TABLE OF CONTENTS

List of Acronyms 5

Section A. CONTEXT 6

A 1. Setting 6

A 2. Previous Experience/Lessons Learned 7

A.3. Development Objective 10

A 4. Strategy 10

A 5. End of Project Situation/Beneficiaries 13

A 6. Major Actors/Port Descriptions/Administrative Framework/Government Departments 15

A 7. Country Support Capacity 19

Section B. STRATEGY FOR USE OF UNDP RESOURCES 19

B 1. UNDP’s Mandate 19

B 2. Strategy and Approaches for Use of UNDP Resources 20

B 3. Sustainability 23

B 4. Special Consideration 25

Section C. DEVELOPMENT OBJECTIVE/IMMEDIATE OBJECTIVE/

OUTPUTS/ACTIVITIES 25

C 1. Development Objective 25

C 2. Immediate Objectives 25

C 3. Project Components 30

Section D. INPUTS 39

D 1. Government Inputs 39

D 2. GEF/UNDP 39

D 3. UNDP Inputs 39

D 4. IMO Inputs 40

Section E. RISKS/PRIOR OBLIGATIONS 40

E 1. Risks 40

E 2. Prior Obligations and Prerequisites 41

Section F. INSTITUTIONS/FRAMEWORK/COORDINATION/ADMINISTRATION 41

F1. Institutional Framework 41

F 2. Coordination Arrangements 42

Section G. MONITORING/REPORTING/EVALUATION 42

Section H. LEGAL CONTEXT 43

Section I. WORK PLAN 44

Section J. BUDGET & BUDGET NOTES 46

ANNEX I Terms of Reference/Job Descriptions 57-65

ANNEX II Relationship Between IMO Regular Activities and GEF/UNDP/IMO Project 66

ANNEX III Regional Participation Plan 67

ANNEX IV Project Organization Chart 68

ACRONYMS

APR Annual Project Review

APO Associate Program Officer

BDP Bureau of Development Policy (of UNDP)

CPTF Country Project Task Forces

CFP Country Focal Point

CTA Chief Technical Advisor

DSS Decision Support System

EEZ Exclusive Economic Zone

FAO Food and Agriculture Organization (of the UN)

GDP Gross Domestic Product

GEF Global Environment Facility

GPTF Global Project Task Force

IC Incremental Cost as defined by the GEF

ICS International Chamber of Shipping

IMO International Maritime Organization

IUCN World Conservation Union

IW International Waters

LEARN Learning Exchange and Resource Network

MARPOL International Convention for the Prevention of Pollution by Ships

MEPC Marine Environment Protection Committee of IMO

MLW Mean Low Water

NGO Non-Governmental Organization

NPPP National Project Professional Personnel

NRC National Research Council (of US)

PDF-B Project Development Facility of the GEF

PAC Project Appraisal Committee (of UNDP)

PSO Port and Shipping Organization

OP GEF Operational Program

PCU Program Coordination Unit

PIR Project Implementation Review

PPER Project Performance and Evaluation Report

RPTF Regional and Sub-Regional Project Task Forces

SIGGTO Society of International Gas Tankers and Terminal Operators

STAP Scientific and Technical Advisory Panel of the GEF

TOR Terms of Reference

TPR Tri-Partite Review

UNDP United Nations Development Programme

UNESCO United Nations Education, Science and Culture Organization

UV Ultraviolet (radiation)
WHO World Health Organization

WWF World Wildlife Fund

Section A. CONTEXT

A.1 Setting

1. Global shipping moves approximately 80 % of the world’s commodities. As the globalization of the economy continues, larger and faster ships make it possible for nations to keep pace with increasing demand for the rapid transportation of raw and finished products. In effect, technology is making it possible to reduce or eliminate the natural boundaries that have separated and helped maintain the integrity of natural systems for millennia.

2. While the elimination and shrinking of boundaries through technology have yielded enormous economic benefits, and while continued development of larger and faster ships may be indispensable to the growing volume of world trade, there has been a negative, and, until recently, largely unnoticed negative consequence. For as long as ships have transported goods between and among countries, species have been transported, both intentionally and unintentionally, into new environments. While many of these non-indigenous species introductions have been and continue to be innocuous, some have had disastrous economic and environmental consequences. Faster ships mean greater economy in the transport of goods. Unfortunately, faster ships and the consequent reduction in travel time between ports increase the likelihood of the survivability and “successful” introduction of potentially damaging non-indigenous species.

3. For many centuries ships employed solid materials (sand, rock, other terrestrial material) to ballast their ships. From about the 1880’s onward, however, ships increased their use of water for ballast. The change came about due to the increasing problem of vessel instability resulting from the shifting of solid ballast during voyage, and increased reliance on steel-hulled vessels. Most vessels today carry ballast water that may be fresh, brackish or saltwater. Globally, it is estimated that about ten billion tons of ballast water is transferred each year, and that three to four thousand species are carried each day. Water taken on a vessel as ballast may contain algae, mollusks, fishes and plants. The negative consequences of introductions can take the form of negative and quite severe economic effects, disrupted ecosystems, and/or human and animal disease. An example of how a single disruption can result in a combination of economic, ecosystemic and human health consequences is offered by the introduction of toxin producing species such as certain dinoflagellates. Introductions of these dinoflagellates through ship ballast can and have had a negative effect on commercial and subsistence harvest of shellfish, have resulted in consequent negative effects on shellfish populations, and can have severe, even fatal effects on humans and animals.

4. For purposes of the remainder of this project document, ballast is defined as any solid or liquid placed in a ship to increase the draft, to change the trim, regulate the stability, or maintain stress loads within acceptable limits. The terms ballast, ballast water, or ballast water management will include the sediment that accumulates in ballast tanks, which may be, and often is, discharged with ballast water and contains high numbers of diverse, non-indigenous organisms. It will also include chain lockers and other locations where silt is likely to accumulate and where treatment could reduce the likelihood of the transfer of non-indigenous organisms.

5. The first description of an unwanted species introduction was given by Ostenfeld (1908) after a mass occurrence of the Asian phytoplankton algae Odontella (Bdulpphia) sinensis took place in the North Sea. It was not until almost seventy years later, however, before the first shipping studies, including sampling of ships’ ballast water, were conducted. Studies conducted from 1975 to the present day have included reviews of the state of knowledge and level of risk associated with the transplantation of non-indigenous organisms to fisheries and aquaculture, infrastructure costs to remediate severe fouling of intake pipes and other sub-surface infrastructure vulnerable to fouling by introduced organisms, and human health effects. These studies, when taken together, demonstrate that there have been numerous and costly ballast water related introductions of non-indigenous organisms, and that these introductions are likely to increase unless there is a concerted, global effort to stem them. Following is a sample of verified and damaging introductions of non-indigenous species via the ballast water route:

· The introduction of the Eurasian zebra mussel (Dreissena polynorpha) in the North American Great Lakes, resulting in expenses of billions of dollars for pollution control and the treating of fouled underwater structures and waterpipes;

· the introduction of the American comb jelly (Mnemiopsis leidyi) to the Black and Azov Seas, causing the near collapse of the commercially important anchovy and sprat fisheries;

· the introduction of the Japanese brown kelp (Udaria pinnatifida) to Tasmanian waters, having detrimental impacts on the abalone and sea urchin fisheries;

· the appearance of South-East Asian dinoflagellates of the genera Gymnodinium and

Alexandrum to Australian waters, introductions which can cause paralytic shellfish poisoning.

6. In addition to the verified introductions listed above, the introduction of vibro Cholera into Latin American waters, while not demonstrably linked to ballast water discharge, is indicative of the need to take measures to ensure that the spread of pathogenic bacteria and viruses through the ballast water route is minimized.

A.2 Previous Experience/Lessons Learned

7. The severe problems generated by each of these introductions led to specific actions to give ballast water transfer of exotic organisms higher priority and/or resulted in countries taking direct, unilateral actions to protect against future introductions. The United States, in direct response to the disastrous introduction of the zebra mussel into the Great Lakes ecosystem, has taken a legislative approach to stem the number of future introductions. Since 1993, the U.S. has required that the Masters of any vessel entering the Great Lakes choose from among three alternatives to assure that the introduction of unwanted organisms into the lakes will be minimized. These alternatives include an exchange of ballast water at sea beyond the U.S. Exclusive Economic Zone (EEZ), retention of the ballast water on board during the entire voyage, or the exercise of an environmentally acceptable alternative which must receive prior approval from the U.S. Coast Guard.

8. Other countries have also begun to take action. Israel requires that ships visiting the port of Eilat must exchange their ballast water outside the Red Sea, and ships visiting Israel’s Mediterranean ports must exchange their ballast water in the Atlantic Ocean. In the early 1990’s, Argentina began requiring that ships calling at Buenos Aires chlorinate their ballast water. Argentinean officials randomly visit ships calling at Buenos Aires to ensure compliance with the chlorination requirement.

9. Australia was the first country in the world to introduce ballast water management guidelines. It did this in 1990 and the subsequent IMO Guidelines (Resolution A774 of 1993) were based to a substantial extent on these Australian guidelines. Since 1990 Australia has enhanced its initial guidelines and, specifically, has introduced mandatory reporting by all vessels, a ballast water research and development levy, compliance and monitoring arrangements, and a maritime awareness program.

10. At present there is not any single technological “fix” for problems associated with ballast water transfer. Nor is there likely to be a single technological “fix” in the near term. There is at present no system or practice in use today that will totally prevent the introduction of unwanted non-indigenous aquatic species into port or estuarine waters. Further, there is no “off-the-shelf” technologies specifically designed for treating ballast water that are suitable for use on board ship without some vessel redesign and modification. Thus the issue to be addressed in the near term is one of taking actions to minimize the potential for transfer, a need that all observers agree is an urgent priority. Attempts to take such near term actions, and prepare for additional future measures, has become a priority for the IMO, the designated Executing Agency for this project.

11. Most nations agree that the most effective actions to minimize the negative effects of ballast water transfer will come from a coordinated, cooperative global approach rather than the establishment of a patchwork of individual regional and national actions. In response to this need for uniform action, the IMO, in 1993, adopted Assembly Resolution A. 774 (18). The Resolution states, inter alia, that “(T)the discharge of ballast water and sediment has led to unplanned and unwanted introductions of non-native plants, animals and pathogens that are known to have caused injury to public health and property and to the environment.” The Resolution states further that “(T)the unwanted introduction of plants, animals and pathogens through the uncontrolled discharge of ballast water and sediment has important global implications that can be effectively, equitably and responsibly addressed through coordinated and cooperative action.”

12. In 1997, the IMO Assembly adopted Resolution A.868 (20), which supersedes A.774 (18) and contains guidelines intended to limit the movement of organisms by ballast water worldwide. The Guidelines assist ship masters by, among other things, providing information on areas where the uptake of ballast water should be avoided, precautionary procedures that should be employed when taking on ballast water in shallow areas, ballasting with freshwater, discharging ballast water and sediments to on-shore facilities where available, and the exchange of ballast water in open ocean.

13. Due to the direct economic, environmental and human health effects associated with this issue, and since many scientists have concluded that biological science cannot predict with certainty whether a species that is environmentally benign in its native environment will continue to be benign when introduced to a new location, many observers conclude that a precautionary approach should be taken when considering measures to mitigate the potential for damaging exotic organism transfer. Consistent with these conclusions, the IMO has included a precautionary approach as part of its Guidelines.

14. While adherence to the IMO Guidelines would result in significant reduction in the threat posed by uncontrolled ballast water releases, compliance with the voluntary guidelines has not been encouraging. Consequently, the Marine Environment Protection Committee of the IMO is presently drafting a new Annex to the MARPOL or a new Convention, specifically for ballast water that, it is hoped, will be adopted by an IMO Conference in the year 2001 or 2002.

15. Given existing and potential future difficulties posed by the introduction of unwanted species, and the fact that once an exotic organism is established it is virtually impossible to eradicate, the goal of managing ballast water should be one that includes the prevention of the introduction of non-indigenous species including bacteria, viruses, algae, protists, invertebrates and fish. What makes this goal particularly difficult to achieve in addition to the technological difficulties, is the need to satisfy other criteria. These additional criteria include the need to take into account the safety of the ship and its crew; the need to be environmentally acceptable and practicable in application; the need to be compatible with normal ship operations; and the need to be cost-effective. While there is a need to undertake discussions with ship designers about the need for a new generation of ships that will take into account the need for on-board ballast water treatment, an activity that will be undertaken by IMO, there is an immediate need to address the ballast water related concerns deriving from the present generation of ships.

16. Based on the difficulty of meeting all of the criteria mentioned above, the mid-ocean exchange of ballast water is at present the most reliable method of reducing the risk of harmful exotic organism transfers, and is likely to remain the most effective method at least over the short term. Compared with coastal waters, deep ocean waters contain fewer organisms, and many of those organisms that may be taken in with ballast water during open ocean exchange are often not able to survive in the coastal environment, and vice versa. There is ongoing research in several countries aimed at determining the array of treatment options that could elevate the level of certainty that unwanted organisms are not being transferred via ship ballast. The treatment options include, but are not limited to, the mechanical treatment of species in ballast (filtration, separation, sedimentation and flotation, pump velocity); physical treatment of species in ballast water (heat treatment, cooling treatment, radiation, ultrasonics, microwave, rapid pressure changes, electrical treatment, magnetic fields); chemical treatment of species in ballast water (chlorination, metal ions, ozone, hydrogen peroxide, oxygen deprivation, coagulants, pH adjustment, salinity adjustment, anti-fouling paints as ballast tank coating, organic biocides); and biological treatment of species in ballast water via bio-control.

