PROJECT DEVELOPMENT FACILITY
.
REQUEST FOR PIPELINE ENTRY APPROVAL
AGENCY'S PROJECT ID: 3050
FINANCING PLAN (US$)
GEFSEC PROJECT ID: 2261
GEF ALLOCATION
COUNTRY: Global
Project (estimated)
7,000,000
PROJECT
TITLE: Building Partnerships to Assist
Project Co-financing
10,000,000
Developing Countries to Reduce the Transfer of
(estimated)
Harmful Aquatic Organisms in Ships' Ballast
Water (GloBallast Partnerships)
PDF A*
GEF AGENCY: UNDP
PDF B**
OTHER EXECUTING AGENCY (IES): International
PDF C
Maritime Organization (IMO)
Sub-Total GEF PDF
DURATION: Five years
PDF CO-FINANCING (details provided
GEF FOCAL AREA: International Waters
in Part II, Section E Budget)
GEF OPERATIONAL PROGRAM: 10
GEF Agency
GEF STRATEGIC PRIORITY: IW3
National Contribution
ESTIMATED STARTING DATE: December 2006
Others
ESTIMATED WP ENTRY DATE: 2006
Sub-Total PDF Co-
PIPELINE ENTRY DATE:
financing:
Total PDF Project
Financing:
* Indicate approval date of PDFA
** If supplemental, indicate amount and date
of originally approved PDF
RECORD OF ENDORSEMENT ON BEHALF OF THE GOVERNMENT:
(Enter Name, Position, Ministry)
Date: (Month, day, year)
This proposal has been prepared in accordance with GEF policies and procedures and meets
the standards of the GEF Project Review Criteria for approval.
Frank Pinto
Andrew Hudson, Principal Technical Advisor
Executive Coordinator
Project Contact Person
Date: 8 July 2004
Tel. and email:212.906.6228
PART I - PROJECT CONCEPT
A - SUMMARY
Background and Rationale
The introduction of aquatic species to new environments, including through ships' ballast
water and sediments, is considered to be one of the greatest threats to the world's coastal and
marine environments. It is estimated that from 3 to 5 billion tonnes of ballast water are carried
around the world by ships each year. While ballast water is essential to the safe operation of
ships, it also poses a serious environmental threat, in that more than 7,000 different species of
microbes, plants and animals may be carried globally in ballast water each day. When
discharged into new environments these organisms may become invasive, severely disrupt the
native ecology, and seriously impact on the economy and cause human diseases and even
death.
Developing countries are among the largest "importers" of ballast water due to their
significant exports of bulk commodities. Exports of oil, ores, phosphates and other raw
materials and bulk cargoes are in many cases the primary source of revenue for developing
countries and an important component of their national economies. On the other hand,
developing countries are frequently dependent on their coastal and marine environments as
the main source of living for coastal populations and as a major tourist attraction. Countries
where ballast water is loaded, are also under pressure to see that the ballast is safe enough to
be discharged at the destination ports.
Invasion of the European Zebra Mussel (Dreisseina polymorpha) in the North American
Great Lakes in the 1980s, the Asian Golden Mussel (Limnoperna fortunei) in the inland
waterways of Argentina, Brazil, Paraguay and Uruguay, the Comb Jelly Fish (Mnemiopsis
leidyi) in the Black Sea and the introduction of toxic dinoflagellate algae in several new areas
around the globe are some of the classic examples of ballast water mediated bioinvasions.
The severe economic and ecological impacts of these invaders provide some of the starkest
case studies of the potential negative effects of ballast water introductions. The economic
impacts alone run into several billions of dollars. The list of examples could continue as
hundreds of aquatic bio-invasions have been identified around the world. Some case studies
identified during the pilot phase of GloBallast are given in Annex 1, along with a general
description of some of the economic and public health impacts of transfer of harmful
organisms in ships' ballast water.
The transfer of invasive aquatic species in ballast water is perhaps the biggest environmental
challenge facing the global shipping industry this century. There have been numerous global
calls for action at the international level and international law provides a strong mandate for
the adoption of relevant responses. The UN Convention on the Law of the Sea requires States
to work together "to prevent, reduce and control human caused pollution of the marine
environment, including the intentional or accidental introduction of harmful or alien species
to a particular part of the marine environment." Controls on the introduction of alien species
that threaten ecosystems are also mandated under the Convention on Biological Diversity,
and targeted for action in the Plan of Implementation adopted at the World Summit on
Sustainable Development (WSSD) in 2002.
Adoption of the new Ballast Water Management Convention in February 2004 provided the
much needed standardised, international regime to address this global threat and the proposed
new phase of GloBallast will play a crucial role in assisting developing countries to enact
legal reforms to implement the Convention.
The major elements of the Ballast Water Management Convention are summarized in Annex
2. Although structured in the traditional IMO format based on ship safety, cleaner seas and
internationally agreed upon standards, the new instrument clearly links with the United
Nations Convention on the Law of the Sea (UNCLOS) and UNEP/World Health
Organization (WHO) biosecurity concepts and recognizes the sustainable development and
integrated management practices advocated at the World Summit on Sustainable
Development (WSSD) in the Plan of Implementation.
Traditionally, IMO conventions aim at the improvement of ships, equipment and procedures
and are mainly directed at flag States. Many of the requirements under the Ballast Water
Management Convention fall into this category. However, this is the first IMO instrument
where reliance on modern equipment and ballast water treatment technologies (flag States) is
combined with an adequate understanding of the quality and the impact of ballasting
operations on coastal waters (coastal States). It is a unique situation where the important role
of the coastal State is explicitly acknowledged by an IMO Convention.
To date, an unprecedented momentum of concerted international action has been precipitated
by the GloBallast pilot phase. There is an overwhelming demand from developing countries
for ongoing programmatic support for replication of GloBallast activities and technical
assistance. A number of countries and regions have expressed strong interest in joining the
Programme, including several UNEP Regional Seas Programmes such as the Mediterranean
region, the Pacific Islands region, the Caspian Sea region, the Eastern Baltic countries,
several South American countries and several African countries. This interest is constantly
increasing.
Several North American and European countries have initiated programmes and strategic
action plans to address the threat posed by IAS in ships' ballast water. A detailed account of
these initiatives is given in Annex 3.
An extremely important development worldwide has been a major surge in research and
development (R&D) efforts to find more effective, technologically based systems for the
treatment of ships' ballast water to prevent the transfer of harmful organisms. The GloBallast
pilot phase has been working to assist this process. These efforts have included the 1st and
2nd International Ballast Water Treatment R&D Symposia in London in March 2001 and
July 2003 respectively, developing and maintaining the Ballast Water Treatment R&D
Directory (http://globallast.imo.org/research/), directly funding R&D activities in some of the
GloBallast Pilot Countries and maintaining cooperative links with a number of R&D projects
and bodies.
The GloBallast R&D Directory lists more than 60 projects worldwide and the list is
expanding. The R&D projects are based in countries as far-flung as Australia, Brazil, Canada,
China, Germany, Japan, New Zealand, Norway, Poland, Singapore, the UK and the USA.
They comprise government programmes, private initiatives, private-public consortiums, local
efforts, national programmes and international alliances. However, one of the difficulties
faced by this diverse global R&D effort, is the lack of effective lines of communication
between these groups and with governments and the shipping industry. Apart from the efforts
of GloBallast, there is also a general lack of involvement of developing countries and the
potentially significant economic benefits of the multi-billion dollar market for shipboard
treatment systems may not be seen by developing countries. There is an increasing need to
facilitate technology transfer towards developing countries and ensure global sustainability
through North-South collaboration.
It should be noted, however, that during the initial phase of GloBallast a number of developed
countries have provided substantial support to the six Pilot Countries (e.g. Australia/New
Zealand support for risk assessment and port surveys, HELCOM support for eastern Baltic
workshop, Singapore subsidising GloBallast countries at their two Ballast Water
Conferences, UK and US support for GloBallast R&D Symposiums, US currently seeking
funding for GloBallast in wider Caribbean through White Water to Blue Water programme).
This excellent foundation of collaboration between developed and developing countries
firmly established by GloBallast phase I would certainly be developed further in the PDF-B
to secure additional co-financing for phase II.
Barriers and Underlying Causes
Despite the achievements by the GloBallast demonstration phase in the initial pilot countries,
the knowledge base, legal/policy framework and technical and institutional capacity required
to give effect to an international regime for the control and management of ships' ballast
water remain severe constraints for most of the developing countries. The root causes
associated with these issues can be grouped in six categories as follows:
· International and cross boundary character of shipping industry.
· Broad lack of awareness regarding aquatic invasive species.
· Lack of viable treatment technology to prevent the introduction of unwanted
organisms in ships' ballast water.
· Institutional and legal arrangements are insufficient or inadequate to address the
ballast water problem.
· Poor and inconsistent regional cooperation.
· Limited to non-existent financial resources allocated to address ballast water
issues.
If not adequately addressed, the lack of institutional and legal arrangements and of co-
ordinated action by the various stakeholders and the insufficient capacity to deal with
invasive species in ships' ballast water will continue to remain a major barrier to the effective
implementation of ballast water control and management measures in developing countries.
Objectives
The overall objective of the project is to assist especially vulnerable developing countries to
enact legal and policy reforms at national level to minimize the adverse impacts of aquatic
invasive species transferred by ships and to develop sustainable mechanisms for the control
and management of ships' ballast water and sediments.
The specific objectives of the project are:
1. To identify and agree upon the most appropriate strategies and actions required to
reduce the rate of aquatic bio-invasions caused by IAS transferred in ships'
ballast water.
2. To provide technical assistance to implement legal, policy and institutional
reforms at national level to minimize the adverse impacts of aquatic invasive
species in ships' ballast water.
3. To use existing co-operative mechanisms and suitable partnerships to ensure
financial sustainability for the control and management of ships' ballast water
and sediments and for the effective involvement of the relevant stakeholders.
4. To mainstream and integrate ballast water management into a broader effort to
control invasive aquatic species at the Large Marine Ecosystems (LME) level.
5. To develop an institutional and procedural approach for monitoring and
evaluation of ballast water management and control measures.
The objectives of GloBallast Partnerships will be a logical expansion of the pilot phase, with
a greater focus on policy reforms in targeted developing countries and more emphasis on
integrated management. The project is designed to build on the lessons learned during the
pilot phase and is based on the principle of "on the ground" implementation. A number of
activities particularly successful in the initial phase, will be replicated in other ports and
particularly sensitive areas. The GEF supported activities will focus on assisting specially
vulnerable and sensitive countries to enact legal reforms to implement the international
regime. The project will ensure a globally uniform approach and, to the extent possible,
global coverage of the developing regions of the world.
All activities will include training and capacity building based on lessons and best practices
acquired in the pilot phase. Additional efforts will be directed into building a contingency and
response role for dealing with outbreaks of IAS in a rapid and timely manner and to improve
the diagnostic capabilities of the countries worldwide.
GloBallast Partnerships aims to establish strategic alliances with other organizations and
programmes that are endeavouring to address the problem of invasive aquatic species and it
seeks to integrate ballast water management activities with other coastal and marine
management programmes, thereby increasing cost-effectiveness and creating inter-
programme synergies. In particular, the World Conservation Union (IUCN), the Regional
Seas Programme of UNEP and the Global Invasive Species Programme (GISP) have
expressed a strong interest in partnering and providing resources to assist the future
implementation of GloBallast Partnerships. The exact nature and extent of the involvement of
IUCN, UNEP Regional Seas, GISP and other partners will be developed during the PDF-B.
