CONSOLIDATION

Ballast Water Regulations

SOR/2021-120

Current to June 20, 2022



OFFICIAL STATUS OF CONSOLIDATIONS Subsections 31(1) and (3) of the Legislation Revision and Consolidation Act, in force on June 1, 2009, provide as follows: Published consolidation is evidence

31 (1) Every copy of a consolidated statute or consolidated regulation published by the Minister under this Act in either print or electronic form is evidence of that statute or regulation and of its contents and every copy purporting to be published by the Minister is deemed to be so published, unless the contrary is shown. ... Inconsistencies in regulations

(3) In the event of an inconsistency between a consolidated regulation published by the Minister under this Act and the original regulation or a subsequent amendment as registered by the Clerk of the Privy Council under the Statutory Instruments Act, the original regulation or amendment prevails to the extent of the inconsistency.

LAYOUT The notes that appeared in the left or right margins are now in boldface text directly above the provisions to which they relate. They form no part of the enactment, but are inserted for convenience of reference only.

NOTE This consolidation is current to June 20, 2022. Any amendments that were not in force as of June 20, 2022 are set out at the end of this document under the heading “Amendments Not in Force”.

Current to June 20, 2022

TABLE OF PROVISIONS Ballast Water Regulations

Interpretation 1

Definitions

Incorporation by reference

Application 3

Application

Compliance 4

Authorized representative and master — Annex

Regulation A-4 of the Annex — Exemptions 5

Canadian vessels

Regulation A-5 of the Annex — Equivalent Compliance 6

Application

Regulation B-1 of the Annex — Ballast Water Management Plan 7

Approval

Maintenance

Submission to Minister

Regulation B-2 of the Annex — Ballast Water Record Book 10

Language of record book

Regulation B-3 of the Annex — Ballast Water Management Compliance Timeline 11

Certain vessels

Ballast Water Performance Standard 12

Deemed compliance

Current to June 20, 2022

ii

Ballast Water Regulations TABLE OF PROVISIONS

Alternative Methods of Ballast Water Management 13

Alternative methods

Regulation B-4 of the Annex — Ballast Water Exchange 14

Areas for exchange

Regulation C-1 of the Annex — Additional Measures Releases in Canadian Fresh Waters 15

Exchange requirement

Saltwater Flushing 16

Residual amounts

Regulation D-3 of the Annex — Ballast Water Management Systems 17

Minister’s approval

Type Approval Certificate

Regulation D-4 of the Annex — Prototype Ballast Water Treatment Technologies 19

Statement of Compliance

Section E of the Annex — Inspection and Certification Requirements Certificates 20

IBWM Certificate

Regulation E-2 — Issuance of IBWM Certificate 21

Issuance of certificate

Endorsements

Vessels of Non-Parties to the Convention 23

Equivalent document

Reporting 24

Canadian Ballast Water Reporting Form

Current to June 20, 2022

iv

Ballast Water Regulations TABLE OF PROVISIONS

Consequential Amendments, Repeal and Coming into Force Consequential Amendments Administrative Monetary Penalties and Notices (CSA 2001) Regulations Aquatic Invasive Species Regulations

Repeal Coming into Force 28

Registration

Current to June 20, 2022

v

Registration SOR/2021-120

June 4, 2021

CANADA SHIPPING ACT, 2001 FISHERIES ACT

Ballast Water Regulations P.C. 2021-503

June 3, 2021

Whereas the annexed Ballast Water Regulations establish standards that are additional or complementary to the standards set out in the International Convention for the Control and Management of Ships’ Ballast Water and Sediments, 2004, and the Administrator in Council is satisfied that those additional or complementary standards meet the objectives of the Convention; Therefore, His Excellency the Administrator of the Government of Canada in Council, on the recommendation of the Minister of Transport and the Minister of Natural Resources with respect to the provisions of the annexed Regulations other than section 26 and on the recommendation of the Minister of Fisheries and Oceans with respect to that section 26, makes the annexed Ballast Water Regulations pursuant to (a) subsections 35(1)a and 35.1(1)b, section 190c

and paragraphs 244(f)d, (g) and (h)e of the Canada Shipping Act, 2001f; and (b) subsection 43(1)g of the Fisheries Acth.

