MODULE 3 Other International Conventions and Principles Relevant to Ballast Water Management Views expressed in this presentation are those of the author and should not be construed as necessarily reflecting the views of IMO or its Secretariat.

MODULE 3 1. Introduction to Ballast Water Management 3. Other International Conventions and Principles relevant to Ballast Water Management 2. The Ballast Water Management Convention and Guidelines 4. Implementing the Ballast Water Management Convention 5. Guide to Drafting a Ballast Water Management Act TO INSTRUCTOR: Explain the sequence of modules in the course; link with the previous and next modules.

Module 3: Objective Identify the relevant provisions of the international legal instruments to be taken into consideration when implementing the Ballast Water Management Convention at national level. TO INSTRUCTOR: Explain the aims and objectives of the module. Due to the global and across-sectoral nature of BW introduction in the marine environment, international as well as other organizations addressed this problem in different ways and means; most commonly through international conventions and widely recognized principles relevant to BWM As this problem will be best tackled by a national legislation, the module avails a guidance and a checklist of international key instruments which identify the relevant requirements to be addressed at national level

Can you name any international Convention that is relevant to ballast water management? ... … TO INSTRUCTOR: Ask participants if they know any international convention (other than the BWM Convention just seen in Module 2) that is relevant to BWM? The empty list of 8 conventions is for the participants to have an idea of the number you are talking about. Record the answers on a white board/flip chart. After finishing this part, the instructor presents the next slide that lists all the international conventions relevant to BWM. Att.: If participants are not able to name any international convention, help them by giving an example and move from there.

International Conventions Convention of the Law of the Sea - UNCLOS The Rio Declaration and Agenda 21 Convention on Biological Diversity – CBD Convention for the Prevention of Pollution from Ships – MARPOL Convention for Safety of Life at Sea – SOLAS STCW and Code Convention on the Facilitation of International Maritime Traffic – FAL Convention on the Control of Harmful Anti-Fouling Systems on Ships (NIF) TO INSTRUCTOR: Present the entire list of international conventions and say that the scope and application of each convention will be explained.

The 1982 UN Convention on the Law of the Sea (UNCLOS) Page 4 Scope The Convention contains provisions relevant to the State rights and regulations. Application The State obligation to take action to protect its marine environment : Arts 192, 194/125 and 194/2 - extends to the protection of other States' environment ; Art. 196 - UNCLOS obligated the States for the consequences of using technologies or introducing alien or new species ; The State Liability for polluting the marine environment (Art. 235); The State right to take action to protect the marine environment (Arts. 220,226-232) as far as the internal waters are concerned. TO INSTRUCTOR: Att.: Inform the participants that the slides present a summary of the key points and it is an opportunity for the participants to question the instructor and other participants about details/doubts on the issues presented. A comprehensive text is found in the Participants Manual. The specific page is indicated on the top of the slide.

The Rio Declaration Scope Application It comprises 27 key principles formulated and agreed upon to achieve socioeconomic development and environmental protection. Three principles are well known. Page 7 Can you name any of them? The precautionary approach The polluter pays The need for environmental impact assessment. TO INSTRUCTOR: Inform the scope of the Rio Declaration. Ask participants: can you remember any of the three well known principles? Att.: If participants cannot remember, show them and comment: “probably you all know about these principles, just did not know that they originate from the Rio Declaration.” Continue to explain the Application. Application Above principles are reflected and forming part in most modern regulatory systems.

Agenda 21 Scope Application The document covers almost all sectors of human activities and environmental interaction. Application The Agenda deals with sea-based activities by calling upon all States to better implement the existing conventions and to support the work of IMO and other agencies to develop an international regime to protect the marine environment from shipping related pollution. Page 7 TO INSTRUCTOR: Explain the scope and application of Agenda 21. Remark the generalization of Chapter 17. Chapter 17 deals generally with the protection of the oceans and coastal areas.

The 1992 Convention on Biological Diversity (CBD) and associated instruments Page 8 Objectives The CBD sets out States’ obligations to protect biological diversity, which includes marine biodiversity. Application Builds and elaborates the State obligations set out in UNCLOS concerning conservation and preservation of the marine environment. TO INSTRUCTOR: Explain the objectives and application of the CBD.

International Convention for the Prevention of Pollution from Ships , 1973 as amended to 1978 (MARPOL 73/78) Scope MARPOL is an umbrella agreement amended by Protocols in 1978 with substance specific regulations set out in Annexes, dealing with marine pollution from ships. Page 10 The Guidelines may also be implemented in part under the national MARPOL legislation. Application MARPOL is relevant to the implementation of the Guidelines and the Convention even if the Convention is not an annex to MARPOL, as some countries elect to implement the Convention and attach it to their MARPOL legislation. TO INSTRUCTOR: Explain the scope of MARPOL. Ask for a participant to read part of the application. Comment. Show the rest of the slide. Emphasize that national MARPOL legislation may be used to implement the Guidelines.

