110TH CONGRESS REPT. 110–338 " ! HOUSE OF REPRESENTATIVES 1st Session Part 3 

COAST GUARD AUTHORIZATION ACT OF 2007 

OCTOBER 30, 2007.—Ordered to be printed 

Mr. CONYERS, from the Committee on the Judiciary, 

submitted the following 

R E P O R T 

[To accompany H.R. 2830] 

[Including Committee Cost Estimate] 

The Committee on the Judiciary, to whom was referred the bill 

(H.R. 2830) to authorize appropriations for the Coast Guard for fiscal year 2008, and for other purposes, having considered the same, 

report favorably thereon with amendment and recommend that the 

bill as amended do pass. 

CONTENTS 

Page 

The Amendment ...................................................................................................... 1 

Purpose and Summary ............................................................................................ 3 

Background and Need for the Legislation ............................................................. 4 

Hearings ................................................................................................................... 5 

Committee Consideration ........................................................................................ 5 

Committee Votes ...................................................................................................... 5 

Committee Oversight Findings ............................................................................... 5 

New Budget Authority and Tax Expenditures ...................................................... 5 

Committee Cost Estimate ....................................................................................... 5 

Performance Goals and Objectives ......................................................................... 6 

Constitutional Authority Statement ...................................................................... 6 

Advisory on Earmarks ............................................................................................. 6 

Section-by-Section Analysis .................................................................................... 6 

Changes in Existing Law Made by the Bill, as Reported ..................................... 7 

THE AMENDMENT

[The bill being reported by the Committee on the Judiciary is unchanged from the bill as reported by the Committee on Homeland 

Security, except for the following changes:] 

Strike title VI and insert the following: 


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TITLE VI—ALIEN SMUGGLING 

SEC. 601. MARITIME LAW ENFORCEMENT. 

(a) PENALTIES.—Subsection (b) of section 2237 of title 18, United 

States Code, is amended to read as follows: 

‘‘(b)(1) Whoever intentionally violates this section shall, unless 

the offense is described in paragraph (2), be fined under this title 

or imprisoned for not more than 5 years, or both. 

‘‘(2) If the offense—

‘‘(A) is committed in the course of a violation of section 274 

of the Immigration and Nationality Act (alien smuggling); 

chapter 77 (peonage, slavery, and trafficking in persons), section 111 (shipping), 111A (interference with vessels), 113 (stolen property), or 117 (transportation for illegal sexual activity) 

of this title; chapter 705 (maritime drug law enforcement) of 

title 46, or title II of the Act of June 15, 1917 (Chapter 30; 40 

Stat. 220), the offender shall be fined under this title or imprisoned for not more than 10 years, or both; 

‘‘(B) results in serious bodily injury (as defined in section 

1365 of this title) or transportation under inhumane conditions, the offender shall be fined under this title, imprisoned 

not more than 15 years, or both; or 

‘‘(C) results in death or involves kidnaping, an attempt to 

kidnap, the conduct required for aggravated sexual abuse (as 

defined in section 2241 without regard to where it takes place), 

or an attempt to commit such abuse, or an attempt to kill, be 

fined under such title or imprisoned for any term of years or 

life, or both.’’. 

(b) LIMITATION ON NECESSITY DEFENSE.—Section 2237(c) of title 

18, United States Code, is amended—

(1) by inserting ‘‘(1)’’ after ‘‘(c)’’; 

(2) by adding at the end the following: 

‘‘(2) In a prosecution for a violation of this section, no defense 

based on necessity can be raised unless the defendant—

‘‘(A) as soon as practicable upon reaching shore, delivered 

the person with respect to which the necessity arose to emergency medical or law enforcement personnel; 

‘‘(B) as soon as practicable, reported to the Coast Guard the 

circumstances of the necessity resulting giving rise to the defense; and 

‘‘(C) did not bring, attempt to bring, or in any manner intentionally facilitate the entry of any alien, as that term is defined 

in section 101(a)(3) of the Immigration and Nationality Act (8 

U.S.C. 1101 (a)(3)), into the land territory of the United States 

without lawful authority, unless exigent circumstances existed 

that placed the life of that alien in danger, in which case the 

reporting requirement of subparagraph (B) is satisfied by notifying the Coast Guard as soon as practicable after delivering 

that person to emergency medical or law enforcement personnel ashore.’’. 

(c) DEFINITION.—Section 2237(e) of title 18, United States Code, 

is amended—

(1) by striking ‘‘and’’ at the end of paragraph (3); 


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(2) by striking the period at the end of paragraph (4) and inserting ‘‘; and’’; and 

(3) by adding at the end the following: 

‘‘(5) the term ‘transportation under inhumane conditions’ means the transportation of persons in an engine compartment, storage compartment, or other confined space, transportation at an excessive speed, transportation of a number of persons in excess of the rated capacity of the means of transportation, or intentionally grounding a vessel in which persons are 

being transported.’’. 

SEC. 602. AMENDMENT TO THE SENTENCING GUIDELINES. 

(a) IN GENERAL.—Pursuant to its authority under section 994 of 

title 28, United States Code, and in accordance with this section, 

the United States Sentencing Commission shall review and, if appropriate, amend the sentencing guidelines and policy statements 

applicable to persons convicted of alien smuggling offenses and 

criminal failure to heave to or obstruction of boarding. 

(b) CONSIDERATIONS.—In carrying out this subsection, the Sentencing Commission, shall—

(1) consider providing sentencing enhancements or stiffening 

existing enhancements for those convicted of offenses described 

in paragraph (1) of this subsection that—

(A) involve a pattern of continued and flagrant violations; 

(B) are part of an ongoing commercial organization or 

enterprise; 

(C) involve aliens who were transported in groups of 10 

or more; 

(D) involve the transportation or abandonment of aliens 

in a manner that endangered their lives; or 

(E) involve the facilitation of terrorist activity; and 

(2) consider cross-references to the guidelines for Criminal 

Sexual Abuse and Attempted Murder. 

(c) EXPEDITED PROCEDURES.—The Commission may promulgate 

the guidelines or amendments under this subsection in accordance 

with the procedures set forth in section 21(a) of the Sentencing Act 

of 1987, as though the authority under that Act had not expired. 

In the paragraph (2)(A) of the matter proposed to be inserted by 

section 208(a), insert ‘‘committed in their presence’’ after ‘‘United 

States’’. 

In the table of sections in section 2 of the bill amend the entiries 

relating to title VI to read as follows: 

TITLE VI—ALIEN SMUGGLING 

Sec. 601. Maritime law enforcement. 

Sec. 602. Amendment to the sentencing guidelines. 

PURPOSE AND SUMMARY

The Committee on the Judiciary is considering the bill H.R. 

2830, the Coast Guard Authorization Act of 2007, on sequential referral from the Committees on Transportation and Infrastructure 

and on Homeland Security. The Committee is making two changes 

to the bill dealing with subjects in the reported bill that are within 

the Committee’s Rule X jurisdiction: criminal prohibitions and enVerDate Aug 31 2005 05:59 Oct 31, 2007 Jkt 069006 PO 00000 Frm 00003 Fmt 6659 Sfmt 6601 E:\HR\OC\HR338P3.XXX HR338P3

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forcement powers against smuggling of aliens by sea; and criminal 

law enforcement powers granted to Coast Guard personnel. 

BACKGROUND AND NEED FOR THE LEGISLATION

TITLE VI—ALIEN SMUGGLING

Title VI of the bill as reported by the other two committees deals 

with prohibitions and enforcement powers against alien smuggling. 

The provisions of Title VI as reported are inconsistent with the approach taken in H.R. 2399, the Alien Smuggling and Terrorism 

Prevention Act of 2007, legislation developed by Representative 

Baron Hill with the assistance of the Judiciary Committee, which 

passed the House on May 22, 2007, by a vote of 412 to zero. Among 

other things, those provisions in the reported bill do not adequately 

address smugglers who abuse aliens or who smuggle them as part 

of a terrorist plot; nor do they distinguish between hardened criminals who smuggle human cargo for profit and persons who are aiding family members or acting for humanitarian purposes. Nor do 

those provisions address the law governing the principal means of 

interdiction at sea, the ‘‘Failure to Heave To’’ statute. 

The Committee has worked on a bipartisan basis, and in close 

consultation with the Department of Justice and the Coast Guard, 

to determine how best to bring the preferred approach taken in 

H.R. 2399 to the more limited scope of H.R. 2830. The amendments 

adopted by the Committee strike Title VI as reported by the other 

committees, replacing it with two provisions from H.R. 2399. 

The first provision the Committee is incorporating from H.R. 

2399 strengthens the ‘‘Failure to Heave To’’ statute, 18 U.S.C. 

2237, to give the Coast Guard important enforcement tools against 

alien smuggling on the High Seas—including tough penalties for 

those who lead the Coast Guard on dangerous chases, and for those 

who risk their passengers’ lives by intentionally ramming their 

boats onto shore at high speed in an attempt to discharge their 

human cargo. The provision makes it a felony, punishable by up to 

10 years in prison, to flee from the Coast Guard in the course of 

alien smuggling, human trafficking, or narcotics smuggling offenses, and creates the first Federal crime that recognizes smuggling humans under inhumane conditions as grounds for an increased sentence. 

The other provision directs the Sentencing Commission to adopt 

appropriate sentencing enhancements for alien smuggling involving 

terrorism, moving large groups of aliens, or abandoning aliens in 

harsh conditions—such as leaving them in rickety boats or on 

sandbars, knowing that they will die when the sea takes them. 

These two provisions from H.R. 2399 will help provide a strong 

disincentive against inhumane smuggling and against resisting the 

lawful authority of the Coast Guard. 

SECTION 208—ENFORCEMENT AUTHORITY

Section 208 of the bill as reported by the other two committees 

transfers provisions now in Title 46 of the United States Code, 

Shipping, to Title 14, Coast Guard. These provisions set forth certain law enforcement powers for Coast Guard personnel acting in 

performance of their official duties. One of those powers is the authority to ‘‘make an arrest without warrant for any offense against 


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the United States committed in their presence.’’ In transferring 

these provisions to title 14, the phrase ‘‘committed in their presence’’ was omitted in the bill as reported by the other committees. 

The Committee has reinserted this phrase, believing it important 

to retain as a clarification that the government’s power to make 

warrantless arrests is circumscribed by the Fourth and Fifth 

Amendments to the Constitution. 

HEARINGS

The Committee did not hold hearings on H.R. 2830. 

COMMITTEE CONSIDERATION

On October 24, 2007, the Committee met in open session and ordered the bill H.R. 2830 favorably reported as amended, by voice 

vote, a quorum being present. 

COMMITTEE VOTES

In compliance with clause 3(b) of rule XIII of the Rules of the 

House of Representatives, the Committee advises that there were 

no recorded votes during the Committee’s consideration of H.R. 

2830. 

COMMITTEE OVERSIGHT FINDINGS

In compliance with clause 3(c)(1) of rule XIII of the Rules of the 

House of Representatives, the Committee advises that the findings 

and recommendations of the Committee, based on oversight activities under clause 2(b)(1) of rule X of the Rules of the House of Representatives, are incorporated in the descriptive portions of this report. 

NEW BUDGET AUTHORITY AND TAX EXPENDITURES

Clause 3(c)(2) of rule XIII of the Rules of the House of Representatives is inapplicable because the amendments made by the Committee do not provide new budgetary authority or increased tax expenditures 

. 

COMMITTEE COST ESTIMATE

The Congressional Budget Office (CBO) estimate of the costs of 

implementing H.R. 2830 as reported by the Committee on the Judiciary was not available at the time of filing this report. When the 

Congressional Budget Office letter setting forth its official cost estimate becomes available, it will be printed in the Congressional 

Record. In compliance with clause 3(d)(2) of rule XIII of the Rules 

of the House of Representatives, the Committee estimates the costs 

as follows: 

COST TO THE FEDERAL GOVERNMENT

The Committee does not anticipate that the bill will have any 

significant effect on the Federal budget. Title VI of the bill as referred to the Committee included enhanced criminal fines that 

could be ordered by a sentencing court, but were not mandatory. 


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The amendment to Title VI made in the Committee instead continues the general Title 18 fine structure, but adjusts the maximum prison terms for specified aggravated violations of the ‘‘Failure To Heave To’’ statute. Although the CBO estimated that the increased fine structure in the bill as referred to the Committee 

would result in increased revenues to the Federal Government, the 

Committee does not believe the different approach taken in Title 

VI as reported will have any significantly different budgetary effect. 

The change made to section 208 of the bill by the Committee 

merely preserves a limitation in current law on the authority of 

Coast guard personnel to make warrantless arrests. The Committee does not anticipate that this will have any appreciable budgetary effect. 

PERFORMANCE GOALS AND OBJECTIVES

The Committee states, pursuant to clause 3(c)(4) of rule XIII of 

the Rules of the House of Representatives, H.R. 2830 will improve 

the Nation’s ability to protect against alien smuggling, other criminal violations at sea, and violent interference with Coast Guard enforcement activities. 

CONSTITUTIONAL AUTHORITY STATEMENT

Pursuant to clause 3(d)(1) of rule XIII of the Rules of the House 

of Representatives, the Committee finds the authority for its 

amendments to this legislation in article 1, section 8, [clauses 3, 9 

and 11] of the Constitution. 

ADVISORY ON EARMARKS

In accordance with clause 9 of rule XXI of the Rules of the House 

of Representatives, the amendments made by the Judiciary Committee to H.R. 2830 do not contain any congressional earmarks, 

limited tax benefits, or limited tariff benefits as defined in clause 

9(d), 9(e), or 9(f) of rule XXI. 

SECTION-BY-SECTION ANALYSIS

The bill as amended strikes Title VI as reported by the other 

committees, and in its place substitutes an amendment to the Failure to Heave To statute and a directive to the Sentencing Commission. The bill as amended also provides a clarification to Section 

208 of the bill as reported by the other committees. 

Section 601. Failure to Heave To. Section 601 of the bill as 

amended by the Committee amends the Failure to Heave To statute, 18 U.S.C. 2237, which makes it a Federal crime to evade the 

Coast Guard or disobey a Coast Guard order. It toughens the sentencing structure of section 2237 by providing increased statutory 

maximum penalties if the offense involved certain other crimes, 

such as alien smuggling, human trafficking, transportation for immoral purposes, or narcotics trafficking (10 year maximum); resulted in serious injury or involved or transportation under inhumane conditions (15 year maximum); or involved death, rape, kidnaping, or an attempt to kill (any term of years or life). 


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Section 60l as amended by the Committee also provides a definition of ‘‘transportation under inhumane conditions’’ to establish for 

the first time in Federal law that it is illegal to transport persons 

in an engine compartment, storage compartment, or other confined 

space; to transport persons at an excessive speed or in excess of the 

rated capacity of the means of transportation; or to intentionally 

ground a vessel in which persons are being transported. The Committee is concerned about the practice of running boats ashore at 

high speed for the smuggled passengers to scatter upon landing, a 

practice that has resulted in death or serious permanent injury in 

a number of cases in the Florida straits and Puerto Rico. 

Section 602. Sentencing Guidelines. Section 602 of the bill as 

amended by the Committee directs the United States Sentencing 

Commission to consider providing sentencing enhancements (or 

stiffening existing enhancements) for those convicted of offenses 

that: involve a pattern of continued and flagrant violations or are 

part of an ongoing commercial organization or enterprise; involve 

aliens who were transported in groups of 10 or more; involve the 

transportation of aliens in a manner that endangered their lives; 

involve the abandonment of aliens in desolate or isolated conditions 

or the discharge of passengers onto spits of land or sandbars that 

are submerged at high tide; or involve the facilitation of terrorism. 

The Commission is also directed to consider cross-references to the 

guidelines for Criminal Sexual Abuse and Attempted Murder. It is 

expected that enhanced sentencing guidelines for these offenses 

will provide an additional deterrent to organized alien smuggling 

rings that purposely engage in high-risk smuggling or act with depraved indifference to human life. 

CHANGES IN EXISTING LAW MADE BY THE BILL, AS REPORTED

In compliance with clause 3(e) of rule XIII of the Rules of the 

House of Representatives, changes in existing law made by the bill, 

as reported, are shown as follows (existing law proposed to be omitted is enclosed in black brackets, new matter is printed in italic, 

existing law in which no change is proposed is shown in roman): 

TITLE 14, UNITED STATES CODE 

* * * * * * * 

PART I—REGULAR COAST GUARD 

* * * * * * * 

CHAPTER 3—COMPOSITION AND ORGANIZATION 

Sec. 

41. Grades and ratings. 

* * * * * * * 

ø42. Number and distribution of commissioned officers.¿ 

42. Number and distribution of commissioned officers on active duty promotion list. 

* * * * * * * 

ø47. Vice Commandant; assignment.¿ 

47. Vice Commandant; appointment. 

* * * * * * * 

ø50. Area Commanders. 


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ø50a. Chief of Staff.¿ 

50. Vice admirals. 

* * * * * * * 

55. District Ombudsmen. 

56. Chief Acquisition Officer. 

* * * * * * * 

ø§ 42. Number and distribution of commissioned officers 

ø(a) The total number of commissioned officers, excluding commissioned warrant officers, on active duty in the Coast Guard shall 

not exceed 6,700 in each fiscal year 2004, 2005, and 2006. 

ø(b) The commissioned officers on the active duty promotion list 

shall be distributed in grade in the following percentages, respectively: rear admiral 0.375; rear admiral (lower half) 0.375; captain 

6.0; commander 15.0; lieutenant commander 22.0. The Secretary 

shall prescribe the percentages applicable to the grades of lieutenant, lieutenant (junior grade), and ensign. The Secretary may, as 

the needs of the Coast Guard require, reduce the percentage applicable to any grade above lieutenant commander, and in order to 

compensate for such reduction increase correspondingly the percentage applicable to any lower grade. 

ø(c) The Secretary shall, at least once each year, make a computation to determine the number of officers on the active duty promotion list authorized to be serving in each grade. The number in 

each grade shall be computed by applying the applicable percentage to the total number of such officers serving on active duty on 

the date the computation is made. In making computations under 

this section the nearest whole number shall be regarded as the authorized number in any case where there is a fraction in the final 

result. 

ø(d) The numbers resulting from such computations shall be for 

all purposes the authorized number in each grade, except that the 

authorized number for a grade is temporarily increased during the 

period between one computation and the next by the number of officers originally appointed in that grade during that period and the 

number of officers of that grade for whom vacancies exist in the 

next higher grade but whose promotion has been delayed for any 

reason. 

ø(e) Officers who are not included on the active duty promotion 

list, officers serving as extra numbers in grade under sections 432 

and 433 of this title, and officers serving with other departments 

or agencies on a reimbursable basis or excluded under the provisions of section 324(d) of title 49, shall not be counted in determining authorized strengths under subsection (c) and shall not 

count against those strengths. The number of officers authorized to 

be serving on active duty in each grade of the permanent commissioned teaching staff of the Coast Guard Academy and of the Reserve serving in connection with organizing, administering, recruiting, instructing, or training the reserve components shall be prescribed by the Secretary.¿ 

§ 42. Number and distribution of commissioned officers on 

active duty promotion list 

(a) MAXIMUM TOTAL NUMBER.—The total number of Coast Guard 

commissioned officers on the active duty promotion list, excluding 


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warrant officers, shall not exceed 6,700; except that the Commandant may temporarily increase that number by up to 2 percent 

for no more than 60 days following the date of the commissioning 

of a Coast Guard Academy class. 

(b) DISTRIBUTION PERCENTAGES BY GRADE.—

(1) REQUIRED.—The total number of commissioned officers 

authorized by this section shall be distributed in grade in the 

following percentages: 0.375 percent for rear admiral; 0.375 

percent for rear admiral (lower half); 6.0 percent for captain; 

15.0 percent for commander; and 22.0 percent for lieutenant 

commander. 

(2) DISCRETIONARY.—The Secretary shall prescribe the percentages applicable to the grades of lieutenant, lieutenant (junior grade), and ensign. 

(3) AUTHORITY OF SECRETARY TO REDUCE PERCENTAGE.—The 

Secretary—

(A) may reduce, as the needs of the Coast Guard require, 

any of the percentages set forth in paragraph (1); and 

(B) shall apply that total percentage reduction to any 

other lower grade or combination of lower grades. 

(c) COMPUTATIONS.—

(1) IN GENERAL.—The Secretary shall compute, at least once 

each year, the total number of commissioned officers authorized 

to serve in each grade by applying the grade distribution percentages established by or under this section to the total number of commissioned officers listed on the current active duty 

promotion list. 

(2) ROUNDING FRACTIONS.—Subject to subsection (a), in making the computations under paragraph (1), any fraction shall be 

rounded to the nearest whole number. 

(3) TREATMENT OF OFFICERS SERVING OUTSIDE COAST

GUARD.—The number of commissioned officers on the active 

duty promotion list below the rank of rear admiral (lower half) 

serving with other Federal departments or agencies on a reimbursable basis or excluded under section 324(d) of title 49 shall 

not be counted against the total number of commissioned officers authorized to serve in each grade. 

(d) USE OF NUMBERS; TEMPORARY INCREASES.—The numbers resulting from computations under subsection (c) shall be, for all purposes, the authorized number in each grade; except that the authorized number for a grade is temporarily increased during the period 

between one computation and the next by the number of officers 

originally appointed in that grade during that period and the number of officers of that grade for whom vacancies exist in the next 

higher grade but whose promotion has been delayed for any reason. 

(e) OFFICERS SERVING COAST GUARD ACADEMY AND RESERVE.—

The number of officers authorized to be serving on active duty in 

each grade of the permanent commissioned teaching staff of the 

Coast Guard Academy and of the Reserve serving in connection with 

organizing, administering, recruiting, instructing, or training the 

reserve components shall be prescribed by the Secretary. 

* * * * * * * 


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§ 47. Vice Commandant; øassignment¿ appointment 

The President may appoint, by and with the advice and consent 

of the Senate, one Vice Commandant who shall rank next after the 

Commandant, shall perform such duties as the Commandant may 

prescribe and shall act as Commandant during the absence or disability of the Commandant or in the event that there is a vacancy 

in the office of Commandant. The Vice Commandant shall be selected from the officers on the active duty promotion list serving 

above the grade of captain. The Commandant shall make recommendation for such appointment. The Vice Commandant shall, 

while so serving, have the grade of øvice admiral¿ admiral with 

pay and allowances of that grade. The appointment and grade of 

a Vice Commandant shall be effective on the date the officer assumes that duty, and shall terminate on the date the officer is detached from that duty, except as provided in øsubsection¿ section 

51(d) of this title. 

* * * * * * * 

ø§ 50. Area commanders 

ø(a) The President may appoint, by and with the advice and consent of the Senate, a Commander, Atlantic Area, and a Commander, Pacific Area, each of whom shall be an intermediate commander between the Commandant and the district commanders in 

his respective area and shall perform such duties as the Commandant may prescribe. The area commanders shall be appointed 

from officers on the active duty promotion list serving above the 

grade of captain. The Commandant shall make recommendations 

for such appointments. 

ø(b) An area commander shall, while so serving, have the grade 

of vice admiral with pay and allowances of that grade. The appointment and grade of an area commander shall be effective on the 

date the officer assumes that duty, and shall terminate on the date 

the officer is detached from that duty, except as provided in subsection 51(d) of this title. 

ø§ 50a. Chief of Staff 

ø(a) The President may appoint, by and with the advice and consent of the Senate, a Chief of Staff of the Coast Guard who shall 

rank next after the area commanders and who shall perform duties 

as prescribed by the Commandant. The Chief of Staff shall be appointed from the officers on the active duty promotion list serving 

above the grade of captain. The Commandant shall make recommendations for the appointment. 

ø(b) The Chief of Staff shall have the grade of vice admiral with 

the pay and allowances of that grade. The appointment and grade 

of the Chief of Staff shall be effective on the date the officer assumes that duty, and shall terminate on the date the officer is detached from that duty, except as provided in section 51(d) of this 

title.¿ 

§ 50. Vice admirals 

(a)(1) The President may designate 4 positions of importance and 

responsibility that shall be held by officers who—


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(A) while so serving, shall have the grade of vice admiral, 

with the pay and allowances of that grade; and 

(B) shall perform any duties as the Commandant may prescribe. 

(2) The 4 vice admiral positions authorized under paragraph (1) 

are, respectively, the following: 

(A) The Deputy Commandant for Mission Support. 

(B) The Deputy Commandant for National Operations and 

Policy. 

(C) The Commander, Force Readiness Command. 

(D) The Commander, Operations Command. 

(3) The President may appoint, by and with the advice and consent of the Senate, and reappoint, by and with the advice and consent of the Senate, to each of the positions designated under paragraph (1) an officer of the Coast Guard who is serving on active 

duty above the grade of captain. The Commandant shall make recommendations for those appointments. 

(b)(1) The appointment and the grade of vice admiral under this 

section shall be effective on the date the officer assumes that duty 

and, except as provided in paragraph (2) of this subsection or in section 51(d) of this title, shall terminate on the date the officer is detached from that duty. 

(2) An officer who is appointed to a position designated under 

subsection (a) shall continue to hold the grade of vice admiral— (A) while under orders transferring the officer to another position designated under subsection (a), beginning on the date 

the officer is detached from duty and terminating on the date 

before the day the officer assumes the subsequent duty, but not 

for more than 60 days; 

(B) while hospitalized, beginning on the day of the hospitalization and ending on the day the officer is discharged 

from the hospital, but not for more than 180 days; and 

(C) while awaiting retirement, beginning on the date the officer is detached from duty and ending on the day before the officer’s retirement, but not for more than 60 days. 

(c)(1) An appointment of an officer under subsection (a) does not 

vacate the permanent grade held by the officer. 