a

S.C. 2019, c. 1, s. 141

b

S.C. 2018, c. 27, s. 692

c

S.C. 2018, c. 27, s. 707

d

S.C. 2014, c. 29, s. 75(1)

e

S.C. 2018, c. 27, s. 709

f

S.C. 2001, c. 26

g

S.C. 2019, c. 14, s. 31 and par. 50(e)

h

R.S., c. F-14

Current to June 20, 2022

Ballast Water Regulations

Interpretation Definitions 1 (1) The following definitions apply in these Regulations. Act means the Canada Shipping Act, 2001. (Loi) Annex means the Annex to the Convention. (Annexe) ballast water has the same meaning as in article 1 of the Convention. (eaux de ballast) ballast water exchange standard means the standard set out in regulation D-1 of the Annex. (norme de renouvellement des eaux de ballast) ballast water management has the same meaning as in article 1 of the Convention. (gestion des eaux de ballast) ballast water management system has the same meaning as in the BWMS Code. (système de gestion des eaux de ballast) ballast water performance standard means the standard set out in regulation D-2 of the Annex. (norme de qualité des eaux de ballast) BWMS Code means the Code for Approval of Ballast Water Management Systems, published by the International Maritime Organization. (Code BWMS) Canadian pleasure craft means a pleasure craft that (a) is licensed under Part 10 of the Act; or (b) is principally maintained or operated in Canada, is not a Canadian vessel and is not registered or licensed under the laws of another state. (embarcation de plaisance canadienne)

Convention means the International Convention for the Control and Management of Ships’ Ballast Water and Sediments, 2004, signed at London on February 13, 2004. (Convention) Great Lakes Basin means the waters of the Great Lakes, their connecting and tributary waters and the waters of the St. Lawrence River as far as the lower exit of the St.

Current to June 20, 2022

Ballast Water Regulations Interpretation Sections 1-2

Lambert Lock at Montréal in Quebec. (bassin des Grands Lacs) IBWM Certificate means the International Ballast Water Management Certificate issued under regulation E-2 or E-3 of the Annex. (certificat IGEB) Minister means the Minister of Transport. (ministre) release, in respect of ballast water, includes leakage, pumping, pouring, emptying, dumping, spraying or placing. (déversement) residual amounts means the quantity of ballast water that cannot be removed from a ballast tank using the equipment installed on the vessel for that purpose. (quantité résiduelle) sediments means matter settled out of ballast water within a vessel. (sédiments) TP 13617 means the document entitled List of Canada’s Designated Alternate Ballast Water Exchange Areas and Fresh Waters, published by the Department of Transport. (TP 13617) waters under Canadian jurisdiction means Canadian waters and waters in the exclusive economic zone of Canada. (eaux de compétence canadienne)

Authorized representative (2) For the purposes of these Regulations, a reference to the authorized representative of a pleasure craft that is not a Canadian vessel is to be read as a reference to the owner and operator of the pleasure craft.

Incorporation by reference 2 (1) Except as otherwise provided, any reference in

these Regulations to a document is a reference to the document as amended from time to time. Incorporated documents — certain terms (2) For the purpose of interpreting a document incorporated by reference into these Regulations, (a) “Administration” is to be read as “Minister” in respect of (i) Canadian vessels, (ii) Canadian pleasure craft, and

Current to June 20, 2022

Ballast Water Regulations Interpretation Sections 2-3

(iii) floating platforms engaged in the exploration or exploitation of the seabed and subsoil in waters under Canadian jurisdiction, including floating storage units and floating production, storage and off-loading units; (b) “ship” is to be read as “vessel”; (c) “survey” is to be read as “inspection”; and (d) “discharge”, in respect of ballast water, is to be read as “release”.

Regulation A-3.5 of the Annex (3) For the purpose of interpreting regulation A-3.5 of the Annex, the location referred to in that regulation is within 10 nautical miles from another location without encountering a physical barrier or obstruction.

Definition of viable organisms (4) For the purpose of interpreting regulation D-2 of the

Annex, viable organisms has the same meaning as in the BWMS Code.

Application Application 3 (1) Except as otherwise provided, these Regulations

apply in respect of the following vessels if they are designed or constructed to carry ballast water: (a) Canadian vessels everywhere; and (b) vessels that are not Canadian vessels and are in

waters under Canadian jurisdiction.

Activities related to oil or gas (2) These Regulations apply in respect of vessels referred

to in subsection (1) that are capable of engaging in the drilling for, or the production, conservation or processing of, oil or gas, except vessels that are on location and engaged in one of those activities in an area referred to in (a) section 3 of the Canada Oil and Gas Operations Act; (b) subsection 8(1) of the Canada-Newfoundland and

Labrador Atlantic Accord Implementation Act; or (c) subsection 8(1) of the Canada-Nova Scotia Offshore Petroleum Resources Accord Implementation Act.