B - COUNTRY OWNERSHIP
1. COUNTRY ELIGIBILITY
The project will mainly fund participation of the developing countries with particularly
vulnerable or highly sensitive marine environments eligible for GEF support under paragraph
9(b) of the GEF Instrument. Non-eligible countries will be expected to finance their
participation in project activities.
2. COUNTRY DRIVENNESS
As the transfer of invasive aquatic species (IAS) is a trans-boundary problem, regional co-
operation is a key element in any strategy to address this issue. Lack of action at a regional
level could become a serious barrier to progress, if single country actions were to lead to
other nations using the lack of adequate ballast water management provisions to attract
greater interest in their ports. The ballast water problem has a high degree of specificity, due
to the fact that IAS do not recognise national borders and that the shipping industry crosses
jurisdictional boundaries in the conduct of trade.
The foundations of such a regional approach have been laid during the 2000-2004 pilot phase
of the GEF/UNDP/IMO Global Ballast Water Management Programme (GloBallast), through
the following Pilot Countries: Brazil, China, India, I.R. Iran, South Africa and Ukraine,
representing the main developing regions of the world.
As a result of the GloBallast pilot phase, Regional Tasks Forces (RTFs) have been formed
and regional Strategic Action Plans (SAPs) on ballast water control and management have
been developed and adopted involving more than 60 countries, as follows:
· The Black Sea region: RTF formed and Resolution and regional SAP adopted by
Bulgaria, Georgia, Romania, Russian Federation, Turkey and Ukraine. Ballast
water control and management/IAS issues have been included in the agenda of the
Istanbul Commission and Black Sea Environment Programme and a detailed
short-term programme of action has been developed and adopted.
· The ROPME Sea Area: RTF formed and Resolution and regional SAP adopted by
Bahrain, Kuwait, I.R. Iran, Oman, Qatar, United Arab Emirates and Saudi Arabia
at ministerial level. Ballast water control and management has been included in
the short-term workplan of the Regional Organization for the Protection of the
Marine Environment (ROPME).
· East Asia: RTF formed, Resolution and regional SAP adopted by P.R. China, the
Democratic People's Republic of Korea, Japan, the Republic of Korea, the
Philippines, the Russian Federation and Vietnam.
· Southern and Eastern Africa: RTF formed and regional SAP adopted by Angola,
Comoros, Kenya, Madagascar, Mauritius, Mozambique, Namibia, Seychelles,
South Africa and Tanzania. Ballast water/IAS problem included in the agenda of
the Conference of the Parties to the Nairobi Convention.
· South America (Atlantic Region): RTF formed Resolution and regional SAP
adopted by Argentina, Brazil, Paraguay and Uruguay. Ballast water control and
management/IAS issues have been included in the agenda of the MERCOSUR
Working Group on Environment (VI).
· South Asia: RTF formed, Resolution and regional SAP adopted by Bangladesh,
India, Malaysia, Singapore, Sri Lanka and Thailand.
· Eastern Baltic: Resolution adopted and foundations for a regional SAP developed
by Estonia, Finland, Latvia, Lithuania, Germany, Poland, Sweden and Russian
Federation. Ballast water control and management/IAS issues have been included
on the agenda of the Helsinki Commission (HELCOM) and GEF Baltic Sea
Regional Project.
The regional SAPs are focussed on the protection of shared coastal and marine environment
through policy reforms at national level triggered by the newly adopted International
Convention for the Control and Management of Ships' Ballast Water and Sediments. An
example of a regional SAP is provided in Annex 4 and the full reports on the regional
meetings that were held to initiate the RTFs and regional SAPs are available as part of the
GloBallast Monograph Series (http://globallast.imo.org/publications).
The GloBallast pilot phase has also been assisting the Mediterranean Action Plan (MAP), the
Permanent Commission of the South Pacific (CPPS) and the South Pacific Regional
Environment Programme (SPREP) to develop regional strategies and activities on ballast
water/IAS control and management, and has had preliminary contacts with the Caribbean
Environment Programme (CEP), bringing an additional 70+ countries to the list that have
demonstrated "country drivenness" in relation to ballast water/IAS issues. The countries
determination to effectively address the ballast water problem has been clearly and formally
expressed during the 49th session of Marine Environment Protection Committee in 2003,
when IMO member States called upon the Organization to explore the possibilities to secure
resourcing for a possible extrapolation of the GloBallast pilot phase to the more
comprehensive approach contained in GloBallast Partnerships.
The latest confirmation of the country driven interest in ballast water related issues came with
the adoption by consensus of a resolution on the need for technical cooperation and
assistance, during the Diplomatic Conference held in February 2004 at IMO's Headquarters
in London, UK.
In addition, GloBallast is currently assisting GEF International Waters "sister projects" that
are focused on Large Marine Ecosystems (LMEs), to frame their strategies and activities on
ballast water/IAS control and management under the assumption that activities will be carried
out in coordination with IMO as the specific designated UN agency to deal with ballast water
issues.
The main focus of the full project proposed in this Concept Paper will be to assist developing
countries to reduce the rate of aquatic bio-invasions transferred by ships' ballast water and
sediments by working through cooperative structures, mechanisms and partnerships to build
capacity and implement policy and reforms at the national level in order to promote rapid and
effective implementation of the newly adopted international regime. The project will cover
the six developing regions represented in the pilot phase providing further support for some
of the most relevant achievements, which could be replicated in other ports or special areas
and additional new regions that have expressed their interest in joining the programme.
As outlined above, through the various regional initiatives more than 130 developing
countries are now moving to develop national responses to the ballast water issue. During the
GloBallast pilot phase, the Programme Coordination Unit (PCU) based at IMO in London has
also received numerous requests directly from many countries seeking to participate in the
Programme. Many of these countries have included the issue of IAS and ballast water control
and management in their national priorities, action plans and programmes, and participation
in negotiations to develop the new ballast water Convention has increased from around 14
member States and organizations at the commencement of the GloBallast pilot phase in 2000,
to 57 in 2002 and 2003. Many developing countries are also party to the Convention on
Biological Diversity (CBD), the United Nations Convention on the Law of the Sea
(UNCLOS) and other international and regional instruments that have elements relating to
IAS in ships' ballast water.
As a result of the GloBallast pilot phase the six participating countries are committed to
continue and expand their ballast water related activities and have included ballast water
management and control in their national development and environment policies. They are
also prepared to share their experience and lessons learned with their neighbours and
unanimously support the principle that this issue can only be addressed successfully through
concerted multi-lateral action. A synopsis of the institutional framework related to ballast
water issues and the level of commitment in each Pilot Country is given in Annex 5 to this
paper, and full details are available from the final report of the GloBallast Legislative Review
(http://globallast.imo.org/publications). Details of the current status of national policies on
ballast water/IAS issues in additional countries in each pilot region are available from the
Country Status Reports contained in the reports on the regional meetings that were held to
initiate the RTFs and regional SAPs (also available as part of the GloBallast Monograph
Series (http://globallast.imo.org/publications).
The development and adoption of regional SAPs has been a key achievement of the
GloBallast pilot phase, and provides a clear indication of country drivenness regarding the
ballast water issue, and a measure of the determination of countries to work together towards
the implementation of the Ballast Water Management Convention. To date, through the
GloBallast regional initiatives, more than 130 countries and many regional organizations and
programmes from all of the developing regions of the world have expressed their genuine
interest in becoming partners or being associated with GloBallast. More specific
commitments will be provided in the full Project Brief.
C PROGRAM AND POLICY CONFORMITY
1. PROGRAM DESIGNATION AND CONFORMITY
The project will demonstrate practical ways of overcoming barriers to the adoption of best
practices that limit contamination of international waters through shipping vectors and will
harness involvement of the UN agency specialized in addressing non-indigenous species in
ships' ballast water. The project identifies itself with the Contaminant-Based Operational
Program (Ship-Related Contaminants Component) where GEF plays a catalytic role in
demonstrating ways to overcome barriers to the adoption of the best practices to limit
contamination of international waters and IMO provides the technical expertise related to
ships' ballast water management. Although clearly associated to IW-3 GEF strategic priority,
the project will help to develop strategic links across operational programs in the focal area
and contributes to an integrated approach to marine ecosystems management facilitating
cross-cutting capacity building to address the potentially devastating impacts of bioinvasions
through ships' ballast water.
2. PROJECT DESIGN
Project Structure
The project is focused on assisting especially vulnerable countries to adopt coordinated legal
and policy reforms to minimize the adverse impacts of invasive species transferred through
ships' ballast water and to develop financial mechanisms that will ensure long-term
sustainability. As emphasized above, "on the ground implementation" is a key conceptual
element of this project, which will comprise five major components:
1. Assessment and identification of the most appropriate strategies required to
reduce the rate of aquatic bio-invasions caused by invasive species in ships'
ballast water.
2. Implementation of legal, policy and institutional reforms at national level to
minimize the impacts of invasive species in ships' ballast water.
3. Development of suitable mechanisms to ensure financial sustainability for the
effective control and management of ships' ballast water and effective
involvement of relevant stakeholders.
4. Integration of ballast water management into broader effort to control invasive
aquatic species at the Large Marine Ecosystems (LME) level.
5. Development of effective monitoring and evaluation indicators for ballast water
management and control measures.
Components/Activities/Outcomes
Component 1:
Identification of the most appropriate strategies.
Activity 1.1:
Review existing information regarding the quantity and quality of
ballast water discharges in the targeted countries and determine the
existing and potential threats posed by unmanaged ballast water
discharges.
Activity 1.2:
Conduct an initial assessment of the legal and institutional
structures related to ballast water management in the targeted
countries.
Activity 1.3:
Develop a National Action Plan (NAP) that identifies and outlines
the most appropriate strategies to reduce the rate of aquatic bio-
invasions caused by invasive species in ships' ballast water.
Outcome 1:
Most appropriate strategies to address the ballast water issue
tailored to the specific needs of the targeted countries identified
and agreed upon.
(i)
Assessment of the existing and potential threat posed by invasive
species in ships' ballast water completed.
(ii)
Assessment of the existing legal and institutional structures related
to management of ships' ballast water completed.
(iii)
NAP developed and agreed upon. The NAP will be updated
during the implementation process to effect the improved
knowledge base and the newly established institutional
arrangements.
Component 2:
Implementation of legal, policy and institutional reforms at
national level.
Activity 2.1:
Facilitate the establishment of institutional arrangements at
national level for enhanced cross-sectoral participation in the
implementation of the NAP.
Activity 2.2:
Develop communication and awareness-raising programmes.
Activity 2.3:
Establish national information management centres linked to the
existing databases on invasive aquatic species at regional and
international level.
Activity 2.4:
Develop risk assessment programmes and decision support
systems.
Activity 2.5:
Develop and implement compliance monitoring and enforcement
systems.
Activity 2.6:
Adapt and implement the generic capacity building package for
ballast water management and control developed during the
demonstration phase of GloBallast.
Activity 2.7:
Promote the ratification and implementation of relevant
international instruments (e.g. Ballast Water Management
Convention, UNCLOS, CBD, etc.).
Activity 2.8:
Disseminate and share project results, best practices and lessons
learnt through publications, dedicated websites, IW: LEARN, GEF
IW Conferences, etc.
Outcome 2:
Legal, policy and institutional reforms to minimize the impact of
invasive species in ships' ballast water implemented.
(i) Institutional
·
Country Task Forces, interministerial in nature, established
to facilitate cross-sectoral participation.