(2) An officer serving in a grade above rear admiral who holds 

the permanent grade of rear admiral (lower half) shall be considered for promotion to the permanent grade of rear admiral as if the 

officer was serving in the officer’s permanent grade. 

(d) Whenever a vacancy occurs in a position designated under 

subsection (a), the Commandant shall inform the President of the 

qualifications needed by an officer serving in that position to carry 

out effectively the duties and responsibilities of that position. 

§ 51. Retirement 

(a) * * * 

* * * * * * * 

(d) An officer serving in the grade of admiral or vice admiral 

shall continue to hold that grade— (1) * * * 

(2) while awaiting retirement, beginning on the day that officer is relieved from the position of Commandant, Vice Commandant, øArea Commander, or Chief of Staff¿ or Vice AdmiVerDate Aug 31 2005 05:59 Oct 31, 2007 Jkt 069006 PO 00000 Frm 00011 Fmt 6659 Sfmt 6601 E:\HR\OC\HR338P3.XXX HR338P3

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rals and ending on the day before the officer’s retirement, but 

not for more than 60 days. 

* * * * * * * 

§ 55. District Ombudsmen 

(a) IN GENERAL.—The Commandant may appoint in each Coast 

Guard District a District Ombudsman to serve as a liaison between 

representatives of port stakeholders, including the Area Maritime 

Security Advisory Committees required by section 70112 of title 46 

and the Coast Guard. 

(b) PURPOSES.—The purposes of the District Ombudsman shall be 

the following: 

(1) To support the operations of the Coast Guard in each port 

in the District for which the District Ombudsman is appointed. 

(2) To improve communications between and among port 

stakeholders including, but not limited to, port and terminal 

operators, ship owners, labor representatives, and the Coast 

Guard. 

(3) To ensure timely resolution of disputes between the Coast 

Guard and all petitioners regarding requirements imposed or 

services provided by the Coast Guard. 

(c) FUNCTIONS.— (1) INVESTIGATIONS.—The District Ombudsman may investigate complaints brought to the attention of the District Ombudsman by a petitioner operating in a port provided such a 

complaint is not the subject of an administrative, civil, or criminal investigation or other legal proceeding and provided the 

District Ombudsman receives no benefit, either direct or indirect, from the outcome of the complaint. 

(2) GUIDELINES FOR DISPUTES.— (A) IN GENERAL.—The Commandant of the Coast Guard 

shall develop guidelines regarding disputes with respect to 

which the District Ombudsman will provide assistance. 

(B) LIMITATION.—The District Ombudsman shall not provide assistance with respect to a dispute if such a dispute 

is the subject of an administrative, civil, or criminal investigation or other legal proceeding or if the District Ombudsman receives a benefit, either direct or indirect, from the 

outcome of the dispute. 

(C) PRIORITY.—In providing such assistance, the District 

Ombudsman shall give priority to complaints brought by 

petitioners who will suffer a significant hardship as the result of implementing a Coast Guard requirement or being 

denied a Coast Guard service. 

(3) CONSULTATION.—The District Ombudsman may consult 

with any Coast Guard personnel who can aid in the investigation of a complaint provided such persons are reasonably available. 

(4) ACCESS TO INFORMATION.—Unless otherwise prohibited by 

law or regulation, the District Ombudsman shall have access to 

any document, including any record or report, that will aid the 

District Ombudsman in obtaining the information needed to 

conduct an investigation of a compliant. 

(5) REPORTS.—At the conclusion of an investigation, the District Ombudsman shall submit a report on the findings and recVerDate Aug 31 2005 05:59 Oct 31, 2007 Jkt 069006 PO 00000 Frm 00012 Fmt 6659 Sfmt 6603 E:\HR\OC\HR338P3.XXX HR338P3

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ommendations of the District Ombudsman, to the Commander 

of the District in which the petitioner who brought the complaint is located or operating. 

(6) DEADLINE.—The District Ombudsman shall seek to resolve 

each complaint brought in accordance with the guidelines— (A) in a timely fashion; and 

(B) to the maximum extent practicable, not later than 4 

months after the complaint is officially accepted by the District Ombudsman. 

(d) APPOINTMENT.—The Commandant shall appoint as the District Ombudsman an appropriately cleared civilian who has experience in port and transportation systems and knowledge of port operations or of maritime commerce (or both). 

(e) ANNUAL REPORTS.—The Secretary shall report annually to the 

Committees on Homeland Security and Transportation and Infrastructure of the House of Representatives and the Committee on 

Commerce, Science, and Transportation of the Senate on the matters brought before the District Ombudsmen, including—

(1) the number of matters brought before each District Ombudsman; 

(2) a brief summary of each such matter; and 

(3) the eventual resolution of each such matter. 

§ 56. Chief Acquisition Officer 

(a) ESTABLISHMENT OF AGENCY CHIEF ACQUISITION OFFICER.— The Commandant shall appoint or designate a career reserved employee as Chief Acquisition Officer for the Coast Guard, who shall— (1) have acquisition management as that official’s primary 

duty; and 

(2) report directly to the Commandant to advise and assist 

the Commandant to ensure that the mission of the Coast Guard 

is achieved through the management of the Coast Guard’s acquisition activities. 

(b) AUTHORITY AND FUNCTIONS OF THE CHIEF ACQUISITION OFFICER.—The functions of the Chief Acquisition Officer shall include— (1) monitoring the performance of acquisition activities and 

acquisition programs of the Coast Guard, evaluating the performance of those programs on the basis of applicable performance measurements, and advising the Commandant regarding 

the appropriate business strategy to achieve the mission of the 

Coast Guard; 

(2) increasing the use of full and open competition in the acquisition of property and services by the Coast Guard by establishing policies, procedures, and practices that ensure that the 

Coast Guard receives a sufficient number of sealed bids or competitive proposals from responsible sources to fulfill the Government’s requirements (including performance and delivery schedules) at the lowest cost or best value considering the nature of 

the property or service procured; 

(3) ensuring the use of detailed performance specifications in 

instances in which performance-based contracting is used; 

(4) making acquisition decisions consistent with all applicable laws and establishing clear lines of authority, accountability, and responsibility for acquisition decisionmaking within the Coast Guard; 


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(5) managing the direction of acquisition policy for the Coast 

Guard, including implementation of the unique acquisition 

policies, regulations, and standards of the Coast Guard; 

(6) developing and maintaining an acquisition career management program in the Coast Guard to ensure that there is an 

adequate professional workforce; and 

(7) as part of the strategic planning and performance evaluation process required under section 306 of title 5 and sections 

1105(a)(28), 1115, 1116, and 9703 of title 31— (A) assessing the requirements established for Coast 

Guard personnel regarding knowledge and skill in acquisition resources management and the adequacy of such requirements for facilitating the achievement of the performance goals established for acquisition management; 

(B) in order to rectify any deficiency in meeting such requirements, developing strategies and specific plans for hiring, training, and professional development; and 

(C) reporting to the Commandant on the progress made 

in improving acquisition management capability. 

* * * * * * * 

CHAPTER 5—FUNCTIONS AND POWERS 

Sec. 

81. Aids to navigation authorized. 

* * * * * * * 

99. Enforcement authority. 

* * * * * * * 

§ 99. Enforcement authority 

Subject to guidelines approved by the Secretary, members of the 

Coast Guard, in the performance of official duties, may— (1) carry a firearm; and 

(2) while at a facility (as defined in section 70101 of title 

46)—

(A) make an arrest without warrant for any offense 

against the United States committed in their presence; and 

(B) seize property as otherwise provided by law. 

* * * * * * * 

CHAPTER 7—COOPERATION WITH OTHER AGENCIES 

Sec. 

141. Cooperation with other agencies, States, territories, and political subdivisions. 

* * * * * * * 

149. Assistance to foreign governments and maritime authorities. 

* * * * * * * 

153. Appointment of judges. 

* * * * * * * 

§ 149. Assistance to foreign governments and maritime authorities 

(a) * * * 

* * * * * * * 


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(c) GRANTS TO INTERNATIONAL MARITIME ORGANIZATIONS.—After 

consultation with the Secretary of State, the Commandant may 

make grants to, or enter into cooperative agreements, contracts, or 

other agreements with, international maritime organizations for the 

purpose of acquiring information or data about merchant vessel inspections, security, safety, classification, and port State or flag State 

law enforcement or oversight. 

* * * * * * * 

§ 151. Contracts with Government-owned establishments for 

work and material 

(a) IN GENERAL.—All orders or contracts for work or material, 

under authorization of law, placed with Government-owned establishments by the Coast Guard, shall be considered as obligations in 

the same manner as provided for similar orders or contracts placed 

with private contractors, and appropriations for such work or material shall remain available for payment therefor as in the case of 

orders or contracts placed with private contractors. 

(b) ORDERS AND AGREEMENTS FOR INDUSTRIAL ACTIVITIES.— Under this section, the Coast Guard industrial activities may accept 

orders and enter into reimbursable agreements with establishments, 

agencies, and departments of the Department of Defense. 

* * * * * * * 

§ 153. Appointment of judges 

The Secretary may appoint civilian employees of the Department 

in which the Coast Guard is operating as appellate military judges, 

available for assignment to the Coast Guard Court of Criminal Appeals as provided for in section 866(a) of title 10. 

CHAPTER 9—COAST GUARD ACADEMY 

Sec. 

181. Administration of Academy. 

* * * * * * * 

198. Coast Guard history fellowships. 

* * * * * * * 

CHAPTER 11—PERSONNEL 

OFFICERS

A. APPOINTMENTS

Sec. 

211. Original appointment of permanent commissioned officers. 

* * * * * * * 

ø216. Director of Boating Safety Office¿ 

* * * * * * * 

GENERAL PROVISIONS 

421. Retirement. 

* * * * * * * 

426. Emergency leave retention authority. 

* * * * * * * 


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§ 214. Appointment of temporary officers 

ø(a) The President may appoint temporary commissioned officers 

in the Regular Coast Guard in a grade, not above lieutenant, appropriate to their qualifications, experience, and length of service, 

as the needs of the Coast Guard may require, from among the commissioned warrant officers, warrant officers, and enlisted members 

of the Coast Guard, and from licensed officers of the United States 

merchant marine.¿ 

(a) The president may appoint temporary commissioned officers—

(1) in the Regular Coast Guard in a grade, not above lieutenant, appropriate to their qualifications, experience, and length 

of service, as the needs of the Coast Guard may require, from 

among the commissioned warrant officers, warrant officers, and 

enlisted members of the Coast Guard, and from holders of licenses issued under chapter 71 of title 46; and 

(2) in the Coast Guard Reserve in a grade, not above lieutenant, appropriate to their qualifications, experience, and length 

of service, as the needs of the Coast Guard may require, from 

among the commissioned warrant officers of the Coast Guard 

Reserve. 

* * * * * * * 

ø§ 216. Director of Boating Safety Office 

øThe initial appointment of the Director of the Boating Safety 

Office shall be in the grade of Captain.¿ 

* * * * * * * 

§ 253. Selection boards; notice of convening; communication 

with board 

(a) Before a board is convened under section 251 of this title, notice of the convening date, the promotion zone to be considered, 

and the officers eligible for considerationø, and the number of officers the board may recommend for promotion¿ shall be given to the 

service at large. 

* * * * * * * 

§ 258. Selection boards; information to be furnished boards 

(a) IN GENERAL.—The Secretary shall furnish the appropriate selection board convened under section 251 of this title withø:¿—

(1) the number of officers that the board may recommend for 

promotion to the next higher grade; and 

(2) the names and records of all officers who are eligible for 

consideration for promotion to the grade to which the board 

will recommend officers for promotion. 

(b) PROVISION OF DIRECTION AND GUIDANCE.—

(1) In addition to the information provided pursuant to subsection (a), the Secretary may furnish the selection board—

(A) specific direction relating to the needs of the Coast 

Guard for officers having particular skills, including direction relating to the need for a minimum number of officers 

with particular skills within a specialty; and 


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(B) any other guidance that the Secretary believes may be 

necessary to enable the board to properly perform its functions. 

(2) Selections made based on the direction and guidance provided under this subsection shall not exceed the maximum percentage of officers who may be selected from below the announced promotion zone at any given selection board convened 

under section 251 of this title. 

§ 259. Officers to be recommended for promotion 

(a) A selection board convened to recommend officers for promotion shall recommend those eligible officers whom the board, giving due consideration to the needs of the Coast Guard for officers 

with particular skills so noted in specific direction furnished to the 

board by the Secretary under section 258 of this title, considers best 

qualified of the officers under consideration for promotion. No officer may be recommended for promotion unless he receives the recommendation of at least a majority of the members of a board composed of five members, or at least two-thirds of the members of a 

board composed of more than five members. 

* * * * * * * 

§ 260. Selection boards; reports 

(a) * * * 

(b) A board convened under section 251 of this title shall certify 

that, in the opinion of at least a majority of the members if the 

board has five members, or in the opinion of at least two-thirds of 

the members if the board has more than five members, the officers 

recommended for promotion are the best qualified for promotion to 

meet the needs of the service (as noted in specific direction furnished 

the board by the Secretary under section 258 of this title) of those 

officers whose names have been furnished to the board. 

* * * * * * * 

§ 426. Emergency leave retention authority 

With regard to a member of the Coast Guard who serves on active 

duty, a duty assignment in support of a declaration of a major disaster or emergency by the President under the Robert T. Stafford 

Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et 

seq.) shall be treated, for the purpose of section 701(f)(2) of title 10, 

a duty assignment in support of a contingency operation. 

* * * * * * * 

CHAPTER 13—PAY, ALLOWANCES, AWARDS, AND OTHER 

RIGHTS AND BENEFITS 

* * * * * * * 

Sec. 

461. Remission of indebtedness of enlisted members upon discharge. 

* * * * * * * 

518. Reimbursement for medical-related travel expenses for certain persons residing 

on islands in the continental United States. 

* * * * * * * 


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§ 518. Reimbursement for medical-related travel expenses for 

certain persons residing on islands in the continental United States 

In any case in which a covered beneficiary (as defined in section 

1072(5) of title 10) resides on an island that is located in the 48 contiguous States and the District of Columbia and that lacks public 

access roads to the mainland and is referred by a primary care physician to a specialty care provider (as defined in section 1074i(b) of 

title 10) on the mainland who provides services less than 100 miles 

from the location where the beneficiary resides, the Secretary shall 

reimburse the reasonable travel expenses of the covered beneficiary 

and, when accompaniment by an adult is necessary, for a parent or 

guardian of the covered beneficiary or another member of the covered beneficiary’s family who is at least 21 years of age. 

* * * * * * * 

CHAPTER 17—ADMINISTRATION 

Sec. 

631. Delegation of powers by the Secretary. 

* * * * * * * 

677. Turnkey selection procedures. 

* * * * * * * 

§ 637. Stopping vessels; indemnity for firing at or into vessel 

(a) * * * 

* * * * * * * 

(c) A vessel or aircraft is an authorized vessel or authorized aircraft for purposes of this section if—

(1) it is a Coast Guard vessel or aircraftø; or¿; 

(2) it is a surface naval vessel or military aircraft on which 

one or more members of the Coast Guard are assigned pursuant to section 379 of title 10ø.¿; or 

(3) any other vessel or aircraft owned by a government and 

used for noncommercial service when—

(A) the vessel or aircraft is under the tactical control of 

the Coast Guard; and 

(B) at least one member of the Coast Guard is assigned 

and conducting a Coast Guard mission on the vessel or aircraft. 

§ 638. Coast Guard ensigns and pennants 

(a) øCoast Guard vessels and aircraft¿ Vessels and aircraft authorized by the Secretary shall be distinguished from other vessels 

and aircraft by an ensign, pennant, or other identifying insignia of 

such design as prescribed by the Secretary. Such ensign, pennant, 

or other identifying insignia shall be displayed in accordance with 

regulations prescribed by the Secretary. 

* * * * * * * 


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ARMED FORCES RETIREMENT HOME ACT OF 1991 

TITLE XV—ARMED FORCES 

RETIREMENT HOME 

* * * * * * * 

SEC. 1502. DEFINITIONS. 

For purposes of this title: 

(1) * * * 

* * * * * * * 

ø(4) The term ‘‘Armed Forces’’ does not include the Coast 

Guard when it is not operating as a service in the Navy.¿ 

(5) The term ‘‘chief personnel officers’’ means—

(A) * * * 

* * * * * * * 

(C) the Deputy Chief of Staff for Personnel of the Air 

Force; øand¿ 

(D) the Deputy Commandant of the Marine Corps for 

Manpower and Reserve Affairsø.¿; and 

(E) the Assistant Commandant of the Coast Guard for 

Human Resources. 

(6) The term ‘‘senior noncommissioned officers’’ means the 

following: 

(A) * * * 

* * * * * * * 

(E) The Master Chief Petty Officer of the Coast Guard. 

* * * * * * * 

TITLE 10, UNITED STATES CODE 

* * * * * * * 

Subtitle A—General Military Law 

* * * * * * * 

PART IV—SERVICE, SUPPLY, AND 

PROCUREMENT 

* * * * * * * 

CHAPTER 165—ACCOUNTABILITY AND RESPONSIBILITY 

* * * * * * * 

§ 2772. Share of fines and forfeitures to benefit Armed 

Forces Retirement Home 

(a) DEPOSIT REQUIRED.—The Secretary of the military department concerned or, in the case of the Coast Guard, the Commandant shall deposit in the Armed Forces Retirement Home 


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Trust Fund a percentage (determined under subsection (b)) of the 

following amounts: 

(1) * * * 

* * * * * * * 

ø(c) APPLICATION TO COAST GUARD.—In this section, the term 

‘‘armed forces’’ does not include the Coast Guard when it is not operating as a service in the Navy.¿ 

* * * * * * * 

TITLE 37, UNITED STATES CODE 

* * * * * * * 

CHAPTER 19—ADMINISTRATION 

* * * * * * * 

§ 1007. Deductions from pay 

(a) * * * 

* * * * * * * 

(i)(1) * * * 

* * * * * * * 

(3) The Secretary of Defense or, in the case of the Coast Guard, 

the Commandant, after consultation with the Armed Forces Retirement Home Board, shall determine from time to time the amount 

to be deducted under paragraph (1) from the pay of enlisted members, warrant officers, and limited duty officers on the basis of the 

financial needs of the Armed Forces Retirement Home. The amount 

to be deducted may be fixed at different amounts on the basis of 

grade or length of service, or both. 

ø(4) In this subsection, the term ‘‘armed forces’’ does not include 

the Coast Guard when it is not operating as a service in the Navy.¿ 

ø(5)¿ (4) This subsection does not apply to an enlisted member, 

warrant officer, or limited duty officer of a reserve component. 

* * * * * * * 

COAST GUARD AND MARITIME TRANSPORTATION ACT 

OF 2004 

* * * * * * * 

TITLE VI—MISCELLANEOUS 

* * * * * * * 

SEC. 605. GREAT LAKES NATIONAL MARITIME ENHANCEMENT INSTITUTE. 

(a) * * * 

(b) STUDY AND REPORT.—

(1) IN GENERAL.—øThe Secretary of Transportation shall conduct a study that¿ The Institute shall conduct maritime transVerDate Aug 31 2005 05:59 Oct 31, 2007 Jkt 069006 PO 00000 Frm 00020 Fmt 6659 Sfmt 6601 E:\HR\OC\HR338P3.XXX HR338P3

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portation studies of the Great Lakes region, including studies 

that—(A) øevaluates¿ evaluate short sea shipping market opportunities on the Great Lakes, including the expanded 

use of freight ferries, improved mobility, and regional supply chain efficiency; 

(B) øevaluates¿ evaluate markets for foreign trade between ports on the Great Lakes and draft-limited ports in 

Europe and Africa; 

(C) øevaluates¿ evaluate the environmental benefits of 

waterborne transportation in the Great Lakes region; 

(D) øanalyzes¿ analyze the effect on Great Lakes shipping of the tax imposed by section 4461(a) of the Internal 

Revenue Code of 1986; 

(E) øevaluates¿ evaluate the state of shipbuilding and 

ship repair bases on the Great Lakes; 

(F) øevaluates¿ evaluate opportunities for passenger vessel services on the Great Lakes; 

(G) øanalyzes¿ analyze the origin-to-destination flow of 

freight cargo in the Great Lakes region that may be transported on vessels to relieve congestion in other modes of 

transportation; 

(H) øevaluates¿ evaluate the economic viability of establishing transshipment facilities for oceangoing cargoes on 

the Great Lakes; 

(I) øevaluates¿ evaluate the adequacy of the infrastructure in Great Lakes ports to meet the needs of marine 

commerce; øand¿ 

(J) øevaluates¿ evaluate new vessel designs for domestic 

and international shipping on the Great Lakesø.¿; 

(K) identify ways to improve the integration of the Great 

Lakes marine transportation system into the national 

transportation system; 

(L) examine the potential of expanded operations on the 

Great Lakes marine transportation system; 

(M) identify ways to include intelligent transportation applications into the Great Lakes marine transportation system; 

(N) analyze the effects and impacts of aging infrastructure and port corrosion on the Great Lakes marine transportation system; 

(O) establish and maintain a model Great Lakes marine 

transportation system database; and 

(P) identify market opportunities for, and impediments 

to, the use of United States-flag vessels in trade with Canada on the Great Lakes. 

* * * * * * * 

ø(4) AUTHORIZATION OF APPROPRIATIONS.—There is authorized to be appropriated to the Secretary $1,500,000 for each of 

fiscal years 2005 and 2006 to carry out paragraph (1).¿ 

(4) AUTHORIZATION OF APPROPRIATIONS.—There are authorized to be appropriated to carry out paragraph (1)— (A) $2,100,000 for fiscal year 2007; 

(B) $2,200,000 for fiscal year 2008; 

(C) $2,300,000 for fiscal year 2009; 


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(D) $2,400,000 for fiscal year 2010; and 

(E) $2,500,000 for fiscal year 2011. 

* * * * * * * 

SEC. 623. INTERIM AUTHORITY FOR DRY BULK CARGO RESIDUE DISPOSAL. 

(a) EXTENSION OF INTERIM AUTHORITY.—The Secretary of the Department in which the Coast Guard is operating shall continue to 

implement and enforce United States Coast Guard 1997 Enforcement Policy for Cargo Residues on the Great Lakes (hereinafter in 

this section referred to as the ‘‘Policy’’) or revisions thereto, in accordance with that policy, for the purpose of regulating incidental 

discharges from vessels of residues of dry bulk cargo into the waters of the Great Lakes under the jurisdiction of the United States, 

until the earlier of— (1) * * * 

(2) September 30, ø2008¿ 2009. 

* * * * * * * 

TITLE 46, UNITED STATES CODE 

* * * * * * * 

Subtitle II—Vessels and Seamen 

* * * * * * * 

PART A—GENERAL PROVISIONS

CHAPTER 21—GENERAL 

Sec. 

2101. General definitions. 

* * * * * * * 

2116. Termination for unsafe operation. 

* * * * * * * 

§ 2114. Protection of seamen against discrimination 

(a)(1) A person may not discharge or in any manner discriminate 

against a seaman because—

(A) the seaman in good faith has reported or is about to report to the Coast Guard or other appropriate Federal agency 

or department that the seaman believes that a violation of a 

maritime safety law or regulation prescribed under that law or 

regulation has occurred; øor¿ 

(B) the seaman has refused to perform duties ordered by the 

seaman’s employer because the seaman has a reasonable apprehension or expectation that performing such duties would 

result in serious injury to the seaman, other seamen, or the 

publicø.¿; 

(C) the seaman testified in a proceeding brought to enforce a 

maritime safety law or regulation prescribed under that law; 

(D) the seaman notified, or attempted to notify, the vessel 

owner or the Secretary of a work-related personal injury or 

work-related illness of a seaman; 


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(E) the seaman cooperated with a safety investigation by the 

Secretary or the National Transportation Safety Board; 

(F) the seaman furnished information to the Secretary, the 

National Transportation Safety Board, or any other public official as to the facts relating to any marine casualty resulting in 

injury or death to an individual or damage to property occurring in connection with vessel transportation; or 

(G) the seaman accurately reported hours of duty under this 

part. 

* * * * * * * 

ø(b) A seaman discharged or otherwise discriminated against in 

violation of this section may bring an action in an appropriate district court of the United States. In that action, the court may order 

any appropriate relief, including—

ø(1) restraining violations of this section; 

ø(2) reinstatement to the seaman’s former position with back 

pay; 

ø(3) an award of costs and reasonable attorney’s fees to a 

prevailing plaintiff not exceeding $1,000; and 

ø(4) an award of costs and reasonable attorney’s fees to a 

prevailing employer not exceeding $1,000 if the court finds that 

a complaint filed under this section is frivolous or has been 

brought in bad faith.¿ 

(b) A seaman alleging discharge or discrimination in violation of 

subsection (a) of this section, or another person at the seaman’s request, may file a complaint with respect to such allegation in the 

same manner as a complaint may be filed under subsection (b) of 

section 31105 of title 49. Such complaint shall be subject to the procedures, requirements, and rights described in that section, including with respect to the right to file an objection, the right of a person 

to file for a petition for review under subsection (c) of that section, 

and the requirement to bring a civil action under subsection (d) of 

that section. 

* * * * * * * 

§ 2116. Termination for unsafe operation 

An individual authorized to enforce this title—

(1) may remove a certificate required by this title from a vessel that is operating in a condition that does not comply with 

the provisions of the certificate; 

(2) may order the individual in charge of a vessel that is operating that does not have on board the certificate required by 

this title to return the vessel to a mooring and to remain there 

until the vessel is in compliance with this title; and 

(3) may direct the individual in charge of a vessel to which 

this title applies to immediately take reasonable steps necessary 

for the safety of individuals on board the vessel if the official 

observes the vessel being operated in an unsafe condition that 

the official believes creates an especially hazardous condition, 

including ordering the individual in charge to return the vessel 

to a mooring and to remain there until the situation creating 

the hazard is corrected or ended. 


