The introduction of invasive marine species into new environments by ships

Ballast is any material used to weight and/or balance an object. One example is the sandbags carried on conventional hot-air balloons, which can be discarded to lighten the balloon’s load, allowing it to ascend. Ballast water is therefore water carried by ships to ensure stability, trim and structural integrity.

For centuries, ships employed solid materials such as sand, rock and metals to ballast their ship. Ballast, being 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.

From about the 1880s onward, 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 freshwater, brackish or saltwater. When a ship is empty of cargo, it fills with ballast water to maintain its stability, balance and structural integrity. When it loads cargo, the ballast water is discharged.

The distribution of ballast within a vessel will depend on the design criteria, size and strength of the vessel.

Source: Australian Quarantine & Inspection Service 1993. Ballast Water Management. Ballast Water Research Series Report No. 4 AGPS Canberra.

There are thousands of marine species that may be carried in ships’ ballast water; basically anything that is small enough to pass through a ships’ ballast water intake ports and pumps.

These include bacteria and other microbes, small invertebrates and the eggs, cysts and larvae of various species.

The problem is compounded by the fact that virtually all marine species have life cycles that include a planktonic stage or stages.

Even species in which the adults are unlikely to be taken on in ballast water, for example because they are too large or live attached to the seabed, may be transferred in ballast during their planktonic phase.

Over the past millennia, marine species have dispersed throughout the oceans by natural means, carried on currents and attached to floating logs and debris.

Natural barriers, such as temperature and land masses, have prevented many species from dispersing into certain areas. This has resulted in the natural patterns of biogeography observed in the oceans today.

In particular, the pan-global tropical zone has separated the northern and southern temperate and cold water zones. This has allowed many species to evolve quite independently in these latter zones, resulting in quite different marinebiodiversity between the north and the south.

In tropical areas species have not faced the same barriers. This is exemplified by the relatively homogenous marine biodiversity spanning the huge area of the Indo-Pacific, from the east coast of Africa to the west coast of South America.

Humans have of course aided this process for as long as they have sailed, mainly by dispersing marine species that have attached to the hulls of vessels. The commencement of the use water as ballast, and the development of larger, faster ships completing their voyages in ever shorter times, combined with rapidly increasing world trade, means that the natural barriers to the dispersal of species across the oceans are being reduced. In particular, ships provide a way for temperate marine species to pierce the tropical zones, and some of the most spectacular introductions have involved northern temperate species invading southern temperate waters, and vice versa.

It is estimated that at least 7,000 different species are being carried in ships’ ballast tanks around the world. The vast majority of marine species carried in ballast water do not survive the journey, as the ballasting and deballasting cycle and the environment inside ballast tanks can be quite hostile to organism survival. Even for those that do survive a voyage and are discharged, the chances of surviving in the new environmental conditions, including predation by and/or competition from native species, are further reduced. However, when all factors are favourable, an introduced species by survive to establish a reproductive population in the host environment, it may even become invasive, out-competing native species and multiplying into pest proportions.

As a result, whole ecosystems are being changed. In the USA, the European Zebra Mussel Dreissena polymorpha has infested over 40% of internal waterways and may have required between US$750 million and US$1 billion in expenditure on control measures between 1989 and 2000. In southern Australia, the Asian kelp Undaria pinnatifida is invading new areas rapidly, displacing the native seabed communities. In the Black Sea, the filter-feeding North American jellyfish Mnemiopsis leidyi has on occasion reached densities of 1kg of biomass per m2. It has depleted native plankton stocks to such an extent that it has contributed to the collapse of entire Black Sea commercial fisheries. In several countries, introduced, microscopic, ‘red-tide’ algae (toxic dinoflagellates) have been absorbed by filter-feeding shellfish, such as oysters. When eaten by humans, these contaminated shellfish can cause paralysis and even death. The list goes on, hundreds of examples of major ecological, economic and human health impacts across the globe. It is even feared that diseases such as cholera might be able to be transported in ballast water.

There are hundreds of other examples of catastrophic introductions around the world, causing severe human health, economic and/or ecological impacts in their host environments.

Invasive marine species are one of the four greatest threats to the world’s oceans! Unlike other forms of marine pollution, such as oil spills, where ameliorative action can be taken and from which the environment will eventually recover, the impacts of invasive marine species are most often irreversible!

The International Response

In response to the threats posed by invasive marine species, the United Nations Conference on Environment and Development (UNCED) held in Rio de Janeiro in 1992, in its Agenda 21 called on the International Maritime Organization (IMO) and other international bodies to take action to address the transfer of harmful organisms by ships.

