GUIDELINES FOR THE CONTROL AND
MANAGEMENT OF SHIPS' BALLAST WATER TO MINIMIZE THE TRANSFER OF HARMFUL AQUATIC
ORGANISMS AND PATHOGENS
(Adopted
on 27 November 1997)
THE
ASSEMBLY,
RECALLING
Article 15(j) of the Convention on the International Maritime Organization
concerning the functions of the Assembly in relation to regulations and
guidelines concerning prevention and control of marine pollution from ships,
RECALLING
ALSO resolution A.774(18) by which it recognized that the uncontrolled
discharge of ballast water and sediment from ships has led to the transfer of
harmful aquatic organisms and pathogens, causing injury to public health and
damage to property and the environment, and accordingly adopted Guidelines for
preventing the introduction of unwanted aquatic organisms and pathogens from
ships' ballast water and sediment discharges, and further that the Marine
Environment Protection Committee (MEPC) and the Maritime Safety Committee (MSC)
shall keep the ballast water issue and the application of the Guidelines under
review with a view to further developing the Guidelines as a basis for a new
Annex to MARPOL 73/78,
RECALLING
FURTHER that the 1992 United Nations Conference on Environment and Development
(UNCED), in its Agenda 21, requests IMO to consider the adoption of appropriate
rules on ballast water discharge to prevent the spread of non-indigenous
organisms, and further proclaims in its Declaration on Environment and
Development that States shall widely apply the precautionary approach according
to their capabilities,
BEARING
IN MIND that MEPC/Circ.288 recognized that the existing Guidelines do not
provide a complete solution towards the total prevention of the introduction of
harmful aquatic organisms and pathogens, but urged that focus should be
directed on measures aimed at minimizing the risks, emphasizing further that in
applying the existing Guidelines, the ship's safety was of paramount
importance,
NOTING
the objectives of the Convention on Biological Diversity, 1992, and that the
transfer and introduction of alien aquatic species with ballast water threatens
the conservation and sustainable use of biological diversity,
NOTING
FURTHER the status of work carried out by MEPC as requested by resolution
A.774(18) concerning the development of legally binding provisions on ballast
water management together with guidelines for their effective implementation,
as well as the Guidance on safety aspects of ballast water exchange at sea
prepared by the Sub-Committee on Ship Design and Equipment, and distributed as
MEPC/Circ.329 and MSC/Circ.806, both of 30 June 1997,
RECOGNIZING
that several States have taken unilateral action by adopting legally binding
provisions for local, regional or national application with a view to minimizing
the risks of introducing harmful aquatic organisms and pathogens through ships
entering their ports, and also that this issue, being of worldwide concern,
demands action based on globally applicable regulation together with guidelines
for their effective implementation and uniform interpretation,
HAVING
CONSIDERED the recommendation of the MEPC at its fortieth session on this
issue,
1.ADOPTS
the Guidelines for the Control and Management of Ships' Ballast Water to
Minimize the Transfer of Harmful Aquatic Organisms and Pathogens set out in the
annex to the present resolution;
2.REQUESTS
Governments to take urgent action in applying these Guidelines, including the
dissemination thereof to the shipping industry, to use them as a basis for any
measures they adopt with a view to minimizing the risks of introducing harmful
aquatic organisms and pathogens, and to report to the MEPC on any experience
gained in their implementation;
3.REQUESTS
ALSO the MEPC to work towards completion of legally binding provisions on
ballast water management in the form of a new Annex to MARPOL 73/78, together
with guidelines for their uniform and effective implementation with a view to
their consideration and adoption in the year 2000;
4.REQUESTS
FURTHER the MSC to include in its work plan the evaluation of information
received from interested parties, particularly that relevant to 12.2 of the
Guidelines adopted herewith, with a view to determining the hazards and
potential consequences for various existing ship types and operations. The MSC
is also requested to consider any other relevant issues concerning ballast
water management as well as design objectives for new ships, with a view to
minimizing to the extent possible risks of introducing harmful aquatic
organisms and pathogens with ships' ballast water and sediments;
5.
