Australian Ballast Water Management Requirements - Version 6

Ballast water taken up at international ports and coastal waters outside Australia’s territorial sea is considered high risk. Vessels that have taken up high-risk ballast water should only discharge in Australian seas if the biosecurity risk of the ballast water has been managed using an approved method.

Severe penalties may apply if a ballast water discharge does not meet the requirements prescribed by the Biosecurity Act. It is the master’s responsibility to ensure all ballast water discharges are consistent with the requirements prescribed by Chapter 5 of the Biosecurity Act. If there are any uncertainties, a master should contact Seaports to seek advice.

Legislative references
Throughout this document, references to the Biosecurity Act 2015 and Biosecurity Regulations 2016 can be found in these boxes.

The Biosecurity Actintroduces new national domestic ballast water requirements to reduce the risk of spreading marine pests that have already established in Australian seas.

These domestic ballast water requirements will not be mandatory from June 2016. Domestic ballast water regulations will be introduced at a later date, to be consistent with the International Convention for the Control and Management of Ballast Water and Sediments (BWM Convention) when it comes into force. Until that time, section 265 of the Biosecurity Act will not apply. This means that vessel masters must comply with all relevant requirements for ballast water management, including state and territory law.

The State of Victoria has requirements for the management of Australian-sourced domestic ballast water that are enforced by the Victorian State Government Environment Protection Authority (EPA Victoria) under the Environment Protection Act 1970 (Vic.).

Victoria’s requirements regulate the management of ballast water taken up within Australia’s territorial sea and within domestic ports. EPA Victoria requires all vessels intending to visit a Victorian port to submit a ballast water report form detailing the origin of all ballast water on board. No domestic ballast water discharge is permitted in Victorian waters unless approval has been granted by EPA Victoria in writing.

If domestic ballast water is intended to be discharged within Victorian waters (less than 12 nautical miles off the coast) and ports, it must be managed in accordance with the Victorian domestic ballast water management requirements. Victorian requirements can be viewed and downloaded from the EPA Victoria website, EPA Victoria Ballast Water.

EPA Victoria maintains a 24-hour helpline for ballast water inquiries and can be contacted by phone on +61 (0)3 9695 2547.
The department retains responsibility for the regulation of foreign-sourced ballast water discharged in Victorian ports.

The operator of a vessel must give a ballast water report if it is intended that the vessel discharge, or the vessel discharges, ballast water in Australian seas. The ballast water report is available on the department’s website.

A ballast water report should be provided 12 to 96 hours prior to the intended discharge. Reports are to be submitted by email or fax to the Maritime National Coordination Centre.

Email: Maritime NCC
Phone: 1300 004 605
Fax: 1300 005 882

If the person in charge or the operator of the vessel becomes aware that the information included in the ballast water report was incomplete or incorrect, the operator must give the additional or corrected information to the department’s regional office relevant to the next port of call, or to the Maritime National Coordination Centre as soon as possible.

Completed originals of the ballast water report, including any comments by a biosecurity officer on the back of the form, should be retained on the vessel and provided to a biosecurity officer when requested.

It is an offence to fail to provide a ballast water report (s. 267, Biosecurity Act), or to fail to update or correct a report (s. 268). The operator of the vessel may also be liable to a civil penalty.

The maximum penalties that can be applied for failing to provide a report, or updated information, are two years’ imprisonment or 120 penalty units.

Vessels are required to maintain a ballast water record system to record the management of all ballast water taken up and discharged within Australian seas. This system may be electronic or in hard copy. This system should be separate to the deck log and be available for inspection by a biosecurity officer during an on-board inspection. The details that need to be recorded depend on the type of ballast water management used. Ballast water management options are outlined in Chapter 3.

When the BWM Convention comes into force, vessel operators will be required to meet the requirements of Regulation B-2, including having a ballast water record book containing records for a minimum 2 year period.

The operator of a vessel must maintain ballast water records sufficient to allow any biosecurity risk associated with the vessel’s ballast water and sediment to be identified and assessed; and meet the requirements prescribed in the regulations (Chapter 5, Part 5, Biosecurity Act).

The maximum penalty that can be applied for failing to maintain appropriate records is 200 penalty units.