Current to June 20, 2022

Ballast Water Regulations Application Sections 3-4

Non-application (3) These Regulations do not apply in respect of (a) vessels operated under the authority of a state that

is not a party to the Convention if they are operated exclusively in the Great Lakes Basin and if they do not take on board or release ballast water in waters under Canadian jurisdiction unless it is necessary to ensure the safety of the vessel during a voyage between ports located outside Canada; (b) vessels that are owned or operated by a state and used only in government non-commercial service; or (c) vessels that carry only permanent ballast water in

sealed tanks such that it is not subject to release.

Quantity (4) For greater certainty, these Regulations apply to the

management of any quantity of ballast water that may be released from a vessel.

Compliance Authorized representative and master — Annex 4 (1) Except as otherwise provided by these Regulations, the authorized representative and the master of a vessel must ensure that the requirements of the Annex are met in respect of the vessel.

Authorized representative and master — certain provisions (2) The authorized representative and the master of a vessel must ensure that the requirements of section 8, subsections 14(1), 15(1) and 16(1) and sections 17 to 20, 22 and 23 are met.

Master — ballast water record book (3) The master must ensure, in respect of the ballast water record book, that (a) the requirements set out in the Annex to make entries are met; (b) the signature requirements set out in regulation

B-2 of the Annex are met;

Current to June 20, 2022

Ballast Water Regulations Compliance Sections 4-5

(c) all entries are maintained on board the vessel in

accordance with the requirements set out in regulation B-2 of the Annex; and (d) the record book is kept readily available for inspection in accordance with the requirements set out in regulation B-2 of the Annex.

Authorized representative — ballast water record book (4) The authorized representative of a Canadian vessel or

a Canadian pleasure craft must maintain the entries made in the ballast water record book, in accordance with regulation B-2 of the Annex, after the period during which the entries are to be maintained on board the vessel in accordance with that regulation. Authorized representative and master — regulation E-1 (5) The authorized representative and the master of a Canadian vessel or a Canadian pleasure craft must ensure that the following requirements, as set out in regulation E-1 of the Annex, are met: (a) the reporting requirements if an accident occurs to

a vessel or a defect is discovered; (b) the maintenance requirements; and (c) the requirement to obtain approval of a change that is made after an inspection.

Regulation A-4 of the Annex — Exemptions Canadian vessels 5 (1) The Marine Technical Review Board established under section 26 of the Act is authorized, in respect of Canadian vessels, to exercise the powers of a Party to the Convention conferred by regulation A-4 of the Annex in respect of the requirements of sections 15 and 16 and of regulation B-3 of the Annex.

Other vessels (2) On application by the authorized representative of a

vessel other than a Canadian vessel, the Minister is authorized to exempt the vessel from the requirements of sections 15 and 16 and of regulation B-3 of the Annex if

Current to June 20, 2022

Ballast Water Regulations Regulation A-4 of the Annex — Exemptions Sections 5-7

the application establishes that the applicable conditions described in regulation A-4 of the Annex are met.

Regulation A-5 of the Annex — Equivalent Compliance Application 6 (1) This section applies in respect of (a) vessels that are less than 50 m in overall length and vessels that are not self-propelled and that are of less than 3,000 gross tonnage, if they are operated exclusively (i) in waters under Canadian jurisdiction, or (ii) in waters under Canadian jurisdiction and on the high seas; and (b) vessels that are described in regulation A-5 of the Annex.

Guidelines (2) A vessel described in subsection (1) may, instead of complying with these Regulations, elect to comply with the requirements set out in the Guidelines for ballast water management equivalent compliance (G3), published by the International Maritime Organization.

Guidelines — recommendations (3) For the purpose of interpreting the guidelines referred to in subsection (2), with the exception of any provision relating to ballast water exchange, “should” is to be read as “must” and recommendations are mandatory.

Regulation B-1 of the Annex — Ballast Water Management Plan Approval 7 (1) On application by the authorized representative,

the Minister must approve the ballast water management plan of a Canadian vessel or a Canadian pleasure craft if the plan meets the requirements set out in regulation B-1 of the Annex. Language of plan (2) Despite subsection (1), the ballast water management plan must be written in English or French, or in both.

Current to June 20, 2022

Ballast Water Regulations Regulation B-1 of the Annex — Ballast Water Management Plan Sections 8-11

Maintenance 8 A vessel must ensure that its ballast water management plan remains up to date and reflects the means by which the vessel complies with the requirements of these Regulations.

Submission to Minister 9 (1) The authorized representative of a Canadian vessel

or a Canadian pleasure craft must submit to the Minister any amendment to the ballast water management plan.

Approval of amendments (2) The Minister must approve any amendment to the

ballast water management plan if the amendment meets the requirements in respect of the plan that are set out in regulation B-1 of the Annex.