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PART B—INSPECTION AND REGULATIONS OF VESSELS

CHAPTER 31—GENERAL 

Sec. 

3101. Authority to suspend inspection. 

* * * * * * * 

3104. Survival craft. 

* * * * * * * 

§ 3104. Survival craft 

(a) Except as provided in subsection (b), the Secretary may not approve a survival craft as a safety device for purposes of this part, 

unless the craft ensures that no part of an individual is immersed 

in water. 

(b) The Secretary may authorize a survival craft that does not 

provide protection described in subsection (a) to remain in service 

until not later than January 1, 2013, if—

(1) it was approved by the Secretary before January 1, 2008; 

and 

(2) it is in serviceable condition. 

CHAPTER 32—MANAGEMENT OF VESSELS 

* * * * * * * 

§ 3202. Application 

(a) øMANDATORY APPLICATION.—¿ FOREIGN VOYAGES AND FOREIGN VESSELS.—This chapter applies to a vessel that—

(1) * * * 

* * * * * * * 

(b) OTHER PASSENGER VESSELS.—This chapter applies to a vessel 

that is—

(1) a passenger vessel or small passenger vessel; and 

(2) is transporting more passengers than a number prescribed 

by the Secretary based on the number of individuals on the vessel that could be killed or injured in a marine casualty. 

ø(b)¿ (c) VOLUNTARY APPLICATION.—This chapter applies to a 

vessel not described in subsection (a) of this section if the owner 

of the vessel requests the Secretary to apply this chapter to the 

vessel. 

ø(c)¿ (d) EXCEPTION.—Except as provided in øsubsection (b)¿ subsection (c) of this section, this chapter does not apply to—

(1) * * * 

* * * * * * * 

(4) a vessel operating on the Great Lakes or its tributary and 

connecting waters that is not described in subsection (b) of this 

section; or 

(5) a public vessel. 

§ 3203. Safety management system 

(a) * * * 

* * * * * * * 


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(c) In prescribing regulations for passenger vessels and small passenger vessels, the Secretary shall consider the characteristics, methods of operation, and nature of the service of these vessels. 

* * * * * * * 

CHAPTER 33—INSPECTION GENERALLY 

* * * * * * * 

§ 3316. Classification societies 

(a) * * * 

(b)(1) The Secretary may delegate to the American Bureau of 

Shipping or another classification society recognized by the Secretary as meeting acceptable standards for such a society, for a vessel documented or to be documented under chapter 121 of this title 

or for a floating installation, the authority to—

(A) * * * 

* * * * * * * 

(2) The Secretary may make a delegation under paragraph (1) to 

a foreign classification society only— (A) to the extent that the government of the foreign country 

in which the society is headquartered delegates authority and 

provides access to the American Bureau of Shipping to inspect, 

certify, and provide related services to vessels documented in 

that country or for floating installations; and 

* * * * * * * 

(3) When an inspection or examination has been delegated under 

this subsection, the Secretary’s delegate— (A) shall maintain in the United States complete files of all 

information derived from or necessarily connected with the inspection or examination for at least 2 years after the vessel or 

floating installation ceases to be certified; and 

* * * * * * * 

(d) For purposes of this section, the term ‘‘floating installation’’ means any installation, structure, or other device that floats and 

that either dynamically holds position or is temporarily or permanently attached to the seabed or subsoil under the territorial sea of 

the United States or the outer Continental Shelf (as that term is defined in section 2 of the Outer Continental Shelf Lands Act (43 

U.S.C. 1331)), and is used for the purpose of exploring for, developing, producing, or storing the resources from that seabed or subsoil. 

* * * * * * * 

CHAPTER 45—UNINSPECTED COMMERCIAL FISHING 

INDUSTRY VESSELS 

Sec. 

4501. Application. 

* * * * * * * 

ø4503. Fish processing vessel certification.¿ 

4503. Fishing, fish tender, and fish processing vessel certification. 

* * * * * * * 


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ø4508. Commercial Fishing Industry Vessel Safety Advisory Committee.¿ 

4508. Commercial Fishing Safety Advisory Committee. 

* * * * * * * 

§ 4502. Safety standards 

(a) The Secretary shall prescribe regulations which require that 

each vessel to which this chapter applies shall be equipped with—

(1) * * * 

* * * * * * * 

ø(6) a buoyant apparatus, if the vessel is of a type required 

by regulations prescribed by the Secretary to be equipped with 

that apparatus; 

ø(7) alerting and locating equipment, including emergency 

position indicating radio beacons, on vessels that operate beyond 3 nautical miles from the baselines from which the territorial sea of the United States is measured, and which are 

owned in the United States or beyond 3 nautical miles from 

the coastline of the Great Lakes; and¿ 

(6) other equipment required to minimize the risk of injury to 

the crew during vessel operations, if the Secretary determines 

that a risk of serious injury exists that can be eliminated or 

mitigated by that equipment; and 

ø(8)¿ (7) a placard as required by regulations prescribed 

under section 10603(b) of this title. 

(b)(1) In addition to the requirements of subsection (a) of this section, the Secretary shall prescribe regulations requiring the installation, maintenance, and use of the equipment in paragraph (2) of 

this subsection for ødocumented¿ vessels to which this chapter applies that—

(A) operate beyond øthe Boundary Line¿ 3 nautical miles 

from the baseline from which the territorial sea of the United 

States is measured or beyond 3 nautical miles from the coastline of the Great Lakes; 

* * * * * * * 

(2) The equipment to be required is as follows: 

(A) * * * 

(B) ølifeboats or liferafts¿ a survival craft that ensures that 

no part of an individual is immersed in water sufficient to accommodate all individuals on board; 

* * * * * * * 

(D) marine radio communications equipment sufficient to effectively communicate with land-based search and rescue facilities; 

(E) navigation equipment, including compasses, øradar reflectors, nautical charts, and anchors¿ nautical charts, and 

publications; 

(F) first aid equipmentø, including medicine chests¿ and 

medical supplies sufficient for the size and area of operation of 

the vessel; and 

ø(G) other equipment required to minimize the risk of injury 

to the crew during vessel operations, if the Secretary determines that a risk of serious injury exists that can be eliminated or mitigated by that equipment.¿ 


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(G) ground tackle sufficient for the vessel. 

* * * * * * * 

ø(f) To ensure compliance with the requirements of this chapter, 

at least once every 2 years the Secretary shall examine—

ø(1) a fish processing vessel; and 

ø(2) a fish tender vessel engaged in the Aleutian trade.¿ 

(f) To ensure compliance with the requirements of this chapter, 

the Secretary—

(1) shall require the individual in charge of a vessel described 

in subsection (b) to keep a record of equipment maintenance, 

and required instruction and drills; and 

(2) shall examine at dockside a vessel described in subsection 

(b) at least twice every 5 years, and shall issue a certificate of 

compliance to a vessel meeting the requirements of this chapter. 

(g)(1) The individual in charge of a vessel described in subsection 

(b) must pass a training program approved by the Secretary that 

meets the requirements in paragraph (2) of this subsection and hold 

a valid certificate issued under that program. 

(2) The training program shall— (A) be based on professional knowledge and skill obtained 

through sea service and hands-on training, including training 

in seamanship, stability, collision prevention, navigation, fire 

fighting and prevention, damage control, personal survival, 

emergency medical care, and weather; 

(B) require an individual to demonstrate ability to communicate in an emergency situation and understand information 

found in navigation publications; 

(C) recognize and give credit for recent past experience in 

fishing vessel operation; and 

(D) provide for issuance of a certificate to an individual that 

has successfully completed the program. 

(3) The Secretary shall prescribe regulations implementing this 

subsection. The regulations shall require that individuals who are 

issued a certificate under paragraph (2)(D) must complete refresher 

training at least once every 5 years as a condition of maintaining 

the validity of the certificate. 

(4) The Secretary shall establish a publicly accessible electronic 

database listing the names of individuals who have participated in 

and received a certificate confirming successful completion of a 

training program approved by the Secretary under this section. 

(h) A vessel to which this chapter applies shall be constructed in 

a manner that provides a level of safety equivalent to the minimum 

safety standards the Secretary may established for recreational vessels under section 4302, if—

(1) subsection (b) of this section applies to the vessel; 

(2) the vessel is less than 50 feet overall in length; and 

(3) the vessel is built after January 1, 2008. 

(i)(1) The Secretary shall establish a Fishing Safety Training 

Grants Program to provide funding to municipalities, port authorities, other appropriate public entities, not-for-profit organizations, 

and other qualified persons that provide commercial fishing safety 

training—

(A) to conduct fishing vessel safety training that meets the requirements of subsection (g); and 


hmoore on PRODPC68 with HMRPT
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(B) for purchase of safety equipment and training aids for use 

in those fishing vessel safety training programs. 

(2) The Secretary shall award grants under this subsection on a 

competitive basis. 

(3) The Federal share of the cost of any activity carried out with 

a grant under this subsection shall not exceed 75 percent. 

(4) There is authorized to be appropriated $3,000,000 for each of 

fiscal years 2008 through 2012 for grants under this subsection. 

(j)(1) The Secretary shall establish a Fishing Safety Research 

Grant Program to provide funding to individuals in academia, 

members of non-profit organizations and businesses involved in 

fishing and maritime matters, and other persons with expertise in 

fishing safety, to conduct research on methods of improving the safety of the commercial fishing industry, including vessel design, emergency and survival equipment, enhancement of vessel monitoring 

systems, communications devices, de-icing technology, and severe 

weather detection. 

(2) The Secretary shall award grants under this subsection on a 

competitive basis. 

(3) The Federal share of the cost of any activity carried out with 

a grant under this subsection shall not exceed 75 percent. 

ø§ 4503. Fish processing vessel certification¿ 

§ 4503. Fishing, fish tender, and fish processing vessel certification 

(a) A øfish processing¿ vessel to which this section applies may 

not be operated unless the vessel—

(1) * * * 

* * * * * * * 

(c) This section applies to a vessel to which section 4502(b) of this 

title applies that—

(1) is at least 50 feet overall in length; 

(2) is built after January 1, 2008; or 

(3) undergoes a major conversion completed after that date. 

(d) After January 1, 2018, this section applies to a fishing vessel 

or fish tender vessel that is built before January 1, 2008, and is 25 

years of age or older, unless the vessel complies with an alternate 

safety compliance program prescribed by the Secretary. 

* * * * * * * 

§ 4506. Exemptions 

(a) * * * 

ø(b) A vessel to which this chapter applies is exempt from section 

4502(b)(2)(B) of this title if it—

ø(1) is less than 36 feet in length; and 

ø(2) is operating—

ø(A) in internal waters of the United States; or 

ø(B) within 3 nautical miles from the baselines from 

which the territorial sea of the United States is measured.¿ 

* * * * * * * 


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ø§ 4508. Commercial Fishing Industry Vessel Advisory Safety 

Committee¿ 

§ 4508. Commercial Fishing Safety Advisory Committee 

(a) The Secretary shall establish a Commercial Fishing øIndustry 

Vessel¿ Safety Advisory Committee. The Committee—

(1) * * * 

* * * * * * * 

PART C—LOAD LINES OF VESSELS

CHAPTER 51—LOAD LINES 

* * * * * * * 

§ 5102. Application 

(a) * * * 

(b) This chapter does not apply to the following: 

(1) * * * 

* * * * * * * 

(3) a fishing vessel, unless the vessel is built or undergoes a 

major conversion completed after January 1, 2008. 

* * * * * * * 

PART E—MERCHANT SEAMEN LICENSES, CERTIFICATES, AND

DOCUMENTS

CHAPTER 71—LICENSES AND CERTIFICATES OF 

REGISTRY 

Sec.

7101. Issuing and classifying licenses and certificates of registry. 

* * * * * * * 

ø7105. Oaths.¿ 

* * * * * * * 

7115. Merchant Mariner Medical Advisory Committee. 

* * * * * * * 

ø§ 7105. Oaths 

øAn applicant for a license or certificate of registry shall take, 

before the issuance of the license or certificate, an oath before a 

designated official, without concealment or reservation, that the applicant will perform faithfully and honestly, according to the best 

skill and judgment of the applicant, all the duties required by law. 

ø§ 7106. Duration of licenses 

øA license issued under this part is valid for 5 years and may 

be renewed for additional 5-year periods. However, the validity of 

a license issued to a radio officer is conditioned on the continuous 

possession by the holder of a first-class or second-class radiotelegraph operator license issued by the Federal Communications 

Commission. 


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ø§ 7107. Duration of certificates of registry 

øA certificate of registry issued under this part is valid for 5 

years and may be renewed for additional 5-year periods. However, 

the validity of a certificate issued to a medical doctor or professional nurse is conditioned on the continuous possession by the 

holder of a license as a medical doctor or registered nurse, respectively, issued by a State.¿ 

§ 7106. Duration of licenses 

(a) IN GENERAL.—A license issued under this part is valid for a 

5-year period and may be renewed for additional 5-year periods; except that the validity of a license issued to a radio officer is conditioned on the continuous possession by the holder of a first-class or 

second-class radiotelegraph operator license issued by the Federal 

Communications Commission. 

(b) ADVANCE RENEWALS.—A renewed license issued under this 

part may be issued up to 8 months in advance but is not effective 

until the date that the previously issued license expires. 

§ 7107. Duration of certificates of registry 

(a) IN GENERAL.—A certificate of registry issued under this part 

is valid for a 5-year period and may be renewed for additional 5- 

year periods; except that the validity of a certificate issued to a medical doctor or professional nurse is conditioned on the continuous 

possession by the holder of a license as a medical doctor or registered nurse, respectively, issued by a State. 

(b) ADVANCE RENEWALS.—A renewed certificate of registry issued 

under this part may be issued up to 8 months in advance but is not 

effective until the date that the previously issued certificate of registry expires. 

* * * * * * * 

§ 7115. Merchant Mariner Medical Advisory Committee 

(a) ESTABLISHMENT.—

(1) IN GENERAL.—There is established a Merchant Mariner 

Medical Advisory Committee (in this section referred to as the 

‘‘Committee’’). 

(2) FUNCTIONS.—The Committee shall advise the Secretary on 

matters relating to—

(A) medical certification determinations for issuance of 

merchant mariner credentials; 

(B) medical standards and guidelines for the physical 

qualifications of operators of commercial vessels; 

(C) medical examiner education; and 

(D) medical research. 

(b) MEMBERSHIP.—

(1) IN GENERAL.—The Committee shall consist of twelve members, none of whom is a Federal employee, and shall include—

(A) ten who are health-care professionals with particular 

expertise, knowledge, or experience regarding the medical 

examinations of merchant mariners or occupational medicine; and 

(B) two who are professional mariners with knowledge 

and experience in mariner occupational requirements. 


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(2) STATUS OF MEMBERS.—Members of the Committee shall 

not be considered Federal employees or otherwise in the service 

or the employment of the Federal Government, except that members shall be considered special Government employees, as defined in section 202(a) of title 18, United States Code, and shall 

be subject to any administrative standards of conduct applicable to the employees of the department in which the Coast 

Guard is operating. 

(c) APPOINTMENTS; TERMS; VACANCIES.—

(1) APPOINTMENTS.—The Secretary shall appoint the members of the Committee, and each member shall serve at the 

pleasure of the Secretary. 

(2) TERMS.—Each member shall be appointed for a term of 

three years, except that, of the members first appointed, three 

members shall be appointed for a term of two years and three 

members shall be appointed for a term of one year. 

(3) VACANCIES.—Any member appointed to fill the vacancy 

prior to the expiration of the term for which that member’s 

predecessor was appointed shall be appointed for the remainder 

of that term. 

(d) CHAIRMAN AND VICE CHAIRMAN.—The Secretary shall designate one member of the Committee as the Chairman and one 

member as the Vice Chairman. The Vice Chairman shall act as 

Chairman in the absence or incapacity of, or in the event of a vacancy in the office of, the Chairman. 

(e) COMPENSATION; REIMBURSEMENT.—Members of the Committee 

shall serve without compensation, except that, while engaged in the 

performance of duties away from their homes or regular places of 

business of the member, the member of the Committee may be allowed travel expenses, including per diem in lieu of subsistence, as 

authorized by section 5703 of title 5. 

(f) STAFF; SERVICES.—The Secretary shall furnish to the Committee the personnel and services as are considered necessary for the 

conduct of its business. 

CHAPTER 73—MERCHANT MARINERS’ DOCUMENTS 

Sec. 

7301. General. 

* * * * * * * 

ø7305. Oaths for holders of merchant mariners’ documents.¿ 

* * * * * * * 

§ 7302. Issuing merchant mariners’ documents and continuous discharge books 

(a) * * * 

* * * * * * * 

ø(f) Except as provided in subsection (g), a merchant mariner’s 

document issued under this chapter is valid for 5 years and may 

be renewed for additional 5-year periods.¿ 

(f) PERIODS OF VALIDITY AND RENEWAL OF MERCHANT MARINERS’

DOCUMENTS.—

(1) IN GENERAL.—Except as provided in subsection (g), a merchant mariner’s document issued under this chapter is valid for 


hmoore on PRODPC68 with HMRPT
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a 5-year period and may be renewed for additional 5-year periods. 

(2) ADVANCE RENEWALS.—A renewed merchant mariner’s document may be issued under this chapter up to 8 months in advance but is not effective until the date that the previously 

issued merchant mariner’s document expires. 

* * * * * * * 

ø§ 7305. Oaths for holders of merchant mariners’ documents 

øAn applicant for a merchant mariner’s document shall take, before issuance of the document, an oath that the applicant will perform faithfully and honestly all the duties required by law, and will 

carry out the lawful orders of superior officers.¿ 

* * * * * * * 

CHAPTER 75—GENERAL PROCEDURES FOR LICENSING, 

CERTIFICATION, AND DOCUMENTATION 

Sec. 

7501. Duplicates. 

* * * * * * * 

7507. Fingerprinting. 

7508. Authority to extend the duration of licenses, certificates of registry, and merchant mariner documents. 

* * * * * * * 

§ 7502. Records 

(a) The Secretary shall maintain øcomputerized records¿ records, 

including electronic records, on the issuances, denials, suspensions, 

and revocations of licenses, certificates of registry, merchant mariners’ documents, and endorsements on those licenses, certificates, 

and documents. 

(b) The Secretary may prescribe regulations requiring a vessel 

owner or managing operator of a commercial vessel, or the employer 

of a seaman on that vessel, to maintain records of each individual 

engaged on the vessel on matters of engagement, discharge, and 

service for not less than 5 years after the date of the completion of 

the service of that individual on the vessel. The regulations may require that a vessel owner, managing operator, or employer shall 

make these records available to the individual and the Coast Guard 

on request. 

(c) A person violating this section, or a regulation prescribed 

under this section, is liable to the United States Government for a 

civil penalty of not more than $5,000. 

* * * * * * * 

§ 7507. Fingerprinting 

The Secretary of the Department in which the Coast Guard is operating may not require an individual to be fingerprinted for the 

issuance or renewal of a license, a certificate of registry, or a merchant mariner’s document under chapter 71 or 73 if the individual 

was fingerprinted when the individual applied for a transportation 

security card under section 70105. 


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§ 7508. Authority to extend the duration of licenses, certificates of registry, and merchant mariner documents 

(a) LICENSES AND CERTIFICATES OF REGISTRY.—Notwithstanding 

section 7106 and 7107, the Secretary of the department in which the 

Coast Guard is operating may extend for one year an expiring license or certificate of registry issued for an individual under chapter 71 if the Secretary determines that extension is required to enable the Coast Guard to eliminate a backlog in processing applications for those licenses or certificates of registry. 

(b) MERCHANT MARINER DOCUMENTS.—Notwithstanding section 

7302(g), the Secretary may extend for one year an expiring merchant 

mariner’s document issued for an individual under chapter 71 if the 

Secretary determines that extension is required to enable the Coast 

Guard to eliminate a backlog in processing applications for those 

documents. 

(c) MANNER OF EXTENSION.—Any extensions granted under this 

section may be granted to individual seamen or a specifically identified group of seamen. 

(d) EXPIRATION OF AUTHORITY.—The authority for providing an 

extension under this section shall expire on June 30, 2009. 

* * * * * * * 

PART F—MANNING OF VESSELS

CHAPTER 81—GENERAL 

Sec. 

8101. Complement of inspected vessels. 

* * * * * * * 

8106. Riding gangs. 

* * * * * * * 

CHAPTER 89—SMALL VESSEL MANNING 

* * * * * * * 

§ 8905. Exemptions 

(a) * * * 

ø(b) Section 8904 of this title does not apply to a vessel of less 

than 200 gross tons as measured under section 14502 of this title, 

or an alternate tonnage measured under section 14302 of this title 

as prescribed by the Secretary under section 14104 of this title engaged in the offshore mineral and oil industry if the vessel has offshore mineral and oil industry sites or equipment as its ultimate 

destination or place of departure.¿ 

ø(c)¿ (b) Section 8904 of this title does not apply to an oil spill 

response vessel while engaged in oil spill response or training activities. 

* * * * * * * 

CHAPTER 103—FOREIGN AND INTERCOASTAL VOYAGES 

* * * * * * * 


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§ 10313. Wages 

(a) * * * 

* * * * * * * 

(g) øWhen¿ (1) Subject to paragraph (2), when payment is not 

made as provided under subsection (f) of this section without sufficient cause, the master or owner shall pay to the seaman 2 days’

wages for each day payment is delayed. 

(2) The total amount required to be paid under paragraph (1) 

with respect to all claims in a class action suit by seamen on a passenger vessel capable of carrying more than 500 passengers for 

wages under this section against a vessel master, owner, or operator 

or the employer of the seamen shall not exceed ten times the unpaid 

wages that are the subject of the claims. 

(3) A class action suit for wages under this subsection must be 

commenced within three years after the later of—

(A) the date of the end of the last voyage for which the wages 

are claimed; or 

(B) the receipt, by a seaman who is a claimant in the suit, 

of a payment of wages that are the subject of the suit that is 

made in the ordinary course of employment. 

* * * * * * * 

§ 10315. Allotments 

(a) * * * 

* * * * * * * 

(f) DEPOSITS IN SEAMAN ACCOUNT.—A seaman employed on a 

passenger vessel capable of carrying more than 500 passengers may 

authorize, by written request signed by the seaman, the master, 

owner, or operator of the vessel, or the employer of the seaman, to 

make deposits of wages of the seaman into a checking, savings, investment, or retirement account, or other account to secure a payroll 

or debit card for the seaman if—

(1) the wages designated by the seaman for such deposit are 

deposited in a United States or international financial institution designated by the seaman; 

(2) such deposits in the financial institution are fully guaranteed under commonly accepted international standards by the 

government of the country in which the financial institution is 

licensed; 

(3) a written wage statement or pay stub, including an accounting of any direct deposit, is delivered to the seaman no 

less often than monthly; and 

(4) while on board the vessel on which the seaman is employed, the seaman is able to arrange for withdrawal of all 

funds on deposit in the account in which the wages are deposited. 

* * * * * * * 

CHAPTER 105—COASTWISE VOYAGES 

* * * * * * * 


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§ 10504. Wages 

(a) * * * 

* * * * * * * 

(c) øWhen¿ (1) Subject to subsection (d), and except as provided 

in paragraph (2), when payment is not made as provided under 

subsection (b) of this section without sufficient cause, the master 

or owner shall pay to the seaman 2 days’ wages for each day payment is delayed. 

(2) The total amount required to be paid under paragraph (1) 

with respect to all claims in a class action suit by seamen on a passenger vessel capable of carrying more than 500 passengers for 

wages under this section against a vessel master, owner, or operator 

or the employer of the seamen shall not exceed ten times the unpaid 

wages that are the subject of the claims. 

(3) A class action suit for wages under this subsection must be 

commenced within three years after the later of—

(A) the date of the end of the last voyage for which the wages 

are claimed; or 

(B) the receipt, by a seaman who is a claimant in the suit, 

of a payment of wages that are the subject of the suit that is 

made in the ordinary course of employment. 

* * * * * * * 

(f) DEPOSITS IN SEAMAN ACCOUNT.—A seaman employed on a 

passenger vessel capable of carrying more than 500 passengers may 

authorize, by written request signed by the seaman, the master, 

owner, or operator of the vessel, or the employer of the seaman, to 

make deposits of wages of the seaman into a checking, savings, investment, or retirement account, or other account to secure a payroll 

or debit card for the seaman if—

(1) the wages designated by the seaman for such deposit are 

deposited in a United States or international financial institution designated by the seaman; 

(2) such deposits in the financial institution are fully guaranteed under commonly accepted international standards by the 

government of the country in which the financial institution is 

licensed; 

(3) a written wage statement or pay stub, including an accounting of any direct deposit, is delivered to the seaman no 

less often than monthly; and 

(4) while on board the vessel on which the seaman is employed, the seaman is able to arrange for withdrawal of all 

funds on deposit in the account in which the wages are deposited. 

* * * * * * * 

CHAPTER 113—OFFICIAL LOGBOOKS 

Sec.

11301. Logbook and entry requirements. 

* * * * * * * 

11304. Additional logbook and entry requirements. 

* * * * * * * 


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§ 11304. Additional logbook and entry requirements 

(a) A vessel of the United States that is subject to inspection 

under section 3301 of this title, except a vessel on a voyage from a 

port in the United States to a port in Canada, shall have an official 

logbook. 

