BALLAST WATER MANAGEMENT

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BALLAST WATER MANAGEMENT

• Invasive Species Workshop
• Transportation Research Board
• January 9, 2005

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CHAMBER OF SHIPPING OF AMERICA

• Industry trade association
• Representing vessel owners operating both US and
  foreign flag vessels
• Trading in international and coastwise trades
• Long history with this issue with US delegation
  to IMO, input to legislative and regulatory
  processes

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BASIC FUNDAMENTALS

• Shipping is international
• Regulation of shipping should be international
• Predictability of requirements
• Elimination of regulation induced competitive
  disadvantages
• Potential tension among international,
  legislative and regulatory requirements
• Timing is everything!!!!

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INDUSTRY BASED ASSUMPTIONS

• Need for internationally accepted mandatory BW
  management program
• Consistency between international and domestic
  programs
• Solutions must provide real benefit to the
  environment
• We are experts in vessel operations, not
  marine/invasion biology
• Be careful what questions you try and answer!

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INDUSTRY POSITIONS

• Mandatory national BW management program
• Exchange as technology benchmark but no longer
  appropriate focus for future control strategies
• Promote ID and testing of new technologies

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LAY OF THE LEGAL LANDSCAPE

• Finalized IMO Convention
• Development of IMO Guidelines
• US Legislative Initiatives (Fed/State)
• Regulatory Initiatives (Fed/State/Local)
• Multitude of technology developers all assuring
  their silver bullet

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IMO CONVENTION VS. US LEGISLATION

• IMO entry into force????
• Multiple US legislative efforts
• US legislation enactment expected in 2005
• Industry position to maximize alignment of
  national and IMO requirements
• 100 alignment unlikely (performance std.)

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DEVIL IS IN THE DETAILS (IMO Guideline
Development)

• Sediment and BW Reception Facilities
• Sampling
• Equivalent Compliance for pleasure/SAR vessels
• BW Management Plans
• BW Exchange
• Additional measures and risk assessment protocols
• Approval of ballast water management systems
• Procedures for approval of active substances
• Prototype BW treatment technologies

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DEVIL IS IN THE DETAILS (US Legislative and
Regulatory)

• General legislation with details left to
  regulatory programs or
• Specific legislation with less detail left to
  regulatory programs?
• IMO requirements reflected in totalin partor
  not at all?
• Intentional or inadvertent loopholes with partial
  adoption of IMO requirements

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PERFORMANCE BASED STANDARD

• Mandatory requirements do able by all vessels
  regardless of location, vessel type or
  weather/sea conditions
• New technology verified by standardized test
  protocols (EPA Environmental Technology
  Verification project)
• Timed phase-in differentiating between new and
  existing ships

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ALTERNATIVE BW MANAGEMENT TECHNOLOGY PROGRAM

• Must be transparent process
• Specified process for proposal submittal,
  evaluation and approval
• Specified format and content
• Use of technology verification protocols
• Temporary approval for testing program with
  final review and approval for successful test
  programs

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FEDERAL PREEMPTION OF STATE REQUIREMENTS

• NISA 96 recognizes need for national and
  international consistency
• Equally applicable to federal and state programs
• Must have strong legal and policy justification
  to gain Congressional support
• Current evidence of patchwork quilt in varying
  state and national requirements

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DEVELOPING TECHNOLOGIES

• Filtration
• Other physical separation
• UV/IR or other electromagnetic spectra
  application
• Thermal
• Chemical biocides
• Ozone
• But..need performance standard to assess

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TECHNOLOGY DEVELOPMENT CONSIDERATIONS

• Maximum operational flow rate (vessel)
• Maximum operational flow rate (application and/or
  residence time)
• Adaptability to shipboard environment
• Footprint
• Installation and maintenance feasibility
• Back-up capability and redundancy
• Sampling and monitoring needs

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CHALLENGES

• Standardized test protocols
• Finalized IMO guidelines and domestic
  requirements
• Ramp-up from lab to pilot to shipboard
• Conversion of existing performance data (
  removal to concentration based format)
• Sufficient funding (public and private)
• ACKNOWLEDGEMENT THAT THERE IS NO SILVER BULLET!

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PRESENTERS CONTACT INFORMATION

• Kathy Metcalf
• Director, Maritime Affairs
• Chamber of Shipping of America
• 1730 M Street, NW Suite 407
• Washington, DC 20036
• 202.7752.4399 (office)
• 202.659.3795 (fax)
• Kmetcalf_at_knowships.org

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ADDENDUMBallast Water ManagementProposed US
LegislationVs.IMO Treaty Text

• Kathy Metcalf
• Chamber of Shipping of America
• October 24, 2004

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Analytical Assumptions

• IMO Convention text from Diplomatic Conference
• IMO Entry into force estimated in 2006/2007??
• Proposed legislative text from S 525
• Enactment of US legislation estimated in 2005
• Both subject to change in adoption process
• Analysis does not address amendment/change
  processes or areas in which discretion is likely
  to be provided in national implementation

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Applicability

• IMO Art. 3
• Vessels engaged in or certified for international
  trade
• Excludes vessels operating exclusively in one
  partys jurisdiction or another party where prior
  authorization is given
• Excludes sovereign vessels e.g. military, naval
  auxiliary