Regulation B-2 of the Annex — Ballast Water Record Book Language of record book 10 Despite regulation B-2 of the Annex, entries made in

the ballast water record book of a Canadian vessel or a Canadian pleasure craft must be written in English or French, or in both.

Regulation B-3 of the Annex — Ballast Water Management Compliance Timeline Certain vessels 11 (1) Despite regulation B-3 of the Annex, a vessel constructed before the day on which these Regulations come into force is not required to conduct ballast water management to meet the ballast water performance standard until September 8, 2024, and a vessel constructed before January 1, 2009 is not required to conduct ballast water management to meet that standard until September 8, 2030, if the vessel is operated exclusively (a) in waters under Canadian jurisdiction and, if applicable, the United States’ waters of the Great Lakes Basin; or (b) in waters described in paragraph (a) and on the

high seas.

Current to June 20, 2022

Ballast Water Regulations Regulation B-3 of the Annex — Ballast Water Management Compliance Timeline Sections 11-12

Definition of constructed (2) For the purposes of subsection (1), constructed has

the same meaning as in regulation A-1 of the Annex.

Ballast Water Performance Standard Deemed compliance 12 (1) A vessel using a ballast water management system to meet the ballast water performance standard is deemed to have met that standard in respect of ballast water taken on board in the Great Lakes Basin or in the eastern waters of the St. Lawrence River, if (a) the vessel’s ballast water management system was installed before September 8, 2024 or, in the case of a vessel constructed before January 1, 2009 that is operated exclusively in waters described in paragraph 11(1)(a) or (b), the system was installed before September 8, 2030; (b) the vessel meets the requirements of section 8; (c) the vessel holds and keeps on board a valid IBWM

Certificate or an equivalent document referred to in section 23; (d) the vessel’s ballast water management system is in good working order and has been maintained and operated in accordance with the manufacturer’s instructions; and (e) the ballast water is managed in accordance with

the manufacturer’s instructions for the vessel’s ballast water management system, subject to any limiting operating conditions or other restrictions identified in the Type Approval Certificate evidencing the system’s approval under regulation D-3 of the Annex. Definition of eastern waters of the St. Lawrence River (2) For the purposes of subsection (1), eastern waters

of the St. Lawrence River means the waters of the St. Lawrence River from the lower exit of the St. Lambert Lock at Montréal in Quebec as far seaward as a straight line drawn from Cap-des-Rosiers to Pointe Ouest, Anticosti Island, and from Anticosti Island to the north shore of the St. Lawrence River along the meridian of longitude 63° W, and their connecting and tributary waters.

Current to June 20, 2022

Ballast Water Regulations Regulation B-3 of the Annex — Ballast Water Management Alternative Methods of Ballast Water Management Sections 13-14

Alternative Methods of Ballast Water Management Alternative methods 13 A vessel may, instead of conducting ballast water

management to meet the ballast water exchange standard or the ballast water performance standard, as applicable, (a) conduct ballast water management in accordance

with an alternative method referred to in regulation B-3.7 of the Annex if that method has been approved in accordance with the requirements of that regulation; or (b) release potable water, taken on board as ballast water from a public or commercial source in Canada or the United States, into waters under Canadian jurisdiction or on the high seas if it has not been mixed with other ballast water, including residual amounts, or with sediments.

Regulation B-4 of the Annex — Ballast Water Exchange Areas for exchange 14 (1) A vessel that enters waters under Canadian jurisdiction from waters other than the United States’ waters of the Great Lakes Basin and that conducts ballast water management to meet the ballast water exchange standard must conduct the exchange (a) in an area that is at least 200 nautical miles from the nearest land and where water depth is at least 2 000 m; (b) in an area described in, and in accordance with,

regulation B-4.1 of the Annex, if the vessel cannot meet the requirements of paragraph (a); or (c) in one of the alternate ballast water exchange areas designated by the Minister in TP 13617, if the vessel cannot meet the requirements of paragraph (a) or (b). Record keeping (2) The master of a vessel that does not comply with subsection (1) must enter the reasons in the ballast water record book.

Current to June 20, 2022

Ballast Water Regulations Regulation C-1 of the Annex — Additional Measures Section 15

Regulation C-1 of the Annex — Additional Measures Releases in Canadian Fresh Waters Exchange requirement 15 (1) In addition to meeting the requirements of the

Convention, a vessel that conducts ballast water management to meet the ballast water performance standard must not release ballast water in Canadian fresh waters described in TP 13617 unless that ballast water was first exchanged in accordance with the ballast water exchange standard (a) in an area, and in the manner, described in subsection 14(1), if the sequential method — as described in the 2017 Guidelines for ballast water exchange (G6), published by the International Maritime Organization — was used; or (b) on the high seas, in any other case.