(b) The log book required by subsection (a) shall include the following entries: 

(1) The time when each seaman and each officer assumed or 

relieved the watch. 

(2) The number of hours in service to the vessels of each seaman and each officer. 

(3) An account of each accident, illness, and injury that occurs during each watch. 

* * * * * * * 

PART H—IDENTIFICATION OF VESSELS

CHAPTER 121—DOCUMENTATION OF VESSELS 

* * * * * * * 

SUBCHAPTER II—ENDORSEMENTS AND SPECIAL 

DOCUMENTATION 

§ 12111. Registry endorsement 

(a) * * * 

* * * * * * * 

(d) A vessel or facility for which a registry endorsement is not 

issued may not engage in regassifying on navigable waters unless 

the vessel or facility transported the gas from a foreign port. 

* * * * * * * 

§ 12113. Fishery endorsement 

(a) * * * 

* * * * * * * 

(d) REQUIREMENTS BASED ON LENGTH, TONNAGE, OR HORSE- POWER.—

(1) * * * 

(2) REQUIREMENTS.—A vessel subject to this subsection is not 

eligible for a fishery endorsement unless— (A)(i) a certificate of documentation was issued for the 

vessel and endorsed with a fishery endorsement that was 

effective on September 25, 1997; and 

(ii) the vessel is not placed under foreign registry after 

October 21, 1998; øand¿ 

ø(iii) if the fishery endorsement is invalidated after October 21, 1998, application is made for a new fishery endorsement within 15 business days of the invalidation; or¿ 

(B) the owner of the vessel demonstrates to the Secretary that the regional fishery management council of jurisdiction established under section 302(a)(1) of the Magnuson-Stevens Fishery Conservation and Management Act 

(16 U.S.C. 1852(a)(1)) has recommended after October 21, 

1998, and the Secretary of Commerce has approved, conVerDate Aug 31 2005 05:59 Oct 31, 2007 Jkt 069006 PO 00000 Frm 00036 Fmt 6659 Sfmt 6601 E:\HR\OC\HR338P3.XXX HR338P3

hmoore on PRODPC68 with HMRPT
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servation and management measures in accordance with 

the American Fisheries Act (Public Law 105–277, div. C, 

title II) (16 U.S.C. 1851 note) to allow the vessel to be used 

in fisheries under the council’s authorityø.¿; or 

(C) the vessel is either a rebuilt vessel or a replacement 

vessel under section 208(g) of the American Fisheries Act 

(title II of division C of Public Law 105–277; 112 Stat. 

2681–627) and is eligible for a fishery endorsement under 

this section. 

* * * * * * * 

PART J—MEASUREMENT OF VESSELS

CHAPTER 141—GENERAL 

* * * * * * * 

§ 14101. Definitions 

In this part—

(1) * * * 

* * * * * * * 

(4) ‘‘vessel øengaged¿ that engages on a foreign voyage’’

means a vessel—

(A) øarriving¿ that arrives at a place under the jurisdiction of the United States from a place in a foreign country; 

(B) ømaking¿ that makes a voyage between places outside the United States ø(except a foreign vessel engaged on 

that voyage)¿; 

(C) ødeparting¿ that departs from a place under the jurisdiction of the United States for a place in a foreign 

country; or 

(D) ømaking¿ that makes a voyage between a place within a territory or possession of the United States and another place under the jurisdiction of the United States not 

within that territory or possession. 

* * * * * * * 

§ 14103. Delegation of authority 

(a) * * * 

* * * * * * * 

(c) For a vessel øintended to be engaged on¿ that engages on a 

foreign voyage, the Secretary may delegate to another country that 

is a party to the Convention the authority to measure the vessel 

and issue an International Tonnage Certificate (1969) under chapter 143 of this title. 

* * * * * * * 

CHAPTER 143—CONVENTION MEASUREMENT 

Sec.

14301. Application. 

* * * * * * * 

ø14303. International Tonnage Certificate (1969).¿ 


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14303. Tonnage Certificate. 

* * * * * * * 

§ 14301. Application 

ø(a) Except as otherwise provided in this section, this chapter applies to the following: 

ø(1) a documented vessel. 

ø(2) a vessel that is to be documented under chapter 121 of 

this title. 

ø(3) a vessel engaged on a foreign voyage.¿ 

(a) Except as otherwise provided in this section, this chapter applies to any vessel for which the application of an international 

agreement or other law of the United States to the vessel depends 

on the vessel’s tonnage. 

(b) This chapter does not apply to the following: 

(1) a vessel of warø.¿, unless the government of the country 

to which the vessel belongs elects to measure the vessel under 

this chapter. 

* * * * * * * 

(3) a vessel of United States or Canadian registry or nationality, or a vessel operated under the authority of the United 

States or Canada, and that is operating only on the Great 

Lakes, unless the owner requests. 

(4) øa vessel (except a vessel engaged¿ a vessel of United 

States registry or nationality, or one operated under the authority of the United States (except a vessel that engages on a foreign voyage) the keel of which was laid or that was at a similar 

stage of construction before January 1, 1986, unless—

(A) * * * 

* * * * * * * 

ø(5) before July 19, 1994, an existing vessel unless— ø(A) the owner requests; or 

ø(B) the vessel undergoes a change that the Secretary 

finds substantially affects the vessel’s gross tonnage.¿ 

ø(6) a barge (except a barge engaged on a foreign voyage) unless the owner requests.¿ 

(5) a barge of United States registry or nationality, or a barge 

operated under the authority of the United States (except a 

barge that engages on a foreign voyage) unless the owner requests. 

ø(c) A vessel made subject to this chapter at the request of the 

owner may be remeasured only as provided by this chapter.¿ 

ø(d) After July 18, 1994, an existing vessel (except an existing 

vessel referred to in subsection (b)(5)(A) or (B) of this section)¿ (c) 

An existing vessel that has not undergone a change that the Secretary finds substantially affects the vessel’s gross tonnage (or a vessel to which IMO Resolutions A.494 (XII) of November 19, 1981, 

A.540 (XIII) of November 17, 1983, or A.541 (XIII) of November 17, 

1983 apply) may retain its tonnages existing on July 18, 1994, for 

the application of relevant requirements under international agreements (except the Convention) and other laws of the United States. 

However, if the vessel undergoes a change substantially affecting 

its tonnage after July 18, 1994, the vessel shall be remeasured 

under this chapter. 


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ø(e)¿ (d) This chapter does not affect an international agreement 

to which the United States Government is a party that is not in 

conflict with the Convention or the application of IMO Resolutions 

A.494 (XII) of November 19, 1981, A.540 (XIII) of November 17, 

1983, and A.541 (XIII) of November 17, 1983. 

§ 14302. Measurement 

(a) * * * 

ø(b) Except as provided in section 1602(a) of the Panama Canal 

Act of 1979 (22 U.S.C. 3792(a)), a vessel measured under this chapter may not be required to be measured under another law.¿ 

(b) A vessel measured under this chapter may not be required to 

be measured under another law. 

* * * * * * * 

§ 14303. øInternational¿ Tonnage Certificate ø(1969)¿ 

(a) After measuring a vessel under this chapter, the Secretary 

shall issue, on request of the owner, an International Tonnage Certificate (1969) and deliver it to the owner or master of the vessel. 

For a vessel to which the Convention does not apply, the Secretary 

shall prescribe a certificate to be issued as evidence of a vessel’s 

measurement under this chapter. 

(b) The certificate issued under this section shall be maintained 

as required by the Secretary. 

* * * * * * * 

§ 14305. Optional regulatory measurement 

(a) On request of the owner of a ødocumented vessel measured 

under this chapter,¿ vessel measured under this chapter that is of 

United States registry or nationality, or a vessel operated under the 

authority of the United States, the Secretary also shall measure the 

vessel under chapter 145 of this title. The tonnages determined 

under that chapter shall be used in applying—

(1) * * * 

* * * * * * * 

CHAPTER 145—REGULATORY MEASUREMENT 

SUBCHAPTER I—GENERAL 

Sec. 

14501. Application. 

* * * * * * * 

SUBCHAPTER II—FORMAL SYSTEMS 

14511. Application. 

* * * * * * * 

14514. Reciprocity for foreign vessels. 

* * * * * * * 

SUBCHAPTER I—GENERAL 

§ 14501. Application 

This chapter applies to the following: 


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ø(1) a vessel not measured under chapter 143 of this title 

if— ø(A) the vessel is to be documented under chapter 121 

of this title; or 

ø(B) the application of a law of the United States to the 

vessel depends on the vessel’s tonnage.¿ 

(1) A vessel not measured under chapter 143 of this title if the 

application of an international agreement or other law of the 

United States to the vessel depends on the vessel’s tonnage. 

(2) øa vessel¿ A vessel measured under chapter 143 of this 

title if the owner requests that the vessel also be measured 

under this chapter as provided in section 14305 of this title. 

* * * * * * * 

§ 14503. Certificate of measurement 

(a) The Secretary shall prescribe the certificate to be issued as 

evidence of a vessel’s measurement under this chapter. 

(b) The certificate shall be maintained as required by the Secretary. 

* * * * * * * 

SUBCHAPTER II—FORMAL SYSTEMS 

* * * * * * * 

§ 14513. Dual tonnage measurement 

(a) * * * 

* * * * * * * 

(c)(1) If a øvessel’s tonnage mark is below the uppermost part of 

the load line marks,¿ vessel is assigned two sets of gross and net 

tonnages under this section, each certificate stating the vessel’s tonnages shall state the gross and net tonnages when the vessel’s tonnage mark is submerged and when it is not submerged. 

(2) Except as provided in paragraph (1) of this subsection, a certificate stating a vessel’s tonnages may state only one set of gross 

and net tonnagesø.¿ as assigned under this section. 

§ 14514. Reciprocity for foreign vessels 

For a foreign vessel not measured under chapter 143, if the Secretary finds that the laws and regulations of a foreign country related to measurement of vessels are substantially similar to those of 

this chapter and the regulations prescribed under this chapter, the 

Secretary may accept the measurement and certificate of a vessel of 

that foreign country as complying with this chapter and the regulations prescribed under this chapter. 

* * * * * * * 

Subtitle VII—Security and Drug Enforcement 

Chapter Sec.

701. Port Security ............................................................................................ 70101 

* * * * * * * 

707. Maritime Law Enforcement ................................................................... 70701 


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CHAPTER 701—PORT SECURITY 

Sec. 

70101. Definitions. 

* * * * * * * 

ø70110. Actions and assistance for foreign ports and United States territories.¿ 

70110. Actions and assistance for foreign ports or facilities and United States territories. 

* * * * * * * 

ø70117. Firearms, arrests, and seizure of property.¿ 

* * * * * * * 

§ 70105. Transportation security cards 

(a) * * * 

* * * * * * * 

(c) DETERMINATION OF TERRORISM SECURITY RISK.—

(1) * * * 

* * * * * * * 

(3) DENIAL OF WAIVER REVIEW.—

(A) * * * 

* * * * * * * 

(C) CLASSIFIED EVIDENCE.—The Secretary, in consultation with the øNational Intelligence Director¿ Director of 

National Intelligence, shall issue regulations to establish 

procedures by which the Secretary, as part of a review conducted under this paragraph, may provide to the individual adversely affected by the determination an unclassified summary of classified evidence upon which the denial 

of a waiver by the Secretary was based. 

* * * * * * * 

§ 70106. Maritime safety and security teams 

(a) * * * 

* * * * * * * 

ø(c) COORDINATION WITH OTHER AGENCIES.—To the maximum 

extent feasible, each maritime safety and security team shall coordinate its activities with other Federal, State, and local law enforcement and emergency response agencies.¿ 

(c) MARITIME SECURITY RESPONSE TEAMS.— (1) IN GENERAL.—In addition to the maritime safety and security teams, the Secretary shall establish no less than two 

maritime security response teams to act as the Coast Guard’s 

rapidly deployable counterterrorism and law enforcement response units that can apply advanced interdiction skills in response to threats of maritime terrorism. 

(2) MINIMIZATION OF RESPONSE TIME.—The maritime security 

response teams shall be stationed in such a way to minimize, 

to the extent practicable, the response time to any reported maritime terrorist threat. 

(d) COORDINATION WITH OTHER AGENCIES.—To the maximum extent feasible, each maritime safety and security team and maritime 

security response team shall coordinate its activities with other FedVerDate Aug 31 2005 05:59 Oct 31, 2007 Jkt 069006 PO 00000 Frm 00041 Fmt 6659 Sfmt 6603 E:\HR\OC\HR338P3.XXX HR338P3

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eral, State, and local law enforcement and emergency response 

agencies. 

* * * * * * * 

§ 70110. Actions and assistance for foreign ports or facilities 

and United States territories 

(a) IN GENERAL.—If the Secretary finds that a foreign port or facility does not maintain effective antiterrorism measures, the Secretary—

(1) may prescribe conditions of entry into the United States 

for any vessel arriving from that port or facility, or any vessel 

carrying cargo or passengers originating from or transshipped 

through that port or facility; 

(2) may deny entry into the United States to any vessel that 

does not meet such conditions; and 

(3) shall provide public notice for passengers of the ineffective antiterrorism measures. 

(b) EFFECTIVE DATE FOR SANCTIONS.—Any action taken by the 

Secretary under subsection (a) for a particular port or facility shall 

take effect—

(1) 90 days after the government of the foreign country with 

jurisdiction over or control of that port or facility is notified 

under section 70109 unless the Secretary finds that the government has brought the antiterrorism measures at the port or 

facility up to the security level the Secretary used in making 

an assessment under section 70108 before the end of that 90- 

day period; or 

(2) immediately upon the finding of the Secretary under subsection (a) if the Secretary finds, after consulting with the Secretary of State, that a condition exists that threatens the safety or security of passengers, vessels, or crew traveling to or 

from the port or facility. 

(c) STATE DEPARTMENT TO BE NOTIFIED.—The Secretary immediately shall notify the Secretary of State of a finding that a port 

or facility does not maintain effective antiterrorism measures. 

(d) ACTION CANCELED.—An action required under this section is 

no longer required if the Secretary decides that effective 

antiterrorism measures are maintained at the port or facility. 

(e) ASSISTANCE FOR FOREIGN øPORTS¿ PORTS, FACILITIES, AND

UNITED STATES TERRITORIES.— (1) IN GENERAL.—The Secretary, in consultation with the 

Secretary of Transportation, the Secretary of State, and the 

Secretary of Energy, shall identify assistance programs that 

could facilitate implementation of port or facility security 

antiterrorism measures in foreign countries and territories of 

the United States. øThe Secretary shall establish a program to 

utilize the programs that are capable of implementing port security antiterrorism measures at ports in foreign countries and 

territories of the United States that the Secretary finds to lack 

effective antiterrorism measures.¿ The Secretary shall establish 

a strategic plan to utilize those assistance programs to assist 

ports and facilities that are found by the Secretary under subsection (a) not to maintain effective antiterrorism measures in 

the implementation of port security antiterrorism measures. 


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(2) CARIBBEAN BASIN.—The Secretary, in coordination with 

the Secretary of State and in consultation with the Organization of American States and the Commandant of the Coast 

Guard, shall place particular emphasis on utilizing programs 

to facilitate the implementation of port or facility security 

antiterrorism measures at the ports located in the Caribbean 

Basin, as such ports pose unique security and safety threats to 

the United States due to— (A) * * * 

* * * * * * * 

(f) COAST GUARD ASSISTANCE PROGRAM.—

(1) IN GENERAL.—The Secretary may lend, lease, donate, or 

otherwise provide equipment, and provide technical training 

and support, to the owner or operator of a foreign port or facility—

(A) to assist in bringing the port or facility into compliance with applicable International Ship and Port Facility 

Code standards; 

(B) to assist the port or facility in meeting standards established under section 70109A of this chapter; and 

(C) to assist the port or facility in exceeding the standards described in subparagraphs (A) and (B). 

(2) CONDITIONS.—The Secretary—

(A) shall provide such assistance based upon an assessment of the risks to the security of the United States and 

the inability of the owner or operator of the port or facility 

otherwise to bring the port or facility into compliance with 

those standards and to maintain compliance with them; 

(B) may not provide such assistance unless the port or facility has been subjected to a comprehensive port security 

assessment by the Coast Guard or a third party entity certified by the Secretary under section 70110A(b) to validate 

foreign port or facility compliance with International Ship 

and Port Facility Code standards; and 

(C) may only lend, lease, or otherwise provide equipment 

that the Secretary has first determined is not required by 

the Coast Guard for the performance of its missions. 

* * * * * * * 

ø§ 70117. Firearms, arrests, and seizure of property 

øSubject to guidelines approved by the Secretary, members of the 

Coast Guard may, in the performance of official duties—

ø(1) carry a firearm; and 

ø(2) while at a facility—

ø(A) make an arrest without warrant for any offense 

against the United States committed in their presence; 

and 

ø(B) seize property as otherwise provided by law.¿ 

* * * * * * * 

CHAPTER 705—MARITIME DRUG LAW ENFORCEMENT 

* * * * * * * 


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§ 70506. Penalties 

(a) * * * 

* * * * * * * 

(c) SIMPLE POSSESSION.—

(1) IN GENERAL.—Any individual on a vessel subject to the jurisdiction of the United States who is found by the Secretary, 

after notice and an opportunity for a hearing, to have knowingly or intentionally possessed a controlled substance within 

the meaning of the Controlled Substances Act (21 U.S.C. 812) 

shall be liable to the United States for a civil penalty of not to 

exceed $10,000 for each violation. The Secretary shall notify the 

individual in writing of the amount of the civil penalty. 

(2) DETERMINATION OF AMOUNT.—In determining the amount 

of the penalty, the Secretary shall consider the nature, circumstances, extent, and gravity of the prohibited acts committed and, with respect to the violator, the degree of culpability, any history of prior offenses, ability to pay, and other 

matters that justice requires. 

(3) TREATMENT OF CIVIL PENALTY ASSESSMENT.—Assessment 

of a civil penalty under this subsection shall not be considered 

a conviction for purposes of State or Federal law but may be 

considered proof of possession if such a determination is relevant. 

* * * * * * * 

Subtitle VIII—Miscellaneous 

* * * * * * * 

CHAPTER 801—WRECKS AND SALVAGE 

Sec. 

80101. Vessel stranded on foreign coast. 

ø80102. License to salvage on Florida coast.¿ 

* * * * * * * 

ø§ 80102. License to salvage on Florida coast 

ø(a) LICENSING REQUIREMENTS.—To be regularly employed in the 

business of salvaging on the coast of Florida, a vessel and its master each must have a license issued by a judge of the district court 

of the United States for a judicial district of Florida. 

ø(b) JUDICIAL FINDINGS.—Before issuing a license under this section, the judge must be satisfied, when the license is for—

ø(1) a vessel, that the vessel is seaworthy and properly 

equipped for the business of saving property shipwrecked and 

in distress; or 

ø(2) a master, that the master is trustworthy and innocent 

of any fraud or misconduct related to property shipwrecked or 

saved on the coast.¿ 

* * * * * * * 


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AMERICAN FISHERIES ACT 

TITLE II—FISHERIES 

Subtitle I—Fishery Endorsements 

* * * * * * * 

SEC. 203. ENFORCEMENT OF STANDARD. 

(a) * * * 

* * * * * * * 

(g) CERTAIN VESSELS.—The vessels EXCELLENCE (United 

States official number 967502), GOLDEN ALASKA (United States 

official number 651041) and, OCEAN PHOENIX (United States official number 296779)ø, NORTHERN TRAVELER (United States 

official number 635986), and NORTHERN VOYAGER (United 

States official number 637398) (or a replacement vessel for the 

NORTHERN VOYAGER that complies with paragraphs (2), (5), 

and (6) of section 208(g) of this Act)¿ shall be exempt from section 

12102(c), as amended by this Act, until such time after October 1, 

2001 as more than 50 percent of the interest owned and controlled 

in the vessel changes, provided that the vessel maintains eligibility 

for a fishery endorsement under the federal law that was in effect 

the day before the date of the enactment of this Act, and unlessø, in the case of the NORTHERN TRAVELER or the NORTHERN 

VOYAGER (or such replacement), the vessel is used in any fishery 

under the authority of a regional fishery management council other 

than the New England Fishery Management Council or Mid-Atlantic Fishery Management Council established, respectively, under 

subparagraphs (A) and (B) of section 302(a)(1) of the MagnusonStevens Fishery Conservation and Management Act (16 U.S.C. 

1852(a)(1) (A) and (B)), or in the case of the EXCELLENCE, 

GOLDEN ALASKA, or OCEAN PHOENIX,¿ the vessel is used to 

harvest any fish. 

* * * * * * * 

Subtitle II—Bering Sea Pollock Fishery 

* * * * * * * 

SEC. 208. ELIGIBLE VESSELS AND PROCESSORS. 

(a) * * * 

* * * * * * * 

ø(g) REPLACEMENT VESSELS.—In the event of the actual total loss 

or constructive total loss of a vessel eligible under subsections (a), 

(b), (c), (d), or (e), the owner of such vessel may replace such vessel 

with a vessel which shall be eligible in the same manner under 

that subsection as the eligible vessel, provided that—

ø(1) such loss was caused by an act of God, an act of war, 

a collision, an act or omission of a party other than the owner 

or agent of the vessel, or any other event not caused by the 

willful misconduct of the owner or agent; 


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ø(2) the replacement vessel was built in the United States 

and if ever rebuilt, was rebuilt in the United States; 

ø(3) the fishery endorsement for the replacement vessel is 

issued within 36 months of the end of the last year in which 

the eligible vessel harvested or processed pollock in the directed pollock fishery; 

ø(4) if the eligible vessel is greater than 165 feet in registered length, of more than 750 gross registered tons (as 

measured under chapter 145 of title 46) or 1,900 gross registered tons as measured under chapter 143 of that title), or 

has engines capable of producing more than 3,000 shaft horsepower, the replacement vessel is of the same or lesser registered length, gross registered tons, and shaft horsepower; 

ø(5) if the eligible vessel is less than 165 feet in registered 

length, of fewer than 750 gross registered tons, and has engines incapable of producing less than 3,000 shaft horsepower, 

the replacement vessel is less than each of such thresholds and 

does not exceed by more than 10 percent the registered length, 

gross registered tons or shaft horsepower of the eligible vessel; 

and 

ø(6) the replacement vessel otherwise qualifies under federal 

law for a fishery endorsement, including under section 12102(c) 

of title 46, United States Code, as amended by this Act.¿ 

(g) VESSEL REBUILDING AND REPLACEMENT.— (1) IN GENERAL.— (A) REBUILD OR REPLACE.—Notwithstanding any limitation to the contrary on replacing, rebuilding, or lengthening 

vessels or transferring permits or licenses to a replacement 

vessel contained in sections 679.2 and 679.4 of title 50, 

Code of Federal Regulations, as in effect on the date of enactment of the Coast Guard Authorization Act of 2007 and 

except as provided in paragraph (4), the owner of a vessel 

eligible under subsection (a), (b), (c), (d), or (e) (other than 

paragraph (21)), in order to improve vessel safety and operational efficiencies (including fuel efficiency), may rebuild 

or replace that vessel (including fuel efficiency) with a vessel documented with a fishery endorsement under section 

12113 of title 46, United States Code. 

(B) SAME REQUIREMENTS.—The rebuilt or replacement 

vessel shall be eligible in the same manner and subject to 

the same restrictions and limitations under such subsection 

as the vessel being rebuilt or replaced. 

(C) TRANSFER OF PERMITS AND LICENSES.—Each fishing 

permit and license held by the owner of a vessel or vessels 

to be rebuilt or replaced under subparagraph (A) shall be 

transferred to the rebuilt or replacement vessel. 

(2) RECOMMENDATIONS OF NORTH PACIFIC COUNCIL.—The 

North Pacific Council may recommend for approval by the Secretary such conservation and management measures, including 

size limits and measures to control fishing capacity, in accordance with the Magnuson-Stevens Act as it considers necessary 

to ensure that this subsection does not diminish the effectiveness of fishery management plans of the Bering Sea and Aleutian Islands Management Area or the Gulf of Alaska. 

(3) SPECIAL RULE FOR REPLACEMENT OF CERTAIN VESSELS.—


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(A) IN GENERAL.—Notwithstanding the requirements of 

subsections (b)(2), (c)(1), and (c)(2) of section 12113 of title 

46, United States Code, a vessel that is eligible under subsection (a), (b), (c), (d), or (e) (other than paragraph (21)) 

and that qualifies to be documented with a fishery endorsement pursuant to section 203(g) or 213(g) may be replaced 

with a replacement vessel under paragraph (1) if the vessel 

that is replaced is validly documented with a fishery endorsement pursuant to section 203(g) or 213(g) before the 

replacement vessel is documented with a fishery endorsement under section 12113 of title 46, United States Code. 

(B) APPLICABILITY.—A replacement vessel under subparagraph (A) and its owner and mortgagee are subject to the 

same limitations under section 203(g) or 213(g) that are applicable to the vessel that has been replaced and its owner 

and mortgagee. 

(4) SPECIAL RULES FOR CERTAIN CATCHER VESSELS.—

(A) IN GENERAL.—A replacement for a covered vessel described in subparagraph (B) is prohibited from harvesting 

fish in any fishery (except for the Pacific whiting fishery) 

managed under the authority of any regional fishery management council (other than the North Pacific Council) established under section 302(a) of the Magnuson-Stevens 

Act. 

(B) COVERED VESSELS.—A covered vessel referred to in 

subparagraph (A) is— (i) a vessel eligible under subsection (a), (b), or (c) 

that is replaced under paragraph (1); or 

(ii) a vessel eligible under subsection (a), (b), or (c) 

that is rebuilt to increase its registered length, gross 

tonnage, or shaft horsepower. 