A biosecurity officer may require an operator to provide ballast water records, take copies of or extracts from a record, or remove a record from the place at which it was produced. An operator must comply with this requirement as soon as reasonably practicable.

The maximum penalty that can be applied for failing to provide records is 80 penalty units.

Biosecurity officers may conduct on-board ballast water verification inspections.

Officers may compare the ballast water report and the vessel’s deck, engineering, ballast water recording system or voyage charts (electronic and Admiralty charts) to verify that the information supplied is correct.

The verification inspection will take around 30 minutes to complete and in most cases will be conducted at the same time as a routine vessel inspection. However, under some circumstances the inspection may be longer.

The operator of a vessel must ensure compliance with directions provided by a biosecurity officer during an inspection (s. 302, 303, 304, 305 and 306 Biosecurity Act).

The maximum penalty that can be applied for contravening a direction is 2 000 penalty units.

Ballast water must be exchanged to the equivalent of a 95 per cent (or better) volumetric exchange. Ballast water exchanges must be conducted as far from the nearest land as possible, but not within 12 nautical miles from the nearest landmass and, where possible, in water at least 50 metres deep.

Records that should be kept in the vessel’s ballast water recording system are:

• start and finish coordinates
• start and finish times for pumping water during an exchange
• actual pumping times (these should not be affected by the crossing of time zones).

Masters should ensure that their vessels’ design parameters are taken into account to ensure the safety of the vessel is not compromised at any stage of an exchange operation.

The acceptable area for ballast water exchange is waters that are at least 12 nautical miles from the nearest land. Under the BWM Convention, the outer edge of the Great Barrier Reef and part of the Torres Strait region are considered land. Therefore, ballast water must be exchanged at least 12 nautical miles from this area to meet Australian requirements. Regulation A-1.6 of the Annex to the BWM Convention defines the relevant area of the Great Barrier Reef and Torres Strait.

From the nearest land off the north-eastern coast of Australian means from a line drawn from a point on the coast of Australia in

latitude 11°00´ S, longitude 142°08´ E
to a point in latitude 10°35´ S, longitude 141°55´ E
thence to a point latitude 10°00´ S, longitude 142°00´ E
thence to a point latitude 9°10´ S, longitude 143°52´ E
thence to a point latitude 9°00´ S, longitude 144°30´ E
thence to a point latitude 10°41´ S, longitude 145°00´ E
thence to a point latitude 13°00´ S, longitude 145°00´ E
thence to a point latitude 15°00´ S, longitude 146°00´ E
thence to a point latitude 17°30´ S, longitude 147°00´ E
thence to a point latitude 21°00´ S, longitude 152°55´ E
thence to a point latitude 24°30´ S, longitude 154°00´ E
thence to a point on the coast of Australia in latitude 24°42´ S, longitude 153°15´ E

This area is also shown in Map 1.

If the requirements to conduct a ballast water exchange outside 12 nautical miles of the Great Barrier Reef Marine Park are unachievable, the master should contact the department at Seaports for advice as soon as possible.

Note that when the BWM Convention comes into force, vessels arriving in Australia seas from international ports will be required to exchange in accordance with Regulation B-4 of the Convention. That is, wherever possible, outside 200nm from the nearest land and in water at least 200m deep. In cases where this is not possible, at least 50nm from the nearest land and in water at least 200m deep. If that is not possible, Australia will designate acceptable ballast water exchange areas.

Map 1 North-eastern Australian areas that are acceptable for ballast water exchange within the Australian Exclusive Economic Zone

Three methodologies are considered suitable methods to meet a 95 per cent volumetric exchange: sequential exchange (empty/refill), flow-through and dilution.

Sequential exchange (empty/refill)

Sequential exchange is the emptying of a ballast tank of high-risk ballast water prior to refilling it with water sourced from the deep ocean. In addition to the requirements above on exchange location, vessels conducting an empty/refill operation must ensure that the residual volume is less than 5 per cent of the total tank volume.
When verifying an empty/refill operation, a biosecurity officer will compare the residual volume of the tank to the final volume on arrival to ensure that at least 95 per cent of high-risk water was exchanged.
For further advice on conducting a sequential exchange, please refer to Chapter 6 of this document on practical considerations.

Flow-through

A total of three times the total ballast capacity of the tank (300 per cent) must be pumped through when conducting exchange using the flow-through method.

