Tier I – Policy for processing a request for an exemption to the compliance timeline of the Ballast Water Regulations for foreign-flagged vessels

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1 Policy objective

  • 1.1 The objective of the policy is to promote consistency when evaluating a request for an exemption to comply with the installation compliance timeline to install ballast water management systems (BWMS) required under the Ballast Water Regulations (BWR) received from foreign-flagged vessels operating in Canadian waters.

  • 1.2 The policy lays out the conditions which must be met by the applicant while ensuring maximum efficacy of the regulations.

2 Policy statement

  • 2.1 The following policy was developed to guide Marine Safety and Security in determining whether to grant foreign-flagged vessels operating within Canadian waters an exemption to comply with the installation compliance timelines provided at Section 11 of the Ballast Water Regulations.

  • 2.2 The BWR require that vessels operating within Canadian waters or the United States waters of the Great Lake Basin must conduct ballast water management to meet the ballast water performance standard set under the International Convention for the Control and Management of Ships’ Ballast Water and Sediments, 2004.

  • 2.3 Vessels built before January 1, 2009 have until September 8, 2030 to install a BWMS, while those built after January 1, 2009 must install their BWMS before September 8, 2024.

  • 2.4 Applications for an exemption must be received only within the twelve (12) months immediately prior to the September 8, 2030 deadline to install a BWMS to ensure that the parameters of the request remain relevant (i.e., the operational and external environment have not changed).

  • 2.5 Subsection 5(2) of the BWR outlines the conditions under which exemptions to the requirements can be considered, including applicable conditions described in regulation A-4 of the Annex.

  • 2.6 Regulation A-4 of the Annex allows exemptions to the requirements of the International Convention for the Control and Management of Ships’ Ballast Water and Sediments, 2004 when:

    • 2.6.1 granted to a ship or ships on a voyage or voyages between specified ports or locations; or to a ship which operates exclusively between specified ports or locations;

    • 2.6.2 effective for a period of no more than five years subject to intermediate review;

    • 2.6.3 granted to ships that do not mix ballast water or sediments other than between the ports or locations specified in paragraph 2.6.1; and

    • 2.6.4 granted based on the Guidelines on Risk Assessment developed by the International Maritime Organization (IMO).

  • 2.7 Any exemptions granted shall not impair or damage the environment, human health, property, or resources of adjacent or other States.

  • 2.8 A risk assessment must be completed before an exemption can be granted (i.e., 2.6.4 above). Department of Fisheries and Oceans (DFO) Science Advisory Report 2021/039 and DFO Research Document 2021/061 explain two key risk assessment models accepted by Transport Canada under Canadian jurisdiction: the Joint Harmonized Procedure and Same Risk Area.

  • 2.9 Subsection 10(2) of the Canada Shipping Act, 2001, grants the Minister the authority to grant an exemption, subject to any conditions the Minister considers appropriate.

  • 2.10 The requested exemption to install the BWMS should be aligned with the next dry-docking date of the vessel, the soonest date possible after the required compliance date from the BWR which is either 2024 or 2030.

3 Scope

  • 3.1 This policy applies to all foreign-flagged vessels designed or constructed to carry ballast water and that operate in waters under Canadian jurisdiction and, if applicable, the U.S. waters of the Great Lakes Basin and eastern portion of the St. Lawrence Seaway System.

4 Authority

  • 4.1 Ballast Water Regulations, s.11

    Section 11 of the BWR sets out the timelines for installation compliance for vessels operating in waters under Canadian jurisdiction, and if applicable, the United States’ waters of the Great Lakes Basin and eastern portion of the St. Lawrence Seaway System.

  • 4.2 Ballast Water Regulations, s.5.

    Section 5 of the BWR outlines how Regulation A-4 of the Annex to International Convention for the Control and Management of Ships’ Ballast Water and Sediments, 2004 (Exemptions) applies in Canada.

  • 4.3 Canada Shipping Act, 2001, subsection 10(2).

    Subsection 10(2) grants the Minister (or delegate) the authority to grant an exemption to foreign-flagged ships, subject to any conditions the Minister considers appropriate.