(5) LIMITATION ON FISHERY ENDORSEMENTS.—Any vessel that 

is replaced under this subsection shall thereafter not be eligible 

for a fishery endorsement under section 12113 of title 46, 

United States Code, unless that vessel is also a replacement vessel described in paragraph (1). 

(6) GULF OF ALASKA LIMITATION.—Notwithstanding paragraph (1), the Secretary shall prohibit from participation in the 

groundfish fisheries of the Gulf of Alaska any vessel that is rebuilt or replaced under this subsection and that exceeds the 

maximum length overall specified on the license that authorizes 

fishing for groundfish pursuant to the license limitation program under part 679 of title 50, Code of Federal Regulations, 

as in effect on the date of enactment of the Coast Guard Authorization Act of 2007. 

(7) AUTHORITY OF PACIFIC COUNCIL.—Nothing in this section 

shall be construed to diminish or otherwise affect the authority 

of the Pacific Council to recommend to the Secretary conservation and management measures to protect fisheries under its jurisdiction (including the Pacific whiting fishery) and participants in such fisheries from adverse impacts caused by this Act. 

* * * * * * * 

SEC. 210. FISHERY COOPERATIVE LIMITATIONS. 

(a) * * * 


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(b) CATCHER VESSELS ONSHORE.— (1) CATCHER VESSEL COOPERATIVES.—Effective January 1, 

2000, upon the filing of a contract implementing a fishery cooperative under subsection (a) which— (A) * * * 

* * * * * * * 

the Secretary shall allow only such catcher vessels (and catcher vessels whose owners voluntarily participate pursuant to 

paragraph (2)) to harvest the aggregate percentage of the directed fishing allowance under section 206(b)(1) in the year in 

which the fishery cooperative will be in effect that is equivalent to the aggregate total amount of pollock harvested by such 

catcher vessels (and by such catcher vessels whose owners voluntarily participate pursuant to paragraph (2)) in the directed 

pollock fishery for processing by the inshore component during 

1995, 1996, and 1997 relative to the aggregate total amount of 

pollock harvested in the directed pollock fishery for processing 

by the inshore component during such years and shall prevent 

such catcher vessels (and catcher vessels whose owners voluntarily participate pursuant to paragraph (2)) from harvesting 

in aggregate in excess of such percentage of such directed fishing allowance. 

* * * * * * * 

(7) FISHERY COOPERATIVE EXIT PROVISIONS.— (A) FISHING ALLOWANCE DETERMINATION.—For purposes 

of determining the aggregate percentage of directed fishing 

allowances under paragraph (1), when a catcher vessel is 

removed from the directed pollock fishery, the fishery allowance for pollock for the vessel being removed— (i) shall be based on the catch history determination 

for the vessel made pursuant to section 679.62 of title 

50, Code of Federal Regulations, as in effect on the 

date of enactment of the Coast Guard Authorization 

Act of 2007; and 

(ii) shall be assigned, for all purposes under this 

title, in the manner specified by the owner of the vessel 

being removed to any other catcher vessel or among 

other catcher vessels participating in the fishery cooperative if such vessel or vessels remain in the fishery cooperative for at least one year after the date on which 

the vessel being removed leaves the directed pollock 

fishery. 

(B) ELIGIBILITY FOR FISHERY ENDORSEMENT.—Except as 

provided in subparagraph (C), a vessel that is removed 

pursuant to this paragraph shall be permanently ineligible 

for a fishery endorsement, and any claim (including relating to catch history) associated with such vessel that could 

qualify any owner of such vessel for any permit to participate in any fishery within the exclusive economic zone of 

the United States shall be extinguished, unless such removed vessel is thereafter designated to replace a vessel to 

be removed pursuant to this paragraph. 

(C) LIMITATIONS ON STATUTORY CONSTRUCTION.—Nothing in this paragraph shall be construed—


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(i) to make the vessels AJ (United States official 

number 905625), DONA MARTITA (United States official number 651751), NORDIC EXPLORER (United 

States official number 678234), and PROVIDIAN 

(United States official number 1062183) ineligible for a 

fishery endorsement or any permit necessary to participate in any fishery under the authority of the New 

England Fishery Management Council or the Mid-Atlantic Fishery Management Council established, respectively, under subparagraphs (A) and (B) of section 

302(a)(1) of the Magnuson-Stevens Act; or 

(ii) to allow the vessels referred to in clause (i) to 

participate in any fishery under the authority of the 

Councils referred to in clause (i) in any manner that is 

not consistent with the fishery management plan for 

the fishery developed by the Councils under section 303 

of the Magnuson-Stevens Act. 

* * * * * * * 

SECTION 4 OF THE ACT OF JULY 5, 1884 

(Commonly known as the Rivers and Harbors Appropriation Act of 1884) 

SEC. 4. (a) * * * 

(b) No taxes, tolls, operating charges, fees, or any other impositions whatever shall be levied upon or collected from any vessel or 

other water craft, or from its passengers or crew, by any non-Federal interest, if the vessel or water craft is operating on any navigable waters subject to the authority of the United States, or under 

the right to freedom of navigation on those waters, except for—

(1) * * * 

(2) reasonable fees charged on a fair and equitable basis 

that—

(A) * * * 

* * * * * * * 

(C) do not impose more than a small burden on interstate or foreign commerce; øor¿ 

(3) property taxes on vessels or watercraft, other than vessels or watercraft that are primarily engaged in foreign commerce if those taxes are permissible under the United States 

Constitutionø.¿; or 

(4) sales taxes on goods and services provided to or by vessels 

or watercraft (other than vessels or watercraft primarily engaged in foreign commerce). 

SECTION 7 OF THE RIVERS AND HARBORS 

APPROPRIATIONS ACT OF 1915 

SEC. 7. øThat the¿ (a) IN GENERAL.—The Secretary of Homeland 

Security is hereby authorized, empowered, and directed to define 

and establish anchorage grounds for vessels in all harbors, rivers, 

bays, and other navigable waters of the United States whenever it 

is manifest to the said Secretary that the maritime or commercial 


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interests of the United States require such anchorage grounds for 

safe navigation and the establishment of such anchorage grounds 

shall have been recommended by the Chief of Engineers, and to 

adopt suitable rules and regulations in relation thereto; and such 

rules and regulations shall be enforced by the Revenue-Cutter 

Service under the direction of the Secretary of the Treasury: Provided, That at ports or places where there is no revenue cutter 

available such rules and regulations may be enforced by the Chief 

of Engineers under the direction of the Secretary of Homeland Security. In the event of the violation of any such rules and regulations by the owner, master, or person in charge of any vessel, such 

owner, master, or person in charge of such vessel shall be liable to 

a penalty of ø$100; and the¿ up to $10,000. Each day during which 

a violation continues shall constitute a separate violation. The said 

vessel may be holden for the payment of such penalty, and may be 

seized and proceeded against summarily by libel for the recovery 

of the same in any United States district court for the district within which such vessel may be and in the name of the officer designated by the Secretary of Homeland Security. 

(b) DEFINITION.—As used in this section ‘‘navigable waters of the 

United States’’ includes all waters of the territorial sea of the United 

States as described in Presidential Proclamation No. 5928 of December 27, 1988. 

OIL POLLUTION ACT OF 1990 

* * * * * * * 

SEC. 2. TABLE OF CONTENTS. 

The contents of this Act are as follows: 

* * * * * * * 

TITLE VII—OIL POLLUTION RESEARCH AND DEVELOPMENT PROGRAM 

Sec. 7001. Oil pollution research and development program. 

Sec. 7002. Submerged oil program. 

* * * * * * * 

TITLE I—OIL POLLUTION LIABILITY 

AND COMPENSATION 

* * * * * * * 

SEC. 1004. LIMITS ON LIABILITY. 

(a) GENERAL RULE.—Except as otherwise provided in this section, the total of the liability of a responsible party under section 

1002 and any removal costs incurred by, or on behalf of, the responsible party, with respect to each incident shall not exceed—

(1) * * * 

(2) for any other vessel, $950 per gross ton or $800,000ø,¿, 

whichever is greater; 

* * * * * * * 

(d) ADJUSTING LIMITS OF LIABILITY.—

(1) * * * 

(2) DEEPWATER PORTS AND ASSOCIATED VESSELS.—


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(A) * * * 

* * * * * * * 

(D) The Secretary may establish, by regulation, a limit of 

liability of not less than $12,000,000 for a deepwater port 

used only in connection with transportation of natural gas. 

* * * * * * * 

SEC. 1012. USES OF THE FUND. 

(a) * * * 

* * * * * * * 

(h) PERIOD OF LIMITATIONS FOR CLAIMS.— (1) REMOVAL COSTS.—No claim may be presented under this 

title for recovery of removal costs for an incident unless the 

claim is presented within ø6¿ 3 years after the date of completion of all removal actions for that incident. 

* * * * * * * 

COAST GUARD AUTHORIZATION ACT OF 1996 

* * * * * * * 

SEC. 2. TABLE OF CONTENTS. 

The table of contents for this Act is as follows: 

Sec. 1. Short title. 

* * * * * * * 

Sec. 103. Quarterly øreports¿ report on drug interdiction. 

* * * * * * * 

TITLE XI—MISCELLANEOUS 

* * * * * * * 

SEC. 1120. DOCUMENTATION OF CERTAIN VESSELS. 

(a) * * * 

* * * * * * * 

(c) CERTIFICATES OF DOCUMENTATION FOR GALLANT LADY.—

(1) IN GENERAL.—Notwithstanding section 27 of the Merchant Marine Act, 1920 (46 App. U.S.C. 883), section 8 of the 

Act of June 19, 1886 (24 Stat. 81, chapter 421; 46 App. U.S.C. 

289), and section 12106 of title 46, United States Code, and 

subject to paragraph (2), the Secretary øof Transportation¿ of 

the department in which the Coast Guard is operating may 

issue a certificate of documentation with an appropriate endorsement for employment in coastwise trade for each of the 

following vessels: 

ø(A) GALLANT LADY (Feadship hull number 645, approximately 130 feet in length).¿ 

(A) the vessel GALLANT LADY (Feadship hull number 

672, approximately 168 feet in length). 

* * * * * * * 

ø(3) CONDITION.—The Secretary may not issue a certificate 

of documentation for a vessel under paragraph (1) unless, not 


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later than 90 days after the date of enactment of this Act, the 

owner of the vessel referred to in paragraph (1)(B) submits to 

the Secretary a letter expressing the intent of the owner to, before April 1, 1998, enter into a contract for the construction in 

the United States of a passenger vessel of at least 130 feet in 

length. 

ø(4) EFFECTIVE DATE OF CERTIFICATES.—A certificate of documentation issued under paragraph (1) shall take effect—

ø(A) for the vessel referred to in paragraph (1)(A), on the 

date of the issuance of the certificate; and 

ø(B) for the vessel referred to in paragraph (1)(B), on the 

date of delivery of the vessel to the owner.¿ 

ø(5)¿ (3) TERMINATION OF EFFECTIVENESS OF CERTIFICATES.—

A certificate of documentation issued for a vessel under paragraph (1) shall expireø—

ø(A) on the date of the sale of the vessel by the owner; 

ø(B) on April 1, 1998, if the owner of the vessel referred 

to in paragraph (1)(B) has not entered into a contract for 

construction of a vessel in accordance with the letter of intent submitted to the Secretary under paragraph (3); or 

ø(C) on such date as a contract referred to in paragraph 

(2) is breached, rescinded, or terminated (other than for 

completion of performance of the contract) by the owner of 

the vessel referred to in paragraph (1)(B).¿ on the date of 

the sale of the vessel by the owner. 

* * * * * * * 

COAST GUARD AND MARITIME TRANSPORTATION ACT 

OF 2006 

* * * * * * * 

TITLE III—SHIPPING AND NAVIGATION 

* * * * * * * 

SEC. 311. INTERNATIONAL TONNAGE MEASUREMENT OF VESSELS ENGAGED IN THE ALEUTIAN TRADE. 

(a) * * * 

(b) OTHER INSPECTION EXEMPTION AND WATCH REQUIREMENT.—

Paragraphs (3)(B) and (4) of section 3302(c) of title 46, United 

States Code, and paragraphs (1) and (2) of section 8104(o) of that 

title are each amended by striking ‘‘or an alternate tonnage measured under section 14302 of this title as prescribed by the Secretary under section 14104 of this title’’ and inserting ‘‘or less than 

500 gross tons as measured under section 14502 of this title, or is 

less than 2,500 gross tons as measured under section 14302 of this 

title’’. 

* * * * * * * 


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TITLE VI—DELAWARE RIVER PROTECTION AND MISCELLANEOUS OIL PROVISIONS 

* * * * * * * 

SEC. 603. LIMITS ON LIABILITY. 

(a) ADJUSTMENT OF LIABILITY LIMITS.— (1) * * * 

(2) OTHER VESSELS.—Section 1004(a)(2) of such Act (ø33 

U.S.C. 2794(a)(2)¿ 33 U.S.C. 2704(a)(2)) is amended— (A) * * * 

* * * * * * * 

TITLE IX—TECHNICAL CORRECTIONS 

SEC. 901. MISCELLANEOUS TECHNICAL CORRECTIONS. 

(a) * * * 

* * * * * * * 

(r) CORRECTIONS TO DINGELL-JOHNSON SPORT FISH RESTORATION

ACT.—

(1) * * * 

(2) SECTION 14.—Section 14(a)(1) of the Dingell-Johnson 

Sport Fish Restoration Act (16 U.S.C. 777m(a)(1)) is amended 

by striking ‘‘For each of øthe¿ fiscal years 2006 through 2009, 

not more than’’ and inserting ‘‘Not more than’’. 

SEC. 902. CORRECTION OF REFERENCES TO SECRETARY OF TRANSPORTATION AND DEPARTMENT OF TRANSPORTATION; RELATED MATTERS. 

(a) * * * 

* * * * * * * 

(c) PUBLIC CONTRACTS.—Section 3732 of the Revised Statutes of 

the United States (41 U.S.C. 11) is amended by striking ‘‘of Transportation’’ each place it appears and inserting ‘‘of Homeland Security’’. 

* * * * * * * 

(e) SHIPPING.—Title 46, United State Code, is amended—

(1) in section 2109 by striking ‘‘a Coast Guard or’’; and 

(2) in section 6308—

(A) by redesignating subsections (b) and (c) as subsections (c) and (d), respectively; øand¿ 

* * * * * * * 

ø(3)¿ (C) in subsection (c), as redesignated by this øsection¿ paragraph, by striking ‘‘subsection (a)’’ and inserting 

‘‘subsections (a) and (b)’’; and 

ø(4)¿ (D) in subsection (d), as redesignated by this øsection¿ paragraph, by striking ‘‘subsections (a) and (b)’’ and 

inserting ‘‘subsections (a), (b), and (c)’’. 

* * * * * * * 

(h) CONSERVATION.—


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(1) SECTION 1029.—Section 1029(e)(2)(B) of the øBisti/De-NaZin Wilderness Expansion and Fossil Protection¿ Omnibus 

Parks and Public Lands Management Act of 1996 (16 U.S.C. 

460kkk(e)(2)(B)) is amended by striking ‘‘Secretary of Transportation, to represent the United States Coast Guard.’’ and inserting ‘‘Commandant of the Coast Guard.’’. 

* * * * * * * 

(k) BRIDGES.—Section 4 of the Act of March 23, 1906, commonly 

known as the General Bridge Act of 1906 (33 U.S.C. ø491)¿ 494), 

is amended by striking ‘‘of Transportation’’ each place it appears 

and inserting ‘‘of Homeland Security’’. 

* * * * * * * 

(o) MERCHANT MARINE ACT, 1920.—Section 27 of the Merchant 

Marine Act, 1920 (46 U.S.C. App. 883) is amended in the matter 

following the ninth proviso (pertaining to transportation of a foreign-flag incineration vessel) by striking ‘‘Satisfactory inspection 

shall be certified in writing by the Secretary of Transportation’’ and 

inserting ‘‘Satisfactory inspection shall be certified, in writing, by 

the Secretary of Homeland Securityø.¿’’. 

* * * * * * * 

DEEPWATER PORT ACT OF 1974 

* * * * * * * 

PROCEDURE

SEC. 5. (a) * * * 

* * * * * * * 

(c)(1) * * * 

(2) Each application shall include such financial, technical, and 

other information as the Secretary deems necessary or appropriate. 

Such information shall include, but need not be limited to— (A) * * * 

* * * * * * * 

(K) the nation of registry for, and the nationality or citizenship of officers and crew serving on board, vessels transporting 

natural gas that are reasonably anticipated to be servicing the 

deepwater port; 

* * * * * * * 

ACT OF OCTOBER 13, 2006 

(Public Law 109–347) 

AN ACT To improve maritime and cargo security through enhanced layered 

defenses, and for other purposes. 

* * * * * * * 


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TITLE VII—OTHER MATTERS 

* * * * * * * 

SEC. 705. PHASEOUT OF VESSELS SUPPORTING OIL AND GAS DEVELOPMENT. 

(a) IN GENERAL.—Notwithstanding section 12105(c) of title 46, 

United States Code, a foreign-flag vessel may be chartered by, or 

on behalf of, a lessee to be employed for the setting, relocation, or 

recovery of anchors or other mooring equipment of a mobile offshore drilling unit that is located over the Outer Continental Shelf 

(as defined in section 2(a) of the Outer Continental Shelf Lands Act 

(43 U.S.C. 1331(a)) for operations in support of exploration, or flowtesting and stimulation of wells, for offshore mineral or energy resources in the Beaufort Sea or the Chukchi Sea adjacent to Alaska—

(1) * * * 

(2) for an additional ø2¿ 3-year period beginning January 1, 

2010, if the Secretary of Transportation determines —

(A) * * * 

* * * * * * * 

NONINDIGENOUS AQUATIC NUISANCE PREVENTION 

AND CONTROL ACT OF 1990 

TITLE I—AQUATIC NUISANCE 

PREVENTION AND CONTROL 

Subtitle A—General Provisions 

* * * * * * * 

SEC. 1002. FINDINGS AND PURPOSES. 

(a) * * * 

(b) DECLARATION OF GOALS AND PURPOSES.—The objective of this 

Act is to eliminate the threat and impacts of nonindigenous aquatic 

nuisance species in the waters of the United States. In order to 

achieve this objective, it is declared that, consistent with the provisions of this Act—

(1) it is the national goal that ballast water discharged into 

the waters of the United States will contain no living (viable) 

organisms by the year 2015; 

(2) it is the national policy that the introduction of nonindigenous aquatic nuisance species in the waters of the United States 

be prohibited; and 

(3) it is the national policy that Federal, State, and local governments and the private sector identify the most effective ways 

to coordinate prevention efforts, and harmonize environmentally 

sound methods to prevent, detect, monitor, and control nonindigenous aquatic nuisance species, in an expeditious manner. 

ø(b)¿ (c) PURPOSES.—The purposes of this Act are—

(1) to øprevent¿ eliminate unintentional introduction and 

dispersal of nonindigenous species into waters of the United 


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States through ballast water treatment management and other 

requirements; 

(2) to coordinate federally conducted, funded or authorized 

research, prevention, detection, monitoring, control, information dissemination and other activities regarding øthe zebra 

mussel and other¿ aquatic nuisance species; 

(3) to develop and carry out environmentally sound control 

methods to prevent, detect, monitor and control unintentional 

introductions of nonindigenous species øfrom pathways other 

than ballast water exchange¿; 

(4) to understand and minimize economic and ecological impacts of nonindigenous aquatic nuisance species that become 

establishedø, including the zebra mussel¿; and 

(5) to establish a program of research and technology development and assistance to States in the prevention, management, and removal of øzebra mussels¿ aquatic nuisance species. 

SEC. 1003. DEFINITIONS. 

As used in this Act, the term— (1) ‘‘Administrator’’ means the Administrator of the Environmental Protection Agency; 

ø(1)¿ (2) ‘‘aquatic nuisance species’’ means a nonindigenous 

species that threatens the diversity or abundance of native species or the ecological stability of infested waters, or commercial, agricultural, aquacultural or recreational activities dependent on such waters; 

ø(2)¿ (3) ‘‘Assistant Secretary’’ means the Assistant Secretary of the Army (Civil Works); 

ø(3) ‘‘ballast water’’ means any water and associated sediments used to manipulate the trim and stability of a vessel;¿ 

(4) ‘‘ballast water’’ means— (A) water taken on board a vessel to control trim, list, 

draught, stability, or stresses of the vessel, including matter 

suspended in such water; or 

(B) any water placed into a ballast tank during cleaning, 

maintenance, or other operations; 

(5) ‘‘ballast water capacity’’ means the total volumetric capacity of any tanks, spaces, or compartments on a vessel that is 

used for carrying, loading, or discharging ballast water, including any multi-use tank, space, or compartment designed to 

allow carriage of ballast water; 

(6) ‘‘ballast water management’’ means mechanical, physical, 

chemical, and biological processes used, either singularly or in 

combination, to remove, render harmless, or avoid the uptake or 

discharge of harmful aquatic organisms and pathogens within 

ballast water and sediment; 

(7) ‘‘constructed’’ means a state of construction of a vessel at 

which—

(A) the keel is laid; 

(B) construction identifiable with the specific vessel begins; 

(C) assembly of the vessel has begun comprising at least 

50 tons or 1 percent of the estimated mass of all structural 

material of the vessel, whichever is less; or 

(D) the vessel undergoes a major conversion; 


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ø(4)¿ (8) ‘‘Director’’ means the Director of the United States 

Fish and Wildlife Service; 

ø(5)¿ (9) ‘‘exclusive economic zone’’ means the Exclusive Economic Zone of the United States established by Proclamation 

Number 5030, dated March 10, 1983, and the equivalent zone 

of Canada; 

ø(6)¿ (10) ‘‘environmentally sound’’ methods, efforts, actions 

or programs means methods, efforts, actions or programs to 

prevent introductions or control infestations of aquatic nuisance species that minimize adverse impacts to the structure 

and function of an ecosystem and adverse effects on non-target 

organisms and ecosystems and emphasize integrated pest management techniques and nonchemical measures; 

(11) ‘‘foreign vessel’’ has the meaning such term has under 

section 110 of title 46, United States Code; 

ø(7)¿ (12) ‘‘Great Lakes’’ means Lake Ontario, Lake Erie, 

Lake Huron (including Lake St. Clair), Lake Michigan, Lake 

Superior, and the connecting channels (Saint Mary’s River, 

Saint Clair River, Detroit River, Niagara River, and Saint 

Lawrence River to the Canandian Border), and includes all 

other bodies of water within the drainage basin of such lakes 

and connecting channelsø.¿; 

ø(8)¿ (13) ‘‘Great Lakes region’’ means the 8 States that border on the Great Lakes; 

ø(9)¿ (14) ‘‘Indian tribe’’ means any Indian tribe, band, nation, or other organized group or community, including any 

Alaska Native village or regional corporation (as defined in or 

established pursuant to the Alaska Native Claims Settlement 

Act (43 U.S.C. 1601 et seq.)) that is recognized as eligible for 

the special programs and services provided by the United 

States to Indians because of their status as Indians; 

ø(10)¿ (15) ‘‘interstate organization’’ means an entity— (A) * * * 

* * * * * * * 

(16) ‘‘major conversion’’ means a conversion of a vessel, that— (A) changes its ballast water carrying capacity by at least 

15 percent; 

(B) changes the vessel class; 

(C) is projected to prolong the vessel’s life by at least 10 

years (as determined by the Secretary); or 

(D) results in modifications to the vessel’s ballast water 

system, except— (i) component replacement-in-kind; or 

(ii) conversion of a vessel to meet the requirements of 

section 1101(e); 

ø(11)¿ (17) ‘‘nonindigenous species’’ means any species or 

other viable biological material that enters an ecosystem beyond its historic range, including any such organism transferred from one country into another; 

ø(12)¿ (18) ‘‘Secretary’’ means the Secretary of the department in which the Coast Guard is operating; 

(19) ‘‘sediment’’ means matter that has settled out of ballast 

water within a vessel; 

ø(13)¿ (20) ‘‘Task Force’’ means the Aquatic Nuisance Species 

Task Force established under section 1201 of this Act; 


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ø(14)¿ (21) ‘‘territorial sea’’ means the belt of the sea measured from the baseline of the United States determined in accordance with international law, as set forth in Presidential 

Proclamation Number 5928, dated December 27, 1988; 

ø(15)¿ (22) ‘‘Under Secretary’’ means the Under Secretary of 

Commerce for Oceans and Atmosphere; 

ø(17)¿ (23) ‘‘unintentional introduction’’ means an introduction of nonindigenous species that occurs as the result of activities other than the purposeful or intentional introduction of the 

species involved, such as the transport of nonindigenous species in ballast or in water used to transport fish, mollusks or 

crustaceans for aquaculture or other purposesø.¿; 

(24) ‘‘United States port’’ means a port, river, harbor, or offshore terminal under the jurisdiction of the United States, including ports located in Puerto Rico, Guam, and the United 

States Virgin Islands; 

(25) ‘‘vessel of the Armed Forces’’ means—

(A) any vessel owned or operated by the Department of 

Defense, other than a time or voyage chartered vessel; and 

(B) any vessel owned or operated by the Department of 

Homeland Security that is designated by the Secretary as 

a vessel equivalent to a vessel described in subparagraph 

(A); 

(26) ‘‘vessel of the United States’’ has the meaning such term 

has under section 116 of title 46, United States Code; 

ø(16)¿ (27) ‘‘waters of the United States’’ means the navigable waters and the territorial sea of the United States; and 

(28) ‘‘waters subject to the jurisdiction of the United States’’

means navigable waters and the territorial sea of the United 

States, the exclusive economic zone, and the Great Lakes. 