The 300 per cent capacity is measured from when water begins to overflow from the tank, not from when the pumps start. This is the case regardless of whether the tank was partially or completely full at the beginning of the flow-through process.

Tanks must be flushed one at a time or in similar port and starboard pairs. If co-joined ballast tanks are flushed, a biosecurity officer may request documentary evidence of the ballast tank layouts to ensure compliance with these requirements. Flushing dissimilar tanks together does not meet Australian requirements and may result in the ballast water not being managed for discharge in accordance with the Biosecurity Act.

A biosecurity officer can verify if a sufficient volume of water has been exchanged by using the pump time and capacity (pump rate) to calculate if at least 300 per cent of the total tank capacity has passed through the tank.

For further advice on conducting a flow-through exchange, please refer to Chapter 6 of this document on practical considerations.

Dilution

At least three times the tank’s maximum capacity must be pumped through when conducting an exchange using the dilution method.
For further advice on conducting a dilution exchange, please refer to Chapter 6 of this document on practical considerations.

Ballast water may be discharged to a ballast water reception facility approved by the Director of Biosecurity. The ballast water must be treated or disposed of at the facility in accordance with the approval.

If you intend to discharge to a ballast water reception facility, please contact Seaports to ensure the facility you intend to discharge to is an approved facility.

Ballast water management systems (BWMSs) may be used to manage ballast in Australian seas. The Director of Biosecurity determines which systems are approved for use in Australian seas. If a master is unsure if a particular BWMS is approved for use, they may contact Seaports for confirmation. When using a BWMS, the operator must be able to:

• provide a valid ballast water management plan specific to the vessel
• provide a valid ballast water management certificate, or certificate of compliance, that is approved by a port state administration, or a recognised survey authority
• provide ballast water management records that clearly demonstrate the BWMS has been operated consistent with the ballast water management plan.
• ensure a responsible officer is available for an on-board inspection on arrival in Australian seas. The responsible officer must be capable of demonstrating that the crew are proficient in the operation and maintenance of the BWMS.

Ballast water management plans

When utilising a BWMS, a valid ballast water management plan is mandatory.

Ballast water management plans should be consistent with the BWM Convention’s Guidelines for Ballast Water Management and Development of Ballast Water Management Plans (G4 Guidelines). Ballast water management plans must be specific to the vessel.

A valid ballast water management plan must be approved by the either a survey authority or the Administration of the vessel..

If an operator is unsure what the requirements are for ballast water management plans, the operator should contact the department at Seaports.

Ballast water management certificate

When utilising a BWMS, a valid ballast water management certificate is mandatory.

Ballast water management certificates must be consistent with the format prescribed at Appendix I of the BWM Convention. An operator must also meet the survey requirements prescribed by regulation E-1 of the BWM Convention.

A valid ballast water management certificate must be issued by either a survey authority or the Administration of the vessel.

Masters may elect to retain high-risk water within a ballast water tank if there is no intention to discharge the water in Australian seas. However, the carriage of high-risk ballast water into Australian seas is strongly discouraged.
Masters are cautioned that unless there is a clear and immediate safety risk to the vessel and crew, or the discharge is necessary for saving life at sea, the discharge of ballast water may constitute an offence. The department will assess such circumstances on a case-by-case basis.

Tank-to-tank transfers

Ballast water may be transferred between ballast tanks to control the trim and draft of the vessel. Tank-to-tank transfers of high-risk ballast water may result in accidental discharge. A master must be vigilant to ensure that the risk of high-risk ballast discharging during the transfer operation is minimised.
Mixing low-risk water with high-risk water through tank-to-tank transfers may result in ballast water not being managed for discharge.

Empty tanks

Tanks are considered to be empty when the pumps lose suction and the remaining volume cannot be removed further.
It is recommended that soundings of empty tanks be conducted. These soundings must demonstrate that the volume remaining is less than 5 per cent of the total volume of the ballast water tank. A biosecurity officer may ask the master to conduct soundings on a selection of empty tanks to ensure the residual volumes are recorded accurately.

