Ballast Water Control and Management Regulations
SOR/2011-237
Registration 2011-10-27
Ballast Water Control and Management Regulations
P.C. 2011-1268 2011-10-27
His Excellency the Governor General in Council, on the recommendation of the Minister of Transport and the Minister of Natural Resources, pursuant to subsection 35(1)Footnote a and section 190 of the Canada Shipping Act, 2001Footnote b, hereby makes the annexed Ballast Water Control and Management Regulations.
Return to footnote aS.C. 2005, c. 29, s. 16(1)
Return to footnote bS.C. 2001, c. 26
Interpretation
Marginal note:Definitions
1 The following definitions apply in these Regulations.
ballast water capacity
capacité en eau de ballast
ballast water capacity means the total volumetric capacity of the tanks, spaces or compartments on a vessel that are used for carrying, loading or discharging ballast water, including any multi-use tank, space or compartment designed to allow the carriage of ballast water. (capacité en eau de ballast)
ballast water system
système d’eau de ballast
ballast water system means the tanks, spaces or compartments on a vessel that are used for carrying, loading or discharging ballast water, including any multi-use tank, space or compartment designed to allow the carriage of ballast water, as well as the piping and pumps. (système d’eau de ballast)
Great Lakes Basin
bassin des Grands Lacs
Great Lakes Basin means the Great Lakes, their connecting and tributary waters, and the St. Lawrence River as far east as the lower exit of the St. Lambert Lock at Montréal, Quebec. (bassin des Grands Lacs)
harmful aquatic organisms or pathogens
agents pathogènes ou organismes aquatiques nuisibles
harmful aquatic organisms or pathogens means aquatic organisms or pathogens that, if introduced into waters under Canadian jurisdiction, could create hazards to human health, harm organisms, damage amenities, impair biological diversity or interfere with legitimate uses of the waters. (agents pathogènes ou organismes aquatiques nuisibles)
reception facility
installation de réception
reception facility means a facility that is capable of receiving, storing, processing or transhipping ballast water or sediment in a manner that reduces the likelihood of harmful aquatic organisms or pathogens being introduced into waters under Canadian jurisdiction. (installation de réception)
release
libération
release, in respect of ballast water, includes spill, leak, pump, pour, empty, dump, spray or place. (libération)
residual amounts
quantité résiduelle
residual amounts means the quantity of ballast water that remains in a ballast water system after all efforts have been made to empty the system. (quantité résiduelle)
TP 13617
TP 13617
TP 13617 means the document entitled A Guide to Canada’s Ballast Water Control and Management Regulations, published by the Department of Transport in May 2006, as amended from time to time. (TP 13617)
waters under Canadian jurisdiction
eaux de compétence canadienne
waters under Canadian jurisdiction means Canadian waters and waters in the exclusive economic zone of Canada. (eaux de compétence canadienne)
Application
Marginal note:Application of Regulations
2 (1) 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.
Marginal note:Oil and gas operations
(2) These Regulations apply in respect of vessels that are capable of engaging in the drilling for, or the production, conservation or processing of, oil or gas except when the vessel is on location and engaged in the exploration or drilling for, or the production, conservation or processing of, oil or gas, as defined in section 2 of the Canada Oil and Gas Operations Act, in an area described in paragraph 3(a) or (b) of that Act.
Marginal note:Exceptions
(3) These Regulations do not apply in respect of
(a) vessels that operate exclusively in waters under Canadian jurisdiction;
(b) vessels that operate exclusively in waters under Canadian jurisdiction and in the United States waters of the Great Lakes Basin or the French waters of the islands of Saint Pierre and Miquelon;
(c) vessels engaged in search and rescue operations that are less than 50 m in overall length and that have a maximum ballast water capacity of 8 m3;
(d) pleasure craft that are less than 50 m in overall length and that have a maximum ballast water capacity of 8 m3;
(e) vessels that carry permanent ballast water in sealed tanks such that it is not subject to release; or
(f) vessels that are owned or operated by a state and used only in government non-commercial service.
