The Role of the Brazilian Ports in the Improvement of the National Ballast Water Management Program According the Provisions of the International Ballast Water Convention Uirá Cavalcante Oliveira The United Nations-Nippon Foundation Fellowship Programme 2007 - 2008 DIVISION FOR OCEAN AFFAIRS AND THE LAW OF THE SEA OFFICE OF LEGAL AFFAIRS, THE UNITED NATIONS NEW YORK, 2008 DISCLAIMER The views expressed herein are those of the author and do not necessarily reflect the views of the Government of Brazil, the United Nations, the Nippon Foundation of Japan, Tulane University, or those of the Brazilian National Agency for Waterway Transportation. © 2008 Uirá Cavalcante Oliveira. All rights reserved. - i - Abstract Ballast water is the water used by ships for obtaining draft, trim, or stability; and usually it is taken and discharged into port areas during operations of unloading and loading cargoes. Ballast water has been identified as the main vector for the introduction of alien and harmful organisms into coastal zone waters, from which can originate ecological, social and economic impacts. In response to this problem, the International Maritime Organization has adopted the “International Convention for the Control and Management of Ships’ Ballast Water and Sediments” (2004), which was partially internalized in Brazil through a federal norm named NORMAM-20 that provides the general IMO guidelines for ships exchanging their ballast water in oceanic waters beyond 200 nm. However, this measure presents limitations and a considerable number of vessels probably do not comply, or do so only partially. Therefore, the ballast water oceanic exchange cannot totally assure the prevention of new introductions. Port environment survey and monitoring systems are reported as essential to assess the risk of new introductions of harmful species and effective management of ballast water. In Brazil, the Port Authorities are responsible for leading the programs and measures of environmental control at their organized port areas mostly through the process of environmental licensing of ports. However, not many ports in Brazil have considered the ballast water issue as part of their environmental programs and the data raised cannot be integrated in a national management approach due the lack of specific standards and regulations. This paper will provide an overview of the current international provisions, mainly those established by the IMO on the matter, as well as describe how the subject is currently treated in Brazil, including through a review of national legislations, institutions, and observations on the limitations of the current approaches. Considering the improvement of the Brazilian approach, this study also intends to identify legal requirements and procedures for ballast water management in the United States and European countries that could be applied in Brazil. Regarding the role of ports in the national ballast water management program, this study will also review the possibility of establishing standardized procedures for environmental licensing of ports and terminals in Brazil, including the necessary criteria for ballast water management. - ii - Summary WORKING TITLE: The role of the Brazilian ports in the improvement of the national ballast water management program according the provisions of the International Ballast Water Convention. SUPERVISORS: Prof. Günter Handl Dr. François Bailet - iii - Acronyms AAPA American Association of Port Authorities ANSTF U.S. Aquatic Nuisance Species Task Force ANTAQ National Agency for Waterway Transportation ANVISA National Health Surveillance Agency of Brazil BWM Ballast Water Management BWMC Ballast Water Management Convention BWMA Ballast Water Management Act BWMP Ballast Water Management Plan BWRF Ballast Water Reporting Forms BWWG U.S./Canadian Ballast Water Working Group CCA-IMO Brazilian Interministerial Coordinating Agency for IMO Affairs CIESM International Commission for the Exploration of the Mediterranean Sea CONAMA National Environment Council of Brazil CONSSO North Sea Committee of Senior Officials CRIMP Australian Centre for Research on Introduced Marine Pests DPC Directorate of Ports and Coasts of the Brazilian Navy EEZ Exclusive Economic Zone EMBS European Marine Biology Symposium EU The European Union FATMA Environmental Foundation of Santa Catarina, Brazil FOC Flag of Convenience GAO U.S. Government Accountability Office GEF Global Environment Facility GIWA Global International Waters Assessment HELCOM Baltic Marine Environment Protection Commission IBAMA Brazilian Institute of the Environment and Natural Renewable Resources ICRAM Central Institute of Marine Research IEAPM Admiral Paulo Moreira Sea Studies Institute IGSS Issue Group on Sustainable Shipping IMO International Maritime Organization