Exception (2) Subsection (1) does not apply if the ballast water to

be released was taken on board in waters under Canadian jurisdiction, in the United States’ waters of the Great Lakes Basin or in waters in an area described in subsection 14(1) and has not been mixed with residual amounts taken elsewhere than from those waters. Exception — extraordinary conditions (3) A vessel is not required to exchange ballast water in

accordance with subsection (1) if the master determines, on reasonable grounds, that the exchange would threaten the safety or stability of the vessel, its crew or its passengers because of adverse weather, vessel design or stress, equipment failure or any other extraordinary conditions.

Record keeping (4) The master of a vessel that does not comply with subsection (1) must enter the reasons in the ballast water record book.

Current to June 20, 2022

Ballast Water Regulations Regulation C-1 of the Annex — Additional Measures Saltwater Flushing Sections 16-18

Saltwater Flushing Residual amounts 16 (1) In addition to meeting the requirements of the

Convention, a vessel that conducts ballast water management to meet the ballast water exchange standard must conduct a saltwater flushing of tanks that contain only residual amounts unless those residual amounts were taken on board in accordance with the ballast water exchange standard and subsection 14(1). Saltwater flushing (2) For the purposes of subsection (1), saltwater flushing

consists of the following measures undertaken in the following order: (a) the addition of water to the ballast tanks in accordance with the requirements for ballast water exchange set out in subsection 14(1); (b) the mixing, through the motion of the vessel, of

the water added under paragraph (a) with the residual amounts and any sediments that have settled in the tanks; and (c) the release, in accordance with the requirements

for ballast water exchange set out in subsection 14(1), of the waters mixed under paragraph (b) so that the salinity of the resulting residual amounts in the tanks exceeds 30 parts per thousand or is as close as possible to 30 parts per thousand.

Regulation D-3 of the Annex — Ballast Water Management Systems Minister’s approval 17 Any ballast water management system used on a Canadian vessel or a Canadian pleasure craft must be approved by the Minister in accordance with regulation D-3 of the Annex.

Type Approval Certificate 18 A vessel must keep on board a copy of the Type Approval Certificate issued in respect of a ballast water management system installed on the vessel that evidences the system’s approval under regulation D-3 of the Annex.

Current to June 20, 2022

Ballast Water Regulations Regulation D-4 of the Annex — Prototype Ballast Water Treatment Technologies Sections 19-23

Regulation D-4 of the Annex — Prototype Ballast Water Treatment Technologies Statement of Compliance 19 A vessel that is participating in one of the programs

referred to in regulation D-4 of the Annex must hold and keep on board a valid Statement of Compliance referred to in the Guidelines for approval and oversight of prototype ballast water treatment technology programmes (G10), published by the International Maritime Organization.

Section E of the Annex — Inspection and Certification Requirements Certificates IBWM Certificate 20 Every vessel to which regulation E-1 of the Annex applies must hold and keep on board a valid IBWM Certificate.

Regulation E-2 — Issuance of IBWM Certificate Issuance of certificate 21 On application by the authorized representative of a

Canadian vessel or a Canadian pleasure craft, the Minister must issue an IBWM Certificate to the vessel or pleasure craft if the requirements of an initial or renewal inspection set out in section E of the Annex are met.

Endorsements 22 A Canadian vessel or a Canadian pleasure craft that holds an IBWM Certificate must ensure that the certificate is endorsed by the Minister as required by section E of the Annex.

Vessels of Non-Parties to the Convention Equivalent document 23 A vessel that is entitled to fly the flag of a state that is not a party to the Convention must not take on board or

Current to June 20, 2022

Ballast Water Regulations Vessels of Non-Parties to the Convention Sections 23-28

release ballast water in waters under Canadian jurisdiction unless that vessel holds and keeps on board a document issued by or on behalf of the government of that state that certifies that the vessel meets the requirements of the Convention.

Reporting Canadian Ballast Water Reporting Form 24 The master of a vessel that is bound for a port, offshore terminal or anchorage area in Canada must, in the manner specified by the Minister, submit a completed Canadian Ballast Water Reporting Form to the Minister.

Consequential Amendments, Repeal and Coming into Force Consequential Amendments Administrative Monetary Penalties and Notices (CSA 2001) Regulations 25 [Amendments]

Aquatic Invasive Species Regulations 26 [Amendments]

Repeal 27 The Ballast Water Control and Management Regulations3 are repealed.

Coming into Force Registration 28 These Regulations come into force on the day

on which they are registered.

SOR/2011-237

Current to June 20, 2022