International Convention for Safety of Life at Sea - SOLAS Page 11 Scope International standards for minimum equipment and other requirements for ensuring safety in ship operations, including ship stability; These standards are implemented and enforced through national legislation. Application The existing SOLAS requirements will need to form part of the overall assessment of safety and vessel stability and strength; When a future Convention is adopted, parts of SOLAS and relevant national legislation may need to be amended; ISM Code. TO INSTRUCTOR: Scope The SOLAS Convention is a comprehensive code that sets international standards for minimum equipment and other requirements for ensuring safety in ship operations, including ship stability. These standards are implemented and enforced through national legislation. It is relevant to the question of ballast water management, in that any treatment or management system must meet these requirements. Application Given the multiple variables affecting stability in a ballast exchange while the vessel is en route, compliance may prove difficult. The existing SOLAS requirements will need to form part of the overall assessment of safety and vessel stability and strength. In addition when a future Convention is adopted, parts of SOLAS and relevant national legislation may need to be amended. The current relevance of SOLAS from the perspective of domestic regulatory design is that a ship’s master should not be forced by law to carry out operations that place him or her in a position of noncompliance with the international technical standards for ship safety.

International Convention on Standards of Training, Certification and Watchkeeping for Seafarers and the Seafarer´s Training, Certification and Watchkeeping Code - STCW and Code Page 12 Scope Minimum standards for a seafarer to obtain an internationally recognized certificate for the position he or she holds on the ship ; Implemented in domestic legislation and are integral to the efficacy of the IMO ship safety/pollution prevention regulatory system. Application The Guidelines and the Convention - both require an officer/crew to be responsible for the documentation and safe implementation of the ship’s Ballast Water Management Plan and precautionary ballast uptake practice. TO INSTRUCTOR: Scope The STCW Convention and Code set out the international standards for seafarers training and competency. These are the minimum standards (mandatory in 2002) required for a seafarer to obtain an internationally recognized certificate for the position he or she holds on the ship. These requirements, de facto, also set the minimum content for the curricula in Maritime Training and Education (MET) institutions. They are implemented in domestic legislation and are integral to the efficacy of the IMO ship safety/pollution prevention regulatory system. Application They are relevant to implementation of both the Guidelines and the Convention in that both require an officer/crew to be responsible for the documentation and safe implementation of the ship’s Ballast Water Management Plan and precautionary ballast uptake practices. The STCW requirements, in particular the detailed Code, will need to be altered to take into account ballast water and sediment management practices when an international convention is adopted.

Convention on the Facilitation of International Maritime Traffic – FAL Page 13 Scope Standards and recommended practices for entry related documents and procedures for ships, cargo, crew and passengers travelling from one country to another. Application The FAL Convention would need to be amended when a Convention is adopted; In the interim, countries wishing to implement the Guidelines will need to review their legislation implementing FAL and report any national information requirements and forms to the IMO as a variance on FAL standards. TO INSTRUCTOR: Scope The Convention sets out standards and recommended practices for entry related documents and procedures for ships, cargo, crew and passengers travelling from one country to another. The FAL standards are in addition to the Universal Postal Convention and the International Health Regulations requirements. The purposes of FAL are multiple and relate in part to the inherent value in any system with multiple factors, of uniform and consistently applied procedures, which each country can assume have been carried out by the others. This is an important matter for an international industry such as transport that can raise concerns about the movement of unapproved immigration and cargo. Application Currently, ballast water reporting requirements and procedures are a precondition to port entry appear to be at variance to the international standards under FAL. The FAL Convention would need to be amended when a Convention is adopted. In the interim, countries wishing to implement the Guidelines will need to review their legislation implementing FAL and report any national information requirements and forms to the IMO as a variance on FAL standards. It should be noted that recent FAL documentation encourages electronic filing where possible.

Convention on the Control of Harmful Anti-fouling Systems on Ships – NIF Page 14 Scope The Anti-fouling Convention is aimed at preventing the introduction of toxic chemicals in the aquatic system, and ultimately the human food chain. TO INSTRUCTOR: The Anti-fouling Convention regulates the chemical content of paint that is used on ships’ hulls to prevent aquatic organisms from attaching to it (fouling). It was pointed out earlier that the Convention on Biological Diversity‘s SBSTTA Committee has called for action with respect to the pathway. It also noted the problem that, [t] the conflict between effective chemical and biological control for aquatic species (e.g. mollusces) and the desired reduced pollution to these environments seriously hampers control through existing measures…Gaps in prevention tools are being created by the elimination of fumigants and pesticides due to environmental concerns. The same loss of tools is true in marine systems, in which hullfouling is a major vector of maritime organisms along shipping routes. Application The Anti-fouling Convention regulates the chemical content of paint that is used on ships’ hulls to prevent aquatic organisms from attaching to it (fouling).

Summary The problems caused by HAOP introduced by ship´s ballast water (M1) BWM Convention (M2) and other legal instruments (M3) Implementation of BWM Convention (M4) and Guide to drafting a BWM Act (M5) TO INSTRUCTOR State that: We have seen the problem caused by HAOP introduced by ships ballast water, we have gone through the BWM Convention and other legal instruments, i.e., we have set the bases to See how to implement the Convention and a guide to drafting a BWM Act.