·
Information management centres operational at national
level linked to existing databases worldwide.
(ii) Policy
·
Increased level of awareness on impacts of ballast water
discharges among the stakeholders.
·
Decision Support Systems based on comprehensive risk
assessments developed and operational.
·
Compliance Monitoring and Enforcement systems in place
and operational.
·
Ballast Water Management expertise created and available
at national level.
(iii)
Legal
·
Enhanced implementation of international instruments
relevant to ballast water management and ratification
processes initiated.
Component 3:
Development of suitable mechanisms to ensure financial
sustainability.
Activity 3.1:
Ensure sustainability of project intervention by identifying
the most appropriate governmental organizations for the long-term
co-ordination of ballast water management and control.
Activity 3.2:
Facilitate the implementation of specific measures (financial and
institutional) to sustain the reforms (e.g. port fees, government
contributions, involvement of private sector, etc.).
Outcome 3:
Financial and institutional mechanisms to support control and
management of ships' ballast water identified together with
responsible government agencies.
(i)
Increased national capacity to address threats posed by ballast
water transfer.
(ii)
Enhanced participation in the regional and international decision-
making activities.
(iii)
Sustainability and replicability of the project interventions ensured.
Component 4:
Integration of ballast water management into broader effort to
control invasive aquatic species at the Large Marine Ecosystem
(LME) level.
Activity 4.1:
Establish co-operative links at national, regional and international
level, with organizations involved in control of IAS (e.g. IUCN,
GISP, UNEP, etc.).
Activity 4.2
Exchange experience and share project results, best practices and
lessons learnt using established for addressing invasive species
and biodiversity issues.
Outcome 4:
Integrated approach to marine vectors for control of introduction of
invasive species to new environments at LME level.
Component 5:
Development of effective monitoring and evaluation indicators for
ballast water management and control measures.
Activity 5.1:
Identify the most appropriate institutional arrangement for
consolidating and reporting on agreed indicator or monitoring and
evaluation of ballast water management and control measures.
Activity 5.2:
Develop process, environmental status and stress reduction
indicators for ballast water management and control.
Activity 5.3:
Harmonize procedures for reporting on process, environmental
status and stress reduction indicators at regional level.
Outcome 5:
Monitoring, evaluation and reporting processes in place:
(i)
Institutional and procedural approach to ballast water management
and control, monitoring, evaluation and reporting in place
including relevant indicators.
(ii)
Shared procedures for monitoring, evaluation and reporting
available at regional level.
Baseline Scenario
Despite the general awareness and the international momentum generated by the GloBallast
demonstration phase, the knowledge base, legal/policy framework and technical and
institutional capacity required to give effect to an international regime for the control and
management of ships' ballast water remain severe constraints for most of the developing
countries. The efforts made by developing countries, as the main recipients of ballast water,
to adopt and implement this regime tend to be fragmented and un-coordinated. Given the
above underlying causes, it is unlikely that emerging national efforts would lead to the
mitigation of the impacts of uncontrolled ballast water discharges. The absence of a
cooperative approach means that effective measures to address the ballast water problem may
prove difficult. The lack of institutional arrangements and of co-ordinated action by the
various stakeholders and the insufficient capacity to deal with invasive species in ships'
ballast water will continue to remain a major barrier to the effective implementation of ballast
water control and management measures in developing countries.
Because of the enormous engineering, technical, scientific, environmental, economic and
social implications, the ballast water issue is far more complex than most of the other ship-
based pollution threats that IMO member States have faced, and under the baseline scenario,
rapid and effective implementation of the Ballast Water Management Convention could be
severely restricted by a lack of capacity in developing countries. It is anticipated that without
further technical cooperation activities and the proper mobilization of existing resources, the
Ballast Water Management Convention will go through an unnecessarily long process of
implementation and its entry-into-force will be delayed, leading to the proliferation of
detrimental, and sometimes devastating, impacts on coastal populations, the marine
environment, and biodiversity. Such a scenario would result in wasting the momentum
generated by the GloBallast pilot phase.
As outlined above, even the group of highly industrialized countries that have at least some
expertise in this matter is limited, and under the baseline scenario there is little hope for
technology and skills transfer from these countries to the developing world. The much-
needed exchange of information and concerted action at the global level is in most cases
insufficient and lacks consistency and internationally agreed standards.
A consequence of the comprehensive awareness raising campaign conducted during the
GloBallast pilot phase has been the growing interest in ballast water issues in a constantly
increasing number of developing countries. Encouraging responses have been received from
many regional marine environment protection organizations as they are planning to include
the ballast water issue on their agenda of priorities. UNEP Regional Seas Programmes and
regional GEF projects dealing with Integrated Coastal Management (ICM) and Large Marine
Ecosystems (LME) have also expressed their interest in including ballast water management
and control in their regional strategies. However, these are only good intentions that will not
materialize in self-supporting mechanisms to properly address ballast water as a vector for
invasive aquatic species without GEF intervention.
The absence of support, and the lack of co-ordination and standardized approaches at a
regional level, will discourage emerging initiatives and bring additional difficulties to the
implementation of an international regime for the control and management of ballast water,
which means that the transfer of unwanted species with its notorious impacts on the
environment, economy and human health will continue.
The issue of invasive aquatic species is transboundary in nature and has significant cross-
sectoral impacts. Under the baseline scenario, IMO is seeking, however commendably, to
address only one vector ballast water. A more integrated, holistic management approach,
where ballast water management is linked with efforts to address other IAS vectors, and
where IAS management efforts are integrated into broader coastal and ocean management, as
well as social development efforts, is needed if the issue is to be addressed effectively.
Unfortunately IMO, while doing all within its limits to address shipping vectors, does not
have the mandate to take a more holistic, integrated approach and can only do so as part of a
broader program where IMO and the countries involved share the burden of the baseline
activities with GEF contributing to specific incremental activities in specifically targeted
countries.
Alternative Scenario
GloBallast Partnerships will provide a programmatic framework for the sustainable
replication of ballast water management and control measures, ensuring that maximum
benefits accrue from the foundation work achieved in the pilot phase. The aims and objectives
of GloBallast Partnerships will be a logical extension of the pilot phase, with a focus on
national policy and legal reforms in targeted developing countries and an emphasis on
integrated management. The approach envisaged for the new project would involve:
· Building on the achievements and momentum, and utilising the capacity and
talent generated by the pilot phase.
· Replication of best-practices and technical activities in newly identified
beneficiary countries with the view to stimulate policy reforms at national level.
· Supporting specially vulnerable and/or environmentally highly sensitive countries
in their efforts to enact legal reforms to implement the Ballast Water Management
Convention.
· Working towards advanced integration through other interested structures,
mechanisms and programmes, including where optimal, GEF-IW LME projects
and UNEP Regional Seas.
· Promoting collaboration to facilitate the successful transfer of new technologies
from developed to developing countries.
Support for appropriate national institutional arrangements will be granted and regional
mechanisms will be used as catalysts for supporting national policy reforms. Generic
Compliance Monitoring and Enforcement (CME) systems, which could not be developed due
to the delay in the adoption of the Ballast Water Management Convention, will be prepared in
accordance with the requirements of the IMO instrument. Formalized communication
systems through identified lead agencies will be developed and early warning systems for
invasions and outbreaks will be established. Priority software and hardware will be designed
and direct logistic support from the more advanced countries will be sought. Some
incremental investments will be supported by the proposed GEF project. Standardised
protocols and methodology for conducting port biological surveys and risk assessments will
be provided with direct assistance from the capacity built in the pilot phase.
Specific training on ballast water management and control will be provided, based on the
training courses developed during the pilot phase, with emphasis on various responsibilities
under the new Ballast Water Management Convention. Sustainable financial and institutional
arrangements for the long-term management of ships' ballast water will be established,
including the mobilization of public and private sector funding.
The global information clearing house function established during the pilot phase will be
continued and further strengthened, in support of a uniform approach. Strategies to integrate
the ballast water programmes with existing marine and coastal management schemes will be
developed and implemented.
In essence, the proposed GEF project will build on the findings, institutional settings and
capacity developed during the pilot phase. The results of this GEF intervention should include
a measurable reduction in aquatic bio-invasions with a significant mitigation of the
detrimental, sometimes devastating, effects of ballast water transfers, better protection of
marine and coastal ecosystems and habitats and conservation of biodiversity.
GEF involvement
Oceans cover 70% of our planet and nearly 50% of the world's population live in coastal
areas and therefore protection of the marine environment is beyond the scope of one country
and has global benefits. GEF should be involved in this project because it focuses on
transboundary issues related to contamination of coastal and marine environment. GEF is
uniquely situated to comprehensively address transboundary needs in an integrated way
through its International Waters Programme. It is expected that GEF will primarily fund the
legal, policy and institutional reforms to effectively address threats posed by invasive species
in ships' ballast water.
All the six initial Pilot Countries have expressed their willingness to share their experience
and their commitment to foster technical cooperation. However, existing mechanisms to
operationalize this commitment are limited and hindered by lack of communication and
consistency. GEF support can ensure that the growing interest of developing countries in the
ballast water problem leads to action. Specifically, with GEF support, sustainable
mechanisms to properly address the issue will be established and the often catastrophic
effects of aquatic bio-invasions will be minimized and possibly eliminated.
GloBallast Partnerships will represent a unique example and a model of GEF assistance being
used during the early stages of implementation of an international regime related to GEF aims
and objectives with the burden of baseline activities shared by the responsible UN Agency
together with the respective developing countries. The new project will provide an
opportunity for GEF to pursue its mandate related to IAS and to follow up on its own
strategic priorities related to enabling long term policy reforms "on the ground" at country
level.
Without this GEF intervention, the extremely significant progress achieved in the GloBallast
pilot phase will not be capitalized, and the global benefits may well be lost. GEF support is
being sought to build on, optimize benefits from and continue the momentum generated by
the GEF investment in the pilot phase. The GEF intervention will demonstrate how GEF
financing of some incremental costs can massively catalyse major achievements at national
level relating to one of GEF's key strategic priorities.
Finally, the project will provide additional confirmation of the catalytic role of GEF in
demonstrating ways to overcome the barriers to the adoption of best practices limiting
biological contamination of international waters and will prove the effectiveness of GEF
policy when addressing global problems.
3. SUSTAINABILITY (INCLUDING FINANCIAL SUSTAINABILITY)
Financial
The project will address the financial constraints throughout its duration. Financing strategies
will be included and defining the sources of finance will be a prerequisite of countries
participating. Strategic partnerships that have already been initiated with the Global Invasive
Species Program (GISP), the World Conservation Union (IUCN) and the United Nations
Environment Programme (UNEP) will be expanded for the funding of specific activities of
common interest. Such alliances will provide an extremely powerful mechanism to address
invasive aquatic species from a regional and global perspective in an integrated and
meaningful way.
Expert advice and support to ensure the financial sustainability of the project will be sought
from International Funding Institutions (IFIs) (e.g. World Bank, Regional Development
Banks, etc.) or specialized international consultants. As part of the financial strategy,
incentives to stimulate investment into ballast water related activities will be explored and
barriers to private sector funding will be assessed and measures implemented for their
removal. Donor conferences and informal meetings will be held in line with resource
mobilization strategies to channel additional co-funding towards implementation of
GloBallast Partnerships activities.
Institutional
Sustained governmental commitment is essential to the healthy implementation of the project.
