INTERNATIONAL WATERS
EXPERIENCE NOTES
2
http://www.iwlearn.net/experience








2007-006

Piloting a New Convention: How
GloBallast Pilot Countries Catalyzed
Approval of the Ballast Water
Convention

Abstract: In anticipation of the new Ballast Water Management Convention, IMO joined forces with the
GEF and UNDP to implement the Global Ballast Water Management Programme (GloBallast). The
convention is the first IMO instrument where reliance on modern equipment and ballast water treatment
technologies is combined with an adequate understanding of the quality and the impact of ballasting
operations on coastal waters. Globallast directly contributed to passage of international environmental
legislation which is now moving through the process of country ratification and entry into force. The GEF
project was instrumental in building awareness, building consensus amongst countries north and south,
helping to push the decision making process, and leveraging significant co-financing. The following
lessons can be gleaned from the GloBallast experience: environmental protection efforts can be greatly
enhanced when the governmental agencies are directly responsible, countries involved in pilot efforts can
be instrumental with respect to generating regional or global concerted action, it is very important that all
key stakeholders are involved in the discussions when a major convention is under debate and while GEF
projects can be instrumental in developing support for international conventions, they can also suffer
obstacles and delays in achieving project objectives ­ when tied to the outcomes of these often lengthy
international legal negotiations. GloBallast established new environmental champions amongst the pilot
countries, possessing technical knowledge and experience that can aid other countries ­ north and south.
The project serves as an example of positive working relations with the shipping industry on an important
global environmental issue that will entail significant additional costs to it.

Alan Fox
Alan.fox@transboundaryconsulting.com
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Piloting a New Convention: How GloBallast Pilot Countries Catalyzed
Approval of the New Ballast Water Convention

Experience of the GEF - sponsored

GEF/UNDP: Removal of Barriers to the Effective Implementation of Ballast
Water Control and Management Measures in Developing Countries
GEFID: 610, GLO/99/G31

PROJECT DESCRIPTION
risk assessments, port biota baseline surveys,

training in implementation of the IMO Ballast
The long term objective of the project is to assist
Water Guidelines, in-country research and
developing countries in reducing the transfer of
development projects, assistance with national
harmful organisms in ship's ballast water. The
ballast water legislation and regulations, training
project was designed to increase the extent to
and technical assistance with compliance
which ships calling on developing country ports
monitoring and enforcement, assistance with
adhere to the (then) voluntary international
developing national ballast water management
guidelines of the International Maritime
strategies and action plans, assistance with
Organization (IMO), and to assist these
developing self-financing mechanisms, and
developing countries in the development of
initiation of cooperative regional arrangements
programmes necessary to implement an
for ballast water management.
anticipated Ballast Water Management

Convention.
THE EXPERIENCE


In anticipation of adoption of the new Ballast
Issues and Challenges
Water Management Convention, IMO joined

forces with the Global Environment Facility
The introduction of aquatic species to new
(GEF) and the United Nations Development
environments, including through ships' ballast
Programme (UNDP) to implement the Global
water and sediments, is considered to be one of
Ballast Water Management Programme
the greatest threats to the world's coastal and
(GloBallast). The Development Objectives of
marine environments. It is estimated that from 3
this technical cooperation programme (2000-
to 5 billion tonnes of ballast water are carried
2004) were to assist developing countries to:
around the world by ships each year. While

ballast water is essential to the safe operation of
S reduce the transfer of harmful aquatic
ships, it also poses a serious environmental
organisms and pathogens in ships' ballast
threat, in that more than 7,000 different species
water,
of microbes, plants and animals may be carried
S implement the then existing IMO Guidelines,
globally in ballast water each day. When
and
discharged into new environments these
S prepare for the implementation of a new
organisms may become invasive, severely
Ballast Water Management Convention.
disrupt the native ecology, and seriously impact

on the economy and cause human diseases and
The Programme aimed to achieve these
even death.
objectives through six initial demonstration sites,

located in six Pilot Countries (Brazil, China,
Developing countries are among the largest
India, I.R. Iran, South Africa and Ukraine)
"importers" of ballast water due to their
representing six developing regions of the world.
significant exports of bulk commodities. Exports
Activities carried out at these sites focused on
of oil, ores, phosphates and other raw materials
institutional strengthening and capacity building
and bulk cargoes are in many cases the primary
and included establishment of National Lead
source of revenue for developing countries and
Agencies and Focal Points for ballast water
an important component of their national
issues, formation of cross-sector / inter-
economies. On the other hand, developing
ministerial National Task Forces, communication
countries are frequently dependent on their
and awareness raising activities, ballast water
coastal and marine environments as the main
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source of living for coastal populations and as a

major tourist attraction. Countries where ballast
The Ballast Water Management Convention took
water is loaded, are also under pressure to see
14 years of complex negotiations between IMO
that the ballast is safe enough to be discharged
member States before being adopted by
at the destination ports
consensus at a Diplomatic Conference held at

