). 

Mandatory ballast water exchange has also been introduced in the Great Lakes of 

North America, the Port of Vancouver in Canada, the Port of Haifa in Israel and in 

16 
The Treatment ofShips' Ballast Water 

Part 1:Introduction, Research Results and RecommendationsChile (United States of America, 1990; Vancouver Port Corporation, 1997; 

Parliament of Victoria, 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 comply with Australian guidelines for ballastcontrol.August 1998 (AQIS. 

1998a) 

Sediments 

MandatorY.1iQn-discharg~ of pallast sediments to Australian water~.

Water 

Mand~?ry accurate completion of a 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 ballast water management alternatives 

1.	 Nonrdischarge of ballastin AustJW,i~

2.	 Ball~~~ exchange at sea enroute toAustralia, 

3.	 Dischargeto reception facilities (ifapproyed py.AQIS). 

4.	 Ba1I~$tJreatment (if a 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 of disinfection 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
 

mechanical damage
 

Chemical methods; 

chlprine
 

otperhalogens (bromine !\ridiodine)
 

chlora~ne

chlorine dioxide
 

ozone
 

hydrogen· pero){i~e
 

organi()compounds
 

copper ions
 

copper+ silyer ioris
 

ionising radiation
 

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 of ballast 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 OF POTENTIAL TREATMENT 

SYSTEMS 

4.1 In-transit treatment 

In-transit treatment must be capable of achieving an effective disinfection residual 

throughout the vessel during transit. It must also control as broad a range of target 

organisms as possible. 

Ozone, chlorine and bromine do not target dinoflagellate cysts under an in-transit 

treatment regime, and reduction of the residuals at the sediment-water interface and 

areas of corrosion are likely to adversely affect the most cost-effective dosing methods 

(See Oemcke & van Leeuwen, 1998a). It may be possible to arrange chlorine dioxide 

dosing to make it effective, although benthic organisms in sediments will probably be 

difficult to remove and local areas of corrosion may have a negative effect. Oemcke 

and van Leeuwen (1998a) reported experimental data and cost modelling of ozonation 

systems, and concluded that ozone will not be broadly effective for in-transit 

treatment, on the basis of cost, 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 chlorine for the treatment of cruise 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 treatment plant, and the hydraulic 

inefficiencies of current ballast 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, some potentially 

important pathogens (eg. Aeromonas saImonicida, Vibrio cholerae) will not be 

affected, and a wide range of organisms is yet to be tested. The use 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 detailed examinations on the corrosion potential 

have been conducted, but Rigby et al. (1998) believe this will not be a problem. Heat 

may affect the stress loadings of the vessel by causing differential expansion of the 

ship superstructure (Carlton et al., 1995), and deserves attention. The use of waste 

heat from the exhaust as a source of heat may improve the process, and the use of 

recirculation, rather than the ballast dilution approach will improve the efficacy of 

heat treatment (D. Mountfort, pers. comm.), although possibly more expensive. A 

system which uses waste heat plus an additional heat exchanger has recently been 

trialed in Australia (Anon., 1997) but the long term cost effectiveness of adding heat 

exchangers to ballast systems may be poor, due to the cost of maintenance. 

19 
The Treatment ofShips' Ballast Water 

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 of filters 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 short circuits land-based treatment and may limit the 

usefulness of treatment 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 if appropriate units are selected and 

designed appropriately. For treatment of larger organisms 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 water treatment during 

ballasting. UV will require pre-clarification to be effective, both to reduce turbidity 

and remove UV resistant dinoflagellate cysts. UV irradiation plus 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 power ultrasound 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 per unit 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 of Ships' 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 of by-products, although only limited toxicity data were found. 

4.4 Refined model of ship-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 beevenly and reliably distributed to be effecti ve. The five options for 

prevention of organism intake have been refined to a single option called 'ballasting 

micro-management'. Use of shore facilities to provide treated water, use of potable 

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 chapter 7). The model for filtration is refined to two levels of screening (20 

and 50 urn). Land and port-based systems are not included, as local discharge 

regulations, land availability and infrastructure are the major constraints 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 of ballast water treatment alternatives for shipboard 

treatment (modified from Carlton et al., 1995) 

Partially effective, should be pursued as riskrednction 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 source port 

(1)Ballast "micro-manag t" 

(2a.)Filtration during ball 

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)}ligh powllrultrasoundl 

(6) Other new technologiea' 

(7)~hlorine di9~del

research 

x ! ./ 

j 

fesearch I ./ probably I 

requires research 

some 

I 

Attache 

·~acteria

? 

I research 

Organism survivesballast uPl(1~e

(8) Heat treatmelltin-transie 

(9)~hlorine diO*ldel 

(I Qa)llallast dilutiPtI(3 volumes) 

(lOb)·Reballasting 

I <. I.. ......./ I partial 

Effectiveness unknown, requires research 

> 85-90% effective forpelagic; effect of dead spots must be 

researched 

>90% effective for pelagic;implelllentation difficultfor many 

ships 

Organism surVives journey 

(lQc)Backup exchange zones Same as options lOa and lOb exceptJor Potential 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/orcyclonic separation will benecessary~s apretreatment; (2) 20 urn screensand 

cyclonic separati?nlikely tope effective. 50 JUU filtration or UV alone ineffective; (3) assumes 

ade nate time and heat transfer are available 

4.5 Comparing ballast treatment systems 

4.5.1 The need for a basis to compare ballast water treatment options 

At present there are two de facto standards being used for ballast water treatment. The 

first is based on the efficiency of ballast 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 of this is that the current accepted efficacy of ballast 

exchange is about 90%. The second de facto standard is that implied by the current 

approach to ballast disinfection, where 100% control of the resting cysts of certain 

species of dinoflagellate algae is the target. 

These two de facto standards are incompatible, and mean that quantitatively 

comparing the treatment processes with ballast exchange is impossible. Criteria for 

the treatment of ballast water are required to determine if the processes are achieving 

an appropriate level of removal. To do this it is necessary to fulfil the following 

requirements. 

1.	 Have a clear understanding of the 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 of the survival of organisms present in 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 of organism which is necessary to infect a 

new site, which is a difficult task, and is beginning to be addressed (eg. Ruiz & 

Hines, 1998; CRIMP, unpubi.). 