The current field structure of government-paid Country Focal Points will be extrapolated to
ensure a long-term self-sustaining basis. Long-term policy reforms at national level will be
encouraged and integrated within regional mechanisms. Specific provisions regarding ballast
water management and control will be included in the existing government cooperation
mechanisms to ensure long-term governmental commitment and continuation of ballast water
activities after GEF's intervention. Integrating GloBallast Partnerships with existing regional
mechanisms will help to reduce administration costs and create inter-programme synergies.
At the global level, as a result of the pilot phase of the project, IMO has created a strong
institutional basis by establishing the "Office for Ballast Water Management" and funding a
senior technical position and associated secretarial support. This, together with the adoption
of ballast water management as a new thematic priority of IMO's Integrated Technical
Cooperation Programme will ensure the necessary sustainability during and beyond the
proposed period of the GloBallast Partnerships Project.
The project will encourage involvement of national/international non-governmental networks
in the implementation process to allow independent "watchdog" feedback and to maintain
pressure on the governments.
Partnership and participation are key to the successful replication of GloBallast type activities
in additional developing countries. The stakeholders analysis conducted in the pilot phase has
indicated that key partners would include relevant government agencies (maritime
administrations, environment agencies, etc.), scientific community, industry representatives,
financial community (private and other donors), GEF, GEF Implementing Agencies (IAs) and
GEF "sister" projects. The active participation of all the stakeholders will be ensured through
the establishment of the Country Task Forces (CTF) and the roles and responsibilities of all
partners will be stipulated in the project documents.
The following elements of the project will contribute to its sustainability beyond the end of
the project:
· Increased awareness and commitment at political and decision-making levels
regarding the value of shared resources and the transboundary management issues
affecting them,
· The information base, tools, and models for management decision-making will
have been substantially increased,
· The project will focus on enhancing existing networks and institutions rather than
creating new ones,
· The project will have a major emphasis on capacity building,
· The project duration should contribute to the establishment and sustainability of
the proposed processes and mechanisms,
· The project will seek to establish a culture of cooperation and networking among
countries in their respective regions and the mechanism to do so.
4. REPLICABILITY
The project has the potential to provide useful lessons that can be adapted to other countries
and regions of the world. GloBallast Partnerships will share its experience and findings with
other GEF International Waters projects involved in marine and coastal management (ICZM
and LME) and will provide the necessary tools to address the ballast water issue in an
integrated manner. The project will promote dissemination and replication of its best practices
and lessons learnt through the Clearing House Mechanism (CHM) established at IMO
Headquarters in the pilot phase and through specialized communication projects such as GEF
IW: LEARN. The training package designed using Train-X methodology in the pilot phase
will continue to be delivered at new locations and be made available worldwide through the
Train-X network. Technical and capacity-building activities implemented in the initial Pilot
Countries will be replicated at additional demonstration sites during the proposed project.
5. STAKEHOLDER INVOLVEMENT/INTENDED BENEFICIARIES
As ballast water problems are inter-disciplinary in nature, the success of the project depends
on the full involvement of a broad group of stakeholders. Experience from the pilot phase has
provided a good indication of the main actors involved in the issue. Without precluding the
participation of additional partners, the following institutions and organizations are likely to
be involved and interact:
. Maritime administrations
. Environmental agencies
. Ministries of agriculture (fisheries)
. Ministries of health (quarantine and sanitary services)
. Coast-guard and navy
. Parliamentary committees for environmental protection
. Shipping and port industry
. Oil and gas industry
. Mining industry
. National and regional marine research institutions
. Regional and international organizations involved in ballast water management
and control
. Relevant NGOs
. Local government agencies
. Donor community and international financial institutions.
Consistent with other GEF requirements, project preparation will examine the role of various
stakeholder communities and determine appropriate involvement as part of the full project;
the latter will include a full stakeholder involvement plan.
Full consultation of the key players will be ensured at the national level through the
establishment of Country Task Forces. The Country Focal Points, who will responsible for
the implementation of the project in their respective countries, will act as chairpersons of the
Country Task Forces. The project document will outline roles, responsibilities and
relationships among the stakeholders and suggest mechanisms for their optimal involvement
in the project activities. This will ensure ownership and will facilitate smooth
implementation. The stakeholders will benefit throughout the project from studies,
workshops, training, reviews and legal and institutional analysis. They will be granted access
to the Global Clearing House Mechanism established in IMO and will be invited to sit in the
Global Task Force, which will be the steering structure and the highest advisory body of the
project.
D FINANCING
1) FINANCING PLAN
The financing plan of the full project is to be finalized during the PDF-B stage; a preliminary
estimate over the proposed five years includes a GEF grant of US$ 7 million plus US$ 10
million in co-financing.
Generally, GEF funds will focus on developing institutional arrangements, policy and
strategy at national level and capacity building in the newly identified developing countries.
The leverage created during the pilot phase will, however, be maintained and showcase
projects in high priority areas for each country will be further encouraged. GEF may also
partially support the development of integrated IAS strategies; co-funding being sought from
Governments and partners such as GISP, IUCN and UNEP Regional Seas. GEF seed-money
may be provided to support outstanding pilot initiatives to address the root causes of the
ballast water problem.
GEF will finance a portion of the incremental costs of the project including costs related to
implementing soft investments (institutional policy, capacity building, databases, etc.) and
costs to initiate a limited number of strategic demonstration projects or to continue successful
initiatives from the initial pilot phase to address the root causes of the ballast water problem.
Priority hardware costs will also be supported by the GEF.
2) CO-FINANCING
Co-financing from the participating governments, other donors and shipping industry will be
sought as a prerequisite of the participation in the project. Co-financing through partnerships
with IUCN and UNEP Regional Seas Programme under preparation during the current phase
of GloBallast will be reviewed and expanded. Additional co-financing from the private sector
(shipping and ports, oil and gas industries, mining, etc.) will be explored. Last, but not least,
IMO will co-finance the co-operative effort over the five years of the project by supporting
the activity of the Office for Ballast Water Management and ensuring the global sustainability
and the much needed consistency with the Convention. Constant support for the baseline
activities will be provided to the respective governments through IMO's Integrated Technical
Cooperation Programme Fund and other specific financial arrangements.
Throughout the duration of the project further donor support will be explored with assistance
from IFIs or expert advice from international consultants. It is expected that at the end of the
project long-term sustainable financial mechanisms will be operational and ballast water
management and control activities will be included in the regular budgets of the respective
participating countries.
It is anticipated that by the end of the project GEF will have assisted in establishing long-term
sustainable financial mechanisms for ballast water management and control in the main
developing regions of the world.
E - INSTITUTIONAL COORDINATION AND SUPPORT
1) CORE COMMITMENTS AND LINKAGES
As outlined above, the implementation of GloBallast Partnerships will require an integrated
approach. It is increasingly recognized that it is more effective and efficient to take a more
holistic, integrated approach to the management of invasive aquatic species. In addition,
various international guidelines on the management of invasive species produced by GISP,
IUCN and technical groups under the Convention on Biological Diversity (CBD) adopted a
similar integrated approach. GloBallast Partnerships will follow the international trend and
develop a more holistic attitude towards the management of invasive aquatic species while
retaining its technical focus on ballast water management. This can be achieved by liaising
and collaborating more closely with other international groups involved in matters related to
invasive aquatic species, such as GISP, IUCN, the United Nations Environment Programme
and its Regional Seas Programmes, the UNEP Convention on Biological Diversity, the
International Council for the Exploration of the Seas (ICES), the Intergovernmental
Oceanographic Commission (IOC), the UN Food and Agriculture Organization (FAO) and
the World Health Organization (WHO). The successful integration of GloBallast will rely on
good coordination amongst the GEF IA and the above organizations. To ensure this, the IA
and the relevant organizations, as described above, will be involved from the outset through
the implementation process and will be invited to the steering committees.
The project is complementary to several GEF projects focused on integrated coastal zone
management and large marine ecosystems and can offer the necessary ready-made tools to
address invasive species transferred through ships' ballast water. This will be achieved in the
broader context given by their objectives. The IA may assist significantly by fostering
communication and cooperative linkage between GloBallast and these particular projects.
2) CONSULTATION, COORDINATION AND COLLABORATION BETWEEN AND AMONG
IMPLEMENTING AGENCIES, EXECUTING AGENCIES, AND THE GEF SECRETARIAT, IF
APPROPRIATE.
The project is being prepared by IMO on behalf of the six initial Pilot Countries supported by
the other countries in their respective regions that have already expressed their interest and
commitment by adopting regional Strategic Action Plans and related Resolutions. Additional
support for this proposal will be secured during the PDF Block B phase from the newly
identified participating countries. Formal agreements (MoUs) will be concluded between
GloBallast/IMO and the participating countries. Signatures from the relevant Governments
will be provided before the approval of the full sized project as required by the usual
procedures for International Waters projects.
3) IMPLEMENTATION/EXECUTION ARRANGEMENTS
The project will be implemented by UNDP and executed by the International Maritime
Organization (IMO). IMO is the regulatory body of the United Nations responsible for the
development of rules and regulations regarding the safety and security of shipping and the
prevention of pollution from ships and has provided significant "added-value" during the
GloBallast Pilot Phase. As with most maritime instruments, IMO provides Secretariat support
for the Ballast Water Management Convention. If traditionally IMO instruments were
focused on flag States, this new global Convention establishes concrete rights and
responsibilities for the port and coastal States as well. IMO coordinates Convention
processes, reporting, information dissemination, and technical assistance when requested. The
responsibility of implementing the conventions lies, however, with IMO member States and
the very large majority of the costs related to the implementation process is absorbed by the
respective governments, shipping industry and interested donors. IMO is greatly respected in
all shipping industry matters and its reputation of thoroughness gives the project a very
necessary priority and level of importance. IMO is seen as a very professional organization,
which lends the project a lot of credibility and respect from the global community. The
Organization is also instrumental in smoothing out political and diplomatic asperities at the
regional and global level and is, without doubt, the most appropriate Executing Agency.
During its last session in July 2003 the Marine Environment Protection Committee of IMO,
attended by 88 member States, acknowledged the substantial contribution of GloBallast in
addressing ballast water related problems and requested IMO to approach UNDP, GEF and
other potential donors and partners to explore the possibilities for continuation of the
activities initiated during the pilot phase. UNDP will continue to ensure appropriate linkage
with related GEF and other internationally supported projects, notably relations with
International Waters projects involved in marine and coastal zone management.
To facilitate the donors' coordination and strengthen financial leveraging capacity,
International Financing Institutions (IFIs) may be involved in the management of the
components for the financial implementation of SAPs and in the preparation and organization
of donor conferences.
A project steering committee (Global Task Force) will be established and will consist of
representatives of all the countries involved in the project, UNDP/GEF, IMO, the IFIs and
other donors. The steering committee will approve the Project Implementation Plan, SAPs
and major project outputs.
The existing cooperation with the International Association of Independent Tanker Owners
(INTERTANKO), Oil Companies International Marine Forum (OCIMF), International
Chamber of Shipping Limited (ICS), Friends of the Earth International (FOEI), World
Conservation Union (IUCN) and other major NGOs with an interest in ballast water and
invasive species will be continued and enhanced by inviting their representatives to observe
the meetings of the steering committee.
PART II - PROJECT DEVELOPMENT PREPARATION
N/A
PART IV RESPONSE TO REVIEWS
ANNEX 1
Ecological, Economic and Health Impacts of Harmful Aquatic Species Transported
Through Ships' Ballast Water
The World Conservation Union (IUCN) and UNEP have identified invasive species in
general as the second greatest threat to global bio-diversity after habitat loss and this was re-
iterated at the World Summit on Sustainable Development in 2002. Should an introduced
species become a successful invader in its new environment, it can cause a range of
ecological impacts. These include:
· competing with native species for space and food,
· preying upon native species,
· altering habitat,
· altering environmental conditions (e.g. increased water clarity due to mass filter-
feeding),
· altering the food web and the overall ecosystem, and
· displacing native species, reducing native biodiversity and even causing local
extinctions.
