STEMMING THE TIDE

Controlling Introductions of Nonindigenous Species by Ships' Ballast Water

Committee on Ships' Ballast Operations

Marine Board

Commission on Engineering and Technical Systems

National Research Council

NATIONAL ACADEMY PRESS
Washington, D.C.
1996



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STEMMING THE TIDE Controlling Introductions of Nonindigenous Species by Ships' Ballast Water Committee on Ships' Ballast Operations Marine Board Commission on Engineering and Technical Systems National Research Council NATIONAL ACADEMY PRESS Washington, D.C. 1996

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NATIONAL ACADEMY PRESS 2101 Constitution Avenue, N.W. Washington, DC 20418 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the panel responsible for the report were chosen for their special competencies and with regard for appropriate balance. This report has been reviewed by a group other than the authors according to procedures approved by a Report Review Committee consisting of members of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The program described in this report is supported by Cooperative Agreement No. DTMA91-94-G-00003 between the Maritime Administration of the U.S. Department of Transportation and the National Academy of Sciences; and Grant No. N00014-95-1-1205 between the Department of the Navy, Office of Naval Research, and the NAS; and Grant No. NA56RG0142 between the Department of Commerce, NOAA, and the NAS; and Award No. S-OPRAQ-95-M-2148 between the U.S. Department of State and the NAS. The views expressed herein do not necessarily reflect the views of the sponsors and no official endorsement should be inferred. Library of Congress Cataloging-in-Publication Data Stemming the tide : controlling introductions of nonindigenous species by ships' ballast water/Committee on Ships' Ballast Operations, Marine Board, Commission on Engineering and Technical Systems, National Research Council. p. cm. Includes bibliographical references and index. ISBN 0-309-05537-7 (alk. paper) 1. Animal introduction. 2. Aquatic pests—Control. 3. Nonindigenous pests—Control. 4. Discharge of ballast water— Management. I. National Research Council (U.S.). Committee on Ships' Ballast Operations. QL86.S88 1996 591.52'63—dc20 96-31920 CIP Copyright 1996 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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COMMITTEE ON SHIPS' BALLAST OPERATIONS JOEL D. SIPES, (chair), U.S. Coast Guard (retired), Houston, Texas JOHN W. BOYLSTON, Argent Marine Operations, Inc., Yorktown, Virginia (from October 1995) JAMES T. CARLTON, Williams College-Mystic Seaport, Mystic, Connecticut MICHAEL J. FORDHAM, London, United Kingdom MICHAEL G. PARSONS, University of Michigan, Ann Arbor (until March 1995) RAY SKELTON, Seaway Port of Authority of Duluth, Duluth, Minnesota ALAN H. TAYLOR, BHP Transport Limited, Melbourne, Victoria, Australia E. DAIL THOMAS II, Naval Research Laboratory, Washington, D.C. THOMAS D. WAITE, University of Miami, Coral Gables, Florida JUDITH S. WEIS, Rutgers University, Newark, New Jersey Marine Board Staff CHARLES BOOKMAN, Director KRISTIN CHURCHILL, Study Director (until May 1995) JILL WILSON, Study Director (from June 1995) SHARON RUSSELL, Project Assistant (until June 1995) EILEEN TOLSON, Project Assistant (from August 1995) Liaison Representatives ROBERT BLUMBERG, Office of Marine Law and Policy, Department of State, Washington, D.C. LEON CAMMEN, National Sea Grant College Program, National Oceanic and Atmospheric Administration, Washington, D.C. LAUREN KABLER, U.S. Coast Guard, Washington, D.C. HERBERT KIRSCH, National Oceanic and Atmospheric Administration, Washington, D.C. LAWRENCE KOSS, Office of the Chief of Naval Operations, U.S. Navy, Washington, D.C. DANIEL LEUBECKER, Maritime Administration, Washington, D.C. MICHAEL SLIMACK, U.S. Environmental Protection Agency, Washington, D.C. JAY TROXEL, U.S. Fish and Wildlife Service, Washington, D.C.

