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Compliance Monitoring and Enforcement of the Ballast Water Management Convention: The Port State Control Perspective
Abstract
One of the very critical aspects for an effective implementation of the Ballast Water Management (BWM) Convention is the compliance monitoring and enforcement (CME) process. The BWM Convention provides basic requirements regarding inspections and consequences, while this process is further supported by IMO Port State Control (PSC) Guidelines and IMO G2 Guidelines on ballast water sampling (BWS). As the G2 Guidelines were recognized to lack details, further Guidance for BWS was prepared. Regional approaches under memoranda for PSC also started to develop. The latest research shows that there are still uncertainties, issues and unconformities that could penalize international shipping and on the other side it may weaken the BWM Convention implementation. CME under the BWM Convention was also recognized to be rather specific, introducing different principles and approaches than other IMO Conventions, which makes it even more challenging for PSC officers. In this chapter, we introduce the main aspects and specifics of CME of the BWM Convention, discuss related implementation issues and recommend the way forward.
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The International Convention for the Control and Management of Ships' Ballast Water and Sediments (BWM Convention) aims to mitigate the introduction risk of harmful aquatic organisms and pathogens (HAOP) via ships’ ballast water and sediments. The BWM Convention has set regulations for ships to utilise exceptions and exemptions from ballast water management under specific circumstances. This study evaluated local and regional case studies to provide clarity for situations, where ships could be excepted or exempted from ballast water management without risking recipient locations to new introductions of HAOP.
Ships may be excepted from ballast water management if all ballasting operations are conducted in the same location (Regulation A-3.5 of the BWM Convention). The same location case study determined whether the entire Vuosaari harbour (Helsinki, Finland) should be considered as the same location based on salinity and composition of HAOP between the two harbour terminals. The Vuosaari harbour case study revealed mismatching occurrences of HAOP between the harbour terminals, supporting the recommendation that exceptions based on the same location concept should be limited to the smallest feasible areas within a harbour.
The other case studies evaluated whether ballast water exemptions could be granted for ships using two existing risk assessment (RA) methods (Joint Harmonised Procedure [JHP] and Same Risk Area [SRA]), consistent with Regulation A-4 of the BWM Convention. The JHP method compares salinity and presence of target species (TS) between donor and recipient ports to indicate the introduction risk (high or low) attributed to transferring unmanaged ballast water. The SRA method uses a biophysical model to determine whether HAOP could naturally disperse between ports, regardless of their transportation in ballast water. The results of the JHP case study for the Baltic Sea and North-East Atlantic Ocean determined that over 97% of shipping routes within these regions resulted in a high-risk indication. The one route assessed in the Gulf of Maine, North America also resulted in a high-risk outcome. The SRA assessment resulted in an overall weak connectivity between all ports assessed within the Gulf of the St. Lawrence, indicating that a SRA-based exemption would not be appropriate for the entire study area.
In summary, exceptions and exemptions should not be considered as common alternatives for ballast water management. The availability of recent and detailed species occurrence data was considered the most important factor to conduct a successful and reliable RA. SRA models should include biological factors that influence larval dispersal and recruitment potential (e.g., pelagic larval duration, settlement period) to provide a more realistic estimation of natural dispersal.
The scope of the Guidance for PSC for compliance control measures, including BWS, introduced according to the BWM Convention for CME in the Adriatic is to provide additional guidance to Adriatic PSCO for implementation of the tools and systems prepared to support common approaches for an effective implementation of the BWM Convention in the Adriatic, which are additional to, but in line with the above stated IMO. This guidance is to be applied when the BWM Convention requirements enters into force, considering the IMO and EMSA guidelines and guidance.
Today global shipping transports over 90 % of the world’s overseas trade
and trends anticipate that it will continue to play an increasing role world-wide.
Shipping operations inevitably include also pressures on natural environments. The
most recent waterborne threat is the transfer of harmful aquatic organisms and
pathogens with ballast water and sediments releases, which may result in harmful
effects on the natural environment, human health, property and resources globally.
The significance of the ballast water issue was already addressed in 1973 by the
International Maritime Organization (IMO) as the United Nations specialised
agency for the regulation of international maritime transport at the global scale.