An important feature of the ecological impacts of harmful aquatic bio-invasions is that they
are virtually always irreversible, and generally increase in severity over time. In this regard it
is worth comparing the impacts of aquatic bio-invasions with those of a better-known form of
ship-sourced pollution, major oil spills. In a major oil spill, the ecological impacts are most
likely to occur very quickly, be catastrophic and acute, and highly visible. However, impacts
will decrease over time as the oil degrades and clean up and rehabilitation activities are
undertaken. With an aquatic bio-invasion, the initial impacts may be non-existent to minor
and invisible. However, as the population increases, the impacts will increase over time, in an
insidious, chronic and irreversible manner.
Unlike oil spills, for which humans have developed a huge range of response and clean-up
options, once an invading species has established a viable population in a new environment,
it is almost always impossible to remove. There are no recorded cases of successful control
and eradication of aquatic invasive species that have established in open waters. The
extremely limited cases of successful control and eradication have been when the invading
species was detected at a very early stage, inside enclosed waters such as a marina or small
bay, that could be closed-off and treated with biocides (e.g. the striped mussel in Darwin
Harbour, Northern Australia Pyne 1999).
Many aquatic invasive species can cause major economic impacts on human society. Direct
economic losses to society can be caused by aquatic bio-invasions in a number of ways,
including:
1
ANNEX 1
· Reductions in fisheries production (including collapse of the fishery) due to
competition, predation and/or displacement of the fishery species by the invading
species, and/or through habitat/environmental changes caused by the invading
species.
· Impacts on aquaculture (including closure of fish-farms), especially from
introduced harmful algae blooms.
· Physical impacts on coastal infrastructure, facilities and industry, especially by
fouling species.
· Reduction in the economy and efficiency of shipping due to fouling species.
· Impacts and even closure of recreational and tourism beaches and other coastal
amenity sites due to invasive species (e.g. physical fouling of beaches and severe
odours from harmful algae blooms).
· Secondary economic impacts from human health impacts of introduced pathogens
and toxic species, including increased monitoring, testing, diagnostic and
treatment costs, and loss of social productivity due to illness and even death in
affected persons.
· Secondary economic impacts from ecological impacts and bio-diversity loss.
· The costs of responding to the problem, including research and development,
monitoring, education, communication, regulation, compliance, management,
mitigation and control costs.
Other examples of the economic impacts of invasive aquatic species include the closure of
fisheries and fish farms during outbreaks of harmful, introduced algae (and the subsequent
implementation of expensive monitoring and quality-control programmes) and the closure of
recreational and tourism beaches due to fouling by harmful algae blooms.
Added to these are the ever-increasing costs to coastal and port States, flag States and
industry of responding to the ballast water `problem', including research and development,
monitoring, education, communication, regulation, compliance, management, mitigation and
control costs.
One study has estimated that the total cost of all invasive species (including terrestrial) is in
the vicinity of US$138 billion per year in the USA alone (Pimental et al 2000). The global
economic impacts of invasive aquatic species have not been quantified but are likely to be in
the order of billions of US dollars per year or more.
Given the magnitude of ongoing ballast water transfers, large-scale movement of
microorganisms by ships has retained the attention of both invasion biologists and
epidemiologists. Vibrio Cholerae, the bacterium that causes human epidemic cholera, has
been detected in the ballast water of virtually all ships tested worldwide. While Vibrio
ANNEX 1
Cholerae and other potential pathogens may be normal constituents of coastal waters, they do
not ordinarily occur in high enough concentrations to cause human health problems.
However, with expanding world trade and an increasing number of ships moving among
international ports the transfer of microbes could well be the most insidious threat related to
ballast water discharge.
Some cholera epidemics appear to be directly associated with the international carriage and
discharge of ballast water. One example is an epidemic that began simultaneously at three
separate port cities in Peru in 1991, sweeping across South America, affecting more than a
million people and killing more than ten thousand people by 1994.
In addition to bacteria and viruses, ballast water can also transfer a range of species of micro-
algae, including toxic species that may form harmful algae blooms or `red tides'. The public
health impacts of such outbreaks are well documented and include paralytic shellfish
poisoning, which can cause severe illness or even death in humans.
Some specific case studies identified during the pilot phase of GloBallast are given below:
Some Examples of Notorious Bio-Invasions Attributed to Ships' Ballast Water
Species
Origin
Area invaded
Impact
Asian Kelp
Northern
Southern
Grows and spreads rapidly, both vegetatively and through
Undaria pinnatifida Asia
Australia, New
dispersal of spores. Displaces native algae and marine
Zealand, West
life. Alters habitat, ecosystem and food web. May affect
Coast of USA,
commercial shellfish stocks through space competition
Europe and
and alteration of habitat.
Argentina
Cholera
Various
South America,
Some cholera epidemics appear to be directly associated
Vibrio cholerae
strains
Gulf of Mexico
with ballast water. One example is an epidemic that
(various strains)
with
and other areas
began simultaneously at three separate ports in Peru in
broad
1991, sweeping across South America, affecting more
ranges
than a million people and killing more than ten thousand
by 1994. This strain had previously been reported only in
Bangladesh.
Cladoceran Water
Black and Baltic Sea
Reproduces to form very large populations that dominate
Flea
Caspian
the zooplankton community and clog fishing nets and
Cercopagis pengoi
Seas
trawls, with associated economic impacts.
European Green
European
Southern
Highly adaptable and invasive. Resistant to predation due
Crab
Atlantic
Australia, South
to hard shell. Competes with and displaces native crabs
Carcinus maenus
Coast
Africa, USA and
and becomes a dominant species in invaded areas.
Japan
Consumes and depletes wide range of prey species.
Alters inter-tidal rocky shore ecosystem.
Mitten Crab
Northern
Western Europe,
Undergoes mass migrations for reproductive purposes.
Eiocheir sinensis
Asia
Baltic Sea and
Burrows into river banks and dykes causing erosion and
West Coast North siltation. Preys on native fish and invertebrate species,
America
causing local extinctions during population outbreaks.
Interferes with fishing activities.
ANNEX 1
Species
Origin
Area invaded
Impact
North American
Eastern
Black, Azov and
Reproduces rapidly (self fertilising hermaphrodite) under
Comb Jelly
Seaboard
Caspian Seas
favourable conditions. Feeds excessively on zooplankton.
Mnemiopsis leidyi
of the
Depletes zooplankton stocks; altering food web and
Americas
ecosystem function. Contributed significantly to collapse
of Black and Asov Sea fisheries in 1990s, with massive
economic and social impact. Now threatens similar
impact in Caspian Sea.
North Pacific
Northern
Southern
Reproduces in large numbers, reaching `plague'
Seastar
Pacific
Australia
proportions rapidly in invaded environments. Feeds on
Asterias amurensis
shellfish, including commercially valuable scallop, oyster
and clam species.
Round Goby
Black,
Baltic Sea and
Highly adaptable and invasive. Increases in numbers and
Neogobius
Asov and North America
spreads quickly. Competes for food and habitat with
melanostomus
Caspian
native fishes including commercially important species,
Seas
and preys on their eggs and young. Spawns multiple
times per season and survives in poor water quality
Toxic Algae
Various
Several species
May form Harmful Algae Blooms. Depending on the
(Red/Brown/Green
species
have been
species, can cause massive kills of marine life through
Tides)
with
transferred to
oxygen depletion, release of toxins and/or mucus. Can
Various species
broad
new areas in
foul beaches and impact on tourism and recreation. Some
ranges
ships' ballast
species may contaminate filter-feeding shellfish and
water
cause fisheries to be closed. Consumption of
contaminated shellfish by humans may cause severe
illness and death.
Zebra Mussel
Eastern
Western and
Fouls all available hard surfaces in mass numbers.
Dreissena
Europe
northern Europe,
Displaces native aquatic life. Alters habitat, ecosystem
polymorpha
(Black
including Ireland
and food web. Causes severe fouling problems on
Sea)
and Baltic Sea;
infrastructure and vessels. Blocks water intake pipes,
eastern half of
sluices and irrigation ditches. Economic costs to USA
North America
alone of around US$750 million to $1 billion between
1989 and 2000.
Note: There are hundreds of cases of harmful aquatic bio-invasions, the above are provided simply as
examples only. It is believed that an invasion takes place every two weeks somewhere on our planet.
ANNEX 2
Synopsis of Ballast Water Convention Main Elements
Convention
·
Preamble connects the Convention to the UNCLOS and UNEP/WHO biosecurity
concepts as well as to UNCED Agenda 21 and WSSD provisions on sustainable
development.
·
Article 1 definitions of usual IMO Convention terms.
·
Article 2 general obligations including the need for enhanced ballast water
management and standards as well as for co-operation in the high seas.
·
Article 3 to 7 area of application and specific obligations of the Contracting
Parties. Need for scientific and technical research and monitoring emphasized in
Article 6.
·
Article 8 to 12 compliance monitoring and enforcement, notification and
responsibilities of IMO and the Contracting Parties.
·
Article 13 regional co-operation with special emphasis on enclosed and semi-
enclosed seas.
·
Article 14 communication of information.
·
Article 15 to 22 procedural articles regarding the administration of the Convention
(e.g. signature, entry into force, amendments, denunciation, etc.).
Annex
·
Section A general provisions regarding the regulations for the control and
management of ships' ballast water and sediments (e.g. definitions, applicability,
exceptions, etc.).
·
Section B specific provisions for ballast water management and control
requirements including the Ballast Water Management Plan and Record Book, the
phase-in calendar, ballast water exchange requirements, sediments management and
duties of officers and crew. The need for adequate training to familiarize seafarers
with their duties is emphasized in Regulation B-5.
·
Section C additional measures applicable in certain areas.
·
Section D standards and systems for ballast water management, existing equipment
and provisions for periodic reviews.
·
Section E survey and certification including procedures to issue certificates, their
duration and validity.
1
ANNEX 3
National and Regional Level Activities in USA and Europe to Address Ballast Water
Transfer of Invasive Species
The European Union has long recognised the need for regional approach to IAS prevention
and began to develop technical references in the late 80's. The size, number of countries and
borders and its free trade arrangements make it essential for EU consistency and avoid
unilateral national efforts being undermined by their neighbours inaction. Since 1989, the
Bern Convention has initiated a range of relevant actions. These include the adoption of
recommendations on general IAS issues and specific problems, production of technical
reports, organization of workshops and establishment of an IAS experts' group in
collaboration with the European Section of the IUCN Invasive Species Specialist Group. In
year 2000 this group began work on developing elements for a draft European Strategy on
IAS, which is currently in its final stage.
Under the auspices of OSPAR Convention for the Protection of the Marine Environment of
the North-East Atlantic, the Nordic countries of Europe have initiated the development of a
common strategy to address the threat posed by IAS in ships' ballast water in the North Sea.
In Section IV of the Bergen Declaration in March 2002 the Ministers of the North Sea
countries agree, inter alia, to take coordinated action within IMO to establish adequate
mitigation and control measures for their region under the framework of the IMO Convention
and to support OSPAR work on regional matters regarding ballast water. It is important to
note that the current work for the development of relevant guidelines for the implementation
of the Ballast Water Management Convention is coordinated by four OSPAR countries (i.e.