17. There is consensus that unless all regions and countries act together, competition among ports, countries and regions will result in growing acrimony. Worse yet, a patchwork quilt of regulations could result in drift toward adoption of the lowest common-denominator approach to mitigate the growing number of serious economic, environmental and public health effects deriving form uncoordinated ballast water management. In addition, work undertaken during the PDF-B phase of this project (GLO/97/G41) demonstrated clearly that most developing countries are ill prepared to act on the issue of ballast water transfer. The barriers to action included, among others, poor awareness on the part of all segments of society including government officials. It was also ascertained that there is poor or no information about ballast water discharges taking place in national waters, poor or no integration of effort between and among government agencies and potentially affected constituencies, few or no existing regulations or presence of a legal framework that could incorporate necessary and appropriate regulations, low priority given to the issue because of competing demands, and, a consequence of the low priority given to the issue, few if any national resources committed to the effort.

18. The proposed GEF intervention, through the establishment of the envisioned pilot demonstration projects in six countries, would show how developing nations can marshal limited resources and implement IMO guidelines to protect their resources and people from the negative consequences of unwanted organisms deriving from unregulated ballast water discharges. Given the flexibility of IMO guidelines on ballast water, the breadth and nature of specific country/port actions within the pilot demonstration projects will depend upon the preferences of the host country/port. Country and port actions could embody a uniform precautionary approach to ballast water management applicable to vessels generally which visit the country/port, or a more selective approach applied to a subset of vessels or voyages based upon a case-by-case analysis of key values at risk and estimates of the relative risks posed by each visiting vessel.

A.3 Development Objective

19. The Long-Term Goal of this project is to assist developing countries, encompassing a wide variety of environmental, geographic, and socioeconomic conditions, in reducing the transfer of harmful organisms and pathogens in ship ballast water. This will be accomplished by increasing the extent to which ships calling on developing country ports adhere to the voluntary Guidelines of the IMO, and to an anticipated ballast water annex to MARPOL 73/78, enabling countries to ratify legally binding provisions that are being prepared. Effective, country-driven and country-based Pilot Demonstration Projects at specified ports within six developing nations, representative of each global development region, will be supported.

A.4 Strategy

20. There is general agreement on the need for a globally consistent approach to address the ballast water issue. Even in those countries that have begun implementing nationally based approaches for ballast water control, there is recognition that a globally consistent approach has to be pursued. There is also agreement that the IMO is the appropriate international organization to assume the continuing task of developing the necessary international, legally binding provisions that are likely to occur via an annex to MARPOL 73/78 (or a new Convention). IMO’s Marine Environment Protection Committee and Ballast Water Working Group have made the ballast water issue a priority in their work and will also be of invaluable assistance to the work of the project. This objective would, among other things, create within the IMO in London, UK a Programme Coordination Unit (PCU) comprised of two (2) professionals with requisite administrative and technical support, and support from the permanent staff of the IMO. During the three-year period, the IMO would undertake to establish and sustain, in its London headquarters, the necessary mechanism to assist developing member states as they strive to meet their obligations under the expected mandatory IMO regulations. This mechanism will include at least one full time professional staff member. It is particularly important that IMO be centrally involved in the project as they create for the project, as noted by the STAP review, access to officials and programs in countries where many ships are registered, such as Panama, Liberia, and Norway, whose regulations, along with classification societies, will be crucial for the development of future regulations, even though they are not directly involved in this project.

21. While the IMO is committed to assisting in co-financing the creation of an effective project PCU in its London offices, and committed to an endeavor to sustain that presence after project completion, provision of information and development of pilot programs at the country and port level, the subject of this proposal, are not part of IMO’s regular mandate. Without the GEF/UNDP/IMO intervention, the needs outlined in this project will not be met.

22. Work undertaken during the UNDP-GEF Project Development Facility (PDF-B: GLO/97/G41) phase of the project resulted in a finding that information about the dangers of ballast water transfer of non-indigenous organisms was poor to non-existent in many developing countries, and constituted a major barrier to action. Further, it was found that where information did exist, no single agency had been given or had assumed lead responsibility for work related to the ballast water issue. This combination of poor information and no delegation or assumption of leadership on the part of any specific agency makes it impossible to address the issue effectively or at all, and is seen as the single most important, early priority of the project to develop. One of the priority recommended barrier removal activities was the creation of a lead agency that would be given the overall responsibility for development of the port-specific and country-specific strategies that are the principal objective of this project. The lead agency would be responsible for the creation and convening of the necessary Country Project Task Force (interministerial in nature) and would also be responsible for the development and implementation of the necessary informational, educational and participation activities that are key to project success. Provision of UNDP/GEF resources would enable each senior Country Focal Point (CFP), who would normally be in the lead national agency, to recruit a Special Assistant to assist in the coordination and implementation of project activities.

23. Finally, it is important that this project set the stage for broader regional cooperation on the issue of ballast water transfer. Lack of action on the 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. Also, there will eventually be the need to bring about broader sectoral changes than are likely to be brought about in this series of pilot projects. Nonetheless, the project will have built in provision for the establishment of regional or sub-regional task forces, as deemed appropriate, to advise, learn from, and hopefully cooperate with work undertaken in each of the participating countries.

24. The most significant barrier to action on ballast water transfer identified within the PDF-B process, and by other observers, is the lack of information about the existence and potentially catastrophic consequences of the ballast water transfer of unwanted organisms. Without adequate information on the potentially serious and destructive non-indigenous introductions that may already have occurred, actions to remediate the problem will not be taken. The competition for scarce resources in developing economies is fierce. In this competition for limited resources, those issues that have overt, short-term consequences on populations receive priority. While the potential consequences of the unchecked transfer of unwanted organisms through ballast water transfer are fairly seen as a time bomb, it is not at this time perceived as such by many developing countries and by likely negatively affected constituencies within those countries. There seems to be little doubt that a massive outbreak of cholera would be devastating to the limited public health resources of developing countries. Further, ballast water related transfer of unwanted organisms can have disastrous consequences for the growing reliance of developing countries on aquaculture for export purposes and for helping ensure national food security. Seen in this context, it is not difficult to understand why information and education for government officials and all potentially affected stakeholders is a pre-requisite for project success.

25. The STAP reviewer states that he questions that this objective should take a port as well as country approach, and that the “key cases are still those in enclosed areas, the Great Lakes and the Black Sea.” While this is true, most observers believe that open coasts are also at risk and thus abiding by the precautionary principle, a tenet of existing IMO based provisions and of the GEF Operational Strategy, would suggest the need to take open coasts into account. The STAP review states further that “A better approach may be to erect scenarios of relevant local issues one of which could be public health, one on a coastal sea-food related issue, and one say on coastal erosion which is an important function provided by natural ecosystems.” While most of these are issues that are indeed likely to emerge as key issues to be addressed by participating countries and ports, it is country officials and an array of stakeholders at the local level that should attempt to undertake the necessary analysis. Lastly, the STAP reviewer observes that “Non-experts cannot do the assessment and making predictions of the impact of potentially thousands of species is almost impossible. Scenarios made by natural and social scientists may be an option.” It is now explicit in Activity 2.1 that the best available natural and social scientists will participate. It is seen as important, however, to take full advantage of the knowledge base of local, affected interests who have are likely to have been experiencing the adverse results of ballast water introductions even though there reports may at first be anecdotal.

26. The essence of this project is twofold. First it is intended to result in the development of a generic, developing country based, ballast water management strategy. Second, and to the extent possible, the project will facilitate initial work toward the development of country and port specific programmes, including national legislation, to achieve effective ballast water management consistent with IMO provisions. Work undertaken in the PDF-B phase of the project and a review of existing ballast water control programs is indicative of the overall strategy that should form the basis for program development. The strategy should be one that seeks to avoid the adverse economic, environmental, and human health impacts of unwanted, ballast water transported non-indigenous organisms. The strategy should make provision to avoid unwanted introductions by minimizing their risk of entry, establishment, and spread in country receiving waters while simultaneously minimizing impediments to trade.

27. A review of previous work is also suggestive of a number of key principles that should be adopted if a program of control is to be successful. First, emerging country strategies should be just that, i.e. country strategies should take a single national strategy approach to the ballast water transfer issue, taking into account the legitimate requirements of all stakeholders. Second, the emerging strategy must be generally consistent with IMO provisions. Third, the strategy must take into account the need to give special consideration to the protection of a country’s most sensitive values at risk. For example, in some nations there are significant and highly valuable aquaculture ventures, which directly abut or are in close proximity to shipping lanes. Further, there are occasions when ballast water discharges in zones of high shellfish productivity can place entire local populations at risk from such threats as unintentional introductions as the dinoflagellate Gymnodinium catenatum, which are known to cause paralytic shellfish poisoning, other toxin producing algae which may result in harmful algal blooms, and Vibro cholerae, which affects vulnerable populations through consumption of infected seafood. It thus becomes necessary to have, as part of a country program of action, a process that will identify on an ongoing basis high risk species and organisms that would have particularly deleterious affects on the economy, environment or on human health. Fourth, it must recognize the importance for the dissemination and sharing of results nationally, regionally, and globally. Fifth, each country must act to name a Lead Agency for development of the program and assure that the formation of CPTFs (interministerial in nature), that will maximize the likelihood of eventual, successful program implementation. Sixth, it must make provision for the necessary, increased levels of information, education and training commensurate with the seriousness of the problem. Seventh, and finally, the program of action must make provision to identify and secure the necessary financial resources to complement UNDP/GEF funding and sustain the ballast water program after the life of the intervention.

28. There is at present no single treatment or procedure that can obviate the risk of the introduction of harmful non-native organisms via ship ballast water. Thus it is essential that, as each country experiments with what it deems to be the most appropriate array of control options, effective participating country monitoring be established to accomplish two objectives. First, monitoring will be important for each country to measure the extent of compliance with IMO provisions generally and country-specific guidelines. Without monitoring to inform of successful compliance, replication of project results may not be warranted. Second, country-specific monitoring of compliance can serve as an important research tool that can be used to assess the relative efficacy of ballast water treatment options in a variety of climates, ecosystems, multiple use zones, and development regions. Thus effective monitoring can both inform and form the ongoing effort to minimize the global risks associated with the ballast water transfer of non-native organisms.

29. At the very least, project related compliance and monitoring should and will involve, first, an examination of the ship’s logs and records to ascertain the location and the amount of ballast water that has been loaded and where and how much of the ballast was changed. Second, project related compliance and monitoring should include provision for the continuous recording of basic physical/chemical water quality parameters such as turbidity, salinity, temperature, concentration of dissolved oxygen, and pH. Each of these parameters can be monitored by automatic, online equipment that provides continuous readouts for subsequent data storage or for direct transmission to shore. Alternatively, these parameters can be measured concurrently by handheld equipment at regular intervals. According to an estimate made by the U.S. NRC, the cost of these systems would be US$500 to US$2500 per unit, not including installation costs.

30. Each participating country, given particular, important values they determine to be at risk, may

choose to build in additional compliance and monitoring considerations.

31. Regardless of the monitoring system devised for use by each participating country, compliance can only be effective if ship masters know what is required of them and carry out the requirements. Thus there will be a need to develop manuals and other communications that will fully apprise shipmasters and appropriate port authorities of Guidelines and other requirements.

A.5 End of Project Situation /Project Beneficiaries

32. The end of the project situation can be summarized as follows:

· Strong and continuing presence of a ballast water management capacity in 6 pilot countries supported by the IMO through absorption of the PCU activities;

· A dramatic increase in the knowledge of the dangers of unmanaged ballast water discharges and remedies based on local port, country and regional settings that are consistent with IMO Guidelines;

· Increased public awareness and support for ballast water management approaches;

· A global resource information center located in the offices of the IMO with the capacity to undertake systematic and ongoing distribution of the latest and most effective approaches to ballast water management. The center would maintain existing and increase high quality, reliable data and information on ballast water related issues and approaches;

· Availability of a project developed and tested education and training programmes to increase knowledge of the ballast water issue and impart the knowledge, skills and attitudes required;

· IMO Coordination of a global network of the research efforts and experience of monitoring centres in relation to ballast water transfer;

· Increased levels of protection and conservation of habitats and species of global significance

· Protection of aquaculture resources in and around coastal areas where ballast water exchange takes place;

· Protection of commercial fishery and shellfish enterprises in and around coastal areas where ballast water exchange takes place;

· Adoption of common regional approaches based upon the GEF/UNDP/IMO project experience and approaches that are consistent with IMO Guidelines;

· Minimization of the loss of coastal biodiversity and degradation of coastal environments; and

· Informed and effective developing country participation in the ongoing global deliberations on the ballast water management issue.

33. Upon completion of the project the above mentioned results should create adequate conditions for the successful implementation of improved IMO Guidelines and the anticipated Ballast management annex/Convention to IMO’s MARPOL Convention. The participating countries, having played an important and informed role in updating global approaches and agreements on the ballast water transfer issue, will be positioned to continue a leadership role at the regional and global levels.

34. The primary target beneficiaries of this project include global populations that live in the immediate area and are dependent on the natural resources of coastal regions and the ecosystems of those coastal regions. The coastal zone population should benefit from each of the success criteria, which include improved water quality, improved human health, and protection for existing and planned future coastal resources such as aquaculture. In the short-term, governments and institutions will benefit from institutional strengthening as a result of networking, training programmes and the provision of key items of equipment and in particular from the development of action-based Workplans. Proper and thorough threat analyses, legislative and regulatory reviews, environmental assessments and pre-investment studies should facilitate an increase in donor interest both during and after the life of the project.