Compliance
Marginal note:Responsible persons
3 The following persons must ensure that the requirements of sections 4 to 10 are met:
(a) the authorized representative and the master of a Canadian vessel;
(b) the authorized representative of a foreign vessel; and
(c) the owner and the operator of a pleasure craft.
Ballast Water Management
Marginal note:Management processes
4 (1) For the purposes of this section and section 5, ballast water is managed if one or more of the following management processes are employed:
(a) the ballast water is exchanged;
(b) the ballast water is treated;
(c) the ballast water or any sediment that has settled out of it in the vessel’s tanks is transferred to a reception facility; and
(d) the ballast water is retained on board the vessel.
Marginal note:Ballast water from outside Canada
(2) Ballast water that is taken on board a vessel outside waters under Canadian jurisdiction must be managed in order to
(a) minimize both the uptake of harmful aquatic organisms or pathogens within the ballast water and their release with the ballast water into waters under Canadian jurisdiction; or
(b) remove or render harmless harmful aquatic organisms or pathogens within the ballast water.
Marginal note:Exception — similar waters
(3) Ballast water that is taken on board a vessel in the United States waters of the Great Lakes Basin or in the French waters of the islands of Saint Pierre and Miquelon need not be managed unless it is mixed with other ballast water that was taken on board the vessel in any other area outside waters under Canadian jurisdiction and was not previously subjected to a management process set out in paragraph (1)(a) or (b).
Marginal note:Exceptions — areas of exclusive operation
(4) A vessel need not manage ballast water if the vessel operates exclusively
(a) between ports, offshore terminals and anchorage areas on the west coast of North America north of Cape Blanco; or
(b) between ports, offshore terminals and anchorage areas on the east coast of North America north of Cape Cod and ports, offshore terminals and anchorage areas in the Bay of Fundy, on the east coast of Nova Scotia, or on the south or east coast of the island of Newfoundland.
Marginal note:Exceptions — emergencies
(5) Ballast water need not be managed if one of the following emergency situations occurs:
(a) the uptake or release of ballast water is necessary for the purpose of ensuring the safety of the vessel in an emergency situation or saving life at sea;
(b) the uptake or release of ballast water is necessary for the purpose of avoiding or minimizing the discharge of a pollutant from the vessel; or
(c) the ingress or release of ballast water occurs as a result of an accident of navigation in which a vessel or its equipment is damaged, unless the accident occurs as a result of an action that is outside the ordinary practice of seafarers.
Marginal note:Residual amounts
5 (1) This section applies in respect of a vessel that is on a voyage to the Great Lakes Basin and carries only residual amounts of ballast water that was taken on board the vessel outside waters under Canadian jurisdiction — other than the United States waters of the Great Lakes Basin or the French waters of the islands of Saint Pierre and Miquelon — and that was not previously subjected to a management process set out in paragraph 4(1)(a) or (b).
Marginal note:Exception
(2) The residual amounts of ballast water need not be managed if
(a) the requirements of sections 1, 2, 6 and 7 of the Code of Best Practices for Ballast Water Management, published by the Shipping Federation of Canada on September 28, 2000, are met while the vessel operates in waters under Canadian jurisdiction in the Great Lakes Basin; or
(b) a saltwater flushing of the ballast water tanks that contain the residual amounts of ballast water is conducted in an area at least 200 nautical miles from shore before the vessel enters waters under Canadian jurisdiction.
Marginal note:Saltwater flushing
(3) For the purposes of paragraph (2)(b), saltwater flushing means, in the following order,
(a) the addition of mid-ocean water to the ballast water tanks that contain the residual amounts of ballast water;
(b) the mixing, through the motion of the vessel, of the water added under paragraph (a) with the residual amounts of ballast water and any sediment that has settled out of them in the tanks; and
(c) the release of the waters mixed under paragraph (b) so that the salinity of the resulting residual ballast water in the tanks exceeds 30 parts per thousand or is as close as possible to 30 parts per thousand.