Germany, Norway, the Netherlands and the UK).
Under the auspices of the Helsinki Commission, which had its last meeting in March 2004,
the Baltic countries agreed to urge the Contracting Parties to ratify the Ballast Water
Management Convention as soon as possible, to task the HELCOM Maritime Working
Group to develop a Regional Ballast Water Action Plan and to ask the HELCOM Secretariat
to cooperate with GloBallast/IMO in the development of a new proposal for the continuation
of the GloBallast activities during the next five years.
A number of European countries are currently involved in the development of new
technologies for ships' ballast water treatment including filtration, de-oxygenation, UV and
hydrocyclonic treatment or technologies based on biocides.
In US mandatory and voluntary ballast water management regimes exist for the Great Lakes
and the rest of the national territory, respectively. The National Ballast Information
Clearinghouse (NBIC), established by congressional direction, continues to collect the ballast
water management (BWM) reports required to be submitted by vessels entering U.S. waters
after operation outside of the EEZ. Efforts are underway to maximize vessels' use of
internet-based means of submitting BWM reports. On the basis of the first biennial report of
ANNEX 3
the NBIC, the Secretary of Transportation determined that compliance with the reporting
requirement was insufficient to allow a determination of compliance with the voluntary
guidelines, and directed that the program be made mandatory. The Coast Guard has
subsequently initiated a series of rulemakings that will implement penalty provisions for non-
reporting, make the voluntary guidelines mandatory, and establish ballast water discharge
standards. To support the development and implementation of this regulatory program, the
Coast Guard has initiated a suite of Research and Development projects. These projects
include efforts to develop protocols for evaluating the effectiveness of treatment
technologies, analytical methods for verifying ballast water exchange (BWE), and
management practices that could be used to address the vessels, which cannot conduct BWE
due to safety constraints. The Coast Guard is developing a program to provide an incentive
for ship owners to participate in the Program, ships operating an accepted experimental
system would be considered to conditionally meet regulatory requirements for ballast water
management for a specific period of time.
ANNEX 4
Regional Strategic Action Plans
(Developed/Adopted during GloBallast Pilot Phase)
BLACK SEA
Regional Action Plan to minimize the transfer of harmful aquatic organisms and pathogens
in ships' ballast water
1
Introduction and Background
The introduction of invasive marine species into new environments by ships' ballast water, attached to
ships' hulls and via other vectors, has been identified by the Global Environment Facility (GEF) as one of
the greatest threats to the World ' s oceans. The others are land-based sources of marine pollution,
overexploitation of living marine resources and alteration and destruction of marine habitat.
In response to this threat, the International Maritime Organization (IMO) has taken a number of
initiatives. As a specialized United Nations agency responsible for the international regulation of ship
safety and the prevention of ship-sourced marine pollution, IMO is the most appropriate forum through
which to address this issue. The member states of IMO have developed voluntary guidelines for the
control and management of ships' ballast water, to minimize the transfer of harmful aquatic organisms
and pathogens. These guidelines were adopted by the IMO Assembly in 1997, by Resolution A.868(20).
They replace earlier, less comprehensive voluntary guidelines adopted in 1991. Management and control
options recommended by the guidelines include:
·
Minimizing the uptake of organisms during ballasting, by avoiding areas in ports where
outbreaks or populations of harmful organisms are known to occur, in shallow water and in
darkness, when bottom-dwelling organisms may rise in the water column.
·
Cleaning ballast tanks and removing muds and sediments that accumulate in these tanks on a
regular basis, which may harbour harmful organisms.
·
Avoiding unnecessary discharge of ballast water.
·
Undertaking ballast water management procedures, including:
o
Exchanging ballast water at sea before arrival in port, replacing it with 'clean' open
ocean water. Any marine species taken on at the source port are less likely to survive
in the open ocean, where environmental conditions are different from coastal and port
waters.
o
Non-release or minimal release of ballast water.
o
Discharge to reception facilities.
o
Other technical and technological methods of ballast water treatment.
The guidelines also provide for recording and reporting procedures and a particularly useful model for a
'Ballast Water Reporting Form' is given as Appendix 1 to the guidelines.
The shipping industry has also been very active in helping to address the problem of invasive marine
species. In particular, the International Chamber of Shipping (ICS) and the International Association of
Independent Tanker Owners (INTERTANKO) have published a Model Ballast Water Management Plan.
This give practical guidance for the implementation of the IMO voluntary guidelines on board ships.
1
ANNEX 4
All of these approaches are subject to limitations. Reballasting at sea currently provides the best-
available risk minimization measure, but is dependent on serious ship-safety limitations. Even fully
implemented, reballasting or ballast exchange at sea may not be 100% effective.
Significant research and development efforts are therefore underway by a number of scientific and
engineering research establishments around the world, aimed at developing a more complete solution to
this problem. Options that are being considered include filtration and sterilization using ozone, ultra-
violet light, heat treatment and chemicals.
In recognition of the limitation of the current IMO voluntary guidelines, and the serious threats still posed
by invasive marine species, IMO members have agreed to develop a mandatory international legal regime
to regulate and control ballast water. The IMO's Marine Environment Protection Committee (MEPC) and
its Ballast Water Working Group, are well advanced with developing this regime and it is hoped that the
new instrument will be agreed by member countries in 2003.
In addition to these measures, to assist less industrialized countries to tackle the invasive species and
pathogens problem IMO, together with the GEF International Waters (IW) portfolio and the United
Nations Development Programme (UNDP) in March 2000 launched a project commonly referred to as the
Global Ballast Water Management Programme or GloBallast.
2
Objectives
The Objectives of this Regional Action Plan are:
·
to provide a framework for the activities that need to be developed and implemented within
the Black Sea Region in order to minimize the transfer of harmful aquatic organisms in
ships' ballast water, in accordance with the IMO recommendations and GloBallast
Programme;
·
to facilitate the preparatory process within the Black Sea Region for the introduction new
international regulations and practices on ballast water management and control; and
·
to enhance the regional cooperation in protection of the marine environment using the
existing regional bodies, established under the Istanbul Commission and the GEF Black Sea
Environmental Programme.
3
Environmental conditions of the Black Sea Region.
The Black Sea region is a semi-enclosed sea area surrounded by the coasts of Bulgaria, Georgia,
Romania, the Russian Federation, Turkey and the Ukraine.
The condition of the Black Sea environment to be the subject of serious concern due to the ongoing
degradation of its ecosystem and misallocation of its natural resources. The conclusions of the Black Sea
Trans-boundary Diagnostic Analysis (TDA), prepared during the first phase of Global Environmental
Facility (GEF) Black Sea Environmental Programme (BSEP) in 1996, might be summarized as follows:
·
The Black Sea ecosystem is still under threat from the introduction of the different kinds of
pollutants mainly of organic/biogenic in nature, not only from land run-off but especially
from rivers;
·
Most of the Black Sea is now affected by the over-introduction of nutrients;
·
The Black Sea ecosystem is still under threat from the introduction of other hazardous
ANNEX 4
pollutants, especially oil. Oil is entering the environment as a result of accidental and
operational discharges from ships as well as from land-based sources;
·
Exotic marine species and pathogens already introduced via ships' ballast water are causing
substantial damage to the Black Sea ecosystem and are poised to similarly affect those of the
neighbouring Mediterranean and Caspian Seas; and
·
Despite statements predicting that process of degradation of the Black Sea is irreversible,
ecological monitoring during recent years has shown a significant improvement in the
condition of some ecosystem components. This tendency should be maintained and
strengthened.
The scope and gravity of the degradation processes in ecology of the Black Sea have overstepped the
boundaries of waters under national jurisdiction and has become common problem for the countries of the
region. All regional states are parties to the MARPOL 73/78 Convention and their ships comply with the
basic requirements of the Convention. Each country has appropriate legislation in place to regulate the
discharge of harmful substances from ships, taking into account the fact that under ? ? RP? L 73/78 the
Black Sea has `special area' status.
4. Existing Regional Instruments
The basic international instrument, which outlines the framework of joint regional principles, is the
Convention on protection of the Black Sea from pollution signed by the countries of the Black Sea basin
in 1992 (the Bucharest Convention). The main aim of the Convention is the creation of favourable
conditions for joint actions to protect the Black Sea environment and living resources, whilst taking
economic and social implications into account. The Convention defines priority measures on marine
pollution prevention as a result of human impact, the future reduction of such impacts and the control of
its consequences, as well as determining the criteria for cooperation in emergency situations.
The Ministerial Declaration on Protection of the Black Sea (Odessa, 1993) established the political
framework for the implementation of the Convention. It is based on the philosophy behind the Rio
Declaration (1992) and calls for immediate, balanced and continuous actions at all levels towards the
protection and rehabilitation of the Black Sea marine environment, as well as its sustainable development.
The Odessa Declaration provides an outline for actions towards the conservation and protection of the
Black Sea and became a basis for the International Program of Environment Management and Protection
of the Black Sea - Black Sea Environmental Program (BSEP, 1993-1996). However, the implementation
of the Convention and BSEP has been constrained by the adverse economic climate currently prevailing
in the region.
The overall objective of BSEP is to coordinate the efforts of the Black Sea countries towards
implementing the Bucharest Convention. Whilst the Program was initially financed by GEF with support
from UNDP and PHARE, in 1998 responsibility for the financing of the Program's activities passed to the
coastal states.
The first phase of implementation of the Program was finalized in 1996 with the signing of the Strategic
Action Plan for the Rehabilitation and Protection of the Black Sea (Black Sea Strategic Action Plan / BS
SAP). The underlining tenet of the BS SAP includes the principle of prevention complemented by
sustainable development. The most significant political actions by BS SAP are aimed at the reduction of
pollution levels, the management of living resources and sustainable social development. Under SAP, the
regional environmental quality criteria are being developed, the coordination of the national programmes
for minimization of the dumping of dangerous substances and biogens is being carried out, the
Harmonized Monitoring System of the sea is being introduced and environmental assessment criteria are
ANNEX 4
being reviewed.
According to the BS SAP a regional structure of consulting bodies was established, called Advisory
Groups. One of the advisory groups is "Advisory Group on the Environmental Safety Aspects of
Shipping" (AG ESAS), which is dealing, on behalf of the Black Sea Commission, with coordination of
the regional aspects of pollution caused by shipping
One of SAP's most significant political actions is aimed at reducing the level of pollution in the Black
Sea and is linked to the prevention of marine environment pollution from shipping and stated the
following:
41.
Black Sea countries will present a joint proposal to the IMO, in 1997, for conducting an in-
depth study on measures to avoid any further introductions of exotic species into the Black Sea
through the deballasting of vessels. Given the danger of such species migrating to other seas
in the region, the coastal states of the Caspian and Mediterranean seas will be consulted*.
Certain specific activities to raise public awareness in the Black and Caspian Sea countries of the problem
associated with the introduction of harmful aquatic organisms and pathogens into new locations should be
noted:
·
The International Scientific Workshop for the Black and Caspian Seas Region Countries on
Problems of Ship's Ballast Water Management and Control was held from 14-17 September
1999 on board the scientific vessel "Georgiy Ushakov"; and
·
The International Workshop of the Caspian Environment Programme on the Invasion of the
Caspian Sea by the Comb Jelly Mnemiopsis Leidyi - Problems, Perspectives, Needs for
Action was held in April 2001 in Baku.