35. The direct beneficiaries of the project will be:

· Governments of the countries and region;

· Country Focal Points;

· Shipping companies and port authorities;

· regional scientific and technical organizations concerned with ballast water management issues;

· national, local and municipal governments in the area of participating ports and cooperating countries;

· technical organizations, universities, research institutes and private sector organizations (tourism, aquaculture, fisheries, environmental consultancy firms, etc. in coastal areas;

· non-governmental organizations concerned with environmental management and conservation of natural resources; and

· IMO and its member states

36. The target beneficiaries will be:

· the resident population of coastal regions, in particular women and children, who will benefit from improved water quality, reduction in health risk, enhanced fishery resources, recreational opportunities and strengthened protection and management of natural habitats;

· fishermen whose livelihoods will benefit from the improved environmental quality as the result of the reduced transport of unintentionally introduced and damaging organisms to the receiving environment following implementation of new policies and investments;

· commercial and artisanal aquaculture enterprises in the coastal areas;

· future generations of the human population both within and beyond participating countries who will benefit from the reduction of threat posed by the continuing inability to properly manage ballast water practices and reduce the introduction of damaging, unintentionally introduced organisms; and

· the world population at large which will benefit as a result of the experiences of the participating ports and countries.

· Shipping companies and port authorities

· The International Maritime Organization and its member states

A.6 Major Actors/Port Descriptions/Administrative Framework/Government Departments

37. Effective, country based Pilot Demonstration Projects at specified ports within six developing nations, representative of each global development region, are at the heart of this project. The participating nations include Brazil, which has designated the port of Sepetiba, China, which designated the port of Dalian, India, which designated the port of Mumbai (Bombay), Iran, which designated Kharg Island, South Africa, which designated the port of Saldanha, and the Ukraine which designated the port of Odessa.

38. Following are physical descriptions of each port, their geographic location, reasons for selection, issues to be addressed, and lead agencies. It should be noted that each port has been selected for reasons of their willingness to participate in the project. This requires not only agreement by the national government, but agreement as well by a range of other governmental and quasi-governmental agencies that include port administrations. The level of agreement required to ensure the participation of a port is thus no small feat.

39. A major concern posed by the unintentional introduction of marine non-indigenous species is that of human health. Most major port areas are also areas of high population density. Each of the port areas selected for the project has surrounding, large populations. These populations, particularly women and children, are vulnerable to severe disease epidemics such as cholera and typhoid. Coastal waters, which include those upriver which are tidal, may be used for bathing, laundry, and recreational purposes. Where contact with contaminated water occurs, the risk of disease is present. Other less direct vectors, such as the consumption of contaminated fish and shellfish, especially from wild stocks, may result in disease or death.

40. Taken together, the countries and ports selected for the project satisfy several other criteria. As a group they represent countries and ports from each GEF development region. Further, taken together they represent the full range of issues that need to be addressed in attempts to effectively manage the unintentional introduction of non-indigenous marine organisms. Taken together these ports host the full range of shipping activities – bulk carriers, ore, oil, and container vessels. They receive ships from virtually every country of the world. And, taken together, the experience of these countries and ports will yield country and regional benefits that will substantially mitigate the current level of threat that exists.

Sepetiba, Brazil

41. The Port of Sepetiba is located on the southern coast of Rio de Janeiro State and is immediately adjacent to Rio de Janeiro. Within 500 kilometres of the port is a concentration of industry and commerce that represents 70% of Brazilian GDP. Sepetiba’s coal terminal has the capacity to handle 7,000,000 tons per year while its ore terminal has the capacity to handle 15,000,000 tons per year. The Port was constructed in 1982 to meet Companhia Siderurgica Nacional and Valesul’s need to move bulk cargo from their plants and thus unencumber the Port of Rio de Janeiro.

42. According to an evaluation of ports done by Companio Docas do Rio de Janeiro, which acts as the Port Authority for the Ports of Rio de Janeiro, Sepetiba, Angra dos Reis, Niteori and Fornu, Sepetiba will become Latin America’s largest, and the first Southern Atlantic Harbor to be a major cargo hub port capable of handling over 20 million tons of cargo per year. Additionally, it is equipped with modern port equipment and will be able to accommodate the latest generation vessels up to 8,000 TEUs. Sepetiba is intended to be a model port highlighting a concern with environmental management and the development of an Environmental Management Plan is an immediate Port priority.

43. The Ministry of the Navy is the key administrative entity in Brazil concerned with ballast water issues. The Ministry has been actively involved in ballast water issues in Brazil prior to the project and has been the driving force in shaping Brazil’s and the Port of Sepetiba’s involvement in the proposed GEF/UNDP/IMO Project. Other participating agencies of government will include the Ministry of Environment, Water Resources and Legal Amazon, the Ministry of Transport, the Ministry of Health, and the Port of Sepetiba Port Authority.

Dalian, China

44. The Port of Dalian is located on the south part of the Liaodong Peninsula. It is a natural port on the northeast coast of China. It faces the Bohai Sea in the west, the Yellow Sea in the east, and the Shandong Peninsula in the south. To its back is the vast landscape of Northeast China.

45. In 1997, 51,525 vessels visited Dalian. 3,883 of those vessels were engaged in international voyages. About 5.5 million tons of ballast water was discharged in Dalian Port and its coastal waters in 1997. This ballast water came from ships visiting from Korea, Japan, Southeast Asia, with lesser amounts from North America, and Europe.

46. The area around the Port of Dalian includes fish and prawn farms. In 1993 and 1994 the prawn farming industry suffered severe losses due to an unknown bacteria or pathogens, and prawns died in great numbers causing a total loss of 3 billion yuan. While no direct correlation has been demonstrated between ship ballast water and losses to the fishing and prawn industry in the Dalian area, ballast water discharged at the port is within easy reach of farming areas. The proximity of Dalian to these valuable prawn farming areas is one of the reasons Dalian has been selected for inclusion in the project.

47. Key agencies connected to the ballast water issue in China, and for Dalian as a port included in the project, are The Harbour Superintendency Administration, the Frontier Health and Quarantine Authority, the Frontier Plant and Animal Quarantine Authority, and Port officials in Dalian.

Mumbai (Bombay), India

48. The port of Mumbai lies midway along the west coast of India, and possesses a deep harbour covering 400 square kilometers. The harbour is well protected by the mainland on its east and the Island of Mumbai to the west.

49. The Port of Mumbai is a fully integrated, multi-purpose port handling container, ro/ro, dry bulk, liquid bulk, and general cargoes. The total handling capacity of the port in 1997 was 33,727,000 tons.

50. Many Indian vessels sailing out of Mumbai have been carrying out ballast water tank cleaning at high seas on a tank-by-tank basis for years. The reason for such practice is that captains fear that mud and sediment mixed with ballast water would quickly settle and accumulate on the bottom of the ballast tank after being taken on board as ballast. Such practice may, however, help to reduce the possibility of the introduction of harmful organisms or pathogens, which live in shallow water or sediment. The Government encourages the practice of ballast water tank cleaning on the high seas and the Indian experience with this practice makes its participation an attractive one for this project.

51. Government authorities which will be involved with the project include the Directorate General of Shipping and Port Authority, under the Ministry of Surface Transport, the Environment Authority, under the Ministry of Environment and Forests, the Health Authority, under the Ministry of Health, and the Coast Guard under the Ministry of Defence. The Port Authority of Mumbai will also be involved in project implementation.

Kharg Island, Iran

52. Kharg Island is located on the Persian Gulf and is Iran’s and the Gulf’s largest port facility. The Sea Island Terminal is located on the West side of the island with two berths for vessels up to 500 000 dwt. The depth alongside these berths is 32.3 m at MLW. The terminal also provides two berths for vessels up to 300 000 dwt with a depth alongside of 29.8 m at MLW.

53. The management of the terminal and the operation of vessels are the responsibility of National Iranian Oil Company (NIOC), which is also in charge for the cargo storage and handling. In addition to the loading and discharging facilities the terminal provides pilotage, tug services and antipollution services. The maintenance of the terminal and the other essential facilities of a port (hospital, fire protection, etc) are also responsibilities of the NIOC. The main functions of maritime administration are the responsibility of the Ports & Shipping Organisation (PSO). Vessel Traffic Control and Port State Control is performed by PSO inspectors. Other departments and ministries with direct or indirect responsibilities regarding the ballast water issue include the Department of Environment, the Marine Environment Bureau, the Ministry of Jahad (fisheries), and the Oceanographic Commission. Iran, as part of the initial consultation during the PDF-B phase, is in the process of forming a ballast water Country Project Task Force (CPTF), which would function during project implementation.

54. The selection of Kharg Island as a demonstration site, aside from its general Gulf location and by virtue of its being the largest oil terminal in the Gulf, is due to the sensitive environmental nature of the Gulf. Gulf waters are shallow, have substantial marine biodiversity, high water temperature, and experience little exchange of water with surrounding marine areas through the Ormuz Strait.

Port of Saldanha, South Africa

55. The Port of Saldanha is the largest port in the southern part of South Africa and covers 7430 hectares of water area in Saldanha Bay. It is South Africa’s deepest port. Located in the southwest of the country on the Atlantic Ocean, Saldanha Bay is considered by South African officials to be a highly sensitive environmental area due to intensive aquaculture activities occurring in the proximity of the port site and the surrounding area has been declared a “natural reservation” by the government.

56. The annual level of iron ore exports in 1996 was 19.2 million tons, with an expected level of at least 20 million tons per annum over the next five years. Crude oil is also imported and transhipped through the port, while general cargo consists of copper, zinc, lead, and phosphate. The break bulk general cargo facility (General cargo Quay) consists of a Quay 250 metres long and a storage capacity of up to 30,000 tons, both covered and open.

57. The environmental sensitivity of areas immediately surrounding the port, the substantial size of the port, its proximity to Cape Town, and the support of all relevant government agencies for its inclusion as a demonstration site within the GEF/UNDP/IMO project were all factors in the selection of the port to participate in this project.

58. Relevant governmental agencies which will participate in the project include the Department of Transport, the Department of Environmental Affairs and Tourism, the Department of Health, and PORTNET. PORTNET is a public company that is responsible for port management in South Africa. Its responsibilities include maintenance of basic port infrastructure, construction and maintenance of breakwaters, channels, basins, quay walls, roads and rails in the port area. It also provides marine and navigational assistance services such as pilotage and tug assistance. One of the most important roles of PORTNET is that of pollution prevention in port areas. In this respect PORTNET develops port environmental management strategies and establishes port pollution regulations based on South African and international laws and regulations.

Port of Odessa, Ukraine

59. The Port of Odessa (Odessa) is one of the largest ports in the Black Sea. Its location on historically founded merchant ways between West and East, closeness to Bosphorus and Dardanelles, convenient exit to Mediterranean Sea and Indian Ocean, round-the-year navigation in the port, proximity to the big industrial and agricultural areas of the region make it a particularly attractive, heavily used port whose volume is growing rapidly.

60. Odessa’s location on the Black Sea, the site of a substantial GEF sponsored effort in the International Waters portfolio, makes it an important addition as a pilot demonstration site. Located on the northwestern shelf of the sea, the areas in close proximity of the port are important nursery and feeding areas for the Black Sea fishery.

61. The port includes seven facilities for handling dry-cargo, passenger traffic, oil, and container handling. The port has the capacity to handle up to 14 million tons of dry-cargoes and about 24 million tons of oil products per year. Port passenger capability is up to 4 million passengers per year. Entering, leaving and shifting of vessels is constant and assisted by pilot service whose technical facilities allow manoeuvring in poor visibility. The open storage area is 215 400 sq. m,, the warehouses area 78 800 sq. m., and the cargo storehouse can accommodate up to 13 500 tons at a storage temperature from 8⁰ C up to -30⁰C. The port silo can store up to 60 000 tons of cereal product.

62. A list of handled cargo includes non-ferrous and ferrous metals, equipment, vehicles, chemical fertilisers (packed or in bulk), citrus fruits, bananas and other cargoes packed in bags, boxes, bags, barrels and containers.

63. While exact information on the amount of ballast discharge in the port are not available, calculations from the oil products sector is indicative of large volumes. More than 14,400,000 tons of oil and oil products were transited through Odessa oil terminal, and from this figure it is calculated that a total quantity of 5,489,000 tons of ballast water were discharged into and around the port area.

64. A significant part of Ukrainian port traffic is oriented towards Europe (14%), China (6%) and the largest part represents the exchanges and transit with CIS countries (42%). It may be therefore assumed that the largest amounts of ballast water discharged may originate from Europe and the Far East.

65. The Ministry of Transportation is the major regulatory body for shipping in Ukraine. It works through the State Department of Marine and River Transports (SDMRT). The SDMRT assumes the role of the Maritime Administration of Ukraine and acts as the administrator of IMO Conventions and other international legal instruments. The SDMRT also co-ordinates ports Harbour Masters and assumes the prerogatives of Port State Control. The Transportation Law of 1994 (No 232/94 -BP) empowers the Ministry of Transportation through the SDMRT to study and propose new and updated directives regarding national maritime policy, port development, shipping companies and shipyards and for the development of regulations to ensure ship safety and control marine pollution. The SDMRT and the Port of Odessa are fully supportive of and agreeable to participation in this project. As a result of Ukraine’s participation in the PDF-B phase of the project there is now a ballast water Country Project Task Force (CPTF) comprised of federal and local officials and members of the research community.

A.7 Country Support Capacity

66. While the long-term commitment of the participating countries is strong enough to sustain the results of this Project, special support will be required in the short-term to assure the successful development of case studies, needs assessments, the determination of most sensitive values at risk, appropriate DSSs, “tool” kits and best practices. This is due to the barriers identified earlier in this project document.

67. It is anticipated that national and local governments will support the activities of this Project through:

· Country Focal Points who will serve as the representatives of the national governments for developing and coordinating implementation of project supported activities;

· coordination of activities by the lead agency for the development of port and country-specific programs of action;

· provision of free access to information required for the implementation of the Project; and

· authorization, subject to adequate prior notification and formal clearance, of site visits by technical experts to support the implementation of the project.