Committed work by many experts, scientists, politicians, IGOs and NGOs at IMO
resulted in the adoption if the International Convention for the Control and
Management of Ships’ Ballast Water and Sediments (BWM Convention) in February
2004, which is now to be ratified and implemented. Work on ballast water management
issues has also shown to be very complex, hence there are no simple solutions.
Nevertheless, the BWM Convention represents a globally uniform framework for
the implementation of ballast water management measures, and different supporting
tools like risk assessment and decision support systems have been developed to
support its efficiency. In this chapter the reader is introduced to various ballast water
issues and responses to it. The intention of this book and the overview of its content
is also presented.
Until now, the purpose of ballast water sampling studies was predominantly limited to general scientific interest to determine the variety of species arriving in ballast water in a recipient port. Knowing the variety of species arriving in ballast water also contributes to the assessment of relative species introduction vector importance. Further, some sampling campaigns addressed awareness raising or the determination of organism numbers per water volume to evaluate the species introduction risk by analysing the propagule pressure of species. A new aspect of ballast water sampling, which this contribution addresses, is compliance monitoring and enforcement of ballast water management standards as set by, e.g., the IMO Ballast Water Management Convention. To achieve this, sampling methods which result in representative ballast water samples are essential. We recommend such methods based on practical tests conducted on two commercial vessels also considering results from our previous studies. The results show that different sampling approaches influence the results regarding viable organism concentrations in ballast water samples. It was observed that the sampling duration (i.e., length of the sampling process), timing (i.e., in which point in time of the discharge the sample is taken), the number of samples and the sampled water quantity are the main factors influencing the concentrations of viable organisms in a ballast water sample. Based on our findings we provide recommendations for representative ballast water sampling.
The latest research continues to show that the ballast water issue is very complex, which makes it very challenging to manage. In 2004, the International Convention for the Control and Management of Ships' Ballast Water and Sediments (BWM Convention) was adopted to globally harmonize action against the transfer of harmful aquatic organisms and pathogens via ships’ ballast water and related sediments. Analyses of the BWM Convention requirements, conducted through different research projects mainly aiming to provide support for the implementation of the BWM Convention, have shown that there are different steps countries need to take and that there are still some open issues which need to be solved. This paper presents some of the main issues identified and the core theoretical and applied measures required to solve these issues, with the aim to support more efficient and coordinated implementation of the BWM Convention requirements in EU seas. The approaches recommended here for the EU may be universally interesting for similar application in other areas of the world.
The importance of ballast water as a vector for moving non-indigenous species was initially addressed in a 1973 International Maritime Organization (IMO) resolution. Subsequently IMO worked towards the finalization of the International Convention for the Control and Management of Ships’ Ballast Water and Sediments (BWM Convention) which was adopted in February 2004 at a diplomatic conference in London. The BWM Convention’s main aim is to prevent, minimize and ultimately eliminate the risks to the environment, human health, property and resources which arise from the transfer of harmful aquatic organisms and pathogens via ships’ ballast waters and related sediments. It should be noted that harmful aquatic organisms in this context are not limited to non-indigenous species, but covers all aquatic species irrespective of their origin. As defined at IMO “Ballast Water Management means mechanical, physical, chemical, and biological processes, either singularly or in combination, to remove, render harmless, or avoid the uptake or discharge of Harmful Aquatic Organisms and Pathogens within Ballast Water and Sediments.” The BWM Convention and its supporting guidelines are described in this chapter, outlining the ballast water exchange and performance standards, warnings concerning ballast water uptake in certain areas, ballast water reception facilities, sediment management as well as exemptions and exceptions from ballast water management requirements. This chapter ends with the description of implementation options of the BWM Convention.
The International Convention for the Control and Management of Ship's Ballast Water and Sediments sets requirements to prevent organism transfers. Vessels on certain routes can be exempted from such requirements based on risk assessment (RA). As the convention nears its entry into force, the interest in exemptions increases. Such RA should be conducted according to the International Maritime Organization G7 Guidelines. We present a RA study for exemptions applied to intra-Baltic shipping considering different RA methods, i.e., environmental matching, species specific method including target species and species biogeographical aspects. As reliable species data in the ports considered are unavailable and following the precautionary principle, no exemptions should be granted. To ensure data reliability, port baseline surveys and regular monitoring programs should be undertaken during the exemption period as new species found influence the RA result. The RA model prepared is considered as of value to other areas worldwide.