5. Principal Actions
5.1 Public Awareness
To increase the level of public awareness: dissemination using the mass media, information and
publications on the problem of invasive marine species and pathogens via the transfer of ballast water and
how it has been managed at global and regional/national levels.
GloBallast Programme materials and IMO MEPC Ballast Water Working Group documents will be used
for this exercise. The experiences of other countries and regions will also be taken into account.
5.2 Information Clearing House
The establishment of a clearing house mechanism for exchanging uniform information on changes in the
species content of marine flora and fauna and information about the prevention and control measures
taken by Black Sea countries and worldwide is necessary.
In connection with the establishment of a GloBallast Demonstration Site in Odessa, Ukraine (Odessa
GloBallast DS), and the gradual development and broadening of its activities, it is planned to set up a
National Information Center (NIC) in the framework of the Programme. The information contained in its
databases will be available to Ukraine and Black Sea countries.
Once the NIC will become operational it will inform the Istanbul Commission through Advisory Group
ESAS on possible sources of unwanted species, respective measures for prevention and control
* This action has not been implemented yet.
ANNEX 4
undertaken and planned in the region as well as the worldwide experience and trends on this matter.
5.3 Regional Risk Assessment
Before a country decides on whether to adopt the `blanket' (i.e. all vessels) approach or to target specific,
identified high risk vessels only, a general, first-past risk assessment needs to be carried out. This should
look at shipping arrival patterns and identify the source ports from whic h ballast water is imported. Once
these are identified, source port/discharge port environmental comparisons should be carried out to give a
preliminary indication of overall risk. This will greatly assist the port state to assess which approach to
take.
An initial, 'first-past' regional risk assessment needs to be carried out for the Black Sea. This is important
for establishing the level and types of risks of introductions that each port faces, as well as the most
sensitive resources and values that might be threatened. These will differ from site to site, and will
determine the types of management responses that are required
5.4 Regional Monitoring
The uniform regional monitoring system for the species profile in its ports should be developed and
implemented. The system will be based on the Port Baseline Survey System undertaken by the GloBallast
Programme in the port of Odessa.
It is suggested that a gradual introduction of monitoring procedures of marine flora and fauna should be
put into practice in the region's ports. These procedures will reflect those established by the GloBallast
Programme.
5.5 Research and Development
The search for optimal solutions, the undertaking of joint scientific research and practical assessment of
technical and technological methods of ballast water treatment (BWT) both on board and in land-based
waste disposal facilities as well as participation in the development of international BWT standards
should be undertaken.
It is planned to produce a regional Research and Development (R&D) Directory, hold a regional R&D
Workshop for scientists and researches to assess proposals submitted against future IMO Ballast Water
Treatment Standards, or against adjusted provisional criteria, should the IMO standards not be available.
It is essential that all the countries of the region actively support the outcome of the Workshop: the agreed
optimal solutions, the practical measures for finalization, testing and their introduction into practice.
5.6 Rules and Regulations
The unification and introduction of rules and regulations for the ports and ships routings of the region to
regulate ballast water management and control procedures is necessary.
It is suggested that a Working/Correspondence Group be established, which will be charged with the
review of national regulations and practices in order to align these with IMO Resolution A.868(20) and
certain provisions of new IMO Instruments, and to recommend a uniform regime for ballast water
management and control procedures for Black Sea region.
5.7 Training
The establishment of a regional system for training those personnel (at all levels) involved in risk
assessment, ballast water control, marine monitoring in ports and on board ballast water management.
ANNEX 4
It is proposed that a Training Centre (TC) based on the Odessa GloBallast DS is set up, for seafarers, port
officers and organizations responsible for monitoring. This TC will promote the dissemination of these
training programmes to other countries in the region, and assist in establishing national training
centres/facilities.
5.8 National Action Plans (NAP)
The Black Sea countries will develop their NAPs that will support, and generally follow, the Regional
SAPactivities.
5.9 Cooperation with the Istanbul Commission
It is necessary to provide cooperation with the Istanbul Commission on all issues regarding the protection
of the Black Sea marine environment from pollution from ships, including the prevention of biological
and epidemiological pollution, the detection of such pollution, the development and implementation of
regional activities towards the minimization of its harmful impact.
It is recommended that Odessa GloBallast DS and the RTF should apply for the observant status with the
Istanbul Commission.
6. Arrangements for future cooperation.
In order to implement the SAP it is essential that the regional mechanism for cooperation among the
Black Sea countries on ballast water problems is established and maintained. This may include but not be
limited to the following:
·
designate appropriate persons and responsible national institutions from each of the Black
Sea countries, responsible for cooperation and implementation of SAP activities;
·
use relevant mechanisms of international and regional organizations (IMO, Istanbul
Commission, Danube Commission, etc) and
·
establish a consultative group or Regional Task Force (RTF) for ballast water management
and control. The consultative group members will include also the National Focal Points.
It is recommended that the RTF should cooperate closely with the Advisory Group (AG) on Environment
Safety Aspects of Shipping and thus will enhance the capacity of the Istanbul Commission regarding
ballast water management issues. The Istanbul Commission will coordinate the work of this group.
It is recommended that annual reports on the progress made in implementing the SAP shall be provided to
the Istanbul Commission. The report should also contain recommendations for enhancing implementation
of and amendments to this Plan, taking into account ongoing IMO activities and recommendations. The
Commission should consider the report and agree on any enhancements and/or amendments that may be
necessary for the optimal implementation of the Plan.
Country Focal Points (CFP) of Black Sea countries will meet at least every year in order to evaluate the
progress made in implementing the SAP and shall propose any additional measures that they consider
may be required to attain its overall aims. The Information Centres (IC's) AG ESAS to include the issues
on ballast water management and control in the permanent agenda for its annual meetings.
It is recommended that the shipping industry (including ports of the region) is fully involved in SAP
activities.
ANNEX 4
7. Regional SAP Financing
Funding for the implementation of Regional SAP may be secured from national, regional and/or
international resources. General public funding or the application of specific economic mechanisms as
well as utilizing grants and loans should be explored.
It is recommended that Donor Conferences to assist this regional process will be held every five years,
starting in 2003.
The Istanbul Commission may consider and decide whether the joint regional activities may be funded
from the Black Sea Environment Fund.
ANNEX 5
Institutional Framework and Specific Commitments on Ballast Water Related Issues
in the Six Pilot Countries
(NB: It is beyond the scope of this Concept Paper to provide details on the institutional framework in all
the potential beneficiary countries (global). However, the six initial Pilot Countries provide a globally
representative indication from six extremely diverse regions, as described below)
Brazil has been active in ensuring marine (and other) environmental protection and is party to the CBD,
UNCLOS and MARPOL 73/78 (Annex I, II) and has enacted national legislation implementing most
obligations. It is actively developing a modern ecological protection regime modelled on integrated
management principles.
Brazil has been developing its integrated coastal management practices at a national level since
1988, when a law was adopted creating the National Coastal Management Plan as part of the
National Policy on Sea Resources and the National Environmental Policy. It also created a
National Council for the Environment. There is also an inter-agency coordination process under
the Office of the Inter-Ministerial Commission for the Resources of the Sea. Many of the
activities of this Commission are concerned with ensuring a coordinated legislative and
administrative response to matters affecting the coastal area, including integrated management of
ocean resources and activities.
The national Environment Ministry is responsible for facilitating the process of integrated coastal
and marine management, a mandate that includes concerns about marine biodiversity and the
impact of harmful aquatic organisms that are transported in ships' ballast water.
A number of government agencies may be involved in the response to the problem of harmful
aquatic organisms and pathogens. The Ministry of Health, the Ministry of the Environment and
the Brazilian Navy were identified as the agencies with the primary legal responsibility for
developing an effective national regime to deal with the flag State, port State and coastal State
concerns associated with the problem. The Ministry of Health passed regulations relating to
ballast water management in 2001, the Ministry of Environment made a substantial budget
allocation from national sources for the issue in 2001/02, and as a result of the GloBallast Pilot
Phase, Brazil is proceeding with the replication of certain technical ballast water management
activities at major ports, using its own resources.
China is in a period of significant law reform including adoption of integrated management
approaches to environmental protection. Environmental protection is one of its two Basic
Policies (the other is Population Control). The Constitution of China states " the State protects
and improves the living environment, controls and prevents pollution and other things which
cause harms to public." As an IMO Member State and Category A Council Member, China is
party to most IMO legal instruments relating to maritime safety and marine environment
protection. China is also party to UNCLOS and the CBD. The China Maritime Safety
Administration (MSA) is a member Authority of the MOU on Port State Control in Asia-Pacific
Region.
GloBallast Partnerships GEF Concept for Pipeline Entry
ANNEX 5
China has a unified constitutional system with various levels of implementing authority. The
constitutional and legal framework of the People's Republic of China comprises the constitution,
laws, administrative regulations, local and ministerial regulations or provisions, which are
promulgated or amended by the National People's Congress or its Standing Committee, the State
Council, the Ministries and Departments under the State Council, and the Provincial or
Municipal People's Congress and the Government respectively. The legislative framework of
China consists of three levels: laws promulgated by the National People's Congress or its
Standing Committee; regulations promulgated by the State Council, and; regulations or
provisions promulgated by the Ministries and Provincial People's Congress or local government.
In order to implement the relevant laws, the State Council issues regulations or rules, which
provide for more detailed and specific requirements. This means that various levels of
government and administrations are often involved in implementing national legislation, to
varying degrees of specificity.
Several governmental organisations are involved in marine environmental protection with
national laws and regulations defining their responsibilities and authority. There are numerous
national environmental laws that may be relevant to the transfer of harmful organisms and
pathogens in ships' ballast water including: The Law of Protection of Environment of the
People's Republic of China; The Law for Protection of Marine Environment of the People's
Republic of China; The Frontier Quarantine Law of the People's Republic of China; The Law for
Prevention of Pollution to Water; The Fishery Law; The Law for Prevention of Pollution by
Solid Wastes. There is also a draft Law on the Management and Use of the Sea, which sets in
place a licensing system for uses of the sea except anchorage and ports. Some of these
instruments, like the Law for Marine Environment Protection, are general and some are
specifically related to one or two issues.
At present there is no detailed environmental law, regulation or standard dealing specifically
with ballast water management to prevent the transfer of harmful aquatic organisms, although it
is addressed in part under the legal regime dealing with health matters (the Frontier Quarantine
Law) and is referred to in the recently amended Law for Marine Environment Protection. The
national law most relevant to this issue is the Law for Marine Environment Protection, which has
regulations dealing with ballast and bilge water discharge in connection with oil pollution. The
Law sets out general principles and prohibits, inter alia, discharge of ballast water in waters
under the jurisdiction of China contrary to regulations and requires that ships report to and obtain
permission from the Administration before undertaking activities such as discharging ballast
water. Although it does not refer to harmful aquatic organisms the wording is broad enough to
provide the basic legal foundation for regulating ballast water discharge. Several Government
Agencies have responsibilities and may be involved in ballast water management and control on
a cooperative basis, however, the Maritime Safety Administration and the State Administration
of Inspection and Quarantine appear to be the best equipped to address the issue.
As a result of the GloBallast Pilot Phase, China is proceeding with the replication of technical
ballast water management activities at major ports, using its own resources. The Chinese
government is currently planning a 15-year project for the protection of the marine environment
known as "Blue Sea". GloBallast is associated with the nationwide effort and will provide
GloBallast Partnerships GEF Concept for Pipeline Entry
ANNEX 5
information on its activities regarding risk assessment, port surveys and compliance, monitoring
and enforcement.