REVOKES resolution A.774(18).
GUIDELINES FOR THE CONTROL AND
MANAGEMENT OF SHIPS' BALLAST WATER TO MINIMIZE THE TRANSFER OF HARMFUL AQUATIC
ORGANISMS AND PATHOGENS
1.1
Studies carried out in several countries have shown that many species of
bacteria, plants, and animals can survive in a viable form in the ballast water
and sediment carried in ships, even after journeys of several months' duration.
Subsequent discharge of ballast water or sediment into the waters of port
States may result in the establishment of harmful aquatic organisms and
pathogens which may pose threats to indigenous human, animal and plant life,
and the marine environment. Although other media have been identified as being
responsible for transferring organisms between geographically separated water
bodies, ballast water discharge from ships appears to have been among the most
prominent.
1.2
The potential for ballast water discharge to cause harm has been recognized not
only by the International Maritime Organization but also by the World Health
Organization, which is concerned about the role of ballast water as a medium
for the spreading of epidemic disease bacteria.
1.3
These Guidelines are not to be regarded as a certain solution to the problem.
Rather, each part of them should be viewed as a tool which, if correctly
applied, will help to minimize the risks associated with ballast water
discharge. As scientific and technological advances are made, the Guidelines
will be refined to enable the risk to be more adequately addressed. In the
interim, port States, flag States and other parties that can assist in
mitigating this problem should exercise due care and diligence in an effort to
conform to the maximum extent possible with the Guidelines.
1.4
The selection of appropriate methods of risk minimization will depend upon
several factors, including the type or types of organisms being targeted, the
level of risk involved, its environmental acceptability, the economic and
ecological costs involved and the safety of ships.
For
the purposes of these Guidelines, the following definitions apply:
Administration
means the Government of the State under whose authority the ship is operating.
Convention
means MARPOL 73/78 (International Convention for the Prevention of Pollution
from Ships, 1973, and the Protocol of 1978 related thereto).
Member
States means States that are Members of the International Maritime
Organization. Organization means the International Maritime Organization (IMO).
Port
State authority means any official or organization authorized by the Government
of a port State to administer guidelines or enforce standards and regulations
relevant to the implementation of national and international shipping control
measures.
Treatment
means a process or mechanical, physical, chemical or biological method to kill,
remove or render infertile harmful or potentially harmful organisms within
ballast water.
The
Guidelines are directed to Member States and can apply to all ships; however, a
port State authority shall determine the extent to which they do apply.
4. GUIDELINE OBJECTIVES AND BACKGROUND
4.1
The objectives of these Guidelines, developed under technical and scientific
guidance, are to assist Governments and appropriate authorities, ship masters,
operators and owners, and port authorities, as well as other interested
parties, in minimizing the risk of introducing harmful aquatic organisms and
pathogens from ships' ballast water and associated sediments while protecting
ships' safety.
4.2
The Guidelines allow port States to exempt ships within the area under their
jurisdiction from part or all of the relevant provisions. Notwithstanding, any
Administration wishing to apply restrictions to ballast water operations should
still follow these Guidelines when developing legislation or procedures.
4.3
In order that the Guidelines may be implemented in a standard and uniform
manner, all Member State Governments, ship operators, other appropriate
authorities and interested parties are requested to apply these Guidelines.
5. DISSEMINATION OF INFORMATION
5.1
Administrations are encouraged to maintain and exchange information relevant to
these Guidelines through the Organization. Accordingly, Administrations are
encouraged to provide the Organization with the following:
.1 information on severe
outbreaks or infestations of harmful aquatic organisms which may pose a risk;
.2 copies of current
domestic laws and regulations;
.3 technical and research
information;
.4 education materials (such
as audio and video tapes) and printed materials; and
.5 location and terms of use
of alternative exchange zones, contingency strategies, availability of shore
reception facilities, fees, etc.