Marginal note:Record
(4) If the exception set out in subsection (2) is taken advantage of in respect of a vessel, a record of compliance with paragraph (2)(a) or (b) must be carried on board the vessel for at least 24 months.
Ballast Water Exchange — Transoceanic Navigation
Marginal note:Application
6 (1) This section applies in respect of a vessel that exchanges ballast water and, during the course of its voyage, navigates more than 200 nautical miles from shore where the water depth is at least 2 000 m.
Marginal note:Exchange areas
(2) Ballast water that is taken on board a vessel outside waters under Canadian jurisdiction must not be released in waters under Canadian jurisdiction unless an exchange is conducted, before the vessel enters those waters, in an area at least 200 nautical miles from shore where the water depth is at least 2 000 m.
Marginal note:Exception — Laurentian Channel
(3) If, in respect of a voyage to a port, offshore terminal or anchorage area in the Great Lakes Basin, St. Lawrence River or Gulf of St. Lawrence, the requirements of subsection (2) cannot be met because doing so would compromise the stability or safety of the vessel or the safety of persons on board the vessel, the Minister must be notified as soon as possible. After notice is provided, an exchange may be conducted, beginning on December 1 and ending on May 1, in an area in the Laurentian Channel east of 63° west longitude where the water depth is at least 300 m.
Marginal note:Alternative exchange areas
(4) If the requirements of subsection (2) cannot be met because doing so is infeasible or would compromise the stability or safety of the vessel or the safety of persons on board the vessel, an exchange may be conducted in the following areas in waters under Canadian jurisdiction:
(a) in respect of a voyage to a port, offshore terminal or anchorage area on the east coast of Canada, an area south of 43°30′ north latitude where the water depth is at least 1 000 m;
(b) in respect of a voyage to a port, offshore terminal or anchorage area on the west coast of Canada, an area at least 50 nautical miles west of Vancouver Island and the Queen Charlotte Islands and at least 50 nautical miles west of a line extending from Cape Scott to Cape St. James where the water depth is at least 500 m, with the exception of waters within 50 nautical miles of the Bowie Seamount (53°18′ north latitude and 135°40′ west longitude);
(c) in respect of a voyage to a port, offshore terminal or anchorage area in Hudson Bay, an area in Hudson Strait east of 70° west longitude where the water depth is at least 300 m; and
(d) in respect of a voyage to a port, offshore terminal or anchorage area in the High Arctic, an area in Lancaster Sound east of 80° west longitude where the water depth is at least 300 m.
Marginal note:Exception — west coast
(5) If, in respect of a voyage to a port, offshore terminal or anchorage area on the west coast of Canada, the requirements of paragraph (4)(b) cannot be met because doing so is infeasible or would compromise the stability or safety of the vessel or the safety of persons on board the vessel, an exchange may be conducted in an area at least 45 nautical miles west of Vancouver Island and the Queen Charlotte Islands and at least 45 nautical miles west of a line extending from Cape Scott to Cape St. James where the water depth is at least 500 m, with the exception of waters within 50 nautical miles of the Bowie Seamount (53°18′ north latitude and 135°40′ west longitude).
Ballast Water Exchange — Non-transoceanic Navigation
Marginal note:Application
7 (1) This section applies in respect of a vessel that exchanges ballast water and does not, during the course of its voyage, navigate more than 200 nautical miles from shore where the water depth is at least 2 000 m.
Marginal note:Exchange areas
(2) Ballast water that is taken on board a vessel outside waters under Canadian jurisdiction must not be released in waters under Canadian jurisdiction unless an exchange is conducted, before the vessel enters those waters, in an area at least 50 nautical miles from shore where the water depth is at least 500 m.