IMO Headquarters in London on Friday 13
There have been numerous global calls for
February 2004.
action at the international level to deal with the

invasive species threat from the transport and
Traditionally, IMO conventions aim at the
discharge of ballast water across the world's
improvement of ships, equipment and
oceans. Existing international laws, including
procedures and are mainly directed at flag
the UN Convention on the Law of the Sea and
States. Many of the requirements under the
the Convention on Biological Diversity, were
Ballast Water Management Convention fall into
viewed as helpful yet not specific enough. They
this category. However, this is the first IMO
include mandates governing the intentional or
instrument where reliance on modern equipment
accidental introduction of harmful or alien
and ballast water treatment technologies (flag
species to the marine environment, however
States) is combined with an adequate
they do not specifically address the complex
understanding of the quality and the impact of
dynamics of shipping and ballast water
ballasting operations on coastal waters (coastal
management ­ where ship safety and marine
States). It is a unique situation where the
environmental protection must be reconciled.
important role of the coastal State is explicitly

acknowledged by an IMO Convention. The
Addressing the Issue
Convention provides a critically needed set of

management tools through which the maritime
IMO responded to the ballast water
industry can be regulated in a manner that is
management issue by:
predictable, transparent and responsive with

regard to environmental benefits, technological
S forming a Ballast Water Working Group
achievability and international consistency.
under its Marine Environment Protection
Moreover, the Convention also provides for
Committee (MEPC),
processes through which the ballast water
S adopting Guidelines for the Control and
performance standard may be adjusted, based
Management of Ships' Ballast Water to
on the availability of technology to meet that
Minimize the Transfer of Harmful Aquatic
standard, as determined by a pre-
Organisms and Pathogens (Assembly
implementation review process, which again is a
Resolution A.868(20), hereafter referred to
unique feature of this Convention.
as the IMO Guidelines),

S joining forces with the Global Environment
Adoption of the new Convention provided a
Facility (GEF) and United Nations
much needed standardised, international regime
Development Programme (UNDP) to assist
to address this global threat. Considering the
developing countries to prepare for the
enormous scientific and technological
Ballast Water Convention, through the
challenges, and the highly complex and multi-
Global Ballast Water Management
disciplinary nature of the problem, development
Programme (GloBallast-
of this new instrument is a significant global
http://globallast.imo.org).
environmental achievement, and its successful
S developing a new international legal
adoption was greatly aided by the GEF project,
instrument (Convention) on ballast water
and its six pilot countries.
management (entitled
International

Convention for the Control and Management
During the extensive deliberations prior to
of Ships' Ballast Water and Sediments,
adoption of the convention, the leadership of the
hereafter referred to as the Ballast Water
six pilot countries: Brazil. China, India, Iran,
Management Convention), that was adopted
South Africa and Ukraine, was considered
by an IMO Diplomatic Conference in early
instrumental in building support amongst the
2004.
IMO members. It was notable that these leading

"developing" countries were in the forefront of
New international convention on ballast
the effort. Their experience and credibility,
water management
forged through the GEF project, was critical in
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swaying doubters, especially amongst the major
instrumental with respect to generating
shipping nations.
regional or global concerted action. In this

case, the involvement of leading maritime
RESULTS AND LEARNING
developing countries; China, India, Brazil,

Iran, South Africa and Ukraine, provided
The GEF project has directly contributed to
significant political weight when the issue
passage of international environmental
was debated at IMO. These countries were
legislation which is now moving through the
able to argue persuasively that this was an
process of country ratification and entry into
issue of global importance and was not the
force. The Diplomatic Conference to adopt the
case of the (developed) countries foisting an
Convention was presided by India, one of the
expensive initiative onto the developing
Pilot Countries. All Pilot Countries signed the
world.
final act of the Convention. Currently, 10
S It is very important that all key stakeholders
countries have ratified the convention:
are involved in the discussions when a
Barbados, Egypt, Kiribati, Maldives, Nigeria,
major convention is under debate which has
Norway, Saint Kitts and Nevis, Spain, Syrian
significant implications for governments and
Arab Republic and Tuvalu. All GloBallast pilot
industry. The GloBallast Project
countries have indicated their intention to ratify
Management Unit, and IMO, maintained a
and are currently engaged in their internal
close working relationship with industry
country ratification procedures.
during the course of the convention drafting

effort. Industry members were on the
The GEF project was instrumental in:
GloBallast project steering committee and