Subtitle B—Prevention of Unintentional 

Introductions of Nonindigenous Aquatic 

Species 

øSEC. 1101. AQUATIC NUISANCE SPECIES IN WATERS OF THE UNITED 

STATES. 

ø(a) GREAT LAKES GUIDELINES.—

ø(1) IN GENERAL.—Not later than 6 months after the date of 

enactment of this Act, the Secretary shall issue voluntary 

guidelines to prevent the introduction and spread of aquatic 

nuisance species into the Great Lakes through the exchange of 

ballast water of vessels prior to entering those waters. 

ø(2) CONTENT OF GUIDELINES.—The guidelines issued under 

this subsection shall—

ø(A) ensure to the maximum extent practicable that ballast water containing aquatic nuisance species is not discharged into the Great Lakes; 

ø(B) protect the safety of—

ø(i) each vessel; and 

ø(ii) the crew and passengers of each vessel; 

ø(C) take into consideration different vessel operating 

conditions; and 


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ø(D) be based on the best scientific information available. 

ø(b) REGULATIONS.— ø(1) IN GENERAL.—Not later than 2 years after the date of 

enactment of this Act, the Secretary, in consultation with the 

Task Force, shall issue regulations to prevent the introduction 

and spread of aquatic nuisance species into the Great Lakes 

through the ballast water of vessels. 

ø(2) CONTENT OF REGULATIONS.—The regulations issued 

under this subsection shall— ø(A) apply to all vessels equipped with ballast water 

tanks that enter a United States port on the Great Lakes 

after operating on the waters beyond the exclusive economic zone; 

ø(B) require a vessel to— ø(i) carry out exchange of ballast water on the waters beyond the exclusive economic zone prior to entry 

into any port within the Great Lakes; 

ø(ii) carry out an exchange of ballast water in other 

waters where the exchange does not pose a threat of 

infestation or spread of aquatic nuisance species in the 

Great Lakes and other waters of the United States, as 

recommended by the Task Force under section 

1102(a)(1); or 

ø(iii) use environmentally sound alternative ballast 

water management methods if the Secretary determines that such alternative methods are as effective 

as ballast water exchange in preventing and controlling infestations of aquatic nuisance species; 

ø(C) not affect or supersede any requirements or prohibitions pertaining to the discharge of ballast water into waters of the United States under the Federal Water Pollution Control Act (33 U.S.C. 1251 et seq.); 

ø(D) provide for sampling procedures to monitor compliance with the requirements of the regulations; 

ø(E) prohibit the operation of a vessel in the Great 

Lakes if the master of the vessel has not certified to the 

Secretary or the Secretary’s designee by not later than the 

departure of that vessel from the first lock in the St. Lawrence Seaway that the vessel has complied with the requirements of the regulations; 

ø(F) protect the safety of—

ø(i) each vessel; and 

ø(ii) the crew and passengers of each vessel; 

ø(G) take into consideration different operating conditions; and 

ø(H) be based on the best scientific information available. 

ø(3) ADDITIONAL REGULATIONS.—In addition to promulgating 

regulations under paragraph (1), the Secretary, in consultation 

with the Task Force, shall, not later than November 4, 1994, 

issue regulations to prevent the introduction and spread of 

aquatic nuisance species into the Great Lakes through ballast 

water carried on vessels that enter a United States port on the 

Hudson River north of the George Washington Bridge. 


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ø(4) EDUCATION AND TECHNICAL ASSISTANCE PROGRAMS.—The 

Secretary may carry out education and technical assistance 

programs and other measures to promote compliance with the 

regulations issued under this subsection. 

ø(c) VOLUNTARY NATIONAL GUIDELINES.—

ø(1) IN GENERAL.—Not later than 1 year after the date of enactment of the National Invasive Species Act of 1996, and after 

providing notice and an opportunity for public comment, the 

Secretary shall issue voluntary guidelines to prevent the introduction and spread of nonindigenous species in waters of the 

United States by ballast water operations and other operations 

of vessels equipped with ballast water tanks. 

ø(2) CONTENT OF GUIDELINES.—The voluntary guidelines 

issued under this subsection shall—

ø(A) ensure to the maximum extent practicable that 

aquatic nuisance species are not discharged into waters of 

the United States from vessels; 

ø(B) apply to all vessels equipped with ballast water 

tanks that operate in waters of the United States; 

ø(C) protect the safety of—

ø(i) each vessel; and 

ø(ii) the crew and passengers of each vessel; 

ø(D) direct a vessel that is carrying ballast water into 

waters of the United States after operating beyond the exclusive economic zone to—

ø(i) carry out the exchange of ballast water of the 

vessel in waters beyond the exclusive economic zone; 

ø(ii) exchange the ballast water of the vessel in 

other waters where the exchange does not pose a 

threat of infestation or spread of nonindigenous species in waters of the United States, as recommended 

by the Task Force under section 1102(a)(1); or 

ø(iii) use environmentally sound alternative ballast 

water management methods, including modification of 

the vessel ballast water tanks and intake systems, if 

the Secretary determines that such alternative methods are at least as effective as ballast water exchange 

in preventing and controlling infestations of aquatic 

nuisance species; 

ø(E) direct vessels to carry out management practices 

that the Secretary determines to be necessary to reduce 

the probability of unintentional nonindigenous species 

transfer resulting from—

ø(i) ship operations other than ballast water discharge; and 

ø(ii) ballasting practices of vessels that enter waters 

of the United States with no ballast water on board; 

ø(F) provide for the keeping of records that shall be submitted to the Secretary, as prescribed by the guidelines, 

and that shall be maintained on board each vessel and 

made available for inspection, upon request of the Secretary and in a manner consistent with subsection (i), in 

order to enable the Secretary to determine compliance 

with the guidelines, including—


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ø(i) with respect to each ballast water exchange referred to in clause (ii), reporting on the precise location and thoroughness of the exchange; and 

ø(ii) any other information that the Secretary considers necessary to assess the rate of effective compliance with the guidelines; 

ø(G) provide for sampling procedures to monitor compliance with the guidelines; 

ø(H) take into consideration— ø(i) vessel types; 

ø(ii) variations in the characteristics of point of origin and receiving water bodies; 

ø(iii) variations in the ecological conditions of waters 

and coastal areas of the United States; and 

ø(iv) different operating conditions; 

ø(I) be based on the best scientific information available; 

ø(J) not affect or supersede any requirements or prohibitions pertaining to the discharge of ballast water into waters of the United States under the Federal Water Pollution Control Act (33 U.S.C. 1251 et seq.); and 

ø(K) provide an exemption from ballast water exchange 

requirements to passenger vessels with operating ballast 

water systems that are equipped with treatment systems 

designed to kill aquatic organisms in ballast water, unless 

the Secretary determines that such treatment systems are 

less effective than ballast water exchange at reducing the 

risk of transfers of invasive species in the ballast water of 

passenger vessels; and 

ø(L) not apply to crude oil tankers engaged in the coastwise trade. 

ø(3) EDUCATION AND TECHNICAL ASSISTANCE PROGRAMS.—Not 

later than 1 year after the date of enactment of the National 

Invasive Species Act of 1996, the Secretary shall carry out education and technical assistance programs and other measures 

to encourage compliance with the guidelines issued under this 

subsection. 

ø(d) REPORT TO CONGRESS.—Not sooner than 24 months after the 

date of issuance of guidelines pursuant to subsection (c) and not 

later than 30 months after such date, and after consultation with 

interested and affected persons, the Secretary shall prepare and 

submit to Congress a report containing the information required 

pursuant to paragraphs (1) and (2) of subsection (e). 

ø(e) PERIODIC REVIEW AND REVISION.—

ø(1) IN GENERAL.—Not later than 3 years after the date of 

issuance of guidelines pursuant to subsection (c), and not less 

frequently than every 3 years thereafter, the Secretary shall, 

in accordance with criteria developed by the Task Force under 

paragraph (3)—

ø(A) assess the compliance by vessels with the voluntary 

guidelines issued under subsection (c) and the regulations 

promulgated under this Act; 

ø(B) establish the rate of compliance that is based on the 

assessment under subparagraph (A); 

ø(C) assess the effectiveness of the voluntary guidelines 

and regulations referred to in subparagraph (A) in reducVerDate Aug 31 2005 05:59 Oct 31, 2007 Jkt 069006 PO 00000 Frm 00061 Fmt 6659 Sfmt 6601 E:\HR\OC\HR338P3.XXX HR338P3

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ing the introduction and spread of aquatic nuisance species 

by vessels; and 

ø(D) as necessary, on the basis of the best scientific information available— ø(i) revise the guidelines and regulations referred to 

in subparagraph (A); 

ø(ii) promulgate additional regulations pursuant to 

subsection (f)(1); or 

ø(iii) carry out each of clauses (i) and (ii). 

ø(2) SPECIAL REVIEW AND REVISION.—Not later than 90 days 

after the Task Force makes a request to the Secretary for a 

special review and revision for coastal and inland waterways 

designated by the Task Force, the Secretary shall— ø(A) conduct a special review of guidelines and regulations applicable to those waterways in accordance with the 

review procedures under paragraph (1); and 

ø(B) as necessary, in the same manner as provided 

under paragraph (1)(D)— ø(i) revise those guidelines; 

ø(ii) promulgate additional regulations pursuant to 

subsection (f)(1); or 

ø(iii) carry out each of clauses (i) and (ii). 

ø(3) CRITERIA FOR EFFECTIVENESS.—Not later than 18 

months after the date of enactment of the National Invasive 

Species Act of 1996, the Task Force shall submit to the Secretary criteria for determining the adequacy and effectiveness 

of the voluntary guidelines issued under subsection (c). 

ø(f) AUTHORITY OF SECRETARY.— ø(1) GENERAL REGULATIONS.—If, on the basis of a periodic review conducted under subsection (e)(1) or a special review conducted under subsection (e)(2), the Secretary determines that—

ø(A) the rate of effective compliance (as determined by 

the Secretary) with the guidelines issued pursuant to subsection (c) is inadequate; or 

ø(B) the reporting by vessels pursuant to those guidelines is not adequate for the Secretary to assess the compliance with those guidelines and provide a rate of compliance of vessels, including the assessment of the rate of 

compliance of vessels under subsection (e)(2), 

the Secretary shall promptly promulgate regulations that meet 

the requirements of paragraph (2). 

ø(2) REQUIREMENTS FOR REGULATIONS.—The regulations promulgated by the Secretary under paragraph (1)—

ø(A) shall—

ø(i) not be promulgated sooner than 180 days following the issuance of the report to Congress submitted pursuant to subsection (d); 

ø(ii) make mandatory the requirements included in 

the voluntary guidelines issued under subsection (c); 

and 

ø(iii) provide for the enforcement of the regula-tions; 

and 

ø(B) may be regional in scope. 

ø(3) INTERNATIONAL REGULATIONS.—The Secretary shall revise regulations promulgated under this subsection to the exVerDate Aug 31 2005 05:59 Oct 31, 2007 Jkt 069006 PO 00000 Frm 00062 Fmt 6659 Sfmt 6601 E:\HR\OC\HR338P3.XXX HR338P3

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tent required to make such regulations consistent with the 

treatment of a particular matter in any international agreement, agreed to by the United States, governing management 

of the transfer of nonindigenous aquatic species by vessel. 

ø(g) SANCTIONS.— ø(1) CIVIL PENALTIES.—Any person who violates a regulation 

promulgated under subsection (b) or (f) shall be liable for a 

civil penalty in an amount not to exceed $25,000. Each day of 

a continuing violation constitutes a separate violation. A vessel 

operated in violation of the regulations is liable in rem for any 

civil penalty assessed under this subsection for that violation. 

ø(2) CRIMINAL PENALTIES.—Any person who knowingly violates the regulations promulgated under subsection (b) or (f) is 

guilty of a class C felony. 

ø(3) REVOCATION OF CLEARANCE.—Upon request of the Secretary, the Secretary of the Treasury shall withhold or revoke 

the clearance of a vessel required by section 4197 of the Revised Statutes (46 U.S.C. App. 91), if the owner or operator of 

that vessel is in violation of the regulations issued under subsection (b) or (f). 

ø(4) EXCEPTION TO SANCTIONS.—This subsection does not 

apply to a failure to exchange ballast water if— ø(A) the master of a vessel, acting in good faith, decides 

that the exchange of ballast water will threaten the safety 

or stability of the vessel, its crew, or its passengers; and 

ø(B) the recordkeeping and reporting requirements of 

the Act are complied with. 

ø(h) COORDINATION WITH OTHER AGENCIES.—In carrying out the 

programs under this section, the Secretary is encouraged to use, to 

the maximum extent practicable, the expertise, facilities, members, 

or personnel of established agencies and organizations that have 

routine contact with vessels, including the Animal and Plant 

Health Inspection Service of the Department of Agriculture, the 

National Cargo Bureau, port administrations, and ship pilots’ associations. 

ø(i) CONSULTATION WITH CANADA, MEXICO, AND OTHER FOREIGN

GOVERNMENTS.—In developing the guidelines issued and regulations promulgated under this section, the Secretary is encouraged 

to consult with the Government of Canada, the Government of 

Mexico, and any other government of a foreign country that the 

Secretary, in consultation with the Task Force, determines to be 

necessary to develop and implement an effective international program for preventing the unintentional introduction and spread of 

nonindigenous species. 

ø(j) INTERNATIONAL COOPERATION.—The Secretary, in cooperation 

with the International Maritime Organization of the United Nations and the Commission on Environmental Cooperation established pursuant to the North American Free Trade Agreement, is 

encouraged to enter into negotiations with the governments of foreign countries to develop and implement an effective international 

program for preventing the unintentional introduction and spread 

of nonindigenous species. 

ø(k) SAFETY EXEMPTION.—

ø(1) MASTER DISCRETION.—The master of a vessel is not required to conduct a ballast water exchange if the master deVerDate Aug 31 2005 05:59 Oct 31, 2007 Jkt 069006 PO 00000 Frm 00063 Fmt 6659 Sfmt 6601 E:\HR\OC\HR338P3.XXX HR338P3

hmoore on PRODPC68 with HMRPT
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cides that the exchange would threaten the safety or stability 

of the vessel, its crew, or its passengers because of adverse 

weather, vessel architectural design, equipment failure, or any 

other extraordinary conditions. 

ø(2) OTHER REQUIREMENTS.—(A) IN GENERAL.—Except as 

provided in subparagraph (B), a vessel that does not exchange 

ballast water on the high seas under paragraph (1) shall not 

be restricted from discharging ballast water in any harbor. 

ø(B) GREAT LAKES.—Subparagraph (A) shall not apply in a 

case in which a vessel is subject to the regulations issued by 

the Secretary under subsection (b). 

ø(3) CRUDE OIL TANKER BALLAST FACILITY STUDY.—(A) Within 60 days of the date of enactment of this Act, the Secretary 

of the department in which the Coast Guard is operating, in 

consultation with the Under Secretary of Commerce for Oceans 

and Atmosphere, affected shoreside ballast water facility operators, affected crude oil tanker operators, and interested parties, shall initiate a study of the effectiveness of existing shoreside ballast water facilities used by crude oil tankers in the 

coastwise trade off Alaska in preventing the introduction of 

nonindigenous aquatic species into the waters off Alaska, as 

well as the cost and feasibility of modifying such facilities to 

improve such effectiveness. 

ø(B) The study required under subparagraph (A) shall be 

submitted to the Congress by no later than October 1, 1997. 

ø(l) NON-DISCRIMINATION.—The Secretary shall ensure that vessels registered outside of the United States do not receive more favorable treatment than vessels registered in the United States 

when the Secretary performs studies, reviews compliance, determines effectiveness, establishes requirements, or performs any 

other responsibilities under this Act.¿ 

SEC. 1101. BALLAST WATER MANAGEMENT. 

(a) VESSELS TO WHICH THIS SECTION APPLIES.— (1) IN GENERAL.—Except as provided in paragraphs (2), (3), 

(4), and (5), this section applies to a vessel that— (A) is designed, constructed, or adapted to carry ballast 

water; and 

(B)(i) is a vessel of the United States; or 

(ii) is a foreign vessel that— (I) is en route to a United States port or place; or 

(II) has departed from a United States port or place 

and is within waters subject to the jurisdiction of the 

United States. 

(2) PERMANENT BALLAST WATER VESSELS.—This section does 

not apply to a vessel that carries all of its permanent ballast 

water in sealed tanks that are not subject to discharge. 

(3) ARMED FORCES VESSELS.—

(A) EXEMPTION.—Except as provided in subparagraph 

(B), this section does not apply to a vessel of the Armed 

Forces. 

(B) BALLAST WATER MANAGEMENT PROGRAM.—The Secretary and the Secretary of Defense, after consultation with 

each other and with the Under Secretary and the heads of 

other appropriate Federal agencies as determined by the 

Secretary, shall implement a ballast water management 


hmoore on PRODPC68 with HMRPT
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program, including the issuance of standards for ballast 

water exchange and treatment and for sediment management, for vessels of the Armed Forces under their respective 

jurisdictions designed, constructed, or adapted to carry ballast water that are— (i) consistent with the requirements of this section, 

including the deadlines established by this section; and 

(ii) at least as stringent as the requirements issued 

for such vessels under section 312 of the Federal Water 

Pollution Control Act (33 U.S.C. 1322). 

(4) SPECIAL RULE FOR SMALL RECREATIONAL VESSELS.—In applying this section to recreational vessels less than 50 meters in 

length that have a maximum ballast water capacity of 8 cubic 

meters, the Secretary may issue alternative measures for managing ballast water in a manner that is consistent with the requirements of this section. 

(5) MARAD VESSELS.—Subsection (f) does not apply to any 

vessel in the National Defense Reserve Fleet that is scheduled 

to be disposed of through scrapping or sinking. 

(b) UPTAKE AND DISCHARGE OF BALLAST WATER OR SEDIMENT.—

(1) PROHIBITION.—The operator of a vessel to which this section applies may not conduct the uptake or discharge of ballast 

water or sediment in waters subject to the jurisdiction of the 

United States except as provided in this section. 

(2) EXCEPTIONS.—Paragraph (1) does not apply to the uptake 

or discharge of ballast water or sediment in the following circumstances: 

(A) The uptake or discharge is solely for the purpose of— (i) ensuring the safety of the vessel in an emergency 

situation; or 

(ii) saving a life at sea. 

(B) The uptake or discharge is accidental and the result 

of damage to the vessel or its equipment and— (i) all reasonable precautions to prevent or minimize 

ballast water and sediment discharge have been taken 

before and after the damage occurs, the discovery of the 

damage, and the discharge; and 

(ii) the owner or officer in charge of the vessel did not 

willfully or recklessly cause the damage. 

(C) The uptake or discharge is solely for the purpose of 

avoiding or minimizing the discharge from the vessel of 

pollution that would otherwise violate applicable Federal or 

State law. 

(D) The uptake or discharge of ballast water and sediment occurs at the same location where the whole of that 

ballast water and that sediment originated and there is no 

mixing with ballast water and sediment from another area 

that has not been managed in accordance with the requirements of this section. 

(c) VESSEL BALLAST WATER MANAGEMENT PLAN.— (1) IN GENERAL.—The operator of a vessel to which this section applies shall conduct all ballast water management operations of that vessel in accordance with a ballast water management plan designed to minimize the discharge of aquatic 

nuisance species that—


hmoore on PRODPC68 with HMRPT
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(A) meets the requirements prescribed by the Secretary by 

regulation; and 

(B) is approved by the Secretary. 

(2) APPROVAL CRITERIA.—

(A) IN GENERAL.—The Secretary may not approve a ballast water management plan unless the Secretary determines that the plan—

(i) describes in detail the actions to be taken to implement the ballast water management requirements 

established under this section; 

(ii) describes in detail the procedures to be used for 

disposal of sediment at sea and on shore in accordance 

with the requirements of this section; 

(iii) describes in detail safety procedures for the vessel and crew associated with ballast water management; 

(iv) designates the officer on board the vessel in 

charge of ensuring that the plan is properly implemented; 

(v) contains the reporting requirements for vessels established under this section and a copy of each form 

necessary to meet those requirements; and 

(vi) meets all other requirements prescribed by the 

Secretary. 

(B) FOREIGN VESSELS.—The Secretary may approve a 

ballast water management plan for a foreign vessel on the 

basis of a certificate of compliance with the criteria described in subparagraph (A) issued by the vessel’s country 

of registration in accordance with regulations issued by the 

Secretary. 

(3) COPY OF PLAN ON BOARD VESSEL.—The owner or operator 

of a vessel to which this section applies shall—

(A) maintain a copy of the vessel’s ballast water management plan on board at all times; and 

(B) keep the plan readily available for examination by 

the Secretary and the head of the appropriate agency of the 

State in which the vessel is located at all reasonable times. 

(d) VESSEL BALLAST WATER RECORD BOOK.—

(1) IN GENERAL.—The owner or operator of a vessel to which 

this section applies shall maintain, in English on board the vessel, a ballast water record book in which each operation of the 

vessel involving ballast water or sediment discharge is recorded 

in accordance with regulations issued by the Secretary. 

(2) AVAILABILITY.—The ballast water record book—

(A) shall be kept readily available for examination by the 

Secretary and the head of the appropriate agency of the 

State in which the vessel is located at all reasonable times; 

and 

(B) notwithstanding paragraph (1), may be kept on the 

towing vessel in the case of an unmanned vessel under tow. 

(3) RETENTION PERIOD.—The ballast water record book shall 

be retained—

(A) on board the vessel for a period of 3 years after the 

date on which the last entry in the book is made; and 


hmoore on PRODPC68 with HMRPT
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(B) under the control of the vessel’s owner for an additional period of 3 years. 

(4) REGULATIONS.—In the regulations issued under this section, the Secretary shall require, at a minimum, that—

(A) each entry in the ballast water record book be signed 

and dated by the officer in charge of the ballast water operation recorded; 

(B) each completed page in the ballast water record book 

be signed and dated by the master of the vessel; and 

(C) the owner or operator of the vessel transmit such information to the Secretary regarding the ballast operations 

of the vessel as the Secretary may require. 

(5) ALTERNATIVE MEANS OF RECORDKEEPING.—The Secretary 

may provide, by regulation, for alternative methods of recordkeeping, including electronic recordkeeping, to comply with the 

requirements of this subsection. Any electronic recordkeeping 

method authorized by the Secretary shall support the inspection 

and enforcement provisions of this Act and shall comply with 

applicable standards of the National Institute of Standards and 

Technology and the Office of Management and Budget governing reliability, integrity, identity authentication, and nonrepudiation of stored electronic data. 

(e) BALLAST WATER EXCHANGE REQUIREMENTS.—

(1) IN GENERAL.—

(A) REQUIREMENT.—Until a vessel is required to conduct 

ballast water treatment in accordance with subsection (f), 

the operator of a vessel to which this section applies may 

not discharge ballast water in waters subject to the jurisdiction of the United States, except after—

(i) conducting ballast water exchange as required by 

this subsection, in accordance with regulations issued 

by the Secretary; 

(ii) using ballast water treatment technology that 

meets the performance standards of subsection (f); or 

(iii) using environmentally sound alternative ballast 

water treatment technology if the Secretary determines 

that such treatment technology is at least as effective as 

the ballast water exchange required by clause (i) in 

preventing and controlling the introduction of aquatic 

nuisance species. 

(B) TECHNOLOGY EFFICACY.—For purposes of this paragraph, a ballast water treatment technology shall be considered to be at least as effective as the ballast water exchange required by clause (i) in preventing and controlling 

the introduction of aquatice nuisance species if preliminary 

experiments prior to installation of the technology aboard 

the vessel demonstrate that the technology removed or 

killed at least 98 percent of organisms larger than 50 microns. 

(2) GUIDANCE; 5-YEAR USAGE.—

(A) GUIDANCE.—Not later than one year after the date of 

enactment of the Ballast Water Treatment Act of 2007, the 

Secretary shall develop and issue guidance on technology 

that may be used under paragraph (1)(A)(iii). 


hmoore on PRODPC68 with HMRPT
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(B) 5-YEAR USAGE.—The Secretary shall allow a vessel 

using environmentally-sound alternative ballast treatment 

technology under paragraph (1)(A)(iii) to continue to use 

that technology for 5 years after the date on which the environmentally-sound alternative ballast water treatment technology was first placed in service on the vessel or the date 

on which treatment requirements under subsection (f) become applicable, whichever is later. 

(3) EXCHANGE AREAS.— (A) VESSELS OUTSIDE THE UNITED STATES EEZ.—The operator of a vessel en route to a United States port or place 

from a port or place outside the waters subject to the jurisdiction of the United States shall conduct ballast water exchange—

(i) before arriving at a United States port or place; 

(ii) at least 200 nautical miles from the nearest point 

of land; and 

(iii) in water at least 200 meters in depth. 

(B) COASTAL VOYAGES.—The operator of a vessel originating from a port or place within the United States exclusive economic zone, or from a port within 200 nautical 

miles of the United States in Canada, Mexico, or other 

ports designated by the Secretary for purposes of this section, shall conduct ballast water exchange—

(i) at least 50 nautical miles from the nearest point 

of land; and 

(ii) in water at least 200 meters in depth. 

(4) SAFETY OR STABILITY EXCEPTION.— (A) SECRETARIAL DETERMINATION.—Paragraph (3) does 

not apply to the discharge of ballast water if the Secretary 

determines that compliance with that paragraph would 

threaten the safety or stability of the vessel, its crew, or is 

passengers. 

(B) MASTER OF THE VESSEL DETERMINATION.—Paragraph 

(3) does not apply to the discharge of ballast water if the 

master of a vessel determines that compliance with that 

paragraph would threaten the safety or stability of the vessel, its crew, or its passengers because of adverse weather, 

equipment failure, or any other relevant condition. 