Marginal note:Alternative exchange areas
(3) If the requirements of subsection (2) cannot be met because doing so is infeasible or would compromise the stability or safety of the vessel or the safety of persons on board the vessel, an exchange may be conducted in the following areas in waters under Canadian jurisdiction:
(a) in respect of a voyage along the east coast of North America, an area south of 43°30′ north latitude where the water depth is at least 1 000 m;
(b) in respect of a voyage along the west coast of North America, an area at least 50 nautical miles west of Vancouver Island and the Queen Charlotte Islands and at least 50 nautical miles west of a line extending from Cape Scott to Cape St. James where the water depth is at least 500 m, with the exception of waters within 50 nautical miles of the Bowie Seamount (53°18′ north latitude and 135°40′ west longitude);
(c) in respect of a voyage to a port, offshore terminal or anchorage area in Hudson Bay, an area in Hudson Strait east of 70° west longitude where the water depth is at least 300 m; and
(d) in respect of a voyage to a port, offshore terminal or anchorage area in the High Arctic, an area in Lancaster Sound east of 80° west longitude where the water depth is at least 300 m.
Ballast Water Exchange and Treatment Standards
Marginal note:Measurements
8 (1) A measurement of volumetric exchange or ballast water salinity does not include sediment that has settled out of ballast water within a vessel.
Marginal note:Exchange standards
(2) A ballast water exchange must achieve
(a) at least 95% volumetric exchange; and
(b) a ballast water salinity of at least 30 parts per thousand, if the exchange of ballast water is conducted in an area not less than 50 nautical miles from shore.
Marginal note:Exception — flow-through exchange
(3) In the case of a vessel that exchanges ballast water through flow-through exchange, pumping through three times the volume of each ballast tank is considered to meet the requirements of paragraph (2)(a).
Marginal note:Treatment standards
9 Ballast water that is treated must attain a viable organism and indicator microbe content less than the following concentrations:
(a) 10 viable organisms per cubic metre, for organisms with a minimum dimension equal to or greater than 50 µ;
(b) 10 viable organisms per millilitre, for organisms with a minimum dimension equal to or greater than 10 µ but less than 50 µ;
(c) one colony-forming unit (cfu) of toxicogenic Vibrio cholerae (O1 and O139) per 100 mL or one cfu of that microbe per gram (wet weight) of zooplankton samples;
(d) 250 cfu of Escherichia coli per 100 mL; and
(e) 100 cfu of intestinal enterococci per 100 mL.
Sediment Disposal
Marginal note:Release of sediment
10 (1) Sediment that has settled out of ballast water and that results from the routine cleaning of spaces used to carry ballast water taken on board a vessel outside waters under Canadian jurisdiction must not be released into waters under Canadian jurisdiction.
Marginal note:Reception facilities
(2) Disposal of the sediment may be carried out at a reception facility.
Ballast Water Management Plan
Marginal note:Duty to carry on board and carry out
11 (1) The authorized representative of a Canadian vessel or a foreign vessel and the owner and the operator of a pleasure craft must ensure that
(a) a ballast water management plan that meets the requirements of subsections (2) and (3) is carried on board; and
(b) the processes and procedures in the plan are carried out.
Marginal note:Contents — processes and procedures
(2) The plan must set out the processes and procedures for the safe and effective management of ballast water, and must contain at least the following:
(a) a detailed description of the ballast water management processes that the vessel must use;
(b) a detailed description of the procedures that the crew must follow in order to carry out the ballast water management processes and to meet the requirements of these Regulations;
(c) a detailed description of the safety procedures that the crew and the vessel must follow;
(d) a detailed description of the procedures for the disposal of sediment resulting from the routine cleaning of spaces used to carry ballast water;
(e) in the case of ballast water management that involves release, a description of the procedures for coordinating it with Canadian authorities or, in the case of a Canadian vessel in the waters of a foreign state, the authorities of that state; and
(f) the procedures for completing and submitting the Ballast Water Reporting Form, as well as procedures for meeting the ballast water reporting requirements applicable to the vessel under the laws of other states.