· provision of financial and other support to the activities of the Project, especially for all local currency expenditure;

· testing of ballast water treatment and management approaches (including heat, chlorine, dilution, etc.);

· identification of non-indigenous species in ship ballast water;

· inventories of (native) coastal flora and fauna;

· academic research on subjects related to ballast water issue;

· application of IMO guidelines by shipping companies and port authorities;

· country coordination between different government agencies with interest in the ballast water issue (environment, transport, fisheries, etc.)

Section B - STRATEGY FOR USE OF UNDP RESOURCES

B.1 UNDP’s Mandate

UNDP, with its emphasis on sustainable human development, is uniquely suited as GEF Implementing Agency for this project. Environmental protection is clearly a matter of survival for coastal dwellers-particularly the poor. This project fits within the broader context of coastal management aimed at the protection of coastal and marine resources and insuring that healthy aquatic environments are conserved. Sustainable livelihoods are promoted by the proper management of shipping, tourism, fisheries and other coastal activities. Women also play major roles in the economic systems of coastal areas and fisheries.

68. The GEF has directly acknowledged the importance of the ballast water issue, and its intent to support activities related to mitigation of ballast water related transfer of organisms, in its Operational Strategy. The Strategy states that "(A)activities related to abatement of pollution from ship-based chemical washings and interventions against the transfer of noxious, non-indigenous species in ballast water are priorities for the GEF because they are virtually unaddressed problems.” The proposed project represents an important step in realizing this stated GEF programmatic intent.

69. The proposed project is also consistent with Operational Program #10 of the GEF, the Contaminants-Based Operational program. The long term objective of OP #10 is to “…develop and implement international waters projects that demonstrate ways of overcoming barriers to the use of best practices for limiting releases of contaminants causing priority concern”, and to “involve the private sector in utilizing technological advances for the resolving of these transboundary priority concerns.” OP #10 further states that “(I) in the near term of the GEF, special emphasis is being placed on interventions to prevent the transfer of non-indigenous species in ballast water.” The creation of demonstration sites, representative of each of the world’s development regions, is an explicit objective of the project. Further, the IMO, whose 154 member states closely cooperate with ship owners associations, port and harbor 26. A key assumption of OP #10 is that, over time, successful demonstration projects will be replicated, successful approaches to identified problems will be repeatedly used, and that barriers to the successful adoption of pollution prevention measures will be removed.

70. Linkages with the UNDP/GEF initiative IW:LEARN will provide for sharing of project results and replication of successful practices in other developing countries. In addition, the UNDP-GEF Train-Sea-Coast or similar program will provide the capacity for preparing and adopting high quality training materials to support country based efforts.

B.2. Strategy and Approaches for the Use of UNDP Resources

71. The basic strategy of this project is to utilize UNDP resources to identify and implement generic, country and port specific ballast water control activities and create the conditions necessary to replicate those ballast water control activities globally. UNDP resources will also be used in barrier reduction efforts that include those of an educational, informational, technical, institutional, legal, financial, and cultural nature. A fundamental part of the strategy to bring about replication of project results is the funding of a global information resource center. The center will be located in the offices of the IMO, and its work of assisting developing nations in more effectively managing ballast water control will be continued by the IMO after the three years of the GEF/UNDP/IMO project. UNDP resources will be used further to create improved linkages within the global community the result of which will be an enhanced technical capacity for dealing with pollution and coastal management problems in coastal regions; an effective regional network of Governmental representatives, scientific and other experts and non-governmental organizations; and a willingness of the international community to assist in the efforts to protect coastal resources and populations from the adverse effects of unintentionally introduced non-indigenous species and organisms.

72. This strategy will be successful only if all major players (IMO, the shipping industry, participating ports and governments, Governments and ports of the region, the Program Coordination Unit, multilateral and bilateral donors and NGOs) work together in a concerted effort.

73. The strategy of the GEF/UNDP/IMO project is a key objective of the overall strategy of the GEF International Waters Program and will be brought about through technical assistance, capacity building, enhanced regional cooperation, the recruitment of donors, and preparation of investments.

Host Country/Port Options

79. Consistent with IMO guidelines on ballast water management, there already exist a number of “Good Practice” measures that will be essential to the Project as a whole and, in particular, at each of the demonstration sites. These criteria will be used as the benchmarks, inter alia, against which the implementation of the project can be evaluated. Criteria will include:

· improved knowledge of the ballast water issue

· Secured involvement and commitment of all affected interests

· Designed and implemented measures for managing shipping/ballast water in each port/region which could include, among other things, a Decision Support System (DSS), acceptable practices, organizational roles, planning to achieve long-term sustainability, and the BallastWater Management Tool Kit.

81. The IMO guidelines on ballast management offer states significant flexibility in determining the nature and extent of their programs. This flexibility is warranted given that nations are still experimenting with approaches. A country/port which hosts a demonstration site may wish to apply its program uniformly to vessels which visit (though the guidelines ask more of vessels which visit after operating outside the EEZ than vessels in coastal voyages), or it may wish to attempt to assess the relative risk of vessels to valuable resources and apply the program selectively to those which are deemed of highest risk.

82. The uniform application option offers the advantages of simplified program administration in that there are no “judgement calls” to be made or justified by the host country/port regarding which vessels must participate and which need not. In addition, the system requires substantially less host country/port information management demands in that no risk assessment process is needed. Finally, it offers more protection from unanticipated invaders, and overall protection is not dependent upon the quality of a decision support system which may not be complete. The primary disadvantages of this approach are: 1) additional overall cost to vessels which otherwise might not need to take action, and 2) more vessels will be involved in undertaking the measures, and therefore the host country/port will need to monitor compliance from a greater number of vessels.

83. Some nations are experimenting with systems to allow more selective applicability based upon risk assessments because this approach offers to reduce the numbers of vessels subject to requirements and monitoring. This prospect of reducing the numbers of ships to which the program applies is especially attractive to nations that wish to eliminate introductions of target organisms such as toxic dinoflagellates entirely. More rigorous measures can be justified on ships deemed to be of “high risk” if fewer restrictions are placed on low risk vessels. However, this approach places commensurate information technology and management burdens on the host country/port and its effectiveness depends on the quality of the information supporting it. The approach also may leave the country/port vulnerable to unknown risks from non-target organisms.

84. Whether a host country/port chooses the uniform or selective applicability approach, it can undertake measures to simplify record-keeping and monitoring of compliance. The country/port may for example, utilize the IMO reporting form to keep vessel-specific information, and institute a random sampling method to spot check reliability of these records.

Risk Assessment Methods: Decision Support Systems

85. For countries/ports which choose the selective approach, it will be essential that each demonstration site establish an organized means of evaluating the potential risk posed by vessels entering their port. Only in this way can they take the most appropriate decision regarding any required action concerning that vessels’ ballast water discharge. This evaluation is commonly known as a Decision Support System or DSS.

86. “Good Practice” measures will include options at each of the three phases in the continuum of ballast water management. These measures, part of a generic “tool kit”, would be implemented when indicated by the DSS that some action is necessary.

· at uptake, where the emphasis would be on existing IMO Guidelines.

· en route, where treatment can be through Ballast Water Exchange (empty and refill, flow-through, or dilution method), use of a Heat Treatment option, use of Separation or UV Process, or other approaches such as Electromechanical, Hydrogen Peroxide, or other methods as they are developed and tested.

· on arrival, where, again, the emphasis would be on existing IMO Guidelines and provision for an Alternate Exchange Site Discharge zone.

87. The DSS can be a quite basic system operated on a fully manual basis. Then, as information is assembled over time and the knowledge of those operating the system increases, the DSS can become progressively more comprehensive and sophisticated.

88. The DSS is a management system that provides a mechanism for assessing all available information relating to individual vessels and their individual management of ballast water so that, based upon assessed risk, the appropriate course of action can be taken.

89. Issues incorporated into a DSS, at a minimum, would include, among other things:

· vessel details, for example how much ballast water is on-board

· where the vessel may have been re-ballasted

· a review of any ballast water arrangements, documentation such as a Ballast Water Management Plan

· intent of the vessel re. discharge of ballast water

· knowledge of the port of uptake

· circumstances of uptake

90. Initially the DSS will be a relatively simple system based on known information. As the amount of information increases the system can be incrementally improved. The relative level of initial simplicity will make it possible for any port to adopt its own system of best practices and to improve upon those practices as increased amounts of information become available.

91. It is also expected that elements of the DSS, relying as it will on tracking of ships through various ports to determine level of risk, will complement work that will likely be the subject of another GEF intervention to develop a demonstration marine electronic highway in some of the world’s busiest shipping lanes (e.g. Malacca Straits, Bosphorus).

Strategy: Other Aspects

92. The GEF intervention would also serve to inform other developing coastal nations to the existence of the problem, resources that are at risk, and measures which, when applied globally and strategically, will reduce the serious global, economic environmental and public health effects of unmanaged ballast water discharge. An important additional contribution of the proposed project would be to enable participating countries, and countries engaged at the regional level, to both form and inform ongoing deliberations aimed at developing a legally binding agreement related to the ballast water issue. At present, limited information concerning the issue and the consequent lack of focus on its importance are detrimental to such developing country involvement in current negotiations. The absence of the proposed GEF intervention would with little doubt lead to not only a continuing inability of developing countries to protect themselves but also to a growing tendency for other nations to take unilateral steps that will make a global approach even more difficult to achieve. The mechanism, objective, principles, and strategy that would lead to the creation of a regional approach are described in Annex III.

B.3 Sustainability

93. The project is designed to create conditions for the development and implementation of generic, country and port-specific ballast water management that can in turn be used to contribute to the ballast water control strategies that will need to be developed within neighboring countries, the region as a whole, and globally. Sustainability in this context will be a function of two interactive forces. First, the high likelihood of legally binding ballast water related provisions in the near future will force country, regional and global actions through IMO, and ‘internalization’ of support to the new Annex or Convention into IMO’s regular activities. Second, the existence of the pilot project results that are the focus of this project document will make it possible for countries and regions to have identified, prior to the implementation of mandatory standards, the elements of sustainability for country level ballast water control programs. This experience can be used effectively to help inform discussions regarding the mandatory provisions that are now being discussed and actually help form the content of that expected agreement. And third, the project will result in the creation of documented and tested strategies and practical materials, including adaptable training packages, that will assist countries to remove barriers to effective ballast water management.

94. At the country level the project will focus on building institutional capacities to sustain the country specific ballast water control action. As stated by the GEF STAP reviewer economic benefits are generated by natural, undisturbed marine ecosystems and these ecosystems are at risk from certain species introduced by ballast water. Project capacity will be created through effective educational, informational, and participatory programs at the country level, programs that will involve all affected constituencies including the shipping industry itself. The inclusion of country specific compliance and monitoring programs will enable the development of feedback loops to measure and inform project decisions during the course of activities and will serve to shape future work in the ballast water control area. The monitoring efforts will, in total, make possible successful replication of successful practices both within and outside of the region.

95. The explicit commitment made by each of the six participating countries and the project related political and administrative structures within the countries are the best indication of the sound foundation for this project. Project implementation through a PCU located within the offices of the IMO, and the IMO commitment to continue the work of the project after the three-year period, is one step toward guaranteeing that the activities and support systems established by the project will endure beyond the life of it.

96. Project sustainability is strongly enhanced by the support and active participation of the IMO. IMO’s Committees (such as the Marine Environment Protection Committee (MEPC ) and its Ballast Water Working Group, whose membership is comprised of representatives from member states, NGOs and the private sector, make important contributions to the work of IMO. For new conventions, a draft instrument is prepared. This draft is submitted to a conference to which delegations from all states within the United Nations, including states that are not IMO members, are invited. The conference adopts a final text that is submitted to governments for ratification. Implementation of the requirements of a convention is mandatory for countries that are party to the convention. A comprehensive anti-pollution convention related directly to the accidental and intentional pollution by ships is the Protocol of 1978 Relating to the International Convention for the Prevention of Pollution from Ships, 1973. This Convention, known as MARPOL, addressed pollution from oil, chemicals and other harmful substances, garbage, sewage and air. The MEPC of the IMO is currently drafting regulations for a new Annex to MARPOL 73/78 or a new convention dealing with the ballast water issue. It is anticipated that this annex, which will employ current guidelines strategy, will make use of the existing guidelines mandatory. Thus the central presence of the IMO and the MEPC in the work of the project will aid greatly in attempts to assure project sustainability.

97. Project sustainability will be further enhanced by the Global Project Task Force (GPTF) on Ballast Water Management, established under the UNDP/IMO/GEF PDF-B project GLO/97/G41 "Removal of Barriers to the Effective Implementation of Ballast Water Control and Management Measures in Developing Countries" at its meeting in Cape Town, South Africa on 29 and 30 July 1998. The GPTF is comprised of representatives of the IMO, the MEPC of the IMO, participating countries, non-governmental organizations, and the private sector, most particularly representatives of the shipping industry. The GPTF has clearly and explicitly recognized that the marine environment and the living resources which it supports are of vital importance to mankind; that invasions of non-indigenous harmful aquatic organisms and pathogens in new regions are occurring at increasing rates, threatening the conservation and sustainable use of aquatic biodiversity; and that besides ecological consequences, severe economic losses and threats to human health are being faced in many countries resulting in national unilateral actions to avoid further threats. The GPTF has recognized that measures to improve the management of ballast water discharges must be consistent with the paramount need to ensure the safety of seamen. The GPTF has strongly endorsed the GEF ballast water project and has called upon the IMO, developing and industrialized countries, the private sector, and the NGO community to support the work of the project.

98. The countries’ ownership of the project is also shown by the endorsement of the GEF Project Brief. Participating countries have committed significant financial resources in support of the project, including in-kind contributions (e.g., Intersectoral coordination secretariats, salaries for their staff members). The governments will also provide scientific expertise to the PCU from the national organizations and meeting space as required. The countries expect that the results and recommendations of the pilot demonstration projects will be translated into real actions and responses on both a national, regional, and global basis. This is reflected in those objectives of the project which address program coordination, global communication, and regional and intersectoral coordination and involvement.