4.	 Decide on an appropriate level of risk. 

Development of a 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 can be matched with inoculum information. These 

methods can be used to assess different treatment techniques, on the basis of cost to 

achieve levels of risk reduction. 

4.5.2 Non-quantitative bases for comparison 

The technologies, in their present configurations, can be compared on the basis of 

where they will actually work. For example (based on current information): 

•	 exchange at sea or in designated back up zones is impossible where ships do not 

pass through such areas, 

•	 reballasting is not possible for some ships or in rough weather due to safety 

problems, 

•	 heat treatment (with waste heat) may not work for short trips or those which do 

not pass through the tropics. 

More limitations will be identified as other technologies are tested under ballast water 

conditions. 

23 
The Treatment ofShips' Ballast Water 

Part 1: Introduction, Research Results and Recommendations 

Technologies can also be compared on the basis of targeted organisms. For example: 

•	 exchange does not target organisms which can avoid areas of high 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 heat this is currently around 38°C), 

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

•	 UV inactivation of organisms 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 of water. 

4.5.3 Comparing costs 

Costs of ballast water treatment and management techniques cannot be 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 

of ballast management is related to either the total ballast capacity and trip length or to 

the size of ballast pumps, each of which vary significantly. Therefore, cost 

comparisons must be conducted on the basis of individual ships and their trading 

patterns, on the required level of organism removal for that trading pattern, and over 

the life of the ship. 

It has been suggested that the cost of improving the efficiency of ballast 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 must be considered in analysis of the costs of ballast 

management. Cost estimation for ballast water treatments are necessarily in their 

infancy as pilot testing of these options is not yet complete in the case of filtration, 

filtration + UV and heat treatment (waste heat). A preliminary cost analysis on 

filtration has been conducted (Parsons et al., 1997) which canvasses many of the 

important issues for the effective cost modelling of filtration, 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 of ballast 

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 harbour environments 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 of hydrocyclones 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. Particular issues, which will limit the effectiveness of UV, are the 

resistance of organisms and the quality of the water. The final selection of UV plant 

design and accurate costs can only be determined from the results of pilot tests, but 

experiments on the effect of filtration 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 treatment plant design . 

• ••• 

••• 

Figure 6. Conceptual UV-Screening ballast water treatment plant 

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 

treatment plant flowcharts. 

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 of suspended solids, and size distribution of solids. 

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. It is designed to obtain 

information on turbidity and solids as for the screening only option. It includes a 

system for injecting organisms into the pilot plant for testing the inactivation of 

particular organisms. It should obtain information on UV transmittance, which is a 

basic design parameter for UV units, and incorporates a tank (preferably corrosion 

protected, with sediment) for the assessment of post 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 similar to those that would be needed for 

other secondary disinfectants and the pilot plant could be readily modified to test other 

secondary disinfectants, such as ultrasound. 

Table 2. Legend of symbols used in the pilot plant flow charts 

S mbol meanin 

elP 

DO 

ORP 

p 

pH 

Q 

S 

T 

UV 

cleaning .1n place solution 

dissolved oxygen data 

redox potentialdata 

pressure gauge 

pH data 

floWmeter 

salinity data 

tempef~~uredata 

ultraviolet 

26 
The Treatment ofShips' Ballast Water 

Part 1:Introduction, Research Results and Recommendations 

Figure 7. Screening only pilot treatment plant 

Figure 8. Screening plus UV pilot treatment plant, showing proposed biological, 

chemical and physical data sampling system 

27 
The Treatment ofShips' Ballast Water 

Part 1: Introduction, Research Results and Recommendations 

""-- DEPTH ADJUSTABLE 

Hose SEAWATER INTAKE 

.ValVeconlrof 

PUrTlPCOlllrol] 

Flow ooniroi. 

:iii 

i[I!;.
 GI 

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

. ~.~

. Data taking 

UVsensor.
 

Valve control
 ......... ---------- ..
 

DISCHARGE TO WASTE 

Figure 9. Screening plus UV pilot plant, showing flow 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 Ballast management 

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 owner as an 

injection point is needed. Data from well conducted tests can be used to help 

design more effective systems. 

2.	 Modelling the effectiveness of ballast 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 of storage on inhibiting photorepair 

mechanisms. 

5.	 UV pilot tests. Pilot testing 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 of flow processes 

may enable systems to be designed which improve the transfer of heat into the 

ballast tank, and can be designed into new vessels. Continued development of this 

system is likely to lead to improvement, ego additional heat sources and 

recirculation. 

8.	 Vibrio cholerae laboratory testing. 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 

of the shipping industry. Determination of the inoculum required is an important 

first step. 

11. Development of treatment 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 of Current and Potential Management and Treatment Options 

7 BALLAST WATER MANAGEMENT OPTIONS 

Figure 10 shows locations at which ballast water treatment and management can be 

conducted within the shipping and ports industries at various stages of the ballast 

transfer process. This covers all the treatment options canvassed by Carlton et al. 

(1995), with the exception of non-discharge of ballast water and increasing voyage 

length. The ballast management options require ships' crews to manipulate the 

transfer of ballast water to minimise exotic species introductions. The ballast 

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 of certain 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 of the presence of the risk species, but can be an 

effective method of minimising the entrainment of specific species (Hallegraeff & 

Bolch, 1992). Minimising ballasting at night is predicted to significantly reduce the 

transfer of marine organisms as many benthic species rise in the water column at night 

(Carlton et al., 1995). Not ballasting in areas of sewer discharge will minimise the risk 

of taking on human pathogens. 

A 'global hot spots' approach was proposed by Carlton et al. (1995). The purpose is to 

provide an advisory network to identify regions where the uptake of ballast water is 

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 of a '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 

Ballast transport Ballast management Ballast treatment 

flowchart options options 

Shore based treatment 

E I i~ £"1 

Ballasting micromanagement 

E I J.,;~~ I . 

Treatment during ballasting 

In-transit treatment 

to t=:ffl 

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 based treatment 

Outside potential for control
 

within shipping orport operations
 

Figure 10. Ballast water treatment options 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 sediment loads can be confined to specific ballast tanks 

for subsequent remedial 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 water with 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 

their frequency 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 ballast tanks as shown in figure II(a). 

Ballast dilution is conducted by pumping water through the ballast tanks using 

dilution with several volumes to reduce the amount of original port water as shown in 

figure ll(b) (Rigby, 1994). 