As a specialised agency of the United Nations responsible for the international regulation of ship safety and the prevention of marine pollution, IMO is the most appropriate body to address this issue. By 1992 it had already been active in ballast water issues for over ten years.

The World Summit on Sustainable Development (WSSD) took place in Johannesburg, South Africa, from 26 August to 4 September 2002. The WSSD re-affirmed its commitment to Agenda 21 and in its Plan of Implementation the WSSD called for acceleration of the development of measures to address invasive species in ballast water and urged IMO to finalize the IMO Ballast Water Convention.

IMO Assembly Resolution and Guidelines

The member countries of IMO have developed "Guidelines for the control and management of ships’ ballast water, to minimise the transfer of harmful aquatic organisms and pathogens". These Guidelines were adopted by the IMO Assembly in 1997, by resolution A.868(20). They replace earlier, less comprehensive Guidelines adopted in 1993. Management and control measures recommended by the Guidelines include:

Model Management Plan

The shipping industry has also been very active in helping to address invasive marine species and participates actively in the IMO Marine Environment Protection Committee (MEPC) Ballast Water Working Group. In particular, the International Chamber of Shipping (ICS) and the International Association of Independent Tanker Owners (INTERTANKO) and Classification Societies have published Model Ballast Water Management Plans. They give practical guidance for the implementation of the IMO Guidelines on-board ships.

International Legal Regime

All of the approaches recommended under the IMO Guidelines are subject to limitations. Reballasting at sea currently provides the best-available risk minimisation measure, but is subject to serious ship-safety limits. Even when it is able to be fully implemented, this technique is less than 100% effective in removing organisms from ballast water.

In recognition of the limitations of the A.868(20) Guidelines, the current lack of a totally effective solution and the serious threats still posed by invasive marine species, IMO member countries also agreed to develop a mandatory international legal regime to regulate and control ballast water.

International Convention for the Control and Management of Ships' Ballast Water and Sediments (BALLAST WATER), 2004

The problem of harmful aquatic organisms in ballast water was first raised at IMO in 1988 and since then IMO's Marine Environment Protection Committee (MEPC), together with the Maritime Safety Committee (MSC) and technical sub-committees, have been dealing with the issue, focusing in the past decade first on guidelines and then on developing the new convention.

Going further into history, scientists first recognized the signs of an alien species introduction after a mass occurrence of the Asian phytoplankton algae Odontella (Biddulphia sinensis) in the North Sea in 1903.

But it was not until the 1970s that the scientific community began reviewing the problem in detail. In the late 1980s, Canada and Australia were among countries experiencing particular problems with unwanted species, and they brought their concerns to the attention of IMO's Marine Environment Protection Committee (MEPC).

In 1991 the MEPC adopted MEPC resolution 50(31) - Guidelines for Preventing the Introduction of Unwanted Organisms and Pathogens from Ships' Ballast Water and Sediment Discharges; while the United Nations Conference on Environment and Development (UNCED), held in Rio de Janeiro in 1992, recognized the issue as a major international concern.

In November 1993, the IMO Assembly adopted resolution A.774(18) - Guidelines for Preventing the Introduction of Unwanted Organisms and Pathogens from Ships' Ballast Water and Sediment Discharges, based on the Guidelines adopted in 1991. The resolution requested the MEPC and the MSC to keep the Guidelines under review with a view to developing internationally applicable, legally-binding provisions.

The 20th Assembly of IMO in November 1997 adopted resolution A.868(20) - Guidelines for the control and management of ships' ballast water to minimize the transfer of harmful aquatic organisms and pathogens.

IMO adopted in February 2004 a new international convention to prevent the potentially devastating effects of the spread of harmful aquatic organisms carried by ships' ballast water has been adopted by the International Maritime Organization (IMO), the United Nations agency responsible for the safety and security of shipping and the prevention of marine pollution from ships..

The Convention requires all ships to implement a Ballast Water and Sediments Management Plan. All ships have to carry a Ballast Water Record Book and are required to carry out ballast water management procedures to a given standard. Existing ships are required to do the same, but after a phase-in period.

Parties to the Convention are given the option to take additional measures which are subject to criteria set out in the Convention and to IMO guidelines yet to be developed.

Implementation of the Convention is now crucial. The Convention will enter into force 12 months after ratification by 30 States, representing 35 per cent of world merchant shipping tonnage.

The Conference adopted a resolution on Promotion of technical co-operation and assistance.

GEF/UNDP/IMO Global Ballast Water Management Programme (GloBallast) is already providing technical support and expertise under a multi-million dollar project (GloBallast: http://globallast.imo.org/).