B.4 Special Consideration

99. For the sustainability of the project, special consideration will be given in following each country’s national practices. For example, an explicit aim of the project is to develop Decision Support Systems, “tool kits”, and best practices. The project, through the PCU and the CPTFs, will ensure that these mechanisms, while having generic components, are also adapted to each country’s practices.

100. In addition, the project will also give special consideration to having broad coverage of people participating in meetings and workshops. In particular, the project encourages involvement of the private sector, NGOs, and women.

101. It is expected that the cooperating governments will be able to provide office, meeting facilities, local logistical support and in kind support from government officials.

101A. In order to be responsive to the needs of the pilot countries and ports , the specific work programmes (action plans and programmes of action) and budgets for each site are not included in the project document. They will be developed as one of the first activities of the project. Earlier sections of this document have provided some of the parameters for these work programmes. For example paragraph 18 indicates that they should embody a uniform precautionary approach. Paragraph 26 provides further guidance. Paragraph 27 outlines 7 key principles to be followed in the preparation of country strategies and work programmes. Section A-6 Major Actors describes the major problems and challenges facing each pilot port and thus provides an indication of what the strategy and work programme will have to respond to. Section B-2 on the strategy and approaches for the use of UNDP resources basically gives countries the choice of uniformly applying IMO guidelines or selective applicability. The actual arrangements for the preparation of country work programmes and budgets are imbedded in the first three objectives (activity 1.B.1 –country based communication workshops, Activity 2.2 country workshop on community assessment, information, participation and education strategies leading to action plan, Activity 3.4 preparation of a country work plan to devise generic, country and port-specific programmes of action). One of the first activities of the CTA will be to visit each pilot country and participate in the country workshops mentioned above and to help the Country Project Task Force develop its work programme and budget. These Country Work Programmes and budgets will be reviewed and approved by the Global Project Task force and financial allocations will be made by IMO to the country focal points accordingly.

Section C - DEVELOPMENT OBJECTIVE/IMMEDIATE OBJECTIVES/OUTPUTS/ACTIVITIES

C.1 Development Objective

102. The Development objective of this project is to assist developing countries in reducing the transfer of harmful organisms from ship ballast water. The project will increase the extent to which ships calling on developing country ports adhere to the at present voluntary international Guidelines of the International Maritime Organization (IMO), and will assist IMO and developing countries in the development of programs necessary to implement an anticipated ballast water annex to the MARPOL Convention.

C.2 Immediate Objectives

103. The immediate objectives of the GEF/UNDP/IMO Project are:

Objective 1A: Ensure effective project coordination and support (information, communications, expert assistance, program implementation capacity and evaluation and assessment) through establishment of an IMO based Program Coordination Unit (PCU).

104. There is general agreement on the need for a globally consistent approach to address the ballast water issue. Even in those countries that have begun implementing nationally based approaches for ballast water control, there is recognition that a globally consistent approach has to be pursued. There is also agreement that the IMO is the appropriate international organization to assume the continuing task of developing the necessary international, legally binding provisions that are likely to occur via an annex to MARPOL 73/78. IMO’s Marine Environment Protection Committee and Ballast Water Working Group have made the ballast water issue a priority in their work and will also be of invaluable assistance to the work of the project. This objective would, among other things, create within the IMO in London, UK a PCU comprised of two (2) professionals, an Associate Program Officer (provided a donor can be found), requisite administrative and technical support, and backstopping support from the permanent staff of the IMO. The work of the PCU would be supported by the GEF/UNDP/IMO project over the three years of the project on a declining basis. After the three-year period, the IMO would undertake to establish and sustain, in its London headquarters, the necessary mechanism to assist all member states as they strive to meet their obligations under the expected mandatory IMO regulations. It is particularly important that IMO be centrally involved in the project as they create for the project, as noted by the GEF STAP review, access to officials and programs in countries where many ships are registered, such as Panama, Liberia, and Norway, whose regulations, along with classification societies, will be crucial for the development of future regulations.

105. While the IMO is committed to assisting in co-financing the creation of an effective project PCU in its London offices, and committed to an endeavor to sustain that presence after project completion, provision of information and development of pilot programs at the country and port level, the subject of this proposal, are not part of IMO’s mandate. Without the GEF intervention, the needs outlined in this project proposal will not be met. The relationship between IMO regular activities and the GEF/UNDP/IMO project appears as Annex II.

Objective 1B: Identification of, and provision of resources for, the establishment of a Lead Agency in each of the six participating countries; creation of Country Project Task Forces (CPTF)

106. Work undertaken during the PDF-B phase of the project (GLO97/G41) resulted in a finding that information about the dangers of ballast water transfer of non-indigenous organisms was poor to non-existent in many developing countries, and constituted a major barrier to action. Further, it was found that where information did exist, no country’s single agency had been given or had assumed lead responsibility for work related to the ballast water issue. This combination of poor information and no delegation or assumption of leadership on the part of any specific agency makes it impossible to address the issue effectively or at all, and is seen as the single most important, early priority of the project to develop. One of the priority recommended barrier removal activities was the creation of a lead agency that would be given the overall responsibility for development of the port-specific and country-specific strategies that are the principal objective of this project. The lead agency, through a Country Focal Point (CFP), would be responsible for the creation and convening of the necessary Country Project Task Force (interministerial in nature) and would also be responsible for the development and implementation of the necessary informational, educational and participation activities that are key to project success. Provision of GEF resources would enable recruitment of a Special Assistant to assist in the coordination and implementation of project activities.

Objective 2: Increase knowledge of, and potential solutions for, the generic, port-specific, and country-specific dangers associated with the ballast water related transfer of non-indigenous organisms in port and country-specific receiving waters.

107. The most significant barrier to action on ballast water transfer has been identified within the PDF-B process, and by other observers, is the lack of information about the existence and potentially catastrophic consequences of the ballast water transfer of unwanted organisms. Without adequate information on the potentially serious and destructive non-indigenous introductions that may already have occurred, actions to remediate the problem will not be taken. The competition for scarce resources in developing economies is fierce. In this competition for limited resources, those issues that have overt, short-term consequences on populations receive priority. While the potential consequences of the unchecked transfer of unwanted organisms through ballast water transfer are fairly seen as a time bomb, it is not at this time perceived as such by many developing countries and by likely negatively affected constituencies within those countries. There seems to be little doubt that a massive outbreak of cholera would be devastating to the limited public health resources of developing countries. Further, ballast water related transfer of unwanted organisms could have, and already has had, disastrous consequences for the growing reliance of developing countries on aquaculture for export purposes and for helping ensure national food security. Seen in this context, it is not difficult to understand why information and education for government officials and all potentially affected stakeholders is a pre-requisite for project success.

108. The GEF STAP reviewer stated that this objective should take a port as well as country approach, and that the “key cases are still those in enclose areas, the Great Lakes and the Black Sea.” While this is true, most observers believe that open coasts are also at risk and thus abiding by the precautionary principle, a tenet of existing IMO based provisions and of the GEF Operational Strategy, would suggest the need to take open coasts into account. The STAP review states further that “A better approach may be to erect scenarios of relevant local issues one of which could be public health, one on a coastal sea-food related issue, and one say on coastal erosion which is an important function provided by natural ecosystems.” While most of these are issues that are indeed likely to emerge as key issues to be addressed by participating countries and ports, it is country officials and an array of stakeholders at the local level that should attempt to undertake the necessary analysis. Lastly, the STAP reviewer observes that “Non-experts cannot do the assessment and making predictions of the impact of potentially thousands of species is almost impossible. Scenarios made by natural and social scientists may be an option.” It is now explicit in Activity 2.1 that the best available natural and social scientists will participate. It is seen as important, however, to take full advantage of the knowledge base of local, affected interests who have or are likely to have been experiencing the adverse results of ballast water introductions even though there reports may at first be anecdotal.

109. The PCU must assume an important role in the activities related to this objective through the provision of international linkages and it must begin to build capacity within the IMO to make possible replication at the global level of successful experiences within these pilot demonstration sites. The participating countries are likely to have few if any materials to address or describe problems associated with unchecked ballast water releases. Increasingly, however, there is a growing body of case studies, research, control programs, and public education and information programs that have been and continue to be developed in countries such as Argentina, Australia, Canada, Israel, New Zealand, Brazil and the United States. The IMO serves as a resource center for much of the ballast water related work that is occurring worldwide. The PCU, housed within the London based IMO, would be well positioned to make existing case studies, research, control programs, short workshop packages, and public information and education programs available to project participants and other nations, and will be able to “tailor” materials to meet participating country-specific needs and with respect to the workshop packages.

The project will make use of the UN Train-X decentralized course development and sharing system to help participating countries create and adapt course packages which, together, will form a targeted education and training programme for ship masters, owners and operators or their agents as well as port and harbour authorities

Objective 3: Develop and implement generic and, to the extent possible, country and port specific programmes defining the measures necessary to increase compliance with IMO provisions, with special attention to achieving protection of identified, country-specific most sensitive values at risk.

110. The essence of this project is twofold. First it is intended to result in the development of a generic, developing country based, ballast water management strategy which can be adopted in other countries. Second, and to the extent possible, the project will facilitate initial work toward the development of country and port specific programs, including national legislation, to achieve effective ballast water management consistent with IMO provisions. Work undertaken in the PDF-B phase of the project and a review of existing ballast water control programs is indicative of the overall strategy that should form the basis for program development. The strategy should be one that seeks to avoid the adverse economic, environmental, and human health impacts of unwanted, ballast water transported non-indigenous organisms. The strategy should make provision to avoid unwanted introductions by minimizing their risk of entry, establishment, and spread in country receiving waters while simultaneously minimizing impediments to trade.

111. A review of previous work is also suggestive of a number of key principles that should be adopted if a program of control is to be successful. First, emerging country strategies should be just that, i.e. country strategies should take a single national strategy approach to the ballast water transfer issue, taking into account the legitimate requirements of all stakeholders. Second, the emerging strategy must be generally consistent with IMO provisions. Third, the strategy must take into account the need to give special consideration to the protection of a country’s most sensitive values at risk. For example, in some nations there are significant and highly valuable aquaculture ventures, which directly abut or are in close proximity to shipping lanes. Further, there are occasions when ballast water discharges in zones of high shellfish productivity can place entire local populations at risk from such as unintentional introductions as the Dinoflagellate Gymnodinium catenatum, which are known to cause paralytic shellfish poisoning, other toxin producing algae which may result in harmful algal blooms, and Vibro cholerae, which affects vulnerable populations through consumption of infected seafood. It thus becomes necessary to have, as part of a country program of action, a process that will identify on an ongoing basis high risk species and organisms that would have particularly deleterious affects on the economy, environment or on human health. Fourth, it must recognize the importance for the dissemination and sharing of results nationally, regionally, and globally. Fifth, each country must act to name a Lead Agency for development of the GEF/UNDP/IMO program and assure that the formation of CPTF s (interministerial in nature), which will maximize the likelihood of eventual, successful program implementation. Sixth, it must make provision for the necessary, increased levels of information, education and training commensurate with the seriousness of the problem. Seventh, and finally, the program of action must make provision to identify and secure the necessary financial resources to complement GEF funding and sustain the ballast water program after the life of the GEF/UNDP/IMO intervention. Each Activity would be implemented under the general direction of respective participating country CPTFs.

Objective 4: Develop and implement generic and, to the extent possible, country and port specific compliance and monitoring programs to ensure maximum practicable compliance with IMO provisions, with special attention to achieving protection of identified, country-specific most-sensitive values at risk.

112. There is at present no single treatment or procedure that can obviate the risk of the introduction of harmful non-native organisms via ship ballast water. Thus it is essential that, as each country experiments with what it deems to be the most appropriate array of control options, effective participating country monitoring be established to accomplish two objectives. First, monitoring will be important for each country to measure the extent of compliance with IMO provisions generally and country-specific guidelines. Without monitoring to inform of successful compliance, replication of project results may not be warranted. Second, country-specific monitoring of compliance can serve as an important research tool that can be used to assess the relative efficacy of ballast water treatment options in a variety of climates, ecosystems, multiple use zones, and development regions. Thus effective monitoring can both inform and form the ongoing effort to minimize the global risks associated with the ballast water transfer of non-native organisms.

113. At the very least, project related compliance and monitoring should and will involve, first, an examination of the ship’s logs and records to ascertain the location and the amount of ballast water that has been loaded and where and how much of the ballast was changed. Second, project related compliance and monitoring should include provision for the continuous recording of basic physical/chemical water quality parameters such as turbidity, salinity, temperature, concentration of dissolved oxygen, and pH. Each of these parameters can be monitored by automatic, online equipment that provides continuous readouts for subsequent data storage or for direct transmission to shore. Alternatively, these parameters can be measured concurrently by handheld equipment at regular intervals. According to an estimate made by the U.S. NRC, the cost of these systems would be US $500 to US $2500 per unit, not including installation costs.

114. Each participating country, given particular, important values they determine to be at risk, may

choose to build in additional compliance and monitoring considerations.

115. Regardless of the monitoring system devised for use by each participating country, compliance can only be effective if ship masters know what is required of them and carry out the requirements. Thus there will be a need to develop manuals (Activity 2.5) and other communications that will fully apprise ship masters and appropriate port authorities of Guidelines and other requirements. Activities under Objective 4 would be under the general direction of respective participating country CPTFs.

Objective 5: Make provision, as appropriate, for the creation and operation of Regional or Sub-Regional Task Forces to increase regional level awareness, cooperation and eventual replication of project results across the region.