(C) NOTIFICATION REQUIRED.—Whenever the master of a 

vessel is unable to comply with the requirements of paragraph (3) because of a determination made under subparagraph (B), the master of the vessel shall—

(i) notify the Secretary as soon as practicable thereafter but no later than 24 hours after making that determination and shall ensure that the determination, 

the reasons for the determination, and the notice are 

recorded in the vessel’s ballast water record book; and 

(ii) undertake ballast water exchange in accordance 

with paragraph (6) if safety or stability concerns prevent undertaking ballast water exchange in the alternative area. 

(D) REVIEW OF CIRCUMSTANCES.—If the master of a vessel conducts a ballast water discharge under the provisions 

of this paragraph, the Secretary shall review the cirVerDate Aug 31 2005 05:59 Oct 31, 2007 Jkt 069006 PO 00000 Frm 00068 Fmt 6659 Sfmt 6603 E:\HR\OC\HR338P3.XXX HR338P3

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cumstances to determine whether the discharge met the requirements of this paragraph. The review under this clause 

shall be in addition to any other enforcement authority of 

the Secretary. 

(5) DISCHARGE UNDER WAIVER.— (A) SUBSTANTIAL BUSINESS HARDSHIP WAIVER.—If, because of the short length of a voyage, the operator of a vessel is unable to discharge ballast water in accordance with 

the requirements of paragraph (3)(B) without substantial 

business hardship, as determined under regulations issued 

by the Secretary, the operator may request a waiver from 

the Secretary and discharge the ballast water in accordance 

with paragraph (6). A request for a waiver under this subparagraph shall be submitted to the Secretary at such time 

and in such form and manner as the Secretary may require. 

(B) SUBSTANTIAL BUSINESS HARDSHIP.—For purposes of 

subparagraph (A), the factors taken into account in determining substantial business hardship shall include whether—

(i) compliance with the requirements of paragraph 

(3)(B) would require a sufficiently great change in routing or scheduling of service as to compromise the economic or commercial viability of the trade or business 

in which the vessel is operated; or 

(ii) it is reasonable to expect that the trade or business or service provided will be continued only if a 

waiver is granted under subparagraph (A). 

(6) PERMISSIBLE DISCHARGE.—

(A) IN GENERAL.—The discharge of ballast water shall be 

considered to be carried out in accordance with this paragraph if it is—

(i) in an area designated for that purpose by the Secretary, after consultation with the Under Secretary, the 

heads of other appropriate Federal agencies as determined by the Secretary, and representatives of any 

State that may be affected by discharge of ballast 

water in that area; or 

(ii) into a reception facility described in subsection 

(f)(2). 

(B) LIMITATION ON VOLUME.—The volume of any ballast 

water discharged under this paragraph may not exceed the 

volume necessary to ensure the safe operation of the vessel. 

(7) CERTAIN GEOGRAPHICALLY LIMITED ROUTES.—Notwithstanding paragraph (1), the operator of a vessel is not required 

to comply with the requirements of this subsection—

(A) if the vessel operates exclusively—

(i) within the Great Lakes; or 

(ii) between or among the main group of the Hawaiian Islands; or 

(B) if the vessel operates exclusively within any area with 

respect to which the Secretary has determined, after consultation with the Under Secretary, the Administrator, and 

representatives of States the waters of which would be affected by the discharge of ballast water from the vessel, that 


hmoore on PRODPC68 with HMRPT
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the risk of introducing aquatic nuisance species through 

ballast water discharge in the areas in which the vessel operates is insignificant. 

(8) MARINE SANCTUARIES AND OTHER PROHIBITED AREAS.—A 

vessel may not conduct ballast water exchange or discharge ballast water under this subsection—

(A) within a national marine sanctuary designated under 

of the National Marine Sanctuaries Act (16 U.S.C. 1431 et 

seq.); 

(B) in waters that are approved by the Administrator as 

a nondischarge zone under section 312(n)(7) of the Federal 

Water Pollution Control Act (33 U.S.C. 1322(n)(7)); or 

(C) in any other waters designated by the Secretary, in 

consultation with the Under Secretary and the Administrator. 

(9) VESSELS WITHOUT PUMPABLE BALLAST WATER.—

(A) APPLICABILITY OF REQUIREMENTS.—Ballast water exchange requirements under this subsection shall apply to 

vessels that are equipped with ballast water tanks and that 

enter a port of the United States without pumpable ballast 

water. 

(B) REGULATIONS.—The Secretary shall issue regulations, 

not later than 180 days after the date of enactment of the 

Ballast Water Treatment Act of 2007, that are intended to 

minimize the introduction of nuisance species from vessels 

that enter the navigable waters without pumpable ballast 

water, including the requirements that apply under subparagraph (A), and that are at least as stringent as the regulations in effect on the date of enactment such Act. 

(C) APPLICATION OF EXISTING REGULATIONS.—The regulations issued by the Secretary under this section, as such 

regulations were in effect on the day before the date of enactment of the Ballast Water Treatment Act of 2007, shall 

continue to apply to vessels without pumpable ballast water 

entering or operating on the navigable waters until the earlier of—

(i) the date on which such vessels are required to 

conduct ballast water treatment, in accordance with 

the requirements of subsection (f); or 

(ii) the effective date of final regulations required 

under this paragraph. 

(f) BALLAST WATER TREATMENT REQUIREMENTS.—

(1) PERFORMANCE STANDARDS.—A vessel to which this section 

applies shall conduct ballast water treatment in accordance 

with the requirements of this subsection before discharging ballast water in waters subject to the jurisdiction of the United 

States so that the ballast water discharged will contain—

(A) less than 1 living organism per 10 cubic meters that 

is 50 or more micrometers in minimum dimension; 

(B) less than 1 living organism per 10 milliliters that is 

less than 50 micrometers in minimum dimension and more 

than 10 micrometers in minimum dimension; 

(C) concentrations of indicator microbes that are less 

than—


hmoore on PRODPC68 with HMRPT
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(i) 1 colony-forming unit of toxicogenic Vibrio cholera 

(serotypes O1 and O139) per 100 milliliters or less 

than 1 colony-forming unit of that microbe per gram of 

wet weight of zoological samples; 

(ii) 126 colony-forming units of escherichia coli per 

100 milliliters; and 

(iii) 33 colony-forming units of intestinal enterococci 

per 100 milliliters; and 

(D) concentrations of such additional indicator microbes 

as may be specified in regulations issued by the Secretary, 

after consultation with other appropriate Federal agencies 

as determined by the Secretary, that are less than the 

amount specified in those regulations. 

(2) RECEPTION FACILITY EXCEPTION.—

(A) IN GENERAL.—Paragraph (1) does not apply to a vessel that discharges ballast water into—

(i) a land-based facility for the reception of ballast 

water that meets standards issued by the Administrator; or 

(ii) a water-based facility for the reception of ballast 

water that meets standards issued by the Secretary. 

(B) ISSUANCE OF STANDARDS.—Not later than one year 

after the date of enactment of the Ballast Water Treatment 

Act of 2007, the Secretary, in consultation with the heads 

of other appropriate Federal agencies as determined by the 

Secretary, shall issue standards for— (i) the reception of ballast water in land-based and 

water-based reception facilities; and 

(ii) the disposal or treatment of such ballast water in 

a way that does not impair or damage the environment, human health, property, or resources. 

(3) TREATMENT SYSTEM IMPLEMENTATION.—Paragraph (1) 

applies to a vessel to which this section applies beginning on 

the date of the first dry-docking of the vessel after December 31, 

2008, but not later than December 31, 2013. 

(4) TREATMENT SYSTEM APPROVAL REQUIRED.—The operator 

of a vessel to which this section applies may not use a ballast 

water treatment system to comply with the requirements of this 

subsection unless the system is approved by the Secretary. The 

Secretary shall issue regulations establishing a process for such 

approval, after consultation with the heads of other appropriate 

Federal agencies as determined by the Secretary. 

(5) RELIANCE ON CERTAIN REPORTS, DOCUMENTS, AND

RECORDS.—In approving a ballast water treatment system 

under this subsection, the Secretary may rely on reports, documents, and records of persons that meet such requirements as 

the Secretary may prescribe. 

(6) FEASIBILITY REVIEW.—

(A) REQUIREMENT TO REVIEW.—The Secretary shall periodically conduct a review to determine whether appropriate 

technologies are available to achieve the standards set forth 

in paragraph (1). In reviewing technologies under this subparagraph, the Secretary, after consultation with the heads 

of other appropriate Federal agencies as determined by the 

Secretary, shall consider—


hmoore on PRODPC68 with HMRPT
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(i) the effectiveness of a technology in achieving the 

standards; 

(ii) feasibility in terms of compatibility with ship design and operations; 

(iii) safety considerations; 

(iv) whether a technology has an adverse impact on 

the environment; and 

(v) cost effectiveness. 

(B) DEADLINES.—The Secretary shall—

(i) complete an initial review of technologies under 

subparagraph (A) within 12 months after the date of 

the enactment of the Ballast Water Treatment Act of 

2007; and 

(ii) carry out subsequent reviews of technologies 

under subparagraph (A) no later than 24 months after 

the date that the previous review was completed. 

(C) DELAY IN SCHEDULED APPLICATION.—If the Secretary 

determines, on the basis of the initial review or any subsequent review conducted under this paragraph, that compliance with the standards set forth in paragraph (1) is not 

feasible for any class of vessels, the Secretary shall—

(i) delay the date on which such standards apply to 

that class of vessels for a period of not more than 24 

months; and 

(ii) recommend action to ensure such compliance in 

accordance with the revised implementation schedule 

for that class of vessels by the date established under 

clause (i). 

(7) DELAY OF APPLICATION FOR VESSEL PARTICIPATING IN

PROMISING TECHNOLOGY EVALUATIONS.—

(A) IN GENERAL.—If a vessel participates in a program, 

including the Shipboard Technology Evaluation Program 

established under section 1104, using a technology approved by the Secretary to test and evaluate promising ballast water treatment technologies that are likely to result in 

treatment technologies achieving a standard that is the 

same as or more stringent than the standard that applies 

under paragraph (1) before the first date on which paragraph (1) applies to that vessel, the Secretary shall allow 

the vessel to use that technology for a 10-year period and 

such vessel shall be deemed to be in compliance with the 

requirements of paragraph (1) during that 10-year period. 

(B) VESSEL DIVERSITY.—The Secretary—

(i) shall seek to ensure that a wide variety of vessel 

types and voyages are included in the program; but 

(ii) may not grant a delay under this paragraph to 

more than 5 percent of the vessels to which this section 

applies. 

(C) TERMINATION OF GRACE PERIOD.—The Secretary may 

terminate the 10-year grace period of a vessel under subparagraph (A) if—

(i) the participation of the vessel in the program is 

terminated without the consent of the Secretary; 


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(ii) the vessel does not comply with manufacturer’s 

standards for operating the ballast water treatment 

technology used on such vessel; or 

(iii) the Secretary determines that the approved technology is insufficiently effective or is causing harm to 

the environment. 

(8) REVIEW OF STANDARDS.— (A) IN GENERAL.—In December 2012 and every third year 

thereafter, the Secretary shall complete review of ballast 

water treatment standards in effect under this subsection to 

determine, after consultation with the Administrator and 

the heads of other appropriate Federal agencies determined 

by the Secretary, if the standards under this subsection 

should be revised to reduce the amount of organisms or microbes allowed to be discharged, taking into account improvements in the scientific understanding of biological 

processes leading to the spread of aquatic nuisance species 

and improvements in ballast water treatment technology. 

The Secretary shall revise, by regulation, the requirements 

of this subsection as necessary. 

(B) APPLICATION OF ADJUSTED STANDARDS.—In the regulations, the Secretary shall provide for the prospective application of the adjusted standards issued under this paragraph to vessels constructed after the date on which the adjusted standards apply and for an orderly phase-in of the 

adjusted standards to existing vessels. 

(9) HIGH-RISK VESSELS.— (A) VESSEL LIST.—Not later than one year after the date 

of enactment of the Ballast Water Treatment Act of 2007, 

the Secretary shall publish and regularly update a list of 

vessels identified by the States that, due to factors such as 

the origin of their voyages, the frequency of their voyages, 

the volume of ballast water they carry, the biological makeup of the ballast water, and the fact that they frequently 

discharge ballast water under an exception to subsection 

(e), pose a high risk of introducing aquatic nuisance species 

into the waters of those States. 

(B) INCENTIVE PROGRAMS.—The Secretary shall give priority to vessels on the list for participation in a program described in paragraph (7). Any Federal agency, and any 

State agency with respect to vessels identified by such State 

to the Secretary for inclusion on a list under subparagraph 

(A), may develop and implement technology development 

programs or other incentives (whether positive or negative) 

in order to encourage the adoption of ballast water treatment technology by those vessels consistent with the requirements of this section on an expedited basis. 

(10) NONAPPLICABILITY OF VESSELS OPERATING EXCLUSIVELY

IN DETERMINED AREA.— (A) IN GENERAL.—Except as provided in subparagraph 

(D), paragraph (1) does not apply to a vessel that operates 

exclusively within an area if the Secretary has determined 

through a rulemaking proceeding, after consultation with 

the Administrator and the heads of other appropriate Federal agencies as determined by the Secretary, and repVerDate Aug 31 2005 05:59 Oct 31, 2007 Jkt 069006 PO 00000 Frm 00073 Fmt 6659 Sfmt 6603 E:\HR\OC\HR338P3.XXX HR338P3

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resentatives of States the waters of which could be affected 

by the discharge of ballast water from the vessel, that the 

risk of introducing aquatic nuisance species through ballast 

water discharge from the vessel is insignificant. 

(B) CERTAIN VESSELS.—A vessel constructed before January 1, 2001, that operates exclusively within the Great 

Lakes shall be presumed not to pose a significant risk of introducing aquatic nuisance species unless the Secretary 

finds otherwise in a rulemaking proceeding under subparagraph (A). 

(C) BEST PRACTICES.—The Secretary shall develop, and 

require a vessel exempted from complying with the requirements of paragraph (1) under this paragraph to follow, best 

practices to minimize the spreading of aquatic nuisance 

species in its operation area. The best practices shall be developed in consultation with the Governors of States that 

may be affected. 

(D) STOPPING THE SPREAD OF INFECTIOUS DISEASE.—The 

Secretary, at the request of the Secretary of Agriculture, 

shall require a vessel to which paragraph (1) does not 

apply in accordance with subparagraph (A) to have a ballast water treatment system approved by the Secretary 

under this subsection to stop the spread of infectious diseases to plants and animals as otherwise authorized by 

law. 

(11) LABORATORIES.—The Secretary may use any Federal, 

non-Federal, or foreign laboratory that meets standards established by the Secretary for the purpose of evaluating and certifying ballast water treatment technologies that meet the requirements of this subsection. 

(12) PROGRAM TO SUPPORT THE PROMULGATION AND IMPLEMENTATION OF STANDARDS.—

(A) IN GENERAL.—The Secretary, in coordination with the 

Under Secretary, the Task Force and other appropriate 

Federal agencies, shall carry out a coordinated program to 

support the promulgation and implementation of standards 

under this subsection to prevent the introduction and 

spread of aquatic invasive species by vessels. The program 

established under this section shall, at a minimum— (i) characterize physical, chemical, and biological 

harbor conditions relevant to ballast discharge into 

United States waters to inform the design and implementation of ship vector control technologies and practices; 

(ii) develop testing protocols for determining the effectiveness of vessel vector monitoring and control technologies and practices; 

(iii) demonstrate methods for mitigating the spread 

of invasive species by coastal voyages, including exploring the effectiveness of alternative exchange zones in 

the near coastal areas and other methods proposed to 

reduce transfers of organisms; 

(iv) verify the practical effectiveness of any process 

for approving a type of alternative ballast water management as meeting standards established under this 


hmoore on PRODPC68 with HMRPT
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subsection, to ensure that the process produces repeatable and accurate assessments of treatment effectiveness; and 

(v) evaluate the effectiveness and residual risk and 

environmental impacts associated with any standard 

set with respect to the vessel pathways. 

(B) AUTHORIZATION OF APPROPRIATIONS.—In addition to 

other amounts authorized by this title, to carry out this 

paragraph there are authorized to be appropriated 

$1,500,000 to the Secretary and $1,500,000 to the Under 

Secretary for each of fiscal years 2008 through 2012. 

(g) WARNINGS CONCERNING BALLAST WATER UPTAKE.—

(1) IN GENERAL.—The Secretary shall notify vessel owners 

and operators of any area in waters subject to the jurisdiction 

of the United States in which vessels may not uptake ballast 

water due to known conditions. 

(2) CONTENTS.—The notice shall include—

(A) the coordinates of the area; and 

(B) if possible, the location of alternative areas for the 

uptake of ballast water. 

(h) SEDIMENT MANAGEMENT.— (1) IN GENERAL.—The operator of a vessel to which this section applies may not remove or dispose of sediment from spaces 

designed to carry ballast water, except— (A) in accordance with this subsection and the ballast 

water management plan approved under subsection (c); and 

(B)(i) more than 200 nautical miles from the nearest 

point of land; or 

(ii) into a reception facility that meets the requirements 

of paragraph (3). 

(2) DESIGN REQUIREMENTS.— (A) NEW VESSELS.—After December 31, 2008, a vessel to 

which this section applies may not be operated on waters 

subject to the jurisdiction of the United States, unless that 

vessel is designed and constructed in accordance with regulations issued under subparagraph (C) and in a manner 

that—(i) minimizes the uptake and entrapment of sediment; 

(ii) facilitates removal of sediment; and 

(iii) provides for safe access for sediment removal 

and sampling. 

(B) EXISTING VESSELS.—A vessel to which this section applies that was constructed before January 1, 2009, shall be 

modified, to the extent practicable, at the first drydocking 

of the vessel after December 31 2008, but not later than December 31, 2013, to achieve the objectives described in subparagraph (A). 

(C) REGULATIONS.—The Secretary shall issue regulations 

establishing design and construction standards to achieve 

the objectives of subparagraph (A) and providing guidance 

for modifications and practices under subparagraph (B). 

The Secretary shall incorporate the standards and guidance in the regulations governing the ballast water management plan approved under subsection (c). 


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(3) SEDIMENT RECEPTION FACILITIES.— (A) STANDARDS.—The Secretary, in consultation with the 

heads of other appropriate Federal agencies as determined 

by the Secretary, shall issue regulations governing facilities 

for the reception of vessel sediment from spaces designed to 

carry ballast water that provide for the disposal of such 

sediment in a way that does not impair or damage the environment, human health, or property or resources of the 

disposal area. 

(B) DESIGNATION.—The Secretary, in consultation with 

the heads of other appropriate Federal agencies as determined by the Secretary shall designate facilities for the reception of vessel sediment that meet the requirements of the 

regulations issued under subparagraph (A) at ports and 

terminals where ballast tanks are cleaned or repaired. 

(i) EXAMINATIONS AND CERTIFICATIONS.—

(1) INITIAL EXAMINATION.—

(A) IN GENERAL.—The Secretary shall examine vessels to 

which this section applies to determine whether— (i) there is a ballast water management plan for the 

vessel that is approved by the Secretary and a ballast 

water record book on the vessel that meets the requirements of subsection (d); 

(ii) the equipment used for ballast water and sediment management in accordance with the requirements 

of this section and the regulations issued under this 

section is installed and functioning properly. 

(B) NEW VESSELS.—For vessels constructed on or after 

January 1, 2009, the Secretary shall conduct the examination required by subparagraph (A) before the vessel is 

placed in service. 

(C) EXISTING VESSELS.—For vessels constructed before 

January 1, 2009, the Secretary shall— (i) conduct the examination required by subparagraph (A) before the date on which subsection (f)(1) applies to the vessel according to the schedule in subsection (f)(3); and 

(ii) inspect the vessel’s ballast water record book required by subsection (d). 

(D) FOREIGN VESSEL.—In the case of a foreign vessel, the 

Secretary shall perform the examination required by this 

paragraph the first time the vessel enters a United States 

port. 

(2) SUBSEQUENT EXAMINATIONS.—In addition to the examination required by paragraph (1), the Secretary shall annually examine vessels to which this section applies, to ensure compliance with the requirements of this section and the regulations 

issued under this section. 

(3) INSPECTION AUTHORITY.— (A) IN GENERAL.—The Secretary may carry out inspections of any vessel to which this section applies at any time, 

including the taking of ballast water samples, to ensure 

compliance with this section. The Secretary shall use all 

appropriate and practical measures of detection and environmental monitoring such vessels and shall establish adeVerDate Aug 31 2005 05:59 Oct 31, 2007 Jkt 069006 PO 00000 Frm 00076 Fmt 6659 Sfmt 6603 E:\HR\OC\HR338P3.XXX HR338P3

hmoore on PRODPC68 with HMRPT
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quate procedures for reporting violations of this section and 

accumulating evidence regarding such violations. 

(B) INVESTIGATIONS.— (i) IN GENERAL.—Upon receipt of evidence that a violation of this section or a regulation issued under this 

section has occurred, the Secretary shall cause the matter to be investigated. 

(ii) ISSUANCE OF SUBPOENAS.—In an investigation 

under this subparagraph, the Secretary may issue subpoenas to require the attendance of any witness and the 

production of documents and other evidence. 

(iii) COMPELLING COMPLIANCE WITH SUBPOENAS.—In 

case of refusal to obey a subpoena issued under this 

subparagraph, the Secretary may request the Attorney 

General to invoke the aid of the appropriate district 

court of the United States to compel compliance. 

(4) STATE PROGRAMS.—

(A) SUBMISSION TO SECRETARY.—At any time after the 

date of issuance of ballast water treatment regulations 

issued under this section, the Governor of each State desiring to administer its own inspection and enforcement authority for ballast water discharges within its jurisdiction 

may submit to the Secretary a complete description of the 

program the Governor proposes to establish and administer 

under State law. In addition, the Governor shall submit a 

statement from the attorney general that the laws of such 

State provide adequate authority to carry out the described 

program. 

(B) APPROVAL.—The Secretary shall approve a program 

submitted under subparagraph (A), unless the Secretary determines that adequate resources do not exist or, in the case 

of ballast water testing, that adequate scientific expertise 

does not exist— (i) to inspect, monitor, and board any vessel to which 

this section applies at any time, including the taking 

and testing of ballast water samples, to ensure the vessel’s compliance with this section; 

(ii) to ensure that any ballast water discharged within the waters subject to the jurisdiction of the State 

meet the ballast water requirements of this section and 

the regulations issued under this section, including any 

revisions to such requirements and regulations; 

(iii) to establish adequate procedures for reporting 

violations of this section; 

(iv) to investigate and abate violations of this section, 

including civil and criminal penalties and other ways 

and means of enforcement; and 

(v) to ensure that the Secretary receives notice of each 

violation of the ballast water treatment requirements 

issued under this section in an expeditious manner. 

(C) SUSPENSION OF FEDERAL AUTHORITIES.—Not later 

than 90 days after the date on which a State submits a program (or revision thereof) under this paragraph, the Secretary shall suspend its authorities under subsections (k) 

and (l) in such State, unless the Secretary determines that 


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the State program does not meet the requirements of this 

paragraph. If the Secretary so determines, the Secretary 

shall notify the State of any revisions or modifications necessary to conform to such requirements. 

(D) COMPLIANCE.—Any State program approved under 

this paragraph shall at all times be conducted in accordance with this section and regulations issued under this 

section. 

(E) WITHDRAWAL OF APPROVAL.—Whenever the Secretary 

determines, after public hearing, that a State is not administering a program approved under this paragraph in accordance with this section and regulations issued under 

this section, the Secretary shall notify the State and, if appropriate corrective action is not taken within a reasonable 

period of time not to exceed 90 days, the Secretary shall 

withdraw approval of the program. The Secretary shall not 

withdraw approval of any program unless the Secretary 

shall first have notified the State, and made public, in 

writing, the reasons for such withdrawal. 

(F) LIMITATION ON STATUTORY CONSTRUCTION.—Nothing 

in this paragraph shall limit the authority of the Secretary 

carry out inspections and investigations of any vessels 

under paragraph (3). 

(5) REQUIRED CERTIFICATE.—If, on the basis of an initial examination under paragraph (1), the Secretary finds that a vessel complies with the requirements of this section and the regulations issued under this section, the Secretary shall issue a certificate under this paragraph as evidence of such compliance. 

The certificate shall be valid for a period of not more than 5 

years, as specified by the Secretary. The certificate or a true 

copy shall be maintained on board the vessel. 

(6) NOTIFICATION OF VIOLATIONS.—If the Secretary finds, on 

the basis of an examination under paragraph (1) or (2), investigation under paragraph (3), or any other information, that a 

vessel is being operated in violation of any requirement of this 

section or regulation issued under this section, the Secretary 

shall—

(A) notify, in writing—

(i) the master of the vessel; and 

(ii) the captain of the port at the vessel’s next port of 

call; 

(B) remove from the vessel the certificate issued under 

paragraph (5); 

(C) take such other action as may be appropriate. 

(7) COMPLIANCE MONITORING.—

(A) IN GENERAL.—The Secretary shall establish, by regulation, sampling and other procedures to monitor compliance with the requirements of this section and the regulations issued under this section. 

(B) USE OF MARKERS.—The Secretary may verify compliance with the discharge requirements of subsection (f) and 

the regulations issued under this section with respect to 

such requirements through identification of markers associated with a treatment technology’s effectiveness, such as the 


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presence of indicators associated with a certified treatment 

technology. 