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MARINE BOARD RICHARD J. SEYMOUR, (chair), Texas A&M University and Scripps Institution of Oceanography, La Jolla, California BERNARD J. ABRAHAMSSON, University of Wisconsin, Superior, Wisconsin JERRY A. ASPLAND, Arco Marine, Inc., Long Beach, California ANNE D. AYLWARD, Volpe National Transportation Systems Center, Cambridge, Massachusetts MARK Y. BERMAN, Amoco Corporation, Tulsa, Oklahoma BROCK B. BERNSTEIN, EcoAnalysis, Ojai, California JOHN W. BOYLSTON, Argent Marine Operations, Inc., Yorktown, Virginia SARAH CHASIS, Natural Resources Defense Council, Inc., New York, New York CHRYSSOSTOMOS CHRYSSOSTOMIDIS, Massachusetts Institute of Technology, Cambridge BILIANA CICIN-SAIN, University of Delaware, Newark JAMES M. COLEMAN, NAE, Louisiana State University, Baton Rouge BILLY L. EDGE, Texas A&M University, College Station MARTHA GRABOWSKI, LeMoyne College and Rensselaer Polytechnic Institute, Cazenovia, New York M. ELISABETH PATÉ-CORNELL, NAE, Stanford University, Stanford, California DONALD W. PRITCHARD, NAE, State University of New York at Stony Brook, Stony Brook STEPHANIE R. THORNTON, Coastal Resources Center, El Cerrito, California KARL K. TUREKIAN, NAS, Yale University, New Haven, Connecticut ROD VULOVIC, Sea-Land Service, Inc., Elizabeth, New Jersey E. G. "SKIP" WARD, Shell Offshore, Inc., Houston, Texas ALAN G. YOUNG, Fugro-McClelland BV, Houston, Texas Staff CHARLES A. BOOKMAN, Director DONALD W. PERKINS, Associate Director DORIS C. HOLMES, Staff Associate

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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs. encourages education and research, and recognizes the superior achievements of engineers. Dr. William A. Wulf is interim president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Kenneth I. Shine is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chairman and interim vice chairman, respectively, of the National Research Council.

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Preface BACKGROUND A great many nonindigenous species have been introduced into new environments in the United States and throughout the world as a result of human activity. Although many introduced species do not become established and do not have a major impact, many have detrimental effects on the ecosystem and human society, including the economy, recreation, and health. Reports of marine and freshwater invasions of nonindigenous species have increased as human activity continues to disperse organisms at a significant rate. Species are transferred to new environments, intentionally or unintentionally, by many vectors, including ship hulls and anchors, where organisms may attach or become entangled; commercial products, whereby organisms are unknowingly transferred along with cargo (e.g., predators and diseases carried with commercial oysters); and the planned release of edible species for aquaculture. One important pathway is through ships' ballast water, which is necessary for safe ship operations and which may be taken on and discharged at the port of departure, during the voyage, and at the arrival port. This study addresses the effects and control of ballast water. Ballast is defined as any solid or liquid placed in a ship to increase the depth of submergence of the vessel in the water (the draft), to change the trim, to regulate the stability, or to maintain stress loads within acceptable limits. For the purposes of this study, the term ballast also includes sediment. The negative economic and environmental impact of introducing nonindigenous species has been substantial. In an effort to address the problem, the U.S. Congress passed P.L. 101–646, The Nonindigenous Aquatic Nuisance Prevention and Control Act of 1990. Several of the provisions of the act directly address the challenges of ballast water as a vector for exotic species.

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Also in 1990, the International Maritime Organization (IMO), which establishes standards for the maritime industry, published voluntary guidelines for controlling the discharge of ballast water. Because the uncontrolled discharge of ballast water is an international problem that can be expected to get worse, the IMO has established a working group to consider adding regulatory measures. In 1995 a member of the U.S. delegation succeeded an Australian delegate as chair of the IMO ballast water working group. The working group is furthering development of the guidelines and considering the formulation of a new annex to MARPOL 73/781 regarding control of ballast water. Strategies for preventing the introduction of unwanted aquatic organisms through the discharge of ballast water and sediment include controlling when and where ballast water can be taken on or discharged and treating ballast water by a range of physical, chemical, mechanical, and biological processes. Related issues include whether new or different standards are needed, whether the voluntary regime should be made mandatory, whether the problem should be addressed on a regional or a worldwide basis, and the extent to which recordkeeping is needed. In conjunction with these issues, the questions of operational practicability, seafarer and ship safety, biological effectiveness, environmental impact, post-treatment monitoring and assessment, and cost-effectiveness of various options must be considered. ORIGIN AND SCOPE OF THE STUDY Legislation was introduced in the 103rd U.S. Congress that would have mandated a program to demonstrate technologies for treating ballast water and identify current management practices. The legislation (which did not come to fruition) included a feasibility study to be implemented by the National Research Council (NRC) that would identify the most promising technologies and management practices for demonstration. As a result of discussions with member agencies of the Aquatic Nuisance Species Task Force (mandated under P.L.101–646)2 and congressional staff, the NRC convened a committee under the auspices of the Marine Board to undertake a focused study of technologies for preventing and controlling the introduction of nonindigenous marine species by ships' ballast operations. The present study addresses the needs outlined in the proposed federal legislation calling for a feasibility study and demonstration program and assesses the 1   The Protocol of 1978 relating to the International Convention for the Prevention of Pollution from Ships, 1973. 2   The interagency Aquatic Nuisance Species Task Force is jointly chaired by the National Oceanic and Atmospheric Administration and the U.S. Fish and Wildlife Service. Other federal agencies with representatives on the task force are the Coast Guard, the Army Corps of Engineers, the Environmental Protection Agency, the Animal and Plant Health Inspection Service of the Department of Agriculture, and the Department of State.