A major vector for unintentional species introductions is international shipping. A wide range of organisms have been transported over long distances in ships' ballast tanks and as hull fouling. Although many desk studies and ship sampling programmes have been carried out, little information is available on changing numbers of individuals in ballast water during voyages. Detailed information could assist in evaluating the dimension of species import and future risks of unintentional species introductions by ballast water. The first European study, organised as a concerted action team and financed by the European Union, carried out several long-term and short-term workshops on board ships undertaking international voyages. The preliminary results from sampling the ballast water of the first four oceangoing workshops of this Concerted Action showed a decrease in numbers of specimens and taxa over time.
The United Nations recognized the transfer of harmful organisms and pathogens across natural barriers as one of the four greatest pressures to the world's oceans and seas, causing global environmental changes, while also posing a threat to human health, property, and resources. Ballast water transferred by vessels was recognized as a prominent vector of such species and was regulated by the International Convention for the Control and Management of Ship's Ballast Water and Sediments (2004). Permanent exceptions from ballast water management requirements may apply when the uptake and discharge of ballast water occur at the "same location." However, the "same location" concept may be interpreted differently, e.g., a port basin, a port, an anchorage, or a larger area even with more ports inside. Considering that the Convention is nearing the beginning of enforcement, national authorities all around the world will soon be exposed to applications for exceptions. Here we consider possible effects of different interpretations of the "same location" concept. We have considered different possible extensions of the same location through environmental, shipping, and legal aspects. The extension of such areas, and the inclusion of more ports, may compromise the Convention's main purpose. We recommend that "same location" mean the smallest practicable unit, i.e., the same harbor, mooring, or anchorage. An entire smaller port, possibly also including the anchorage, could be considered as same location. For larger ports with a gradient of environmental conditions, "same location" should mean a terminal or a port basin. We further recommend that IMO consider the preparation of a guidance document to include concepts, criteria, and processes outlining how to identify "same location," which limits should be clearly identified.
Under certain circumstances vessels do not need to meet ballast water management requirements as stated in the International Convention for the Management and Control of Ballast Water and Sediments (BWM Convention). Besides exceptions to ensure e.g., (a) the safety of a ship, (b) discharge of ballast water for the purpose of avoiding or minimizing pollution incidents, (c) uptake and discharge on high seas of the same ballast water, the same location concept comes into play as ballast water discharges from a ship at the same location where it was taken up is also excepted from BWM requirements. The term same location was not defined in this instrument, hence it is exposed to different interpretations (e.g., a terminal, a port, a larger area where two or more ports may be located). As the BWM Convention is an instrument with biological meaning, the authors recommend a biologically meaningful definition of the same location in this contribution.
During a European Union Concerted Action study on species introductions, an intercalibration workshop on ship ballast water
sampling techniques considered various phytoplankton and zooplankton sampling methods. For the first time, all the techniques
presently in use worldwide were compared using a plankton tower as a model ballast tank spiked with the brine shrimp and oyster
larvae while phytoplankton samples were taken simultaneously in the field (Helgoland Harbour, Germany). Three cone-shaped
and 11 non-cone shaped plankton nets of different sizes and designs were employed. Net lengths varied from 50 to 300 cm, diameters
9.7–50 cm, and mesh sizes 10–100 μm. Three pumps, a Ruttner sampler, and a bucket previously used in ballast water sampling
studies were also compared. This first assessment indicates that for sampling ballast water a wide range of techniques may
be needed. Each method showed different results in efficiency and it is unlikely that any of the methods will sample all taxa.
Although several methods proved to be valid elements of a hypothetical `tool box' of effective ship sampling techniques. The
Ruttner water sampler and the pump P30 provide suitable means for the quantitative phytoplankton sampling, whereas other pumps
prevailed during the qualitative trial. Pump P15 and cone-shaped nets were the best methods used for quantitative zooplankton
sampling. It is recommended that a further exercise involving a wider range of taxa be examined in a larger series of mesocosms
in conjunction with promising treatment measures for managing ballast water.
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