(8) EDUCATION AND TECHNICAL ASSISTANCE PROGRAMS.—The 

Secretary may carry out education and technical assistance programs and other measures to promote compliance with the requirements of this section and the regulations issued under this 

section. 

(j) DETENTION OF VESSELS.—The Secretary, by notice to the 

owner, charterer, managing operator, agent, master, or other individual in charge of a vessel, may detain that vessel if the Secretary 

has reasonable cause to believe that— (1) the vessel is a vessel to which this section applies; and 

(2) the vessel does not comply with any requirement of this 

section or regulation issued under this section or is being operated in violation of such a requirement or regulation. 

(k) SANCTIONS.—

(1) CIVIL PENALTIES.—Any person who violates this section 

(including a regulation issued under this section) shall be liable 

for a civil penalty in an amount not to exceed $32,500. Each 

day of a continuing violation constitutes a separate violation. A 

vessel operated in violation of this section (including a regulation issued under this section) is liable in rem for any civil penalty assessed under this subsection for that violation. 

(2) CRIMINAL PENALTIES.—Whoever knowingly violates this 

section (including a regulation issued under this section) shall 

be fined under title 18, United States, or imprisoned not more 

than 12 years, or both. 

(3) REVOCATION OF CLEARANCE.—Except as provided in subsection (j)(2), upon request of the Secretary, the Secretary of the 

Treasury shall withhold or revoke the clearance of a vessel required by section 60105 of title 46, United States Code, if the 

owner or operator of that vessel is in violation of this section 

or a regulation issued under this section. 

(l) ENFORCEMENT.—

(1) ADMINISTRATIVE ACTIONS.—If the Secretary finds, after 

notice and an opportunity for a hearing, that a person has violated this section or a regulation issued under this section, the 

Secretary may assess a civil penalty for that violation. In determining the amount of the civil penalty, the Secretary shall take 

into account the nature, circumstances, extent, and gravity of 

the prohibited acts committed and, with respect to the violator, 

the degree of culpability, any history of prior violations, and 

such other matters as justice may require. 

(2) CIVIL ACTIONS.—At the request of the Secretary, the Attorney General may bring a civil action in an appropriate district 

court of the United States to enforce this section or any regulation issued under this section. Any court before which such an 

action is brought may award appropriate relief, including temporary or permanent injunctions and civil penalties. 

(m) CONSULTATION WITH CANADA, MEXICO, AND OTHER FOREIGN

GOVERNMENTS.—In developing the guidelines and regulations to be 

issued under this section, the Secretary is encouraged to consult 

with the Government of Canada, the Government of Mexico and any 

other government of a foreign country that the Secretary, after consultation with the Task Force, determines to be necessary to develop 


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and implement an effective international program for preventing the 

unintentional introduction and spread of aquatic nuisance species 

through ballast water. 

(n) INTERNATIONAL COOPERATION.—The Secretary, in cooperation 

with the Under Secretary, the Secretary of State, the Administrator, 

the heads of other relevant Federal agencies, the International Maritime Organization of the United Nations, and the Commission on 

Environmental Cooperation established pursuant to the North 

American Free Trade Agreement, is encouraged to enter into negotiations with the governments of foreign countries to develop and 

implement an effective international program for preventing the unintentional introduction and spread of aquatic invasive species. The 

Secretary is particularly encouraged to seek bilateral or multilateral 

agreements with Canada, Mexico, and other nations in the Wider 

Caribbean Region (as defined in the Convention for the Protection 

and Development of the Marine Environment of the Wider Caribbean, signed at Cartagena on March 24, 1983 (TIAF 11085)), to 

carry out the objectives of this section. 

(o) NONDISCRIMINATION.—The Secretary shall ensure that foreign 

vessels do not receive more favorable treatment than vessels of the 

United States when the Secretary performs studies, reviews compliance, determines effectiveness, establishes requirements, or performs 

any other responsibilities under this Act. 

(p) CONSULTATION WITH TASK FORCE.—The Secretary shall consult with the Task Force in carrying out this section. 

(q) PREEMPTION.— (1) IN GENERAL.—Except as provided in subsection (i)(4) but 

notwithstanding any other provision of law, the provisions of 

subsections (e) and (f) supersede any provision of State or local 

law that is inconsistent with the requirements of those subsections or that conflicts with the requirements of those subsections. 

(2) GREATER PENALTIES OR FEES.—For purpose of paragraph 

(1), the imposition by State or local law of greater penalties or 

fees for acts or omissions that are violations of such law and 

also violations of this Act or the imposition by a State of incentives under subsection (f)(9)(B) shall not be considered to be inconsistent, or to conflict, with the requirements of subsections 

(e) and (f). 

(3) RECEPTION FACILITIES.—The standards issued by the Secretary or the heads of other appropriate Federal agencies under 

subsection (f)(2) do not supersede any more stringent standard 

under any otherwise applicable Federal, State, or local law. 

(r) COAST GUARD REPORT ON OTHER SOURCES OF VESSELBOURNE NUISANCE SPECIES.—

(1) IN GENERAL.—

(A) HULL-FOULING AND OTHER VESSEL SOURCES.—Not 

later than 180 days after the date of enactment of the Ballast Water Treatment Act of 2007, the Secretary shall 

transmit a report to the Committee on Commerce, Science, 

and Transportation of the Senate and the Committee on 

Transportation and Infrastructure of the House of Representatives on vessel-related pathways of harmful aquatic 

organisms and pathogens other than ballast water and 

sediment, including vessel hulls and equipment, and from 


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vessels equipped with ballast tanks that carry no ballast 

water on board. 

(B) BEST PRACTICES.—

(i) IN GENERAL.—As soon as practicable, the Secretary shall develop best practices standards and procedures designed to reduce the introduction and spread 

of invasive species into and within the United States 

from vessels and establish a timeframe for implementation of those standards and procedures by vessels. Such 

standards and procedures shall include designation of 

geographical locations for uptake and discharge of untreated ballast water, as well as standards and procedure for other vessel pathways of aquatic invasive species. 

(ii) REPORT.—The Secretary shall transmit a report 

to the committees referred to in subparagraph (A) describing the standards and procedures developed under 

this subparagraph and the implementation timeframe, 

together with such recommendations as the Secretary 

determines appropriate. 

(iii) REGULATIONS.—The Secretary may issue regulations to incorporate and enforce standards and procedures developed under this paragraph. 

(2) TRANSITING VESSELS.—Not later than 180 days after the 

date of enactment of the Ballast Water Treatment Act of 2007, 

the Secretary shall transmit a report to the Committee on Commerce, Science, and Transportation of the Senate and the Committee on Transportation and Infrastructure of the House of 

Representatives containing—

(A) an assessment of the magnitude and potential adverse impacts of ballast water operations from foreign vessels designed, adapted, or constructed to carry ballast 

water that are transiting waters subject to the jurisdiction 

of the United States; and 

(B) recommendations, including legislative recommendations if appropriate, of options for addressing ballast water 

operations of those vessels. 

SEC. 1102. NATIONAL BALLAST WATER MANAGEMENT INFORMATION. 

(a) * * * 

(b) ECOLOGICAL AND BALLAST WATER DISCHARGE SURVEYS.—

(1) ECOLOGICAL SURVEYS.—

(A) * * * 

(B) REQUIREMENTS FOR SURVEYS.—In conducting the 

surveys under this paragraph, the Task Force shall, with 

respect to each such survey—

(i) * * * 

(ii) provide an estimate of the effectiveness of ballast 

water management and other vessel management 

øguidelines issued and¿ regulations promulgated 

under this subtitle in abating invasions of aquatic nuisance species in the waters that are the subject of the 

survey. 

(2) BALLAST WATER DISCHARGE SURVEYS.—

(A) * * * 


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(B) REQUIREMENTS FOR SURVEYS.—In conducting the 

surveys under this paragraph, the Secretary shall— (i) * * * 

(ii) assess the effectiveness of øvoluntary guidelines 

issued, and regulations promulgated,¿ regulations promulgated under this subtitle in altering ballast water 

discharge practices to reduce the probability of accidental introductions of aquatic nuisance species. 

* * * * * * * 

(c) REPORTS.—

(1) BALLAST EXCHANGE.—Not later than 18 months after the 

date of enactment of this Act and prior to the effective date of 

the regulations issued under øsection 1101(b)¿ section 1101(a), 

the Task Force shall submit a report to the Congress that presents the results of the study required under subsection (a)(1) 

and makes recommendations with respect to such regulations. 

* * * * * * * 

(f) NATIONAL BALLAST INFORMATION CLEARINGHOUSE.— (1) IN GENERAL.—The Secretary shall develop and maintain, 

in consultation and cooperation with the Task Force and the 

Smithsonian Institution (acting through the Smithsonian Environmental Research Center), a clearinghouse of national data 

concerning— (A) * * * 

(B) compliance with the øguidelines issued pursuant to 

section 1101(c)¿ regulations issued pursuant to section 

1101; and 

* * * * * * * 

(g) BALLAST WATER SURVEYS.— (1) IN GENERAL.—The Secretary shall conduct the following 

ballast water surveys: 

(A) A survey of the number of living organisms in untreated ballast water of a representative number of vessels, 

as determined by the Secretary. 

(B) A survey of the number of living organisms in the 

ballast water of a representative number of vessels, as determined by the Secretary, that has been exchanged on the 

high seas. 

(C) Surveys of the number of living organisms in the ballast water of vessels that are participating in a program to 

test and evaluate promising ballast water treatment, as approved by the Secretary. 

(2) REPORTS.—The Secretary shall submit to the Committee 

on Transportation and Infrastructure of the House of Representatives and the Committee on Commerce, Science, and Transportation of the Senate—

(A) a report on the results of the surveys under subparagraphs (A) and (B) of paragraph (1) by not later than 18 

months after the date of the enactment of the Ballast Water 

Treatment Act of 2007; and 

(B) a report on the results of the surveys required under 

subparagraph (C) of paragraph (1) upon completion of each 

demonstration concerned. 


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øSEC. 1103. ARMED SERVICES BALLAST WATER PROGRAMS. 

ø(a) DEPARTMENT OF DEFENSE VESSELS.—Subject to operational 

conditions, the Secretary of Defense, in consultation with the Secretary, the Task Force, and the International Maritime Organization, shall implement a ballast water management program for seagoing vessels of the Department of Defense to minimize the risk of 

introduction of nonindigenous species from releases of ballast 

water. 

ø(b) COAST GUARD VESSELS.—Subject to operational conditions, 

the Secretary, in consultation with the Task Force and the International Maritime Organization, shall implement a ballast water 

management program for seagoing vessels of the Coast Guard to 

minimize the risk of introduction of nonindigenous species from releases of ballast water. 

øSEC. 1104. BALLAST WATER MANAGEMENT DEMONSTRATION PROGRAM. 

ø(a) TECHNOLOGIES AND PRACTICES DEFINED.—For purposes of 

this section, the term ‘‘technologies and practices’’ means those 

technologies and practices that—

ø(1) may be retrofitted—

ø(A) on existing vessels or incorporated in new vessel designs; and 

ø(B) on existing land-based ballast water treatment facilities; 

ø(2) may be designed into new water treatment facilities; 

ø(3) are operationally practical; 

ø(4) are safe for a vessel and crew; 

ø(5) are environmentally sound; 

ø(6) are cost-effective; 

ø(7) a vessel operator is capable of monitoring; and 

ø(8) are effective against a broad range of aquatic nuisance 

species. 

ø(b) DEMONSTRATION PROGRAM.—

ø(1) IN GENERAL.—During the 18-month period beginning on 

the date that funds are made available by appropriations pursuant to section 1301(e), the Secretary of the Interior and the 

Secretary of Commerce, with the concurrence of and in cooperation with the Secretary, shall conduct a ballast water 

management demonstration program to demonstrate technologies and practices to prevent aquatic nonindigenous species from being introduced into and spread through ballast 

water in the Great Lakes and other waters of the United 

States.¿ 

SEC. 1104. BALLAST WATER TREATMENT TECHNOLOGY EVALUATION 

AND DEMONSTRATION PROGRAMS. 

(a) SHIPBOARD TECHNOLOGY EVALUATION PROGRAM.—

(1) IN GENERAL.—The Secretary shall establish a Shipboard 

Technology Evaluation Program to evaluate alternative ballast 

water management methods aboard vessels to prevent aquatic 

nuisance species from being introduced into and spread through 

discharges of ballast water in waters of the United States. 

(2) LOCATION.—The installation and construction øof the 

technologies and practices used in the demonstration program¿ 

of alternative ballast water management methods used in the 


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program conducted under this subsection shall be performed in 

the United States. 

(3) VESSEL SELECTION.—In demonstrating øtechnologies and 

practices on vessels under this subsection, the Secretary of the 

Interior and the Secretary of Commerce, shall—¿ ballast water 

treatment technologies on vessels under this subsection, the Secretary shall—

(A) use only vessels that—

ø(i) are approved by the Secretary; 

ø(ii) have ballast water systems conducive to testing 

aboard-vessel or land-based technologies and practices 

applicable to a significant number of merchant vessels; 

and¿ 

(i) have ballast water systems conducive to testing 

aboard the vessel; and 

ø(iii)¿ (ii) are—

(I) * * * 

* * * * * * * 

ø(C) seek to use a variety of vessel types, including vessels that—

ø(i) call on ports in the United States and on the 

Great Lakes; and 

ø(ii) are operated along major coasts of the United 

States and inland waterways, including the San Francisco Bay and Chesapeake Bay.¿ 

(C) seek to use a variety of vessel types. 

* * * * * * * 

ø(4) SELECTION OF TECHNOLOGIES AND PRACTICES.—In selecting technologies and practices for demonstration under this 

subsection, the Secretary of the Interior and the Secretary of 

Commerce shall give priority consideration to technologies and 

practices identified as promising by the National Research 

Council Marine Board of the National Academy of Sciences in 

its report on ships’ ballast water operations issued in July 

1996.¿ 

(4) SELECTION OF ALTERNATIVE BALLAST WATER MANAGEMENT

METHODS.—In order for a ballast water treatment technology to 

be eligible to be installed on vessels for evaluation under this 

section, such technology must be, at a minimum—

(A) determined by the Secretary to have the demonstrated 

potential to reduce the number of organisms greater than 

or equal to 50 microns in minimum dimension in discharged ballast water to fewer than 10 living organisms 

per cubic meter of water; 

(B) cost-effective; 

(C) environmentally sound; 

(D) operationally practical; 

(E) able to be retrofitted on existing vessels or incorporated in new vessel design (or both); 

(F) safe for a vessel and crew; and 

(G) accessible to monitoring. 

* * * * * * * 


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(6) AUTHORITY OF SECRETARY TO REVIEW AND REVISE CRITERIA.—The Secretary may review and revise the criteria described in paragraph (4)(A) to require ballast water treatment 

technologies to meet a more stringent ballast water discharge 

standard, including standards promulgated under section 

1101(f), before being eligible for installation aboard vessels 

under the program. 

(b) SHIPBOARD TECHNOLOGY DEMONSTRATION PROGRAM.—

(1) IN GENERAL.—The Under Secretary, with the concurrence 

of and in cooperation with the Secretary, shall conduct a program to demonstrate ballast water treatment technologies evaluated aboard vessels under subsection (a) to prevent aquatic 

nuisance species from being introduced into and spread through 

ballast water in waters of the United States. 

(2) LOCATION.—The installation and construction of ballast 

water treatment technologies used in the demonstration program under this subsection shall be performed in the United 

States. 

(3) VESSEL ELIGIBILITY.—Vessels eligible to participate in the 

demonstration program under this subsection shall consist only 

of vessels that have been accepted into and are actively participating in the Shipboard Technology Evaluation Program under 

subsection (a). 

(4) GRANTS.—

(A) IN GENERAL.—The Under Secretary shall establish a 

grant program to provide funding for acquiring, installing, 

and operating ballast water treatment technologies aboard 

vessels participating in the program under this subsection. 

(B) MATCHING REQUIREMENTS.—The amount of Federal 

funds used for any demonstration project under this subsection—

(i) shall not exceed $1,000,000; and 

(ii) shall not exceed 50 percent of the total cost of 

such project. 

(c) ALTERNATIVE SHIP PATHWAY PROGRAM.—

(1) IN GENERAL.—The Under Secretary, with the concurrence 

of and in cooperation with the Secretary, shall conduct a program to demonstrate and verify technologies and practices to 

monitor and control the introduction of aquatic invasive species 

by ship pathways other than the release of ballast water. 

(2) SELECTION OF METHODS.—The Under Secretary may not 

select technologies and practices for demonstration or 

verification under paragraph (1) unless such technologies and 

practices, in the determination of the Under Secretary, in consultation with the Secretary, meet the criteria outlined in subparagraphs (B) through (G) of subsection (a)(4). 

(3) LOCATION.—The installation and construction of technologies and practices for demonstration and verification under 

this subsection shall be performed in the United States. 

ø(c)¿ (d) AUTHORITIES; CONSULTATION AND COOPERATION WITH

INTERNATIONAL MARITIME ORGANIZATION AND TASK FORCE.—

(1) AUTHORITIES.—In conducting the demonstration program 

under subsection (b), the øSecretary of the Interior¿ Secretary, 

in consultation with the Under Secretary, may—


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(A) * * * 

* * * * * * * 

(2) CONSULTATION AND COOPERATION.—The øSecretary of the 

Interior¿ Secretary, in consultation with the Under Secretary, 

shall consult and cooperate with the International Maritime 

Organization and the Task Force in carrying out this section. 

* * * * * * * 

Subtitle C—Prevention and Control of 

Aquatic Nuisance Species Dispersal 

* * * * * * * 

SEC. 1210. RAPID RESPONSE PLAN. 

(a) PREPARATION BY PRESIDENT.—The President shall prepare 

and publish a national rapid response plan for killing, removing, 

or minimizing the spread of aquatic nuisance species in the waters 

of the United States in accordance with this section. 

(b) CONTENTS.—The national rapid response plan shall provide 

for efficient, coordinated, and effective action to minimize damage 

from aquatic nuisance species in the navigable waters of the United 

States, including killing, containing, and removal of the aquatic 

nuisance species, and shall include the following: 

(1) Assignment of duties and responsibilities among Federal 

departments and agencies in coordination with State and local 

agencies and port authorities and private entities. 

(2) Identification, procurement, maintenance, and storage of 

equipment and supplies needed to facilitate the killing, containment, and removal of aquatic nuisance species under this section. 

(3) Establishment or designation by the President of Federal 

aquatic nuisance species response teams, consisting of— (A) personnel who shall be trained and prepared by the 

President and shall be available to provide necessary services to carry out the national rapid response plan; 

(B) adequate equipment and material needed to facilitate 

the killing, containment, and removal of aquatic nuisance 

species under this section; and 

(C) a detailed plans to kill, contain, and remove aquatic 

nuisance species, including measures to protect fisheries 

and wildlife. 

(4) A system of surveillance and notice designed to safeguard 

against, as well as ensure earliest possible notice of, the introduction of aquatic nuisance species and imminent threats of 

such introduction to the appropriate State and Federal agencies. 

(5) Establishment by the President of a national center to provide coordination and direction for operations in carrying out 

the plan. 

(6) Procedures and techniques to be employed in identifying, 

containing, killing, and removing aquatic nuisance species in 

the waters of the United States. 

(7) A schedule, prepared by the President in cooperation with 

the States, identifying—


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(A) mitigating devices and substances, if any, that may 

be used in carrying out the plan; 

(B) the waters in which such mitigating devices and substances may be used; and 

(C) the quantities of such mitigating device or substance 

which can be used safely in such waters. 

(8) A system whereby the State or States affected by an aquatic nuisance species may act where necessary to remove such species. 

(9) Establishment by the President of criteria and procedures 

to ensure immediate and effective Federal identification of, and 

response to, an introduction of aquatic nuisance species. 

(10) Designation by the President of the Federal official who 

shall be the Federal on-scene coordinator for measures taken to 

kill, contain, and remove aquatic nuisance species under this 

section. 

(11) A fish and wildlife response plan for the immediate and 

effective protection, rescue, and rehabilitation of, and the minimization of risk of damage to, fish and wildlife resources and 

their habitat that are harmed or that may be jeopardized by an 

introduction of an aquatic nuisance species. 

(c) FEDERAL REMOVAL AUTHORITY.— (1) REMOVAL REQUIREMENT.— (A) IN GENERAL.—The President shall ensure, in accordance with the national rapid response plan, effective and 

immediate killing, containing, and removal of the aquatic 

nuisance species in the waters of the United States. 

(B) DISCRETIONARY AUTHORITY.—In carrying out this 

paragraph, the President may— (i) kill, contain, and remove an aquatic nuisance species, at any time; and 

(ii) direct or monitor all Federal, State, and private 

actions to kill, contain, and remove the aquatic nuisance species. 

(2) ACTIONS IN ACCORDANCE WITH NATIONAL RAPID RESPONSE

PLAN.—Each Federal agency, State, owner or operator, or other 

person participating in efforts under this subsection shall act in 

accordance with the national rapid response plan or as directed 

by the President to carry out the plan. 

Subtitle D—Authorizations of 

Appropriation 

SEC. 1301. AUTHORIZATIONS. 

(a) PREVENTION OF UNINTENTIONAL INTRODUCTIONS.—There are 

authorized to be appropriated to develop and implement the provisions of subtitle B— (1) * * * 

* * * * * * * 

(4) for each of fiscal years 1997 through 2002, to carry out 

paragraphs (1) and (2) of section 1102(b)— (A) * * * 

(B) $1,000,000 to the Secretary; øand¿ 


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(5) for each of fiscal years 1997 through 2002— (A) * * * 

(B) $500,000 to the Secretary to carry out section 

1102(f)ø.¿; 

(6) $20,000,000 for each of fiscal years 2008 through 2012 to 

the Secretary to carry out section 1101; (7) $500,000 to the Secretary for each of fiscal years 2008 

through 2013 to carry out section 1102(f); (8) $6,000,000 to the Under Secretary for each of fiscal years 

2008 through 2013 to carry out paragraph (4) of section 

1104(b); and 

(9) $1,500,000 to the Under Secretary for each of fiscal years 

2008 through 2013 to carry out section 1104(c). 

* * * * * * * 

SECTION 2237 OF TITLE 18, UNITED STATES CODE 

§ 2237. Criminal sanctions for failure to heave to, obstruction of boarding, or providing false information 

(a) * * * 

ø(b) Any person who intentionally violates this section shall be 

fined under this title or imprisoned for not more than 5 years, or 

both.¿ 

(b)(1) Whoever intentionally violates this section shall, unless the 

offense is described in paragraph (2), be fined under this title or imprisoned for not more than 5 years, or both. 

(2) If the offense— (A) is committed in the course of a violation of section 274 of 

the Immigration and Nationality Act (alien smuggling); chapter 

77 (peonage, slavery, and trafficking in persons), section 111 

(shipping), 111A (interference with vessels), 113 (stolen property), or 117 (transportation for illegal sexual activity) of this 

title; chapter 705 (maritime drug law enforcement) of title 46, 

or title II of the Act of June 15, 1917 (Chapter 30; 40 Stat. 220), 

the offender shall be fined under this title or imprisoned for not 

more than 10 years, or both; 

(B) results in serious bodily injury (as defined in section 1365 

of this title) or transportation under inhumane conditions, the 

offender shall be fined under this title, imprisoned not more 

than 15 years, or both; or 

(C) results in death or involves kidnaping, an attempt to kidnap, the conduct required for aggravated sexual abuse (as defined in section 2241 without regard to where it takes place), or 

an attempt to commit such abuse, or an attempt to kill, be fined 

under such title or imprisoned for any term of years or life, or 

both. 

(c)(1) This section does not limit the authority of a customs officer under section 581 of the Tariff Act of 1930 (19 U.S.C. 1581), 

or any other provision of law enforced or administered by the Secretary of the Treasury or the Secretary of Homeland Security, or 

the authority of any Federal law enforcement officer under any law 

of the United States, to order a vessel to stop or heave to. 


hmoore on PRODPC68 with HMRPT
89 

(2) In a prosecution for a violation of this section, no defense 

based on necessity can be raised unless the defendant— (A) as soon as practicable upon reaching shore, delivered the 

person with respect to which the necessity arose to emergency 

medical or law enforcement personnel; 

(B) as soon as practicable, reported to the Coast Guard the 

circumstances of the necessity resulting giving rise to the defense; and 

(C) did not bring, attempt to bring, or in any manner intentionally facilitate the entry of any alien, as that term is defined 

in section 101(a)(3) of the Immigration and Nationality Act (8 

U.S.C. 1101 (a)(3)), into the land territory of the United States 

without lawful authority, unless exigent circumstances existed 

that placed the life of that alien in danger, in which case the 

reporting requirement of subparagraph (B) is satisfied by notifying the Coast Guard as soon as practicable after delivering 

that person to emergency medical or law enforcement personnel 

ashore. 

* * * * * * * 

(e) In this section—

(1) * * * 

* * * * * * * 

(3) the term ‘‘vessel subject to the jurisdiction of the United 

States’’ has the meaning given the term in section 2 of the 

Maritime Drug Law Enforcement Act (46 U.S.C. App. 1903); 

øand¿ 

(4) the term ‘‘vessel of the United States’’ has the meaning 

given the term in section 2 of the Maritime Drug Law Enforcement Act (46 U.S.C. App. 1903)ø.¿; and 

(5) the term ‘‘transportation under inhumane conditions’’

means the transportation of persons in an engine compartment, 

storage compartment, or other confined space, transportation at 

an excessive speed, transportation of a number of persons in excess of the rated capacity of the means of transportation, or intentionally grounding a vessel in which persons are being transported. 

Æ 


hmoore on PRODPC68 with HMRPT