5 Responsibility/ further information

  • 5.1 The Director, Environmental Programs and Protection Standards, is accountable for the development, implementation, maintenance, and continuous improvement of the policy and related procedures.

    For further information, please contact:

    Director, AMSK
    330 Sparks Street
    Ottawa (Ontario) K1A 0N8
    Email: PollPrevCanada-PrevPollCanada@tc.gc.ca

6 Related documents

  • 6.1 International Convention for the Control and Management of Ships' Ballast Water and Sediments, 2004

  • 6.2 Canada Shipping Act, 2001

  • 6.3 Ballast Water Regulations

  • 6.4 Procedure to request an exemption to install Ballast Water Management Systems under Ballast Water Regulations for foreign-flagged vessels in Canadian waters

  • 6.5 DFO Science Advisory Report 2021/039: Science Advice on Risk Assessment Methods for Granting Ballast Water Management Exemptions

  • 6.6 DFO Research Document 2021/061: Evaluation of Existing Risk Assessment Methods for Granting Ballast Water Management Exemption

7 Background

  • 7.1 In 2004, the International Maritime Organization approved the International Convention for the Control and Management of Ships’ Ballast Water and Sediments, 2004 for vessels trading internationally. The Convention stipulates requirements for vessels designed to prevent the transfer of harmful aquatic organisms and pathogens through ships’ ballast water and sediments.

  • 7.2 In June 2021, Transport Canada published the BWR, which domesticate the requirements for internationally trading ships under the International Convention for the Control and Management of Ships’ Ballast Water and Sediments, 2004, and also include specific timelines for compliance for the vessels operating in waters under Canadian jurisdiction, and if applicable, the United States’ waters of the Great Lakes Basinand eastern portion of the St. Lawrence Seaway System.

  • 7.3 For vessels which take ballast water on board in the Great Lakes Basin or in the eastern waters of the St. Lawrence River, the BWR deem compliance with the requirements if, among other variables, the vessel has installed an IMO-approved BWMS prior to September 2024 and is operating it within the conditions set by the manufacturer outlined in its Type Approval Certificate.

  • 7.4 A vessel is deemed compliant with the requirements if its BWMS was installed per the timelines noted in 2.3; it holds a valid International Ballast Water Management Certificate (IBWMC) or equivalent; its BWMS is in good working order and maintained and operated per manufacturer’s instructions; and the BWMS is managed per the conditions noted in its Type Approval Certificate, as required by the applicable provisions of the BWR.

8 Definitions

  • 8.1 Ballast water management system means any system which processes ballast water such that it meets or exceeds the ballast water performance standard in regulation D-2 of the International Convention for the Control and Management of Ships’ Ballast Water and Sediments, 2004. The BWMS includes ballast water treatment equipment, all associated control equipment, piping arrangements as specified by the manufacturer, control and monitoring equipment and sampling facilities.

  • 8.2 Ballast water performance standard means the standard set out in regulation D-2 of the Annex to the International Convention for the Control and Management of Ships' Ballast Water and Sediments, 2004.

  • 8.3 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.

9 Date of application

  • 9.1 January 23, 2024.

10 Date for review or expiry

  • 10.1 This policy will be reviewed after twelve (12) months from the effective date, and not less frequently than every three (3) years from the date of the last review thereafter. This policy will also be reviewed should the Convention / Regulations change.

11 RDIMS reference

  • 11.1 The English version of this document is saved in RDIMS under reference number 21083585.

  • 11.2 La version française du présent document est dans le SGDDI et porte le numéro de référence 20055238.

  • 11.3 This is the current approved and finalized revision of the English version of this document.

12 Keywords

  • Ballast water management system

  • Great Lakes Basin

  • Ballast Water Regulations

  • International Convention for the Control and Management of Ships Ballast Water and Sediments, 2004

Related links

Tier I – Policy for processing a request for an exemption to the compliance timeline of the Ballast Water Regulations for foreign-flagged vessels (PDF, 195 KB)

 
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