were closely involved in the negotiations on
S Building awareness and then support for a
drafting the treaty and subsequently in
technically complex subject ­ with significant
drafting regulations. As a consequence,
economic impact for countries and their
there has not been a strong industry push
marine industries.
against the effort, and consequently
S Utilizing developing country support to build
governments have not had to balance
consensus amongst countries north and
conflicting pressures.
south
S Some of the GloBallast project outputs and
S Helping to push the decision making
activities were directly tied to passage of the
process at the IMO to take actions that will
Ballast Water Management Convention.
limit the invasive species threat from ship
However countries were reluctant to make
ballasting operations.
rapid regulatory changes or institute specific
S Spurring consensus in support of developing
procedures for ballast water management,
an international environmental-related
for instance reporting procedures, until the
convention
convention specifics, and IMO guidelines,
S Catalyzing an unprecedented international
were established. This suggests that while
cooperation, that is gaining further
GEF projects can be instrumental in
momentum
developing support for
international
S Leveraging significant co-financing from
conventions, they can also suffer obstacles
participating countries and industry
and delays in achieving project objectives ­
S Enabling passage of the convention even as
when tied closely to the outcomes of these
the technical remedies were under
often lengthy international legal negotiations.
development


REPLICATION
The following lessons can be gleaned from

the GloBallast experience:
The GloBallast success in support of an

international convention can be replicated for
S Environmental protection efforts can be
other similar environmental conventions;
greatly enhanced when the governmental
however there are critical factors that must be
agencies directly responsible ­ in this case ­
taken into account to achieve a similar high level
marine and coastal protection, are
of success:
significant actors ­ along with environmental

agencies.
S International shipping is an industry with
S The countries involved in pilot efforts can be
long experience dealing with international
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conventions and regulations, so the Ballast
has set in motion a major shift in ship ballast
Water Management Convention sits atop a
water management, with an expected significant
number of accepted international
reduction in the risk of marine invasive species.
environmental requirements (MARPOL).
GloBallast established new environmental
Other industries that are regulated through
champions amongst the pilot countries,
national and local requirements may be
possessing technical knowledge and experience
more resistant to setting out international
that can aid other countries ­ north and south.
norms.
GloBallast serves as an excellent example of
S The industry that is directly related to the
positive working relations with industry on an
Ballast Water Management Convention is
important global environmental issue that will
comparatively narrow and generally well-
entail significant additional costs (billions of
financed. If the requirements are universally
dollars) to the shipping industry. The GloBallast
adopted, then there is no strategic
project provided an opportunity for GEF to
advantage from one shipper to another, thus
achieve close cooperation with IMO and
providing the industry a level playing field. It
maritime authorities. This cooperation continues
also then enables the costs to be passed on
with a follow up project (GloBallast
to those who contract to have their goods
partnerships), in the pipeline for early 2008 start
shipped. Efforts with a more diffuse impact
up, which will extend cooperation on ballast
on industry may find it difficult to generate
water management to 13 regions and 44
the same degree of industry support and
countries world-wide.
approval, and consequently may encounter

greater resistance.
REFERENCES
S IMO is well considered for its technical

competence on maritime issues. It has
Additional information on the GloBallast Project,
strong support from member states and
its successor (GloBallast Partnerships) and the
shipping-related industries, and has long
status of the IMO Ballast Water Convention is
success in approving treaties and having
available.
them ratified by its member states. For

future efforts, stakeholder perceptions of the
S To view the homepage of the GEF Global
technical competence and `fairness' of the
Ballast Water Management Programme:
executing agency will certainly have an
http://globallast.imo.org/index.asp
impact on the chances for adopting new
S For information on the new convention:
international laws.
http://globallast.imo.org/index.asp?page=me
S As noted in the lessons learned section
pc.htm&menu=true
above, the selection of pilot countries is
S The general contact information for the
critical if one of the goals is to champion
International maritime Organization:
new international norms. The GloBallast
http://www.imo.org/
pilots had a strong self-interest to deal with

the problem; they had leverage with their
KEYWORDS
shipping industries, and clout amongst the

IMO membership. Future GEF efforts must
S Ballast Water
take into account the role that pilot countries
S GloBallast
can play as regional champions.
S International Martime Organization
S The GloBallast effort was seen by IMO as a
S International Convention for the Control and
crucial tool for convention passage, a spur
Management of Ships' Ballast Water and
to research and development, and vital for
Sediments
providing technical assistance on ballast
S Invasive Aquatic Species
water management to member states.

Future GEF projects can achieve similar
The Global Environment Facility (GEF)
outcomes if they likewise are closely linked
International Waters Experience Notes series
to the ongoing technical assistance priorities
helps the transboundary water management
of the executing agency.
(TWM) community share its practical

experiences to promote better TWM.
SIGNIFICANCE
Experiences include successful practices,

approaches, strategies, lessons, methodologies,
As a direct result of the GloBallast project, IMO
etc., that emerge in the context of TWM.
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