• US 101(a)(4)
• Vessels operating in US waters equipped with
  ballast tanks
• Excludes vessels operating exclusively in US EEZ
  from interim standard only
• Excludes vessels operating in enclosed aquatic
  ecosystems from interim and final standards

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Preemption/Conflict of Laws

• IMO Art. 2 and 16 and Regulation C - 1
• Party may implement more stringent or additional
  measures consistent with international law
• May not prejudice national rights under customary
  international law per UNCLOS

• US 101(m)
• does not supercede or affect FWPCA requirements
• But note while IMO issues addresses conflict
  between international/national laws, the domestic
  issue concerns potential conflicts between an
  adopted federal program and state/regional/local
  programs

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Entry Into Force (EIF)

• IMO Art. 18
• EIF starts clock for implementation by
  signatories
• EIF defined as 12 months after treaty ratified by
  30 countries representing at least 35 of the
  gross tonnage of the world fleet

• Date of enactment starts clock for promulgation
  of regulations
• Regulations will contain effective dates by which
  requirements must be met

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Implementation Dates

• IMO Reg. B-3
• Existing ships defined as those built before
  either 2009
• New ships defined as those built after 2009
  (moderating provision for those built between
  2009 and 2012)
• Further breakdown based on ballast water capacity
  of vessel

• US promulgation of regulations (and effective
  dates) as required in various sections of
  legislation
• Final standard in effect no later than 1 October
  2011
• New ship defined as those constructed after 1
  January 2006

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IMO Implementation Dates for Final Standard
(contd)

• Small and large capacity existing ships -2016
• Medium capacity existing ships 2014
• Small new ships - 2009
• Large new ships 2012 (except those built
  between 2009 and 2012 implementation at 2016)

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Standards (Structure)

• IMO Reg. D-2
• Explicit final standard
• No interim standard
• But implicit in continued acceptability of
  exchange per IMO Reg. D-1
• Reg. D-1 becomes obsolete when final standard in
  D-2 takes effect

• US 101(b)(1) and (2)
• Interim standard
• Final standard no later than 1 October 2011

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Interim Standard Format

• IMO implicit
• BW exchange or alternative meeting final standard
  in Reg. D-2

• US 101(b)(1)
• BW exchange or 95 kill/removal/inactivate of
  vertebrates, invertebrates, phytoplankton and
  micro algae

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Interim Standard Format (contd)

• IMO Reg. B-3 and Reg. D-1
• 200 nautical miles offshore/200 meters depth or
  50 nautical miles offshore/200 depth or
  designated exchange zones
• 95 volumetric efficiency
• 1 MT/refill accepted
• 3 volume flow

• US 101(b)(1)
• Distance and depth to be specified in US
  regulation
• 95 volumetric efficiency
• 1 MT/refill accepted
• 3 volume flow through must be proven 95
  effective via dye or modeling studies

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Final Standard

• IMO Reg. D-2
• Number of organisms (all types) per unit volume
  of water above and below a size threshold (see
  page following for text)
• Includes additional indicator microbe discharge
  limits

• US 101(b)(2)
• Best available technology (BAT) economically
  achievable
• BAT and process to define presumably to be
  included in regulations

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IMO Final Standard

• less than 10 viable organism(s) per cubic meter
  greater or equal to 50 micrometers in size and
  less than 10 viable organism(s) per milliliter
  smaller than 50 micrometers and greater than or
  equal to 10 µm in size
• Specified discharge concentrations provided for
  indicator microbes (toxicogenic vibrio cholera,
  e. coli and intestinal enterococci)

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Final Standards Review

• IMO Reg. D-5
• No later than 3 years prior to earliest effective
  date of final standard (2006 review for 2009
  first effective date)
• Periodically as appropriate thereafter

• US 101(b)(3)
• BAT to be reviewed and revised (as appropriate)
  at least every three years

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Experimental Shipboard Testing Program

• IMO Reg. D-4
• Detailed guidelines to be developed by IMO
• 5 year incentive to participating vessels

• US 101(b)(4)
• Significant potential to kill or remove at least
  95 of specified organisms
• Ceases when interim standards are promulgated
• 10 year incentive to participating vessels

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Safety Exemptions

• IMO Reg. B-4(4)
• Only as regards ballast water exchange
• Not a factor as regards treatment systems
• Also note no diversion or delay exception in
  IMO Reg. B-4(3)

• US 101(k)
• Limited as regards ballast water exchange subject
  to provisions of approved contingency plan

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Environmental Soundness

• IMO Reg. D-3
• Requires IMO approval for systems using active
  substances (very broad definition see IMO Reg.
  A-1(7)
• Guidelines to be developed

• US 101(b)(7)
• To be determined by EPA

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Scope of Vessel Plan

• IMO Reg. B-1
• Ballast water management plan
• Ballast water management plan and program
  requirement including sediment management

• US 101(a)(1) and (3)
• Invasive species management plan
• IMO requirements plus additional requirements
  relating to ship operations unrelated to ballast
  water e.g. hull debris, antifouling hull coating
  systems