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state of practice of measures used to control aquatic nuisance species from ballast operations in the regional, national, and international arenas. All aquatic environments that are affected by ballast water operations, including the Great Lakes, are included in the scope of this study. The committee's tasks were: Assess the state of practice of preventing and controlling the introduction of nonindigenous species via ship operations, including voluntary guidelines at the regional, national, and international levels. Appraise potential alternative control strategies and management options for biological efficacy, practicability, and cost-effectiveness, as well as for their impact on ship and crew safety and the environment. Identify needs for research and technology demonstration, including the development of a framework for a demonstration project, if warranted. Committee members were selected to include a broad spectrum of viewpoints at the regional, national, and international levels and to provide the wide range of expertise needed. Members represented the fields of biological oceanography, environmental biology, shipping, naval architecture, port operations, civil and sanitary engineering, and marine policy. Biographical information is presented in Appendix A. The committee was assisted by liaison representatives from seven federal agencies with related programs or missions: the U.S. Department of Transportation-U.S. Coast Guard, the National Oceanic and Atmospheric Administration, the U.S. Fish and Wildlife Service, the U.S. Environmental Protection Agency, the U.S. Navy, the Department of Transportation-Maritime Administration, and the U.S. Department of State. STUDY METHODS AND REPORT ORGANIZATION The full committee met five times over a 16-month period. The committee reviewed relevant literature—including a number of overseas reports on managing ballast water—and was briefed on activities at the federal level related to aquatic nuisance species, notably the actions of the Aquatic Nuisance Species Task Force and the Risk Assessment and Management Committee. The committee also solicited information from researchers and practitioners in federal agencies, regional task groups, the shipping industry, and technology development organizations. In addition, the committee developed a questionnaire on candidate technologies for treating ballast water, which was sent to suppliers and developers of water treatment systems and research organizations (see Appendix G). These data-gathering activities were supplemented by visits to the ports of Long Beach and Los Angeles, California, where the committee was briefed on shipping practices while touring a tanker and a container vessel. The committee also visited the Port of Duluth to learn about control practices in the Great Lakes. Committee members met several times in smaller groups to develop particular

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aspects of the report. The committee also held a two-part workshop in May and August 1995 to gather data on candidate technologies for treating ballast water. Information on committee meetings and other activities is given in Appendix B. Chapter 1 of the report provides an overview of the role of ballast water in the dispersal of nonindigenous aquatic organisms. The use of ballast in ship operations is discussed in Chapter 2, which highlights the importance of ballast in ensuring ship safety. Chapter 3 addresses management of ballast water. Potential strategies for controlling ballast water are discussed in the context of ongoing activities by international, national, regional and other bodies; the chapter concludes with a brief discussion of the role of risk analysis in the development of options for managing ballast water. Chapters 4 and 5 comprise the technical core of the report. In these chapters, candidate technologies for shipboard treatment of ballast water are identified and evaluated based on criteria developed by the committee. The principal advantages and limitations of the most promising candidates are also discussed, with a view to developing for shipboard demonstration, and requirements for monitoring ballast water are discussed in the context of possible scenarios. Finally, opportunities for applying available and emerging monitoring techniques are identified. The committee's conclusions and recommendations are presented in Chapter 6. ACKNOWLEDGMENTS The committee wishes to thank the many individuals who contributed their time and effort to this project in the form of presentations at meetings, correspondence, or telephone calls. Special thanks are due to Mr. Jerry Aspland, Captain Jim Morgan, and the crew of the ARCO tanker, Prudhoe Bay; Captain Kim Davis, Captain Joseph Delehant, and the crew of the Sea Land containership, The Patriot; and the Port of Duluth for hosting committee visits. The hospitality of BHP Hawaii during the implementing change task group meeting is gratefully acknowledged. The committee wishes to acknowledge the valuable contributions to the study made by its liaisons with project sponsors: Robert Blumberg, Office of Marine Law and Policy, Department of State; Leon Cammen, National Oceanic and Atmospheric Administration, National Sea Grant College Program; Lauren Kabler, Marine Environmental Protection Division, U.S. Coast Guard; Herbert Kirsch, National Oceanic and Atmospheric Administration, Office of Policy and Strategic Planning; Lawrence Koss, Office of the Chief of Naval Operations; Daniel Leubecker, Department of Transportation, Maritime Administration; Michael Slimack, U.S. Environmental Protection Agency; and Jay Troxel, U.S. Fish and Wildlife Service. The contribution made by Richard Seymour, the Marine Board liaison to the committee, is also gratefully acknowledged. Finally, the chairman wishes to recognize the members of the committee for their hard work during meetings and reviewing drafts of the report and for their individual efforts in gathering information and writing sections of the report.