The Conference was attended by representatives of 74 States, one Associate Member of IMO; and observers from two intergovernmental organizations and 18 non-governmental international organizations.

The International Convention for the Control and Management of Ships' Ballast Water and Sediments is divided into Articles; and an Annex which includes technical standards and requirements in the Regulations for the control and management of ships' ballast water and sediments.

Entry into force
The Convention will enter into force 12 months after ratification by 30 States, representing 35 per cent of world merchant shipping tonnage (Article 18 Entry into force).

General Obligations
Under Article 2 General Obligations Parties undertake to give full and complete effect to the provisions of the Convention and the Annex in order to prevent, minimize and ultimately eliminate the transfer of harmful aquatic organisms and pathogens through the control and management of ships' ballast water and sediments.

Parties are given the right to take, individually or jointly with other Parties, more stringent measures with respect to the prevention, reduction or elimination of the transfer of harmful aquatic organisms and pathogens through the control and management of ships' ballast water and sediments, consistent with international law. Parties should ensure that ballast water management practices do not cause greater harm than they prevent to their environment, human health, property or resources, or those of other States.

Reception facilities
Under Article 5 Sediment Reception Facilities Parties undertake to ensure that ports and terminals where cleaning or repair of ballast tanks occurs, have adequate reception facilities for the reception of sediments.

Research and monitoring
Article 6 Scientific and Technical Research and Monitoring calls for Parties individually or jointly to promote and facilitate scientific and technical research on ballast water management; and monitor the effects of ballast water management in waters under their jurisdiction.

Survey, certification and inspection
Ships are required to be surveyed and certified (Article 7 Survey and certification) and may be inspected by port State control officers (Article 9 Inspection of Ships) who can verify that the ship has a valid certificate; inspect the Ballast Water Record Book; and/or sample the ballast water. If there are concerns, then a detailed inspection may be carried out and "the Party carrying out the inspection shall take such steps as will ensure that the ship shall not discharge Ballast Water until it can do so without presenting a threat of harm to the environment, human health, property or resources."

All possible efforts shall be made to avoid a ship being unduly detained or delayed (Article 12 Undue Delay to Ships).

Technical assistance
Under Article 13 Technical Assistance, Co-operation and Regional Co-operation, Parties undertake, directly or through the Organization and other international bodies, as appropriate, in respect of the control and management of ships' ballast water and sediments, to provide support for those Parties which request technical assistance to train personnel; to ensure the availability of relevant technology, equipment and facilities; to initiate joint research and development programmes; and to undertake other action aimed at the effective implementation of this Convention and of guidance developed by the Organization related thereto.

Annex - Section A General Provisions
This includes definitions, application and exemptions. Under Regulation A-2 General Applicability: "Except where expressly provided otherwise, the discharge of Ballast Water shall only be conducted through Ballast Water Management, in accordance with the provisions of this Annex."

Annex - Section B Management and Control Requirements for Ships
Ships are required to have on board and implement a Ballast Water Management Plan approved by the Administration (Regulation B-1). The Ballast Water Management Plan is specific to each ship and includes a detailed description of the actions to be taken to implement the Ballast Water Management requirements and supplemental Ballast Water Management practices.

Ships must have a Ballast Water Record Book (Regulation B-2) to record when ballast water is taken on board; circulated or treated for Ballast Water Management purposes; and discharged into the sea. It should also record when Ballast Water is discharged to a reception facility and accidental or other exceptional discharges of Ballast Water

The specific requirements for ballast water management are contained in regulation B-3 Ballast Water Management for Ships:

Other methods of ballast water management may also be accepted as alternatives to the ballast water exchange standard and ballast water performance standard, provided that such methods ensure at least the same level of protection to the environment, human health, property or resources, and are approved in principle by IMO's Marine Environment Protection Committee (MEPC).

Under Regulation B-4 Ballast Water Exchange, all ships using ballast water exchange should:

When these requirements cannot be met areas may be designated where ships can conduct ballast water exchange. All ships shall remove and dispose of sediments from spaces designated to carry ballast water in accordance with the provisions of the ships' ballast water management plan (Regulation B-4).

Annex - Section C Additional measures
A Party, individually or jointly with other Parties, may impose on ships additional measures to prevent, reduce, or eliminate the transfer of Harmful Aquatic Organisms and Pathogens through ships' Ballast Water and Sediments.
In these cases, the Party or Parties should consult with adjoining or nearby States that may be affected by such standards or requirements and should communicate their intention to establish additional measure(s) to the Organization at least 6 months, except in emergency or epidemic situations, prior to the projected date of implementation of the measure(s). When appropriate, Parties will have to obtain the approval of IMO.