MCA United Kingdom Maritime and Coastguard Agency - iv - MMA Brazilian Ministry of Environment MT Brazilian Ministry of Transportation NANPCA Nonindigenous Aquatic Nuisance Prevention and Control Act NBIC National Ballast Information Clearinghouse NGO Non-Governmental Organization NISA National Invasive Species Act NOAA U.S. National Oceanic and Atmospheric Administration PNMA Brazilian National Policy of Environment SIBWC Shipping Industry Ballast Water Coalition SISNAMA National Environment System of Brazil UN United Nations UNCED United Nations Conference on Environmental and Development UNCHE United Nations Conference on the Human Environment UNCLOS United Nations Convention on the Law of the Sea UNDP United Nations Development Programme USCG U.S. Coast Guard WGAIS Working Group on Aquatic Invasive Species WGBOSV Working Group on Ballast and Other Ship Vectors WGITMO Working Group on Introductions and Transfer of Marine Organisms WHO World Health Organization WMF World Merchant Fleet - v - Acknowledgements First of all, I am very grateful for the Nippon Foundation, in name of Mr. Takashi Ito, and the United Nations Division for Ocean Affairs and the Law of the Sea, in name of Mr. Vaclav Mikulka, for this invaluable opportunity for participating in the Fellowship Programme. This great experience is improving positively and permanently my life in both personal and professional perspectives. My most considerable acknowledgment and sincere admiration to Mr. Francois Bailet for his indispensable guidance and share of professional experience and knowledge during all the Programme period. I would like to dedicate special and sincere thanks also to Professor Günter Handl for his important guidance and support during the first placement of the Programme at Tulane University Law School, in New Orleans. I extend my gratitude to the Tulane Law School administrative and library staff for all their support and cordiality. I am also very thankful to Professor Eduardo Marone and Professor Carlos Soares from the Center of Sea Studies of the Federal University of Paraná (CEM/UFPR, Brazil) for the information on the Fellowship Programme and for the initial orientation during the submission of my application and research proposal. I am grateful to ANTAQ for my authorization and nomination to join the Programme, specially the Directors Fernando Fialho, Décio Cunha and Murilo Barbosa; the Superintendent of Ports Celso Quitanilha, the Manager of Development Fernando Reis; the Manager of Environment Marcos Maia Porto; and the General Secretary Aguinaldo Teixeira for all attention and support. Special thanks for Lt. Marc A. Zlomek from the 8th Coast Guard District and Lt. Ronald Fogan from the Port State Control in New Orleans for their availability to help me with information on the activities and procedures for ballast water management undertaken by the U.S. Coast Guard. - vi - I am very thankful for my colleagues from ANTAQ Monique Andrada and Dermeval Ruas for their valuable help with the information about the evolution of the Brazilian port handling along the last years. All my gratitude also to Mr. Alexandre de C. Leal Neto, the coordinator of GloBallast Programme in Brazil, for his significant contribution of information, bibliography and commentaries during the development of this study. Many thanks to the oceanographer Altevir Caron Jr. for his contribution of bibliographical references and information on ballast water management in the Port of Itajaí (Brazil) and the Project Alarm in the Paranagua Bay; oceanographer Leandro Cordeiro from IBAMA for helping me obtain information on federal environmental licensing processes of ports in Brazil; and Maria Cecília from DPC for precious information about the efforts of the Brazilian Maritime Authority for managing ballast water and protecting the marine environments against pollution from ships. I would like to express my gratitude also for all new friends that shared very good moments and experiences with me during both the New Orleans and the New York placements. The true friendship is one of the values that I cherish the most in life and having the opportunity to develop such friendships with really fascinating people from many different nations and cultures is inestimable. Finally, I am extremely thankful to my little flower Telminha that even staying physically distant most of time during these last 9 months, had patience and gave me unconditional support, companionship and love. - vii - Table of Contents Abstract.................................................................................................................................................. ii Summary..............................................................................................................................................