Marginal note:Additional contents
(3) The plan must also include the following:
(a) detailed description of the ballast water system, including the design specifications;
(b) for vessels that exchange ballast water through flow-through exchange, evidence of the stability of the tank boundary structure in cases where the tank head is equivalent to the full distance to the top of the overflow;
(c) for vessels that exchange ballast water through sequential exchange, a list of the exchange sequences that take account of the vessel’s strength, stability, minimum draught forward and propeller immersion, as well as a list of solutions to the problems of sloshing, slamming and ballast inertia;
(d) a description of the operational limits, such as acceptable wave height for various speeds and headings, for the safe and effective management of ballast water; and
(e) an identification of the officer on board who is responsible for ensuring that the processes and procedures referred to in subsection (2) are carried out.
Marginal note:Submission of plan
12 In the case of a Canadian vessel or a pleasure craft licensed under Part 10 of the Act, the authorized representative must ensure that a copy of the ballast water management plan carried on board under paragraph 11(1)(a) has been submitted to the Minister.
Exceptional Circumstances
Marginal note:Application
13 (1) This section applies in respect of a vessel that is subject to subsection 4(2) or (3) or in respect of a vessel that is taking advantage of the exception set out in subsection 5(2).
Marginal note:Notice of inability to manage ballast water
(2) If the requirements of these Regulations respecting ballast water management cannot be met or the processes and procedures in the vessel’s ballast water management plan cannot be carried out because doing so would compromise the stability or safety of the vessel or the safety of persons on board the vessel, the master of the vessel must ensure that the vessel does not enter the territorial sea unless the Minister
(a) is notified in the manner provided in section 5.1 of TP 13617 at least 96 hours before the vessel enters the territorial sea; and
(b) is provided with updates on the status of the situation in the manner provided in section 5.1 of TP 13617.
Marginal note:Inability to provide 96 hours’ notice
(3) If notice cannot be provided in accordance with subsection (2), the master of the vessel must ensure that the Minister is notified in the manner provided in section 5.1 of TP 13617 as soon as it becomes feasible to do so.
Marginal note:Alternative measures
(4) After the Minister is notified, the master of the vessel must ensure that alternative measures are implemented that, without compromising the safety of the vessel or of persons on board the vessel, will reduce to the greatest extent feasible the likelihood of introducing harmful aquatic organisms or pathogens into waters under Canadian jurisdiction.
Marginal note:Determining alternative measures
(5) In determining the alternative measures, the master of the vessel must, in consultation with the Minister, consider the following factors:
(a) the nature of the ballast water that the vessel is carrying, including its origin and any operations previously performed on it on board the vessel;
(b) any possible operations that would, taking into account prevailing sea conditions, remove or render harmless harmful aquatic organisms or pathogens within the ballast water taken on board the vessel outside waters under Canadian jurisdiction, or minimize their uptake in that ballast water or their release with that ballast water into waters under Canadian jurisdiction;
(c) the feasibility of implementing the possible operations, taking into account their compatibility with the design and operation of the vessel; and
(d) the consequences of the possible operations on the safety of the vessel and of persons on board the vessel.
Marginal note:Minimum requirements
(6) The alternative measures must include one or more of the following:
(a) the retention of some or all of the ballast water on board the vessel while it is in waters under Canadian jurisdiction;
(b) the exchange of some or all of the ballast water;
(c) the release of some or all of the ballast water; and
(d) the treatment of some or all of the ballast water on board the vessel.
Reporting
Marginal note:Ballast Water Reporting Form
14 (1) If a vessel is bound for a port, offshore terminal or anchorage area in Canada, its master — or, in the case of a pleasure craft, its operator — must, in the manner set out in section 5.2 of TP 13617, submit to the Minister a completed Ballast Water Reporting Form as soon as possible after a management process, or a measure required under subsection 13(4), is implemented.
Marginal note:Keeping of forms
(2) The master or operator must keep on board a copy of each Ballast Water Reporting Form for 24 months after it is submitted.
Repeal and Coming into Force
15 [Repeal]
Marginal note:Registration
16 These Regulations come into force on the day on which they are registered.
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