116. The countries and ports that have chosen to participate in the project are taking an important first step to facilitate local and national compliance with the IMO guidelines and expected Annex/Convention. Ports are competitive and it is possible that a port participating in the project will enact certain requirements that will make other regional ports more attractive to shippers. Regional or Sub-Regional initiatives will be necessary to minimize the possibility that participating ports will be penalized in any way for their project participation. Further, the programs that will be developed in each of the six participating countries and ports should to the extent possible be replicated across the region and discussion would include the necessary sectoral changes required to bring about a regional approach to action. The formation of the RPTFs is intended to facilitate this process. As appropriate RPTFs would be chaired by the participating country project focal point.

Objective 6: Identify opportunities for increased project self-financing during the project, financing after the three year project timeframe, and the initiation of a Donor Conference to secure the necessary additional financing to sustain implementation of IMO, participating country, regional and global efforts to implement IMO provisions.

C.3 PROJECT COMPONENTS/OUTPUTS/ACTIVITIES

OBJECTIVE 1. PROJECT COORDINATION

Objective 1.A Program Coordination Mechanism

The first step towards developing country and port specific ballast water management strategies for replication at regional level will be to create an IMO based Program Coordination Unit (PCU) to bring cohesiveness and consistency to project implementation through the establishment of a global support system.

Outputs: Project Coordination and Management Mechanism established and functioning; particular emphasis to be placed on effective coordination between and among port officials, country representatives, regional organizations, and the private sector.	^{Success Criteria}^: ^{Global Project Task Force established and operational;} ^{PCU is established and operational;} ^{Global information center established and functioning at PCU} ^{Lead country agencies and personnel identified and committed}
Activities:	Responsible Parties	Associated Internat’l Partners
Activity 1.A.1 Recruit and hire the Chief Technical Advisor (CTA), Technical Advisor (Communications Specialist), Associate Programme Officer (subject to finding a donor), requisite administrative and technical support, and short term miscellaneous consultants.	IMO, UNDP
Activity 1.A.2 Create and organize the PCU to facilitate and coordinate the work program of the participating countries, and serve as the communication vehicle between the participating countries, regional and sub-regional task forces, and other nations and entities engaged in work related to ballast water transfer.	IMO
Activity 1.A.3 Review existing and, as necessary, prepare new case studies demonstrating the economic, environmental and public health dangers associated with the transfer of non-indigenous species via ballast water and distribute same to participating countries as part of the necessary program of education for government officials and the full range of affected interests.	PCU, CFPs, consultants	IMO-MEPC, US, Australia, other countries with BWM experience
Activity 1.A.4 Create a Global Project Task Force (GPTF) comprised of senior representatives from IMO, UNDP, and each participating country lead agency and representatives of NGOs, industry and other donors. The GPTF would meet at the direction of the CTA and assist in the formulation and ongoing review of the project and project results. It would also work closely with the PCU to determine appropriate education and training programs for government officials.	PCU, CFPs, UNDP, IMO	ICS, Intertanko, SIGGTO, Friends of the Earth etc.
Activity 1.A.5 In consultation with the respective GEF country focal points and other government officials as necessary, determine a lead agency for each participating country and a senior official within those lead agencies to assume leadership of project activities and represent the participating country in meetings of the Global Project Task Force	PCU, CFPs	Various national agencies
1.A.6 Establish the PCU based global resource information communications center. Develop the coordination, information and evaluation mechanisms to ensure that the results and conclusions of pilot demonstration activities lead to relevant actions to be taken on the part of the Global Project Task Force, Regional Task Forces, Country Project Task Forces, and relevant intersectoral coordinating bodies (including ministries, other government agencies and private sector)	PCU, CFPs, RPTFs, CPTFs	Various national agencies
Activity 1.A.7. Make provision for evaluation and assessment of project results.	IMO, UNDP, consultants

Objective 1.B Establish Six Country Lead Agencies and Convene Initial Communications Workshops in Each Country

Country Lead Agencies will be responsible for coordinating development of country work plans and implementation of activities for the CPTF, project coordination within the country and at the regional level, development of relevant recommendations, guidance and strategy and project implementation and stakeholder involvement at the country level.

Outputs: Establishment of six Lead Agencies one in each participating country; Six workshops to determine country-specific communications needs; communications needs identified for each of the participating countries.	^{Success Criteria}^: ^{Lead Agencies established and functioning; Country Focal Points (CFP) named and assistants designated; Six country communications plans available to the PCU.}
Activities:	^{Responsible Parties:}	^{Associated Internat’l Partners}
Activity 1.B.1 Establish six Lead Agencies and name a Country Focal Point from that agency in each of the six countries.	^PCU ^CFPs
Activity 1.B.2 Plan and hold six country based communications workshops to develop communications approaches, including education and awareness activities with the assistance of the GPTF and senior representatives from participating countries.	PCU, Country Lead Agencies CFPs
Activity 1.B.3 Establish a well-functioning system of communications and data transfer within and among the countries and the PCU using Internet	PCU, IMO, CFPs, Country Lead Agencies

COMPONENT 2. COMMUNITY ASSESSMENT, INFORMATION, EDUCATION, AND PARTICIPATION

Objective 2. Increase Knowledge of and Potential Solutions for Ballast Water Related Transfer of Non-indigenous organisms

Work undertaken during the PDF-B identified lack of information on dangers posed by unmanaged ballast water releases as the most significant barrier to action. Without knowledge, there can be no action. The substantial port and country based informational, educational, and participation programs to be undertaken will help to set priorities and actions for addressing the ballast water issue.

Outputs: Establishment of six Country Project Task Forces (CPTFs). Informational (2 way), educational and broad participatory workshops in the six participating ports/countries. Six community assessment reports. Development of six port/country specific workplans to assure adequate level of ongoing assessment, information dissemination, education activities, and broad participation by affected interests. Creation of a targeted education and training program for shipmasters, owners and port officials.	Success Criteria: CPTFs led by sufficiently senior Country Focal Point and comprised of interministerial representatives to maximize implementation of project results; Workshop attendance characterized by broad participation and resulting in a high quality workshop product; High quality, specific, actionable workplans devised to accommodate port and country specific needs; Project resources made available are sufficient to the full implementation of the workplan; targeted education program is rated as successful by participants and replicated elsewhere.
Activities:	Responsible Parties	Associated Internat’l Partners
Activity 2.1 The PCU, working with each CPTF, will provide resources to identify existing relevant and define potential additional community assessment, education and information activities. These activities must involve the best available expertise from both the natural and social sciences and the full range of affected interests, including NGOs and the private sector.	PCU/Communications Advisor/CPTFs/Communications Consultants	UNDP Country Offices and UN and non-UN Organizations as relevant
Activity 2.2 PCU provision for a workshop in each of the participating countries, under the direction of the CPTFs, to define and evaluate community assessment, information, participation and education strategies, comment upon the project generally, and help shape the country action plan.	PCU/Communications Advisor/CPTFs/ Communications Consultants	UNDP Country Offices
Activity 2.3 Based upon the results of the workshop in Activity 2.2, and reviews of activities undertaken in Activity 1.B.2, devise workplans for the community assessment, information, participation, and education activities of the project.	PCU/Communications Specialist/Communications Consultants/CPTFs	UNDP Country Offices
Activity 2.4 Provide the resources necessary to implement the workplans referenced in Activity 2.3, including resources for the creation and implementation of educational programmes for government officials and identified stakeholders.	PCU/CPTFs
Activity 2.5 Create generic and adaptable versions of course packages which will form a targeted education and training programme for ship masters, owners and operators or their agents as well as port and harbour authorities. This programme should make participants fully aware of the ballast water generally and, more specifically, of their obligations under current and emerging International Guidelines. Using the TRAIN-X methodology, the PCU Communications and Training expert will engage a consultant to assess potential course development units and/or delivery units in the six pilot countries and run one or two two-week course development workshops which will enable them to develop adaptable training packages using TRAIN-X methodology. The initial delivery of each training package will serve as the validation of the course so fellowships are also covered for this. Validated course packages will be sent to training units in each pilot country for adaptation according to the TRAIN-X methodology and subsequent national and regional delivery.	PCU/Communications Specialist/ Consultants/RPTFs/CPTFs

COMPONENT 3. DEFINITON OF SPECIFIC MEASURES

Objective 3. Development of Generic and Country Specific Programs to Define the Measures necessary to Increase the rate of Compliance with IMO Guidelines and to Protect Identified, Country Specific Most Sensitive Values at Risk.

^{If countries are to protect themselves from the dangers associated with the uncontrolled release of ballast water they must undertake to define the nature of the threat, the values that are at risk from the threat, and devise generic and specific measures to protect natural resources and human health. The activities within this objective are intended to facilitate this process.}

Outputs: Lead Agencies or Ministries designated to assume responsibility during and post-project. CPTFs established and functioning in an interministerial context. Completed threats analysis. Information gaps identified and closed. Most sensitive port and country values at risk identified. Country and port specific action plans developed. Legislation and regulatory frameworks updated. Tested public information and participation strategies to address the ballast water issue.	Success Criteria: Agency/Ministry budgets reflect the ballast water priority. Interministerial committees functioning and effective (implementation enhanced). Agency/Ministry budgets adjusted to carry on post-project activities. National and port practices and capacities for effective ballast water management strategies evaluated. Port and country specific ballast water related workplans funded and implemented. Legislation and regulatory structures adjusted and functioning. Assessment and participation activities evaluated for effectiveness.
Activities:	Responsible Parties	Associated or Potential Internat’l Partners
Activity 3.1 Create and provide resources for Country Project Task Forces (CPTFs) in each country. CPTFs would be interministerial in nature, would meet at the call of the Lead Ministry or Agency and chaired by a senior representative of it, and be responsible for project development, implementation, and general project oversight within each participating country. (This includes Assistants to Focal Points in Lead Agencies)	PCU/CFPs/GPTF	IMO/UNDP Country Offices
Activity 3.2 Review existing information regarding the quantity and quality of current ballast water discharges in domestic waterways and determine the existing and potential threats posed by unchecked ballast water transfer on the economy, environment, and on human health.	PCU/CPTF/CFPs	IMO/UNDP Country Offices/WHO/FAO
Activity 3.3 Ascertain existing information gaps and define the activities needed to fill those gaps.	CPTFs/PCU/CFPs	IMO/UNDP Country Offices
Activity 3.4 Based upon a review of results from Activities 3.2, 3.3, 2.3, 2.4, and other sources as deemed necessary, prepare a workplan to devise generic, country and port specific programme of action.	CPTFs/PCU/CFPs	IMO/WHO/FAO
Activity 3.5 Provide support for the review of existing, pertinent domestic legislation and regulatory authorities and make recommendations to bring about the necessary changes to effect the country programme of action.	CPTFs/PCU/CFPs/ consultants
Activity 3.6 Provide the resources necessary to implement the programme of action referenced in activity 3.4, including resources for specific assessment and participation initiatives for the selected Pilot Demonstration Sites and for the creation of a public participation programme aimed at key stakeholders at each site.	CPTFs/PCU/CFPs Consultants	UNDP Country Offices

COMPONENT 4 PROJECT MONITORING AND COMPLIANCE

Objective 4. Generic and Country Specific Compliance and Monitoring Programs to Ensure Compliance with IMO Provisions and Protection of Most Sensitive Values

The most effective workplans, legislation and regulation will be of limited effect if there is not a parallel effort to ensure compliance through effective monitoring and compliance strategies. It will not be possible to eliminate all risks all of the time. Thus it will be important to focus on the identification of and protection for the most sensitive values at risk.

Outputs: A generic compliance and monitoring plan. Country and port specific monitoring plans. Designated port and country agency/ministry for compliance and monitoring responsibility. Generic and country and port specific plans made available to other developing nations.	Success Criteria: The generic plan is being put into use by increasing numbers of developing nations. Elements of the country and port specific compliance and monitoring plans are being adopted by other developing nations. Most sensitive values at risk are being successfully protected against unintentionally introduced non-indigenous organisms.
Activities:	Responsible Parties:	Associated Internat’l Partners
Activity 4.1 Support for the CPTFs to develop generic and, as appropriate, country and port specific compliance and monitoring programmes.	PCU/Participating countries and ports (CPTFs)/Shipping Industry/Consultants	Intertanko, SIGGTO, ICS, etc.
Activity 4.2 Support to create generic, port and country-specific manuals and appropriate reporting forms for ship masters and all other relevant persons or entities detailing in clear fashion expectations with regard to ballast water management.	PCU/Participating Ports and Countries (CPTFs)/Shipping Industry	US, Australia, etc.
Activity 4.3 Support to recruit and train lead agency compliance and monitoring officials for placement at the designated pilot project ports.	PCU/CPTFs/GEF Focal Points/Consultants
Activity 4.4 Support to purchase, test and bring about refinements in analytical equipment capable of monitoring basic physical/chemical water quality parameters, and to train personnel in their use.	PCU/CPTFs

COMPONENT 5 REGIONAL TASK FORCES

Objective 5. Create Regional Project or Sub-Regional Project Task Forces

Creation of effective and active regional task forces helps to reduce the extent to which competing ports in the region may adopt the lowest common denominator in regard to ballast water controls to lure business away from pilot demonstration sites. Regional Task Forces are instrumental in efforts to replicate project results beyond the participating countries.

Outputs: Creation of a regional support base for the work of the project. Increased likelihood of regional cooperation on the ballast water issue. Creation of mechanisms to ensure regional level replication of project demonstration site results. Facilitated process of regional level involvement in the implementation of IMO ballast water related provisions. Creation of an ongoing, ballast water related communications capacity at the regional level.	Success Criteria: Demonstration sites are protected against competing regional ports abiding by poor to no ballast water management practices. Project developed, generic best management practices, training manuals, decision support systems, and ‘tool kits” are employed by other regional countries. A formalized communications system through identified lead agencies is in place and functioning at the regional level. Project regions are an increasingly forceful and effective presence in international. IMO for a where the ballast water issue is being discussed and policy formulated.
Activities:	Responsible Parties	Associated Internat’l Partners
Activity 5.1 Create as appropriate and in cooperation with participating countries, six regional or sub-regional project task forces (RPTFs) to support and learn from the experience of the participating countries and ports.	PCU/Participating Countries (Lead Agencies)/GEF Focal Points	Governments in regional countries
Activity 5.2. Provide for RPTF meetings and ensure effective communications between RPTF and the project	PCU/Participating Countries (Lead Agencies)/GEF Focal Points/Port Officials	Governments in regional countries

COMPONENT 6 PROJECT SELF-FINANCE

Objective 6. Identify Opportunities for Project Self-finance and Initiate a Donor Conference

The project must be instrumental in securing post project financing for the participating countries and other developing countries to continue to build the necessary capacity to adhere to IMO provisions on ballast water management.