A tank is considered to contain low-risk ballast water if at least 95 per cent of the ballast water in that tank is from a low-risk source. Tanks containing less than 95 per cent low-risk water will be considered high risk and will need to be managed consistent with the methods outlined for high-risk ballast water in this chapter prior to discharge.
It is highly recommended that the tank be cleaned of all sediments and residual high-risk water prior to filling with low-risk water.

Fresh potable water

Fresh potable water can be sourced from a municipal water supply or from an on-board desalination system. Documentation will be required to confirm the source of any potable water. Documentation may include:

• a bill of sale or receipt
• a signed letter on shipping company letterhead verifying the origin of the water
• a surveyors report issued by qualified personnel, or
• records of desalination system detailing the volume of fresh water generated.

If these conditions cannot be met, the ballast water will not be considered low risk, and will be required to be managed by some other method outlined in this chapter before it is considered suitable for discharge in Australian seas.

Water taken up on the high seas

Water that has been taken up outside of 12 nautical miles from the nearest landmass and in water deeper than 50 metres is considered to be low risk. A tank containing at least 95 per cent or more of mid-ocean water will be considered low risk and suitable for discharge in Australian seas.

Water taken up and discharged within the same place

Ballast water that is to be discharged in the same place that the ballast water was taken up is considered low risk. There will be no requirement to manage ballast water taken up and discharged in the same place if the low risk water is at least 95 per cent of the water in the tank.
The Biosecurity Act considers the same place to be within one nautical mile of the point of uptake, or the same port.
If an operator is unsure if the water they are carrying is low risk, the operator should contact the department at Seaports.

Vessels wishing to use alternative methods for ballast water management that are not specified in this chapter should apply in writing to the department before entering Australian seas. Vessels that cannot comply with the requirements due to design considerations should contact the department in writing before arrival to seek further advice at Seaports.

It is not an offence to uptake or discharge ballast water if it is necessary for ensuring the safety of a vessel in emergency situations or saving a life at sea, or if the discharge is accidental and results from damage to the vessel or its equipment where all reasonable precautions have been taken to prevent or minimise the discharge, or for the purposes of minimising pollution. The master must report the discharge to the department as soon as possible after the incident. Under no circumstances should this information be sent to the department any later than the submission of the pre-arrival report. The pre-arrival report must be forwarded to the Maritime National Coordination Centre between 12 and 96 hours prior to arrival from an overseas place at an Australian port.

The operator of a vessel must make report any discharge of ballast water relating to safety, accident or pollution (s. 283). It is an offence if a report is not made (s 284).

The maximum penalty that can be applied for not reporting a discharge relating to safety, accident or pollution is 500 penalty units.

For the period between the commencement of the Biosecurity Act and the date that the BWM Convention comes into force, vessels will be exempt from the Australian requirements for ballast water under the Biosecurity Act if ballast water on the vessel was taken up during a journey that commenced and ended in Australian seas.

This exemption will apply to supply vessels moving between Australian ports and installations, so long as the ballast water on those vessels was only taken up in Australian seas and/or the high seas (more than 12 nautical miles from the nearest land).
This is an exemption from reporting on, managing or recording ballast water.

There is no need for any separate agreements to ensure this exemption during this period.

During this period, vessels and installations arriving outside of 12 nautical miles but within 200 nautical miles will not be required to manage their ballast water prior to arrival, however are encouraged to continue this management practice to remain consistent with the BWM Convention during this interim period.

Soundings of tanks must be taken at the end of the ‘empty phase’ of the empty/refill exchanges and corresponding residual volumes must be recorded in a vessel’s ballast water record system so that the make-up of the ballast mixture to be discharged in Australian seas can be verified by the department on arrival at an Australian port. Masters must also record times, dates, locations and methods used (gravity, pumps or combination of gravity and pumps) to empty and refill all tanks managed by this method.
The acceptable criterion for ballast water discharge is at least 95 per cent managed water to a maximum of 5 per cent unmanaged water in any mixture to be discharged.

Tanks may be flushed one at a time or in similar pairs. For example, Double Bottom Tanks 1 Port and Starboard may be pumped simultaneously using a single pressure source. It is not acceptable to flush dissimilar pairs of tanks (for example, Double Bottom Tank 1 Port and Double Bottom Tank 2 Starboard) together.

The reason for this is that dissimilar tanks being flushed together using a single pressure source receive unequal quantities of water from the pump. Under these circumstances it is difficult to determine the volume of water supplied to each tank.