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Contents     EXECUTIVE SUMMARY   1 1   BALLAST WATER AND NONINDIGENEOUS SPECIES   11     Diversity of Ballast Water Biota,   15     Fate of Discharged Organisms,   16     Complexity of Ballasting Patterns,   17     Implications for Managing Ballast Water,   18     Other Dispersal Vectors,   18     References,   20 2   BALLAST WATER AND SHIPS   22     Diversity of Ships and Ballast Systems,   22     Safety,   24     Ballast Conditions at Sea,   25     Ballast Conditions in Port,   27     Ballasting,   29     References,   31 3   MANAGING BALLAST WATER   32     Voyage Approach,   33     Control Options,   41     International Activities,   42     National Activities,   44     Regional, State, and Local Activities,   45     International Framework for Regulation,   47     Auditing Requirements and Monitoring,   48     Training,   48     Risk-Based Perspective on Managing Ballast Water,   48     References,   51

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4   SHIPBOARD TREATMENT OPTIONS   52     Treatment Issues,   52     Technologies for Treating Ballast Water,   53     Committee's Evaluation Methodology,   55     Promising Options,   60     Options with Possible Limited Applications,   67     Other Options,   69     Discharge to the Environment,   71     Summary,   72     References,   72 5   MONITORING   74     Monitoring Scenarios,   76     Alternatives to Shipboard Monitoring,   76     Levels of Monitoring,   77     Monitoring after Treatment of Ballast Water,   81     Sampling Issues,   82     Monitoring Sediment,   83     Setting Standards,   84     References,   84 6   CONCLUSIONS AND RECOMMENDATIONS   86     Conclusions,   86     Recommendations,   89     APPENDICES         A BIOGRAPHICAL SKETCHES OF COMMITTEE MEMBERS   95     B COMMITTEE MEETINGS AND ACTIVITIES   99     C EXPLANATION OF BASIC STABILITY   102     D ALTERNATIVE SHIP DESIGNS   106     E GREAT LAKES MARITIME INDUSTRY VOLUNTARY BALLAST WATER MANAGEMENT PLAN FOR THE CONTROL OF RUFFE IN LAKE SUPERIOR PORTS, 1993   109     F CANDIDATE SHIPBOARD TREATMENT TECHNOLOGIES: SUPPLEMENTARY INFORMATION   111     G TREATMENT OPTIONS QUERY   119     H EMERGING MONITORING TECHNOLOGIES   122     GLOSSARY AND CONVERSIONS   127     INDEX   137

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Tables, Figures, and Boxes TABLES 1-1   Examples of Shipborne Introductions Worldwide since the 1980s,   13 1-2   Examples of Shipborne Introductions in the United States since the 1970s,   14 2-1   Typical Vessel Types, Ballast Needs, and Pumping Rates,   24 4-1   Evaluation Matrix for Shipboard Treatment Technologies,   59 5-1   Approaches to Monitoring,   78 5-2   Basic Physical-Chemical Water Quality Parameters,   79 FIGURES 1-1   Introductions of nonindigeneous aquatic plants and animals in (a) the Great Lakes and (b) the San Francisco Bay region,   12 2-1   Typical ballast tank arrangements,   25 2-2   Typical ballast system,   30 3-1   Voyage approach to managing ballast water,   34 3-2   Basic options for changing ballast water,   37 4-1   Operation of a self-cleaning strainer,   62 C-1   Righting lever,   103 C-2   Zero GM,   103 C-3   Reduced GM with slack tanks (free surface effect),   104 C-4   Negative GM,   104 BOXES 1-1   Life beyond Ballast,   19 2-1   Ballast Defined,   23 2-2   Safety Is Paramount,   26 3-1   International Maritime Organization (IMO),   43 3-2   U.S. Regulations for the Control of Nonindigenous Species in Ballast Water in the Great Lakes,   45 3-3   Theoretical Elements of Risk Assessment,   50

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Stemming the Tide

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