Outputs: Specific list of potential donors made available to participating countries and to other countries through the RPTFs. Donor Conference. Specific plan to assist developing countries follow-up on identified donor opportunities.	Success Criteria: ^{Identification of specific interested donors. Active participation of a broad array of donors at the donor conference. Active participation of developing countries from all regions. Specific commitments of donors (including IMO) to continuing post project work as a result of the donor conference and effective follow-up.}
Activities:	Responsible Parties	^{Associated Internat’l Partners}
Activity 1. Review the opportunities for self-finance of project components at regional and national levels, pinpointing the potential economic sources and mechanisms.	PCU/RPTFs/CPTFs	^{IMO, UNDP, WB, Regional Development Banks, National and International Donors, private sector}
Activity 2. Sponsor a donor conference using the on-going GEF project as leverage for the creation of necessary additional donors and the securing of loans and confirm with IMO their support for the continuation of post-project activity from their regular budget.	PCU	^{IMO, UNDP, WB, Regional Development Banks, National and International donors, private sector}

Section I. WORKPLAN

Project Title: Removal of Barriers to the Effective Implementation of Ballast Water Control and Management Measures n Developing Countries

Project No: GLO/99/G31/A/1G/19

Description/Activity	Act. No.	1999		2000												2001												2002
		N	D	J	F	M	A	M	J	J	A	S	O	N	D	J	F	M	A	M	J	J	A	S	O	N	D	J	F	M	A	M	J	J	A	S	O
PERSONNEL
Chief Technical Advisor	1.A.1
Technical Adviser (Communication specialist)	1.A.1
Consultancies: Short-term; Miscellaneous	1.A.1
Consultancies: Resource Information Centre	1.A.6
Consultancies: Development of Train-X methodology for project	2.5
Consultancy: Prepare ship manuals	4.2
Administrative Assistant	1.A.1

MONITORING AND EVALUATION
Evaluation: TPR, APR missions	1.A.7
PCU travel and DSA	1.A.1
Travel in connection with the establishment of RPTF	5.1
Travel, Donor Conference	6.1

CONTRACTS
Prepare case study	1.A.3
CPTFs assessments	2.1
Formulate country workplans	2.3
Support for implementing country workplans	2.4
Support for CPTFs including hiring of assistants	3.1
Review ballast water situation	3.2
Filling gaps in knowledge at country level	3.3
Prepare national action programme	3.4

Description/Activity

Act. No.

1999

2000

2001

2002

Review of existing legislation/regulations

3.5

Support for implementing national action programmes

3.6

Compliance and monitoring programme

4.1

Prepare reporting forms and communication manual for ship’ crews

4.2

Training of officials in monitoring and compliance

4.3

Training in the use of monitoring equipment, case studies

4.4

Course development workshop

2.5

National training of shipmasters, owners, Port Authorities, etc.

2.5

MEETINGS

Meetings, GPTF

1.A.4

Meetings, communication workshops

1.B.2

Meetings, participatory workshops

2.2

Meetings, CPTF

3.1

Meetings, evaluation, RPTF

5.2

Donor Conference

6.2

EQUIPMENT

Expendable equipment (PCU)

1.A.2

Purchase of equipment, monitoring instruments

4.4

MISCELLANEOUS

Sundries

Reporting costs

Miscellaneous

Section J. PROJECT BUDGET

Project Title: Removal of Barriers to the Effective Implementation of Ballast Water Control and Management Measures

in Developing Countries

Project No: GLO/99/G31/A/1G/19

BUDGET (Figures in US dollars)

Budget Line	Description/Activity	Act. No.	Total	1999	2000	2001	2002
10.00	PERSONNEL
11.00	International Experts
11.01	Chief Technical Advisor	1.A.1	450,000	37,500	150,000	150,000	112,500
11.02	Technical Adviser (Communication specialist)	1.A.1	-
11.50	Consultants
11.52	Consultancies: Short-term; Miscellaneous	1.A.1	195,000	10,000	65,000	65,000	55,000
11.53	Consultancies: Resource Information Centre	1.A.6	50,000		50,000
11.54	Consultancies: Development of Train-X methodology for project	2.5	50,000		25,000	25,000
11.55	Consultancy: Prepare ship manuals	4.2	50,000		25,000	25,000
13.00	Administrative support personnel
13.01	Administrative Assistant	1.A.1	180,000	15,000	60,000	60,000	45,000
15.00	Monitoring and evaluation
15.01	Evaluation: TPR, APR missions	1.A.7	80,000		20,000	20,000	40,000
16.00	Mission costs
16.01	PCU travel and DSA	1.A.1	120,000	10,000	40,000	40,000	30,000
16.02	Travel in connection with the establishment of RPTF	5.1	60,000		60,000
16.03	Travel, Donor Conference	6.1	50,000				50,000
19.00	SUB-TOTAL PERSONNEL COMPONENT		1,285,000	72,500	495,500	385,000	332,500

20.00	CONTRACTS
20.01	Prepare case study	1.A.3	100,000		50,000	50,000
20.02	CPTFs assessments	2.1	150,000		50,000	50,000	50,000
20.03	Formulate country workplans	2.3	60,000		60,000
20.04	Support for implementing country workplans	2.4	665,000		220,000	220,000	225,000
20.05	Support for CPTFs including hiring assistants	3.1	480,000		160,000	160,000	160,000

Budget Line	Description/Activity	Act. No.	Total	1999	2000	2001	2002
20.06	Review ballast water situation	3.2	130,000		130 000
20.07	Filling gaps in knowledge at country level	3.3	150,000		80,000	40,000	30,000
20.08	Prepare national action programme	3.4	250,000		250,000
20.09	Review of existing legislation/regulations	3.5	250,000		250,000
20.10	Support for implementing national action programmes	3.6	510,000		170,000	170,000	170,000
20.11	Compliance and monitoring programme	4.1	225,000		75,000	75,000	75,000
20.12	Prepare reporting forms and communication manual for ships’ crews	4.2	100,000			100,000
20.13	Training of officials in monitoring and compliance	4.3	390,000		130,000	130,000	130,000
20.14	Training in the use of monitoring equipment, case studies	4.4	180,000		60,000	60,000	60,000
29.00	SUB-TOTAL CONTRACTS COMPONENT		3,640,000		1,685,000	1,055,000	900,000

30.00	TRAINING/MEETINGS
32.00	Training
32.01	Course development workshop	2.5	70,000		70,000
32.02	National training of shipmasters, owners, Port Authorities, etc.	2.5	180,000		60,000	60,000	60,000
33.00	Meetings
33.02	Meetings, GPTF	1.A.4	60,000		20,000	20,000	20,000
33.03	Meetings, communication workshops	1.B.2	120,000		120,000
33.04	Meetings, participatory workshops	2.2	150,000		150,000
33.05	Meetings, CPTF	3.1	300,000		100,000	100,000	100,000
33.06	Meetings, evaluation, RPTF	5.2	630,000		210,000	210,000	210,000
33.07	Donor Conference	6.2	50,000				50,000
39.00	SUB-TOTAL TRAINING/MEETINGS COMPONENT		1,560,000		739,000	390,000	440,000

Budget Line	Description/Activity	Act. No.	Total	1999	2000	2001	2002
40.00	EQUIPMENT
45.01	Expendable equipment (PCU)	1.A.2	50,000		50,000
45.02	Purchase of equipment, monitoring instruments	4.4	60,000		60,000
49.00	SUB-TOTAL EQUIPMENT COMPONENT		110,000		110,000

50.00	MISCELLANEOUS
51.01	Sundries		35,000	5,000	10,000	10,000	10,000
52.02	Reporting costs		30,000		10,000	10,000	10,000
53.02	Miscellaneous		60,000		20,000	20,000	20,000
59.00	SUB-TOTAL MISCELLANEOUS COMPONENT		125,000	5,000	40,000	40,000	40,000
	TOTAL:		6,720,000	77,500	3,060,000	1,870,000	1,712,500
	Executing Agency support 10%		672,000
	GRAND TOTAL		7,392,000

Budget Description

138. The GEF budget portion implemented by UNDP will be executed by IMO. Brief descriptions of additional aspects of the budget are summarized below.

139. International Experts: International Experts will be recruited internationally, using processes and procedures well established by the IMO and accepted by its member states. Their salaries and expenses will be paid according to scales reviewed regularly by the IMO worldwide. Job Descriptions are available in Annex I.

140. Project Coordinator: Also referred to as a Chief Technical Advisor, this individual will be responsible for overall management and coordination of the implementation of the GEF/UNDP/IMO Project. This individual will be recruited by the IMO with the participation of UNDP and in consultation with the participating countries. He or she will be located in the offices of the IMO in London, UK. Full TOR in Annex I.

141. Technical Advisor (Communications Specialist): The Advisor will assist in focusing effort on the substantial communications aspects and challenges associated with successful achievement of project objectives. This individual will also be recruited by the IMO but with the strong input of the CTA. He/she will also be located in the offices of the IMO in London, UK. IMO will fund this post out of its project AOS. Full TOR in Annex I.

142. Requisite Administrative and Secretarial Assistance: The requisite administrative and secretarial assistance will be determined by the CTA consistent with the financial arrangements for that purpose as described in this document. Administrative and secretarial personnel will also be located in the offices of the IMO in London, UK. Full TOR in Annex I.

Terms of Reference

143. Abbreviated Terms of Reference for Short-term International Consultants, Local PCU Staff and National Project Professional Personnel (NPPPs) are below. Full Terms of Reference for PCU staff are in Annex I.

1. Short-term International Consultants

144. Short-term international consultants will give technical inputs to the national and regional working groups, act as resource persons, and give methodological guidance in organizing meetings and workshops. International expertise will be required in the following themes (detailed Terms of References will be prepared by the CTA during project implementation):

2. National Project Professional Personnel (NPPP)

145. In consultation with the CTA, National Professionals and Consultants will be recruited from qualified candidates from the participating countries to work at the national level. National Consultants will play an important role in the work of the CPTFs. Each country will be funded to hire an Administrative Assistant to assist the Country Focal Point in the effective and efficient administration of the country program. The detailed Terms of References will be prepared by the CTA, in collaboration with the designated Country Focal Point, during project implementation. Country Focal Points, through their Administrative Assistants will be responsible for the recruitment and hiring of national consultants as deemed necessary for the success of the project, in collaboration with the CTA and UNDP Country Offices as required.

Subcontracts:

146. The majority of the work being done both by international agencies and by the countries will be conducted under the mechanism of subcontracts. Subcontracts will be executed with the individual institutions, agencies, NGO or other recognized, legal entity to perform specific activities associated with the GEF/UNDP project. The subcontract will be based on specific terms and scope of work, agreed to prior to executing the contract, and shall be issued using IMO guidelines.

Training:

147. Training will be made available through small grants, for a variety of mechanisms. Most training is targeted in the areas of training shipping and port officials and for monitoring and compliance. In addition, meeting expenses are included in this category, to cover the local costs associated with hosting meetings in the region.

Equipment:

148. Equipment costs include that required for establishing the PCU and the inter-country communication costs. Where practicable equipment will be purchased within the participating country. However, provision is made to purchase some equipment internationally, if not available within a country. Equipment costs include both permanent equipment as well as expendable supplies and equipment. Communications costs are budgeted for the PCU, CPTFs, and RPTF. Finally, Office Operations and Maintenance costs are provided for the PCU.

Miscellaneous Costs:

149. Costs are included for reporting costs (publications, technical documents) for the PCU. Sundries are for PCU-associated items not falling under previous categories.

Support Costs:

150. Ten per cent of the costs of the GEF/UNDP/IMO Project are made available to IMO for Project Support costs (AOS – Administrative and Operational Support) These funds will be used to:

a) Fund the Technical Advisor (Communications Specialist)

b) Cover project administrative and financial management activities

c) Cover project-related IMO Mission Travel

ANNEX I

Terms of Reference

Ballast Water Management Program

Program Coordination Unit (PCU)

London, UK

Background: The PCU will provide a coordination and management structure for the development and implementation of the Ballast Water Management Program in accordance with the rules and procedures of GEF/UNDP and IMO and based on direction provided by the Global Project Task Force.

Tasks:

· Assistance in networking between and among the Regional Task Forces, Country Project Task Forces, Lead Agencies, and Country Focal Points in the six participating countries (Brazil, China, India, Iran, South Africa, Ukraine);

· Organization of program and technical cooperation activities between and among the six participating countries for capacity-building, ballast water related policy development, management and pre-investment activities;

· Organization of consultative meetings for introducing and implementing program activities;

· Collection and dissemination of information on policy, economic, scientific and technical issues related to the program;

· Provision of support for the preparation of demonstration studies and activities;

· Preparation of progress reports (technical, administrative and financial) concerning program activities;

· Establishment of and assistance in networking between specialized institutions in participating countries and technical specialists from elsewhere;

· Assistance in involving the private sector in the pilot demonstration projects;

· Coordination of international, multi-lateral and bilateral ballast water related activities in the participating countries, where appropriate; and

· Program management (financial, logistical and strategic) particularly in the context of the GEF/UNDP and related projects;

· Submission of quarterly reports to IMO.