At least 300 per cent of the maximum volume of the tank must be exchanged in a flow-through or dilution operation.

A vessel that is under pilotage may manage ballast water to adjust trim for safety considerations and/or to allow for draft restrictions. This may occur after the responsible ballast water officer has submitted the ballast water report to the department demonstrating the ballast water on-board has been acceptably managed for discharge. The vessel’s responsible ballast water officer is required to record all ballast water management in the vessel’s ballast water records. These records must be presented to a biosecurity officer on request.

The use of two or more pumps simultaneously into common lines still constitutes a single pressure source. Estimating the quantity of water flushed through each tank involves estimating the delivery rate of ballast pumps and timing the hours of running of those pumps.
The actual pump rates will differ from their rated capacity due to:

• wear on pumps, pipes etc.
• depth underwater of sea inlet (vessel’s draught)
• horizontal and vertical distance of each tank from the pump (friction/gravity)
• vessel trim (trim by the stern will pump the water uphill and force the pump to overcome gravity)
• variations in ballast main diameter.

To ensure that sufficient water has been flushed through a tank to satisfy Australian requirements, the department strongly recommends that ballast water management equipment such as pumps be regularly surveyed and tested to verify actual delivery rates. Ideally, the pumping rates should be recorded in the ballast water management plan and verified through annual surveys.

Pump tests should be conducted against the fore peak tank as it is generally the most distant tank from the ballast pumps, most have a portion above the waterline and most ballast mains (pipes) will incorporate a series of reductions in diameter and changes in direction between the pump and the tank. The combination of all of these factors leads to the fore peak tank receiving less water per hour than any other on the vessel.

The pump test should therefore comprise filling the forepeak from empty or waterline (as proven by a manual sounding) until it overflows, and timing the operation. A template for documenting ballast pump tests is available at Attachment A.

If more than one ballast pump is fitted, each pump should be tested separately. If two pumps are intended to be used together in flow-through operations, a separate test using both pumps together should be conducted. The quantity being delivered by two pumps operating together into a common line would usually be less than the sum of each pump’s individual delivery rate.

Since it would be unusual to use two pumps to fill the fore peak tank, a test of the combined delivery rate of two pumps should be conducted against forward upper wing tanks, ideally above the waterline (for example, Top Side Tanks 1 Port and Starboard).

The department recommends a pump test only be conducted when it is safe to do so.

Sediment from ballast tanks must not be discharged in Australian seas. Ballast tank stripping using pumps that are permanent fixtures on a vessel is acceptable. The use of portable stripping pumps should be avoided to minimise the discharge of accumulated sediment.

The version information shown on the cover of this document relates to this version only. Previous document versions are outlined below:

Vessel Name:
Lloyds Number: Port of Registry: Date Launched:
ID of Ballast Pump(s) tested:
Original Rated Capacity of Pump(s) tested:

Details of Tank(s) used in test:
(Fore peak tank preferred for single pump tests, forward upper wing tanks preferred for testing combined pumps)

1. Maximum Tank Capacity (m3):
2. Initial contents (m3):
3. Time start pumping:
4. Time tank overflowed:
5. Hours Pumping (d – c):
6. Volume pumped (a – b):
7. Pump’s delivery rate: (f ÷ e) per Hour:

Master’s Signature:

Chief Officer’s Signature:

Ship’s Stamp:

Note: It is strongly recommended that pumps be tested at least every 12 months.

Sequential Exchange

Calculation Example 1

A vessel has a fore peak ballast tank with full capacity 2 000 m³. The vessel’s master wishes to arrive in an Australian port with the fore peak tank only half full (1 000 m³). Regardless of how much high-risk water is in the tank before the exchange, the water in the tank must be exchanged so that, after refilling, not more than 5 per cent of the resulting mixture in the tank is high-risk water. After pumping out (when suction on the pump is lost), a sounding of the tank is taken and this shows that only 5 m³ remains.

In this situation, provided at least 95 m³ of deep ocean water is added to the fore peak tank, the resultant mixture will be acceptable for discharge in Australian seas. The master may fill the tank only to his desired volume of 1 000 m³ and the ballast water in the tank requires no further management.