For the purpose of reballasting and ballast dilution, the open ocean was initially 

defined as water deeper than 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 under discussion. 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 Vancouver is the 

outgoing current of the Strait of Juan de Fuca (Vancouver Port 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) Ballast dilution (flushing) 

Figure 11. Ballast exchange 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 of ballast exchange at sea 

7.2.2.1 Reballasting 

Reballasting was estimated to have 99 to 99.9% efficiency, depending on the design 

of ballast 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 of reballasting 

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 ballast dilution, and suggested that a 

completely mixed flow model could be used to describe ballast exchange. 

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 overestimated the 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 pumped through and original ballast 

remaining for 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 investigated pumping water in ftotllthe top of the 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 of ballast 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 of dead spots in the ballast tanks, and 

the behaviour of a range of ballast tank designs. Tracer dye 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 of ballast tanks 

will also help describe the effect of dead spots and further improve the 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 after reporting 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 shelf waters, 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 of ballast 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 water exchange of between 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 either failed 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 of exchange 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 other nine 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 of Ships' Ballast Water 

Part 2: Analysis ofCurrent and Potential Management and Treatment Options 

Smith et al. (1996) also found that the mean number of individuals and taxa present in 

ballast water were reduced by the exchange process (50% and 95% reduction 

respectively) and that the numbers of individuals of the pelagic larvae of a coastal 

planktonic organism (spinoid polychaetes) were reduced by 99%. 

7.2.2.4 Behaviour of organisms 

There is an assumption with ballast exchange that removing a proportion of the ballast 

water will remove a similar proportion of the organisms present. The case of vessels 

which exchanged ballast to remove dinoflagellate cysts (Rigby et al., 1993) 

demonstrated how this assumption fails for organisms which migrate to sediments and 

other crannies within ballast tanks. There may also be problems with organisms which 

migrate away from flowing water or migrate into zones of low flow during the 

dilution process. 

7.2.3 Safety of reballasting 

The shipping industry is particularly concerned about the safety of reballasting (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 carrier could exchange ballast 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 of propeller emergence and an increased risk of forward 

slamming. Modelled shear forces and bending moments on a 141,475 DWT bulk 

carrier exceeded 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 of Cruise Lines (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 of Ships' 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 stresses in ships hulls (Eyres, 1994) 

s=m-l T -1---~ 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. There is a risk of 

pressurisation or depressurisation of ballast tanks, which might occur if the water 

inlets and outlets are poorly matched in size, which could damage the structure of the 

ship (Rigby & Hallegraeff, 1992). Another concern with continuous dilution of ballast 

tanks is erosion of steelwork, scouring of protective coatings by coarse particles and a 

significantly reduced life of pumps and bearings. 

38 
The Treatment ofShips' Ballast Water 

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 Australia that 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 Grand Princess (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 of ballast 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 per tonne (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 charter rate (A. Bilney, pers. comm.). 

Table 4. Cost estimates for ballast water exchange 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 

Crude tanker 101,90 15 $1,500 45 $4,500 Pumping 3 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 if ballast 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 of Victoria (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 of internal 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 Grand Princess) 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 of freshwater 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 of the ships entering the Great Lakes, which carried 

ballast, 94% had complied with the Great Lakes Ballast Water Control Guidelines, 

which include ballast exchange 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. Gompliancewith voluntary·baJlastwater guidelines. 

Great Lakes 88·94% (Lockeet aI., 1993)
 

NewZea1and 91%(NZ Ministry of Fisheries, 1992)
 

Australia 77.% (Jones, 1991)
 

Australia 80%~;tI994)
 

Australia 86%Ja· esand Hilliard, 1996)
 

A New Zealand study (New Zealand Ministry of Fisheries, 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 of complying; master believes water 

from the Pacific Islands is safe; and, the controls are only voluntary. In Australia, 

40 
The Treatment ofShips' Ballast Water 

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 of 77%. AQIS (1994) reported 80% 

compliance, and Hayes and Hilliard (1996) found it to be 86%. Since the introduction 

of mandatory exchange for vessels entering the Great Lakes 7% (1993), 7% (1994) 

and 4% (1995) of vessels 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 of organisms in ballast 

water are currently used. Compliance is easily tested for ships arriving from 

hypersaline, brackish and freshwater ports by means of salinity, assuming that all 

ballast on board is from those ports (J. Baumann, pers comm; Locke et al., 1993). 

Methods proposed for testing compliance for ships from saltwater ports are a technical 

check, a 'black box' 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 of radionucleides has also been 

suggested (AQIS, 1998b). The Vancouver Port Corporation is using a two tier process 

in its random testing procedures. Low salinity is used as an indicator of estuarine 

water that has been inadequately exchanged. For high salinity water, a plankton 

analysis is used, the presence of calenoid copepods indicates oceanic water whilst the 

presence of harpacticoid 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 of greater than 30%0 and a check of ships' records to validate that 

exchange is conducted, unless ships opt to have their tanks sealed (Gauthier & Steel, 

1996). 

Chemical methods offer the potential for fast analysis of the efficacy of ballast 

exchange. The potential of optical and fluorescent characteristics of coastal and 

oceanic water to distinguish between 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 of comparing a matrix of expected oceanic water 

characteristics to those measured in ballast water samples. This type of test has 

potential, although further research is needed to select the most appropriate 

characteristics, as there are a number of confounding features of ballast water, such as 

low redox potentials, the presence of iron from corrosion and reservoirs of organic 

material and nutrients in ballast sediments and sludges. 

It is likely that technical check methods will be adapted by some authorities as a 

primary method of monitoring ballast water exchange. Such a method is being 

developed by BHP, Australia (the so-called 'Newcastle method'), which consists of 

checking various aspects of ballast management including, weather at the time and 

location of exchanges, ballast water management plans, ballast reporting forms, the 

deck log book, engine logs and examining surges in generator electrical 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 

water through the ballast tanks via a tamper proof system (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 their maximum 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 of sending 

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 other berthing 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 cheaper to 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. Cost of rebaJlasting at sea after mooring at port for selected Victorian 

Ports (Parliament of Victoria, 1997) 

Vessel t e 

Container 

Bulk carrier 

Product tanker 

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 of exchanging 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 cheaper to ensure that 

effective ballast exchange is conducted en route and verifiable when approaching 

those ports. 