Annex - Section D Standards for Ballast Water Management
There is a ballast water exchange standard and a ballast water performance standard. Ballast water exchange could be used to meet the performance standard:

Regulation D-1 Ballast Water Exchange Standard - Ships performing Ballast Water exchange shall do so with an efficiency of 95 per cent volumetric exchange of Ballast Water. For ships exchanging ballast water by the pumping-through method, pumping through three times the volume of each ballast water tank shall be considered to meet the standard described. Pumping through less than three times the volume may be accepted provided the ship can demonstrate that at least 95 percent volumetric exchange is met.

Regulation D-2 Ballast Water Performance Standard - Ships conducting ballast water management shall discharge less than 10 viable organisms per cubic metre greater than or equal to 50 micrometres in minimum dimension and less than 10 viable organisms per milliliter less than 50 micrometres in minimum dimension and greater than or equal to 10 micrometres in minimum dimension; and discharge of the indicator microbes shall not exceed the specified concentrations.

The indicator microbes, as a human health standard, include, but are not be limited to:

a. Toxicogenic Vibrio cholerae (O1 and O139) with less than 1 colony forming unit (cfu) per 100 milliliters or less than 1 cfu per 1 gram (wet weight) zooplankton samples ;
b. Escherichia coli less than 250 cfu per 100 milliliters;
c. Intestinal Enterococci less than 100 cfu per 100 milliliters.

Ballast Water Management systems must be approved by the Administration in accordance with IMO Guidelines (Regulation D-3 Approval requirements for Ballast Water Management systems). These include systems which make use of chemicals or biocides; make use of organisms or biological mechanisms; or which alter the chemical or physical characteristics of the Ballast Water.

Prototype technologies
Regulation D-4 covers Prototype Ballast Water Treatment Technologies. It allows for ships participating in a programme approved by the Administration to test and evaluate promising Ballast Water treatment technologies to have a leeway of five years before having to comply with the requirements.

Review of standards
Under regulation D-5 Review of Standards by the Organization, IMO is required to review the Ballast Water Performance Standard, taking into account a number of criteria including safety considerations; environmental acceptability, i.e., not causing more or greater environmental impacts than it solves; practicability, i.e., compatibility with ship design and operations; cost effectiveness; and biological effectiveness in terms of removing, or otherwise rendering inactive harmful aquatic organisms and pathogens in ballast water. The review should include a determination of whether appropriate technologies are available to achieve the standard, an assessment of the above mentioned criteria, and an assessment of the socio-economic effect(s) specifically in relation to the developmental needs of developing countries, particularly small island developing States.

Annex- Section E Survey and Certification Requirements for Ballast Water Management
Gives requirements for initial renewal, annual, intermediate and renewal surveys and certification requirements. Appendices give form of Ballast Water Management Certificate and Form of Ballast Water Record Book.

Resolutions adopted by the Conference
The Conference also adopted four resolutions:

The GloBallast Programme

In addition to the initiatives described above, IMO has joined forces with the Global Environment Facility (GEF), the United Nations Development Programme (UNDP), member governments and the shipping industry to assist less-industrialised countries to tackle the ballast water problem.

The full title of this project is Removal of Barriers to the Effective Implementation of Ballast Water Control and Management Measures in Developing Countries. It is more simply referred to as the Global Ballast Water Management Programme, or GloBallast.

Demonstration Sites

This programme is assisting developing countries to implement effective measures to control the introduction of foreign marine species. These are intended to represent the six main developing regions of the World, as shown on the map below:

Map showing the location of the six Demonstration Sites and UN Agencies

Demonstration site key to map

UN Agencies key to map

Demonstration Site Contacts

It is planned that as these sites progress, they will be replicated throughout each region in the future. Lessons learned from the initial demonstration sites will be valuable in improving ballast water management and reducing the translocation of harmful marine species in each region.

The programme will provide a mechanism for the ongoing provision of technical assistance to less industrialised countries to implement the new IMO ballast water regime when it comes into force, through the continuation of an in-house ballast water unit at IMO after the three years of the GEF/UNDP/IMO project. This will build on the groundwork conducted by the initial Programme Coordination Unit.

Development Objectives

The broad Development Objectives of the programme are to assist developing countries to:

reduce the transfer of harmful organisms from ships’ ballast water;
implement the IMO ballast water guidelines; and
prepare for implementation of the newly adopted IMO Ballast Water Convention.