5.2
Member States, applying ballast water and sediment discharge procedures, should
notify the Organization of specific requirements and provide to the
Organization, for the information of other Member States and non-governmental
organizations, copies of any regulations, standards, exemptions or guidelines
being applied. Verification and detailed information concerning port State
requirements should be obtained by the ship prior to arrival.
5.3
Port State authorities should provide the widest possible distribution of
information on ballast water and sediment management and treatment requirements
that are being applied to shipping. Failure to do so may lead to unnecessary
delays for ships seeking entry to port States.
5.4
Shipping organizations and ships' managers should be familiar with the
requirements of port State authorities with respect to ballast water and
sediment management and treatment procedures, including information that will
be needed to obtain entry clearance.
5.5
Member States are invited to provide the Organization with details of any
research and development studies that they carry out with respect to the impact
and control of harmful aquatic organisms and pathogens in ships' ballast water
and sediment.
5.6
Member States should provide to the Organization details of records describing
reasons why existing requirements could not be complied with, e.g. force
majeure, heavy weather, failure of equipment, or lack of information concerning
port State requirements.
6.1
Training for ships' masters and crews as appropriate should include
instructions on the application of ballast water and sediment management and
treatment procedures, based upon the information contained in these Guidelines.
Instruction should also be provided on the maintenance of appropriate records
and logs. Governments should ensure that their marine training organizations
include this in the contents of their syllabus.
6.2
The application of processes and procedures concerning ballast water management
is currently at the core of the solution to minimize the introduction of
harmful aquatic organisms and pathogens.
6.3
Governments are encouraged to include knowledge of duties regarding the control
of pollution of the sea by harmful aquatic organisms and pathogens in their
training requirements for certificates.
7. PROCEDURES FOR SHIPS AND PORT STATES
7.1.1
Every ship that carries ballast water should be provided with a ballast water
management plan to assist in the minimization of transfer of harmful aquatic
organisms and pathogens. The intent of the plan should be to provide safe and
effective procedures for ballast water management.
7.1.2
The ballast water management plan should be specific to each ship.
7.1.3
The ballast water management plan should be included in the ship's operational
documentation. Such a plan should address, inter alia:
- relevant parts of these
Guidelines;
- approval documentation
relevant to treatment equipment;
- an indication of records
required; and
- the location of possible
sampling points.
7.2 Procedures for port
States
7.2.1
Reception and treatment facilities should be made available for the
environmentally safe disposal of ballast tank sediments.
7.2.2
Discharge of ship's ballast water into port reception and/or treatment
facilities may provide an acceptable means of control. Port State authorities
wishing to utilize this strategy should ensure that the facilities are
adequate.
8. RECORDING AND REPORTING PROCEDURES
8.1.1
Where a port State authority requires that specific ballast water procedures
and/or treatment option(s) be undertaken, and due to weather, sea conditions or
operational impracticability such action cannot be taken, the master should
report this fact to the port State authority as soon as possible and, where
appropriate, prior to entering seas under its jurisdiction.
8.1.2
To facilitate the administration of ballast water management and treatment
procedures on board each ship, a responsible officer should be appointed to
maintain appropriate records and to ensure that ballast water management and/or
treatment procedures are followed and recorded.
8.1.3
When taking on or discharging ballast water, as a minimum, the dates,
geographical locations, ship's tank(s) and cargo holds, ballast water
temperature and salinity as well as the amount of ballast water loaded or
discharged should be recorded. A suitable format is shown in appendix 1. The
record should be made available to the port State authority.
8.1.4
The location and suitable access points for sampling ballast or sediment should
be described in the ship's ballast water management plan. This will allow crew
members to provide maximum assistance when officers of the port State authority
require a sample of the ballast water or sediment.
8.2 Procedures for port
States
8.2.1
Consistent with 5.2 above, port States should provide ships with the following
information:
- details of their
requirements concerning ballast water management;
- location and terms of use
of alternative exchange zones;
- any other port contingency
arrangements; and
- the availability,
location, capacities of and applicable fees relevant to reception facilities
that are being provided for the environmentally safe disposal of ballast water
and associated sediment.