7.4 The role of risk 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-industry basis. 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 of vessels from regions with cholera by AQIS for Vibrio 

cholerae testing (Manning et al., 1996). 

The usefulness of risk 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 of ballast water. Carlton et al. 

(1995) report that only half of all vessels entering the United States of America in 

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 for judging the 

costs and benefits of the 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 of procedures 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, 

•	 quarantine procedures for vessels which are identified as high risk, and 

• procedures for regulators to administer integrated 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 of Ships' 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 ballast management 

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 practice to minimise the risk of transferring exotic organisms in 

ballast water. Their use will, however, be limited by the requirements of the shipping 

industry to load ballast in the safest and most efficient manner possible. 

Ballast exchange at sea is the only currently and' widely available management option 

for reducing the risk of exotic organisms transfer. Research has demonstrated that the 

efficiency of these options is typically less than 95%, and probably lower. When the 

costs of regular exchanges 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 reliable probabilistic 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 

8 BALLAST WATER 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 of technological options on those that are feasible from a 

management point of view. 

8.1.1 Use of treated water as ballast 

The use of town water supply and shore-based water treatment plants have been 

suggested for loading ballast prior to ship departure (Carlton et ai., 1995). Both of 

these options will require reticulation, and the provision of support infrastructure, 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 of potable (drinking) water 

The cost to supply town water is 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 tanker ballast 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 carrier to 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 treatment plants 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 of Jelmert in Norway; and 

Oemcke, 1998a,b). It has 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 during ballasting has considerable potential, with the advantage 

of treatment 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 of this process is 

that management of any treatment residuals (eg. sediments and organisms) is simple 

as they can be 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-board treatment in-transit 

Ship-board treatment conducted in-transit makes intuitive sense, as the treatment can 

be conducted over the duration of a voyage, and will not interfere with normal 

ballasting and deballasting practices. Any technology for in-transit treatment must, 

however, be capable of producing some type of residual that will diffuse into the 

water relatively evenly throughout the ship. It is 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) cannot be 

used in transit (see also Oemcke, 1999). 

To date, the only option that has shown potential for in-transit treatment is heating. 

Research on heat treatment in Australia has led to the development of a pilot system 

utilising waste heat in ships' engine cooling circuits (eg. Rigby et al., 1998; 

Hallegraeff et al., 1997; Rigby, 1994; Rigby & Hallegraeff, 1994; Bolch & 

Hallegraeff, 1993), and another utilising 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 of difficulties 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 enter without ballast and then trade within the system, and can be dosed during 

river passages en route to the lakes. 

8.1.5 Ship-board treatment 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 

of handling 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-based treatment at deballasting (treatment ship or shore-based) 

Port-based treatment could be 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 of technology 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 ballasting has become the preferred option 

(A. Bilney, pers. comm.). 

The benefits of port-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 cheaper than 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 master being 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' Ballast Water 

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 of retrofitting 

infrastructure to ports for the receival of ballast 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 of the industry. 

5.	 Cost recovery. 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 of that part of the industry probably makes cost 

recovery uniquely simple. The shipping industry may be reluctant to lose control 

of ballast management and pay the costs of land-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 ship hirers 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. 

For deballast of tanks which can only be accessed from one side of the ship the 

retrofit or design changes to access these discharges may be complex. 

2.	 For infrequently used ports, the ship-board option will require ship and personnel 

to be on standby for infrequent periods of activity, or to operate between 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 of very diverse operations and in some parts of the industry these 

options are clearly feasible (eg. VLCC's). 

8.1.7 Discharge to sewer 

Discharge to sewer is not likely to 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 of sewage 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 water causes 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 of ballast water 

Ballast water can potentially have a very wide range of characteristics from fresh 

water to hypersaline, relatively clear to 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 of potential 

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 ballast tanks, 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 of ballast water will affect water treatment 

technologies. Oemcke & van Leeuwen (1998b) provide details on research into the 

chemical and physical characteristics of ballast water, and noted that: 

1.	 The characteristics of ballast water at the time of treatment will be a function of 

what is in the port water during ballasting and processes within the ballast tank. 

The composition will vary widely in all parameters between the extremes of fresh 

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/or protected 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 of bromide (see Oemcke & van Leeuwen, 1998a) which is 

present at 66 mgIL, in normal seawater (Millero & Sohn, 1992). This will affect 

the ozonation of ballast water in particular, and also the chlorination of seawater. 

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 of ballast 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 of these 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 of disinfection agents 

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

Box 8.·lssuesatT~ting selectionof disitd'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 

Water Environment 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 of a 

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 consequently higher 

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 of the 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 higher temperatures, 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 (pKa) , 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 of polymers, 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 of sediment 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 smaller than 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 copepod exoskeletons, 

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 of cholera have been associated with consumption of crabs 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 enter a 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 cellular DNA 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 water disinfection, 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 their resistance 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 water prior 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 water below. 

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 present in ballast water. 

On anism 

Viruses 

lliN, VHS, lPN' 

Bacteria 

typically 

Vibrio cholerae 01z 

VibrioSpp 

Aeromonas salmoiticida1 

aeterium 

sal ninarum: 

Yersiniaspp' 

Marine protozoa 

selected',3 

Perkinsus marinusl 

Maline diatoms4 

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 

0.2-0Ajim diametercoccoidgormant 

0.5-0.8 x 1A-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 jiIn diameter 

20-200 J.lffi(21 !fill,.~o28.mm)6

zoospores & male gamete~.5-8"!lP'

p1an9zygote 25-60 urn, allleboiq<5-250 

urn, 

cvsts >IOItl 

Wolf (1988)
 

Starr'& Schmidt(1981)
 

Colwell & Spira (1992)
 

Colwell & Spira (1992)
 

Hollet aL(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)
 

Steidinger etal:(1996)
 

(1) Identified by M4nday et al. (1992) as having l'Otentialf~rtrarlsl(x)ati()n in ballast water(IHN: Infectious Hematopoietic 

Necrosis Virus: VHS: Viral Haemorrhagip SepticaemiaVirus;~N:lnfectious I'~p~reatic Necr~sis Virus); (2) Identified in 

ballast (McCarthy &, Kharnbaty, 1994); (3) Bonamia osrrelW,Haplosporidium costale.H. nelsoni; Marteilia refringens and 

Mi~r7cYfosmacl<ini; (4) Leptocylindrus, ppllicus, Ch~erocerosdiadema,~rephqrtc(f?YXis palmerianaand Stephanopyxis farris; 

(5) But1<:hQldet et al.( 1995); (6) extreme sizes; (7) Gymnodinium simplex; (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 are not shown; 

diploid reproduction is sexual) 

56 
The Treatment ofShips' Ballast Water 

Part 2:Analysis ofCurrent and Potential Management and Treatment Options 

Table 7. Sizes of the life stages of the cyst-producing toxic dinoflagellates 

identified by AQIS as concern organisms 

sta .e G. catenatum 

15-55 x 18-53 

Ilm8 

38-56 x 23-32 

Ilm9 

A. tamarense 

20.2~llm

diameter? 