Calculation Example 2

A vessel has a centre line, double bottom tank beneath No. 1 Cargo Hold (DB1C) with full capacity 6 000 m³. The vessel’s master wishes to arrive in an Australian port with DB1C only filled to one-third of its capacity (2 000 m³).

After pumping out (when suction on the pump is lost), a sounding of the tank is taken and this shows that 250 m³ remains in the tank.
To achieve a 95 per cent volumetric exchange in this tank, the master has two options:

1. Fill the tank up to 5 000 m³ and then pump out water until his desired level of 2 000 m³ is reached.
2. Strip the tank until only 100 m³ remains before refilling the tank to 2 000 m³.

Flow-through / Dilution Calculations

A cape-sized vessel (100 000 DWT) with nine cargo holds, has the following dedicated ballast tanks:

The 10-year-old vessel is fitted with two main ballast pumps each with a rated capacity of 2 500 m3/hr when the vessel was new. From pump tests, the chief officer is aware that each of these pumps now delivers about 2 000 m3/hr when used by itself or a total of 3 700 m3/hr when the pumps are used together.

Calculation Example 1

Fore peak tank (capacity 2 000 m³) initially contains 1 000 m³ of high-risk ballast water. Master wishes to exchange the tank’s contents in mid-ocean using the flow-through method.

300 per cent of the tank’s full capacity (i.e. 3 x 2 000 m³) = 6 000 m³.

Using only one pump, the master must pump clean seawater into the tank for three hours. Using two pumps together, the required pumping time would be 6 000 ÷ 3 700 = 1.62 hours (1 hour 37 minutes)

One pump delivers 2 000 m³/hr = 6 000 m³ in 3 hrs = 300% of tank’s FULL capacity.

Two pumps deliver 3 700 m³/hr = 6 000 m³ in 1.62 hrs = 300% of tank’s FULL capacity.

Calculation Example 2

Master wishes to use flow through method on WBT 1P, WBT 1S, WBT 2P and WBT 2S.

Master wishes to use flow-through method on WBT 1P, WBT 1S, WBT 2P and WBT 2S.

a) Acceptable

Using both ballast pumps together, the master simultaneously flushes WBT 1P and 1S for at least 4.86 hours (combined capacity of 1P&S = 6 000 m³, 4.86 hours pumping @ 3 700 m³/hr = 18 000 m³ = 300% of each tank’s full capacity).
After the ballast exchange in WBT 1P and S, those tanks are closed off and a new exchange begins on WBT 2P and S simultaneously. No. 2s, with combined capacity of 8,400 m³, require a further 6.81 hours of flushing with both pumps simultaneously.

b) Unacceptable

Master uses both pumps to flush WBT 1P&S and WBT 2P&S (combined capacity = 14 400) simultaneously for 11.68 hrs. The pumps deliver the same quantity of water in total but it is impossible to say how much water each tank received if this procedure is used. It is clear though that No. 1s, being further from the pumps, will receive less than No. 2s.

Australian water—Water that has been sourced from Australian territorial seas (within 12 nautical miles of Australia).

ballast water report—A form issued by the Department of Agriculture and Water Resources and provided by the vessel prior to arrival in Australia. The ballast water report will be assessed by the department and the vessel will be given the result of that assessment. The report may be verified by a biosecurity officer during inspection.

ballast water management system (BWMS)—An on-board ballast water treatment system that removes organisms from the water through a process approved by the International Maritime Organization.

ballast water record system—A system for recording movements of ballast water, including the time and location of any uptake or discharge of water. The system can be electronic or in hard copy and two years of records should be kept on board. Ballast water record systems are also known as ballast water logs or ballast water record books.

high-risk ballast water—Water that has been taken up in a non-Australian port or in waters less than 50 metres in depth or 12 nautical miles from the nearest land mass. Ballast tanks that contain more than 5 per cent high-risk water are considered to be high risk, regardless of the source of the other water.

international ballast water—Water from all international ports or coastal waters outside Australia’s territorial sea.

low-risk ballast water—Water that has been taken from mid-ocean or fresh potable water.

maximum capacity—The volume contained by a tank when it is completely full.

sloshing—The official term for the movement of water in a slack tank. Such movement can be so violent that it causes damage to structural steelwork inside a vessel’s tank.