8.2.2
To assist ships in applying the precautionary practices described in 9.1.1
below, port States should inform local agents and/or the ship of areas and
situations where the uptake of ballast water should be minimized, such as:
- areas with outbreaks,
infestations or known populations of harmful organisms and pathogens;
- areas with current
phytoplankton blooms (algal blooms, such as red tides);
- nearby sewage outfalls;
- nearby dredging
operations;
- when a tidal stream is
known to be the more turbid; and
- areas where tidal flushing
is known to be poor.
9. SHIPS' OPERATIONAL PROCEDURES
9.1.1 Minimizing uptake of harmful aquatic
organisms, pathogens and sediments
When
loading ballast, every effort should be made to avoid the uptake of potentially
harmful aquatic organisms, pathogens and sediment that may contain such
organisms. The uptake of ballast water should be minimized or, where
practicable, avoided in areas and situations such as:
- areas identified by the
port State in connection with advice relating to 8.2.2 above;
- in darkness when
bottom-dwelling organisms may rise up in the water column;
- in very shallow water; or
- where propellers may stir
up sediment.
9.1.2 Removing ballast sediment on a timely
basis
Where
practicable, routine cleaning of the ballast tank to remove sediments should be
carried out in mid-ocean or under controlled arrangements in port or dry dock,
in accordance with the provisions of the ship's ballast water management plan.
9.1.3 Avoiding unnecessary discharge of
ballast water
If
it is necessary to take on and discharge ballast water in the same port to
facilitate safe cargo operations, care should be taken to avoid unnecessary
discharge of ballast water that has been taken up in another port.
9.2 Ballast water management
options
Near-coastal
(including port and estuarine) organisms released in mid-ocean, and oceanic
organisms released in coastal waters, do not generally survive.
When
exchanging ballast at sea, guidance on safety aspects of ballast water exchange
as set out in appendix 2 should be taken into account. Furthermore, the
following practices are recommended:
- where practicable, ships
should conduct ballast exchange in deep water, in open ocean and as far as
possible from shore. Where this is not possible, requirements developed within
regional agreements may be in operation, particularly in areas within 200
nautical miles from shore. Consistent with 9.1.2 above, all of the ballast
water should be discharged until suction is lost, and stripping pumps or
eductors should be used if possible;
- where the flow-through
method is employed in open ocean by pumping ballast water into the tank or hold
and allowing the water to overflow, at least three times the tank volume should
be pumped through the tank;
- where neither form of
open-ocean exchange is practicable, ballast exchange may be accepted by the
port State in designated areas; and
- other ballast exchange
options approved by the port State.
9.2.2 Non-release or minimal release of
ballast water
In
cases where ballast exchange or other treatment options are not possible,
ballast water may be retained in tanks or holds. Should this not be possible,
the ship should only discharge the minimum essential amount of ballast water in
accordance with port States' contingency strategies.
9.2.3 Discharge to reception facilities
If
reception facilities for ballast water and/or sediments are provided by a port
State, they should, where appropriate, be utilized.
9.2.4 Emergent and new technologies and
treatments
9.2.4.1
If suitable new and emergent treatments and technologies prove viable, these
may substitute for, or be used in conjunction with, current options. Such
treatments could include thermal methods, filtration, disinfection including
ultraviolet light, and other such means acceptable to the port State.
9.2.4.2
Results concerning the application and effectiveness of new ballast water
management technologies and associated control equipment should be notified to
the Organization with a view to evaluation and incorporation, as appropriate,
into these Guidelines.
The
following is provided for the guidance of port State authorities in the implementation
of their ballast water management programme, and to assess risks in relation to
the ballast water containing harmful aquatic organisms and pathogens.
10.1 Highly disparate
conditions between uptake and discharge ports.
Significantly
different conditions may exist between port(s) of origin and the port in which
ballast water is discharged. Examples include freshwater ballast being released
into highly saline ports. There may be organisms capable of surviving such
extreme transfers; however, there is a lower probability of species
establishment under such transport events.