35-40J.tm 

diameter' 

temporary cystIO 

55;-75x 41259 wn.} 

25-60·llm 

diameter4 

planomeiocyte 70"85 m 2 

sexual(diploid) 

plitno:zygote 

hypnozygote 

vegetati¥e (haploid) 

gametes 2Q-65:X 16-42 J.lIDI 

(l}I(ono"a!ova (1993), ~1ack?~rn et al;(1989},J;Il'llga & Sanchez (1985); (2) BlackbllrnetiIl. (1989); (3) Blackburn et al. 

q989), 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) Dennet al. (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 of transportable stages of selected macroorganisms (adapted from 

Oemcke & Van Leeuwen, 1998b) 

Species ...... ...... ..'. ,.... ..'. ... stage size 6 reference 

U 00 · .., itid. 2,3;4 n . nafmnattJI a' 

(Japanesegj3pt l<;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 .• 

Northern PaCific 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 

0:47-1.18 rnm (CL) Rice & Ingle (1975) 

Williams (1968) 

larvae .... ..... 4,6:12 mm (L) 

(newly (~0,9 W) 

batched) r 

Acanthpgobiusjla~imqn~;,4 . 

YeUowfin Goby 

Dotu & Mho (1955) 

(I) Introduced species via ballast water, GreatLakes USA{Hebert et tIL 1991); (2) Introduced Species, Australia (Furlani, 1996); 

(3) Australian Ballast Waler Managell1elltAdvisory CounciIPestS\l!~us; (4) Suspected of introduction to Australia in ballast 

water (C. Hewitt, pers.comm. (1998); (5) Munday et at.. (1993) estimate that after taking plasticity into account, a 50 urn filter 

would be effective for the removal of fertilised eggs ofAst~rias amurensis.; (6) L= length, CL= carapace length, W= width, D= 

diameter. 

57 
The Treatment of Ships' 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, if organisms can distort 

and pass undamaged through filters that have a smaller nominal 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 of plasticity, a 50 urn filter is required to 

remove Asterias amurensis even though the oocytes have a nominal size of greater 

than 100 urn. 

9.4.1.3 Filtration technologies 

Suitable filters for ballast water 

Methods for direct filtration include rapid sand filtration, screening, cloth 

screens/filters, precoat filtration and a range of membrane 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 of zebra mussel from cooling water intakes (Jenner & Janssen-Mommen, 

1993). These sizes are unlikely to be useful for treatment of Undaria pinnatifida, 

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 selected filtration technologies 

58 
The Treatment of Ships' Ballast Water 

Part 2:Analysis ofCurrent and Potential Management and Treatment Options 

Rapid sand filtration 

Gravity based sand filters are used in the treatment of potable and wastewater, for 

reduction of turbidity prior to disinfection processes, for effluent clarification and to 

reduce the numbers of organisms. Mechanisms which remove particles are: 

mechanical straining for those larger than the filter pore size; entrapment in pore 

spaces for some smaller particles; 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 of 33 to 200 m2 for 1,000 tlhr of 

ballast water. These filters will pass particles in the range of 1.5 to 60 urn, although 

reducing the numbers of particles in this range, with the faster filters performing less 

effectively and all filters requiring coagulation and flocculation to perform 

(Kawamura, 1991). 

Screens 

Self cleaning stainless steel screens can filter down to about 10 to 20 urn without 

requiring the addition of flocculating chemicals (eg. Filtomat, Amiad) depending on 

the quality of the source water. Self cleaning cloth filters can clean down to 3 urn (eg. 

Filtomat). Cloth filters probably require prefiltration to protect them from excessive 

wear. 

Diatomaceous earth precoat 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. It is effective for the removal of Giardia cysts from water 

(Walton, 1989). Diatomaceous earth precoat filters are capable of removing down to 

between 5 and 17 urn and other precoat media are capable of removing down to 1 urn 

(McIndoe et al., 1988). As the effective diameter of the 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. 

Membrane filters 

A typical membrane filtration unit for removal of bacteria from water has an effective 

pore size of 0.2 urn although much smaller membranes can be used 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 of 50 to 200 urn to protect the 

membrane from solids and control fouling and may require pH adjustment to keep the 

polymers within their operating range (Mallevialle et al., 1996; Pouet et aI., 1994). 

High capital and operating costs limit membrane use in 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 of drinking water from 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 of Current 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 of membrane filters plus chlorination for 

ballast water treatment in some ship types, such as cruise ships (Carless, 1998). 

9.4.2 Cyclonic seperation 

Most organisms in ballast water have a specific gravity close to that of water 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 of greater than 1.05 and typically greater than 1.1 (Anderson et al., 

1985), which should make them removable from ballast water by cyclone. Newly 

developed hydrocyclones are being investigated (in conjunction with UV irradiation) 

for ballast water treatment (A. Jelmert & H. Nilsen, pers, comm). 

9.4.3 Ultraviolet irradiation (UV) 

UV irradiation (UV) is effective for the treatment of a wide range of organisms, 

depending on the applied dose, as shown in table 9. It produces no significant residual 

toxicants (eg. Blatchley et al., 1997). Temperature has no significant effect on the 

inactivation of most bacteria and viruses (Sugita et al., 1992b; Severin et al., 1983) 

although a slight reduction in efficacy has been observed in a species of marine 

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; 

Water Recovery pIc, 1996; Campbell et aI., 1995; Blatchley, 1994). 

