The IMO Guidelines
GUIDELINES FOR THE CONTROL AND MANAGEMENT OF SHIPS'
BALLAST WATER TO MINIMIZE THE TRANSFER OF HARMFUL AQUATIC ORGANISMS
AND PATHOGENS
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,
-
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;
-
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;
-
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;
-
REQUESTS FURTHER the MSC
to include in its workplan 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;
-
REVOKES resolution A.774(18).
ANNEX - GUIDELINES FOR THE
CONTROL AND MANAGEMENT OF SHIPS' BALLAST WATER TO MINIMIZE THE TRANSFER
OF HARMFUL AQUATIC ORGANISMS AND PATHOGENS
Contents
CHAPTER 1 - INTRODUCTION
CHAPTER 2 - DEFINITIONS
CHAPTER 3 - APPLICATION
CHAPTER 4 - GUIDELINE OBJECTIVES AND BACKGROUND
CHAPTER 5 - DISSEMINATION OF INFORMATION
CHAPTER 6 - TRAINING AND EDUCATION
CHAPTER 7 - PROCEDURES FOR SHIPS AND PORT STATES
7.1 Procedures for ships
7.2 Procedures for port States
CHAPTER 8 - RECORDING AND REPORTING PROCEDURES
8.1 Procedures for ships
8.2 Procedures for port States
CHAPTER 9 - SHIPS' OPERATIONAL PROCEDURES
9.1 Precautionary practices
.1 Minimizing uptake of harmful aquatic organisms, pathogens and sediments
.2 Removing ballast sediment on a timely basis
.3 Avoiding unnecessary discharge of ballast water
9.2 Ballast water management options
.1 Ballast water exchange
.2 Non-release or minimal release of ballast water
.3 Discharge to reception facilities
.4 Emergent and new technologies and treatments
CHAPTER 10 - PORT STATE CONSIDERATIONS
10.1 Highly disparate conditions between uptake and discharge ports
10.2 Ballast water age
10.3 Presence of target organisms
CHAPTER 11 - ENFORCEMENT AND MONITORING BY PORT STATES
CHAPTER 12 - FUTURE CONSIDERATIONS IN RELATION TO BALLAST WATER EXCHANGE
12.1 Research needs
12.2 Long-term evaluation of safety aspects in relation to ballast
water exchange
CHAPTER 13 - BALLAST SYSTEM DESIGN
Appendix 1 - Ballast water reporting form - (available
in MS Word)
Appendix 2 - Guidance on safety aspects of ballast water exchange
at sea
1 Introduction
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
recognised 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.
2 Definitions
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.
3 Application
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 Training and education
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 are 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 Procedures for ships
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 Procedures for ships
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 Precautionary practices
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
9.2.1 Ballast water exchange
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.
10 Port State considerations
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.
10.2 Ballast water age
The length of time during which ballast water is within an enclosed
ballast tank may also be a factor in determining the number of surviving
organisms, because of the absence of light, decreasing nutrients and
oxygen, changes of salinity and other factors. However, the maximum
length of survival of organisms in ballast water varies, and in many
cases is not known. Water of an age of 100 days should be considered
the minimum for applying this consideration. Ballast water and sediments
may contain dinoflagellate cysts and other organisms capable of surviving
for a much longer length of time.
10.3 Presence of target organisms
10.3.1 Under certain circumstances it may be possible to determine
if one or more target species are present in the water of a specific
port and have been ballasted in a ship. In these circumstances, the
receiving port State authority may invoke management measures accordingly.
Even if such target species are not present, however, it should be
noted that the ship may still be carrying many untargetted species
which, if released in new waters, could be potentially harmful.
10.3.2 Port States are encouraged to carry out biological baseline
surveys in their ports and to disseminate the results of their investigations.
11 Enforcement and monitoring by port states
11.1 Consistent with the precautionary approach to
environmental protection, these Guidelines can apply to all ships
unless specifically exempted by a port State authority within its
jurisdiction. In accordance with 5.2 above, port State authorities
should inform the Organization on how the Guidelines are being applied.
11.2 Member States have the right to manage ballast water by national
legislation. However, any ballast discharge restrictions should be
notified to the Organization.
11.3 In all cases, a port State authority should consider the overall
effect of ballast water and sediment discharge procedures on the safety
of ships and those on board. Guidelines will be ineffective if compliance
is dependent upon the acceptance of operational measures that put
a ship or its crew at risk. Port States should not require any action
of the master which imperils the lives of seafarers or the safety
of the ship.