ANNEX I (continued) - Job Descriptions for the Programme Coordination Unit Staff

A. Professional Staff

Chief Technical Advisor (CTA)

General Job Description

The CTA shall be responsible for the overall coordination of all aspects of the Ballast Water Management Program in general and in particular. He/she shall liaise directly with the GPTF, RPTFs, CPTFs, potential additional project donors, Country Focal Points and the representatives of GEF partners, in order to coordinate the annual work plan for the program. The work plan will provide guidance on the day-to-day implementation of the current project document and on the integration of the various donor funded parallel initiatives. He/she shall be responsible for delivery of all substantive, managerial and financial reports from the Project. He/she will provide overall supervision for all GEF staff in the Program Coordination Unit as well as guiding and supervising all external policy relations. He/she shall consult with, and coordinate closely with, the Principal Project Resident Representative, senior representatives of partner agencies as well as the respective UNDP officers in all participating countries.

Duties

The CTA will have the following specific duties:

· to manage the GEF Components of the PCU, its staff, budget and imprest fund;

· to prepare the annual work plan of the program on the basis of the Project Document, in close consultation and coordination with the GPTF, Country Focal Points, GEF Partners and relevant donors;

· to coordinate and monitor the activities described in the work plan;

· to ensure consistency between the various program elements and related activities provided or funded by other donor organizations;

· to prepare and oversee the development of Terms of Reference for consultants and contractors;

· to coordinate and oversee the preparation of the substantive and operational reports from the Program; and

· to foster and establish links with other related GEF programs and, where appropriate, with other relevant regional International Waters program

· to submit quarterly reports to IMO.

Skills and Experience Required

· post-graduate degree in Environmental Management, Engineering or a directly related field (e.g. applied marine science, natural resources economics, etc.);

· at least twenty years experience in fields related to the assignment. At least ten years experience as a senior project manager. Demonstrated diplomatic and negotiating skills;

· familiarity with the goals and procedures of international organizations, in particular those of the GEF partners (UNDP, IMO, World Bank);

· excellent knowledge of English; and

· familiarity with the shipping industry and issues related to the industry generally; direct knowledge of or work experience in one or more of the participating countries would be an asset.

Duty station: London, UK

Duration: Three years on a fixed-term contract

Suggested post level: D1

ANNEX I (continued) - Job Descriptions for the Program Coordination Unit Staff

Technical Advisor (Communications Specialist)

General Job Description

The Advisor will be responsible for information capture, exchange and networking between a wide range of project participants including government officials, scientists, non-governmental organizations and the public at large. He/she will work closely with institutional focal points, project lead agencies, specialized UN Agencies, international NGOs, national and local NGOs, and will cooperate with and encourage activities of other donors in the area of project communications. He/she shall work under the supervision of the CTA within the Program Coordination Unit (PCU), which will be established in London, UK.

Duties

The Advisor will have the following specific duties:

· to generate and maintain a directory of all persons and institutions engaged in work related to the implementation of the program;

· to supervise data exchange and the maintenance of the data communications network between and among project related institutions and individuals;

· to create, edit, and distribute a regular information bulletin on the program;

· to supervise the development of a library and internal communications system for the PCU;

· to supervise the development and maintenance of information management strategies with particular emphasis on development of the global resource information center;

· to develop and maintain a World Wide Web home page for the project;

· to liaise with donors, specialized UN Agencies (such as IMO, FAO, WHO, UNESCO), international NGOs (such as WWF, IUCN) and other organizations involved in establishing and managing related programs;

· to consult in the creation of and supervise the creation of participation, information, and education programs in each participating country; and

· to assist with the administration of other information-related communication issues where required by the CTA.

Skills and Experience Required

This post has a requirement that the incumbent be highly familiar and have direct work experience in communications technologies and the development of public information, involvement, and education strategies. The incumbent should have direct experience in one or more of the participating countries and be fully fluent (including a proven writing and editing ability) in English. Fluency in one or more of the languages of the participating countries is desirable.

Other requirements are as follows:

· post-graduate degree in environmental science, information management or a directly related field;

· at least five years experience in the international arena dealing with information exchange and international scientific/environmental management projects;

· proven experience with international communications, computer data bases, web design and information systems;

· experience in training other specialists.

Duty station: London, UK

Duration: Three years on a fixed-term contract

Suggested post level: Grading consistent with IMO guidelines.

ANNEX I (continued) - Administrative Structure of the PCU

The administrative staff of the PCU will consist of an Administrative/Secretarial Officer and short-term, additional administrative and secretarial assistance as needed. IMO procedures will be employed in hiring the full time position and the requisite short-term support. The staff of the IMO will provide additional administrative support to the PCU.

Administrative Assistant

General Job Description

Under the supervision of the CTA, the Administrative/Assistant will manage the day to day operations of the PCU, particularly with respect to technical services, staff support, and, with the assistance of the administrative unit of the IMO, financial, procurement (including importation, permits, etc.) and personnel matters. The post holder will be the principal line of liaison between the PCU and the IMO in all financial and administrative matters.

Duties:

· Under the supervision of the CTA, the Administrative Assistant will:

· Prepare internal and external correspondence for the PCU, maintain files and assist in the preparation

of documentation for meetings;

· Use the Internet and conduct research on availability of scientific, legal and technical information on

topics related to the project implementation at all sites;

· Develop and update a data base of ballast water management techniques and practices;

· Liaise with the Environment, Administrative and Technical Co-operation offices of IMO on matters

related to the PCU personnel and field staff.

· Assist in organizing project activity meetings and participate in the meetings of the Ballast Water

Working Group of MEPC.

· Co-ordinate and assist in travel arrangements of the PCU staff and field project personnel;

· Prepare press releases, statements and speeches on the project activities;

· Undertake such other duties as may be assigned by the CTA.

Skills and Experience Required:

· Higher education (secondary education or equivalent as experience can be considered).

· Several years' experience of work in international organizations/agencies, governmental offices,

research or training organizations.

· Complete proficiency in English; good knowledge of French or other working/official UN languages

will be an advantage.

· Fluency on computer and various software, Internet skills.

· Reliability, initiative, a methodical approach and attention to detail.

· Ability to work under general guidance or independently.

· Willingness to work substantial periods of overtime at short notice.

Duty Station: London, UK

Duration: 3 years on a fixed term contract

Suggested Post Level: Grading consistent with IMO guidelines.

Terms of Reference

Global Project Task Force (RPTF)

Background: The GPTF will direct the activities of the Project. The GPTF will make decisions based on the principle of consensus.

Membership: Initial Global Project Task Force membership will include a representative from each of the six participating countries as well as one each from GEF/UNDP, the Private Sector, the NGO Community and the IMO. The Program Coordination Unit (PCU) Chief Technical Advisor will act as Secretary to the GPTF. Additional members can be added at the discretion of the GPTF.

Tasks:

· Provide overall strategic policy and management direction to the Project;

· Assist in identifying and allocating Project support for activities consistent with Project objectives;

· Annually review and assess the progress of the Project and its components;

· Annually review and approve the work plan and comment on the budgets of the Project and its activities, and provide strategic direction on the work plan;

· Provide guidance to the PCU in coordinating and managing the Project and its activities;

· Create mechanisms for interaction with the Private Sector (shipping, ports), NGO and other stakeholder

(e.g. public health) communities; and

· Seek additional funding to support the outputs and activities of the project.

ANNEX I (cont’d)

Terms of Reference

Country Project Task Forces (CPTFs)

Background: The CPTFs will will provide guidance, ensure coordination, and oversee implementation

of the Project through a wide range of National institutions and organizations necessary to successful implementation. Each CPTF will be comprised of a Chair who will be the Country Focal Point of the

project. Each Country Focal Point will have the services of a full time Administrative Assistant.

Membership of the CPTF will include, in addition to the Chair, officials from ballast water related agencies at the governmental level (including public health), key stakeholder groups, the private sector (shipping, ports) and the NGO community. The Administrative Assistant will serve as Secretary to the CPTF. The CPTF will meet at the call of the Chair.

Tasks:

· Ensure an integrated and coordinated approach to facilitating the sectoral changes needed for the

creation of an effective ballast water management strategy and action plan at the national level;

· Identify national modalities for the implementation of various Project Components;

· Develop, support and coordinate all national activities relevant to the project;

· Liaise as necessary with other Country project Participants, the RPTF, and the PCU;

· Coordinate and ensure timely delivery of national contributions to the Project;

· Assume responsibility for national contributions to the Project;

· Ensure an effective and comprehensive public information, education and participation program

and undertake as necessary community assessment activities;

· Facilitate national and donor contributions to necessary ‘baseline’ activities needed to develop and

implement the country ballast water management strategy.

Annex I (cont’d.)

Terms of Reference

Regional Project Task Forces (CPTFs)

Background: The RPTFs will…..

Tasks:

(to be completed during first year in consultation with GPTF and CTA)

ANNEX II

Relationship Between IMO Regular

Activities and the GEF Project

IMO – Member States GEF/UNDP

Now

1. IMO Natural Base

2. Voluntary Guidelines No country demonstrations

3. No PCU to support country

Activities

GEF Project 1. Jump-start PCU at IMO/HQ

2. Phase down GEF funding

3. Fund demonstration sites in six countries

4. Document barriers and strategies to overcome them

5. Demonstration sites do log checks, sampling, control, monitoring and risk assessment.

2001 – 1. Mandatory protocol in place Countries assume ongoing responsibility

2. Fully funded PCU at IMO to for ongoing ballast water related activity.

support country activities

ANNEX III

Regional Participation Plan

One of the early tasks of the project will be preparation of a Strategic Plan to secure effective regional participation and cooperation and to ensure replication of results. The objective of a regional approach is

to convene key regional actors, through the creation of regional task forces convened by the PCU with IMO assistance, to plan and execute a regional approach that will be driven in part by the demonstration projects developed at each of the participating ports and countries. Key principles in the work of the regional task

forces will include:

· development of an integrated approach

· use of a lead agency and key managers in each country

· a commitment to risk minimization re. ballast water discharge

· effective communications

· recognition of the need to recognize the essential role of shipping, the importance of the marine environment, and to balance the two

· recognition of the sovereign rights and obligations of each country

· the incorporation of new knowledge and information into regional decision-making

· the need for consistency with IMO/MEPC directions in ballast water management.

The key elements of a regional strategy would include:

· improved knowledge of invasive marine species issues and its relationship to ballast water management

· development and implementation of a set of arrangements which will, to the maximum extent practicable, minimize the transfer and establishment of invasive marine species

· identification of affected interests and the productive involvement and cooperation of those

interests in the work of the project

· provision of information to, and collection of information from, affected interests on problems identified, solutions developed, and practical approaches to application and management

· development of regional consistency in management of the issue and approaches to be adopted

· provision of linkage between international regulatory approaches and a legally binding IMO Guideline (expected new MARPOL Annex) under development.

Project Number: GLO/99/G31/A/1G/19	Summary of UNDP and Cost-Sharing

Project Title:	UNDP:	Current	Previous	Change
Removal of Barriers to the Effective Implementation of Ballast Water Control and Management Measures in Developing Countries	TRAC (1&2)
Project Short Title:	TRAC (3)
Global: Ballast Water Management	Other (GEF)	$6,720,000
Estimated Start Date: 1 November 1999
Estimated End Date: 31 October 2002
Management Arrangement: UN Agency Execution
Designated Institution:	Other
N/A	Government	$0
UN Implementing Agency:	Financial Inst.	$0
International Maritime Organization (IMO)	Private Sector	$0
GEF Implementing Agency:
UNDP	Sub Total	$6,720,000
Project Sites:
Sepetiba, Brazil; Dalian, China; Mumbai, India; Kharg Island, Iran; Saldanha, South Africa; Odessa, Ukraine; London, UK	AOS:	$672,000*
Beneficiary Countries:	SOF 03 (TRAC)
Brazil, China, India, Iran, South Africa, Ukraine	PPRR (3%)
	SOF 07
HQ PAC Approval Date: 5 October 1999
Program Officer: Philip Reynolds	GRAND TOTAL	$7,392,000

* see paragraph 150	Government inputs Brazil South Africa China India Iran Ukraine Total, Gov’ts	(in-kind) $155,000 $380,000 $920,000 $900,000 $145,000 $300,000 $2,800,000

APR Annual Project Review

APO Associate Program Officer

CPTF Country Project Task Forces

CTA Chief Technical Advisor

DSS Decision Support System

A.2 Previous Experience/Lessons Learned

A.6 Major Actors/Port Descriptions/Administrative Framework/Government Departments

86. “Good Practice” measures will include options at each of the three phases in the continuum of ballast water management. These measures, part of a generic “tool kit”, would be implemented when indicated by the DSS that some action is necessary.

B.4 Special Consideration

Section C - DEVELOPMENT OBJECTIVE/IMMEDIATE OBJECTIVES/OUTPUTS/ACTIVITIES

UNDP Country Offices

UNDP Country Offices

D 1. Government Inputs

Ukraine $ 300,000

Section E. RISKS/PRIOR OBLIGATIONS

E 1. Risks

Section G. MONITORING, REPORTING AND EVALUATION

Project No: GLO/99/G31/A/1G/19

D

Description/Activity

in Developing Countries

Project No: GLO/99/G31/A/1G/19

Total

Budget

Description/Activity

Description/Activity

Total

1. Short-term International Consultants

2. National Project Professional Personnel (NPPP)

Support Costs:

Terms of Reference

Program Coordination Unit (PCU)

Country Project Task Forces (CPTFs)

Background: The CPTFs will will provide guidance, ensure coordination, and oversee implementation

of the Project through a wide range of National institutions and organizations necessary to successful implementation. Each CPTF will be comprised of a Chair who will be the Country Focal Point of the

project. Each Country Focal Point will have the services of a full time Administrative Assistant.

Regional Project Task Forces (CPTFs)

Background: The RPTFs will…..