60 
The Treatment ofShips' Ballast Water 

Part 2:Analysis ofCurrent and Potential Management and Treatment Options 

Table 9. Selected data on the UV inactivation of organisms 

'Yihls 

: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 et at. (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 

Candida parapsilosis 

CY~~~bllCteria

Anabaena spp

Protozoa 

Giardia tamblia 

Acanthamoeba castellanii 

Cfyptosporiditf17lparvum 

E. coli	 Jarrell (1988), Sobsey (1989), Severin et at. 

(1983) 

Bacilussubtilis 3 Sommetetqt. ·(1995), Sobsey (1989) 

Yeast 

2 Seyerin etal: (1983) 

3.2-3.7 Levine & Thiel (1987) 

0.8 Jarroll (1988), 

3 Sdbsey (1989), 

1,2 Campbell et at. (1995) 

MARINE 

Liltved et at. (19<]5) 

Changil(at. (1998) 

Str1P~fcOCCUS sp, 21.1 4.43 Sugitaet at.(1992b) 

Vibriq:qnguillarum 22 6.8 Sugifuet at. (1992:b) 

Pasteurella piscicida 10,8 >6.5 Sugila et al: (1992b) 

Vibrio salmonicida .. .. 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 exposed to UV exhibit recovery 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 

must be increased to account for dark repair and photoreactivation. Dark repair is a 

slow process, enhanced by elevated temperature (eg. over 24 hours at 37°C for E. coli 

but 60 hours at room temperature). 

The extreme halophilic bacterium Halobacterium salinarium does not exhibit dark 

repair but can completely photoreactivate when exposed to light immediately after 

treatment, however repair declines after dark storage (Eker et al., 1991; Fitt et al., 

1983). E. coli, and the halophilic bacterium NRC 41227 can significantly dark repair 

(310g in 24 hr) and partially photoreactivate when exposed to light immediately, with 

the photorepair ceasing after 4 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), although Anabaena 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 of repair mechanism present 

Organism 

10.64 

154 

Illumiaatio Reference 

n+dark3 

2 

2 

10.6 

13.4 

Oemcke (1998a) has demonstrated that UV can be effective for inactivation of the 

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 cannot be inactivated by UV irradiation (Oemcke, 

1998b). For effective 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 of solids in the water (Water Environment Federation, 1996). This is 

typically associated with calcium carbonate precipitation, 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 prior to UV irradiation (Oemcke & 

van Leeuwen, 1998b). 

For treatment of ballast water during ballasting, UV irradiation has considerable 

potential, and more data are needed on a wider range of organisms. Pilot testing, with 

pre-screening or hydrocyclones, designed to test the limits of the UV system in ballast 

water is recommended. 

9.4.4 Heat 

Heat is one of the options for ballast water treatment that is receiving considerable 

research attention. Modelling conducted in Japan (1994) suggested that a temperature 

of 4SoC could be achieved with the use of waste heat from the engine, but field 

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 of this 

system (Rigby et al., 1998). The Cawthron Institute is investigating the use of heat 

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 urn filtration 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 

exchanger to the engine cooling system to achieve a temperature of 50°C for 30 

seconds in a holding tank, followed by the discharge of 35°C water to 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 of the tanks 

with disinfected water, suffering all the disadvantage of attempting to get each 

individual unit of water through 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 ballasting have 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 (Hallegraeff et al., 1997; Hallegraeff & 

Bolch, 1993); or a temperature of 32°C for three or more days (Oemcke, 1998b). 

Several days are required to inactivate vegetative gametes of Alexandrium minitum at 

35.5°C (Su et al., 1993 in Hallegraeff et al. 1997). 

A long exposure strategy at about 38°C is the basis of the use of waste heat by Rigby 

et at. (1998). It is expected to work for many species of phytoplankton and the 

introduced macroalga Undaria pinnatifida, the introduced starfish Asterias amurensis 

and zebra mussel, Dreissena polymorpha, adults (Rigby et al., 1998; Hallegraeff et 

al., 1997; Sutton & Bruce, 1996; Iwanyzki & McMauley, 1993; Sanderson, 1990). 

However, some species of alga are heat resistant (Hallegraeff et al., 1997). Achieving 

and maintaining a higher temperature in the tanks is limited by the heat input and the 

rate of heat transfer into and out of the 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 pathogens Aeromonas 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 water treatment. 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 of current applications for water disinfection is a much more significant issue. 

There are two types of ultrasound: low intensity ultrasound and power ultrasound. 

Low intensity ultrasound is not used in disinfection. Power ultrasound is a relatively 

new technology, with research commencing in about 1989, using frequencies of 

between 20 and 100 kHz, and may be applied to the disinfection of water (Shankie & 

Riach, 1995). Power ultrasound produces cavitation (low pressure bubbles) in water, 

which leads to localised regions of high and low pressure and regions of extreme 

temperature change (approx 1000°C) during bubble collapse (Shankie & Riach, 1995). 

It has been applied to Giardia and Cryptosporidium control (Shankie & Riach, 1995), 

although it appears that these systems are all experimental, and no efficacy data has 

been found in the scientific literature. No large scale pilot or demonstration plants 

using power ultrasound disinfection were reported in operation by Shankie & Riach 

(1995). Although some information was regarded as proprietary, they expressed the 

belief that disinfection processes would move quickly towards large industrial 

applications. However, they cautioned that achieving an even distribution of sonic 

energy in continuous flow systems, optimisation of energy input, and ensuring the 

durability of equipment 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 batch reactor (Shanke & Riach, 

1995). Draman & O'Dette (1998) report that 20 seconds of power ultrasound 

inactivated Cryptosporidium parvum (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 bacteria in fuel. A one pass system 

was tested for control of B. subtilis spores under recommended 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 appear in the literature, although 

there are few details on the methods or workings of the 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 of which 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 of cysts of dinoflagellate algae. 

Montani et al. (1995) used a dose of 100 V AC for 5 seconds, which inactivated all 

cells of six species of cyst tested. Hallegraeff et 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 of colloidal material 

from water, and seems to be by a process of charge destabilisation which leads to 

flocculation of bacterial 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 shear forces 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 historically been 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 of Ships' 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 

including chloroform and bromoform (Jolley & Carpenter, 1983; Stewart et al., 1979). 

Chlorine reacts with ammonia to 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 seawater only monochloramine, NH 2CI, 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 bromide concentration 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 of bromate, 

chlorite and chlorate (Haag, 1981). 