11.4 It is essential that ballast water and sediment management procedures
be effective as well as environmentally safe, practicable, designed
to minimize costs and delays to the ship, and based upon these Guidelines
whenever possible.
11.5 Any instructions or requirements of a ship should be provided
in a timely manner and be clear and concise.
11.6 Port States should on request provide a visiting ship with any
requested information relative to ballast water management and its
potential effects with respect to harmful aquatic organisms and pathogens.
11.7 Any enforcement or monitoring activities should be undertaken
in a fair, uniform and nationally consistent manner at all ports within
the port State. Where there are compelling reasons whereby nationally
consistent procedures cannot be followed, then deviations should be
reported to the Organization.
11.8 Compliance monitoring should be undertaken by port State authorities
by, for example, taking and analysing ballast water and sediment samples
to test for the continued survival of harmful aquatic organisms and
pathogens.
11.9 Where ballast water or sediment sampling for compliance or effectiveness
monitoring is being undertaken, port State authorities should minimize
delays to ships when taking such samples.
11.10 When sampling for research or compliance monitoring, the port
State authority should give as much notice as possible to the ship
that sampling will occur, to assist in planning staffing and operational
resources.
11.11 The master has a general obligation to provide reasonable assistance
for the above monitoring which may include provision of officers or
crew, provision of the ship's plans, records pertaining to ballast
arrangements and details concerning the location of sampling points.
11.12 Sampling methods for research and monitoring is the responsibility
of the individual port State. The Organization welcomes information
on new or innovative methods of sampling and/or analysis, and any
relevant information should be provided to it.
11.13 Port State authorities should indicate to the master or responsible
officer the purpose for which a sample is taken (i.e., monitoring,
research or enforcement). Results of analyses of samples should be
made available to ship's operators on request.
11.14 Port State authorities may sample or require samples to analyse
ballast water and sediment, before permitting a ship to proceed to
discharge its ballast water in environmentally sensitive locations.
In the event that harmful aquatic organisms or pathogens are found
to be present in the samples, a port State's contingency strategy
may be applied.
12 Future considerations in relation to ballast
water exchange
12.1 Research needs
Operational measures such as ballast water exchange may be appropriate
in the short term; however, there is a clear need for further research.
These Guidelines should be revised and adjusted in the light of results
concerning new ballast water management options.
12.2 Long-term evaluation of safety aspects in relation to ballast
water exchange
Recognizing the need to evaluate the hazards and potential consequences
for various types of ships and operations, interested parties should
carry out detailed studies and provide information relevant to:
- experience gained from carrying out ballast water exchange at sea,
including any samples/model procedures;
- operational precautions and procedures implemented to avoid potential
hazards and consequences that may arise during the ballast water exchange
at sea;
- an evaluation of the safety margins between the actual metacentric
height and stresses versus the allowable seagoing limits specified
in the approved trim and stability booklet and loading manual, relevant
to different types of ships and loading conditions;
- any hazards which may arise due to human element issues relative
to the responsible execution of ballast water exchange at sea in a
manner which may not be fully prudent;
- operational procedures carried out prior to initiating the ballast
water exchange at sea and check points during the exchange;
- the extent of training and management necessary to ensure that the
process of ballast water exchange at sea is effectively monitored
and controlled on board;
- plan of action to incorporate any unique procedures should an emergency
occur which may affect the exchange of ballast water at sea; and
- the decision-making process, taking into account relevant safety
matters, including ship's position, weather conditions, machinery
performance, ballast system inspection and maintenance, crew safety
and availability.
13 Ballast system design
Builders, owners and classification societies should
take these Guidelines into consideration when designing new ships
or modifying existing ships.
Appendix 1
BALLAST WATER REPORTING FORM (TO BE
PROVIDED TO PORT STATE AUTHORITY UPON REQUEST)
(available
in MS Word)
BALLAST WATER MANAGEMENT PLAN ON BOARD? YES_____ NO_____
HAS THIS BEEN IMPLEMENTED?
TOTAL NO. OF TANKS ON BOARD_______ NO. OF TANKS IN BALLAST_______ YES_____
NO_____
IF NONE IN BALLAST GO TO NO. 5
NO. OF TANKS EXCHANGED_________ NO. OF TANKS NOT EXCHANGED___________
IF EXCHANGES WERE NOT CONDUCTED, STATE OTHER CONTROL ACTION(S) TAKEN:
_________________________________