India is a federation with a constitution that divides power between the Union (central
government) and the States. The subjects on which the Union and the States are competent to
legislate are clearly set out in the Schedule of the Constitution. The Union Government controls,
inter alia, shipping and navigation, port quarantine, fisheries beyond territorial waters and ports,
designated as Major Ports. Article 48A of the Constitution also mandates Parliament (Union) to
take suitable measures to protect the environment. Ports, other than Major Ports, are the subject
of concurrent jurisdiction by virtue of which both the Union and the States can legislate. In the
event of inconsistency the law made by Parliament (Union) prevails.
The Union Government has exclusive authority to enter into treaties and agreements with foreign
countries. Parliament has the power to make laws to implement treaties. In order to have force of
law domestically any international convention ratified by India has to be specifically
incorporated in domestic legislation. However, there is a generally recognized principle that, in
the event of doubt, the national law is to be interpreted in accordance with the country's
international obligations. India is party to MARPOL 73/78 (Annex I, II), STCW, UNCLOS and
the Convention on Biological Diversity.
The Union Government has laid down broad parameters regulating various activities in the
coastal zone. Indian States that have coasts have an obligation to prepare a Coastal Management
Plan for approval by the Ministry of Environment and Forests. There are also Union and in
several cases State legislation relating to fisheries protection.
The quarantine laws are administered by the Ministry of Health pursuant to the Indian Ports Act,
1908 and The Indian Port Health Rules, 1955. The Indian Port Health Rules are applicable to all
ports. However, these are focused on human health and diseases.
The Coast Guard, appointed under the Coast Guard Act, 1978, is mandated to take measures to
preserve and protect the marine environment, to prevent and control marine pollution and to
enforce the laws that apply to India's maritime zones. The Coast Guard works under the
supervision of the Director-General of Coast Guards. The Ministry of Surface Transport has
overall responsibility for all legislation relating to surface transport, i.e., Indian Ports Act, 1908,
Major Port Trusts Act, 1963 and Merchant Shipping Act, 1958. The Director-General of
Shipping is part of this Ministry and is the authority responsible for implementing the various
provisions contained in the Merchant Shipping Act, 1958.
To date there is no comprehensive legislation governing the discharge and management of
ballast water as it relates to the transfer of harmful aquatic organisms and pathogens by ships.
The Merchant Shipping Act, 1958 applies to all Indian ships wherever they are and to all foreign
flag vessels when they are within territorial waters, continental shelf, exclusive economic zone
and other Indian maritime zones. If regulations are made under the Merchant Shipping Act,
1958, the Director-General of Shipping, the Principal Officer, Mercantile Marine Department
and the Surveyors are the authorities to enforce and/or implement all issues concerning ballast
water exchange. There is a draft amendment to the Merchant Shipping Act, 1958 now with the
GloBallast Partnerships GEF Concept for Pipeline Entry
ANNEX 5
Ministry of Surface Transport, that combines the regulations contained in other annexes to
MARPOL 73/78 and also, possibly, regulations relating to ballast water management. However,
the amendments relating to ballast water management assume that the international Convention
on ballast water will be ratified by India and come into force. This means the legislation would,
in principle, become enforceable so far as the ballast water management is concerned, only if
there is an international Convention.
As a result of the GloBallast Pilot Phase, India is proceeding with the replication of technical
ballast water management activities at major ports in India, using its own resources.
Iran has a unified constitutional structure. Legislative power is exercised by the Islamic
Consultative Assembly (Parliament), consisting of representatives of the people. Approvals from
this body are ratified by the Guardian Council and implemented through the Executive and the
Judiciary. Parliament is not allowed to enact laws contrary to the principle and rules of the
official faith of the country or the Constitution. Aside from these restrictions the Islamic
Consultative Assembly may enact laws on all matters. The Council of Ministers is authorized to
pass by-laws and decrees for the purpose of carrying out administrative functions, ensuring
implementation of adopted laws, and regulating administrative institutions. Individual Ministers
may also draw up regulations and issue circulars within the limits of their duties and the approval
of the Council of Ministers.
International conventions, protocols, treaties, and pacts must be formally approved by
Parliament. The President is authorised to sign treaties, conventions, agreements and contracts
concluded by the government of Iran after ratification by Parliament. Under the Iranian Civil
Code, international treaties and conventions enter into force as a national law, after approval by
Parliament. Iran has acceded to a number of regional and international conventions regarding
environmental or marine environmental protection, including MARPOL 73/78, the Kuwait
Convention (a regional seas agreement among the coastal States of the Persian Gulf and the Sea
of Oman) and the CBD. Iran has developed a National Biodiversity Strategy and Action Plan
(NBSAP), based on integrated management principles, and a supporting Secretariat to implement
the provisions of the CBD. The country is also a member of the Caspian Environment
Programme, and hosts its PCU and Thematic Centre on Pollution Emergencies and Response.
There are a number of domestic rules and regulations regarding environmental pollution, which
the Department of the Environment (DOE) is responsible for, that might relate to harmful aquatic
organisms.
The Ports and Shipping Organization (PSO), which is affiliated with the Ministry of Roads and
Transportation, is the Authority that supervises shipping activities in Iranian waters. It is vested
with responsibility for preventing marine pollution, particularly pollution from ships. Although
there is no coastal zone law, there has been an effort to undertake Integrated Coastal Zone
Management (ICZM). A department within the PSO is responsible for coordinating coastal zone
planning.
As a result of the GloBallast Pilot Phase, Iran is proceeding with the replication of technical
ballast water management activities at some of its other major ports using its own resources.
GloBallast Partnerships GEF Concept for Pipeline Entry
ANNEX 5
South Africa is a quasi-federal state in which administration takes place at national, provincial
and local levels of government. The basis of the South African legal system is Roman Dutch
common law, as elaborated by the Constitution of the Republic of South Africa, which also
includes a Bill of Rights. Together with international law (including a number of environmental
and marine related conventions) and innumerable statutes, they comprise the country's legal
system.
Customary international law is automatically law in South Africa (unless it is inconsistent with
the Constitution or an Act of Parliament) however, under the Constitution, international
agreements become law only when they are enacted by national legislation. Conventions of a
"technical, administrative or executive nature, or an agreement that does not require either
ratification or accession" are binding without requiring the approval of the National Assembly
and National Council of Provinces, as long as they are tabled in Assembly and the Council
`within a reasonable time'. South Africa is party to UNCLOS, the CBD and MARPOL73/78.
The regulation of international and national shipping and related matters are specifically
excluded from local competence and since it is not the subject of concurrent powers is
exclusively within the domain of national government, and regulated by the Department of
Transport (DoT). Historically the DoT was charged with all aspects of maritime transport
including domestic implementation of international maritime conventions but in 1998 the
implementation of these was assigned to the South African Maritime Safety Authority
(SAMSA), a statutory authority established under the South African Maritime Safety Authority
Act (1998). The DoT still retains law-making power in this area but has assigned the
implementation of the various laws, especially marine pollution, to SAMSA. SAMSA is
primarily concerned with implementing the IMO mission of `safe clean seas'. It administers and
implements most of the shipping related marine pollution control laws, including the Marine
Pollution (Prevention of Pollution from Ships) Act (1986), the Marine Pollution (Control and
Civil Liability) Act (1981), the Merchant Shipping Act (1951) and the Marine Traffic Act
(1981).
The national Department of Environmental Affairs and Tourism (DEA&T) and its Directorate of
Aquatic and Marine Pollution Control is responsible for coastal and marine water quality as well
as the regulation and control of the introduction and elimination of alien organisms throughout
South Africa including its marine waters. The DEA&T is responsible for a number of existing
and forthcoming laws which could be used to regulate ballast water management, including: the
National Environmental Management Act (1998); Environment Conservation Act (1989)
(provides the legislative basis for environmental impact assessment in South Africa); Marine
Living Resources Act 18 of 1998 (provides for the establishment of fishing harbours and their
administration); National Coastal Management Bill (Act pending) which provides for Integrated
Coastal Management in South Africa and includes a chapter on marine pollution; and the
National Biodiversity Bill (Act pending) which will give domestic effect to South Africa's
international rights and obligations under the CBD. It will include sections on the control and
elimination of alien organisms and could also be a possible vehicle for the implementation of
ballast water regulations into South African law and provides for a National Biodiversity
Institute for South Africa.
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ANNEX 5
As a result of the GloBallast Pilot Phase, South Africa is proceeding with the replication of
technical ballast water management activities at major ports, using its own resources.
Ukraine has a unified constitutional structure based on its 1996 Constitution which established
individual rights, a constitutional basis for democracy and sets out the structure and status of the
legislative, executive and judicial bodies in the Ukraine.
Legislative power in Ukraine is exclusive to the national Parliament - the Verkhovna Rada, a
one-chamber parliament, which consists of 450 National Deputies who exercise their authority
on a permanent basis. The Verkhovna Rada has competence over more than 40 matters including
key adopting legislation and exercising control over the government of Ukraine. The
Constitution contains a list of issues that are determined exclusively by laws of the Ukraine,
including economic matters, health care, ecological safety etc. The President of the Ukraine, the
National Deputies, the Cabinet of Ministers and the National Bank of the Ukraine have the right
to initiate legislation.
International law has a special place in the Ukraine, which has a long history of involvement in
international lawmaking. The 1990 Declaration on the Sovereignty of Ukraine states that the
Ukraine recognizes the priority of generally recognised norms of international law over norms of
national law. Ukraine is party to numerous conventions including UNCLOS, the CBD and
MARPOL 73/78. Although these broader international obligations are important, a core issue for
ensuring an effective domestic response to marine environmental protection arises as a result of
the 1992 Convention on the Protection of the Black Sea Against Pollution, and its protocols. This
regional agreement implements the UNCLOS obligations of States bordering enclosed and semi-
enclosed seas to cooperate with other States of the region in coordinating ocean use management
activities. The Convention is associated with a Commission and a regional strategy, the 1993
Black Sea Environment Program (BSEP), as well as specific measures on the protection and
rehabilitation (restoration) of the environment of the Black Sea, as set out in the Ministerial
Declaration on Protection of the Black Sea, 1993, and the Strategic Action Plan for the
Rehabilitation and Protection of the Black Sea, 1996.
The problem of harmful organisms and pathogens in ships' ballast water is not a local problem
and its solution is connected with the initiatives of both the government of Ukraine as a whole
and its separate ministries, departments and organizations. Because of the specific and complex
nature of the domestic legislative regime the development of a comprehensive response to a
particular issue or even amending existing instruments can entail action by many authorities and
different levels and forms of legal instruments.
Several national and local State administrative bodies were identified as having a potential
interest in ballast water management and control, however, the Ministry of Transport and its
Department of Sea and River Transport appear to have the most direct involvement. Some
remarkable regulatory activities at the administrative level are currently under way in Ukraine.
An Instruction issued by the State Sea and River Transport Department (Order of the Ministry of
Transport No 62 March 11, 2001) lays the ground for the enforcement of IMO's Guidelines for
the control and management of ships' ballast water to minimize the transfer of harmful aquatic
GloBallast Partnerships GEF Concept for Pipeline Entry
ANNEX 5
organisms and pathogens (Resolution A.868(20)). In addition Orders have been issued that
require Harbour Masters of the merchant shipping ports to ensure data collection on ships'
ballast water, in accordance with the standard IMO Guidelines' Ballast Water Reporting Form.
The Harbour Masters are responsible for registering the information and storing it for 10 years.
GloBallast Partnerships GEF Concept for Pipeline Entry