Monochloramine (NH2CI)can be toxic to fish at levels of less than 10 ug/L and causes 

avoidance in fish at concentrations of 5.7 IlgIL (Yamamoto et aI., 1988). It has a 48 hr 

LCso of 0.63,0.51 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 half life of up to 10 days 

(Yamamoto et aI., 1988). In seawater, the reaction of monochloramine with bromide 

to form monobromamine (equation 11) reduces the half life 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 water by activated carbon 

(Komorita & Snoeyink, 1985). 

(11) 

The complex chemistry and likely toxic by-products, in organic rich waters 

(particularly freshwaters), make chlorine relatively unattractive for ballast 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 of Oemcke 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 management is easier. 

66 
The Treatment of Ships' Ballast Water 

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9.5.2 Other halogens 

9.5.2.1 Bromine 

Bromine disinfection has been applied to secondary wastewater effluent where it is 

more effective than chlorine at high pH, due to a difference in dissociation of the acid. 

The application of bromine chloride, chlorine or ozone to water containing bromide 

can generate bromine (Metcalf & Eddy, 1991). Bromine disinfection data is reviewed 

in Oemcke & van Leeuwen (1998a). 

A by-product of bromination is bromamine, formed in the same way that chloramine 

is formed in chlorination. Bromarnine has a high disinfection efficacy, similar to that 

of bromine, depending on conditions (eg. Johannesson, 1958). The advantages and 

disadvantages of bromination 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 of small water supplies (Ellis et al., 1993). It has a very 

complicated chemistry and can be ineffective at pH greater than 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 different pH levels the disinfection efficacy on 

different organisms can vary significantly, but it is effective for the removal of 

bacteria, bacterial spores, viruses and protozoan cysts (Ellis et al., 1993; Stringer et 

al., 1975). It has application in the treatment of highly 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 other halogens 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 3,000 mg.minlL will remove 2 

logs (99%) Giardia muris cysts over temperatures of 5° to 15°C and pH from 7.5 to 9 

(Straub, 1989; Jarroll, 1988) and 1.7 logs of Cryptosporidium parvum oocysts at a C.t 

of 9,600 (Korich et al., 1990). A Ct of 6,100 mg.minIL is required for the removal of 

cell associated rotavirus SA 11 (Sobsey, 1989). These doses are much higher than 

required for either poliovirus or E. coli (Straub, 1989; Fujioka et al., 1983). 

These C.t values suggest that doses of about 3-4 mgIL could be used to disinfect 

ballast water in-transit (assuming a Ct of 10,000). However, the persistence and 

toxicity of chloramine make this disinfectant environmentally unacceptable, 

particularly in freshwater ports that receive large volumes of ballast water, where the 

stability of chloramine presents a particular problem. 

67 
The Treatment ofShips' Ballast Water 

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9.5.4 Chlorine dioxide 

Chlorine dioxide is produced by reacting hydrochloric acid with sodium chlorite as 

shown in equation 12. It is not used widely in wastewater disinfection as the costs are 

unfavourable compared to chlorination (Water Environment Federation, 1996). 

4HCI + 5NaCI02 4CI02 + 5NaCl + 2H20 (12) 

Chlorine dioxide is not particularly reactive with organics (Li et al., 1996; Dernat & 

Pouillot, 1992), although it does have some minor fast reactions (eg. Hoigne & Bader, 

1994). It does not produce trihalomethane in potable water treatment 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.muris cysts 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 the polio 

virus and Giardia muris data in table 11. It is also improved by increasing pH (eg. for 

rotavirus in table 11). It is an effective sporicide and cysticide, and excellent for 

control of vegetative bacteria and viruses (table 11, Straub, 1989). Levels of 5 mgIL 

give a 70% mortality of zebra mussel veligers in flow-through cooling water systems, 

but c.t values cannot be determined from the data, reducing the value of the result 

(van Benschoten et al., 1993a). 

Chlorine dioxide can produce two major by-products, chlorate and chlorite. Chlorate 

inhibits cell division of marine microalgae at high levels, although the presence of 

nitrate reduces the toxicity (Stauber, 1998). In a brown alga, chlorate inhibits growth 

68 
The Treatment ofShips' Ballast Water 

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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 efficiency of 

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 under normal 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 could be removed before release from shore-based plants. 

It has 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 Cryptosporidium parvum 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 seawater regardless 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 seawater is 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 of bromide 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). 

69 
The Treatment ofShips' Ballast Water 

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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 of specialist applications 

including laboratory and medical applications and disinfection in the canning industry. 

It is unaffected by pH between 4 and 7, but high doses are required (Gould & Haas, 

1978). It has been investigated for the disinfection of the cysts of dinoflagellate algae 

in ballast water with doses of between 6 and 10,000 mgIL for periods of 24 hours 

required to achieve disinfection (Montani et al., 1995; Bolch & Hallegraeff, 1993; 

Ichikawa et al., 1992). Bacterial spores require doses of between 13,000 and 140,000 

mg/L (Sagripanti & Bonifacino, 1996; Popham et al., 1995). Hydrogen peroxide is the 

least effective of options tested for control of zebra mussel Dreissena polymorpha 

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 of fungal infections of fish eggs, but 

doses of 8.2 mg/L will not inactivate most fish eggs (Rach et al., 1998). It is 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 ballast to 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 unaffected by organic 

material, non-corrosive and more effective than formaldehyde on a volume added 

basis (Gorman et al., 1980). Efficacy is improved at higher pH values due to changes 

in polymerisation and also improves as temperature increases (Bailly et al., 1991; 

Gorman et al., 1980). Doses of 500 mg/L are required for poliovirus and 20,000 mg/L 

for bacterial spores (Sagripanti & Bonifacino, 1996; Bailly et al., 1991). There are no 

data available on the resistant stages of marine organisms. 

Any treatment system that uses glutaraldehyde will have to account for the strong pH 

response as ballast water pH can vary from 4.2 to 8.6. Mixing the chemical into 

ballast tank residuals is also likely to be difficult and doses of 20,000 mgIL will be 

expensive. 

70 
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). It is not affected 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 300 mg/L at a pH of 3. It is not effective at a pH of 8.4 

(Sagripanti & Bonifacino, 1996; Lefevre at al., 1992). Very little data are available. 