Immediate Objectives

In order to achieve the broad Development Objectives, the programme has a number of Immediate Objectives, which are linked to specific Outputs and Activities. These are:

Programme coordination and management.
Communication, education and awareness.
Risk assessment
Ballast water management measures.
Compliance, enforcement and monitoring.
Regional cooperation and replication.
Resources and financing.

An extremely important consideration will be to ensure coordination between each site and consistency with the international regime. As shipping is an international industry, the only effective way to address shipping related issues is through a standardised international system. This has been one of the hallmarks of the success of IMO in its 50 year history. The avoidance of unilateral responses by individual states is critical to the success of the programme.

Timeline and Funding

This is a four-year programme (initially three years from March 2000 to March 2003, with one year's extension to March 2004).

The total budget is US$10.2 million, comprising:

US$7.39 million from GEF

US$2.8 million in co-funding from the six Pilot Countries.

Programme Management

The programme is being implemented by UNDP and executed by IMO, under the GEF International Waters portfolio.

A three person Programme Cordination Unit (PCU) has been established within the Marine Environment Division (MED) at IMO headquarters in London.

The PCU has the benefit of the support, facilities and services of IMO. High priority is being given to coordinating the activities of the programme with the broader activities of IMO, especially the adoption of the new Ballast Water Convention.

Country Focal Points (CFPs) and Assistant CFPs have been established in each of the six Pilot Countries, supported by inter-ministerial/cross-sectoral Country Project Task Forces (CPTFs).

Overall, the programme is advised by a Global Project Task Force (GPTF). This comprises representatives of GEF, UNDP, IMO, the six participating countries, the shipping industry, international environmental NGOs and possible other parties that are able to contribute to the programme in a meaningful way.

Programme Summary

Development objectives	Assist developing countries to reduce the transfer of harmful aquatic organisms in ships' ballast water. Assist developing countries to implement the IMO Ballast Water Guidelines (A.860(20))
Timeline	Four years - March 2000 - March 2003 (with an extension to 10 March 2004)
Initial funding	US$7.4 million for Global Environment Facility (GEF). US$2.8 million support-in-kind from participating countries.
Implementation	United Nations Development Programme (UNDP)
Execution	International Maritime Organization (IMO), through Programme Coordination Unit (PCU).
Recipients/ beneficiaries	Initially, six Pilot Countries/demonstration sites, to be replicated throughout the regions.
Partners	Shipping and port industries, international environmental non-government organization, other parties as programme develops.
Activities to be undertaken	Establish PCU at IMO, comprising Chief Technical Adviser, Technical Advisers, Programme Assistant and support. Establish Info/Comms Network - including web-site, databases/directories, library collections, newsletter and an information clearing house. Establish and support Lead Agency, Country Focal Point (CFP), Country Project Task Force (CPTF) and CFP Assistant in each Pilot Country. Establish global coordination arrangements - Global Project Task Force. Develop and implement communication, education and awareness raising programmes. Undertake Ballast Water Risk Assessments to assess risk of introductions of marine species at each demonstration site. Undertake Port Baseline Surveys of native biota and introduced marine species at each demonstration site. Develop Training Packages to train Lead Agency, port and shipping personnel in ballast water management measures as contained in IMO guidelines. Review legislation relevant to ballast water in each country and advise/assist improvements. Develop and implement national ballast water management plans for each Pilot Country. Hold global R&D symposiums to review scope for new ballast water management and treatment measures and coordinate R&D agenda. Develop Compliance Monitoring and Enforcement (CME) systems for each demonstration site, including ballast water sampling equipment and training. Form Regional Task Force (RTF's), support RTF meetings and study tours to the demonstration sites by personnel from neighbouring countries. Identify long term economic instruments that can be used to resource in country ballast water management arrangements. Hold a Strategic Directions/Global Donor Conference to identify and secure donors for subsequent phase of the programme.

VESSEL TYPE	DWT	BALLAST CONDITION
VESSEL TYPE	DWT	NORMAL (tonnes)	% of DWT	HEAVY (tonnes)	% of DWT

Bulk carrier	250,000	75,000	30	113,000	45
Bulk carrier	150,000	45,000	30	67,000	45
Bulk carrier	70,000	25,000	36	40,000	57
Bulk carrier	35,000	10,000	30	17,000	49

Tanker	100,000	40,000	40	45,000	45
Tanker	40,000	12,000	30	15,000	38

Container	40,000	12,000	30	15,000	38
Container	15,000	5,000	30	n/a

General cargo	17,000	6,000	35	n/a
General cargo	8,000	3,000	38	n/a

Passenger/RORO	3,000	1,000	33	n/a