9.5.7.4 Proprietary biocides 

There are a large number of other propriety biocides and disinfectants, which have 

been developed for specialist applications. They may require specialist handling, 

storage, have particular hazards, limited shelf life or undergo undesirable sidereactions (eg. Karbowski, 1993). 

Kathan WT, used to control sulphate reducing and slime forming bacteria in cooling 

towers had no effect on Gymnodinium catenatum cysts at concentrations of 10,000 

ppm (Bolch & Hallegraeff, 1993). Other proprietary chemicals would have to have 

their efficacy demonstrated for marine organisms and pathogens before being 

considered for ballast water. 

9.5.8 Copper ions 

Copper is an algicide, toxic to heterotrophic bacteria in aquatic environments and has 

been used to control poliovirus (Thurman & Gerba, 1989). In the presence of 

phosphates insoluble copper phosphate 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 of marine algae at low 

concentrations, and is toxic to intermoult adult male freshwater crayfish with LCso's 

of 0.83 to 4.07 mg/L for 96 and 24 hours respectively (Lage et al., 1996; Taylor et al., 

1995; Hawkins & Griffiths, 1982; Sundra & Guillard, 1976). A dose of 200 mg/L 

was ineffective for the inactivation of Gymnodinium catenatum cysts (Hallegraeff & 

Bolch, 1993). There are inadequate data for assessment in ballast water, but the 

chemistry suggests that it would be difficult to use for ballast water treatment. 

71 
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 of copper and silver have been used in hospital water 

distribution systems for the control of the bacteria Legionella pneumophila and 

Mycobacterium avium (Lin et ai., 1996, 1998). Electrolytically generated copper and 

silver plus low levels of chlorine is effective for control of the 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 more effective for viruses than chlorine 

alone (Bosch et al., 1993). CuiAg 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 

silver that 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 water treatment 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 Ionising radiation 

9.5.10 1 Gamma irradiation 

Caesium 137 or Cobalt 60 are used as a source of gamma rays, 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). It has been applied to disinfection of sewage 

effluent with doses of about 500 krad required for control of bacteria in 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 accelerator to 'shoot' high energy 

electrons into the water to be treated (Douglas, 1993). Electron radiation can 

effectively remove viruses in aggregations or adsorbed to clay particles (Farooq et al., 

1993; Metcalf, 1979). The efficacy of radiation is significantly enhanced by chloride, 

decreasing pH, and the addition of flocculants (Metcalf, 1979). It is the subject of 

ongoing research (Douglas, 1993). The current systems rely on the irradiation of thin 

films of water, 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 of ballast 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). 

72 
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). It requires long contact times and has low 

inactivation rates compared with other disinfectants (Watts et al., 1995), and will not 

be appropriate for ballast water treatment. 

9.5.12 Oxygen deprivation 

Oxygen deprivation was also suggested by Laughton et al. (1992). It uses the addition 

of an oxygen demanding substance such as sulphide or a readily utilisable carbon 

source, such as sugar, to deprive respiring organisms of their oxygen. It is effective for 

starfish larvae, but was not successful for the removal of Undaria pinnatifida spores 

(Mountfort, 1997). It may 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). It is 

very unlikely to provide an effective ballast water treatment, and has a high risk of 

stimulating corrosive anaerobic bacteria (eg. Copley, 1998; Ford and Mitchell, 1990). 

It is unlikely to be useful for ballast water treatment. 

9.5.13 pH adjustment 

Many organisms cannot survive extremes of pH (Gutteridge Haskins and Davey, 

1993). Gymnodinium catenatum cysts are capable of surviving pH from 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 it may be ineffective against 

many pathogens and the resting stages of many organisms (eg. Carlton et al., 1995). 

Salinity cannot be 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 water by Laughton et al. (1992). It was 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 of the ballast water. It is likely that 

ballast tank sediments and free swimming adults are a greater source of within tank 

reproduction (eg, Smith et al., 1997), and tank coatings 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 appear to be an attractive option. 

9.6 Other 

A number of other disinfectants 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 f2 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 of dinoflagellate cysts at doses up to 500 mgIL (Montani et al., 1995). 

Microwave and ion exchange have been applied to the treatment of bacteria (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 

Ballast exchange The process of replacing coastal ballast water with oceanic water. 

There are two ways of conducting a ballast exchange: ballast dilution and 

reballasting. 

Ballast dilution This 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 

Completely mixed 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. 

Hypnocyst The 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 of crustaceans such as European 

Shore Crab. More mature than zoea. 

Oocyst	 The environmentally resistant resting stage of some protozoans. 

Plug flow	 This is a theoretical flow regime in tanks, where there is no mixing at all. 

Any water that 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. It is also known as ballast 

exchange by the empty-refill method. 

76 
The Treatment ofShips' Ballast Water 

Pari 3: Supporting Information 

Slamming	 Impact resulting from the bottom of a ship, typically near the bow, making 

sudden contact with water, due to having risen above the surface of the 

water. 

Step change This is a procedure for dye tracer testing of flow 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 about flow within the tanks, including dead 

zones. 

Veliger	 Planktonic (free swimming) life stage of molluscs 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 Water Management Advisory Committee 

Australian Quarantine and Inspection Service 

American Water Works Association 

Broken Hill Propriety [Company] 

Cooperative Research Centre 

Centre for Research on Introduced Marine Pests, CSIRO Australia 

Diatomaceous Earth Filtration 

Deadweight tonnage 

Infectious Hematopoietic Necrosis Virus 

International Maritime Organisation 

Infectious Pancreatic Necrosis Virus 

Marine Environment Protection Committee of the IMO 

No Ballast on Board 

National Research Council (USA) 

Ultraviolet 

Viral Haemorrhagic Septicaemia Virus 

Very large Crude Carrier 

Water Environment Federation 

10.3 Symbols
 

c.t 

g 

LCso 

m 

mWs/cm2 

nm 

t 

Disinfectant concentration multiplied by contact time. Typical units are
 

mg.min/L, It is used to compare disinfectant doses.
 

gram.
 

litre.
 

Least concentration of a toxic chemical which will cause 50% mortality
 

in a given time, usually 24, 48, 72 or 96 hours.
 

metre.
 

C't for 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).
 

Ilm 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 the journal Chemical 

Engineering, unless otherwise stated. All international prices have then been 

converted to April 1998, Australian dollars, unless otherwise stated. 

78 
The Treatment ofShips' Ballast Water 

Pari 3: Supporting Information 

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